Writing convincing research proposals and effective scientific reports

A learning module

Sylvester Dickson Baguma, Ponniah Anandajayasekeram

and Ranjitha Puskur

ILRIINTERNATIONALLIVESTOCK RESEARCH

I N S T I T U T E

ii

Authors’ affi liations

Sylvester Dickson Baguma, National Agricultural Research Organization (NARO), Uganda

Ponniah Anandajayasekeram, International Livestock Research Institute (ILRI), Addis Ababa, Ethiopia

Ranjitha Puskur, International Livestock Research Institute (ILRI), Addis Ababa, Ethiopia

© 2009 ILRI (International Livestock Research Institute).All rights reserved. Parts of this publication may be reproduced for non-commercial use provided that such reproduction shall be subject to acknowledgement of ILRI as holder of copyright.

Editing, design and layout—ILRI Publication Unit, Addis Ababa, Ethiopia.

ISBN 92–9146–244–6

Correct citation: Baguma SD, Anandajayasekeram P and Puskur R. 2009. Writing convincing research proposals and effective scientifi c reports: A learning module. ILRI (International Livestock Research Institute), Nairobi, Kenya. 488 pp.

iii

Table of Contents

Acknowledgements

Foreword

Introduction to the workshop

Part A: Writing a convincing proposal

Trainer’s guide: Session 1: Paradigm shifts in agricultural research and development

and emerging challenges

Session 1: Summary of presentation slides: Paradigm shifts in agricultural research and

development and emerging challenges

Session 1: Notes to trainers: Paradigm shifts in agricultural research and development

and emerging challenges

Trainer’s guide: Session 2: What sort of projects do donors like? When and when not to write

a full proposal?

Session 2: Summary of presentation slides: What sort of projects do donors like?

When and when not to write a full proposal

Session 2: Notes for trainers: What sort of projects do donors like? When and when not

to write a full proposal

Session 2: Individual exercise on what sort of projects donors like

Session 2: Individual exercise on when and when not to write a full proposal

Trainer’s guide: Session 3: Competitive grants program and how to respond and qualities

of a convincing proposal

Session 3: Summary of presentation slides: Competitive grants programs and how to

respond and qualities of a convincing proposal

Session 3: Notes to participants: Competitive grants programs and how to respond and

qualities of a convincing proposal

Session 3: Pair exercise on qualities of a convincing proposal

Trainer’s guide: Session 4: Proposal format and order of preparation

Session 4: Summary of presentation slides: Proposal format and order of preparation

Session 4: Notes to participants: Proposal format and order of preparation

Session 4: Individual exercise on proposal format and order of preparation

Trainer’s guide: Session 5: Project goal(s) and the project’s contribution

Session 5: Summary of presentation slides: Project goal(s) and the project’s contribution

Session 5: Notes to participants: Project goal(s) and the project’s contribution

Trainer’s guide: Session 6: Project objectives, anticipated outputs and benefi ciaries

Session 6: Summary of presentation slides: Project objectives, anticipated outputs and

benefi ciaries

Session 6: Notes to participants: Project objectives, anticipated outputs and benefi ciaries

Trainer’s guide: Session 7: Inputs, activities, work plan

Session 7: Summary of presentation slides: Project inputs, activities, work plan

Session 7: Notes to participants: Project inputs, activities, work plan

Session 7: Exercise Project inputs, activities, work plan

iv

Trainer’s guide: Session 8: Project management, monitoring and evaluation

Session 8: Summary of presentation slides: Project management, monitoring and

evaluation

Session 8: Notes to participants: Project management, monitoring and evaluation

Session 8: Exercise

Trainer’s guide: Session 9: Logical framework, indicators and measuring impact

Session 9: Summary of presentation slides: Logical framework, indicators and

measuring impact

Session 9: Notes to participants: Logical framework, indicators and measuring impact

Trainer’s guide: Session 10: Project proposal budgets

Session 10: Summary of presentation slides: Project proposal budgets

Session 10: Notes to participants: Project proposal budgets

Trainer’s guide: Session 11: Project background and summary section

Session 11: Summary of presentation slides: Project background and summary sections

Session 11: Notes to participants: Project background and summary section

Part B: Scientifi c writing

Trainer’s guide: Session 12: When and why should a scientist report research

Session 12: Summary of presentation slides: When and why should a scientist

report research?

Session 12: Notes to participants: When and why should a scientist report research?

Trainer’s guide: Session 13: Structure and preparation of a scientifi c paper

Session 13: Summary of presentation slides: Structure and preparation of a

scientifi c paper

Session 13: Notes to participants: Structure and preparation of a scientifi c paper

Trainer’s guide: Session 14: Different types of scientifi c publications

Session 14: Summary of presentations: Different types of scientifi c publications

Session 14: Notes to participants: Different types of scientifi c publications

Trainer’s guide: Session 15: Writing style and readability

Session 15: Summary of presentations: Writing style and readability

Session 15: Notes to participants: Writing style and readability

Trainer’s guide: Session 16: Overcoming hurdles to publication and information dissemination

Session 16: Summary of presentations: Overcoming hurdles to publication and

information dissemination

Session 16: Notes to participants: Overcoming hurdles to publication and information

dissemination

Annexes

Annex 1: Answers: What sort of projects do donors like?

Annex 2: Answers: When and when not to write a full proposal

Annex 3: Answers: Qualities of a convincing proposal

Annex 4: Answers: Proposal format and order of preparation

Annex 5: Answers: Inputs, activities, work plan

v

Annex 6: Answers: Project management, monitoring, evaluation

Annex 7: An example of a work plan for a project: Generation of knowledge and technologies

that ensure sustainable utilization of fi sh stocks (capture fi sheries) on Lakes Kyoga,

Kwania and Bisina (in digital version)

Annex 8: An example of a project logframe: Development of propagation establishment

techniques and harvesting methods that ensure market quality of forest products

Annex 9: ILRI style guide for editors and writers

Annex 10: Preferred usage

Annex 11: CABI peer review form

Annex 12: Examples of call for proposals

12.1: Manual for preparing a grant application for the ACP Science and Technology

Programme

12.2: Call profi les

12.3: DM2009 competition guidelines

12.4: ACP Science and Technology Programme Grant Application Form

12.5: Grant contract—External actions of the European Community

12.6: Livestock calls for proposals

12.7: Step-by-step instructions for fi lling out the online proposal form

12.8: Call for proposals—Kachwekano profi les

12.9: CAPRI request for proposals—Sponsoring empirical research on securing access to

natural resources

12.10: ACP Science and Technology Programme guidelines for grant applicants

12.11: Guidelines for grant applicants—Annex B—Budget for the action

12.12: Guidelines-for-grant-applicants—Annex C—Logical-framework

12.13: Project proposal call: NRM and biodiversity conservation in the drylands of eastern

and central Africa

vi

AcknowledgementsThis module could not have been produced without the support provided by ILRI senior management.

We would like to record our deep appreciation and sincere thanks to Dr Carlos Sere, Director General

of ILRI, Mr Bruce Scott, Director of Partnership and Communications, Dr John McDermott, Deputy

Director General, as well as members of the Board of Directors for their continuous support and

guidance.

We would also like to thank Dr Denis Keytere, Director General of the National Agricultural Research

Organization (NARO), Uganda, for allowing Mr Sylvester Dickson Baguma to participate in this

exercise.

This module is a direct response to a request made by Graduate Fellows of ILRI. The content of this

module was drawn from a large number of sources. We are grateful for the authors of these various

publications. The content of the module was presented during a training session for the Graduate

Fellows in Addis Ababa and Nairobi. The feedbacks received from participants certainly added value

to this module.

Finally, we would like to thank all those who either directly or indirectly contributed to the content

as well as the development of this module. This is a work in progress and we would welcome any

suggestions and comments.

Authors

vii

ForewordThe growth in agricultural research investment was very rapid in the 1970s and slowed down since the

mid 1980s. The rate of expansion of research staff has been more rapid than that of funding, resulting

in a growing proportion of research funds being used to pay salaries and an acute shortage of operating

funds for undertaking research. As national public sector spending on research is falling, many National

Agricultural Research Systems are heavily depending on donor funds to support research. This situation

is more acute in sub-Saharan Africa than anywhere else in the world. In order to keep the research

agenda moving, it is critical for individual agricultural research scientists and their organizations to

find new sources of funds. While the available research resources are declining, there has been a

universal move towards the use of competitive funding for research. Many institutes also started moving

towards results based contractual arrangements. That means a successful researcher will have to write

convincing proposals to secure funds and be able to widely publish the results (outputs and outcome)

of their work to attract more resources.

During one of the interactions between the management of the Capacity Strengthening Unit, and

the Graduate Fellows of ILRI, the students identified the need for additional training in areas such as

experimental design and data analysis, oral and poster presentation, scientific writing and proposal

writing, project management, and leadership training. ILRI also noted that although a large number

of theses were produced by the Graduate Fellows, they were not prolific enough in writing scientific

papers and journal articles. This module is a response to this request. The training module was primarily

intended to assist the Graduate Fellows to write convincing proposals to access the available competitive

funds, and also to write and publish the results of their work widely. Once the Graduate Fellows leave

ILRI, we also want them to train their own colleagues in the systems they come from. To enable this,

the learning module is designed to include learning objectives, handouts (teaching notes) and the

PowerPoints used during the presentations for every session. Where relevant, exercises and additional

references are also provided. The materials are presented in the form of ‘Reusable Learning Objects’ so

that the users can make use of the relevant sections based on the target group and purpose.

The materials have been drawn from many sources, but the key ones are the training module prepared by

the former ISNAR (‘How to write convincing proposals’ 2003) and a book titled ‘Writing and presenting

scientific papers’ (Malmfors et al. 2004).

Although the primary audiences of this module are ILRI Graduate Fellows, the materials can be easily

adapted by our national research partners. The users are expected to modify and change the content

to suit their specific context and need. We are planning to update this module periodically to respond

to the changing needs and circumstances. Hence, any feedback and constructive comments from the

users are very much appreciated.

Ponniah Anandajayasekeram

Manager, Capacity Strengthening Unit

ILRI

1

Introduction to the workshopWorkshop objectives

• To provide participants with knowledge and skills to be able to conceive projects and write them up in a way that will convince donors to fund them

• To improve participants’ ability to mobilize resources for agricultural research

• To impart necessary knowledge and skills for effective scientific writing

Objectives of the workshop

Writing convincing research proposals and effective scientific reports:

A learning module

To strengthen the skills of:

• Project proposal writing and resource mobilization in agricultural research and

• Effective scientific writing

Goal of the training workshop

2

• Improved knowledge and skills in research project proposal writing

• Participants able to mobilize resources required for conducting agricultural research projects

• Participants able to produce high quality research papers/communication products

Expected outputs of the workshop

Thank you!

3

Project cycle, research process, scientific paper

New knowledge technology information

Target group identificationProblem identification Research question

Diagnosis

Evaluation

Planning

Implementation

Monitoring Collecting data

Clear definition of problem and causes

Defining purpose and objective

Deciding on the interventions activities methodology Analysis of data

Interpret results Draw conclusion

Results Analysis Interpretation Discussion Conclusion Implications

Limitation

Introduction Background Literature Review Research Gap Goals Purpose

Objectives

Materials Methods Design options

Scientific Paper

Collection of background information

4

5

Trainer’s guideSession 1: Paradigm shifts in agricultural research and development and emerging challengesSession objectives By the end of this session participants will:

Be familiar with the ongoing transformations and paradigm shifts in the agricultural •research for development

Have a good understanding of the emerging challenges confronting the R&D system•

Training materials Flip chart•

White boards•

Assorted chisel marker pens •

Time needed 1.5 hrs

Method of facilitation

Activities Contents Time

Plenary presentation Paradigm shifts in agricultural research and development and emerging challenges

45 minutes

Group exercise Participants share their experiences in four groups 60 minutes

Plenary presentation Trainer leads participants in discussing answers to the group exercise 30 minutes

6

Session 1: Summary of presentation slides: Paradigm shifts in agricultural research and development and emerging challenges1.1

1.2

1.3

Challenges of the R&D systems

and

changing paradigms

Session 1

Objectives of the session

• List and explain the changing paradigms in research for development

• Identify and describe the emerging challenges of agricultural research for development systems

Major goals of agricultural research

• Produce agricultural technologies to contribute to rapid economic growth

• Provide options for adaptation to changing global economy; changing policies and; emerging environmental concerns

• Contribute to the reduction of poverty by increasing the supply of staples

• Increasing international competitiveness of national economies

7

1.4

1.5

1.6

Guiding principles of agricultural research for development

• Innovation Systems Perspective (ISP)

• Value Chain Approach (VCA)

• Impact Orientation (IO)

• Research for Development (R4D)

Complementary and mutually reinforcing

44

Changing context

• Ongoing transformations

• Changing paradigms

• Emerging challenges

Reform agenda within the R&D arena

• Redefinition of role of government in agricultural R&D

• Decentralization/Privatization of agricultural R&D activities.

• Broader and active stakeholder participation—pluralism in service provision, networks and partnerships.

• New funding arrangements.

• Separation of financing from service provision and research execution

• Changing the funding base to competitive funding.

• Orientation of R&D to be more outward looking, client oriented and impact driven.

• Embracing “systems” perspectives.

8

1.7

1.8

1.9

Reform agenda (contd..)

• Increased recognition of cross-sectorallinkages

• Globalization of research and emerging regional and continental bodies

• Increased use of networks and partnerships

• Commercialization of smallholder agriculture

• Changing attitude and mindset of change agents

Exogenous trends contributing to the reform process

• Changes in the political and socioeconomic context

• Changes in the market context

• Changes in the demand for R&D services

• Change in research technologies, methodologies and approaches

• Changes in the organizational context

Emerging agri-food systems• Massive increase in food moving across national

borders

• Rapid rise and economic concentration of supermarkets

• Creation of private standards in addition to public standards

• New technologies to extend shelf-life of produce

• Non-price competition among supermarket chains

• Increased differentiation of food products by class

• New forms of relationships between suppliers and buyers

9

1.10

1.11

1.12

Paradigm shifts in agricultural R&D

• Led by

• Approaches for technology development

• Framework for organizational analysis

• Changing expectations

Approaches to agricultural research

• Traditional linear model for research and extension

• Farming systems perspective (OFR/FSP)

• Participation/Participatory research methods

• Action research

• Rural livelihoods

• IAR4D*

• Agri-food systems/Value chain*

• Positive deviance

Approaches to agricultural research (contd..)

• Knowledge development, dissemination and use continuum

• Doubly green revolution

• Rainbow revolution

• Knowledge quadrangle – participatory innovations, information, knowledge and education quadrangle with ICT playing a critical role

10

1.13

1.14

1.15

Organizational analysis

• NARIs

• NARS (loose conglomerate of agencies and actors involved in agricultural research)

• AKIS (R,E,T in one system; knowledge triangle)

• Innovation systems perspective*

Innovation, innovation system and

innovation systems perspective

Innovation system

Application of systems thinking in agriculture

• Framework for technology development and dissemination (TDD)

• Organizational analysis within R&D

Both are interlinked

11

1.16

1.17

1.18

Systems thinking and its application in agriculture

Framework for organizational analysis

NARIs-Focus on generation of knowledge (public sector researchinstitutes only)

Agricultural innovation system (AIS)Focus on knowledge generation,

diffusion and application

National systems framework

-National agricultural research system (NARS)

–National agricultural extension system (NAEs)

–National agricultural Education and training systems (NAES)

Agricultural knowledge and information system (AKIS)

Focuses on knowledge generation and diffusion

Farming systems approach (FSA) Focus on research, ext. and training

Farming systems development (FSD) R+E+T+Policy + Institutions

Agricultural research fordevelopment (AR4D)

Framework for technology development

Cropping systems

Farming systems

Household production system

Farming systems research (FSR) (Focus on research)

Farming systems research and extension (FSR/E)

(Focus on Research & Extens

Factors contributing to the adoption of ISA in agriculture

A number of factors contributed to the adoption of AIS:

• Successful application of the concept in the industrial sector

• Inadequacy of the existing framework to be all inclusive in terms of coverage

• Multiple sources of innovation model

• Inadequacy of the linear model to explain the process of innovation

• Increase demand for demonstrated developmental impact — Impact orientation.

Innovation vs Invention

• Invention – delivers new technology/knowledge as solution to a problem – things new to the world

• Innovation – Economically successful use of invention is innovation, delivers social and economic change

• Knowledge cannot be regarded as innovation unless it is transformed into products and processes that have social and economic use

12

1.19

1.20

1.21

Innovation

• Innovation

• In its broadest sense, innovation covers the activities and processes associated with the generation/production, distribution, adaptation and use of new technical, institutional, organizational and managerial knowledge.

Innovation

• Innovation

• Deals with product innovation, process innovation, management, organizational and institutional innovation and service delivery innovation.

• Two important factors are knowledge and networking.

• Value of knowledge increases with its use, and exchange can only be realised in a cooperative environment.

Organizations and institutions

• Organizations are entities created by individuals to support the collaborative pursuit of specified goals. Formal organization is that kind of cooperation that is conscious, deliberate, and purposeful.

• Institutions are the “rules of the game” which prohibit, permit, or require certain actions. Whether formal or informal, they are recognized and generally followed by members of the community.

13

1.22

1.23

1.24

Innovation system• An innovation system is

• a group of organizations and individuals involved in the generation, diffusion, adoption and use of new knowledge and their actions and interactions

• the context and institutions that govern the way these interactions and processes take place.

• Associated learning

• Not a theory, but an organizing principle

• Can be defined at different levels

It is an analytical construct

National innovation system (NIS)(Innovation ecology)

• The network of organizations in the public and private sectors whose activities and interactions initiate, import, modify and diffuse technologies (Freeman 1997)

• Those institutions that affect the process by which innovations are developed, delivered and adopted (laws, regulations, customs, norms).

• Incorporates actors, processes as well as products.

National innovations systems (contd..)

• Reveals that R&D organizations are one type of knowledge agents in a larger system

• Need for multiple roles for R&D organizations

• Importance of institutions and framework conditions

14

1.25

1.26

1.27

Agricultural innovation systemA dynamic processes of interacting embedded in specific institutional and policy contexts

Demand domain Consumers of food and food products in rural and urban areas

Enterprise domain

producers of mainly tacit

Farmers

particularly agroprocessing

NGOs

and other entrepreneurs

associations

Research domain

National and international agricultural research organizations

collages

foundations Sometimes

Support Structures

Agricultural innovation system(Innovation ecology)

• A collaborative arrangement bringing together several organizations and individuals working towards a desired change in agriculture can be called agricultural innovation system (AIS)

Agricultural innovation systems include

• Traditional sources of innovation (ITK)

• Modern actors (NARIs, IARCs)

• Private sector including agro-industrial firms and entrepreneurs (local, national and multinational).

• Civil society organizations (NGOs, farmers and consumer organizations, pressure groups).

15

1.28

1.29

1.30

Facilitating Institutions

Policies, legal framework, market, information, quality control Research, extension, training, credit, etc.)

Facilitating Services

Transport, storage, packaging, facilitating, equipment, import and export, communication, promotion, etc.

IS of a commodity chain (Innovation ecology)

Agro-industry (Input supply)

Agricultural production (Farm production)

Agro industry (Product marketing)

• Processing • Value adding

• Marketing

Enabling environment

Political stability, law and order, infrastructure, Governance favorable micro-macro and sectoral policies, etc.

Intervention based innovation systems

• An intervention-based innovation system incorporates

• the invention system, as well as

• the complementary economic processes required to turn invention into innovation and subsequent diffusion and utilization

• intervention-based Innovation systems do not occur automatically

• it is the problem situation that defines a particular innovation opportunity

• Intervention-based innovation systems are created for a purpose,

• they will change in content and patterns of interaction as the problem situation evolves and

• they are constructed at mico-and macro levels.

• Although the IS can be defined at different levels (national, sectoral, commodity and problem/intervention), the most relevant innovation system is the one that is constructed to address a particular problem i.e., intervention based

16

1.31

1.32

1.33

Innovation systems perspective

• Using the innovation lens in analyzing critical constraints; identifying, implementing and assessing appropriate interventions and; subsequent utilization of knowledge generated.

• Suggests the analysis of three elements

• Components (organizations and actors)

• Relationships and interactions (institutions)

• Competencies, functions and result of such interactions

Key features of ISP

• Focus on innovation as its organizing principle

• Makes the distinction between “organizations”and “institutions” explicit

• Learning and role of institutions are critical

• Partnership and networks are integral parts

• Escapes the polarized debate “demand driven”Vs. “supply push”

IAR4D

• a new approach to help research contribute more effectively and efficiently to poverty reduction and sustainable NR use

• to mainstream a new way of doing business that ensures that research does not only lead to knowledge and publications, but also and most of all contributes to change and innovation for the betterment of people, while also preserving the natural resource base for future generations

17

1.34

1.35

1.36

Major thrusts of IAR4D approach

• Set of principles for conducting research for development

• New research agenda that addresses interaction between NRM, production systems and agricultural markets and policies

• Institutional change for new partnerships involving all stakeholders in the agricultural innovation system

The 4 pillars of ARD

Organizational and

Institutional change

Knowledge management

and information sharing

Capacity Building

M&E and Impact

Assessment

Intensifying small holder

farming Developing appropriate

policies

Sustainable NRM

Developing efficientMarket

Key steps in AR4D procedure

Problem

Research Proposals

The 4 phases of the ARD procedure

Organizing the Team

Defining the System of Interest

Formulating Research Plans

Identifying Strategies

I

III

II

IV

Report

iteration iteration

18

1.37

1.38

1.39

Value chain/Commodity chain/Agri-food chain

• A value chain describes the full range of activities which are required to bring about a product or service from design through the different phases of production, delivery to final consumers, and final disposal after use

• From “hoe – fingers”

• From “Plough – fork”

A simple value chain has four basic links

Production Marketing

Transformation Packaging

Processingactual sale

Design Consumption and recycling

Consumer

Distribution, Exporting

Marketing

Processing and packaging

On-Farm Production

Input

Value

Feedback

Agricultural food chain: Value adding

19

1.40

1.41

1.42

Why is value chain analysis important?

• Value chain analysis plays a key role in understanding the need and scope for systemic competitiveness – growing division of labor, global dispersion of production of components

• Efficiency in production is only a necessary condition for successfully penetrating regional and global markets

• Entry into the various markets: national, regional, and global requires an understanding of dynamic factors within the whole value chain

• Commercialization of smallholder production system and market orientation

• To reap the maximum benefit it is important to understand the nature, structure, and the dynamics of the value chain.

Value chain analysis cont….

• In the real world, value chains may be much more complex

• Intermediate producers may feed into a number of value chains e.g. the forestry, timber

SeedsMachinery Water

Chemicals

Design

Machinery

Furniture manufacturers

Forestry

Sawmills

Extension Services

Machinery

Logistics, quality advice

Paint, adhesives,upholstery etc.

Buyers

Extracted from Kaplinsky and Morris (2000)

Domestic wholesale

Domestic retail Consumers

Recycling

Foreign Wholesale

Foreign Retail

The forestry, timber and furniture value chain

20

1.43

1.44

1.45

Industry value chain

Primary Transport Processing warehousing Retail production and and(farming) distribution marketing

End consumer

End consumer

Industry value chain

4444

Primary Warehousing Retail and

(farming)

Available Margin

Innovative

methodologies to

process at the farm

removes the need to

transport ‘raw’

produce

New

technologies

reduce the

cost of

processing

Efficient retailing streamlines the cost of selling to the end

consumer

Emerging Challengs

• Global financial crisis

• Emerging food and energy crisis

• Greater concern for the environment

• Climate change

• Trade, market liberalization and emerging agri-food systems

• Emerging diseases

• Growing need for inter-sectoral linkages

21

1.46

1.47

1.48

Emerging challengs (cont’d…)

• Changing expectations from science, technology and innovation

• Underinvestment in agriculture and agricultural research

• Technological advances in biotechnology and ICT

• Globalization of private agricultural research and innovation

• Meeting commitments and targets

Main messages

• Approach to research is changing

• What constitutes R4D systems (organizations and institutions) has changed

• Emerging challenges require R4D systems to be dynamic and flexible

Thank you!

22

Session 1: Notes to trainers: Paradigm shifts in agricultural research and development and emerging challenges

1.1 Introduction

During much of the 1970s and 1980s, investments in agricultural research were largely motivated

by concerns about growing population, a finite resource base, import substitution and food security

at both global and national levels that required a clear focus on increased food productivity. In the

1980s, natural resources management and environmental preservation received much higher priority

in the research agenda, as well as food safety in the industrialized countries. In the recent past, with

the advancement of the Millennium Development Goals (MDGs), poverty alleviation has come to the

forefront as one of the developmental goals. At present, the major goals of agricultural research are:

to produce agricultural technologies to contribute to rapid economic growth; to provide options for

effective adaptation to a rapidly changing global economy and changing policies; to address emerging

environmental concerns and to contribute to the reduction of poverty (and food and nutritional security)

by increasing the supply of staple products and by increasing the international competitiveness of

national economies (Rajalahti et al. 2008).

For a considerable period, the public sector research investment and research policy has focused on

national agricultural research organizations/institutes (NAROs/NARIs). In this paradigm, public funds

were provided as a block grant, usually through the Ministry of Agriculture, to a centralized research

department or institute who then set research priorities and executed research through a network of

research centres under the control of NARO/NARI. In the 1990s, this paradigm has been challenged,

since it failed to consider a variety of other public and private organizations that are involved in

research policymaking and research execution (Byerlee 1997).

The research approach was also challenged, as the traditional approach (often referred to as the top–

down approach) to agricultural research and development was not having significant impact on the

development of small-scale agriculture. The researchers and development practitioners argued that

an appropriate technology could only be developed if it was based on full knowledge of the existing

farming system and livelihood system, and technologies should be evaluated not only in terms of

their technical performance in specific environments, but also in terms of their conformity with the

objectives, capabilities and socio-economic conditions of the target group of farmers. As a response to

these challenges, there is a gradual evolution of the central source model of innovation of the 1970s

and 1980s to the current agricultural innovation systems approach. This evolution occurred as a result

of the identified weaknesses of the predominant paradigm of the time, and the emerging challenges

and needs of the society.

Over the years, the agricultural R&D arena has seen a number of paradigm changes and transformations.

In this chapter, we will first discuss the reform agenda within the agricultural R&D arena, then the

paradigm shifts and the changes in the global food systems. Currently, the knowledge generation,

dissemination and the utilization process within the agricultural sector is guided by four complementary

and mutually reinforcing principles. They are the innovation systems perspective, value chain

approach, impact orientation and research for development. These concepts are briefly discussed so

that the reader is familiar with these developments and effectively use this understanding in developing

winning proposals. However, it is worth noting that impact orientation and research for development

are implicit in the concept of innovation.

23

1.2 Reform agenda within agricultural R&D

The policy and institutional context within which agricultural research and innovation occurs have

changed dramatically over the years. Rapid changes continue to take place in the structure and authority

of governments, the global economy, the structure of the farming sector and in the global and local

food industries. The institutional landscape is also changing dramatically with the third parties (such

as non-governmental organizations, farmer organizations and civil society organizations) playing an

important role in agricultural R&D.

Ongoing reform agenda within the agricultural R4D includes:

Orientation of research to be more systems based, outward looking, client oriented and, impact •

driven

Redefinition of the role of government•

Decentralization and privatization of agricultural R4D.•

Broader and active stakeholder participation and pluralism in service provision•

Increased recognition of cross-sectoral linkages•

Globalization of research and emergence of regional, continental and global coordinating bodies•

Increased use of networks and partnerships •

New funding arrangements including separation of financing from service provision and research •

execution

Commercialization and market orientation of smallholder agriculture and•

Changed attitude and mindset of the change agents (research, extension and other service •

providers)

Given the sweeping reforms that are taking place, the R&D systems are facing a transition period in

which they will need to restructure themselves, confront new demands, and adjust to new political,

scientific, institutional and economic environment.

1.3 Emerging agrifood system

The last several decades have also seen a profound change in the nature of the global food system.

These changes include:

Massive increase in the volume of food moved across national borders (both formal and informal)•

Rapid rise in supermarkets globally•

Economic concentration in the super market sector•

Creation of a multiplicity of private standards, often built on top of public standards•

Rise in third party certification of food production and entire supply chain•

Development of new technologies designed to extend shelf life of agricultural products•

Shift towards non-price competition among super market chains•

Greater differentiation of food products by class and •

Development of new forms of (contractual) relationships between suppliers and buyers•

These changes offer both challenges and opportunities to the smallholder producers. In some instances,

they can squeeze small producers out of certain markets, contributing to greater poverty and inequality.

On the other hand, if the smallholder farmers respond positively, this can offer new sources of income

and a marked improvement in the quality and safety of food.

24

1.4 Paradigm shifts in agricultural R&D

Agricultural research and development has been undergoing paradigm shifts over the years which is

in fact affecting their organizational structure, management style, as well as the way business is done.

We have seen a shift from a single commodity and mono-disciplinary base to an innovation system

and a multidisciplinary based approach together with a change from top–down research model to

participatory approach to research for development.

The system thinking is not new to agricultural research and development. It has been there since

the 1970s when a significant shift in paradigm occurred by moving away from the top–down, linear,

technology development and transfer model to the introduction of farming systems approach (FSA).

Since then, the application has evolved gradually to the various participatory approaches to the current

innovation systems approach. Now the use has been extended to the application in the organizational

analysis resulting in the ‘Agricultural Innovation System’ concept. This evolution is traced in Figure 1,

and it is the result of the changing needs and expectations of the society.

Source: Anandajayasekeram et al. (2005). Figure 1. Evolution of systems thinking and its application in agriculture.

Framework for organizational analysis

NARIs — Focus on generation of knowledge (Public sector research institutes only)

Agricultural Innovation System (AIS) Focus on knowledge generation, diffusion and

application

National systems framework - National agricultural

Research system (NARS) - National agricultural

Extension system (NAEs) - National Agricultural

Education and training systems (NAES)

Focus on generation of

knowledge Agricultural Knowledge and Information System (AKIS) Focuses on knowledge

generation and diffusion

Farming systems approach (FSA) Focus on research, ext. and

training

Farming systems development (FSD) R+E+T+Policy +

Institutions

Agricultural research for development (AR4D)

Framework for technology development

Cropping systems

Farming systems

Household production system

Farming systems research (FSR) (Focus on research)

25

The origin and application of the innovation systems perspective (ISP) in agricultural research can

be traced to a number of sources. These include: the successful application of the concept in the

industrial sector of the developed economies, the multiple source of innovation model for agricultural

research and technology promotion as suggested by Biggs (1989); the inadequacy of the linear model to

explain the actual process of innovation in the real world; the inadequacy of the existing organizational

frameworks to be all inclusive in terms of the coverage of the various actors; and the increasing demand

for demonstrated developmental impacts and the expanded mandate and expectations from the R&D

communities (research for development).

The main attraction of innovation systems framework stems from the fact that: it recognizes innovation as

a process of generating, accessing and putting knowledge into use; explicitly recognizes the interactions

and knowledge flows among different actors in the process; emphasizes that institutions are vital in

shaping the nature of these innovations and learning as a means of evolving new arrangements specific

to local contexts (Sulaiman 2008).

1.4.1 Innovation, innovation system (IS) and innovation systems perspective (ISP)

In the literature, different authors have defined the term innovation differently (ECm 1995; Drukker

1998; OECD 1999; Quintas 1977 cited in ISNAR 2001). The simplest definition is ‘anything new

introduced into an economic or social process’ (OECD 1999). The most useful definition of innovation

in the context of R&D is ‘the economically successful use of invention’ ‘(Bacon 1998). Here invention

is defined ‘as a solution to a problem’. This allows us to make distinction between knowledge and

innovation. Taking a brilliant idea through, on an often painful journey to become something which is

widely used, involves many more steps and use of resources and problem solving on the way.

In the past, science and technology generation were equated with innovation. It is crucial in

recognizing that innovation is strongly embedded in the prevailing economic structure, which largely

determines what is going to be learned and where the innovations are going to take place. Moreover,

such innovations are not limited to technological (both product and process) innovations only but

also include institutional, organizational, managerial and service delivery innovations. This also

emphasizes the notion that the responsibility of agricultural research organizations does not end with

the production of new technology or knowledge only. They can claim success when their ‘innovations’

are being disseminated, adopted and used (Chema et al. 2001).

Innovations are new creations of economic significance. They relate to the production of new knowledge

and/or new combination of existing knowledge. The critical point to note is that this knowledge cannot

be regarded as innovation unless it is transformed into products and processes that have social and

economic use (Edquist 1997). This transformation does not follow a linear path but rather characterized

by complicated feedback mechanisms and interactive relations involving science, technology, learning

production policy and demand. The use of the term ‘innovation’, in its broadest sense, covers the

activities and processes associated with the generation, production, distribution, adaptation and use

of new technical, institutional and organizational, managerial knowledge and service delivery (Hall et

al. 2005).

The thinking until the early 1990s was that innovations were created by knowledge and technology

production processes and through formal R&D initiatives by firms and technology creating agents

such as universities and public–private research institutes. The assumption was that the market would

draw upon the technological resources it needs, as and when necessary. The demand for knowledge

26

would be identified by the formal R&D systems, produced and passed down to those who necessarily

apply it because of its usefulness (Hartwich and Meijerink 1999). In reality, however, innovations are

not only associated with or stem from major scientific discoveries, but also often develop as a fairly

minor scientific and technological advances and can occur without any research (e.g. through learning

and adaptation process). Therefore, innovations can be generated by different organizations, group or

individuals and the conventional research institutions is only one such entity.

Innovation system

An innovation system is a group of organizations and individuals involved in the generation, diffusion,

adaptation and use of new knowledge and the context that governs the way these interactions and

processes take place. In its simplest form, an innovation system has three elements: the organization

and individuals involved in generating, diffusing, adapting and using new knowledge; the interactive

learning that occurs when organizations engage in these processes and the way this leads to new

products and processes (innovation); and the institutions (rules, norms and conventions, both formal

and informal), that govern how these interactions and processes take place (Horton 1990). People

working on similar issues, be it in a specific commodity sector, at a particular location or in any

problem area, tend to form a chain or network that can be described as innovation system.

Agricultural innovation system

A collaborative arrangement bringing together several organizations working towards technical change

in agriculture can be called ‘Agricultural Innovation System’. Such a system may include the traditional

sources of innovations (indigenous technical knowledge); modern actors (NARIs, IARCs, advanced

research institutions); private sectors including agro-industrial firms and entrepreneurs (local, national

and multinationals); civil society organizations (NGOs, farmers and consumer organizations, pressure

groups); and those institutions (laws, regulations, beliefs, customs and norms) that affect the process

by which innovations are developed and delivered. Agricultural innovation system can be defined

at three levels: national, commodity-based, and intervention-based. A typical national agricultural

innovation system is presented in Figure 2. An AIS within an agrifood chain is presented in Figure 3. An

intervention-based innovation system can be developed based on the nature of the problem and the

context in which the innovation is applied (see section 5 for details).

Intervention based innovation system

It is important to make sure that the innovation system is not confused with the invention system.

Innovation system incorporates the invention system as well as the complementary economic processes

required to turn invention into innovation and subsequent diffusion and use. Innovation systems do

not occur naturally; it is the problem situation that defines a particular innovation opportunity. Hence,

innovation systems are created for a purpose, they will change in content and patterns of interaction

as the problem sequence evolves and they can be constructed at micro- and macro levels. Thus,

although the innovation systems can be defined at different levels (national, sectoral, commodity and

problem/intervention), the most relevant innovation system is the one that is constructed to address

a particular problem. As Antonelli (2001, 2005) argues, innovation systems are constructed to solve

‘local’ innovation problem and they are constructed around a market problem (along the value chain)

that shape innovation and not problems that shape the growth of science and technology.

27

Source: World Bank (2007). Figure 2. A national agricultural innovation system.

Innovation systems are constructed to address specific problems. These systems are very specific in

nature and deal with the connection between the relevant components of the ecology as well as ensure

that the flow of information is directed at a specific purpose. Depending upon the problem at hand,

there can be multiple innovation systems supported by the same innovation ecology. Moreover, since

the solution of one problem typically leads to different and new problems, we would also expect that,

as the problem evolves, the actors in the system as well as their interconnectedness will also vary.

Thus, while the ecologies are more permanent, the problem-focused innovation systems are transient

or temporary in nature. Once a particular problem sequence is solved, the associated system can be

dissolved. The dynamism of an economy/value chain depends on the adaptability with which innovation

systems are created, grow, stabilize and change as problem sequence evolves (Metcalfe 2008, 442). A

problem-focused innovation system can be trans-boundary in nature or cut across national boundaries

and may be spatially unconstrained. This problem-focused, transboundary, and dynamic nature of the

innovation system is the most relevant one for the R&D community.

Linkages to other economic sectors

Linkages to general science and technology

Linkages to international actors Linkages to

political system

Agricultural value chain actors and organizations

Input suppliers

Agricultural producers

* Different categories

Trade, processing, wholesale, retail

Consumers

Agricultural research system

* Public sector * Private sector * Third sector

Agricultural education system

* Primary/secondary * Post-secondary

Agricultural

advisory services * Public sector * Private sector * Third sector

institutions

Agricultural research and education systems

Informal institutions, practices and attitudes Examples: Learning orientation; trust; communications; practices; routines

Integration in value chains

Political channels

Stakeholder platforms

Agricultural policies and investments General agricultural policies and specific agricultural innovation policies

28

Source: Anandajayasekeram et al. (2005). Figure 3. AIS in an agrifood chain/agri business system.

Innovation systems perspective

Innovation systems perspective implies the use of innovation lens in the design, implementation and

evaluation of the activities of the various actors involved in the innovation process. Innovation systems

perspective (ISP) sees the innovative performance of an economy as depending not only on how

individual institutions (firms, research institutes, universities etc.) perform in isolation, but on how

they interact with each other as elements of a collective system and how they interplay with social

institutions such as values, norms and legal frameworks. ISP suggests the analysis of three elements:

the components of the system, principally its actors; the relationships and interactions between these

components; and the competencies, functions, processes and results such components generate.

Therefore, the analytical implications of ISP are that there is a need to consider a range of activities and

organizations related to research and development and how these might function collectively and the

need to locate R&D planning and implementation in the context of norms and the cultural and political

economy in which it takes place, i.e. the wider institutional context.

The key features of ISP are (Hall et al. 2005):

Focus on innovation (rather than research/technology/knowledge) as its organizing principle; •

Helps to identify the scope of the actors involved and the wider set of relationships in which •

innovation is embedded;

Escapes the polarized debate between ‘demand driven’ and ‘supply push’ approaches;•

Recognizes that innovation systems are social systems, focusing on connectivity, learning as well •

as the dynamic nature of the process;

Leads us to new and more flexible organizations of research and to a new type of policymaking •

for science, technology and innovation;

Emphasizes that partnerships and linkages are integral part of the innovation system;•

Emphasizes that learning and the role of institutions are critical in the innovation process; and•

The dynamics do not depend on the agents ‘expanding the frontier of knowledge’ but on the •

innovative abilities of a large number of agents. This dynamics depends on the strength of

information flows and the absorptive capacity of the individual agents of institutions and of

Agroindustry (Input supply)

Agricultural production

(Farm production)

Agro industry (Product marketing)

Processing

Value adding

Marketing

Enabling environment Political stability, law and order, infrastructure,

governance, favorable micro -

macro and sectoral policies, etc.

Facilitating Institutions Policies, legal framework, market, information, quality

control research, extension, training, credit, etc.)

Facilitating services Transport, storage, packaging, facilitating, equipment,

import and export, communication, promotion, etc.

29

society as a whole. The innovation processes depend on the interactions among physical, social

and human capital, but mostly on the absorptive capacity of individual agents (Ekboir 2004).

A good understanding of the concept of innovation, innovation systems and the innovations systems

perspective is vital to develop successful proposal as most of the funding agencies are looking for

developmental impacts of research.

1.4.2 Agricultural research for development (AR4D)

The agricultural research for development takes a systems approach that goes beyond integrated natural

resources management to encompass the domains of policies and markets and the effects that these

have on the productivity, profitability, and sustainability of agriculture. The four pillars of agricultural

research for development and their important interactions are presented in Figure 4. The procedure

recognizes that the general approach to rural transformation involves intensification of subsistence-

oriented smallholder farming systems, better management of natural resources while intensifying their

use, developing more efficient markets and enabling policies.

Figure 4. The 4 pillars of ARD and their important interactions.

Organizational

and institutional chain

Knowledge

management and

information sharing

Capacity

building

M&E and

impact assessment

Intensifying smallholder

farming Developing appropriate

policies

Sustainable NRM

Developing efficient market

30

Agricultural research for development requires additional mechanisms to foster integration of these

four dimensions and a new way of doing research and development. Therefore, the support pillars of

agricultural research for development include:

Promotion of organizational and institutional change to enable cross-disciplinary research and •

development and multi-institutional collaboration.

Capacity building of the various stakeholders (farmers, scientists, and other relevant stakeholders)•

Information and knowledge management and•

Continuous monitoring and evaluation and systematic approach to impact assessment.•

The agricultural research for development in fact utilizes the various participatory methods and tools.

The four key steps in the agricultural research for development process are team organization, defining

the system of interest, identifying strategies, and plan formulation (Figure 5). These steps are discussed

in the following sections based on material prepared by International Centre for Development-oriented

Research in Agriculture (ICRA).

Figure 5. The four phases of the ARD procedure.

Phase I: Team organization

The AR4D procedure starts from the assumption that one or more organizations (including your own)

and other stakeholders have identified a problem or area of concern, or an idea for intervention.

It also assumes that addressing this problem requires concerted action of these organizations and

stakeholders. This may require a team of professionals from these organizations, comprising specialists

in the various disciplines needed to address the problem. It is assumed that by using the various

diagnostic procedures the ‘clients’ and stakeholders have agreed on a sufficiently well-defined specific

problem. Clear planning requires that your team develops a good understanding of the problem

statement and the output that the client expects at the end of the process.

Problem

Research

proposals

Organizing the team

Defining the system

of interest

Formulating research

plans

Identifying strategies

I

III

II

IV

Report

interation interation

31

At the end of this phase, the team should have produced the following outputs:

Team is composed, mandates are defined, and resources are made available (at least for planning)•

An agreed upon team work procedure established•

The problem is clearly stated and the expected output is clearly defined•

Work plan is formulated and approved by all partners•

A mechanism for monitoring is established•

Phase II: Define the system of interest

Here the team looks at policy issues, markets, institutional issues and other macro-development in

and outside agriculture that may have an influence on the problem and on attempts to solve it. It

is important to identify the ‘system’ that needs to change in order to address the problem that was

defined in phase I. We have to look at all elements needed for the change within the mandate of the

stakeholders involved. It is of little use to suggest changes that the stakeholders do not have the power

to change or influence.

At the end of this phase, the following outputs must be in place:

Description of how the wider ‘macro trends’ influence the problem•

Redefinition or further elaboration of the problem as seen from different perspectives•

Demarcation of the ‘system of interest’•

Phase III: Identify strategies

Here there is need to engage all stakeholders involved in the ‘system of interest’ defined in phase II

to identify strategies that will bring about the desired changes, under different scenarios based on the

external factors influencing the system of interest. There may be also a need to stratify the target group

based on resource endowments, capabilities, strategies and vulnerabilities. It is also important to assess

the anticipated effect of these alternative strategies on the environment (sustainability), vulnerable

groups (social equity) and the competitiveness of the enterprises of the various stakeholders in the

system of interest.

If this ‘screening process’ shows that strategies have anticipated negative effects, then these need to

be addressed through accompanying measures or the strategy should be dropped. Agreeing to some

concrete strategies may usually require compromise between different stakeholders. Each strategy

should be assessed in terms of their ecological, social and economic implications. These aspects

should be considered simultaneously. The relative importance of each of these analytical perspectives

is dependent on the problem and usefulness of each in terms of finding a possible/viable solution. This

integrated analysis should result in the following outputs.

Description of two or more alternative scenarios for future•

Definition of what changes are needed in the system of interest to address the problem under the •

different scenarios

Typology of the stakeholders affected differently by the problem who require different strategies•

Collective strategy to achieve changes in the system of interest that address the problem•

Careful documentation of the analysis completed.•

Phase IV: Formulate plans

At this stage, it is necessary to list the development and research activities needed to realize the strategy.

The contribution of each stakeholder in the implementation of the agreed upon strategy defined in

32

Phase III is identified. As available resources are usually not enough to implement all activities, there

may be a need to prioritize the list of activities/options identified. The criteria for prioritization must

deal with the balance between the extent to which each activity is likely to contribute to the solution of

the problem, the cost and time needed for the activity as well as the risk of failure of the activity.

The final step is the formulation of convincing development and research proposals for the activities

of highest priority; and mobilization of resources to implement them. The process of implementation

(based on the operational plan), monitoring, evaluation and the eventual impact assessment of the

intervention needs to be worked out as part of the planning process. As most participants are familiar

with the participatory approaches to knowledge/technology development and transfer process, it may

be possible to easily integrate the missing elements from the AR4D process described in this section.

But a clear understanding of the process will certainly assist in the development of convincing/winning

project proposals.

It is important to ensure that the innovation system perspective, value chain analysis, research for

development and impact orientation are effectively integrated in the proposal.

1.4.3 Value chain

A value chain describes the full range of activities required to bring a product or service from conception,

through the different phases of production, delivery to final consumers, and final disposal after use

(Kaplinsky and Morris 2000). It is worth noting that production is only one of a number of value-added

links in the agrifood chain (Figure 6). Some people refer to this chain as from hoe (plough) to the finger

(fork). A simple value chain has four basic links.

Figure 6. Value links in the agrifood chain.

In the real world, value chains are much more complex than this simple depiction. In many circumstances,

intermediary producers in a particular value chain may feed into a number of value chains.

Agricultural value chains are defined by a particular finished product or closely related products

and includes all firms engaged in input supply, production, transport, processing and marketing of

the product, and their associated activities, interactions and institutions governing the activities and

interactions. It entails the addition of value as the product progresses from input supply to production to

consumption. It includes input suppliers, producers, itinerant collectors, assembly traders, transporters,

wholesalers, processors, exporters, and retailers. The key issue addressed in value chain analysis is

vertical coordination: coordinating and harmonizing the vertical stages of production, transformation

and marketing

Design Production Marketing Consumption and

recycling

Transformation

Packaging

Processing

Actual sale

33

Porter (1985) distinguished two important elements of a modern value chain analysis:

Various activities which were performed in particular link in the chain and•

Multi-linked value chain or the value system. •

Both these elements are subsumed in the modern value chain descried in Figure 7.

Figure 7. Agricultural food chain: Value adding.

In many developing countries, there is heavy emphasis on the commercialization of smallholder

production system; and production is increasingly becoming market oriented. In order to reap the

immediate benefit, it is important to understand the nature, structure, and the dynamics of the value

chain related to the various enterprises engaged in by the smallholder farmers. Given the new agricultural

innovation system perspective, we need not only understand the dynamic but should also focus on the

enabling environment, facilitating institutions as well as services associated with a given value chain.

1.5 Emerging challenges

In the previous sections, we discussed the organizational and institutional transformations taking place

within the agricultural research for development and the associated paradigm shifts to address the

broadened agricultural agenda. In addition, the system is also confronted with a number of emerging

challenges which shapes the priority agenda. Some of the key challenges currently facing the R&D

communities are as follows:

1.5.1 Emerging food and energy crisis

In the recent past, global food prices are increasing at an unprecedented rate and analysts say that they

will continue to remain high for a considerable period. Both the demand side and supply side factors

contributed to the current price crisis. The demand side factors include: economic growth and the

associated changes in life style and eating habits in many countries; diversion of food crops (maize,

Consumer

Distribution, exporting

Marketing

Processing and packaging

On-farm production

Input

Information

Value addition

34

sugarcane) for making biofuels: declining world stock piles, financial speculation in commodity markets

(a collapse of the financial derivatives market); and of course the increase in population (although at

a slower rate). The supply side factors include: increased fuel and fertilizer prices and the associated

increase in cost of production (and low input use); biofuel subsidies pushing production towards biofuel

rather than food; idle crop land under a conservation program, export bans and tariffs by many grain

exporting countries; production shortfalls from natural disasters and the long-term effects of climate

change; trade liberalization making many developing nations depend on food imports (subsidized)

which are cheaper; loss of crop lands due to mainly soil erosion, water depletion and urbanization and

finally declining investments in agriculture.

The continuing increase in fuel prices is pushing countries towards biofuels. As a result of rising energy

costs, inputs such as fertilizers become more and more unaffordable for small farmers who are at the

centre of response to the world food crisis. Transport costs have become higher and higher once again

resulting in higher consumer prices. Thus the rising fuel prices and the emerging food crisis are closely

linked.

1.5.2 Environment and climate change

Since the 1992 Earth Summit in Rio, it is generally accepted that the environmental agenda is inseparable

from the broader agenda of agriculture for development. Both intensive as well as extensive agriculture

lead to environmental consequences. To address the expected climate change challenges and impact,

R&D need to play a major role in increasing the adaptive capacity of the most vulnerable groups in

different regions. The climate change could create changes in the geographical production patterns,

as well as deterioration of natural resource base due to scarcity of water and rising temperature. It will

also affect parasites like the tsetse fly and parasitic diseases such as malaria. With the increased risk of

droughts and floods due to rising temperatures, crop yield losses are imminent. World agricultural GDP

is projected to decrease by 16% by 2020 by global warming.

Although SSA produces less than 4% of the world green house gases, the region’s diverse climates and

ecological systems have already been altered by global warming and will undergo further damage

in the years ahead. Sahel and other arid and semi-arid regions are expected to become even drier. A

third of Africa’s peoples already live in drought-prone regions and climate change could put the lives

and livelihoods of an additional 75–250 million people at risk by the end of the next decade (Africa

Renewal 2007). Climate change will create new food insecurities in the coming decades. Low income

countries with limited adaptive capabilities to climate variability and change are faced with significant

threats to food security.

1.5.3 Trade, market liberalization and the emerging agrifood system

The global and national food systems are increasingly being driven by consumer interests, changing

consumption patterns, quality and safety concerns and the influence of transnational corporations and

civil society organizations. The changes in the emerging food systems such as rapid rise and economic

concentration in supermarkets need for quality standards; a shift towards non-price competition among

supermarket chains, biosafety issues and the development of new forms of (contractual) relationships

between suppliers and buyers offer both challenges and opportunities. They can either squeeze small

producers out of certain markets contributing greater poverty and inequality or can offer new sources

of income and market improvement in the quality and safety of food.

35

1.5.4 Emerging diseases

The incidence and impacts of diseases such as HIV/AIDS and malaria are well documented. Additional

threats and challenges are posed by emerging diseases. Approximately 75% of emerging diseases are

transmitted between animals and human beings; the increasing demand for meat increases this risk of

transmission. Serious socio-economic consequences occur when diseases spread widely within human

and animal populations.

1.5.5 Growing need for intersectoral linkages

One of the major constraints to getting agriculture moving in SSA is the general lack of comprehensive

policies and weak intersectoral linkages. Now there is growing awareness that a number of sectors such

as agriculture, education, health, water and energy are very closely linked. Thus any agenda to transform

the smallholder agriculture should follow a multisectoral approach and capture the synergies between

technologies (seeds, fertilizer, livestock breeds); sustainable water and soil management, institutional

services (extension, insurance, financial services) and human capital development (education and

health)–all linked with market development (World Development Report 2008).

1.5.6 Changing expectations of science and technology and innovation

Over the years, there has been a significant change in the expectations of science and technology and

innovations, from increasing crop and livestock productivity to creating competitive responsive and

dynamic agriculture, that directly contribute to the Millennium Developmental Goals.

1.5.7 Underinvestment in agriculture and agricultural research

Public spending on agricultural research as a proportion of agricultural GDP in Africa declined from

0.93 to 0.69% between 1980s and 1990s (ECA-OECD Review 2005). The current average level of

public expenditure to support agriculture is around 4%. CAADP reports estimate that if the MDGs are

to be met, 10% of the national budget should go to the agricultural sector and at least 2% of the GDP

should go to national agricultural research and development by 2010.

1.5.8 Technological advances in biotechnology and ICT

Conventional biotechnologies have been around for a very long time, while genetic modification (GM)

technologies have emerged more recently. GM technologies are making rapid progress worldwide.

Biosafety is a highly technical field, which typically requires high initial investments for building the

necessary human resource capacity and institutional infrastructure (including laboratories and green

houses for risk assessment or testing and identification of genetically modified organisms).

The revolution in ICT technologies and increased access to them in developing countries is enabling

a variety of new approaches to capacity building and knowledge sharing and exploitation of these

opportunities require additional investments.

1.5.9 Globalization of private agricultural research and innovation

In the recent past, there is a trend towards globalization of private agricultural research. Drivers of

globalization of R&D are growing markets for agricultural products and agricultural inputs (reduced

restrictions on trade in agricultural inputs), new technological opportunities due to breakthrough in

36

biotechnology; improved ability to appropriate the gains from innovations, improved policy environment

for foreign investments and technology transfer (tax breaks); and growth in demand due to increased

income and policy changes (Pray 2008). If carefully nurtured and managed, this may offer additional

opportunities for public–private partnership to mobilize additional resources and to move the poverty

reduction agenda forward.

1.5.10 Meeting commitments and targets

Over the last several years, countries in the regions are committed to a number of targets and goals.

Under the United Nations Millennium Development Goals, targets are set for: reducing hunger and

poverty, achieving universal primary education, promoting gender equality, improving maternal

health and nutrition, combating HIV/AIDS, malaria and other diseases and ensuring conservation

and the enhancement of basic life-support systems including land, water, forests, biodiversity and

the atmosphere. There is increasing evidence to show that we will not meet any of the targets set for

2015.

In 2001, African heads of state adopted the strategic framework to develop integrated socio-economic

development framework for Africa—the New Partnership for Africa’s Development (NEPAD) under the

auspices of the African Union (AU). The agricultural agenda of NEPAD is driven by the comprehensive

African Agricultural Development Program (CAADP). This strategy calls for an annual growth rate of

6.5%. At least 10% of the national budget as defined in the Maputo Declaration (February 2003)

should be allocated to agriculture.

1.5.11 Global financial crisis

The current financial crisis is contributing significantly to the slow down of many countries resulting

in reduction in the capital availability at a time when accelerated investment is urgently needed in the

agricultural research and development arena. Although the current food and financial crisis developed

from different causes, these two crises have fed into each other and could have significant impact on

financial and economic stability and, political security (von Braun 2008).

The projected low economic growth is likely to have negative second-round effects for investment and

productivity with direct ramifications for food prices and food security around the globe. IFPRI (2008)

has projected that under slow growth and declines in agricultural investment, the prices of major

cereals increase significantly. According to projections in SSA, per capita consumption would be 10%

lower in 2020 and its share of the number of malnourished children will increase from one fifth in 2005

to one fourth in 2020. The study concluded that if the developing countries and investors can maintain

agricultural productivity and investment under recession, they can avoid many of the negative effects

of slower growth.

To sum up, there is a need for agriculturalists to grow intellectually and operationally from a narrow

focus on agriculture and technological research and dissemination to a better understanding of rural

societies and their needs. There is a need to seek greater understanding of alternative pathways for

rural economic development, placing the role of agriculture in perspective, and redefining the role,

mission, and strategy of the agricultural institutes and agents as facilitators of rural economic growth.

This calls for change in the mind-sets of the change agents and greater flexibility and creativity in

defining the agenda as well as in defining new public–private–civil society partnerships on the basis of

whatever is necessary to improve opportunities, productivity and income generation capacity of poor

rural households.

37

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von Braun J. 2008. Food and financial crises: Implications for agricultural and the poor. Brief prepared for the CGIAR Annual General Meeting, Maputo, Mozambique, December 2008. CGIAR (Consultative Group on International Agricultural Research), Washington, DC, USA.

Chema S, Gilbert E and Roseboom J. 2003. A review of key issues and recent experiences in reforming agricultural research in Africa. Research Report 24. ISNAR (International Service for National Agricultural Research), the Hague, the Netherlands.

Christoplos I, Farrington J and Kidd AD. 2001. Extension, poverty and vulnerability: Inception report of a study for the Neuchâtel Initiative. Working Paper 144. ODI (Overseas Development Institute), London, UK.

Clark NG. 2002. Innovation systems, technology assessment and the new knowledge market: Implication for the third world development. Journal of the Economics of Innovation and New Technology 11(4–5):353–368.

Conway G. 1998. The doubly Green Revolution: Food for all in the 21st century. Penguin Books, New York, USA.

Edquist C. (ed). 1997. Systems of innovation, technologies, institutions and organizations. Printer Publishers, London, UK.

Freeman C. 1982. The economics of industrial innovation. Frances Printer, London, UK.

Hall A and Nahdy S. 1999. New methods and old institutions. The ‘systems context’ of farmer participatory research in national agricultural research systems: The case of Uganda. AgREN Paper No. 93. Agricultural Research and Extension Network. ODI (Overseas Development Institute), London, UK.

Kaplinsky and Morris. 2000. A handbook for value chain research. Paper prepared for IDRC. IDRC (International Development Research Center), Ottawa, Canada.

Krebs V. and Holley J. 2002. Building sustainable communities through network building.

Lundvall BA. (ed). 1992. National systems of innovation: Towards a theory of innovation and interactive learning. Pinter Publishers, London, UK.

Metcalfe S. 1995. The economic foundations of technology policy: Equilibrium and evolutionary perspectives. In: Stoneman P (ed), Handbook of the economics of innovation and technological change. Blackwell, Oxford, UK.

Metcalfe S and Ramlogan R. 2008. Innovation systems and the competitive process in developing economics. The Quarterly Review of Economics and Finance 48:433–446

Positive Deviance: A new paradigm for addressing today’s problems today, 2005. Http://www.hpl.hp.com/personal/Barabar-Waugh/artciles/positive_deviance.html

Röling NG. 1988. Extension science. Cambridge University Press, Cambridge, Massachusetts, USA.

Rothwell R. 1992. Successful industrial innovation: Critical success factors for the 1990’s. Research and Development Management, 22/3:221–239.

Sulaiman VR. 2008. Extension from an innovation systems perspective. A paper presented at the IFPRI conference on advancing agriculture in developing countries through knowledge and innovation. Addis Ababa, Ethiopia, April 7, 2008

Wolf S and Zilberman D. 2001. Knowledge generation and technical change: Institutional innovation in agriculture. Springer.

Wycoff J. 2004. The big ten innovation killers and how to keep your innovation system alive and well. (www.thinksmart.com).

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39

Trainer’s guideSession 2: What sort of projects do donors like? When and when not to write a full proposal?

Session objectives By the end of this session participants will:

Be able to avoid writing projects that• donors do not like Be able to decide on the right time to• write a full proposal

Training materials Flip chart• White boards•

Assorted chisel marker pens•

Time needed 1.5 hrs

Method of facilitation

Activities Contents Time

Plenary presentation What donors want in projects and when to write a full proposal 40 minutes

Group exercise Participants share and answer in groups of four the structured true or false question

20 minutes

Plenary presentation Trainer leads participants in discussing answers to the group exercise

30 minutes

Break Health break 20 minutes

Handouts and reference materials

PPT: Introduction: What sort of projects do donors like? When and when not to write a full proposal

Structured True of False questions for group work

40

Session 2: Summary of presentation slides: What sort of projects do donors like? When and when not to write a full proposal 2.1

What sort of projects do donors or funders like?

2.2

• Thesis or academic proposal

• Competitive grants

• Proposal for donors

• To secure resources during annual planning

Whatever be the circumstance, you want your proposal to convince the reader

Circumstances under which scientists write proposal

2.3

• Most of the international funding for NARES researchers and extension workers come from development donors

• There are a few donor agencies specifically interested in research for generating knowledge

• E.g., Canada-based IDRC – International Development Research Centre

• For the most part, development donors are only interested in research results that can contribute to development goals and objectives i.e research for development (R4D)

Source of funding

41

2.4

44

• Projects that can make a marked, measurable and rapid improvement in the living conditions of poor or marginalized and vulnerable people

• Projects that can make a marked, measurable improvement in the environment

• Projects with low risks and high returns

• Projects that beneficiaries (end users) have themselves claimed as priorities, i.e demand-driven and client-oriented

Development donors want to give their support to …

2.5

5

• Proposals that offer a team composed of strong research partners whose experience and qualifications give them a comparative advantage over others to carry out the project i.emultidisciplinary and multi-stakeholder involvement

• Proposals whose level of detail indicates that the authors have given careful thought to the design and implementation of the project – Project logic

• Proposals with a modest yet realistic budget, that is within the means of the target donor

• Projects that are novel or innovative

Development funding partners want to give their support to … (cont’d)

2.6

• Over-ambitious projects that claim more than they can possibly achieve in the time specified and for the funds requested

• Projects that call for infrastructure and capital investment, unless the need for these can be very clearly identified and linked directly to the project activities

• Poorly written and poorly presented proposals i.e lack of clarity

Funders will not like ….

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2.7

77

When and when not to write a full proposal

• Preparing a concept note takes a fraction of the time needed to prepare a full proposal. Proceed to full proposal when;

• You are responding to a competitive grants program

• You have submitted an unsolicited (unasked for) concept note to a donor, who has responded by asking you to provide more information

• A funding partner/donor has asked for more than a 3–7 page concept note, and wants you to submit a full proposal

• The best basis for a full proposal is a good concept note

2.8What is a concept note?

• A concept note is a short version of a proposal

• It has the same structure as a full proposal

• It has fewer details and takes far less to prepare

• It is a useful format for getting your project ideas

• approved internally

• linked with the ideas of your partners

• communicated to busy donors

2.9When to prepare a concept note

• You are submitting a sole source proposal

• You want to find out if a donor is interested

• Your ideas are at a primary stage

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2.10

1010

Differences between a concept note and a full proposal

Annexes often required Annexes minimized

Budget details required including budget notes

Summary budget is adequate

End users and impact described in detail

Beneficiaries, impact summarized

Activities are written up in detail Activities summarized, in time line

Background section about 10% of total

Background section one page or less

Begins with a summary section Summarized in bullets (title, budget, etc.)

10 pages minimum, average 20 pages3–7 pages long

Full proposalConcept note

2.11 Moving from a concept note to a proposal

• You will need to add or expand several sections

• You will need to reassemble your project design team and partners to think through the additional details required to write a full proposal

• You now have a chance to make changes to the project that you described in your concept note

• So long as the basic concept of the project remains the same, you should feel free to make these changes in the light of evolving internal and external realities

2.12

Thank You!

44

Session 2: Notes for trainers: What sort of projects do donors like? When and when not to write a full proposal

2.1 Introduction—What sort of projects do donors like?

Most of the international funding for NARES researchers and extension workers come from development

donors, such as the World Bank and the African Development Bank (multilateral funders) and DfID,

USAID, CIDA, SIDA and NORAD (bilateral donors). There are a few donor agencies specifically

interested in research. One such is the Canada-based IDRC—the International Development Research

Centre. But for the most part, development donors are only interested in research results that can

contribute to their development goals and objectives.

Development funding partners want to give their support to the following:

Projects that can make a marked, measurable and rapid improvement in the living conditions of •

poor or marginal people. This means that to sell your project to a donor you will need to carefully

trace the path between the results of your research and how those results will make a difference

for the end users.

Projects that can make a marked, measurable improvement in the environment. This may have to •

do with preserving biodiversity, conserving water, improving soils, preventing erosion, etc.

Projects with low risks and high returns—i.e. are likely to achieve their objectives within the •

allocated time and budget and within the constraints of the location, while likely to yield

impressive benefits for the end users. As you are designing your project, you need to think

carefully about whether the situation in your location has elements that might render the project

outputs or impacts very difficult to achieve.

Projects that beneficiaries (end users) have themselves claimed as priorities. This means that you •

may need to get information about their needs and preferences from the potential end users of

your research.

Proposals that offer a team composed of strong research partners whose experience and •

qualifications give them a comparative advantage over others to carry out the project. Very few

projects (except very small ones) are nowadays implemented by just one organization. This means

that you will need to be making linkages with potential partners to complement your own in-

house skills.

Proposals whose level of detail indicates that the authors have given careful thought to the design •

and implementation of the project. This module will help you to include this level of detail.

Proposals with a modest yet realistic budget that is within the means of the target donor. The topic •

on budgets will help you to prepare budgets that are convincing to donors.

Projects that are novel or innovative. The first thing that a funding partner will ask when picking •

up a concept note or proposal is, ‘What’s new about this?’ You need to have a good answer to this,

early on in your proposal. One of the topics in this module will show you how to write a section

on ‘What Has Already Been Done’, so that you can be sure you are not repeating work done by

others.

Funders will not like all of the following:

Over-ambitious projects that claim more than they can possibly achieve in the time specified and •

for the funds requested. Although donors may not know your particular field of specialization in

45

detail, they have lots of project experience, and will have a good sense of what can and cannot be

done within a given time and budget.

Projects that call for the purchase of vehicles and computers, unless the need for these can be •

very clearly identified and linked directly to the project activities. As you can probably imagine,

funders often receive proposals that are little more than requests for these items, for the individual

use of the proposers.

Poorly spelled and poorly presented proposals. Nowadays, with spell-checks and computers, there •

is no excuse for turning in a shoddy proposal. At the same time, you should not go for something

too glossy—if you can afford to produce something really fancy, the funder may feel that perhaps

you don’t really need the money you are asking for!

2.2 When and when not to write a full proposal

Preparing a concept note takes a fraction of the time needed to prepare a proposal. So you should only

proceed to the development of a full proposal under the following conditions:

You are responding to a competitive grants program •

You have submitted an unsolicited (unasked for) concept note to a donor who has responded by •

asking you to provide more information.

A funding partner/donor has asked for more than a 3–7 page concept note, and wants you to •

submit a full proposal

In all other cases, you should start to write up your project ideas in the form of a concept note. Also,

the best basis for a full proposal is a good concept note. For these two reasons, we strongly recommend

that you learn how to write a convincing concept note.

Table 1. Differences between a concept note and a full proposal

Concept note Full proposal3–7 pages long 10 pages minimum, average 20 pagesSummarized in bullets (title, budget etc.) Begins with a summary section Background section one page or less Background section about 10% of totalActivities summarized, in time line Activities are written up in detail Beneficiaries, impact summarized End users and impact described in detailSummary budget is adequate Budget details required Annexes minimized Annexes often required

Thus, as you move from a concept note to a proposal you will need to add or expand several sections.

You will need to reassemble your project design team and partners to think through the additional

details required to write a full proposal. You now have a chance to make changes to the project that you

described in your concept note—you may want to change the sites, or the activities, or include new

elements in your design. So long as the basic concept of the project remains the same, you should feel

free to make these changes in the light of evolving internal and external realities—i.e. things that have

happened since you first thought of the project and discussed it with your peers.

46

Session 2: Exercise 1

Individual exercise on what sort of projects donors like

Please mark the following true or false

a. Funding partners will look favourably on proposals that have the potential to increase the incomes

of low-income smallholders or that recommends to smallholders various types of trees whose

fruits can be harvested, and that can be planted on hillsides to prevent soil run-off in the rainy

season. True False

b. Donors will never fund proposals unless more than one organization is involved in the

implementation of the project. True False

c. Donors will only fund projects with low risks and high returns. True False

d. Investors are always on the look out for interesting, unusual and innovative projects. True False

e. You should never include a request for computers in a project, for fear of looking greedy and

turning off your target donor. True False

f. You can help give your project an edge over others if you can show that the end-users of your

research are really eager to get its benefits. True False

See Annex 1 for answers.

47

Session 2: Exercise 2

Individual exercise on when and when not to write a full proposal

Answer the following questions. Use your pad and pencil to take notes

a. Give two occasions when it is appropriate to write a full proposal, rather than a concept note.

b. In a concept note, the first section consists of some bullets (giving the project title, total budget,

duration, partners, location etc.). What is the equivalent in a full proposal?

c. Name two other elements you would find in a full proposal that you would not find in a concept

note.

See Annex 2 for answers.

48

49

Trainer’s guideSession 3: Competitive grants program and how to respond and qualities of a convincing proposal

Session objectives By the end of this session participants will:

Understand the nature and content of different competitive grant programs •

Be able to decide on the right time to write a full proposal •

Know how to respond to calls for competitive grants•Internalize the qualities of a convincing proposal and be able to apply them in •their subsequent proposal writings

Training materials Coloured cards•

Flip charts •

White board and assorted chisel marker pens •

Time needed 2:55 hrs

Method of facilitation

Activities Contents Time

Plenary presentation Ask participants for their experience in competitive grants and identify those who have won any

Ask participants in groups of four to write down what they consider to be the five most desired qualities of a convincing proposal each qual-ity on one card

30

Plenary presentation Competitive grants programs and how to respond and qualities of a convincing proposal

1 hrs

Group exercise Competitive grants programs and how to respond and qualities of a convincing proposal

15 minutes

Plenary presentation Trainer leads participants in discussing answers to the exercise

30 minutes

Handouts and reference materials

PPT: Competitive grants programs and how to respond and qualities of a convincing proposal

Guidelines for group work exercise 2

50

Session 3: Summary of presentation slides: Competitive grants programs and how to respond and qualities of a convincing proposal 3.1

Competitive grants programs and how to respond…

3.2What are these programs?

• Calling for proposals and choosing the best, based on certain selection criteria

• This is a growing trend around the world

• It is used by national, regional and international funding sources

3.3Call for proposals

• Which organizations are eligible to compete?

• Deadline for submission of proposals

• Permitted length of proposals

• Format you should use for the proposal

• Topic or topics that are of interest—priorities

• Sites and locations that are of interest

51

3.4Call for proposals (cont’d…)

• Size of the grants available

• Required number and types of partners desired

• Goal(s) that the projects should address

• Desired impact

• Criteria that will be used to review the proposals and choose the winners—selection criteria

3.5 How should you respond?

• Read and re-read the call carefully

• Understand all the key points

• Follow the instructions to the letter

• Accept that the donor agency is telling you exactly what it wants

• Do not believe that somehow you know better than the funding agency and what it really wants

• Understand that bids from ineligible groups will not be read

• If the donor requires you to partner with a private sector group to qualify for a particular grants program, do not bother to apply unless you have such a partner.

3.6 Finding out about competitive grants programs

• Internet

• Physical visits

• Newspapers/Newsletters

• Colleagues

• Regular circulation

52

3.7

Qualities of a convincing proposal

3.8

• Something important needs doing right away!

• Some group of people are suffering and/or the environment is under grave threat

• We have a sensible, cost-effective approach to tackling the problem

• We have thought through all the details of the project

What are the hidden messages of a good proposal……

3.9

• We have collected the ideal team of people, qualified and experienced to do the work

• Our approach builds on what others have done before

• We are ready and eager to do the work

• If we do the work, our end-users will be significantly better off

• All that is needed is your support

What are the hidden messages of a good proposal (cont’d…)

53

3.10

• Explaining who will be responsible for disseminating results to end-users

• Explaining the conditions under which dissemination will take place

• Explaining the strength of interest of end-users in applying/using research results

Trace the logic that links your research results with the solution of an important problem….

3.11

• Explaining the difficulties that might prevent results being used – Risk factor

• Explaining at what stage (i.e. how many years after the start of the project) the application of results will start to be seen

• Explaining how and who will measure the extent to which your results were applied

Trace the logic that links your research results with the solution of an important problem (cont’d….)

3.12 Where to place your ‘silent’ messages…

We are ready and eager to do the work – all that is needed is your support

All sections

If we do the work, our end-users will be significantly better off

Outputs and impact

Our approach builds on the work that others have done before

Background

We have collected the ideal team to implement the project — they are highly qualified and experienced

Work plan and annexes

We have thought through all the detailsAll sectionsOur approach is cost-effectiveBudget

We have a good approach to do this important thing

Activities These are the people who need our help Beneficiaries

Something important needs doing right away! Background and goal and objectives

Implicit message to readerSection of proposal

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3.13

Thank you!

3.14

55

Session 3: Notes to participants: Competitive grants programs and how to respond and qualities of a convincing proposal

3.1 Competitive grants programs and how to respond

3.1.1 What are these programs?

Competitive grants programs are a growing trend around the world. Both national and international

funding sources now choose to spend at least part of their funds by requesting proposals and choosing

those they like the best, based on certain selection criteria.

Donors announce their interest in receiving proposals by issuing of a ‘call for proposals’ or ‘request for

proposals’ or ‘request for applications’. In these calls, the funders reveal a great deal about the type of

projects they want to fund. For instance, these calls will likely specify many, if not all, of the following

things:

Which organizations are eligible to compete?•

Deadline for submission of proposals•

Permitted length of proposals•

Format you should use for the proposal•

Topic or topics that are of interest•

Sites and locations that are of interest•

Size of the grants available •

Required number and types of partners desired•

Goal(s) that the projects should address•

Desired impact•

Criteria that will be used to review the proposals and choose the winners•

A number of examples of call for proposals are presented in Annex 12.

3.1.2 How should you respond?

The single most important thing about responding to a call for proposals from a donor is to read and

reread the call carefully, underlining all the key points, and then to follow the instructions to the

letter. One of the great advantages of the competitive grants programs from your point of view is that

the donor agency is telling you exactly what it wants. You do not need to guess. Nor should you second

guess—i.e. believe that somehow you know better than the funding agency what it really wants.

Believe every word in the request for proposals. Your submission will indeed be reviewed according

to the selection criteria, so you would be foolish not to follow them. Bids from ineligible groups will

not be read, so do not bother applying to a program for which you (and your partners) are not properly

qualified. For instance, if the donor requires you to partner with a private sector group to qualify for a

particular grants program, do not bother to apply unless you have such a partner.

In some of the later topics in this training module, we will be presenting you with a ‘generic’ proposal

format that you can use if:

(a) you are not responding to a call for proposals

(b) your organization does not have a preferred format, and

(c) your target donor has not suggested you use a format applied by his or her agency.

56

This generic format is no better than any other. But if you write your proposal using this format, you will

readily be able to adapt it to the needs of any research or development donor’s needs.

However, when you are responding to a call for proposals from a competitive grants program, we

recommend that you do not use this generic outline, but directly follow the instructions in the call. In

other words, believe the words of the donor, rather than what you learn in this training module!

3.2 Finding out about competitive grants programs

Because more and more funding agencies are using competitive grants programs, you need to know

about them. You can find out easily by carefully reading the web pages of the major donors in your

country every few months. You can, and should, visit the donor agencies that have offices in your

capital city, and ask them about any grant programs they have ongoing or planned for the future. Here

are just a few of the donor agencies likely to be supporting competitive grants programs. You will be

able to find their addresses in their web sites.

Bilateral development donors

Australia •

Canada•

Netherlands•

Sweden•

Switzerland•

United Kingdom •

United States •

China•

India•

Brazil•

Taiwan•

Japan•

Multilateral development donors

European Union•

African Development Bank•

Asian Development Bank•

Inter-American Development Bank•

International Fund for Agricultural Development •

The Consultative Group on International Agricultural Research (CGIAR) has started a number of new

initiatives recently. These are called ‘Challenge Programs’ and they attempt to bring together researchers

of all kinds from all types of organizations to work together to address some of the world’s biggest

development challenges. To be sure that all interested parties are involved, each of these programs

has a competitive grants element, and your organization may well be eligible to bid. You can find out

more about these programs by reviewing the CGIAR website at www.cgiar.org and reading up on the

Challenge Programs. At least two or three are now approved, and more are planned for the future.

57

3.3 Qualities of a convincing proposal

What are the hidden messages of a good proposal? A convincing proposal is one that convinces

your reader to provide funding for your project. All convincing proposals, regardless of size, or even

content, share the same key qualities. Although it does not say so in these words, all convincing pro-

posals strongly convey all of the following messages:

Something important needs doing right away!•

Some groups of people are suffering (and/or the environment is under grave threat)•

We have a sensible, cost-effective approach to tackling the problem•

We have thought through all the details of the project•

We have collected the ideal team of people, qualified and experienced to do the work•

Our approach builds on what others have done before•

We are ready and eager to do the work•

If we do the work, our end-users will be significantly better off •

All that is needed is your support!• Writing a research proposal to a development donor: These implicit messages need to be con-

veyed to both a development and a research project. In the proposal for a research project, you will

need to trace the logic that links your research results with the solution of an important problem that

is causing suffering for some group of people or has the potential to benefit some groups of people.

Tracing the logic may involve:

explaining who will be responsible for disseminating results to end-users•

explaining the conditions under which dissemination will take place•

explaining the strength of interest of end-users in applying/using research results•

explaining the difficulties that might prevent results being used•

explaining at what stage (i.e. how many years after the start of the project) the application of •

results will start to be seen

explaining how and who will measure the extent to which your results were applied• Where in the proposal do you convey the ‘hidden’ messages? Table 1 shows which sections of

the proposal convey these messages.

Table 1. Where to place your ‘silent’ messages

Section of proposal Implicit message to readerBackground, goal and objectives Something important needs doing right away! Beneficiaries These are the people who need our helpActivities We have a good approach to do this important thingBudget Our approach is cost-effectiveAll sections We have thought through all the details

Work plan and annexes We have collected the ideal team to implement the project—they are highly qualified and experienced

Background Our approach builds on the work that others have done beforeOutputs and impact If we do the work, our end-users will be significantly better offAll sections We are ready and eager to do the work—all that is needed is your support

58

Session 3: Pair exercise on qualities of a convincing proposal

Answer the following questions. Use your pad and pencil to take notes.

a. Where in the proposal would you show your interest in ensuring that end-users are benefiting

from the results of your research?

b. Name two things that you want readers to think and feel when they read your background

section.

c. In a research proposal, is the author required to show the potential impact of his or her research

results (outputs)?

d. Where in the proposal can you show that you have tried to anticipate everything that might

happen during the implementation of your project?

e. Can a proposal have as its goal both something to do with people and something to do with the

environment?

f. Do you think you need to ‘sell’ the quality of the people who will implement the project in your

proposal?

See Annex 3 for answers

59

Trainer’s guideSession 4: Proposal format and order of preparation

Session objectives By the end of this session participants will: Develop a proposal following a standard format•Know which parts of the proposal are prepared first and which ones are •prepared last

Training materials Flip charts•

White boards•

Assorted chisel marker pens•

Time needed 45 min

Method of facilitation

Activities Contents Time

Plenary presentation Ask participants to highlight the section of a proposal. After listening the section in their chronological order, the trainer then asks them to identify which ones are written first till the last

15 min

Plenary presentation Proposal format and order of preparation 25 min

Summary Trainer summarizes the session 5 min

Session 4 Switch to session four

Handouts and reference materials

PPT: Proposal format and order of preparation

60

Session 4: Summary of presentation slides: Proposal format and order of preparation4.1

Proposal format and order of presentation

4.2

22

Proposal format

• There are several formats of proposals

• Format is dependent on the funding agency

• Every donor/funding agency have their own preferred format or outline

• Despite the several formats, some sections are common in all proposals

4.3Generic proposal format

• The generic (conventional) proposal format has the following sections not necessarily the same order

1. Title

• Title is the first and most read part of a proposal.

• It tells the reader what the project is all about (focus of the proposal)

2. Executive summary (sometimes abstract)

• Summarized form of a proposal describing what the proposal is about and what will be accomplished

61

4.4

3. Introduction/background

Explains:

• What is the problem (problem statement)• Why is it urgent, (justification) • What has already been done (summary of literature review)• Identify the gaps that your research is addressing

4. Goal and purpose/objectives

• What are you going to do in the project? and

• What do you want to achieve?

Note: Sometimes this section is included under introduction

Generic proposal format (cont’d… )

4.5

5. Inputs

• Describes goods and services that you need to achieve your objectives (personnel, equipment, transport, chemicals etc.)

6. Activities/methods and work plan

• Describes the details of what you will do

• Explains how you will achieve your objectives

• Describes how you will schedule the implementation of what you will do

Generic proposal format (cont’d…)

4.6

7. Expected outputs

• What will be in place at the end of the project

• It is evidence which shows that resources were properly used

8. Beneficiaries and impact

• Who will benefit from the results/outputs?

• In what way?

• How will you measure the impact, and when will it be observed?

• What would be their contribution?

Generic proposal format (cont’d…)

62

4.7

9. Monitoring and evaluation • How can you track the project progress in terms

of implementation and promised results?• How will the project be assessed at its end?• Helps to take corrective action if the expected

results are not forthcoming as anticipated

10. Budget

• Shows how much it will cost and how the cost items were estimated

11. Logframe

• Project summary, aid to data collection for monitoring and evaluation

Generic proposal format (cont’d…)

4.8

Other sections in a proposal• Proposal can be biological or socioeconomicBe aware of the following sections:• Environmental and ethical issues• Gender concerns• Concerns for marginalized and vulnerable people• Hypotheses• Scope of the project• Sometimes priorities/subject matter is determined by

the funding agency

• Annexes: • CVs and academic transcripts of investigators• Sometimes detailed budgets• Maps• Strategic plans or medium plans, etc as required

4.9 Recommended order of preparation for a proposal

• Objectives• Inputs• Activities/Methods• Outputs• Budget• Beneficiaries, goal and impact• Monitoring and evaluation• Background• Summary• Review, editing, cover letter

63

4.10

Examples of donors’ proposal formats

Maendeleo agricultural technology fund

SECTION 1

• 1.1 Title

• 1.2 Summary (1/2 pages)

• 1.3 Problem statement and project rationale (1/4 page)

• 1.4 Technology(ies) under consideration (1/4 page)

4.11

• 1.5 Purpose and objectives (1/4 page)

• 1.6 Partnership and linkages (1/2 page)

• 1.7 Approaches and methodology (1.5 pages)

• 1.8 Social and environmental context of theproject (1/4 page)

• 1.9 Potential to generate social and economicimpact (1/4 page)

• 1.10 Potential for scaling up (1/2 page)• 1.11 Potential sustainability (1/2 page)

• (financial sustainability, social sustainability, environmental sustainability & institutional sustainability)

Examples of donors’ proposal formats (cont’d….)

4.12

• 1.12 Monitoring and evaluation (1/4 page)

• 1.13 Track record and legal status of host/leadinstitution (1/4 page)

• 1.14 Work plan and time frame (1 page)

• 1.15 Logical framework (1 page)

SECTION 2

• Budget

• Use the budget guidelines

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Session 4: Notes to participants: Proposal format and order of preparation

4.1 Proposal format and order of preparation

Proposal formats: Most donors have their own preferred format or proposal outline. Ask your target

donor before you start writing. If the donor does not have a preferred format, you may use that which

is used by your institute. If your institute does not have a preferred format, you might think about

instituting one, since it would be helpful if everyone in the institute was writing in a similar way. For

example, you might consider modifying the ‘generic proposal outline’ shown below.

Table 1. Generic proposal format

Summary (What is this proposal about?)

Background (What is the problem, why is it urgent, what has already been done?)

Goal and objectives (Why are you doing the project, and what do you want to achieve?)

Inputs (What things will you need to achieve your objectives?)

Activities/methods and work plan (What will you do? How will you achieve your objectives?)

Outputs (What will be in place at the end of the project?)

Beneficiaries and impact (Who will benefit from the results/outputs, in what way? How will you measure the impact, and when will it be observed?)

Monitoring and evaluation (How can you track the project progress in terms of implementation and promised results? How will the project be assessed at its end?)

Budget (How much will it cost?)

If you use this generic format, you should have no difficulty in repackaging the material (i.e. rearranging

the sections, and perhaps changing some of the terms) to suit the template or format used by any donor.

In addition to the sections shown above, you may also need some annexes to show supporting material

for your project. Some of these annexes might include:

a copy of a logframe for your project•

CVs for your implementation team•

Statements about past performance of your institute and your partners•

You will also need a cover letter to submit with your proposal.

Order of preparation: Although the proposal will be submitted in the order shown in Table 3, we do

not recommend that you prepare the sections in that order. We suggest that you prepare the proposal

in the order of steps shown in Table 2 below.

Table 2. Recommended order of preparation for a proposal

1. Objectives 6. Beneficiaries, goal and impact

2. Inputs 7. Monitoring and evaluation

3. Activities/methods 8. Background

4. Outputs 9. Summary

5. Budget 10. Review, editing, cover letter

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Notice that Step 10 is as important as all the others. Having your colleagues review your proposal a

little after it is finished will yield many useful suggestions for improving your proposal, and may make

the difference between convincing your donor or not.

This order of preparation ensures that you first concentrate on the ‘heart’ of the project—the five key

elements of the project design. Once you have those things clearly written down, you can start to write

some of the ‘selling’ parts of the proposal—i.e. the Impact and Background section. The Monitoring

and Evaluation section is separated from the heart of the project, because we assume that your institute

has a regular program of reviewing its ongoing projects. You will mention this in your proposal, along

with the specific issues about the monitoring and evaluation of this particular project. The Summary

is always written last, since you need to have all other sections finished before you can summarize

them.

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Session 4: Individual exercise on proposal format and order of preparation

Mark the following statements true or false.

a. You should always use the generic proposal outline when submitting a proposal to a

donor. True False

b. The Summary is always the first section in a project proposal. True False

c. You may have annexes in a full proposal. True False

d. The budget section of a proposal is always the last in the presentation, and so it should be worked

on last. True False

e. The outputs section is one of the places where you are ‘selling’ your project. True False

f. If you are describing a research project, the methodology you are using should be described in

the Activities section. True False

See Annex 4 for answers.

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Trainer’s guideSession 5: Project goal(s) and the project’s contribution

Session objectives By the end of this session participants will:Understand and appreciate the need of a good project goal•

Be able to write a relevant project goal•

Be able to establish appropriate and realistic project contribution•

Training materials Assorted markers•

Flip chart •

Time needed 30 min

Method of facilitation

Activities Contents Time

Plenary presentation A PowerPoint on project goal(s) and the project’s contribution 65 min

Participants’ reactions Participants are given an opportunity to ask questions or make contributions in relation to the topic 5 min

Group work Review examples of given project goals 15 min

Break Health break in preparation for session 5

Handouts and reference materials PPT: Proposal format and order of preparation

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Session 5: Summary of presentation slides: Project goal(s) and the project’s contribution5.1

Project goal(s) and the project’s contribution

5.2

22

Project title

• After identifying your niche area, then develop a title for the project

• Title is the first and most read part of a proposal

Importance of title

• Title gives the first impression of a proposal

• It influences vital decisions by the reader and predisposes (inclines) him/her either positively or negatively about the proposal

5.3 Role of a title in influencing acceptance of a proposal

• Reviewers of proposals form an initial opinion about a proposal from the title

• Confusing, clumsy, vague or inappropriate title induces the reviewers to develop negative opinion about the proposal and may remain biased against its content regardless of its worth

• Confusing or inappropriate title usually makes it difficult to understand the content of the proposal

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5.4Types of titles

• There are 3 types: Indicative, hanging and question titles

Indicative titles

• Most common type

• It states the subject of the proposal rather than expected outputs

• E.g. “Role of agricultural credit in alleviating poverty in eastern Uganda”

• Sometimes such titles become too long & clumsy

5.5

Hanging titles

• Hanging titles have two parts. A general first part followed by a more specific second part

• It may be useful to reword long, clumsy and complicated indicative title

• E.g. “Alleviation of poverty in lowland areas of Eastern Uganda: the impact of agricultural credit”

Question titles

• Are less commonly used and are acceptable, e.g. “Does agricultural credit alleviate poverty in Eastern Uganda?”

Types of titles (cont’d…)

5.6

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Guidelines for writing a good title• The title should not be wordy – should contain less

than 15 words• Make the most important words stand out, usually

by putting them first• Be faithful to the content of the proposal• Be accurate, concise and specific • Contain as many of the key words as possible and

be easy to understand• E.g. (1)“Adaptation of pedal thresher for small-

holder rice farmers”. • (2) “Recovering the degraded lands in eastern

Tororo district”• (3) “Development of rain water harvesting options

for Karamoja region”

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5.7

A title should not:

• Contain abbreviations or formulas

• Promise more than is in the proposal

• Be general

• Contain details that should appropriately come under another part of the proposal

• Contain unnecessary words such as “Some notes on…..”; “An investigation on ……….”

Guidelines for writing good title (cont’d…)

5.8

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• Goals are higher-order, lofty aspirations• Goals are large statements of what you hope to

accomplish• Often difficult to measure and articulate – requires

scaling down to target population• Expressions of things that we would like to improve

in our world• They create a setting for what you are proposing• In your proposal, you need to identify a goal to

which your project will contribute, even though that contribution may be very small

• You need to choose a goal which is common to your country, your institute and your donor

What is a goal?

5.9

• Alleviating poverty (increasing household incomes)

• Protecting or preserving the environment

• Enhancing biodiversity

• Improving infant and maternal nutrition

• Improving food security

Examples of a goal

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5.10

• First, it is the reason why you are doing the research or the project

• Second, it is the reason why the donor will fund your project

• Third, it is how your project can make a difference to one of your country’s problems, aspirations of the target population

Reasons for a project goal

5.11Beyond project outputs

Binnendijk, 2000

Outputs•Products and services

produced

Activities•Tasks personnel

undertake to transform inputs to outputs

Inputs •Financial, human, and material resourcesIm

plem

enta

tion

Gap

Intermediate •Intermediate effects of outputs on target households

Goal(Impacts)

•Long-term, widespread improvement in society

Res

ults

Immediate •Immediate effects ofoutputs on individuals

5.12 An example of selecting a goalProject• Our sample project is designed to test the nutritional

and economic advantages for Malawian farm families with less than 2 ha of land with aquaculture of tilapia species over a three year period. Its author got members of his design team together to brainstorm some goals to which this project might contribute, and how

Goals• Poverty alleviation• Household food security• National food security• Improved on-farm nutrition (women and children?)• Improved on-farm health (larger babies?)• Increased farm incomes• Decreased urban migration

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5.13

1313

Goals and questions to addressThey chose poverty alleviation• How many people qualify as owning less than 2 ha of

land? How large a sample would need to be tested to get meaningful results?

• What baseline data would need to be collected on the current situation of poverty in the area — income, expenditure for individual, household, whole target group, etc.? How much would it cost to do the pre-project testing? Who would carry out the survey?

• By how much could the project possibly increase household incomes under ideal circumstances? What would it take to mean that the families received no extra income at all? Could a reasonable range of possible increase be estimated?

• How soon could income improvements be seen?• How would those improvements be measured?

5.14

1414

Goals and questions to address –(cont’d…)

They chose household food security• Were households insecure before? If so, how

insecure? A pre-project survey would likely be needed to make any comparison

• What would happen if the fish died during the project?• Would the head of household likely sell the fish for

cash, rather than keep some or all for household consumption?

• How would household food security be measured? In number of meals eaten by the family? In calorie intake for all family members? Who would measure this?

• How much food security could the tilapia contribute under the best of circumstances?

5.15

Exercise

• Based on the thinking in our example, now take a little time to think about the possible goals you might select for a project like this one – i.e. a workshop on ‘How to Write a Convincing Proposal’. First list some possible goals, and then for the one you select, list some of the questions you will need to answer in your proposal.

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Session 5: Notes to participants: Project goal(s) and the project’s contribution

5.1 Proposal format and order of preparation

You are doing your research for a good reason. Development donors are spending their money for a

good reason. We call those good reasons ‘goals’. Goals are high-order, lofty aspirations—expressions

of things that we would like to improve in our world. The UN, for instance, in 2000 issued a set of 10

year Millennium Goals, the first one of which called for the world to unite to cut the rate of poverty by

half by 2010.

In your proposal, you need to identify a goal to which your project will contribute, even though that

contribution may be very small. And you need to choose a goal which is common to your country, your

institute and your donor. Here are some of the goals which you might select:

Alleviating poverty (increasing household incomes)•

Protecting or preserving the environment•

Enhancing biodiversity•

Improving infant and material nutrition •

Improving food security•

Your project will almost certainly have an effect on more than one of those goals, but we suggest that

you choose only one in your project proposal—and certainly no more than two. The reason is that you

will need to present in your proposal several details about how your project relates to the selected goal.

By choosing more than one, you double the work you will need to do.

Why does your project need a goal? For several reasons:

First, it is the reason why you are doing the research or the project•

Second, it is the reason why the donor will fund your project•

Third, it is how your project can make a difference to one of your country’s problems.•

You may feel that as a researcher, your main duty is to achieve important research results. But nowadays

that is not enough. As I have said earlier, today, and certainly if you want to attract funds from a

development donor, you need to show the link between your research results (i.e. your project outputs)

and the extent to which they might contribute to the goal(s) you have selected.

Let’s take an example to look at how you might go about selecting a goal. The sample project is

designed to test the nutritional and economic advantages for Malawian farm families with less than 2

ha of land of growing farmed tilapia in farm ponds over a three year period. Its author got members of

his design team together to brainstorm some goals to which this project might contribute, and how.

In addition to poverty alleviation, the team came up with six possible goals:

Household food security•

National food security•

Improved on-farm nutrition (women and children?)•

Improved on-farm health (larger babies?)•

Increased farm incomes•

Decreased urban migration•

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They picked two—poverty alleviation and household food security—to explore further, because these

were of great importance in their country. Here were their thoughts as they considered the two possible

goals:

For household food security

Were households insecure before? If so, how insecure? A pre-project survey would likely be •

needed to make any comparison.

What would happen if the fish died during the project?•

Would the head of household likely sell the fish for cash, rather than keep some or all for •

household consumption?

How would household food security be measured? In number of meals eaten by the family? In •

calorie intakes for all family members? Who would do this measurement?

How much food security could the tilapia contribute under the best of circumstances? •

For poverty alleviation

How many people qualify as owning less than 2 ha of land? How large a sample would need to •

be tested to get meaningful results?

What baseline data would need to be collected on the current situation of poverty in the area: •

income, expenditure for individual, household, whole target group, etc.? How much would it cost

to do the pre-project testing? Who would carry out the survey?

By how much could the project possibly increase household incomes under ideal circumstances? •

What would it take to mean that the families received no extra income at all? Could a reasonable

range of possible increase be estimated?

How soon could income improvements be seen? •

How would those improvements be measured? •

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Trainer’s guideSession 6: Project objectives, anticipated outputs and beneficiariesSession objectives By the end of this session participants will:

Write convincing project objectives•

Be able to write a relevant project goal•

State and describe relevant and appropriate project deliverables•

Training materials Assorted markers•

Flip chart •

Time needed 45 min

Method of facilitation

Activities Contents Time

Plenary discussion Ask participants to distinguish between project goals, objectives and outputs and show their relationship 10 min

Plenary presentation Project objectives and anticipated outputs 30 min

Summarizing key issues The trainer summarizes the main issues to consider when developing project objectives and expected outputs 5 min

Change of session Transition into session 7

Handouts and reference materials

PPT: Project objectives and anticipated outputs

Reading notes on project objectives and anticipated outputs

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Session 6: Summary of presentation slides: Project objectives, anticipated outputs and beneficiaries6.1

Project objectives and anticipated outputs

6.2 Project objectives and anticipated outputs

Objective? Goal?

Try and differentiate between goals and objectives and include both

• Goals are statements of what “you” hope toachieve at the end of the project

• Can be difficult to measure and articulate

• Project purpose reflects necessary outputs but notsufficient to achieve the goal

• Goals create the setting for what you areproposing

6.3Objectives and outputs (cont’d…)

Examples

1. To provide 500 mothers in Oromia Woreda with relevant information regarding child health and nutrition

2. To reduce the degree of malnutrition among young children in Oromia Woreda

3. To assist mothers in Oromia Woreda in learning how to effectively apply health and nutrition information to improve child health

4. To teach mothers in Oromia Woreda to evaluate changes in the health of their young children.

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6.4

Objectives and outputs (cont’d…)General objective• This is the purpose that your project intends to

achieveObjectives• The key element of your project’s design• They describe exactly what you intend to do • Get their meaning and wording exactly right• Do this with your design team of between three to five

people• Number your objectives, and use them to organize

later sections of the proposal• Collectively they should enable to achieve the project

purpose

6.5

What makes a ‘good’ objective?Specific

Measurable

Achievable

Realistic

Time-bound

Compare:

1. To enhance knowledge of market opportunities for fishermen

2. To provide fishermen with twice-weekly news bulletins about fish prices in all markets within a 20 mile radius

6.6

Good objective (cont’d…)Specific - Give clear details about what you

want to do Measurable - Give some sense of the scope of

what you intend to do and how it will be measured

Achievable - Make sure that your objectives are achievable within the budget you have asked for, and with the team of people you propose to implement the project

Realisti - Achievable within the context of the country – its climate and socio-political realities

Time-bound - Achievable within the time period of the project.

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6.7

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Example 1

Look at the following two examples:

1. Original: “To enhance the proposal-writing capacity of ILRI participants”

2. SMARTer: “To provide a 15-topic training program for 45 ILRI participants to improve their proposal-writing skills”

6.8Example 2

1. Original: “To develop drought resistant fodder varieties that can be grown with saline water”

2. SMARTer: “To develop at least two new drought-resistant fodder varieties that can be grown with 3 grams of salt per litre of water.”

6.9Project anticipated outputs

• Outputs of a project are those things that will be in place at the end of the project, that would not have existed without the project

• Outputs may be tangible (like a new building or a new publication) or intangible (like a skill or a new knowledge)

• You need to specify in your proposal all the outputs you anticipate and you will ‘deliver’ at the end of the project

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6.10Anticipated outputs (cont’d…)

• Outputs relate directly to your objectives

• Objectives clearly state what it is you want to do in your project

• In the outputs section you state what you expect will be in place at the end of the project, as a result of your efforts to achieve the objectives

• If your project is likely to have negative outputs of any quantity, you may want to reconsider the design of your project

6.11

Milestones – Intermediate outputsGood monitoring helps to identify intermediate results Milestones for the Gambia Caliandra ProjectMonth 6: - Baseline survey of current Caliandra

varieties and harvests in Gambiacompleted

Month 12: - Six new varieties planted together in atest pattern in at least 100 homegardens.

- Baseline survey published anddistributed to agricultural researchestablishments

Month 18: - Number of home garden tests sitesincreased to at least 200

- First harvest data collected by post-docs and collated at research station

6.12

Intermediate outputs (cont’d…)

Month 24: - All 500 test sites now operational- Second harvest data collected and

being analyzed

Month 30: - First draft of final report on varietalcomparisons completed

- Data on quantity of Caliandraobtained in three harvests beinganalyzed

Month 36: - Final report on varieties and harvestspresented at workshop bringingtogether donor, extension workers,researchers and farmers

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6.13Intermediate outputs (cont’d…)

Intermediate outputs or results will allow you, every six months, to see if your project is on track—to assess progress.

6.14

Writing about beneficiaries/ end users

6.15

Things that your readers want to know

• For whom is your research ultimately designed?

• Whom is your project trying to make better off?

• What sort of people are these?

• What are their circumstances now, without the project?

• How might their circumstances change, if the project is funded?

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6.16Understand the beneficiaries

• Sit with your design team, brainstorm about the potential end-users of your project outputs.

• Carefully sample the potential beneficiaries and confirm their characteristics and their needs through participatory surveys/interviews

• Understand their culture and attitudes towards the changes expected from the proposed intervention

6.17Understand the beneficiaries

• Poor urban consumers?

• Refugees from neighboring war-torn countries?

• AIDS orphans?

• Pregnant or nursing mothers?

• Unemployed youth?

• Landless laborers?

• Fishing communities? etc,etc.

Will your project have a positive effect on any of the following?

6.18Emotive realistic description

• Write a sentence or two about each group.

• Provide some statistics (with source, if at all possible)

• Provide details that make those people seem real to the reader.

• Describe the unemployed youth as ‘desperate’and ‘volatile’ groups, who can cause social unrest.

Emotively

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6.19

Emotive realistic description

• Providing some positive benefit for this group• Explain recent surveys suggesting half-a-million

AIDS orphans in your country• Most of these are heading families or living on their

own or trying to take care of other siblings, with or without the disease.

• These children often make do with only one substandard meal per day

• As a result they are severely malnourished, and unable to continue fending for themselves

• These few details may help the reader to identify with the plight of these poor people, and want to support your project, that may make a difference, albeit small, to their wellbeing

What may be most appealing to a potential donor?

6.20

Emotive realistic description

Here is a sample description of a group of target beneficiaries.

This project, which seeks to plant 5 million trees over a 3 year period, will achieve a variety of environmental benefits. It will provide urgently needed employment for an often over-looked group in province Y. The World Bank estimates that there are over 100,000 landless laborers in the rural areas of this highland province, who have lost their jobs in the South African mines, and are now urgently seeking alternative work……

6.21

Emotive realistic description (cont’d...)

In years of better rainfall, the larger farms might have absorbed many during harvest time, but three year’s drought has put a dent in this prospect. These laborers have been used to large pay checks in the mines, sending home significant remittances to provide food and education for their families. From being people who were admired in their home towns and villages, these men cannot now provide for their families and may become a liability to their communities.

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6.22

Emotive realistic description (cont’d...)

• It is hoped that the tree project will be able to offer at least part time jobs to as many as half of these laborers in the province.

• It is important to include a discussion of all the possible beneficiaries specially disadvantaged groups, like those out-of-work migrant miners.

6.23

Reference file

Start a file on beneficiary groups for all future project development. This file might contain useful statistics, newspaper articles, magazine clippings and other sources of news about various poor segments of your society. You will find that being able to quote from material in this file will greatly strengthen the quality of your writing about project beneficiaries and end-users.

6.24

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Session 6: Notes to participants: Project objectives, anticipated outputs and beneficiaries

6.1 Project objectives

The objectives of your project are the key element of your project’s design. They describe exactly

what it is you intend to do, if you receive the financial support you seek. Because of their importance,

you need to spend considerable time in getting their meaning and wording exactly right. We strongly

recommend that you do this with your design team of between three to five people. Brainstorming your

objectives will be much easier and more enjoyable than working out the language on your own.

Every proposal will have a separate objectives section. Many proposal readers may look at that section

first. That is one of the reasons for being careful to get the wording quite right. You are encouraged to

number your objectives, and use them to organize later sections of the proposal, such as the activities

and outputs sections, described below.

What makes a ‘good’ objective? It is something that you can tell, at the end of the project, whether you

have succeeded in achieving it or not. ‘To enhance knowledge of market opportunities’ is not a good

objective, because you have not specified how much knowledge you expect to add in your project.

Even one additional fact might allow you to claim that your objective had been achieved, but that

would not please a potential investor. A much better objective would be something like ‘To provide

fishermen with twice-weekly news bulletins about the fish prices at all markets within a 20 mile radius.’

This would no doubt ‘enhance knowledge of market opportunities’, and would also enable a reviewer

to assess whether or not your project had indeed achieved its objective.

There is a neat acronym for preparing good objectives, called SMART. SMART stands for five elements

of what makes a good objective. It should be:

• Specific

• Measurable

• Achievable

• Realistic

• Time-bound

By ‘specific’ we mean you should give some details about what it is you want to do; in our example,

we specify that the end-users are fishermen, and that we will be sharing information about fish prices

at nearby markets.

By ‘measurable’ we mean you should give some sense of the scope of what you intend to do. In our

example, we have indicated our news bulletins will be twice weekly. We could have indicated the

number of fishermen (e.g. fishermen living along the east coast of Sri Lanka) to make our objective

even more measurable. Perhaps this would be evident from the parts of the proposal already written.

But by giving more details, we make it easier again to assess the extent to which we have succeeded in

meeting our objectives at project’s end.

By ‘achievable’ we mean you should make sure that your objectives are achievable within the scope

of your project (i.e. with the budget you have asked for, and with the team of people you propose

to implement the project). Your donor readers, who have read many project proposals, will have a

good sense of what is achievable for what sort of budget in the country in which they work. They will

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know, for instance, that you will need at least two experts to do that market-information enhancement

project—one an economist and the other a translator, who can put the information into terms that the

fishermen will understand. If you forget to include the translator, your reader will feel that your project

(as you have designed it) is not achievable. (Notice that the achievability of the project cannot be

seen from the objectives alone, but takes into account what you have written in other sections of the

proposal.)

By ‘realistic’ we mean that your objective must be achievable within the context of the country—its

climate and socio-political realities. For instance, if our fisher people cannot read and write, then our

news bulletins must come via radio. But if the families are too poor to own radios, how can the news

get through? Are there communal radios? Who listens to them? You need to ensure that what you want

to do in your project is do-able in the context of the reality of the people you are hoping to help.

By ‘time-bound’ we mean that your objective must be achievable within the time period of the project.

We may be able to get our twice-weekly fish price information to our fishers within a two-year project,

but we may not be able to get these fishers to change their behaviour as a result of having that new

information in that time. Changing human behaviour always takes longer than you think!

So, when you are preparing the objectives for your proposal, remember to think SMART.

Exercise: Look at the following two examples:

Original: ‘To enhance the proposal-writing capacity of ILRI participants’•

SMARTer: ‘To provide a 15-topic training program for 45 ILRI participants to improve their •

proposal-writing skills’

Original: ‘To develop drought resistant fodder varieties that can be grown with saline water’•

SMARTer: ‘To develop at least two new drought-resistant fodder varieties that can be grown with 3 •

grams of salt per litre of water.’

6.2 Project anticipated outputs

The outputs of a project are those things that will be in place at the end of the project that would not

have existed without the project. Outputs may be tangible (like a new building or a new publication) or

intangible (like a workshop or a new knowledge). You need to specify in your proposal all the outputs

you anticipate you will ‘deliver’ at the end of the project.

Here are some examples. In item (a) of the above exercise, one output of your project might be at least

100 new fish ponds on small farms in Southern Malawi. In item (b) one output might be two types of

fruit tree shown to grow quickly and provide fruit for sale within two years. In item (c) an output might

be one approach to chick-deaths that proved effective in keeping alive more than 85% of young chicks

in the test area.

If your project is a piece of research, your outputs may be research results—either answers to a research

question or the answer to a hypothesis you have posed. For instance, supposing you were testing the

hypothesis that there is an inverse relation between adoption of new technologies and the level of

poverty of potential adopters. The result of your research might be statistical proof that the poorer the

farm family, the less likely they were to adopt a new technology. The output might be the writing up of

this information in a report to your donor, or a paper given at a conference or workshop.

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Every proposal will have its own separate section in which you are encouraged to list all the possible

outputs of your project.

Outputs relate directly to your objectives. In your objectives you state what it is you want to do in your

project (or piece of research). In the outputs section, you state what you expect will be in place at the

end of the project as a result of your efforts to achieve the objectives.

Your project will likely have several outputs. Brainstorm with your design team to be sure that you

are listing all the possible (positive) outputs your project might have. If your project is likely to have

negative outputs of any quantity, you may want to reconsider the design of your project.

Some people, including some donors, prefer to call outputs ‘deliverables’. This is a useful term, because

it helps to convey the idea that you are ‘promising’ to deliver the outputs, if the donor provides you with

the money. This is the case. If your proposal is successful in attracting donor funds, it will be turned into

a grant agreement (or similar document) which will specify the outputs you are expected to ‘deliver’

in return for receiving the grant. Any evaluation of your project or grant will be assessing the extent to

which you did, indeed, deliver those outputs.

6.3 Milestones—Intermediate outputs

In a project of two or more years, you are likely to achieve outputs well before the end of the project.

In fact, you are encouraged to identify outputs that you may achieve (deliver) regularly throughout the

project. Why? To help you monitor your project.

You will want to keep a tight control on the development of your project by having a good monitoring

or tracking scheme. A key tool in this project monitoring is to identify intermediate results, or outputs,

at regular intervals in the project. You can then assess, as you go along, if you have achieved those

results, as anticipated.

For instance, in a three-year tomato-improvement project, you may wish to specify a milestone every

six months, as shown in the table.

Illustrative list of milestones for the Alemaya Lablab Fodder Project

• Month 6: — Base-line survey of current Lablab Fodder varieties and harvests in Alemaya

completed.

• Month 12: — Six new varieties planted together in a test pattern in at least 100 home gardens.

— Baseline survey published and distributed to agricultural research establishments

• Month 18: — The number of home garden tests sites now numbers at least 200

• — First harvest data collected by post-docs and collated at research station

• Month 24: — All 500 test sites now operational

— Second harvest data collected and being analysed

• Month 30: — First draft of final report on varietal comparisons completed

— Data on quantity of Lablab Fodder obtained in three harvests being analysed

• Month 36: — Final report on varieties and harvests presented at workshop bringing

together donor, extension workers, researchers and farmers

Notice how this list of intermediate outputs or results will allow you, every six months, to see if your

project is on track. For instance, if in Month 24 you find that only 350 sites are now testing the various

Lablab Fodder varieties, you will know you have a problem you need to address. You will need to

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understand why your sites are far fewer than anticipated. If necessary, you may need to adjust your

project design. You will need to explain this to your donor. Much better to do this at the end of Year 2,

which you still have time, than at the end of the project, when you will annoy your donor by springing

an unhappy surprise, that you did not deliver the outputs you promised. An annoyed donor, faced with

an unexpected negative surprise, is unlikely to be thrilled about follow-on funding for your next piece

of research!

Note: In writing proposals we always use terms like ‘Year 1’, ‘Month 30’, ‘Week 4’, etc., rather than

real dates, like 2005 and February. This is because we can never know when a donor will agree to fund

a project, and thus cannot be sure when a project will start. The use of Year, Month or Week, plus a

number, allows you to specify the duration of certain activities, etc., without making your proposal out

of date at any time.

6.4 Project beneficiaries/end users

For the moment, all that you need to know here is that in some parts of the project proposal you can ‘let

your hair down’ and write with a bit more emotion than you usually do. One of those places is in the

section where you write about the beneficiaries or end-users of your project outputs or research results.

First of all, you will have to decide who you think those end-users are. For whom is your research

ultimately designed? Whom is your project trying to make better off? What sort of people are these?

What are their circumstances now, without the project? How might their circumstances change, if the

project is funded? These are the things that your readers want to know.

We suggest you sit with your design team and brainstorm about the potential end-users of your project

outputs. Will your project have a positive effect on any of the following?

Poor urban consumers?•

Refugees from neighbouring war-torn countries?•

AIDS orphans?•

Pregnant or nursing mothers?•

Unemployed youth?•

Landless labourers?•

Fishing communities?•

Try to think beyond your ‘usual’ target beneficiaries—perhaps smallholder farmers, and be a little more

specific.

Once you have identified all the groups that might benefit, try to write a sentence or two about each

group, providing some statistics (with source, if at all possible) and some details that make those people

seem real to the reader. Your object is to make your reader care about the situation of these people. For

instance, you may describe the unemployed youth as ‘desperate’ or ‘angry’. These are volatile groups

who can cause social unrest. Providing some positive benefit for this group may be most appealing

to a potential donor. You may explain that some suggest there may be as many as half-a-million AIDS

orphans in your country, many living on their own, trying to take care of other siblings, with or without

the disease. You may mention that these children often must make do with only one meal per day, often

of substandard food. As a result, they are severely malnourished and unable to work for a living. These

few details may help the reader to identify with the plight of these poor people, and want to support

your project, that may make a difference, albeit small, to their wellbeing.

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Here is a sample description of a group of target beneficiaries. ‘This project, which seeks to plant

literally thousands of trees over its three-year life to achieve a variety of environmental benefits, will

provide urgently needed employment for an often over-looked group in Country Y. The World Bank

estimates that there are over 100 thousand landless labourers in the rural areas, who have lost their

jobs in the South African mines, and are now urgently seeking alternative work. In years of better

rainfall, the larger farms might have absorbed many during harvest time, but this year’s drought has

put a dent in this prospect. These labourers have been used to large pay checks in the mines, and to

sending home significant remittances to keep their families in food and education. From being people

who were admired in their home towns and villages, these men are now the object of pity, and their

families are dependent on the charity of others. It is hoped that the tree project will be able to offer at

least part time jobs to as many as half these labourers in the three highland provinces.’ Notice that even

in an environmental project, with a goal of preventing soil degradation and preserving arable land, it is

important to include a discussion of all the possible beneficiaries, not just the nation’s farmers and food

consumers, but specially disadvantaged groups, like those out-of-work migrant miners.

Your project will probably benefit various fairly privileged groups, like other research organizations, or

may be politicians and civil servants, or the like. You may mention these groups as potential users of

your research results or project outputs, but do not highlight these groups as your donor is not really

interested in spending money to benefit these people.

We recommend that you start a file on beneficiary groups for all future project development. This file

might contain useful statistics, newspaper articles, magazine clippings and other sources of news about

various poor segments of your society. You will find that being able to quote from material in this file

will greatly strengthen the quality of your writing about project beneficiaries and end-users.

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Trainer’s guideSession 7: Inputs, activities, work plan

Session objectives By the end of this session participants will:Establish• necessary and sufficient activities that can result into outputsState and describe relevant and appropriate project deliverables•Identify necessary inputs for activity to be implemented•Develop an appropriate project plan for effective and efficient implementation •and management

Training materials Coloured cards•Felt pens•

Time needed 1 hr

Method of facilitation

Activities Contents Time

Plenary discussion The trainer highlights the relevance of each component of the presentation. He/she makes a distinction between annual, quarterly, monthly and weekly plans and when is each appropriate

5 min

Plenary presentation Project inputs, activities, work plan 40 min

Group exercise Participants are organized into groups to discuss the questions and answers to the exercise on project inputs, activities, work plan.

10 min

Plenary presentation The trainer together with the participants discuss the correct re-sponses to the questions

5 min

Break Health break

Handouts and reference materials

PPT: project inputs, activities and work plan

Reading notes on project inputs, activities, work plan

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Session 7: Summary of presentation slides: Project inputs, activities, work plan 7.1

Project inputs, activities and work plan

7.2Activities

• Describes for the reader full details of what you want to do with the inputs

• Explains how you will achieve your objectives

• Persuades your reader that you have carefully thought through exactly what you will do

• This is where methods and materials are discussed of achieving the objectives

• Activities may consist of key and sub-activities

7.3How to write activities

• To write activities well, your objectives should be very clear and focused (SMART)

• Activities should be well thought through for every objective

• Within each objective, the activities should be arranged in logical order with clear flow of information.

• Explain clearly how (methodology) you will address/solve each activity sometimes including key inputs like personnel, lab equipment, etc.

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7.4

• Number the activities in a logical order following your objectives/outputs.

• Objective 1 • Activity 1.1• Activity 1.2• Activity 1.3

• Objective 2• Activity 2.1• Activity 2.2• Etc

How to write activities….

7.5Activities..

• Every sentence specifies who will do what, when, where and for how long

• Write all sentences in active voice, starting the sentence with the person(s) who will do the particular action

• Do not use “we”

7.6

• Sometimes activities are described and arranged according to project outputs.

• However project outputs are derived from the objectives.

• In some formats, the donor wants you to describe the key activities leading to achieving objectives/outputs and then put subsequent for explanation (methodology) of addressing the activities.

How to write activities….

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7.7Discuss activities for this objective

• To identify local market requirements, opportunities and socioeconomic constraints for improving the profitability of local rice processing industry in the mid-northern agro-ecological zone

7.8Work plan

• It is sometimes called time line or implementation time line

• It shows the implementation time frame of the project activities presented in tabular form

• Make sure that all the activities you want to undertake is included in the work plan. This has implication on developing budgets and milestones

• Arrange the activities in a logical order as explained under activities

7.9Example of simple work plan

Activity 1.2

Activity 1.3

Output 2

Activity 1.1

Activity 2.2

Activity 2.1

Output 1AMFJ

Time lineActivities

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7.10

• The previous example is good for a multi-year but if the plan is for a single year, you need to show your plan on quarterly basis. Some activities can overlap.

• In other formats of work plan include :

1. milestones and total annual budgets. E.g. Bill and Melinda Gates Foundation

2. people/stakeholder responsible for each key activity

3. total budget for each activity

4. Etc.

Example of simple work plan (cont’d…)

7.11Inputs

• Describes goods and services that you need to achieve your objectives (personnel, equipment, transport etc.)

• Once you have defined your objectives, the next job is to list all the things you will need to achieve those objectives

7.12Critical inputs…

Most critical inputs required are:

1. Personnel

• Time of the people who will work on the project is one of the major inputs for projects

• It is always important to specify the area of specialisation, highest degree attained, numbers required and time to be spent by each on the project

• This information is best presented in tabular form

• Include partner personnel requirements

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7.13

2. Travel • Air fares, rail fares, renting vehicles, running

vehicles, taking taxis, etc 3. Per diem

• for travel for project staff, for trainees, etc 4. Training, workshops, conferences

5. Office supplies and services • electricity, phones, fax, paper, etc

Critical inputs….

7.14

6. Office equipment

• computers, printers, copiers, etc.

7. Office space

8. Equipment (farm, laboratory, etc)

• The cost of all inputs constitutes part of the project budget.

• Estimate the total cost of inputs including those you will not ask from the donor

• Identification of inputs is usually done iteratively with the activities.

Critical inputs…

7.15

Thank you!

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Session 7: Notes to participants: Project inputs, activities, work plan

7.1 Project inputs

Once you have defined your objectives, i.e. what you want to do, the next job is to list all the things

you will need to achieve those objectives. Those are your project inputs. In research or development

projects, often the most important input is the time of the people who will work on the project. In your

proposal you will need to specify the amount of time you expect you will need of all the people who

will work on the project.

The best way to list the personnel inputs you need will be to make a chart something like this:

Illustrative personnel requirements for project X

Position/expertise Person month for projectPrincipal investigator/chief of party Full time for 3 yearsEconomist 3/year for 3 yearsPost doc/project assistant 9/year for 3 yearsExtension agent 4 in Year 1, 6 in Year 3Evaluation specialist 2 in Year 1, 3 in Year 3

Remember, if your project is going to be implemented with partner groups, they will also have their

list of personnel requirements to add to yours. In addition to personnel, you are likely to need some

combination of some or all of the following types of inputs:

Travel (air fares, rail fares, renting vehicles, running vehicles, taking taxis etc.)•

Per diem (for travel for project staff, for trainees etc.)•

Training, workshops, conferences•

Publications•

Office supplies and services (electricity, phones, fax, paper etc.)•

Office equipment (computers, printers, copiers)•

Office space•

Farm equipment•

Some of these inputs you may already have (like office space, training facilities), but will need to

allocate to the project. This is also true for your in-house personnel, who will already be paid for, but

whose time will have to be allocated to the project. You will need permission from management and

the various people involved to ensure that this allocation is possible.

The cost of all your inputs constitutes the budget of your project and proposal. Please note that you will

need to estimate the total cost of your project (i.e. the cost of all the inputs), even if you are not going

to ask an external donor to fund them all. This is because management will need to know the full costs

of whatever project you undertake.

When preparing you input list, be sure to be as thorough and exhaustive as possible. You do not want

your project to fail because you forgot to include some key inputs. For instance, it is no use planning a

wonderful training program if you do not include provision for getting the participants and trainers to

the site. Or if you forget that it takes time, people, copiers and paper to prepare the training materials.

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7.2 Project activities

In the Activities section of the proposal you will tell the reader what you want to do with your inputs.

This is a section in which the more details you put in, the more convincing you will sound. A detailed

Activities section will persuade your reader that you have carefully thought through exactly what it is

you will do. In a way, if your project gets funded, this section will constitute your project work plan.

The best way to write a good Activities section is to ensure that every sentence specifies who will do

what, when, where and for how long. Here is a good Activities sentence. ‘In Month 1, the economist will

design a baseline survey of household incomes in the project site, and in Month 2, she will administer

it to the target 200 families.’ Try to write all sentences in the active voice, starting the sentence with

the person(s) who will do the particular action. Do not use ‘we’ as this is too vague to be convincing.

Avoid passive sentences like ‘the trees will be planted along the sides of the fields’. This sentence does

not tell who will do the planting. It is less convincing than ‘the extension agent will provide the target

farmers with free seedlings, and will reward every family that plants at least 40 trees with the equivalent

of USD 10 in local currency.’

If you are describing a research project, you may wish to have a subsection, titled ‘Methodology’

within Activities, to describe your research methods. But remember that unless your readers are also

researchers or scientists; do not make this subsection too technical. And the same tips apply—use the

active voice, and explain who will be doing what in your research method.

7.3 Project work plan

In a concept note, you may summarize all the activities in a simple time line or work plan of the type

below:

Activities Time lineJ F M A

Output 1Activity 1.1

Activity 1.2

Activity 1.3Output 2

Activity 2.1

Activity 2.2

In the full proposal, you will need both a narrative Activities section, as described above, and a chart or

time line, summarizing the key activities and people who will do them. Depending on the size, scope

and complexity of the project, you may also need other charts, lists and narratives. For instance, you

may need:

A training plan (listing all the courses you expect to give)•

A workshop plan•

A reporting plan•

A publications plan•

A purchasing plan •

A distribution plan (e.g. of seedlings, seed, brochures etc.)•

A grant-making plan (if your project involves making small grants to end users).•

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The more details you can provide, the more convincing your proposal will be, and the more the project

will come alive for your reader. Of course, you should not try to make your project more complex than

need-be, and if your project is relatively simple, you may need none of these special plans.

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Session 7: Exercise: Inputs, activities, work plan

Answer the following questions, Yes or No. Use your pad and pencil to take notes for questions d–f.

a. Do all full proposals need a narrative Activities section as well as a chart or diagram showing the

time line of activities? Yes No

b. Should researchers include a section of ‘research methods’ in their proposals? Yes No

c. Do you need to include in your list of inputs those things for which the donor will not pay (as

perhaps the salaries of researchers at your NARS)? Yes No

d. How can you improve this sentence from the Activities section of a proposal: ‘Several varieties

will be tested for their drought tolerance in the first year of the project’?

e. What is usually the most important input to projects in agricultural research for development?

f. When should you include a workshop plan in your proposal?

See Annex 5 for answers.

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Trainer’s guideSession 8: Project management, monitoring and evaluation

Session objectives By the end of this session participants will:

• Appreciatetheneedforpropermanagementofaproject•

• Identifywhatandhowshouldbemonitored•

• Identifywhatandhowshouldbeevaluated•

• DescribetheM&Eplannecessaryforaprojec• t

Training materials • Assortedmarkers•

• Feltpens•

• Flip• charts

Time needed 2:15 hrs

Method of facilitation

Activities Contents Time

Plenary discussion The trainer leads the participants in brainstorming on the ‘buzz’ words of M&E 15 min

Plenary presentation Project management, monitoring and evaluation 1:30 hrs

Group exercise Participants are organized into a group to discuss the questions and answers to the exercise on project management, monitoring and evaluation 20 min

Plenary presentation The trainer together with the participants discuss the correct responses to the questions 10 min

Handouts and reference materials

PPT: Project management, monitoring and evaluation

Reading notes on project management, monitoring and evaluation guidelines for group exercise

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Session 8: Summary of presentation slides: Project management, monitoring and evaluation 8.1

Project management, monitoring and evaluation

8.2

• If your project is a simple one, involving only one organization, and perhaps only one project site, you may not need a section on project management

• But if your project involves one or more partners, and/or one or more countries or project sites, you will probably need to explain to your reader how you plan to manage the project

• If the project is very complex indeed, you may want a separate section on project management

• Otherwise you may choose to talk about this topic as a subsection of ‘work plan’, or as part of a separate heading called ‘Project management, monitoring and evaluation”

Project management

8.3

• ‘Organogram’ that shows the structure of the management team – identifying the project leader (or manager) and the positions of the other key personnel

• Table showing the roles and responsibilities of the, say, five senior most project personnel

• Table showing the roles and responsibilities of each of the project partners

• Description of the number of meetings you intend to have to manage the project, giving the frequency of the meetings, where they will take place, who will attend, and what will be decided.

Some of the things you might include under this topic are….

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8.4 Roles and responsibilities of key personnel

Designs, implements tomato field trialsWorks with extension personnel to involve farmersMonitors field trials for possible annual redesignAnalyzes data for each harvest, prepares annual assessments

Agronomist

Designs, administers baselines surveyAdvises project leader on economics related issues Designs, administers end-of-project surveyAnalyzes survey data, prepares report on economic impact

Economist

Overall project management and monitoringCalls all project meetingsPrepares project reportsSupervises other project personnel

Project leader

Key tasks Project position

8.5

Buzz group discussion

• What is monitoring?

• What do we monitor?

• Why do we monitor?

• What is evaluation?

• What are the key differences between monitoring and evaluation?

8.6Monitoring

• Monitoring is a regular process of observation and recording of changes taking place in a project or program

• It is a process of routinely/continuously gathering information on all aspects of the project

• It is observation –– systematic and purposeful

• It helps one to measure the performance of a project, process, or activity against expected results.

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8.7

Monitoring involves..

• Giving regular feedback about the progress of a project to the donors, implementers and beneficiaries of the project

• Reporting and feedback enables the gathered information to be used in making decisions for improving project performance

• Learning and documentation is key in the process of monitoring and evaluation

8.8

Why monitoring?

• Monitoring is very important in project planning and implementation

• It is like watching where you are going while riding a bicycle

• you can adjust as you go along and ensure that you are on the right track

8.9

Why monitoring?• Analysing the situation in the community and its

project • Determining whether the inputs in the project are

well utilized• Identifying problems facing the community or

project and finding solutions• Ensuring all activities are carried out properly by

the right people and in time• Using lessons from one project experience on to

another and• Determining whether the way the project was

planned is the most appropriate way of solving the problem at hand.

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8.10

Aspects that are monitored

• Budget

• Activities

• Project objectives (results, purpose, overall goals, assumptions, risks, see LF)

• Performance monitoring

• Process monitoring

• Outcome/impact monitoring

Progress monitoring

8.11

What is evaluation?

• Evaluation is a systematic process of judging what a project or program has achieved particularly in relation to activities planned and overall objectives.

• In addition, evaluations usually deal with strategic issues such as program/project relevance, effectiveness, efficiency (expected and unexpected), in the light of specified objectives, as well as program/project impact and sustainability.

8.12

Evaluation …

• … involves comprehensive analysis of the project/program with the aim of adapting strategy and planning and influencing future policies and programs.

• This implies that evaluation is a more complete and thorough process and a less frequent form of reflection.

• It usually takes place at certain points in time, e.g. mid-term—final evaluation—and leads to more fundamental decisions.

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8.13

Types of evaluations

• Ex-ante evaluation

• Ongoing evaluation (can be mid-term)

• Terminal evaluation

• Ex-post evaluation (long after completion = Impact assessment).

• Internal evaluation

• External evaluation

8.14

Key aspects of evaluation

• Relevance - Was/is the program or project a good idea given the situation to improve? Was the intervention logic correct? Why or why not?

• Efficiency - Have resources been used in the best possible way? Why or why not?

• Sustainability - Will there be continued positive impacts as a result of the program or project once it has finished?

8.15

Key aspects of evaluation

• Quality- Conformity to requirements, meeting customer/client requirements

• Performance or effectiveness - Have the planned results been achieved? Why or why not?

• Impact - To what extent has the program or project contributed towards its longer term goals? Why or why not? Have there been any unanticipated positive or negative consequences of the project? Why did they arise?

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8.16Types of impact

• Production impact

• Economic impact

• Social-cultural impact

• Environmental impact

• Spillover effect

• Intermediate impacts

8.17 Monitoring and evaluation:Key differences

Monitoring: What are we doing?

Tracking inputs and outputs to assess whether programs are performing according to plans

(e.g., people trained, condoms distributed)

Evaluation: What have we achieved?

Assessment of impact of the programme on behaviour of target group

(e.g., increase in condom use for risky sex, reduced HIV prevalence)

8.18In summary

•Include milestones – i.e. intermediate outputs or results – in your project to help you design your monitoring plan

•The inclusion of milestones (things you expect to achieve at different points in the life of the project) allows you to check every so often to determine whether these milestones have been achieved

•In a project proposal you need to explain how you plan to monitor the project. In other words, you need to tell (like in the Activities section), who will do what, when, where and for how long

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8.19In summary….

• Evaluation looks at the contribution of the project to the well-being of its end-users.

• Such an evaluation might ask about the value of the project to (a) its end-users and hence (b) its investors (i.e. donors)

• Note:• All data should be collected as part of the

implementation• Adequate resources should be allocated• Lessons learned should be summarized

8.20

Thank you!

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Session 8: Notes to participants: Project management, monitoring and evaluation

8.1 Project management

If your project is a simple one, involving only one organization, and perhaps only one project site, you

may not need a section on project management. But if your project involves one or more partners, and/

or one or more countries or project sites, you will probably need to explain to your reader how you

plan to manage the project.

If the project is very complex indeed, you may want a separate section on project management.

Otherwise you may choose to talk about this topic as a subsection of ‘work plan’, or as part of a

separate heading called ‘Project Management, Monitoring and Evaluation’. Some of the things you

might include under this topic are:

• ‘Organogram’thatshowsthestructureofthemanagementteam—identifyingtheproject•

leader (or manager) and the positions of the other key personnel

• Tableshowingtherolesandresponsibilitiesofthe,say,fivesenior-mostprojectpersonnel•

• Tableshowingtherolesandresponsibilitiesofeachoftheprojectpartners•

• Descriptionofthenumberofmeetingsyouintendtohavetomanagetheproject,givingthe•

frequency of the meetings, where they will take place, who will attend, and what will be decided.

(Do consider, by the way, involving your donor in one or more of these meetings each year.) Here

is an example of a project organogram.

Project management arrangements for project X

Here is an example of part of a table of roles and responsibilities of personnel:

Project leader

Pasture agronomist Livestock economist

Leader at Site 2Leader at Site 1

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Roles and responsibilities of key personnel

Project position Key tasks Project leader Overall project management and monitoring

Calls all project meetingsPrepares project reportsSupervises other project personnel

Livestock economist Designs, administers baselines surveyAdvises project leader on economic mattersDesigns, administers end-of-project surveyAnalyses survey data, prepares report on economic impact

Pasture agronomist Designs, implements tomato field trialsWorks with extension personnel to involve farmersMonitors field trials for possible annual redesignAnalyses data for each harvest, prepares annual assessments

8.2 Monitoring and evaluation

8.2.1 Why M&E?

In graduate thesis proposal, there is no coverage of M&E. Many people think that M&E is external

activity. The current thinking is that M&E should be integral part of project planning and implementation.

However, this is a section which is poorly written. M&E requires resources but it is not always budgeted

for. It should be noted that this is the section which is read devotedly by donors. It is used for output

and financial accountability.

8.2.2 Monitoring

Definition: Continuous assessment of; This sometimes called conventional monitoring or progress

monitoring

Activities—against work plan This sometimes called conventional monitoring or

Resources—project design progress monitoring

Outputs—performance monitoring

Outcome monitoring (Outcome = impact = people level impact, immediate outcome,

intermediate outcome and ultimate outcome)—effect of the output of the ultimate

beneficiaries

Process monitoring—increasingly becoming important because of participatory approaches Why monitor?

Monitoring is done to identify deviations from the norm or plan and any anticipated problems to and

to take corrective action. The activities of monitoring include; recording data, analysis (to generate

information), reporting and data management including storage.

As we saw in Topic 6, you need to include milestones—i.e. intermediate outputs or results—in your

project to help you design your monitoring plan. Monitoring is something you need to do in all

projects. It means checking regularly to see that you are progressing as you had planned. The inclusion

of milestones (things you expect to achieve at different points in the life of the project) allows you to

check so often in order to determine whether these milestones have been achieved. If not, you have

the opportunity to (a) find out what went wrong, and (b) if necessary, redesign the project. It is much

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better to do small course corrections over the life of the project than to suddenly come to the end and

find you have missed all your targets (i.e. outputs) by a great deal. In the latter case, you really do have

a failed project, one from which you have learned no lessons, and pleased no-one—not yourself, your

beneficiaries or your donor.

So regular, planned, methodical monitoring is a very important way of making yourself credible with

your actual and potential funders.

In a project proposal you need to explain how you plan to monitor the project. In other words, you

need to tell (like in the Activities section), who will do what, when, where and for how long. The more

details, the more convincing you will be.

8.2.3 Evaluation

As we shall see in the next two topics, evaluation is a much more complex thing than monitoring.

Monitoring merely concerns itself with measuring the distance between what is actually happening,

as compared to what was envisaged some time previously. Evaluation looks at the contribution of the

project to the well-being of its end-users. Such an evaluation might ask about the value of the project

to (a) its end-users and hence (b) its investors (i.e. donors). In our most recent example, the evaluation

might ask, after the project is over: Did the tomato project contribute to increasing household incomes?

If so, by how much? When was the increase seen? Will it be sustained for the coming years? This sort of

evaluation is often called impact assessment; we will discuss it further in Topic 10.

Some evaluations are done internally, perhaps by a special group of evaluation experts in your institute.

Or they may be done by outsiders, selected because they are not involved in any way with the project,

and thus have more objectivity than people in your institute may have.

You can usually include the funding for an external evaluation at the end of your project in your

proposal budgets. Donors like external evaluations because they often need the results of these for their

own records, to show whether or not they made a wise investment in your project. So by including the

funding for this in your budget, you may be helping the donor’s own efforts. You can always discuss this

point with your donor during grant negotiations.

You should also value an external evaluation, since you can use the results to learn from your past

projects, and if you have done a good job with your projects, have something nice to quote when

writing about your past performance.

‘Boilerplate’ sections: The three topics—project management, monitoring and evaluation— belong

together because at some institutions (hopefully including yours), these topics are a regular part of how

their projects are managed. In other words, at some institutes or organizations, project management,

monitoring and evaluation are regular parts of everyday life. All ongoing projects are regularly

reviewed by senior management to check that (a) they are being properly managed, (b) that they are

progressing as envisaged in the project proposal and work plan, and (c) that their contribution to the

goals of the projects are being properly assessed. If such regular reviews are indeed part of the way in

which your institute works, then by all means say so in your project proposals. You can write up your

institute’s approach to the three topics (or whichever is appropriate) in language that can be used in all

proposals.

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We use the term ‘boilerplate’ for any pieces of writing that can be used, without editing, for several

proposals and several donors. We suggest that you review and revise any boilerplate sections you may

have about once a year, to be sure they are up to date, and relevant to that you are doing.

If you have these boilerplate pieces you can either insert them into the appropriate section of the

proposal, or attach them to the proposal as annexes. If you prefer to use them as annexes, be sure to

refer to these annexes in the text. Thus you might say: ‘Institute A has a policy of reviewing all projects

once a year, to check on progress with respect to milestones, and if necessary make project changes.

More on this policy and how it operates in practice is shown in Annex 3’. Or, ‘Institute B has a small

Impact Assessment Unit, staffed with a statistician and two social scientists. This Unit, described in

Annex 2, will be responsible for the evaluation of this project.’

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Session 8: Exercise: Project management, monitoring and evaluation

To show you understand the items in this topic, please mark the following statements true or false.

a. You should include some boilerplate sections on monitoring and evaluation, even if your institute

does not have a regular system for doing these things. True False

b. An organogram shows how your project will be managed. True False

c. For a complex project, you should include the roles and responsibilities of all the project

partners. True False

d. You can’t monitor a project without milestones. True False

e. Evaluation looks at the contribution your project has made to its goal. True False

f. If your project is simple, you won’t need to monitor it or to do an evaluation. True False

See Annex 6 for answers

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113

Trainer’s guideSession 9: Logical framework, indicators and measuring impact

Session objectives By the end of this session participants will:Appreciate the importance of a logframe in project management•Develop a logical framework of a project •Relate the logframe indicators to intended project impacts and as the basis for •measuring such impacts

Training materials Assorted markers•Flip charts•

Time needed 1 hr

Method of facilitation

Activities Contents Time

Plenary discussion Ask participants for their experience in developing project log frames and relevant indicators. What challenges have they encountered in developing project log frame and how they have been able to over-come them 10 min

Plenary presentation Logical framework, indicators and measuring impact 35 min

Group exercise Participants are organized into a group to study an example of project logframe 5 min

Plenary presentation Trainer asks participants to clarify and share their opinions on the logframe examples 5 min

Change of session Session 10 starts

Handouts and reference materials

PPT: Logical framework, indicators and measuring impact

Reading notes on logical framework, indicators and measuring impacts project log frame examples

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Session 9: Summary of presentation slides: Logical framework, indicators and measuring impact 9.1

Logical framework, indicators and measuring impact

9.2Outline

• Logical framework

• What are indicators

• Types of indicators

• Indicators at different levels

• Qualities of a good indicator

• Measuring impact

9.3

Logical framework

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9.4The objective hierarchy

“How lower level activities contribute to the higher level objectives and how these in turn help achieve the overall project purpose and goal” IFAD 2004

9.5Project strategy – (Objectives Hierarchy)

Componentpurpose

Output

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

Componentpurpose

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

YTIVIT

CA

Assumptions(hypotheses)

GoalGoal

Componentpurpose

Output Output Output Output Output Output Output

9.6The logframe logic

• Aids in the identification of the expected causal links or program logic in a results chain

• Results chain: inputs activities outputs outcomes and impact

• Leads to the identification of performance indicators at each stage

• Leads to identification of risks that could impede the attainment of objectives

• Collect relevant data to measure the outcome/impact

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9.7Vertical logic

• Goal

• Purpose

• Outputs

• Activities

• Plan and budget or inputs

9.8Logical framework - Format

Objective hierarchy

Indicators -OVI

Means of verification

Assumptions and risks

Activities

Goal

Purposes

Outputs

Pre-conditions

Pre-conditions

9.9Goal

• Predetermined and programs have very little control over e.g. Millennium Development Goals or poverty eradication

• Goal should agree with what beneficiaries want (Values and aspirations)

• Goal should be oriented to what people are Able To Do

• Goal should take cognizance of what people are Allowed To Do in the given framework conditions

The long-term objective, change of state or improved situation that project is intended to contribute to: Regional, national or even community level desired long term objectives

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9.10Purpose

• Purpose is the statement of impact/Outcome the program intends to have on the beneficiaries

• Observable changes in behavioural patterns

• Observable changes status

• Observable changes in performance

9.11Outputs

• A set of outputs should contribute to the purpose (Significantly)

• Logical sequence - when necessary

• Carefully worded to avoid sounding like activities

The products, services or result that projects or programs are directly responsible for and MUST be delivered for the purpose to be achieved

9.12Activities

• Tasks personnel undertake to transform inputs to outputs.

• These are actions taken by implementers which are required to deliver on the outputs by using inputs such as funds or technical assistance

Activities:• Carry out diagnostic survey to assess available feeds

on farm• Formulate appropriate rations• Conduct feeding trials including participatory

monitoring of optionsOutput: Appropriate and cost effective dairy cattle feeds

developed and validated

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9.13

Risks and assumptions

• External environment conditions upon which the attainment of project outputs and contribution to purpose depends = External indicators

• Need to make realistic assumptions about the external environment. Avoid killer assumptions since they nullify the whole plan!

9.14

Definition of an indicator

• Specific information that provides evidence about the achievement of planned impacts, results and activities

• Indicators are qualitative or quantitative criteria used to check whether proposed changes have occurred

• They can be used to assess if objectives,activities or outputs have been met

• They provide a standard against which to measure or assess success or progress of a project against set standards.

9.15

What are indicators?• Indicators are yardsticks that can be used to

demonstrate whether change has or has not taken place

• They provide meaningful and comparable information to changes

• They are measurable or tangible signs that something has been done or that something has been achieved• Indicators help you understand where you

are • which way you are going and • how far you are from where you are going.

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9.16Types of indicators

Quantitative indicators

• Should be reported in terms of a specific number (number, mean, or median) or percentage.

• Assessing the significance of an outcome requires data on both number and percent.

Qualitative indicators

• Qualitative statements

• Measure perceptions

• Measure attitude, behavior

• Narratives

9.17Quantitative vs. qualitative

• Quantitative indicators are useful for summarizing large amounts of data and reaching generalizations based on statistical projections.

• Qualitative indicators can "tell the story" from the participant's viewpoint, providing the rich descriptive detail that sets quantitative results into their human context.

• One set of indicators is not better than the other; each has its own strengths and weaknesses

• It is important to combine both

9.18

Quantitative and qualitative indicatorsExamples - Quantitative• Number of• Proportion of • Percentage of • Amount of • The ratio of• Length of distance• Weight of• Size of • Areas of/spread of • Value of• etc.

Examples - Qualitative• Level of • Presence of • Evidence of• Availability of • Quality of• Accessibility of • Existence of • Sustainability of • Improvement of• Ability to (e.g.

skills)• Potential of • etc.

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9.19Qualitative/Quantitative

Discussion groups with villagers about how quality of life has changed

Direct observation (measuring/ counting)

Methods

50% of the villagers reported that they did not use the wells because the river was closer Stories, text, descriptions, pictures

10 km roads built in 1 year

50% of HH using wells for household use

Analysis & reporting

Villagers perceptions about benefits/problems of the roadReasons why villagers don’t use wells for drinking water

# of kms road built

# households with access to clean water

Information

QualitativeQuantitative

9.20Qualities of a good indicator

In general, indicators should:

• be verifiable (where and how to we get information about the indicator)

• measure what is important and not what is easy to measure

• measure only changes that can be linked or attributed to the project/programme (they must be specific and relevant)

• be targeted in terms of quantity, quality and timing

• measure either quantitative or qualitative change

9.21 Qualities of a good indicator

Smart

• Specific

• Measurable

• Attainable

• Realistic

• Time-bound

Spiced

• Specific

• Participatory

• Interactive

• Communicable

• Empowering

• Disaggregated

Cream• Clear (precise and

unambiguous)• Relevant (appropriate

to the subject at hand)• Economic (available

at reasonable cost)• Adequate (able to

provide sufficient basis to assess performance)

• Monitorable (amendable to independent validation)

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9.22Characteristics of indicators

• Valid : proxy to assess expected impact,

“better be approximately correct than precisely wrong…Aron”

• Precise: measure, perceived & interpreted clearly

• Consistent: range of applicability across projects

• Analytically sound : changes related to project

• Policy relevant & sensitive to trends & change context

• Specific: reflect project aims

• Comparable: across time and space

• Measurable: data readily available

9.23Contents of an indicator

What, where, how + quality + accuracy

Data coll’n

Condition for validity & missing infoValidity/ltd

Basis of info for target elaboration & how

Targeting

What do key terms/concepts mean or what is the formulae for calculation

Definitions

Why indicator for measuring/ observing

Rationale

What, target group, when should described parameter be observed

Indicator

What is measured to track progress?Verbal/visual picture of success

Parameter

9.24Developing indicators

• Develop indictors to meet your own needs• Developing good indicators usually takes more

than one attempt and requires the involvement of competent technical, substantive & policy experts participation

• Arriving at the final indicator you will use takes time

• Always pilot!

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9.25Continued

• Using pre-designed indicators (they are indicators established independent of project context; MDGs, WB, UNDP etc.)

• Consider the importance

• Context (does it require adaptation or supplementation)

• Select more than one indicator per outcome

• Add and drop as you streamline

• Change indicators to avoid manipulation

9.26 Developing indicators using predesigned indicators (2)

Leads to adoption of multiple & competing Ind.

No key stakeholder participation

It can be easily harmonized

Viewed as imposedReduces cost of data collection

Doesn’t address individual country goals

Aggregated across similar projects, programs, policies

Cons Pros

9.27Proxy (indirect) indicators

• “better be approximately correct than precisely wrong”

• Proxy indicators are needed when it is difficult to measure the outcome indicator directly.

• Used when data on the direct indicator is not available

• Used when data collection is expensive.

• Used when it is not feasible to collect data at regular intervals.

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9.28 Examples of direct and indirect (proxy) indicators

Direct indicators• % increase of income

at household level• # of households with

greater 100$ disposable income after all basic living costs have been met

• Number of individuals who are members of community initiative groups

Indirect (proxy indicators)• Indicator for improved

standard of living-increased number of television aerials

• # households with TV• # number of households

with tine roof.• Indicator for community

empowerment-increased frequency of community members speaking at community meetings

9.29Pre-designed indicators (-MDGs,

World Bank, IMF)Pros• They can be

aggregated across similar projects and policies

• Reduce costs of building multiple unique measurement systems

• Make possible greater harmonization

Cons• They don’t address

country specific or organizational goals

• They are often viewed as imposed

• They don’t promote key stakeholder participation

• They can lead to the adoption of multiple competing indicators.

9.30Indicators at different levels

Impact indicators

Purpose indicators

Output indicators

Process indicators

Overall objective

Project purpose

Outputs

Activities

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9.31

Indicators at different levels

• Process indicators measure the extent to which planned activities are taking place.

• Output indicators measure tangible deliverables as a result of accomplishing a set of activities

• Outcome indicators measure the extent to which program objectives are being met.

• Impact indicators measure the extent to which the overall goals of a program are achieved.

• External indicators

9.32

Adapted from Materials Developed by ITAD

Limits of control and accountability

Within project control

Beyond project control

Goal - Impact

Activities

Purpose

Key Results

Sub Results(Outputs)

Tasks

… what overall the project / programme can reasonably be accountable for achieving

Ends … what the project /programme is contributing towards

Means

… what is within the direct management control of a project/programme

9.33Example of indicators at different levels

• Goal• Improve infant health

and survival• Impact indicators• (diarrhea disease

incidence; infant mortality rate)

•Objective•support and promote breast

feeding•Outcome indicators•(% of babies breastfed

within 1 hour of delivery;• % of babies exclusively

breastfed at 1 month;• % of babies exclusively

breastfed at 3 months; •average age at introduction

of complementary foods;• % of babies breastfed at 6

months; % of babies breastfed at 12 months)

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9.34 Activities (with examples of process indicators)

• Train maternity care staff and other birth attendants

• Deploy breastfeeding counselors in health facilities and in community

• Promote formation of mother-to-mother support networks

• Provide education on breastfeeding through health facilities and in community

• % of maternity staff/ birth attendants trained

• (no. of breastfeeding counselors deployed; no. of mothers counseled)

• (no. of mothers joining mother-to-mother networks)

• (% of mothers and % of general population receiving or recalling key messages)

9.35Indicators & project responsibilities

Outputs

Activities

Inputs

ProjectPurpose

Overallobjective

Owners/beneficiaries

Owners/beneficiaries

ProjectManagerProject

ManagerProject

Manager

Responsible

9.36Weaknesses in indicator design

• Indicators are usually discussed and defined late in the planning process

• Indicators are designed to meet scientific research needs and are therefore less appropriate and meaningful for the beneficiaries

• They are often not measurable in terms of cost-effectiveness

• There are usually too many indicators

• Indicators which are easy to measure are preferred

• Quantitative indicators are favoured to produce ‘hard and reliable’ statistics

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9.37

Weaknesses in indicator design

• They are usually not developed by stakeholders and/or beneficiaries and therefore do not represent their reality

• Indicators are donor driven since they have to legitimise the support for the respective project/programme

• Indicators are often an outcome of a desk study to prepare a proposal, satisfy funding requirements or to establish a baseline

9.38

It should be noted that….

• Baseline• Information needed• Data needed to generate the information• Method of collection• Frequency of collection• Who collects it• Who analyses it and report it• Who should use the information• Resources required• How data will be stored and managed

Once critical minimum set of indicators are identified, then works out

9.39

Advantages and uses of logframes…• Improving design quality - Clear purpose, outputs,

performance indicators and assessment of risks

• Summarizing design of complex activities ensuring that decision makers analyze assumptions and risks

• Assisting in the preparation of detailed operational plans

• Engages stakeholders in the planning and monitoring process thereby providing an objective basis for activity review monitoring and evaluation

• When used dynamically, an effective management tool to guide implementation, monitoring and evaluation

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9.40

Disadvantages of logframes

If managed rigidly, stifles creativity and innovation

• Needs updating during implementation

• Training and follow-up on the use of log-frames paramount

9.41

Thank you!

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Session 9: Notes to participants: Logical framework, indicators and measuring impact

The Logical Framework Approach (LFA) is an instrument for objective-oriented planning of projects.

LFA was developed during the 1960s and has been widely spread all over the world since the 1970s.

Today it is used by private companies, municipalities and by almost all international development

organizations, when assessing, and making follow-ups and evaluations of projects/programs.

The method may also be used for analysis, assessment, follow-up and evaluation of projects. What the

method is used for depends on the role of its users and their needs.

It is an instrument to improve the planning, implementation, monitoring and evaluation of a

development intervention. The systematic application of the method, with good judgement and sound

common sense, can help to improve the quality, and hence the relevance, feasibility and sustainability

of development cooperation.

An ideal situation when planning a project is when the owner of the project (the cooperation partner)

and the development partners (e.g. donors and consultants) are clear about their respective roles and

when the project owner, the cooperation partner, assumes the main responsibility for the planning,

implementation and follow-up of the project. Hence true local ownership should exist. The owner of a

project is always the local organization (the cooperation partner). Promoting local/recipient ‘ownership’

of projects and programs is recognized as a key issue in the strategy for sustainable development

cooperation.

LFA is based on the idea that the user, the project owner, assumes the main responsibility for the

planning process. However, assistance with planning may be needed and useful. LFA has the aim of

improving the quality of project operations and can only achieve this if the user has a good grasp of

the method and uses it throughout the entire project cycle. Therefore, it is useful to start cooperation by

integrating information on LFA in the dialogue between the parties concerned. Most steps in the LFA

method are often used during participatory workshops.

LFA is used to:

1) identify problems and needs in a certain sector of society

2) facilitate selecting and setting priorities between projects

3) plan and implement development projects effectively

4) follow-up and evaluate development projects.

What the method is used for depends on the role of and the needs of its users.

LFA is:

An • instrument for logical analysis and structured thinking in project planning

A framework, a battery of questions which, if they are used in a uniform way, provide a structure •

for the dialogue between different stakeholders in a project

A planning instrument, which encompasses the different elements in a process of change •

(problems, objectives, stakeholders, plan for implementation etc). The project plan may be

summarized in a LFA matrix, the log frame

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An instrument to • create participation/accountability/ownership

Common sense.•

Objective-oriented planning means that the point of departure of the planning process is the problem

analysis, which leads to the objectives and finally makes it possible to choose the relevant activities.

Hence, before making a plan of activities, an analysis of the problems and objectives is necessary.

The LFA is not a control instrument and thus does not replace different control systems such as

environmental assessment studies, gender analysis or financial control systems.

The LFA method should be used during all phases of a project cycle (i.e. during preparation,

implementation and evaluation). When the LFA analysis has been performed, the plans made with the

aid of the analysis should be used and followed-up actively at each project meeting. Normally, it is

necessary to make certain adjustments throughout the project implementation phase. The LFA method

must be used with flexibility and with a great sense of feeling of what is required in each situation.

The LFA is a suitable tool to use for capacity development, ‘the effort to facilitate for individuals, groups

or organizations to better identify and deal with development challenges, by facilitating discussion

among stakeholders to identify obstacles to change. During the problem analysis the needs and

approaches for different forms of capacity development can be recognized and made transparent. The

problem analysis shows whether professional knowledge is needed among the individuals involved,

or whether it is necessary to use a broader approach—for example to strengthen organizations, or

whether there is a need to improve institutional frameworks (legislation or policies).

We noted that many evaluations nowadays were focused on measuring the impact of projects on their

selected goal. In effect, this form of evaluation is an exercise in measuring or assessing the impact of a

project on its target beneficiaries.

Imagine you are proposing a project that will introduce to some poor farmers a new rice variety that

has in-built vitamin A. You are not sure if this new variety will be acceptable to the farmers, or what

its effect will be. You believe it may be able to improve the health of poor women and children in the

families of farmers with less than two hectares of land, and you use this goal to ‘sell’ your project to a

donor who you know is very concerned with this target group. How do you assess, in your proposal,

the extent to which this new variety might have the desired impact on the health and nutrition of your

target beneficiaries? How do you propose to measure that impact? What do you need to write in the

project proposal?

What you need to do is explain the logic of why you think your project might have the desired effect.

If the farmers adopt this rice, and if they keep a proportion for home consumption, you assume that

women and children will receive about 75% more vitamin A than they do at the present time. The

literature suggests that a significant increase of this kind could make an appreciable difference, within

a few years, to the incidence of eye disease, anaemia and overall malnutrition. So you are going to be

looking for evidence of a slowdown in these ailments. This evidence will be in the form of indicators—

things to look for to show that you are having the impact you want. In this case you might select one

or more the following indicators:

Fewer visits by mothers and children to health clinics •

Higher levels of haemoglobin in blood tests •

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Higher weights of children when they go to clinics and the children are healthier when attending •

school

Fewer complications at childbirth•

You would choose those indicators that were easy to measure, and that would give you a good picture

of the difference that new rice was making.

You would, of course, have to have some before-the-project data to compare with the after-the-project

assessment. And you would have to include the collection of that pre-project data as part of the proposed

project, remembering that this activity would require personnel, travel, and other inputs.

You will rarely find donors unwilling to pay for pre-project baseline surveys and post-project impact

assessments, so it is definitely advisable to include these in your project, if appropriate.

As with so many other sections of the proposal, we strongly suggest that you prepare the indicators and

measuring impact section by working with your project team. By brainstorming with your colleagues,

you can come up with a much wider range of potential indicators, and do a better job of selecting those

which will make your post-project measurements as easy as possible.

Remember, that if you already have an impact assessment unit or specialist in your institute, be sure

to write this up as a boilerplate piece for all your project proposals. You need not include pre- and

post-project surveys in all project proposals. But you should always trace the logic of how your project

might, in time, make a real contribution to your project goal. You need to do this because, for the most

part, impact is what your development donor wants to buy. And the quicker and greater the impact, the

more your donor will like your project idea.

We noted in Topic 5 that impact was related directly to the project goal. So depending which goal you

choose for your project (and it should be a goal that is common to your institute, your country and

your potential donor), the impact of your project may take many forms. We suggest that you develop

an impact check list—writing down all the possible impacts of your sort of work might have on various

potential target beneficiaries. Keep adding to that list, and consult it whenever you are writing project

proposals.

Here is an illustrative and partial list to get you going. Will your project result in:

More education for poor people?•

Higher family incomes?•

Better health for infants or children?•

More employment for widows or orphans?•

Enhanced community participation?•

New use for indigenous knowledge?•

More public sector accountability?•

New roles for the private sector?•

Inputs for improved decision-making?•

New food sources for urban dwellers?•

More jobs for young men and boys?•

Import substitution for poor economies?•

Improved child nutrition?•

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If you claim one or more of these benefits in your project, remember that the impacts you can quantify

are the most impressive. Increasing household incomes by 10% in five years is more impressive than

just claiming you will ‘raise incomes’. So stick your neck out a little, and give an estimate of how much

of a good thing your project might be able to contribute.

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133

Trainer’s guideSession 10: Project proposal budgets

Session objectives By the end of this session participants will:

Prepare a project budget•

Training materials Assorted markers •

Felt pens•

Flip chart• s

Time needed 2:15 hrs

Method of facilitation

Activities Contents Time

Plenary discussion Ask at least 3 volunteer participants to explain how they have been developing project budget 05 min

Plenary presentation Project proposal budgets 35 min

Group interaction Trainer asks participants to raise questions, contributions or critical reflection on the presentation 5 min

Break Health break

Handouts and reference materials

PPT: Project proposal budgets

Reading notes on project proposal budgets

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Session 10: Summary of presentation slides: Project proposal budgets10.1

11

Project proposal budget

10.2

• It is the pricing of all the inputs required by the project activities

• Well detailed activities with the corresponding required inputs makes budgeting very easy.

• It also enables you to develop a more realistic budget.

What is budget?

10.3

33

Common terminologies1. Bay windows

• It is something you can surrender or give away during budget negotiations or eliminate if your budget gets a sudden cut

• Examples of things you could consider for bay window are:

• An additional project site

• An extra workshop

• A further quarter for field trials

• A second training program

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10.4

2. Direct costs• Are costs of project inputs• E.g. personnel, travel, vehicles communication,

etc.3. Indirect costs• Are costs of items that do not contribute directly

to the project but they are sometimes important• E.g. rent, library in the institute, supervision

costs by the Director, etc.• Depending on the project, all these should be

budgeted and included in the main budget• Note: Not all donors are willing to fund indirect

costs

10.5 Elements of quality budget

• Budgets should be clear, transparent and easy to understand

• Every line item should be footnoted with unit costs

• Every budget should have a heading, and should indicate in which currency it is shown

• Figures should be rounded, usually to the nearest 000s

• Budgets should be realistic, and not greedy

• Follows the formats of the funding agency or of the host institution

10.6Tips for developing good budget

• Develop well detailed activities

• Identify all the necessary inputs required for each detailed activity

• Not under-budgeted

• Study and understand clearly those inputs the donor can fund

• Weed out the inputs available with you or your organization, cost them and present them as your contribution.

• Study and fully comprehend the budging format of the funding agency/donor

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10.7

77

• Go to the open market to find the current prices of various inputs

• Develop few bay windows to help you in negotiations

• Involve your accounts staff in budgeting

• Consider the inflation factor

• Develop a yearly requirement of inputs such as personnel, equipment, fertilizers, etc.

10.8

88

Example of scheduling inputs

Year 3Year 2Year 1

121Endocrinologist (person months)

11Economist (person months)

22Computer

5001000500Double cabin pick-up (km)

Equipment

Personnel

QuantitiesInputs

10.9

• Some donors give summarized budget format. In such cases it is advisable to develop detailed budget of every activity in your organization’s format and then aggregate to give into what the donor wants

• To improve effective budget management, it is always advisable to arrange your detailed budget according to your activities.

Example of scheduling inputs

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10.10

How do you generate your yearly budgets?

10.11Tips for generating yearly budgets

• Yearly budget is governed by:

• Work plan

• Personnel schedule

• Equipment schedule, etc.

• Sometimes donor budget limits:

• Look at your work plan to see start and end of each activity.

• Make the budget estimates for each input schedule for the activity from start to end

10.12

• Some activities take more than one year to finish. In such cases estimate how much the activity will require on yearly basis while bearing in the work plan

• Add budgets of each activity to be implemented in that year until the end of the project life

• Where partners are involved clearly indicate who contributes what

• Also indicate out of the total funding what your organization will contribute

Tips for generating yearly budgets….

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Session 10: Notes to participants: Project proposal budgets

10.1 Project proposal budgets

A proposal budget is the pricing of all the project inputs. So, if you have done a good, thorough job of

listing all the inputs, all that now needs doing is to put a price on each input. Your finance office can

probably help you with this.

Here are some tips for preparing convincing budgets. Each point will be elaborated in this topic.

Organizations should use a consistent budget format in all proposals, except for those where the •

donor has a preferred budget style or outline.

Organizations should issue budget guidelines to ensure that everyone in the institute is preparing •

budgets under the same financial assumptions, and that the same costs are offered to all donors in

all proposals.

Budgets should be clear, transparent and easy to read. (You will not be there to explain anything!)•

Every line item should be footnoted with unit costs.•

Every budget should have a title, and should indicate in which currency it is shown. •

Figures should be rounded, usually to the nearest 000s.•

Budgets should be realistic, and not greedy.•

Under-budgeting should always be avoided.•

Bay windows (explained below) can help in grant negotiations.•

Indirect costs are legitimate costs, and should be included in all budgets.•

Every proposal, no matter how small, should have a summary budget. Large projects, or full •

proposals, may require additional budgets, by partner, by site or by activity.

Budget formats: Every organization has a slightly different budget format. Some donors insist you use

their style, while others will accept whatever is usual for a grantee. Here is a fairly typical format.

Illustrative budget format

Personnel•

Travel •

Supplies and services•

Vehicles, equipment, capital costs•

Evaluation•

Indirect costs•

Inflation and contingency•

Grand total

Whichever style or format you use, be sure to use the same for all proposals coming from your

organization, unless the donor asks you to use theirs. By having your own style, you ensure consistency

in your internal financial management and allow your institute to develop a consistent budget image.

Budget guidelines: If your organization is going to have a steady stream of proposal going to different

donors, you will want to ensure consistency by issuing proposal budget guidelines. These will give

guidance to everyone in your institute who works on proposals on such things as the price of key inputs

like personnel, equipment, supplies and services, workshops, indirect costs etc. Your finance office

would be the right people to draft these guidelines for approval by your Director General and Board.

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Qualities of a good budget: A good budget should be clear, transparent and easy to read. This means

that anyone can pick up your budget and understand it, without you having to be there to explain your

cost assumptions. The paragraphs below will provide you with tips on how to ensure your budgets are

clear, transparent and easy to read.

Footnote every line item: A transparent budget shows exactly how you achieved your line item totals.

You do this by footnoting each line item with the unit cost. Here is a simplified example.

Summary budget for project X in USD 000

Line item Year 1 Year 2 TotalPersonnel (1) 15 20 35Travel (2) 5 10 15Equipment (3) 70 10 80Total 90 40 130

Three person months of a senior agronomist at USD 5000/month for both years, plus one month •

of an economist at same cost in Year 2.

One RT airfare and per diem from Site A to Australia @ USD 5000 in Year 1 and two in Year 2.•

In Year 1—USD 10,000 for seedlings, USD 20,000 for fertilizer and USD 30,000 for tools for •

farmers. In both years, USD 10,000 for renting well-drilling equipment.

Notice how the footnotes make it quite clear how you arrived at each of the totals in the budget. •

Rounding the numbers and naming the currency: We recommend rounding to make your budgets

easier to read; you can see how this is so, by looking at the examples below.

Figures for two years of a project, expressed two ways

(a) In un-rounded USD Year 1 Year 2

42,580

24,500

17,000

15,525

2,000

42,580

24,500

17,550

16,750

2,000

(b) In rounded USD 000s 43

24

17

16

2

43

24

18

17

2

You always need to explain in your budget which currency you are using. This will depend on the

circumstances and the donor. Never assume that your reader will know!

Getting your budget ‘just right’: You want to avoid a greedy budget and under-budgeting. Nothing is as

frustrating as an under-budgeted project. If you lack the funds to do a good job, you and your partners,

your donors and your beneficiaries are all going to be disappointed. So resist any temptation to promise

too much for the money available. If a donor cuts your budget, you will need to cut the objectives and

activities accordingly, and you need to make clear to the donor that fewer outputs will be delivered.

At the same time, a padded, greedy budget will turn off your funder completely. Do not be tempted to

inflate salaries or travel costs. Some eagle-eyed finance person in the donor agency will catch all and

any inflated unit prices.

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In sum, offer a moderate, realistic budget within which you are convinced that you can deliver the

promised outputs.

Bay windows: A bay window (one that juts out in a semi-circle) in a new house in an ‘extra’—something

nice but not essential. A bay window in your project is the same thing—something that you would like

to include in your project, but something that you can do without if necessary.

A bay window is therefore something you can give away during budget negotiations or eliminate if your

budget gets a sudden cut. We recommend you consider including one or two bay windows in your next

project designs. Here are some examples of things that would qualify:

an additional project site•

an extra workshop•

a further year of field trials•

a second training program•

Notice that these are extra project elements, not inflated prices. Their inclusion will not annoy your

potential donor, and, if you are lucky, you will be able to keep all your bay windows!

Indirect costs: All projects have direct costs—these are the inputs to the project, as we have described.

In addition, a project has indirect costs. These are the costs of things such as rent and lighting in your

office, the library in your institute, the services of your finance office, the supervision of your DG.

You need these items to implement the project, but only a little bit of each, and it is very difficult

to say exactly how much of each will be needed for each project. To spare you the time and effort

involved in calculating how much of these items you need for each project, the convention is to use an

indirect cost recovery rate. All organizations do this, both public and private sector. Basically, the rate

is obtained by dividing all the costs not directly attributable to specific projects, and dividing that by

the number of activities and projects.

Indirect cost recovery rates vary greatly, depending on the type of organization. In the business of

research and development projects, rates of 10– 40% are common.

Not all donors are willing to pay for indirect costs. If not, you can claim this cost as part of your

matching funds, and your contribution to the project. But other donors will pay, especially if you

charge all donors (even if they don’t pay), and your rate is properly derived and audited. Once a donor

has paid your indirect cost recovery rate on one grant, they will likely do so in all future grants, so it

worth negotiating on this.

Back-up budgets: We have noted several times that all proposals, even the shortest of concept notes,

when submitted to a donor, should be accompanied by a one-page project summary budget. Often

this is all that you will need to at least arouse a donor’s interest in your idea. But in a large, complex

project, involving one or more partners and perhaps several countries, you are likely to need back-up

budgets to fully explain your project.

One thing we recommend is that you consider giving each partner (and your institute) a separate

budget. If you and your partners sign off on these separate budgets before submitting the proposals to a

donor, this will prevent any kind of argument about the allocation of project funds. Some donors now

require these separate budgets, for the same reason—they don’t want fights about money to slow down

project implementation.

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You may also want to give more details about the specific costs of certain project activities, like field

trials, or study tours, or training courses. Use your own judgement. The intent of these additional

financial details is to give your reader confidence that you have carefully thought through all the details

of your project, including what it will cost.

Often, too, the donor will have financial requirements for a full proposal, and you will learn about

these in discussions or through filling in the appropriate forms.

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Trainer’s guideSession 11: Project background and summary section

Session objectives By the end of this session participants will:Identify the main issues considered in writing the background and summary •sections of a project proposal

Training materials Assorted markers •Felt pens•Flip charts•

Time needed 2:15 hrs

Method of facilitation

Activities Contents Time

Plenary discussion Ask at least 2 participants to describe the difference between abstract, summary and background 5 min

Plenary presentation Project background and summary section 30 min

Plenary interaction Trainer gives an opportunity to participants to ask questions, contribute or raise their opinions. If there are any ‘light bulbs’, participants are encouraged to share them with others.

10 min

Summary Trainer summarizes the salient features of the session and announc-es end of day

Handouts and reference materials

PPT: Background and summary section

Reading notes on project background and summary section

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Session 11: Summary of presentation slides: Project background and summary sections11.1

Background section and summary

11.2Headings in the background section

• This section of the proposal, which comes early on, after the summary, can take different headings depending on the donor.

• Justification (good reason, explanation, validation, rationalization)

• Context (situation, perspective, framework, circumstance, environment)

• The problem (puzzle, question, challenge, obstacle, predicament)

11.3Headings – (cont’d…)

• Need for the project (can imply justification, context, problem to be solved and rationale)

• Background (setting, environment, surroundings, conditions, circumstances)

• Rationale (basis, foundation, justification, motivation, underlying principles)

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11.4

Background — Sequence of preparation

Whatever you call it

• This section guides you in your writing of the proposal. It sets the context and sometimes with reviewed literature for your proposal

• This is one of the places where you can best ‘sell’ your project to the donor

• Independent of when you write the background section make sure you revisit it once project proposal is complete

11.5

Background — Style and presentation

• Be as short and sharp as possible (length depends on the type of proposal)

• Avoid telling your reader facts they already know, and those that have nothing directly to do with your project

• Resist the urge to tell your reader basic facts and figures about the country in which you plan to work, unless these figures are either new or startling, or have a direct bearing on your work

11.6

Background — Style and presentation…

• Try to be careful in your use of language• It is very helpful to have a friend, outside of your

area of focus/expertise, read your background to make sure that the language is readable and minimizes the use of: • Jargon• trendy or "in" words• abbreviations• colloquial expressions• redundant phrases• confusing language

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11.7

Background — Style and presentation..

a. will extend the work that has been previously done,

b. will avoid the mistakes and/or errors that have been previously made,

c. will serve to develop stronger collaboration between existing initiatives, or

d. is unique since it does not follow the same path as previously followed

Position your project in relation to other efforts and show how your project:

11.8Background — Style and presentation…

• It is essential to include a well documented statement of the need/problem that is the basis for your project

• What are the pressing problems that you want to address?

• How do you know these problems are important?

• What other sources/programs similarly support these needs as major needs?

11.9Background — Style and presentation…

• You have already taken some small steps to begin your project

• An excellent small step that can occur prior to requesting funding is a needs assessment that you conduct (survey, interviews, focus groups, etc.)

• If you have written up your need assessment as a short report, cite it in your background section

It can really help gain funding support for your project if:

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11.10Background — Style and presentation…

• A good background section is a page or less in a concept note, and at maximum three pages in a long (30–40 page) full proposal—exception may be thesis proposal

• You can make it easier to read by illustrating your text with a few well-chosen graphs, pictures and/or diagrams

• Organize the text with sub-headings • Make the location, the beneficiaries and their

problems come alive for the reader• Ensure logical flow

11.11

Background — Style and presentation…

• The problem and why it is urgent

• What has already been done

• What is the knowledge gap

Among others, always use the following two sub-headings both in the concept note and in the full proposal:

11.12Background — Style and presentation…

At the end of the sub-section “What has already been done”, your reader should have no doubt that the project you are proposing is the next logical thing that needs to be done. So the section that follows, goal and objectives, will follow seamlessly in the readers mind. If you can create this feeling in your reader’s mind, you will have succeeded in writing a good background section

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11.13

Background — Style and presentation…

• Check to see that the potential funding agency is committed to the same needs/problems that your proposal addresses

• Clearly indicate how the problems that will be addressed in your project will help the potential funding agency in fulfilling their own goals and objectives

• As you write, keep the funding agency in your mind as a "cooperating partner" committed to the same concerns that you are

11.14

Summary

11.15

Summary versus abstract

• Sometimes used interchangeably

• They both serve to reduce long text to essential key points

• A summary usually concentrates on the essentials of a larger thing

• Abstract is a more specialized form of summary –shorter, clearer

• Summary is a little detailed-out version of abstract

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11.16

Summary….

The summary is a very vital part of the proposal

• It comes first

• It may be the only part that some people ever read

• It summarises the whole project

• Although it comes first, it cannot be written until all the other sections of the proposal are complete

11.17

• Always write this section last

• Refer to all the other sections in your summary

• Take great care with the wording

• Be as brief as you can. Two pages for a long document is acceptable—one page is even better

Summary/Abstract….

11.18

• In a proposal to a donor, highlight any known donor interests

• Write simply and directly

• Include the specific request for funds in the first, or latest the second sentence

Summary/Abstract….

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11.19

• Be specific and concise

• Do not go into detail on aspects of your proposal that are further clarified at a later point in your proposal

• The project summary should "paint a picture" of your proposal in the mind of the reader

• It should establish the framework so that the rest of the proposal has a frame of reference

Summary/Abstract….

11.20

• Use the project summary to begin to show your knowledge of the organization from which you are requesting funds

• Key concerns of the funding organization can be briefly identified in relation to your proposed project

• If you will be collaborating with other organizations make sure some of their interests are also highlighted in the summary. This can assist in strengthening the collaboration by recognizing them at the very beginning of your proposal

Summary/Abstract….

11.21

• Prepare the project summary after you have completed the entire proposal (and you understand all aspects of your proposal very well)

• Insert this last piece of writing at the beginning of your proposal

Summary/Abstract….

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Session 11: Notes to participants: Project background and summary section

11.1 Project background

This section of the proposal, which comes early on, after the summary, may have a number of titles,

including (sometimes can be used interchangeably):

Justification (good reason, explanation, validation, rationalization)•

Context (situation, perspective, framework, circumstance, environment)•

The problem (puzzle, question, challenge, obstacle, predicament)•

Need for the project (can imply justification, context, problem to be solved and rationale)•

Background (setting, environment, surroundings, conditions, circumstances)•

Rationale (basis, foundation, justification, motivation, underlying principles)•

Sequence of preparation: Whatever you call it, here are some tips on preparing this section well. Most

importantly, do not write this background section first. Many novice writers think this is the place to

start, but it is not. This is one of the places where you can ‘sell’ your project to the donor, and it should

not be written until you have completed all the sections covering the ‘heart’ of your project design—i.e.

goal, objectives, activities, outputs and budget.

Style and presentation: As you will learn from the module ‘How to write for non-technical audiences’,

the background section is a place where you can use a different style of writing—it is a place where

you can write with more urgency and passion than in other sections.

One of the things you should avoid is telling your reader various facts they already know, and that really

have nothing directly to do with your project. Resist the urge to tell your reader various basic facts and

figures about the country in which you plan to work, unless these figures are either new or startling, or

have a direct bearing on your work. A donor working in Cairo once told me that she would scream if

she received one more proposal telling her that ‘the Nile is the longest river in Africa’.

The key to a good background section is to be as short and sharp as possible. A good background

section is a page or less in a concept note, and at maximum three pages in a long (30–40 page) full

proposal.

You can make it easier to read by illustrating your text with a few well-chosen graphs, pictures and/

or diagrams. You need to organize the text with subheadings. And you should refer to your sources,

although without the need for footnotes, as in a journal article.

The sort of style that is highly appropriate for a background section of a proposal is that used in the

science and technology section of the Economist magazine. You should try to make the location, the

beneficiaries and their problems come alive for the reader by using interesting words, and arresting

examples. Short sentences and words will make your piece easy to read and give your reader an idea

of the urgency of the problem.

We recommend that in the next few proposals that you prepare you always use the following two

subheadings:

The problem and why it is urgent•

What has already been done•

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These two subheads are recommended for use in the concept note, and are equally recommended for

the full proposal.

You need the heading: ‘The Problem and Why It Is Urgent’ for several reasons. For one thing, if the

problem isn’t urgent (compared to other things) why should it be done? And if it isn’t urgent (compared

to other projects) why should the donor fund it? And if the beneficiaries don’t want it badly, why should

time and money be spent on it? By using this sub-heading you can be sure that every sentence under it

will be directly relevant to ‘selling’ your project to the donor.

Using the subheading ‘What Has Already Been Done’ is equally important, as it will remind you that

all projects build on what has happened before. Your readers want to know where your project fits in

the array of activities that have gone before.

By citing the work of others in your field you show you know the field and demonstrate your scientific

credentials; not including this section by contrast, betrays your ignorance and will not create a good

impression on your reader. Always mention any other relevant donor projects—on the same topic in

other countries, or on related topics in the same country. It is your business to find out about these, by

asking, by searching the web, or by whatever means.

At the end of the sub-section ‘What Has Already Been Done’, your reader should have no doubt that

the project you are proposing is the next logical thing that is needed. So the section that follows,

Goal and Objectives, will follow seamlessly in the readers mind. If you can create this feeling in your

reader’s mind, you will have succeeded in writing a good background section.

11.2 Topic 15: Project summary

The summary is a vital part of the proposal—it comes first, and it may be the only part that some people

ever read. Although it comes first, it cannot be written until all the other sections of the proposal are

complete. So you should write this section after you have finished all the ‘heart of proposal’ sections,

as well as the background.

You need a summary for all proposals (or reports, or other forms of writing) longer than, say, six or seven

pages. For shorter proposals, or reports, a brief introductory paragraph or set of bullets (as for example

when writing a concept note) is all you will need.

Here are some tips for preparing a good summary:

Always write this section last•

Refer to all the other sections in your summary•

Take great care with the wording•

Be as brief as you can. Two pages for a long document is acceptable—one page is even better•

In a proposal to a donor, highlight any known donor interests •

Write simply and directly•

Include the specific request for funds in the first, or latest the second sentence.•

In the exercise below, you will find an outline of a summary for just about any type of proposal. If you

use this outline, and fill in the blanks with details of your project, you should have prepared a simple,

direct and inclusive proposal summary. Try not to leave any blanks, unless the sentence really does not

fit your project.

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I suggest that until you get proficient at writing summaries of our own, you continue using this outline

for proposals to donors who do not have specific proposal formats of their own.

Exercise for Topic 15: Please review the concept note titled ‘Sweet smells and tangy tastes: reviving

the essential oil industry in White Land’s coconut-growing areas’, at the bottom of this page. Use the

material in this concept note to prepare a summary using the sample outline that follows. Use your pad

and pencil to take notes and check your notes with the explanation provided.

11.3 Sample outline for a proposal summary

This proposal requests … (name of donor) to provide USD … for … (name of your organization) and

… (names of partners) to … … … (project objectives summarized) in … (location of project). The

proposed project will take … years, and involve a team of … (give the positions).

The need for this project is urgent. (Tell why in one or two sentences. If possible refer to related donor

projects)… … The proposing team is anxious to achieve the desired outputs and impacts as soon as

possible. To do so, the team will … … (summarize the project activities in one or two sentences).

This project builds on previous work by …… (your organization, others) that has …… (tell what has

already been done). The beneficiaries, …… (describe them in a phrase), are eager to participate in

the project. …… (the names of your organization and any partners) are ideally suited to conduct the

proposed project… … (tell why in a sentence or two).

As a result of this project, … … (the anticipated impact) should be experienced by the end-users by …

… (estimate a time).

11.4 Sample concept note to use for this exercise

11.4.1 White Land

Project title: Sweet smells and tangy tastes: Reviving the essential oil industry in White Land’s coconut

areas.

Expected budget and duration: USD 600,000 over three years; of which approximately USD 400,000

is requested as a grant from donor x

Partners: Department of Horticulture scientists with assistance from University of White Land

Location and sites: Three White Land coconut areas

Related donor projects: (to be completed when potential donor is identified)

11.4.2 The problem and why it is urgent

About 150 years ago, White Land had a thriving and profitable essential oils sector, centred on the

export of ilang-ilang oil to Europe. World War I led to the closure of most firms in the business,

and subsequently production moved to French territories, leading to the death of the whole industry.

However, White Landers never lost their taste for essences and oils, and today the country imports over

3500 metric tons, with a value of more than USD 25 million.

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The Government of White Land’s budget is stretched to the limit, so savings of this size can make a

real difference, freeing up funds for high-priority investments in women’s health and education. These

essence crops having once grown, there is no doubt that they can once again flourish in White Land.

In particular, Department of Horticulture scientists believe that the country’s large coconut areas offer

the ideal location, offering both shade and nitrogen nutrition for the young plants.

11.4.3 What has already been done

For the past five years, scientists from the University of White Land have been helping staff of the

Department of Horticulture to identify crops that might be grown in the country to lower the nation’s

import bill. Last year, essential oils surfaced as one of the top six possibilities as described in a paper

widely circulated to government and university personnel. The paper made exciting reading for two

staff of the Plantation Crops Division, who saw the essential oils idea as a way to reignite interest in the

stagnant coconut plantation sector. The two principal proponents of this project, Dr CCG and Ms RAR

of the Plantation Crops Division, felt that coconut would offer the ideal environment for a pilot project

to test the feasibility of bringing the essential oils industry back to life in White Land.

11.4.4 Project goal, objectives, and activities

The goal of the project is to create new agriculture-based industries in White Land while cutting the

cost of importing agricultural products into the country.

The general objective of the project is to determine whether essential oils can be cost-effectively grown

in White Land’s coconut plantation areas.

The specific objectives of the project are: (1) to determine the levels of nitrogen and shade under

coconut canopies that will provide optimum growth and development conditions for selected essences,

and (2) to identify which of six selected essences are most suitable for cultivation under coconut.

The following activities will be undertaken:

The project team (consisting of the two principal scientists and a research associate from the •

University) will select three coconut areas with the following features:

Site A, with newly planted coconut, representing 0% shade•

Site B, with coconut providing 25% shade•

Site C, with coconut providing almost overlapping canopy >75% shade•

In each area, during Months 2–3 of the project, staff of the selected coconut plantations will plant •

six essences (sweet basil, lemon grass, citronella, vetiver, peppermint, and spearmint).

In each area, plantation staff will apply three nitrogen fertilizer levels (0, 30, 60 g/plant).•

The principal scientists will supervise the gathering and analysis of data on key morphological and •

physiological features over the three years of the project, using a two-factor factorial experiment

(shade x fertilizer level) format.

11.5 Inputs and project management issues

The project will require personnel expenses and maintenance and operating expenses. Staff time

required will include three person-months/year by the two principal scientists and four person months/

year by a university research associate. Graduate students will help with data gathering and analysis.

Labourers will be hired from among the plantation staff. The project will purchase seedlings and

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fertilizer and use a Department of Horticulture motorcycle as the project vehicle. The Department of

Horticulture will be responsible for all aspects of the project, from grant compliance to production of

reports. The University of White Land will be working under a subcontract.

11.6 Beneficiaries, outputs, and impacts

The main output of this project will be a report published by the principal scientists at the end of Year 3,

reporting on the experiment, identifying which essences are particularly suitable for cultivation under

coconut, and making recommendations on the production technology for those essences that proved

most successful.

The impact of the project will depend on the results of the experiment. If, as expected, several of the

selected essences are found to thrive under coconut, the project has the potential to revive the entire

essential oils industry in White Land. In this case, the impact will be at both the micro and macro

level. On the one hand, consumers in White Land will be able to purchase the essences they need

on a local market at cheaper, local prices. On the other hand, the White Land economy will benefit

through savings on the import bill, the creation of new jobs in the revived industry, and the expected

boost to the stagnant coconut plantation sector. These impacts are likely to be felt gradually, starting

approximately one year after publication of the project’s final report, as commercial planting and

growing of essences takes hold. The full impact of the project will likely not be felt until a decade after

the project is over. If the experiment has a positive outcome, it will have many beneficiaries. These will

include essential-oil consumers, those who work and invest in the coconut plantations, and ultimately

all citizens of White Land, who will benefit from the improvements to the country’s economy.

11.6 Budget issues

The requested funds will be used to remunerate University of White Land staff and coconut plantation

labourers, and for the purchase of project inputs such as seedlings and fertilizer. The Department of

Horticulture will pay for the time of the principal scientists, but will charge an administrative fee of just

over USD 12,000 per year for managing the project and its grant funds.

11.7 Project cover letter

Cover letters for solicited and unsolicited proposals: In this module we have been trying to give you

advice about how to write proposals to submit to international development donors. As we said at the

beginning, if you are responding to a competitive grants program, the call for proposal will include

instructions of how to bid, and these instructions will almost certainly give you advice about what to put

in your cover letter. Usually this letter will give details of your eligibility to compete in the program.

But if you are not responding to a request for proposals, but rather writing to a donor who did not solicit

(ask for) your proposal, you need to craft a rather different cover letter. You will need a letter that both

serves to introduce your proposal, and also paves the way for you to find out what the donor thinks

about it.

To whom should you write, and who should sign: The first thing you need to decide is to whom

you are going to write. By this stage in the project development, you should already have had some

correspondence with the donor, in connection with preparing your concept note. It will have been

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because the donor liked you concept note that he or she asked you to prepare a full proposal. So you

may want to write to the person you have been dealing with. But you may also want to write to the most

senior person in the donor organization—i.e. go right to the top. You may wish to do this, because you

know that that person will be making the final decision. Or you may have been told by your contact in

the donor agency that that is what you should do. Note that if you do address the letter to the local or

regional director of the donor agency, you should write the letter for the signature of your own senior-

most person, i.e. your Director General.

In fact, that is always the rule—that the person addressed and the person who signs the letter should

always be about the same level.

You, as the author of the project, may be required to draft the cover letter, but the person who signs it

will probably want to edit it before she or he signs.

Tips for writing a good cover letter: As with all letters, you should write with the reader in mind. (There

is much more on this topic in the sister module ‘How to write for non-technical readers’, which you

may wish to consult before drafting a cover letter.) If the person signing the letter knows the person to

whom you are writing, make that clear in how you write. For instance, refer to any previous interaction

between the two.

By all means, refer to your donor’s interests and related projects. If possible, show how the proposed

project builds on work that has been funded by the donor. Highlight the importance and urgency of the

problem the project is addressing. Explain that the scientists, their partners, and the beneficiaries are

almost eager to have the project start soon.

Conclude with a ‘hook’, i.e. a follow-up comment that opens the door for you to find out what the

donor thinks of what you sent. For example: ‘If we have not heard from you by next month, we propose

to call you by phone to get your impressions and suggestions for how the proposal could be improved.’

Of course you must not be too pushy or rude, so depending on the nationality or cultural background

of the donor, you may want to be more gentle on this point. However, you do want to be able to follow-

up on your submission, and not just sit there, wondering if the proposal arrived, and if anyone at all is

reading it!

Here is an example of a really good cover letter. It benefits from the fact that the two people involved

know each other quite well. As you read this letter, try to see why it works so well.

11.7.1 Example of a good cover letter

Dear Martin:

It was a pleasure to meet you again to my visit to the EU offices in July, and I look forward to meeting

you again in Washington this October.

I am pleased to enclose a proposal modelled closely on the guidelines we received from your office.

It is a three-country proposal on arresting ever-increasing and livelihood-threatening water loss and

soil degradation. The project is designed to have a positive impact on the agricultural productivity

of India, Myanmar and Vietnam. We estimate that this impact will be felt by up to 130 million poor

farmers, nearly half of them women. In fact, the research will have direct benefits on the conservation

and sound management of soil resources throughout the semi-arid areas of Asia, and builds directly

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on a number of EU-supported activities involving farmer participation in watershed management now

underway in India.

Attached to our proposal are letters of support from our partners, expressing their eagerness to begin

work on the projects soon, as well as requests for the project that we have received from water user

association leaders throughout the targeted countries, and from politicians representing those areas. In

line with your funding limits, you will notice that the proposal calls for support of just under Euros 3

million over the five year life of the project.

Martin, I will look forward to hearing your reaction to our proposal when we are both in Washington

next month, and in the meantime, I wish to thank you for your continued support for our institute and

its important work.

With warm wishes,

Jim Johnston,

Director General

Institute for Agricultural Research

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Trainer’s guideSession 12: When and why should a scientist report research?

Session objectives By the end of this session participants will:Apply the ABC of reporting and communicating research results•Know when to communicate research results•

Training materials Assorted markers •Felt pens•Flip charts•

Time needed 1:30 hrs

Method of facilitation

Activities Contents Time

Plenary discussion Brainstorm with participants on why scientists should report their research results

20 min

Plenary presentation When and why should a scientists report research 5 min

Group exercise Participants share in subgroups what best practice and challenges they have experienced. Write on cards—green for best practices, red for challenges.

10 min

Summary Trainer summarizes the session 5 min

Break Health break

Handouts and reference materials

PPT: when and why should a scientist report research

Reading notes on when and why should a scientist report research

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Session 12: Summary of presentation slides: When and why should a scientist report research?12.1

When and why should a scientist report research

12.2

Communicating science• Research in agricultural development is only of

value if the results are understood and applied

• Collation and transmission of the results of research in a manner that it can be accessed and used by others

• Communicating science usually means communicating new knowledge or summarizing the present state of knowledge

12.3

• Demands and responsibilities of communicating research depends on the scope and intended audience

• “When” and “To Whom” research results needs to be communicated are fundamental

• ABC

• Accurate and audience-adapted

• Brief

• Clear

When a scientist reports research

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12.4Key questions to be addressed..

• Who are you addressing - scientists who are specialists in your field of research, a wider group of scientists, fellow students, or public audiences?

• Why is your message important? Why are you communicating it?

• What are your main findings or “take-home”messages?

• How can you best deliver your message and satisfy the audience’s needs?

12.5Scientific vs. popular science writing

Scientific PaperPopular Science

Article

•Different Target Group•Different Organizations•Language and lay out

• New knowledge• Enable others to repeat

experiment and check info –references

• Logical and clear IMRAD format

• Technical terms• Tables and figures

• Knowledge Review• Arouse interest• Teach/influence

the reader• Illustrations and

headings as a tool to facilitate reading and understanding

• Examples

12.6

• Peers or peer group — colleagues or competitors• Decision makers — administrators, donors, or

policymakers• Other stakeholders

• Farmers• Extension workers• Farmer organizations• Private sector

• The general public – ‘educated’, ‘general’, ‘student’

Audiences for research results

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12.7

Written presentations

• Books and book chapters

• Review papers

• Journal articles

• Science magazines

• Newspaper articles

Platforms for communicating research

12.8

Written presentations

• Extension leaflets and posters

• Conference posters

• Annual reports, quarterly reports, and project reports

• Conference abstracts

• Conference/Workshop proceedings

• Letter to journals and book reviews

Platforms for communicating research (cont’d….)

12.9Oral presentations

• Conferences

• Seminars and workshops

• Project planning and donor meetings

• Outside talks and media interviews

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12.10Why do research scientists report

The reasons may be personal and/or institutional and range from the noble to the less-than-noble

• Communicating for the good of others

• Publish or perish

• Establishing a reputation

• Getting connected to the conference world

• Financial rewards

• Contributing to science

• Communicating “public goods”

• Describing and publicizing new animal breeds/ varieties

12.11

Timing – when there is no deadline

• Researchers can sometimes choose the timing of their communication

• Refereed journals, for instance, will accept papers at any time

• Popular outlets (radio, television, newspapers, and magazines) are interested in any good story whenever it occurs

• A newsletter can be published at regular intervals• Special editions can be prepared whenever

research results suggest.• Unsolicited (sole source) proposals can be

prepared and submitted whenever the researcher is ready

12.12

Timing — when there is no deadline

• Researchers can sometimes choose the timing of their communication

• Refereed journals, for instance, will accept papers at any time

• Popular outlets (radio, television, newspapers, and magazines) are interested in any good story whenever it occurs

• A newsletter can be published at regular intervals• Special editions can be prepared whenever

research results suggest.• Unsolicited (sole source) proposals can be

prepared and submitted whenever the researcher is ready

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12.13

Timing, when a deadline is critical….• Researchers may be involved in consultancy

work

• The researcher’s reputation as a consultant rests on the delivery of well-written and timely consultancy reports

• In cases with a strict deadline, timeliness must always take precedence over other motives for communication.

12.14

Thank you!

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Session 12: Notes to participants: When and why should a scientist report research?

12.1 Introduction to scientific writing

Research in agricultural development is of value only if the results are understood and applied.

Although how this is done is a matter of great debate, clearly of major importance is the collation and

transmission of the results of research in a manner that it can be accessed and used by others. However,

much research in agricultural development often remains in files, notebooks, document folders, on

computers or in little seen or distributed ‘internal’ reports and is never exposed to the judgment or

scrutiny of the broader research community. One of the reasons for this is a lack of training, experience

and confidence in the skills and processes of bringing results to other potential users in an acceptable

form.

12.2 Scientific communication occurs in many forms

Science can be communicated in different forms. The notable ones are: Papers in scientific journals,

reports, conference papers and abstracts, graduate and postgraduate theses, review papers, proposals,

popular science articles, newspaper articles, oral presentation and posters. They do have some

commonalities but also differ in certain aspects. The audiences may be different, and the objectives may

also change. Communicating science usually means communicating new knowledge or summarizing

the present state of knowledge.

12.3 The ABC of science communication

Any scientific communication should be:

Accurate and audience-adapted•Brief•Clear•

Communication is a two way process. Information cannot merely be delivered; it must be received and

understood as well.

Some components of effective communication

Figure 1. Components of effective communication.

Message Who? Why? What? How?

Frame of

reference

AudienceQuestion

Writer/speaker

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12.4 Key questions to be addressed

Who are you addressing scientists who are specialists in your field of research, a wider group of

scientists, fellow students, or public audiences?

Why is your message important? Why are you communicating it?•

What are your main findings or ‘take-home’ messages?•

How can you best deliver your message and satisfy the audience’s needs?•

12.5 Scientific vs. popular science writing

Scientists usually communicate the same topic in various ways and to different audiences•

Conference papers and posters presented at a conference are not peer reviewed•

The core communication of new research results is a paper published in scientific journals.•

Scientific paperPopular science

article

Different target group

Different organizations

Language and layout

New knowledge

Enable others to repeat experiment and check info — references

Logical and clear IMRAD format

Technical terms Tables and figures

Knowledge review

Arouse interest

Teach/influence the reader Illustrations and headings

as a tool to facilitate reading and understanding

Examples

Figure 2. Scientific vs. popular science writing.

However, a scientific paper should be original documentation of research results and requires precision.

It should be logical and clear (others can repeat and check) and always give reference to original

source. The common features to both are that they awaken the interest of the reader and present

reliable information.

12.6 When a scientist reports research

12.6.1 Introduction

During the career of a researcher, including that of a natural (or social) scientist working in agricultural

development, the demands and responsibilities of communicating research will clearly vary both in

their scope and their intended audience. Junior scientists will communicate research for which they are

responsible differently from the manner in which Program Leader, Head of Station, or even the Director

General of an International Centre communicate work for which they are (ultimately if indirectly)

responsible.

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At the individual level, be it junior researcher or Director General, questions of ‘When’ and ‘To Whom’

research needs to be communicated are fundamental to later ‘How’ decisions—the main focus of this

module. While the most common and obvious audience for research findings are others working in the

same field, researchers will at times communicate to a hole range of other audiences, with more or less

interest and involvement in the research and its potential contribution to science and development.

12.6.2 Audiences for research

Peers

A peer group is an undefined, but broad group of researchers, trained and specializing in the same

general area, to an equivalent or higher level, and with equivalent or higher levels of experience

and seniority. These qualities remain the foundation of judgments as to the quality and relevance of

research, most obviously through the practice of ‘independent peer review’ by which research journals

decide whether to accept articles and papers for publication.

A peer group may be divided into specialists, who understand precisely and closely the area of research

and are up-to-date with recent developments, and scientists in closely related areas with a greater or

lesser interest and involvement in the work. Your ‘peers’ are your colleagues. But in some instances,

they are also your competitors, for both ideas and for research funding (and of course promotion). In an

era of intense competition for all of these, the concept of a community of researchers collaborating in

joint pursuit of a common ‘higher’ goal (to which the open communication of research may contribute)

may well seem outdated and naïve.

Decision-makers

In public research (whether national or international), researchers generally work within institutes. These

institutes are themselves generally part of larger organizations and research systems. For example, a

‘Dairy Research Station’ may be part of an ‘Institute for Animal Research’, which is in turn a component

of a nation’s ‘Agricultural Research Council’. Such public systems rely on donor funding from various

sources, whether private, national, or international. A researcher may be working at an institute, with

laboratories, field trial facilities, etc. However, decisions concerning areas and priorities for research

for funding may often be taken at places and levels far removed from where such work will be carried

out.

Researchers may therefore have a direct interest in attempting to communicate both the success

and significance of their activities to ‘decision-makers’—administrators, donors, or policymakers—

at institutional, national, and international levels. If you truly believe your work is valuable, these

people are an audience you will want to influence. Although in some cases, members of this audience

may be former researchers, most administrators, donors, and policymakers have different educational

backgrounds, perspectives, and priorities, as well as different budgets and time horizons. They are not

researchers, and they do not think like scientists.

Administrators will answer to senior directors and political masters (for example Government ministers).

Donor representatives will have to justify their grant decisions both to their host and home governments,

and ultimately, if indirectly, their home country taxpayers. Policymakers at all levels must answer to

supervisors far removed from the individual researcher trying to explain the importance of his or her

work.

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Other stakeholders

This module does not seek to identify the precise place of researchers in agricultural development.

However, scientists today are expected to do more than ‘simply’ conduct and publish research. Many

national agricultural research systems (NARS) have made great efforts to integrate research with

extension activities. The whole concept of what constitutes the NARS of a country is increasingly

flexible and open. The ‘Farmer First’ paradigm, and the current emphasis on participatory research,

requires researchers to be aware of, learn from, be involved with and address a much wider group of

those involved in agriculture than simply the researchers’ own ‘peer group’.

Clearly, addressing extension agents or farmers requires totally different styles and methods of

presentation than that of the peer-reviewed journal article. Understanding these differences, and being

able to communicate plainly and appropriately to a broad and diverse constituency, is a necessity for

researchers today. Unfortunately, many researchers, despite their years of specialist training, often lack

the skills needed to address lay audiences or untrained farmers to whom their results ultimately are

most directly relevant.

The general public

Although farmers are part of the public, ‘the general public’ in this case is defined as those not directly

involved or influenced by agricultural research. There are special skills in communicating with the

public. Media stars (for example, the botanist David Bellamy in the UK and the evolutionist, the late

Stephen Jay Gould in the US) exist, and can make the world of science come alive for audiences with

no training whatever in their fields. But most researchers often have little training and experience in

directly communicating with the public.

For convenience, the public may be divided into ‘educated’, ‘general’ and ‘students’. Whilst the

educated public may be prepared to read the results of research in ‘serious’ newspapers, magazines,

or radio or programs, the ‘general’ public may only become aware of results through more popular

channels. In both cases, control of what is presented resides with the journalist and his/her editor, along

with the simplification and inaccuracy their own lack of training may imply.

A researcher may communicate with ‘students’ by direct teaching, for example in project work for

university degrees. At institute open days, researchers may address visiting schoolchildren or other

members of the public with little training or specialist knowledge. Communicating with the general

public will likely often play only a minor role in a researcher’s life, and be perhaps viewed as an

annoyance and distraction from ‘more important’ things. However, such advocacy may play an

important role in both creating awareness of research findings and generating and maintaining support

for research. Ultimately, it is the general public that pays for most agricultural research.

12.7 Why do research scientists report?

Researchers have occasion to communicate with many different audiences as a normal part of their

professional lives.

Some of these audiences include:

Other researchers (in their discipline, or in related fields)•

The intermediate and end users of their research (e.g. extension agents and farm families)•

Those that fund their research (national treasuries, international donors, the private sector)•

The general public (interested in their field, or otherwise).•

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As also discussed in the previous session, there are many different ways in which researchers can

communicate their work. These include:

Research journals, reviews, conference papers, theses, etc.•

Extension manuals, posters•

Newspaper and magazine articles, radio broadcasts•

Newsletters, brochures, leaflets•

Concept notes and proposals•

This session looks at the various reasons why researchers communicate. The reasons may be personal

and/or institutional and range from the noble to the less-than-noble. All motives exist, and all need to

be recognized as operating in the context of agricultural research.

12.8 Communicating for the good of others

Many researchers are motivated by the desire to make the end users of their research better off. They

want farm families to be better nourished by the improved crop varieties they are breeding. They want

farm incomes to increase as a result of the better water management techniques they have identified.

They want widows in war-torn regions to have a source of income from the poultry practices they have

identified as being the most suitable for a given region.

This is the sort of motivation that attracts development donors. It also appeals to the general public,

who can now understand why their governments support agricultural research. This form of motivation

involves communicating research results to intermediate and end users. In agriculture, this usually

means extension workers and the staff of NGOs and farmers.

To communicate successfully to audiences like this, a researcher needs to know the strengths and

limitations of his audience. Researchers need to know about the literacy levels of their readers, and their

level of scientific sophistication. It is important not to talk down to an audience; it is equally important

not to talk above the heads of a readership. The more researchers know about the people who will use

their research, the better they can communicate, and be sure their research is being used to best effect.

Time spent in understanding the self-interest of extension agents, field workers, NGO staff, female

farmers, rural youth, and similar groups will pay off in more targeted and relevant publications. It will

reflect well in project proposals and attract the interest of development donors.

12.8.1 Publish or perish

It is a fact of life that research publications are critical to the professional development of all researchers,

including those in agriculture. Some employers (e.g. at least one CGIAR Centre) expect all staff to

publish at least two papers a year in a refereed journal, or risk not having their contract renewed. More

commonly, promotion is dependent on a growing list of publications. At universities, tenure almost

always requires a respectable publishing pattern.

In all cases, research organizations love to have their staff publishing regularly, in both academic and

popular journals–institutional prestige comes in large measure from the publishing performance of

staff. And the fame of an institution sets up a virtuous circle in which the best researchers, who publish

the most, are attracted to the institutions whose personnel have the ‘best’ publishing records. For all

these reasons, the ambitious researcher seeks to establish and maintain a regular habit of publishing

research results in journals with as strong a reputation for selectivity as possible.

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12.8.2 Establishing a reputation

Fame and prestige are good motivators for some individual researchers too. In all countries, a few

researchers appear on radio and television frequently to comment on issues in their fields that are

of current public interest. Nowadays, such topics include the safety of genetically modified crops,

the effects of HIV/AIDS on rural livelihoods and agricultural labour, and rural–urban migration and

its effect on national food security. If a researcher is called upon for comments in writing or on oral

broadcasts on such issues of the day, he or she may achieve a level of fame that can make a significant

difference to future employment prospects.

12.8.3 Getting connected to the conference world

Recognition comes from achieving respect from peers. One way to do this is through the written word

in journal articles. Another is face to face at scientific conferences. The way into the world of national,

regional, and international conferences is to have abstracts, papers, and posters for such meetings

accepted by the organizers. If the paper is of sufficient interest, the author may have his or her way paid

to the conference, and may be called upon to chair or moderate workshops within the conference.

Attendance at conferences allows researchers to network with peers, meet potential collaborators,

make their research known, and become exposed to the conventions and opportunities within the

field. To take advantage of these benefits, and to enjoy the travel opportunities of the conference world,

researchers need to learn how to prepare papers that will be attractive to conference managers.

12.8.4 Financial rewards

Few people get rich from writing journal articles. Textbook authors may receive advances and royalties

from book sales, but this is rare—academic publishing in the age of the Internet is a precarious business.

On the other hand, serious financing for research can be obtained by researchers who learn to write

convincing concept notes and proposals to attract donor support. This type of writing is both an art and

a science. It involves writing to persuade as well as writing to inform.

12.8.5 Contributing to science

Some of the most important motives for communicating research are the centuries-old motives for

contributing to science. The scientific method, to which serious researchers adhere, requires the

sharing of research outcomes as the bricks on which scientific advances are made, person by person,

experiment by experiment, thought by thought. This steady building of reliable testable knowledge is

the cornerstone of international research in agriculture, as in all other fields.

Sharing knowledge with peers one may never meet through journals is the tried and tested method

of building knowledge. Among the benefits are reductions in duplicated efforts. More importantly,

reading about the work of colleagues can inspire readers to new and exciting avenues of research.

12.8.6 Communicating ‘public goods’

Researchers whose work is funded by public sources—e.g. the staff of NARS, most universities,

and international research organizations—are generating public goods. Public funds come from

governments, and governments raise funds from taxes. So it is the people who fund this research, and

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they are entitled to reap the rewards. So the goods produced by publicly funded researchers are by

definition ‘free’. In that context, researchers publish their research results to show how they have spent

the public funds, and to make the results widely available.

Researchers whose work is privately funded, will be generating outcomes which are ‘proprietary’ and

‘belong’ to the funders. Their research results are protected by patents and other intellectual property

restrictions. However, they, too, seek to publish in refereed journals. For one thing, they want to share

ideas with others working on similar topics. For another, they wish to gain recognition for their work.

No matter how they are funded, researchers are colleagues. The history of the development of the

Human Genome Project, which rests equally on the work of public and private scientific work, is a

model of how progress can be made in a complex world.

12.8.7 Describing and publicizing new crop varieties

In some countries, publication in journals is used as a method of establishing and promoting the

existence of a new crop variety. For example, in the United Sates, certain journals accept ‘crop

registration notes’ or articles. These will generally contain at a minimum, the genetic background

of any new varieties and details of field performance characteristics, although the amount of detail

varies with the journal. In much publicly funded research (such as that carried out by CG Centres),

publication and disclosure of such information in journals is an important part of the ’international

public good’ aspect of such work.

12.9 Timing—when there is no deadline

Researchers can sometimes choose the timing of their communication. Refereed journals, for instance,

will accept papers at any time. Popular outlets (radio, television, newspapers, and magazines) are

interested in any good story whenever it occurs. A newsletter can be published at regular intervals.

However, special editions can be prepared whenever research results suggest.

Although many donors have regular funding cycles, unsolicited (sole source) proposals can be prepared

and submitted whenever the researcher is ready. So, in the absence of deadlines, researchers can

indulge other motives when choosing the timing of research communication.

12.10 Timing—when a deadline is critical

Papers, abstracts, and posters to be shared at national, regional, or international conferences have to

be prepared to strict deadlines. Similarly, when reporting to donors, the timing is specified in the grant

agreement. Depending on the donor and the type of project, reporting may be required quarterly,

half-yearly or annually. Punctual, full and well-written reports are essential elements of good donor

relations.

Researchers will be required by their Management personnel to make regular and timely contributions

to various documents and meetings. Each year, an annual report will be needed to share with all the

stakeholders of the institute, and each researcher will likely have to make their written contribution.

Similarly, some sort of reporting, perhaps through a Program Leader or Research Director, will be

needed for internal staff meetings and regular Board meetings.

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Finally, researchers may be involved in consultancy work. There is a growing trend for government

researchers to augment their scope of work through such activities. The final report is often the key

product that the client is buying, and it therefore needs to be carefully prepared and delivered on time.

The researcher’s reputation as a consultant rests on the delivery of well-written and timely consultancy

reports. This is the key to repeat business, and the meaningful financial and recognition rewards this

implies. In cases with a strict deadline, timeliness must always take precedence over other motives for

communication.

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Trainer’s guideSession 13: Structure and preparation of a scientific paper

Session objectives By the end of this session participants will:

Unders• tand the different outputs of researchStructure a scientific paper in an acceptable manner•Know when to communicate research results•

Acquire the knowledge necessar• y for preparing a scientific paper

Training materials Assort• ed markers Felt pens•

Flip ch• arts

Time needed 2:15 hrs

Method of facilitation

Activities Contents Time

Plenary discussion Ask at least 2 participants give a simple structure of a scientific paper

5 min

Plenary presentation Structure and preparation of a scientific paper 1:40 hrs

Participant interaction The trainer gives an opportunity to participate to ask questions, contribute or raise their opinions. If there are any ‘light bulbs’, participants are encouraged to share them with others.

20 min

Summary The trainer summarizes the salient features of the session 10 min

Break Lunch break

Handouts and reference materials

PPT: structure and preparation of a scientific paper

Reading notes on structure and preparation of a scientific paper

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Session 13: Summary of presentation slides: Structure and preparation of a scientific paper13.1

Structure and preparation of a scientific paper

13.2

• Most research journals state that papers submitted for consideration must “make a significant and original contribution to knowledge”

• you may have professional imperatives that are pushing you to publish before your contribution to science is truly “significant”

• Ideally a research article should contain a coherent single body of work answering one or two major questions on a major theme and generating one or two further avenues of research

• Research diverging from this major theme or subject area should be considered for separate publication(s)

The when, where, and what you might want to publish…

13.3

• Consideration of ‘where’ determines the required format for the article and also its distribution and the expected recognition that should come from acceptance of the paper by the editors

• International journals are generally considered the most thorough and scrupulous of all publication channels

• Their content may not be directly relevant to those researchers, whose papers addresses issues of regional or national importance

• Some researchers perceive that international journals are biased against authors from developing countries, perhaps because they had one or more papers rejected for publication – Not enough proof

The when, where, and what you might want to publish (cont’d…)

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13.4

• All researchers should look carefully at the contents of some recent issues of the journal of their choice to see whether the published articles address similar topics as their own article is going to discuss

• On reflection, a better journal for the paper to be written could then be a regional or national journal of science rather than the international one

• While both important and scientifically valid, research may not have the broad general applicability demanded by some well-known international journals

• A regional or national agricultural science journal could be a sensible choice, even though regrettably publishing in such journals may not carry as much scientific prestige as comes with publishing in a recognized international journal

The when, where, and what you might want to publish (cont’d…)

13.5

• Research articles and papers (in particular in the natural sciences) convey certain information in addition to new results, and generally do so in a standard manner and sequence.

• In broad terms a research paper:• Typically presents experimental work—usually a

minimum of two experiments, or field work conducted over two or more three seasons

• Explains the motivation for conducting the work• Explains the design and conduct of the work• Presents the results of the work• Proposes an interpretation and meaning of the

results• Considers the significance of the results and of the

interpretation proposed

The when, where, and what you might want to publish (cont’d…)

13.6

• The major sections required in a paper are often abbreviated in the acronym “IMRaD” meaning; Introduction, Methodology (Materials and Methods), Results, and Discussion – meat of the paper.

• Other sections are clearly necessary (a title, abstract, references, etc.) but the main substance of a paper is contained within the four sections of the IMRaDacronym

• These four components can be thought of as covering and describing different stages of the research process, those stages of “past research”, “present research”, and “future research

The structure of a research paper

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13.7

• Introduction – “Why”.

• The nature and scope of the problem being considered

• Methodology (Materials and methods) - “Where, When, and How”

• Describing the design (plus duration, location, and climate) and conduct of the experiment in sufficient detail that another researcher could repeat the work if necessary—including the statistical design used and the analysis performed.

• Model sampling procedure, method of data collection, type of analysis etc

IMRaD

13.8

• Results - “What” was found?

• Describes what was found, giving summaries of data obtained, as text, tables, figures, or graphs

• Discussion - “So What?” What does this mean?

• Contains an interpretation of the results. The discussion talks about the relationship of the results to the questions posed in the introduction, and explains how these results contribute to answering the “Why” of the research

IMRaD (cont’d….)

13.9 In addition to IMRaD, you will also need……

• A title: In preparing the title, you should use the fewest possible words to accurately describe the content of the paper

• The authors: You will need to include the names and addresses of those who conducted the research and contributed to the writing of the paper, generally with the major contributor mentioned first, as “senior author”.

• How do you determine the listing of the authors?

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13.10 In addition to IMRaD, you will also need (cont’d…)

• An abstract: This is a short (generally 200-250 words in one paragraph) summary of the objectives of the work, the methodology used, the main results, and the major conclusions.

• Acknowledgments: Here you will mention any institutes or individuals who helped in the work, provided funding, etc.

• References: You will need to prepare references for all the works cited in the text. (As you probably already know, this is one of the most time-consuming and frustrating parts of the paper to prepare!)

13.11Materials and methods

• Should describe (and if necessary defend) the design and conduct of work that has been done and is now being reported

• You should use the past tense and present the section as a narrative of steps taken by the author(s)

• You can assume that the reader has the technical vocabulary to read and understand the paper

• If the subject is unusual or highly current, it would be wise to define in lay terms any unusual technical term included in the paper

13.12Materials and methods (cont’d…)

• The underlying principle behind the ‘Materials and methods’ section is that its contents must be presented in sufficient detail that a competent reader could repeat the work

• In agricultural research, the ‘Materials and methods’section will often include details of: • study site• soil type• rainfall and other climatic information• any animals and plants (scientific name,

subspecies, strain/variety)• Design, replication• Sampling procedures, sampling size, data collected

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13.13Materials and methods (cont’d…)

• If you are reporting standard, recognized techniques they need not describe the procedures in detail. The name of the technique, plus a reference, if the technique or procedure has been described in a recognized journal is sufficient

• Do include details if the technique has been modified. You also do not need to provide detailed descriptions of simple processes such as measuring /mixing/applying fertilizer

• All names and abbreviations used should be clear and understandable and all measurements should be presented in internationally recognized SI Units and notation

13.14Statistics are methods!!

• You should include all details of experimental design andstatistical analysis in the ‘Materials and methods’ section (e.g. ANOVA, 2).

• With equipment and chemicals, ordinary procedures can be used without comment – chemical names, trade names??

• Consider using subheadings, setting out activities in chronological or narrative sequence, to make the section easier to read

• In summary, the ‘Materials and methods’ section• includes all necessary details• excludes all unnecessary details• and therefore contains only what you need to present • Should include all details so that someone else can

repeat

13.15Results

• You present the output of the work• These results are directly related to the objectives

outlined in the Introduction• It is helpful to summarize results in text and

illustrate these words with tables and/or figures• Tables: if you want the reader to focus on

numerical values• Figures: focus on relationship between variables

• The ‘Results’ section is often the shortest section of a research publication, but also the most important

• Do not present raw, unanalyzed data• Be selective, presenting only that which is relevant

to making the conclusions that you will present in the following ‘Discussion’ section

• Outliers can be left out but this requires explanation

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13.16Results (cont’d…)

• Unanalyzed results are sometimes presented as appendices in PhD dissertations, and in some annual reports such as those from individual research stations

• It is often difficult (even painful!) to leave out results obtained through hard, long work

• The results should clearly describe what was found, including statistical tests, differences, and probabilities

• Statistical significance is reported in the ‘Results’section

• Sometimes combine with discussion

13.17Tables and figures

• Are good tools to make your results easy to read and understand

• A table or a figure enables readers to see the (summarized data) for themselves, but the results remain the subject of the text (and not the tables or figures)

• You can state: “There was an inverse relationship between A and B (Figure 4).” but it should NOT say, “Figure 4 shows the relationship between A and B”

13.18Tables

• Useful for presenting analyzed summary data (e.g. means ± standard errors), level of significance

• Use them to show precise figures, as well as other (non-numeric) details, including words or symbols, to indicate location, treatments, variety, etc.

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13.19Presenting tables

• Number and present your tables sequentially, in the order in which they are referred to in the text

• If you have many tables presenting related data, use the form “Table 1.1”, “Table 1.2” (chapter 1 table 1, chapter 1 table 2, chapter 2 table 1 etc) rather than “Table No.1a”, “Table 1b”, etc

• A table should have a clear and concise title which tells what the table shows, not what the table is about

• Place your table numbers and titles above each table

13.20 Here are the key elements of a good table

• A table has column headings, which should be short and easily understood

• A table has row headings (or stub headings)

• A table has a field, the “boxes” of information in the body of the table

• A table often has footnotes, either to explain any abbreviations or symbols being used or to provide a reference if the table (or field items within it) are taken from a source other than the Results being presented

• Footnote makes tables concise and clear

13.21Constructing tables

• Avoid using long numbers, particularly in column headings. These should be presented with abbreviations e.g. 4.38 x 107 not 43,800,000

• 107 included in a column heading and then “4.38”

• If a number is less than zero, a ‘0’ should be included, e.g. 0.25

• Do not put too many items in a table, because it will become crammed and hard to interpret. If you have too few items, the table may be unnecessary

• If you have less than eight field items, you probably do not need a table and can present the results as text

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13.22Constructing tables (cont’d…)

• Arrange comparisons in columns (vertically) rather than rows (horizontally)

• Should never use more significance digits than your method justifies

• Never use a dash (-) or zero (0) to indicate absence of results – can be confused with –vesign. Use “ND” to indicate no data

13.23Constructing tables (cont’d…)

• A table should include the same group of elements down columns, and NOT across rows

• Columns with the same value throughout should not be included

• If a column has the same value all down its length (and if the value is needed) it could perhaps be better included as a footnote

• In summary, tables should be able to “standalone”, be self-explanatory (with their title and footnotes), and help to convey the results of the experiment or study

13.24Constructing tables (cont’d…)

• A text may refer to a table but a table should not to a text, or figure or another table

• Where possible, a table should be organized in a “portrait” format

• Double space every five lines for easy reading

• Avoid the use of vertical lines between columns and use few horizontal lines except as needed

• Where should a table appear in a text?

• Near the comment that refers to it

• In a manuscript to a journal, tables are put in a separate section at the end. But please indicate in the text (Table x name here)

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13.25Figures

• Figures are visual presentations of results that can save you hundreds, if not thousands of words

• Figures should be numbered separately from tables (i.e., a paper can have both a Table 1 and a Figure 1) and referred to by number in the text

• Present and number your figures sequentially, in the order in which they are referred to in the text

• Figures need a clear and concise title, which tells what the figure illustrates and allows the reader to interpret the figure without referring to the text

• Unlike with tables, the numbers and titles of figures are placed BELOW the figure

• Should focus on relationships among numbers

13.26 Major types of figures for presenting results

• Several different and commonly used types of figures available to illustrate your research paper

• Each has advantages and limitations and is best suited for the presentation of particular types of information

• The type and quantity of data help decide if an illustration is necessary• Pie charts show proportions of a single variable.• Histograms compare quantities, such as yields,

for different classes of variable.• Line graphs show trends and relationships or

other dynamic comparisons of continuous variables

• Scatter diagram

13.27Constructing a figure

• A figure should be simple enough to get the message across instantly

• Figures should be in black and white if possible -Color and grey shading can look good, but add to costs

• Changes from the original colors may occur during printing and cause further confusion

• If axes are used they should have brief informative titles (legends) and include any units of measurement

• Axes should not extend much beyond the range of the data

• Remember, results may be presented as either tables or figures, NEVER as both

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13.28Discussion

• Discussion section of a scientific paper contains an interpretation of the results

• The results are related to the original objectives (as set out in the Introduction section)

• The discussion answers the readers’ question “So what?” by explaining what the results “mean”

• Can also include limitations

• Indicate future research if evident

• You should not include in this section material on the research background and scientific context

13.29Discussion (cont’d…)

• Discussion draws on the information in the ‘Results’ section, explaining and interpreting the results, and showing how they have answered the questions set out in the ‘Introduction’

• Sometimes you will include in the ‘Discussion’section shortcomings, errors, inadequacies, or difficulties encountered during the research

• This is also the section for pointing out how your results compare with the findings of others, and explaining any differences from previously published research

13.30Discussion (cont’d…)

• Discussion interprets and draws theoretical principles and generalizations from the results

• You should avoid proposing principles and generalizations beyond what is DIRECTLY supported by the results

• You may wish to conclude the ‘Discussion’section with some broad generalizations and speculations, based on the results and other (published) work (with references)

• You may also end this section by identifying further problems and the next steps and additional research needed—limitations and areas for further research

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13.31Conclusion

• If you are reporting on a long and complex piece of research, and if you have complicated results, you may well want to include a separate ‘Conclusion’ section.

• If so, you may begin this section with a very brief summary restatement of the major results and highlights of the ‘Discussion’ section as they relate to future needs and activities.

• Before preparing a separate ‘Conclusion’ section, check on the style and format instructions to authors of the journal to which you are planning to submit your paper

13.32Introduction

• The ‘Introduction’ section of a research paper presents the nature and range of the problem investigated• where, when, and how does the problem

appear?—magnitude• how wide are its impacts? - scope• in what way is present knowledge and

understanding inadequate?• what is the purpose of the work, what

benefits will an answer bring?

13.33Introduction (cont’d…)

• In the ‘Introduction’ you will include:

• a review of relevant and pertinent literature

• results and conclusions of previous work

• an explanation (rationale) of why the work being described was needed

• Include only information that is directly relevant to your research

• Resist any temptation to dress up your work with unnecessary and irrelevant references—not impress the journal editor, only irritate

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13.34Introduction (cont’d…)

• Do include widely available review papers or book chapters as background references, and try to avoid hard-to-obtain journals, MSc/PhD theses, and internal reports

• The ‘Introduction’ sets the problem in the context of current knowledge and should move from describing the general setting to describing the specific situation

• If you think it important, you may include broad details of the study area and the region in which the problem or crop/animal being investigated occurs (with both common and scientific names)

13.35Introduction (cont’d…)

• A key section of the introduction is the listing of your objective(s). These will often lead logically to a suggested hypothesis

• The ‘Introduction’ is also the place for a broad description and justification of the method(s) you have chosen

• If you have more than one objective, present these in a logical order. This order will then be repeated elsewhere in the paper, making it easier for the reader to follow and understand

13.36Introduction (cont’d…)

• In a well-constructed paper this sequence :

• will probably be repeated in the ‘Materials and methods’ section to show how the stated objectives were investigated

• should be the sequence for reporting outcomes in the ‘Results’ section

• should be the sequence in which results and objectives are interpreted and discussed in the ‘Discussion’

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13.37Introduction (cont’d…)

• The ‘Introduction’ sets out Questions ‘A’ ‘B’ ‘C’

• The ‘Materials and methods’ describes how to Answer ‘A’ ‘B’ ‘C’

• The ‘Results’ reports answers to ‘A’ ‘B’ ‘C’

• The ‘Discussion’ interprets the answers to ‘A’ ‘B’ ‘C’

13.38Title

• A title is a ‘label’ and not a grammatical sentence

• The title of a research paper should accurately and adequately describe the subject and contents of the paper in as few words as possible

• It should be easy to understand. Journals often limit the number of words that can be used to, e.g., 25 words or less

• Only the first word in the title (except for proper nouns) has a capital letter

• A title has no verb and does not end with a full stop (period).

13.39Title (cont’d…)

• Describe the subject of the work, not its results• Titles are used in cataloguing and abstracting, in

electronic/internet databases, and will be in the reference list of other research publications

• Should contain as many “key words” as possible—most important one comes first, or early in the title

• Include the name of any plants or animals, either as common names (if these exist) or scientific names, but not both

• avoid abbreviations, formulas, brand names, and unusual terms

• Generally should not have dates• Avoid unnecessary words and phrases, such as

“Observations on”, “An investigation into”, etc

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13.40Types of titles

• a) Indicative: Effects of deficit irrigation on maize growth and yield on a clay soil

• b) Informative: Deficit irrigation decreases maize growth and yield on a clay soil

• c) Question: Does deficit irrigation affect maize growth and yield on a clay soil?

• d) Main title/Subtitle (Hanging): Deficit irrigation: effects on maize growth and yield on a clay soil

13.41Titles for non-technical audiences

• When writing for lay people, such as donors, you will need to provide a simpler and catchier title for your work

• A good strategy is to use a two-part title – perhaps using the main sub-title’ or the ‘Question’ title categories

• The main title could be the catchy, attention-grabbing part of the title in lay-person’s language, with a more scientific subtitle

13.42 Titles for non-technical audiences: Examples….

• Fishes for the future: identification and characterization of endangered aquatic species in selected tropical sites

• More beans for Africa: sustainable bean productive through germplasm enhancement and input use efficiency

• Why do the chickens die? Developing low-cost and simple techniques for aflatoxin estimation in foods and feeds

• Did we make a difference? Assessment of past and expected impact of livestock research in the 1990s

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13.43 Authors• In principle the authors of a research paper or article are

those who have contributed substantially to the conduct of the research AND the preparation of the research article

• This may include an intellectual contribution, for example supervisors of research papers arising from Ph.D. theses

• Names of authors should be complete enough to ensure proper identification

• For authors with the same surname or family name, it may be necessary to add full names instead of initials

• The major contributor to the research work and the writing of the research paper is named as first (“Senior”) author, with other authors following in decreasing order of their level of contribution to the work

• If there are many authors, with broadly equal levels of contribution, alphabetical listing may be used

• Include addresses of all the authors, following the journal style

13.44Abstract

• The abstract (or summary or resumé) is a concise summary of the paper and generally should not exceed 250 words

• An abstract is definitive (NOT descriptive), i.e., it gives the hard facts in the form of statements concerning what is contained in the research paper

• The abstract should not repeat any information contained in the title; together with the title, the abstract is a self-contained account of the research being presented

• Abstracts are included in catalogues and electronic/ Internet databases and are of major use in enabling others to quickly and easily decide if they wish to read the full paper

• Your abstract should follow the IMRaD structure• Consider writing the abstract after you have written

all the other parts of the research paper

13.45The abstract includes…..

• The objectives and purpose of the work

• An outline of the ‘Materials and methods’ (with details of new techniques or equipment)

• Scientific and common names of organisms -complex names (e.g. of chemicals, or terminology) may be set out at first mention with an abbreviation that is used subsequently

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13.46 The abstract does not include or refer to…...

• Details of materials and methods, and only mentions the most important results and conclusions

• Any figures or tables presented in the main paper

• References or literature cited in the main paper

• The above can be included in a summary (difference between abstract and summary)

13.47Keywords

• Keywords are a list of important words (or short phrases) used in the main text and or abstract but NOT already present in the title.

• Keywords are included with the title and the abstract in the indexing of the published article in electronic databases.

• Choose your key words carefully to complement those in the title to attract the largest number and broadest range of potential readers.

13.48Acknowledgements

• The acknowledgements consist of a short paragraph (one or two sentences) thanking individuals or institutions who have contributed to the work.• These might include:• Technicians - if closely and significantly involved• Supervisors - if they have contributed to the work• Outside institutions or companies that supplied

equipment or facilities (e.g., land for experiments)• Colleagues who gave advice or with whom you

discussed ideas• Statisticians who helped with the analysis and

interpretation of results• Remember to include donors in your

acknowledgments. Give the name of the agency, the name of any large program of which the work forms a part, and perhaps a grant code or number. If the work derives from a thesis not referred to in the text, this can be mentioned in the acknowledgments

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13.49Citations and references

• The reference list contains full details of all articles specifically referred to in the text. These are called the text citations.

• Text citations generally give the name(s) (generally the “surname” or main name) of the author(s) of the article and its year of publication. This system of text citation is often referred to as the “Harvard” or Name-Year system.

• Other systems also exist; some medical and biochemical science journals, for instance, use numbering systems.

• References may be used either in explaining and justifying the need for the work, the conduct of the work, or the implications of the work.

• The purpose of the reference list is to enable other researchers to trace and obtain any previously published research used to describe and support the new work being presented.

• Equally importantly, references allow readers, should they wish, to arrive at their own opinions as to whether this previously published work has been interpreted and used correctly, and from this judge the value of the new work being presented

13.50 Text citations -1. The Harvard (author-year) system

• Harvard system varies between journals, for example in the use of upper case or the placement or absence of commas

• When a reference written by two authors (a “joint-authored” citation) is cited in the text, the names are linked by “and”

• Citing a reference written by three or more authors (a “multi-authored” citation) the name of the first author is followed by “et al.”

• A close study of the particular journal’s “Notes for Authors” and of a recently published paper is necessary

13.51Some examples of text citation styles

• “…those of Stutzel (1995) and Manschadi et al. (1998)…”

• “…up to 80 cm (Anderson 1985; El-Shatnawi and Goshesh 1988; El-Shatnawi et al. 1999)…”(Australian Journal of Agricultural Research)

• “…in cinnamon (Bullerman et al. 1977, Jay 1986, Chang 1995, Holt and Gomez-Almonte 1995)…”(Food Microbiology)

• “…milk composition (Jelinek et al. 1996; Burriel, 1997)…” and “…similarly, Culioli & Sherman (1978), Schmutz & Puhan (1978) and Garnot et al. (1982) found…” (Journal of Dairy Research)

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13.522. Numbered citation systems

• Numbering with alphabetical reference listing.• The complete reference list is numbered in alphabetical

order and these numbers assigned to the citations in the text. eg.: “...as Franzel et al.(2) and Ajayi (1) have shown…”

• 1. Ajayi, O. (1987) The effect of different types of farmer participation on the management of on-farm trials. Agricultural Administration and Extension 25: 235–252

• 2. Franzel, S.; Lagesse, D.; Colburn, F. & D. Getahun(1989) Grain marketing and peasant production in Ethiopia. Research Report No.5. Addis Ababa: Institute of Agricultural Research. 48p

• In some review papers, which may include well over 100 citations, to save space this may be reduced further by omitting the authors’ names. eg.: “...as has been shown (1, 2)...”

13.533. The Vancouver system

• Numbering with sequential reference listing• References are numbered in the text as they are

first cited, and are listed in the reference list in this sequence. e.g.: “...as Franzel et al.1 and Ajayi 2 have shown…”

• 1. Franzel, S.; Lagesse, D.; Colburn, F. & D. Getahun (1989) Grain marketing and peasant production in Ethiopia. Research Report No.5. Addis Ababa: Institute of Agricultural Research 48p.

• 2. Ajayi, O. (1987). The effect of different types of farmer participation on the management of on-farm trials. Agricultural Administration and Extension 25: 235–252.

13.54The reference list

• The reference list should contain all the details of a text citation necessary to find and photocopy the work being cited, either in an institute or university library or from any other source

• In general the list is prepared in alphabetical order of the surname (or main name) of the first author, then by initials if there are two authors with the same surname/main name, then by date (year)

• There are some general rules in alphabetical listing:• All works by an author alone precede any co-

authored or multi-authored work where s/he is first author

• Works written by an author precede works edited by the same author

• Works by the same author (or authors in the same sequence) in the same year are arranged by alphabetical order of the titles and then marked by letters, e.g. (Smith 1999a), (Smith 1999b)

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13.55Citing a journal article comprise

• Author(s)

• Date (generally year)

• Title of work being cited (with only the first word and proper nouns having a capital letter)

• Name of the Journal. Volume (and sometimes issue number of the volume, e.g. 4(2) means Volume 4 (Issue 2).

13.56Citing a complete book comprise

• Author(s) or editor(s)• Date of publication (year)• Title of book (often in italics)• Edition of book if not the first edition• City of publication + publisher• Total number of pages or start page number – last

page number of section being cited• (Titles of “grey literature”, internal or “self-

published” reports, working papers, etc., are not italicized)

• The country, state, or province of the city should be added if the city is not well known or there is the possibility of confusion

13.57 Citing a chapter in a multi-authored volume comprise

• Author(s) of chapter being cited

• Title of chapter being cited

• Start (first) page number of the chapter cited – last page number of chapter cited

• Editor(s) of volume in which chapter appears

• Title of volume in which chapter appears (often in italics)

• City of publication + publisher

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13.58Some final examples

• Keisler DH, Andrews ML & Moffatt RJ 1992. Subclinicalmastitis in ewes and its effects on lamb performance. Journal of Animal Science 70 1677–1681 (Journal of Dairy Research)

• Glass, K. A. and Doyle, M. P. (1989). Fate of Listeriamonocytogenes in processed meat products during refrigerated storage. Appl. Environ. Microbiol. 55, 1565–1569. (Food Microbiology)

• Crosby, D.G. 1981. Environmental chemistry of pentachlorophenol. Pure Appl. Chem. 53:1052–1080. (Journal of Bacteriology)

• Nyczepir, A. P., and Lewis, S. A. 1979. Relative tolerance of selected soybean cultivars to Hoplolaimus columbus and possible effects of soil temperature. J. Nematol. 11:27–31. (Plant Disease)

• Anghinoni I, Barber SA (1980). Predicting the most efficient phosphoros placement for corn. Soil Science Society of America Journal 44, 1016–1020. (Australian Journal of Agricultural Research)

13.59Scientific publications 1. Review articles

• Reporting from several sources – a common form in university training, journals and conferences

• Review of literature – longer form

• Should be comprehensive and critical

• Collect both +ve and –ve information

• Compare and contrast

• Give a balanced perspective

• Can draw definite conclusion, identify gaps in research and new areas of research

13.60Structure of the review paper

• Introduction – problem, why the review• Preamble• Various sub-sections

• general to specific• Themes and sub-themes etc• A tentative summary for each section

• A general discussion – convince the reader with sound argument supported by evidence

• Conclusion – at least 2 references to support an idea• References• Note:

• The major difference is the body is the literature review,

• Make sure that the introduction and conclusion use similar words

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13.61Scientific publications 2. Thesis

• Can be a monograph – collection of papers• Main difference is the style and layout

• Monograph• Use university guidelines• Extended literature review• Main body split into sections/chapters• A chapter on methodology• If number of experiments, then each can form

a chapter• No right or wrong way of dividing/ sections or

chapters• General discussion: compares with previous

findings, discuss implications. Consider the whole picture as well as the individual pieces

13.62Scientific publications 2. Thesis

• Thesis – a collection of published papers

• Each paper follows the journal article format

• An introduction and discussion to link together

• Discussion

• Compare results with previous publications

• Discuss implications

• Relationship between the different papers

• Consider the whole picture as well as individual pieces

13.63 Scientific publications 3. Popular science article

• Audience is public• Structure

• Title – short exciting and informative• Preamble

• importance of the topic• Content of the article• Should make the reader curious

• Body• Do not follow any standard structure• Divided into sections• Headings and sub-headings short, informative

and eye-catching• Visual can be very effective• Logical transition

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13.64 Scientific publications 3. Popular science article

• Layout

• Determined by the style of the magazine

• Do not make it too long

• Look at articles previously published

• Language

• Simple, layman language

• If using scientific/technical terms, please explain

• Keep your audience in mind at all times

13.65Main sections of a scientific paper

Supplementary materialsAppendixHow to find the paper referred toReference

Who contributed to work and how

Acknowledgement

Possible implications, limitations, future direction

ConclusionsWhat you foundResultsWhat you did? How you did it?Materials and methods

The problem, background and what is known already, and the focus of research

IntroductionA stand-alone short summaryAbstractWhat the paper is aboutTitleIntends to tell the readerSection

13.66

Thank you!

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Session 13: Notes to participants: Structure and preparation of a scientific paper

13.1 When, where and what to publish

We have looked at when and to whom you, as a researcher, need to communicate. We have also

discussed the many different reasons why you need to communicate, and analysed some of the

obstacles you need to overcome to successfully communicate your research.

In this session, we are going to examine the structure of a scientific paper and how you should go about

preparing it.

13.1.1 When to publish

The decision as to when to publish may be made for a number of reasons, and is closely linked to ‘why

do researchers report’. Most research journals state that papers submitted for consideration must ‘make

a significant and original contribution to knowledge’.

In an ideal world, researchers would follow this by only publishing when they felt they had something

worth saying. However these are subjective judgments, and you may have professional imperatives

(need for promotion or tenure, for instance) that are pushing you to publish before your contribution to

science is truly ‘significant’. Ideally, a research article should contain a coherent single body of work

answering one or two major questions on a major theme and generating one or two further avenues

of research.

Research diverging from this major theme or subject area should be considered for separate publication(s).

If several major themes of a substantial body of work are logically linked, a series of publications with

a common major title and various more-specific sub-titles may be considered. However, preparing

such research for publication will be a major undertaking. All papers should appear within the same

journal, ideally within a short period of time. Will all be accepted by the journal? Will you have time

to write them all?

13.1.2 Where to publish

The question for a researcher of where to submit the paper he or she is about to write is an important

one. It not only determines the required format for the article but also its distribution and the expected

recognition that should come from acceptance of the paper by the editors. International journals are

generally considered the most thorough and scrupulous of all publication channels. But their content

may not be directly relevant to those researchers, whose papers addresses issues of regional or national

importance. Some researchers perceive that international journals are biased against authors from

developing countries, perhaps because they had one or more papers rejected for publication. Rejection

is no proof of such bias.

Well-known international journals reject a large number of the papers that they receive. All researchers

should look carefully at the contents of some recent issues of the journal of their choice to see whether

the published articles address similar topics as their own article is going to discuss. On reflection, a

better journal for the paper to be written could then be a regional or national journal of science rather

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than the international one. This is especially so when writing about agricultural development that is

site-specific, and whose results are directly practical.

This sort of research, while both important and scientifically valid, may not have the broad general

applicability demanded by some well-known international journals. Also, the people who will benefit

most from access to site-specific and practical results are unlikely to have access to these (often expensive)

international journals. So there may be both a need and an obligation to present this sort of research in

more easily accessible regional or national journals. Hence, a regional or national agricultural science

journal could be a sensible choice, even though regrettably, publishing in such journals may not carry

as much scientific prestige as comes with publishing in a recognized international journal.

13.1.3 What to publish

Research articles and papers (in particular in the natural sciences) convey certain information in

addition to new results, and generally do so in a standard manner and sequence. In broad terms a

research paper:

Typically presents experimental work–usually a minimum of two experiments, or field work •

conducted over two or more growing seasons.

Explains the motivation for conducting the work.•

Explains the design and conduct of the work.•

Presents the results of the work.•

Proposes an interpretation and meaning of the results.•

Considers the significance of the results and of the interpretation proposed.•

A good research paper will present all this in clear, concise, and unambiguous language.

13.2 Major sections of a scientific paper

The major sections required in a paper are often abbreviated in the acronym ‘IMRaD’ meaning;

Introduction, Methodology (Materials and Methods), Results, and Discussion.

Other sections are clearly necessary (a title, abstract, references, etc.) but the main substance of a paper

is contained within the four sections of the IMRaD acronym.

These four components can be thought of as covering and describing different stages of the research

process, those stages of ‘Past Research’, ‘Present Research’, and ‘Future Research’.

Introduction—’Why’.•

The introduction presents the nature and scope of the problem being considered. It addresses •

why is the topic important, how does it relate to previous knowledge and what was your

hypothesis or objectives?

Methodology (Materials and Methods)—• ’Where, When, and How’

This section is a narrative describing the design (plus duration, location, and climate) and •

conduct of the experiment in sufficient detail that another researcher could repeat the work

if necessary—including the statistical design used and the analysis performed. The section

describes how the study was conducted specifically focusing on project plan, experimental

design, materials used, methods for making observation, data to be collected and how analysis

of the data will be done.

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Box 1: Components of a scientific paper Title

Author

Abstract

Acknowledgement

Introduction

Methodology (Materials and Methods)

Results

Discussion

References

Results• —’What’

This section describes what was found, giving summaries of data obtained, as text, tables, figures, or

graphs.

Discussion—’So What?’•

This section contains an interpretation of the results. The discussion section talks about the relationship

of the results to the questions posed in the introduction, and explains how these results contribute to

answering the ‘Why’ of the research. In other words, results are discussed and interpreted in relation to

the previous knowledge, formulated problems, your hypothesis/objectives.

In addition to IMRaD, you will also need:

Title

In preparing the title, you should use the fewest possible words to accurately describe the content of

the paper.

Authors

You will need to include the names and addresses of those who conducted the research and

contributed to the writing of the paper, generally with the major contributor mentioned first, as

‘senior author’.

Abstract

This is a short (generally 200–250 words in one paragraph) summary of the objectives of the work, the

methodology used, the main results, and the major conclusions.

Acknowledgements

Here you will mention any institutes or individuals who helped in the work, provided funding,

etc.

References

You will need to prepare references for all the works cited in the text. (As you probably already know,

this is one of the most time-consuming and frustrating parts of the paper to prepare!)

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13.3 Preparing the paper—which sections to write first

Whilst the preceding paragraphs outline the structure and presentation of a typical research paper when

published, many researchers approach the planning and writing of a paper in a very different order.

Each person has their own preferred method, but the most important thing is to just get started—to

begin putting facts and ideas on paper (or on computer)—in other words, overcoming writer’s block.

A well-recognized and very successful approach is to actually write the sections of a paper and to

follow the following order of preparing sections —’MRaDI’. Others prefer to start with writing a review

of recent relevant literature. This helps in identifying which parts of the methodology are new and need

to be discussed in more detail than the familiar or standard methods and techniques that were used.

Having a good review of the literature also assists in answering the ‘why’ question of the Introduction

and the ‘So what’ and ‘What next’ aspects of the Discussion

The Materials and Methods should be the most straightforward section to write, requiring least thought

and interpretation on the part of the researcher. So you would do well to start with this section.

Following this with the Results section (including any tables or figures that might be needed) makes

sense. It is a relatively easy section to write that also involves presenting facts in a largely straightforward

and objective manner. This section will also require the presentation of any data transformations or

statistical analysis used in preparing the results. This may therefore also help in thinking through ideas

and interpretations for the later ‘Discussion’ section.

By the time these sections have been completed, ideas and thoughts should be flowing thus leading

smoothly to the writing of the Discussion and Conclusion sections. At this stage, the researcher should

be able to place the whole report in the context of other work (including research that may have been

published since the work being reported was first started) and enable the writing of a comprehensive

and up-to-date Introduction.

In all cases, getting started is often one of the hardest parts, and one of the easiest ways of beginning a

paper, even in this age of computers, is by simply writing subheadings, key words, ideas, and references

down on a blank piece of paper with a pencil. If you often find yourself staring at a blank screen, try it!

The actual writing of the sections should follow closely the guidelines set out in the ‘introductions to

authors’, which are specific to each journal.

13.4 Methodology (Materials and Methods), Results, Tables, and Figures

13.4.1 Materials and Methods

This section of the research paper should describe (and if necessary defend) the design and conduct

of work that has been done and is now being reported. You should use the past tense and present the

section as a narrative of steps taken by the author(s).

You can assume that the reader has the technical vocabulary to read and understand the paper. However,

if the subject is unusual or highly current, it would be wise to define in lay terms any unusual technical

term included in the paper.

The underlying principle behind the Materials and Methods section is that its contents must be presented

in sufficient detail that a competent reader could repeat the work. Check carefully to see that you have

done this. In agricultural research, the Materials and Methods section will often include details of:

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Study site•

Soil type•

Rainfall and other climatic information•

Any animals and plants (scientific name, subspecies, strain/variety)•

If you are reporting standard, recognized techniques they need not describe the procedures in detail.

The name of the technique, plus a reference if the technique or procedure has been described in a

recognized journal is sufficient. This is true, for instance, of techniques for preparing reagents or media

(e.g., how to make nutrient agar is generally written on the jar!). However, do include details if the

technique has been modified. You also do not need to provide detailed descriptions of simple processes

such as measuring/mixing/applying fertilizer. Simple details of the quantities applied and method(s) of

application are sufficient.

Use the generic names of equipment and chemicals (‘a rotivator’, ‘75% hydrochloric acid’). Only use

proprietary or brand names if any differences between makers or suppliers would be significant and

relevant to your work. Be sure to describe any modifications to equipment. All names and abbreviations

used should be clear and understandable and all measurements should be presented in internationally

recognized SI Units and notation.

Statistics are methods!! You should include all details of experimental design and statistical analysis

in the ‘Materials and Methods’ section. As with equipment and chemicals, ordinary procedures (e.g.

ANOVA, χ2) can be used without comment. However, if you are using any advanced or unusual methods

or procedures, provide a reference and details of any software used. The ‘Material and Methods’ section

may contain a wide range of diverse information. So consider using subheadings, setting out activities

in chronological or narrative sequence, to make the section easier to read. For example:

Materials and Methods

Site selection and land preparation•

Experimental design, planting, and maintenance•

Data recording and statistical analysis.•

In summary, the ‘Materials and Methods’ section

Includes all necessary details•

Excludes all unnecessary details and therefore•

Contains only what you need to present the results section that follows.•

13.4.2 Results

In the ‘Results’ section you present the outcomes of the work. These results are directly related to the

objectives outlined in the ‘Introduction’. It is helpful to summarize results in text and illustrate these

words with tables and /or figures.

Remember: the ‘Results’ section is often the shortest section of a research publication, but also the

most important. Do not present raw, un-analysed data. Do not feel that all data and results should be

included. Be selective, presenting only that which is relevant to making the conclusions that you will

present in the following ‘Discussion’ section. Being selective does not mean that you can disregard and

delete data that differ from what you expected, e.g. the so-called outliers which are either much higher

or lower than all the other data. You can only do so, if you are certain that those data are the result of

faulty equipment or errors in data recording. If you cannot explain why they are so different and yet

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wish to exclude them from the data set you used in the analysis, you need to mention this explicitly

either in a footnote to the table or, better still, in the text of the ‘Results’ section.

(Note that un-analysed results are sometimes presented as appendices in PhD dissertations, and in

some annual reports such as those from individual research stations). It is often difficult (even painful!)

to leave out results obtained through hard, long work. The skill is to judge what results to include, and

what results (however ‘interesting’ or ‘important’) should be left out. The results you do include should

clearly describe what was found, including statistical tests, differences, and probabilities. Statistical

significance is reported in the ‘Results’ section.

However, the interpretation of agricultural, biological, or scientific importance (or ‘significance’) is not;

this is done in the ‘Discussion’ and /or ‘Conclusion’ section(s).

Tables and figures (see below) are good tools to make your results easy to read and understand. But

you also need to state your results clearly in words. A table or a figure enables readers to see the

(summarized data) for themselves, but the results remain the subject of the text (and not the tables or

figures). This can be illustrated by an example: a ‘Results’ section might state: ‘There was an inverse

relationship between A and B (Figure 4)’, but it should NOT say, ‘Figure 4 shows the relationship

between A and B’.

13.4.3 Tables and figures

Tables

Tables are useful for presenting analysed summary data (e.g. means ± standard errors). You can use

them to show precise figures, as well as other (non-numeric) details, including words or symbols, to

indicate location, treatments, variety, etc.

Presenting tables

Each table generally has a separate table number. Number and present your tables sequentially, in the

order in which they are referred to in the text. (If you have many tables presenting related data, use the

form ‘Table 1.1’, ‘Table 1.2’ rather than ‘Table No. 1a’, ‘Table 1b’, etc.). A table should have a clear and

concise title which tells what the table shows, not what the table is about. Place your table numbers

and titles above each table.

Here are the key elements of a good table:

A table has column headings, which should be short and easily understood.•

A table has row headings• (or stub headings).

A table has a field,• the ‘boxes’ of information in the body of the table.

A table often has footnotes, either to explain any abbreviations or symbols being used or to •

provide a ‘Reference’ if the table (or field items within it) are taken from a source other than the

Results being presented. Constructing tables

If possible, avoid using long numbers, particularly in column headings. These should be presented with

abbreviations e.g. 3.92x107 not 39,200,000; or 107 included in a column heading and then ‘3.92’. If a

number is less than zero, a ‘0’ should be included, e.g. 0.25.

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Do not put too many items in a table, because it will become crammed and hard to interpret. If you

have too few items, the table may be unnecessary. If you have less than eight field items, you probably

do not need a table and can present the results as text. A table should include the same group of

elements down columns, and NOT across rows.

However, columns with the same value throughout should not be included. If a column has the same

value all down its length (and if the value is needed) it could perhaps be better included as a footnote.

To make your tables easy to read, do not separate the columns with vertical lines.

In summary, tables should be able to ‘standalone’, be self-explanatory (with their title and footnotes),

and help to convey the results of the experiment.

Figures

‘A picture tells a thousand words’. Figures are visual presentations of results that can save you hundreds,

if not thousands of words. Figures should be numbered separately from tables (i.e., a paper can have

both a Table 1 and a Figure 1) and referred to by number in the text. As with tables, present and number

your figures sequentially, in the order in which they are referred to in the text. (Also, as with tables

avoid ‘Figure 1a’, ‘Figure 1b’, etc. and use ‘Figure 1.1’, ‘Figure 1.2’). Like tables, figures need a clear

and concise title, which tells what the figure illustrates and allows the reader to interpret the figure

without referring to the text.

Notice that unlike with tables, the numbers and titles of figures are placed BELOW the figure.

For inclusion in a research paper a figure should be:

Simple, clear, and visually attractive—not crowded•

Stand-alone (with its titles and any footnotes)•

Easy to understand without need to refer to any other part of the paper• Major types of figures for presenting results

You have several different and commonly used types of figures available to illustrate your research

paper. Each has advantages and limitations and is best suited for the presentation of particular types

of information. The type and quantity of data help decide if an illustration is necessary, the type of

information to be conveyed helps decide what type of figure is most suitable.

Pie charts show proportions of a single variable.•

Histograms compare quantities, such as yields, for different classes of variable.•

Line graphs show trends and relationships or other dynamic comparisons of continuous variables.•Constructing a figure

A figure should be simple enough to get the message across instantly. The inclusion of too much detail

may just create confusion. Figures should be in black and white if possible. Colour and grey shading

can look good, but add to costs. Changes from the original colours may occur during printing and

cause further confusion. If axes are used they should have brief informative titles (legends) and include

any units of measurement. Axes should not extend much beyond the range of the data. If needed, the

items in a figure should contain simple and relevant legends.

Remember, results may be presented as either tables or figures, never as both.

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13.5 Discussion, Conclusion, Introduction

13.5.1 Discussion

The ‘Discussion’ section should interpret results clearly, concisely and logically. Cite evidence from the

literature that supports or contradicts your results and explain contradictions. Describe the limitations

of your research. Results or references to tables or figures already described in the results section

should not be repeated in the discussion. The ‘Discussion’ section of a scientific paper contains an

interpretation of the results. The results are related to the original objectives (as set out in the Introduction

section). The discussion answers the readers’ question ‘So what?’ by explaining what the results ‘mean’.

You should not include in this section material on the research background and scientific context.

This information is set out in the ‘Introduction’ and should not be repeated. Nor should you repeat the

questions your work is attempting to answer—these too should be shown in the Introduction.

The discussion draws on the information in the Results section, explaining and interpreting the results,

and showing how they have answered the questions set out in the Introduction. Sometimes you will

include in the ‘Discussion’ section shortcomings, errors, inadequacies, or difficulties encountered

during the research. This is also the section for pointing out how your results compare with the findings

of others, and explaining any differences from previously published research.

The discussion interprets and draws theoretical principles and generalizations from the results. But you

should avoid proposing principles and generalizations beyond what is directly supported by the results.

You may wish to conclude the discussion section with some broad generalizations and speculations,

based on the results and other (published) work (with references). You may also end this section by

identifying further problems and the next steps and additional research needed.

13.5.2 Results and Discussions in the same section

Combining ‘Results’ and ‘Discussions’ in the same section may be a good way to avoid repetition.

It is recommended that you use past tense to refer to results of your own research, but you may use the

present tense to refer to results that are generally accepted.

Figure 1. Combining results and discussions.

13.5.3 Conclusion

If you are reporting on a long and complex piece of research, and if you have complicated results, you

may well want to include a separate ‘Conclusion’ section. If so, you may begin this section with a very

brief summary restatement of the major results and highlights of the ‘Discussion’ section as they relate

to future needs and activities. Before preparing a separate ‘Conclusion’ section, check on the style and

format instructions to authors of the journal to which you are planning to submit your paper.

Results

We found that A>B

Discussion

Because A>B the

implication

Result and Discussion

We found that A>B which means

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IntroductionThe ‘Introduction’ section of a research paper presents the nature and range of the problem •

investigated (Why is the topic important, how does it relate to previous knowledge, what was your

hypothesis or objectives)

Where, when, and how does the problem appear?•

How wide are its impacts?•

In what way is present knowledge and understanding inadequate?•

What is the purpose of the work, what benefits will an answer bring?•

In the ‘Introduction’ you will include:

A review of relevant and pertinent literature•

Results and conclusions of previous work•

An explanation (rationale) of why the work being described was needed•

Keep focused. Include only information that is directly relevant to your research. Resist any •

temptation to dress up your work with unnecessary and irrelevant references. These will not

impress the journal editor, only irritate. Do include widely available review papers or book

chapters as background references, and try to avoid hard-to-obtain journals, MSc/PhD theses,

and internal reports. The ‘Introduction’ sets the problem in the context of current knowledge

and should move from describing the general setting to describing the specific situation. If you

think it important, you may include broad details of the study area and the region in which

the problem or crop/animal being investigated occurs (with both common and scientific

names). However, reserve more details on, for instance, soil type and plant variety for the later

‘Materials and Methods’ section. Any specialized terms or abbreviations should be explained

in the ‘Introduction’. A key section of the introduction is the listing of your objective(s). These

will often lead logically to a suggested hypothesis. The ‘Introduction’ is also the place for a

broad description and justification of the method(s) you have chosen. If you have more than

one objective, present these in a logical order. This order will then be repeated elsewhere in the

paper, making it easier for the reader to follow and understand. In a well-constructed paper this

sequence :

Will probably• be repeated in the ‘Materials and Methods’ section to show how the stated

objectives were investigated

Should be• the sequence for reporting outcomes in the ‘Results’ section

Should be• the sequence in which results and objectives are interpreted and discussed in the

‘Discussion’

Readers can then follow the logic of your research throughout the paper. In turn, therefore:•

The ‘Introduction’ sets out Questions ‘A’ ‘B’ ‘C’•

The ‘Materials and Methods’ describes how to Answer ‘A’ ‘B’ ‘C’•

The ‘Results’ reports answers to ‘A’ ‘B’ ‘C’•

The ‘Discussion’ interprets the answers to ‘A’ ‘B’ ‘C’• Titles

The title of a research paper should accurately and adequately describe the subject and contents of

the paper in as few words as possible. It should be easy to understand. Journals often limit the number

of words that can be used to, e.g. 25 words or less. A title is a ‘label’ and not a grammatical sentence.

Only the first word in the title (except for proper nouns) has a capital letter. A title has no verb and does

not end with a full stop (period).

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A title should generally describe the subject of the work, not its results. The title will almost certainly be

the most widely seen and read part of the research paper. Titles are used in cataloguing and abstracting,

in electronic/internet databases, and will be in the reference list of other research publications. A

good title will help future researchers identify your paper, so it should contain as many ‘key words’ as

possible. The most important of these should come first, or early in the title. In most conferences and

symposia, papers are presented under different themes and sub themes. Vague and uninformative title

increase the risk that the abstract might be allocated to an inappropriate session or even be rejected.

The title should include the name of any plants or animals, either as common names (if these exist) or

scientific names, but not both. If the work and its conclusions are restricted or relevant to a particular

region this should be named (e.g. sub-Saharan Africa; the Indus Valley). The title should avoid

abbreviations, formulas, brand names, and unusual terms.

A title should not have dates. A title should avoid unnecessary words and phrases, such as ‘Observations

on’, ‘An investigation into’, etc. A title is often best written after completing the paper. It may even be

the very last thing to be written!

Types of titles

In general, title can be categorized into one of four types:

a Indicative:

Effects of deficit irrigation on maize growth and yield on a clay soil•

b Informative:

Deficit irrigation decreases maize growth and yield on a clay soil•

c Question:

Does deficit irrigation affect maize growth and yield on a clay soil?•

d Main title/subtitle:

Deficit irrigation: Effects on maize growth and yield on a clay soil•

Box 2: Tips for developing a good title1. Should attract people to your paper2. Should tell what the paper is about 3. Should be informative, specific and concise 4. Should describe the subject of research and not the results 5. Put the most important words first 6. Describe the novel material used—to differentiate your research from

others on the subject 7. Limit the title to not more than 7–10 words 8. Make sure that the final title is relevant to the content of the paper 9. For review papers, consider using a hanging title, e.g XXXXXXX:

A Review

Titles for non-technical audiences

When writing for lay people, such as donors, you will need to provide a simpler and catchier title for

your work. A good strategy is to use a two-part title—perhaps using the ‘main-sub-title’ or the ‘question’

title categories suggested above. The main title could be the catchy, attention-grabbing part of the

title in lay-person’s language, with a more scientific subtitle. Here are some examples, taken from

successful project proposals. The lay-person’s language part of the title might also be useful for articles

in newspapers and other non-technical media.

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Fish for the future: identification and characterization of endangered aquatic species in selected •

tropical sites

More beans for Africa: sustainable bean productive through germplasm enhancement and input •

use efficiency

Why do the chickens die? Developing low-cost and simple techniques for aflatoxin estimation in •

foods and feeds

Did we make a difference? Assessment of past and expected impact of XXX’s work in the 1990s• Authors

In principle, the authors of a research paper or article are those who have contributed substantially to

the conduct of the research and the preparation of the research article. This may include an intellectual

contribution; for example supervisors of research papers arising from PhD theses. The choosing (or

‘granting’) of authorship can be a difficult issue.

Names of authors should be complete enough to ensure proper identification. If there are authors with

the same surname or family name, it may be necessary to add full names instead of initials. Names

of authors should be listed in a logical sequence. This usually means that the major contributor to the

research work and the writing of the research paper is named as first (‘senior’) author, with other authors

following in decreasing order of their level of contribution to the work. If there are many authors, with

broadly equal levels of contribution, alphabetical listing may be used.

If alphabetical listing is used this should be mentioned. Include addresses of all the authors, following

the journal style (this will be discussed later). Questions and queries (‘correspondence’) concerning the

research paper by future readers would normally be sent to the senior author. If for some reason this is

not the case and correspondence should be sent to someone other than the senior author, this should

be indicated. This is usually by means of a symbol alongside the name of the chosen (corresponding)

author with an explanatory footnote.

Abstract

The abstract (or summary or resumé) is a concise summary of the paper and generally should not

exceed 250 words. In general, the shorter the abstract the better. The abstract should not repeat any

information contained in the title; together with the title, the abstract is a self-contained account of the

research being presented.

Abstracts are included in catalogues and electronic/internet databases and are of major use in enabling

others to quickly and easily decide if they wish to read the full paper. For this reason, try to convey

as much information as possible to have the greatest impact. Your abstract should follow the IMRaD

structure, but you should write it as a single paragraph, with no tables of figures.

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Box 3: Issues to note about abstractAbstracts are read on their own Read by most people and often it will determine whether they read the entire paper Should describe the problem and summarize the major points of the research in a brief and understandable forms Start with

- Clear statement of the objectives - Approach - Main results - Should end with one or two sentences that emphasize

important conclusions Depending on the journal, the length of the abstract is restricted to maximum number of words Should stand alone Do not cite references to literature, tables and ‘figures’ Avoid using abbreviations Use the same tense throughout the section or at least throughout a paragraph. Normally written in past tense.

The abstract includes:

the objectives and purpose of the work•

an outline of the ‘Materials and Methods’ (with details of new techniques or equipment) and•

scientific and common names of organisms. Complex names (e.g. of chemicals, or terminology) •

may be set out at first mention with an abbreviation that is used subsequently

The abstract does not include or refer to:

details of materials and methods, and only mentions the most important results and conclusions•

any figures or tables presented in the main paper•

references or literature cited in the main paper•

An abstract is definitive, i.e. it gives the hard facts in the form of statements concerning what is contained

in the research paper. It is not descriptive—i.e. it does not make general statements saying what the

paper is ‘about’. Along with the title you should consider writing the abstract after you have written all

the other parts of the research paper.

Keywords

Keywords are used for indexing services and form the subject index of the journal. They are a list of

important words (or short phrases) used in the main text and or abstract but not already present in the

title. Keywords are included with the title and the abstract in the indexing of the published article in

electronic databases. So you will want to choose your key words carefully to complement those in the

title to attract the largest number and broadest range of potential readers.

Acknowledgements

The acknowledgments consist of a short paragraph (one or two sentences) thanking individuals or

institutions who have contributed to the work.

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These might include:

Technicians—if closely and significantly involved•

Supervisors—if they have contributed to the work•

Outside institutions or companies that supplied equipment or facilities (e.g., land for experiments)•

Colleagues who gave advice or with whom you discussed ideas•

Statisticians who helped with the analysis and interpretation of results•

Remember to include donors in your acknowledgments. Give the name of the agency, the name of any

large program of which the work forms a part, and perhaps a grant code or number. If the work derives

from a thesis not referred to in the text, this can be mentioned in the acknowledgments.

Citations and references

The reference list contains full details of all articles specifically referred to in the text. These are called

the text citations. Text citations generally give the name(s) (generally the ‘surname’ or main name)

of the author(s) of the article and its year of publication. This system of text citation is often referred

to as the ‘Harvard’ or Name-Year system. Other systems also exist; some medical and biochemical

science journals, for instance, use numbering systems. References may be used either in explaining

and justifying the need for the work (those text citations generally in the ‘Introduction’), the conduct of

the work (those text citations generally found in the ‘Results’ section), or the implications of the work

(those text citations generally in the ‘Discussion’ section).

The purpose of the reference list is to enable other researchers to trace and obtain any previously

published research used to describe and support the new work being presented. Equally importantly,

references allow readers, should they wish, to arrive at their own opinions as to whether this previously

published work has been interpreted and used correctly, and from this judge the value of the new work

being presented.

Compiling your reference list can be one of the most frustrating and time-consuming parts of writing a

research paper. Each journal seems to have its own minor variations in the way references are presented,

both in the text of the article and in the reference list. Getting these small details of style correct can

be horribly time consuming. This is especially true if you are writing more than one manuscript at the

same time, to be sent to different journals.

Consulting the ‘Notes to Authors’ prepared by the journal will help, but the best way is refer to a

reprint or photocopy of a recently published paper by the journal. If your paper is likely to have many

references (for example, over 25) it is recommended that you prepare a separate document file for the

reference list. You can then add to your list as new sections are written. Going back through a long

manuscript to look for references that have already been included in the text, and then assembling a

reference list is not the ideal way. It may sometimes even be difficult to remember exactly which of

several similar references is, or are, actually being referred to.

Text citations

The Harvard (author-year) system

The style used in the Harvard system varies between journals, for example in the use of upper case or

the placement or absence of commas. Generally (although not always), when a reference written by

two authors (a ‘joint-authored’ citation) is cited in the text, the names are linked by ‘and’. When citing

a reference written by three or more authors (a ‘multi-authored’ citation), the name of the first author is

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followed by ‘et al.’ (an abbreviation of ‘et alii’, the Latin for ‘and others’). However, some journals may

require all the authors of a multi-authored reference to be named at the first text citation in the text, to

be followed by first author + et al. at subsequent citations. Depending on individual journal style, et al.

may be in italics. Again, a close study of the particular journal’s ‘Notes for Authors’ and of a recently

published paper is necessary.

Some examples of text citation styles:

‘…those of Stutzel (1995) and Manschadi • et al. (1998)…’

‘…up to 80 cm (Anderson 1985; El-Shatnawi and Goshesh 1988; El-Shatnawi • et al. 1999)…’

(Australian Journal of Agricultural Research)

‘…in cinnamon (Bullerman et al. 1977, Jay 1986, Chang 1995, Holt and Gomez-Almonte •

1995)…’ (Food Microbiology)

‘…milk composition (Jelinek et al. 1996; Burriel, 1997)…’ and ‘…similarly, Culioli and Sherman •

(1978), Schmutz and Puhan (1978) and Garnot et al. (1982) found…’ (Journal of Dairy Research). Numbered citation systems

Numbering with alphabetical reference listing

The complete reference list is numbered in alphabetical order and these numbers assigned to the

citations in the text. E.g.: ‘...as Franzel et al. (2) and Ajayi (1) have shown…’

Ajayi O. (1987) The effect of different types of farmer participation on the management of on-farm •

trials. Agricultural Administration and Extension 25: 235–252.

Franzel S.; Legesse D.; Colburn F. & D. Getahun (1989) • Grain marketing and peasant production

in Ethiopia. Research Report No. 5. Addis Ababa: Institute of Agricultural Research. 48p.

In some review papers, which may include well over 100 citations, to save space this may be reduced

further by omitting the authors’ names. E.g.: ‘...as has been shown (1, 2)...’

The Vancouver System (Numbering with sequential reference listing)

References are numbered in the text as they are first cited, and are listed in the reference list in this

sequence. E.g.: ‘...as Franzel et al. 1 and Ajayi 2 have shown…’

Franzel, S.; Legesse, D.; Colburn, F. & D. Getahun (1989) • Grain marketing and peasant production

in Ethiopia. Research Report No. 5. Addis Ababa: Institute of Agricultural Research. 48p.

Ajayi O. (1987) The effect of different types of farmer participation on the management of on-farm •

trials. Agricultural Administration and Extension 25: 235–252. The reference list

The reference list should contain all the details of a text citation necessary to find and photocopy the

work being cited, either in an institute or university library or from any other source. In general, the list

is prepared in alphabetical order of the surname (or main name) of the first author, then by initials if

there are two authors with the same surname/main name, then by date (year).

There are some general rules in alphabetical listing:

All works by an author alone precede any co-authored or multi-authored work where s/he is first •

author.

Works • written by an author precede works edited by the same author.

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Works by the same author (or authors in the same sequence) in the same year are arranged by •

alphabetical order of the titles and then marked by letters, e.g. Smith (1999a) (Smith 1999b).

Major components of a reference required in citing a journal article comprise:

Author(s)•

Date (generally year)•

Title of work being cited (with only the first word and proper nouns having a capital letter)•

Name of the journal. Volume (and sometimes issue number of the volume, e.g. 4(2) means •

Volume 4 (Issue 2).

Start (first) page number of the article cited—last page number of article cited. The name of the journal

may be set out in full or abbreviated depending on the style of the journal to which the article is being

submitted. The form of the abbreviation will be shown in the Notes for Authors of the cited journal (or

in copies and reprints of articles in which the cited journal is referred to).

Major components of a reference required in citing a complete book comprise:

Author(s) or editor(s)•

Date of publication (year)•

Title of book • (often in italics)

Edition of book if not the first edition•

City of publication + publisher OR publisher + city of publication•

Total number of pages or start page number—last page number of section being cited.•

(Titles of ‘grey literature’, internal or ‘self-published’ reports, working papers, etc., are not •

italicized).

The country, state, or province of the city should be added if the city is not well known or there is •

the possibility of confusion.

The major components of a reference required in citing a chapter in a multi-authored volume

comprise:

Author(s) of chapter being cited.•

Title of chapter being cited.•

Start (first) page number of the chapter cited—last page number of chapter cited.•

Editor(s) of volume in which chapter appears•

Title of volume • in which chapter appears (often in italics).

City of publication + publisher OR• publisher + city of publication.

Personal communications are only mentioned in the text and are not included in the reference list (and

only if the journal permits their inclusion). Some journals permit unpublished work to be included in

text citations, and the reference list (Smith J. 1999. unpublished). Other journals do not.

Some journals permit work in press to be included in the reference list. In this case the work must

have been approved for publication and the name of the journal included (e.g. Smith J. 1999. in press.

Journal of Agriculture). Within these broad guideline and rules many variations exist. These include

abbreviations, the uses of commas (,) semi-colons (;) full-colons (:) and the use of bold and italics.

Here are some examples taken at random from recent issues of journals in an agricultural college

library in England: Crosby, D.G. 1981. Environmental chemistry of pentachlorophenol. Pure Appl.

Chem. 53:1052–1080. (Journal of Bacteriology)

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Nyczepir, A. P., and Lewis, S. A. 1979. Relative tolerance of selected soybean cultivars to Hoplolaimus

columbus and possible effects of soil temperature. J. Nematol. 11:27–31.

(Plant Disease) Anghinoni I, Barber SA (1980) Predicting the most efficient phosphoros placement

for corn. Soil Science Society of America Journal 44, 1016–1020. (Australian Journal of Agricultural

Research)

Keisler DH, Andrews ML and Moffatt RJ 1992 Subclinical mastitis in ewes and its effects on lamb

performance. Journal of Animal Science 70 1677–1681 (Journal of Dairy Research)

Glass, K. A. and Doyle, M. P. (1989) Fate of Listeria monocytogenes in processed meat products during

refrigerated storage. Appl. Environ. Microbiol. 55, 1565–1569. (Food Microbiology)

Notes to Authors

‘Notes to Authors’ contain a journal’s rules for preparing manuscripts. The notes are generally printed

inside the cover of an issue of the journal at least once a year. As well as details on use of italics, commas,

parentheses etc., the notes will also describe preferred layout (size of paper, margins, fonts etc.) and

suggestions for the names of the various sections of the research paper. If electronic submissions are

accepted, the software and form these may be sent in will be stated.

When choosing a journal to which to submit your paper, the first consideration has to be the suitability

of your subject to the editorial policy of the journal. The next thing to do is consult the notes for authors.

Always do this before you start to write. This will enable you to adjust your own manuscript style, and

include as many as possible of the conventions and style characteristics demanded by the particular

journal, from the very beginning. Returning through a completed manuscript (especially a completed

reference list) to make lots of small but necessary adjustments to make your style conform to that of

a journal is a time-consuming and tedious task. This can be avoided with planning and foresight. It

is, however, likely that the notes for authors will not contain all details of every minor question of

style, and most Notes for Authors themselves recommend referring to a recent issue of the particular

journal.

Getting as many (or all) details of presentation correct at submission is a major step in easing the

refereeing process. Referees do not enjoy having to make corrections to errors of style that should

be the responsibility of the author. Equally, it is frustrating for you as an author to have a manuscript

returned with demands for corrections that could have been avoided.

A comprehensive set of notes for authors will help equally if you are a journal editor. For example, if

you are leading a research program and having to collate contributions from different scientists into a

program report, you will also benefit from having your own ‘notes to authors’. Having the individual

researchers follow a single style when they submit their individual reports will save you, as an editor/

compiler, a lot of time and effort as you prepare the program report.

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213

Trainer’s guideSession 14: Different types of scientific publications

Session objectives By the end of this session participants will:

Appreciate the dif• ferent ways in which research results can be publishedUnderstand the different outputs of research•

Decide when to • write what publication

Training materials Assorte• d markers Felt pens•

Flip c• harts

Time needed 30 min

Method of facilitation

Activity Contents Time

Plenary discussion Ask participants highlight the different types of scientific publications that they know

5 min

Plenary presentation Different types of scientific publications 20 min

Participant interaction Trainer gives an opportunity to participate to ask questions, contribute or raise their opinions. If there are any ‘light bulbs’ participants are encouraged to share them with others.

5 min

Summary Trainer summarizes the salient features of the session and switch to session 15

Handouts and reference materials

PPT: Different types of scientific publications

Reading notes on the different types of scientific publications

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Session 14: Summary of presentations: Different types of scientific publications

14.1

Different types of scientific publications

14.2

Written presentations

• Written reporting is clearly the main, and most permanent method for communicating research

• Methods and forms vary depending on the nature of both the material being disseminated and the audience

14.31. Books and book chapters

• On reaching a level of seniority and authority in a specialist area a researcher may be asked to contribute to books

• A contributor to a book will be expected to draw on his or her own work, as well as to refer widely to the work of others (past and current) in the general area

• Books are largely built around findings that have become accepted (over time) by the scientific community

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14.4

2. Review papers• Similar to book chapters (and often of equal or

greater length), reviews draw on a recognized authority's knowledge and experience to provide an overview of a special area

• Reviews are generally provided for a more specialist readership than book chapters, and provide a detailed survey of the available research literature

• Reviews also serve as up-to-date and comprehensive reference list

• Good review papers are of great value to younger scientists by indicating what information is available, and where details may be found, as they provide a single reference for a wide range of generally accepted procedures and concepts

14.53. Journal articles

• The writing most researchers do is writing journal articles

• Most likely these articles are submitted for publications in printed journals but it could also be for electronic journals which are now being published ‘on line’.

• Most scientific journals operate an “anonymous independent peer review” process in their fields of specialization

• Peer reviews are not meant to unearth and investigate misconduct, but they form an essential and integral part of the process of consensus building and they are inherent in the growth of scientific knowledge

• The time between writing a paper and the publication of the work is long. Often it takes nearly a year even after the paper has been approved for publication before it appears in print

14.6

4. Science magazines

• Science magazines may occasionally enable researchers to present their work in a less specialized manner, and to a broader audience

• Science magazines will likely focus on accessible topics with wide public appeal

• More specialized and esoteric topics will be less attractive, despite their international or national significance

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14.7

5. Newspaper articles

• The researcher will have little control over deciding what is considered interesting for a newspapers readership

• An interview or a contribution to a farming column, published in a widely read newspaper, may be an effective way of bringing a national message to wide audience

14.8

6. Extension leaflets and posters• Producing printed materials for a non-scientifically

trained and educated, perhaps illiterate audience, is a special skill

• Some research will not be suitable for direct communication

• Extension workers and farmers are the intermediate and ultimate users of agricultural knowledge, and their need to understand and use research results is paramount

• Communication is essential, and needs to be appropriately presented

• Researchers will likely need to partner with specialist communicators to ensure the right choice of medium, language and illustration to get the messages across

14.9

7. Conference posters

• A poster may well be the form in which a researcher first presents finding to peers

• Posters are often used to present preliminary findings

• Some major conferences are now so large that posters, rather than oral papers, are the main medium for researchers to present their work

• As posters become more important, researchers are devoting more time to their preparation

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14.10 8. Annual reports, quarterly reports and project reports

• Annual reports frequently represent the first presentation of research results often in a manner similar to a research paper, but rarely in similar detail as one would find in a journal article

• Some annual reports present research as ongoing, rather than completed work, along with more comprehensive reporting of results

• Quarterly reports provide an ongoing commentary of the progress of research activities, principally as a management tool for project monitoring

• Quarterly reports are often standardized with little analysis or interpretation

• Project reports are needed to report to external donors, who have required formats for appropriate reporting

14.119. Conference abstracts

• Most conference organizers demand an abstract of an intended presentation prior to its acceptance by the conference

• This allows them to judge the suitability and quality of the intended presentation and choose a time for the presentation within the conference schedule

• The abstract themselves may appear in (supplements to) journals, and on occasions be referred to by other researchers

14.1210. Conference/Workshop proceedings

• Research papers may appear in workshop or conference proceedings

• Conference proceeding can be very useful, by bringing together much up to date and relevant information in a particular field

• There are many reservations about the independence of the peer review process

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14.1311. Letter to journals and book reviews

• Researchers can demonstrate their expertise by writing letters to journals, perhaps in reply to articles published by others, or by raising new points of view

• Book reviews are also a way of highlighting experience in the literature

• Although an invitation to review a book represents wider recognition of expertise, this is not an important way for a researcher to disseminate the findings of his or her work , given the limited nature of the assignment and likely audience

14.14Oral presentations

• Conference: 10–5 minutes presentation

• Seminar and workshop

• Project planning and donor meetings

• Outside talks and media interviews

14.15

Thank you!!

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Session 14: Notes to participants: Different types of scientific publications

14.1 Written presentations

Written reporting is clearly the main, and most permanent method for communicating research, and is

the main focus of this module. While the journal article, to be discussed later, may be considered the

primary form of such communication, methods and forms vary depending on the nature of both the

material being disseminated and the relationship of the researcher to this material.

14.1.1 Books and book chapters

On reaching a level of seniority and authority in a specialist area, a researcher may be asked to

contribute to books, whether produced by an independent commercial scientific publisher or by an

international research centre. (The degree of research specialization nowadays means it is unlikely that

any single researcher will be able to write an authoritative book alone).

A contributor to a book will be expected to draw on his or her own work, as well as to refer widely to

the work of others (past and current) in the general area. Because of the time involved in publishing

books, this is not seen as the right medium for new, cutting edge and largely untested results. Books

therefore are largely built around findings that have become accepted (over time) by the scientific

community. The authority of the author, however and the nature of the publishing process may allow

the author of a book freedom to speculate and put forward ideas that would not necessarily be possible

within the limits of, say, a journal article. An established authority in a given field can also exercise

considerable research communication influence in other ways, such as in the role of journal editor.

A book can be a thesis or dissertation

Usually a monograph—a complete ‘book’ about your research program, a collection of draft or

published papers. In this case an introduction and a discussion to link together. The main differences

between the two are style and layout. Follow the university guidelines.

Introduction—set the schemes and outlines the approach adopted. Sometimes an extended introduction

is required, which includes a review of literature, in some other cases literature review forms a separate

section. This literature review section should conclude that there is a gap in the knowledge, then a

reader can then turn the page and see that your research has filled that gap.

Main body is split into sections/chapters individual experiments or different aspects of the program.

Each chapter describes one experiment, materials, methods result and discussion may be included in

each chapter. Or a general chapter may be written for methods and discussions that are common to

several experiments. There is no right or wrong way of dividing thesis into sections/chapters.

General discussion (irrespective of monograph or collection of paper) requires a slightly different

approach from that in a scientific paper or review of literature. Compare your results with previously

published information, and discuss the implications, but you also need to discuss the relationships

among your individual experiments and state how the overall program fits your hypothesis—consider

the whole picture as well the individual pieces.

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14.1.2 Review papers

Similar to book chapters (and often of equal or greater length), reviews draw on a recognized authority’s

knowledge and experience to provide an overview of a specialist area. Reviews are generally

provided for a more specialist readership than book chapters, and provide a detailed survey of the

available research literature. Reviews also serve as an up-to-date and comprehensive reference list.

Commercial publishers of scientific literature publish—sometimes annually—books with reviews in a

branch of science or technology, with names such as ‘Advances in…’ (published by Academic Press)

and ‘Progress in…’ (Pergamon Press), and others. However, there are considerable risks involved in

publishing these books because of the rapid advances in science and technology. For that reason

some publishers discontinued their series of reviews while others were taken over by not-for-profit

professional associations.

In a review paper we report work from several sources; rather than one study/one experiment/research

program. Review papers are found in journals and conference proceedings; a common form of writing

in university training. Reviews of literature are also found, in a shortened form, in the introduction

section of a standard scientific paper, and in a longer form, in the literature review section of a thesis

or dissertation.

Main requirement of a review article

It should be comprehensive and critical. This does not mean that you criticize other authors, but

collect all available information both +ve and –ve, compare and contrast them and give a balanced

perspective.

A review is just as much a part of the research process as conducting experiments•

Good reviews contribute to scientific knowledge by bringing data together so that new or more •

definite conclusions can be drawn.

Reviews also can identify the gap in knowledge and new areas of research.•

Structure of a review paper generally consists of: Introduction, various subsections, a general discussion,

conclusions and reference list

Introduction: Similar to the old paper, state the problem and indicate why you want to review why you

want to review the literature—but don’t include the review

Conclusion and reference list—follow exactly the same principles; major difference is in the body of

the review

Body

Split the body of the review clearly into themes or topics each of which can have its own section. Keep

each topic separate and arrange them logically start from general to specific. You might be able to relate

specifics back to general in your discussions.

Content

In a scientific paper, you normally have a hypothesis, which you accept or reject on the basis of your

experimental results. In the case of a review, you have a theory or a message, which you support or

reject on the basis of published results. You may have formed a theory based on your knowledge or

review or you may be invited to review a subject for a conference or journal or you may be writing

a review for a thesis or student assignment. You need to convince the reader with sound arguments,

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supported by good evidence. Try to have at least two references that support the idea, make sure that

you report reference that contradict your theory/opinion and say why it does not fit your theory.

You should never omit relevant references just because it conflicts with your ideas. You should also be

cautious when using references that agree with you but not relevant. Never extract parts of a paper that

disagrees with the original author’s conclusions; unless you are looking at the data/information from a

new angle. Do not report results that the author found were not significant as though they were. Always

try to give some experimental details from the paper that shows how strongly the evidence supports

your theory/view.

Quantitative data are useful for supporting theories and formulating new ideas. You can combine data

from several studies in a table or figure (give examples), but be careful when trying to do statistical

analysis on means from different studies; (meta analysis). It is good to consult a statistician first.

Do not produce a long list of references to support the print. Try to avoid referring to text books; they

usually do not describe experimental results, they just state author’s opinions.

When you get ideas or evidence from a paper that itself review, always check the original source of

information; the reviewer might have misinterpreted the data.

14.1.3 Writing your review

It requires planning or careful thought. Lots of index cards, a folder with a number of sub folders or files

with key words on them. Sort the files and cards into the order of your review sub-headings. Within

each topic decide how you want to cover the materials and sort the cards into the same order.

Check there are any gaps (ideas without reference) and fill them by doing a further literature search. Then

gather the papers or into the correct order. Write the review one section at a time, but do not duplicate

the same information into sections. Check each section to make sure that you have enough evidence to

support your position/argument, and make sure that you have quoted each author accurately.

When all sections are completed, read through the review and make sure that the flow between

sections is satisfactory. You may need to add a sentence or two that link sections. It is also good to have

a tentative summary at the end of each section. Make sure that your introduction and conclusions use

similar words and that the conclusions use similar words and that the conclusions refer back to the

introductions.

Good review papers are of great value to younger scientists by indicating what information is available,

and where details may be found, as they provide a single reference for a wide range of generally accepted

procedures and concepts. A phenomenon called ‘twigging’ describes the process in which each branch

of science or technology produces new branches which focus on only part of the parent science or

technology. Hence, the art of writing reviews has become more and more elitist with consequently a

smaller group of interested readers, and less (commercial) benefit from the considerable efforts that go

into the writing of good review articles.

14.1.4 Journal articles

The writing most researchers do is writing journal articles and this is the focus of a large part of the

module. Most likely these articles are submitted for publication in printed journals but it could also be

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for electronic journals which are now being published ‘on-line’. Preparing articles for publication in

journals is a complex task, requiring many different skills (in addition to those skills originally needed

to carry out the work being reported). As a researcher you know that the number of articles you publish

and the nature of the journals where your articles appear will likely be used to judge the quantity and

quality of your work.

Journals publish different types of scientific paper. These can be: full length research papers, review

papers, symposium papers, invited papers, and technical research notes. They give results of completed

but limited experimental and methodological details, book review, and letter to the editor. Their

purpose is to discuss, critique, or expand on specific points made in recently published papers and

rapid communications. They deal with ‘hot topics’.

The format of a journal paper varies from one journal to another. Generally, the standard format has

the following components;

Title•

Abstract•

Introduction•

Materials and Methods•

Results•

Discussions•

Conclusions•

References•

Acknowledgments, Annexes (Acknowledgement and appendices are optional, as are tables and •

figures)

Most scientific journals operate an ‘anonymous independent peer-review’ process in their field of

specialization. Occasionally, the authors or their supervisors may be able to guess who the referees

for a particular article are likely to be. Hence, to foster objectivity, the names of the authors may not

be revealed to the referees. Alternatively, some argue that the names of both authors and referees

should be revealed. The peer review system has been blamed for bias and the rejection of papers that

were worthy of publication as became apparent when they later appeared in other journals of equal

reputation. The earlier rejection then only contributed to the overall delay in the publishing process.

Yet, the peer review system contributes to the integrity of the scientific record of a journal, which is

the primary concern of science editors. Fortunately, legal misconduct in science and technology, such

as plagiarism and fabrication of results, is rare but is not non-existent. Peer reviews are not meant

to unearth and investigate misconduct, but they form an essential and integral part of the process of

consensus building and they are inherent in the growth of scientific knowledge.

The metaphor of ‘twigging’ mentioned in the context of review papers is also apparent in the proliferation

of scientific journals. Sometimes the need for new journals came about when new ideas were first

perceived as too radical and shut out by the mainstream of science publishing. This happened for

example with transmission of radio waves which was seen as unimportant by electrical engineers and

scientists. More often, new journals are started when the existing ones have so many sections that none

of the readers is interested in or capable of understanding all of them anymore. An example is the

American Soil Science Society of Science Journal which covers the entire range of soil science from

pedology to soil–water relations. Recently, a new journal was brought out by the American Soil Science

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Society called Vadose Zone Journal, which focuses on transport mechanisms in the unsaturated part of

the soil profile.

Another reason for starting a new journal may be found in the growth of scientific research in a

particular country or region. This could be particularly true for agricultural journals in developing

countries. For example, much of the research on soil and water quality in the western world deals with

organic residues and heavy metals, whereas in many semi-arid countries soil and water degradation

results from salinization processes. The result is that international environmental literature deals with a

different set of issues than what is significant in scientific research in some developing countries.

The time between writing of a paper and the publication of that work is long. Often it takes nearly

a year even after the paper has been approved for publication before it appears in print. The reason

for this is that journal editors have to maintain a stock of papers ready to be published to fill every

scheduled issue in turn. Pressure to reduce the time gap has been strong, but has had little effect on the

printed journals. The inevitable time gap may have contributed to the demise of the monographs and

substantial review papers in rapidly advancing fields of science and technology, as authors found they

could never include reports on the most recent developments.

Electronic publishing of journals seemed a logical solution, but it was unclear whether there should be a

fee for access to on-line journals. The British Medical Journal chose to make access to its entire website

free to all, while some publishers charge a subscription fee for access. Examples of the latter include

the virtual journals Environmental Sustainability and Industrial Effluents, published by Elsevier.

14.1.5 Science magazines

Where such magazines exist, science magazines may occasionally enable researchers to present their

work in a less specialized manner, and to a broader audience. However, there are limitations. Science

magazines will likely focus on accessible topics with wide public appeal (e.g. wildlife conservation),

while more specialized and esoteric topics (e.g. ‘phytopathology’, or ‘mine water and the environment’)

will be less attractive, despite their international or national significance. As with other forms of mass

media communication, when publishing in science magazines, the researchers’ control of choice of

content and the manner of presentation becomes more limited.

14.1.6 Newspaper articles

The researcher will have little control over deciding what is considered interesting for a newspapers

readership. However, an interview or a contribution to a farming column, published in a widely read

newspaper, may be an effective way of bringing a national message to a wide audience (and enhancing

national recognition).

14.1.7 Extension leaflets and posters

Producing printed materials for a non-scientifically trained and often poorly educated, perhaps illiterate

audience is a special skill. Some research will not be suitable for direct communication. Extension

workers and farmers are the intermediate and ultimate users of agricultural research, however, and their

need to understand and use research results is paramount. Communication is essential, and needs to

be appropriately presented. Researchers will likely need to partner with specialist communicators to

ensure the right choice of medium, language, and illustrations to get the messages across.

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14.1.8 Conference posters

A poster may well be the form in which a researcher first presents findings to peers. Posters are often

used to present preliminary findings. With improvements in computer printing (software and hardware),

more attention is being given to the production of posters. Also, some major conferences are now so

large that posters, rather than spoken papers, are the main medium for researchers to present their

work. As posters become more important, researchers are devoting more time to their preparation.

Research results can be presented very effectively in a poster. Main message can be highlighted.

Viewers can study the message/information at this own pace. It provides an opportunity for questions

and meaningful dialogue between poster presenter and viewed. The poster might be reused e.g. at the

presenter’s home institution.

In a poster, there is intense competition for audience attention. Phrasing of the title and the overall

appearance of the poster are of utmost importance. You should have a brief and clear message and you

can adapt to the audience. Think about probable questions when preparing a poster.

A poster is often structured like a scientific paper. It has headings such as introduction, objectives,

methods, results and conclusions. Use more informal headings like short statements and/or questions.

Irrespective of the form used provide:

Title of the poster, and its number in the meeting program must be given at the top of the poster •

and followed by the authors’ name and address.

In addition the poster should show:•

Why the topic is important•

The objectives of the study•

The most important results•

The main conclusions and •

Possible implications•

Methods used mentioned only very briefly• Designing the poster

Check the requirements—height and width specified by the organizers•

Landscape orientation or portrait•

May also have/set rules for how to structure the poster content•

Make an attractive and informative poster• Tips on how to choose layout and content

Set up a one page model in proportional scale, either on paper or on the computer. The contents can

be arranged in columns running down the poster or in rows running across. If the poster is wide, then

best to arrange the content in column left to right. Especially if many people can be expected to read

from the poster at the same time.

Arrange contents in a logical order, start with the importance of the topic at the top—left and •

ending with the conclusions at the bottom right of the poster. Don’t hide the conclusion at the

very bottom of your poster.

Place the conclusions centrally on the poster at eye-height for the audience.•

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The poster should be self-explanatory and sub-sections could be numbered to guide the audience/•

viewer.

Visual displays such as tables, graphs, photos and other illustrations (e.g. Drawings, paintings and •

clip-art) can make the poster attractive and easy to understand assuming that they are relevant to

the poster topic.

Try to balance poster text and visual displays.•

Background—uniform, light e.g. Light beige or grey, but not pure white.•

Single sheet poster is often recommended•

Occasionally you see posters that consist of a number of individual sheets mounted directly on •

the poster board, often with a dark frame around each and some employ space between the

sheets. This usually gives a spotted impression and it is not generally recommended.

Each section of the poster should contain just a few messages. You do not need to write complete •

sentences.

Don’t overlook the poster.• Making a poster

Multipart poster. Where individual elements are produced separately and then mounted manually

on a joint background paper or card. Single-sheet poster can be printed on soft paper (and might

be also covered with plastic laminated or it can be printed on cloth which makes the poster easy to

transport. For transportation, you may need a poster cylinder. Single sheet poster is simple to mount

at the meeting site, but the equipment needed to produce it may not always be available or may be

expensive to use.

If well done, a multi-part poster might be more ‘alive’ than a single sheet poster, but be prepared to

spend time at the meeting site on the final mounting.

The ULTIMATE PREFERENCE IS A MATTER OF TASTE. Do not just enlarge your written paper to form a

poster—unprofessional, may not catch the eyes of the viewer.

When making posters, think about the following:

Colours will enhance the poster, but too many colours will distract or give a disjointed effect. Title •

can be in colour, but the text is usually easier to read in black or dark blue.

Think of the background in choosing colours. Colours on a digitally produced poster may not look •

the same in print as on the computer screen.

Bullet points are easier to grasp than the test paragraphs. Fonts used should be easy to read. Bold •

letters in the title and headings may facilitate reading from a distance. Words in lower case letters (or

with initial capital) are easier to read than words in all upper case letters. Text sign must be large.

Title should be easily read from a distance of 3–5 m and text from 1.5–2 m. •

110–120 for title•

60–70 for headings • Generally recommended

30–40 for body text •

Tables and graphs must be easy to read and understand. Use appropriate font size, limit the amount of

information. A written conclusion/take home message directly over or under a table or graph might also

keep the viewer. Clip-art can be useful to illustrate the poster. Attention gets—a striking photograph. A

matt poster surface is usually preferred to a glossy one; because light reflecting from a glossy surface

can make your poster impossible to read.

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Presentation of poster

Bring what might be needed for the final mounting: push pins, glue, spray adhesive, tape etc. Photo

of the presented can be fastened near the poster title. A small boss with your business card –people

can contact you later if needed. On page print out of the poster—title, authors, addresses, (e-mail),

summary of research, important tables and figures (reduced) and relevant literature or a reduced copy

of a poster. Be there on time; stay there during the whole session. Prepare a 3–5 minute presentation.

Remember the poster must be self explanatory. Role prepared to discuss topic, respond to questions

and provide additional information. A folder with additional, easily viewed, information can be useful

for this purpose. The poster discussion is more detailed and on a one-to-one basis. It is a dialogue that

also gives you a splendid opportunity to establish valuable contacts.

14.1.9 Annual reports, quarterly reports, and project reports

Annual reports frequently represent the first presentation of research results, often in a manner similar

to a research paper, but rarely in similar detail as one would find in a journal article. Some annual

reports present research as ongoing, rather than completed work, along with more comprehensive

reporting of results.

Although produced mainly for reasons of research management, annual reports may provide the

most salient data and information to other researchers, especially if widely distributed. They may

also provide an indication of the productivity and quality of the institute, the wider NARS, and the

individual researcher. Quarterly reports provide an ongoing commentary of the progress of research

activities, principally as a management tool for project monitoring. They are often standardized with

little analysis or interpretation.

In addition, some institutions publish working papers or research reports on interim or final results for

internal review and evaluation prior to attempts to publish in wider, in particular international, journals.

Regrettably, sometimes the attempts to publish the results and analyses in a journal article for regional

or international dissemination are then never made. Project reports are needed to report to external

donors, who have required formats for appropriate reporting. The audience for these reports will most

often be non-scientists, so their preparation may put extra and different demands on the researchers

involved. However, timely project reports, written in the desired format as specified by the donor, are a

key element of good donor relations, so it pays for researchers to obtain the necessary skills.

14.1.10 Conference abstracts

A conference paper may be in the form of a full scientific paper or a review; but often you are expected

or asked to write a summary or abstract. Summaries are longer, so they can contain more details,

including tables and figures.

Abstracts normally stand alone (you don’t need to read any of the full paper) and often published as

conference proceeding. Abstracts are submitted earlier so that the organizers can decide to which session

the abstract/paper should go into. The purpose of the summary is to support your oral presentation/

poster presentation so that you can concentrate on getting the main message across the audience.

Often you are provided guidelines about the length and layout of your summary or abstract you need

to follow these guidelines. Conference abstracts follow the same rules as it would be in a scientific

paper—concise, standalone, no reference and no visuals. A conference summary is usually written

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with the same sections as scientific paper—but you do not need to include so much detail in the

introduction and discussion section.

There is no need for comprehensive references, give only a few key references if they are directly

related to your work. Materials and methods section should be similar to what is in the scientific paper.

Most important section is the results section, which should contain full details of the results that you

are going to present.

Most conference organizers demand an abstract of an intended presentation prior to its acceptance

by the conference. This allows them to judge the suitability and quality of the intended presentation

and choose a time for the presentation within the conference schedule. The abstracts themselves

may appear in (supplements to) journals, and on occasion be referred to by other researchers. This is

generally considered only a temporary measure as most such work is later expected to appear in full

in the form of journal publications.

14.1.11 Conference/Workshop proceedings

Many meetings bring out reports and compilations of papers. The presentation of a research paper for

appearance in such proceedings may often be an expected condition of the invitation (and funding) to

attend. Conference proceedings can be very useful, by bringing together much up to date and relevant

information in a particular field. However, many of the reservations about the independence of the

peer review process, mentioned in earlier connection with regional and national journals also apply to

the publishing of conference proceedings.

14.1.12 Letter to journals and book reviews

Researchers can demonstrate their expertise by writing letters to journals, perhaps in reply to articles

published by others, or by raising new points of view. Book reviews are also a way of highlighting

experience in the literature. Although an invitation to review a book represents wider recognition of

expertise, this is not an important way for a researcher to disseminate the findings of his or her work,

given the limited nature of the assignment and its likely audience.

14.2 Oral presentations

14.2.1 Conferences

Conference presentations, frequently as short as 10 minutes, may be a major avenue for the dissemination

of research results. As a result, much effort goes into their preparation, along with the associated slides,

overheads, or PowerPoint presentations. Many researchers are poor presenters, lacking both skills and

experience in public speaking. Most could probably benefit from at least some coaching and training.

14.2.2 Seminars and workshops

Seminars, with their often more relaxed and intimate atmosphere, in the company of fellow specialists,

provide a more comfortable environment for oral presentations. However, because they are more

relaxed affairs, researchers often treat them less seriously and pay less attention to the proper preparation

of thorough presentations.

Workshops generally provide a very informal avenue for the dissemination of research results, and this

informality may be very effective in conveying the major points of ongoing or completed activities.

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As with written presentations, however, it will be important to understand the training and skills of

the participating audience, and to tailor the content and language of workshop presentations to their

understanding and needs.

14.2.3 Project planning and donor meetings

While sometimes demanding the presentation of results, project planning and related meetings are

often equally focused on future activities. In such meetings the researcher must be able to present

findings (and intended activities) to an audience that may be both nonscientific and with a wide range

of demands and priorities to satisfy. This provides a contrast to that of the generally supportive and

sympathetic audience of a researcher’s peer group that may be found at a conference, seminar, or

workshop.

14.2.4 Outside talks and media interviews

Whilst often less demanding (in terms of detailed content) than oral presentations to fellow specialists,

presentations to non-scientific audiences make special demands precisely because of the audience’s

lack of specialized training or knowledge. Effort and preparation will be needed to be successful.

Researchers may wish to consult or partner with media specialists to do a good job.

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Trainer’s guideSession 15: Writing style and readability

Session objectives By the end of this session participants will:

Decide • when to write to convince or informWrite easily and simply •

Apply th• e issue that have to be considered before and during writing

Training materials Assorted • markers Felt pens•

Flip chart• s

Time needed 1:30 hrs

Method of facilitation

Activities Contents Time

Plenary discussion Trainer gives an ‘ice breaker’ by reminding participants the different letters that they have written including love letters

10 min

Plenary presentation Writing style and readability 40 min

Participants interaction Trainer gives an opportunity to participants to ask questions, contribute or raise their opinions. If there are any ‘light bulbs’, participants are encouraged to share them with others

5 min

Summary Trainer summarizes the salient features of the session and switch to session 16

5 min

Break Health break

Handouts and reference materials

PPT: Writing style and readability

Reading notes on writing style and readability

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Session 15: Summary of presentations: Writing style and readability

15.1

Writing style and readability

15.2

• You have been trained to write to inform

• During your education, you wrote that way in exam papers, essays, and dissertations

• Today you still write that way, in reports, memos, and professional e-mails, and most especially in research papers

• Writing to inform means writing with your head, writing concisely and clearly, with the object of conveying information to your reader

• Most of the time you can take for granted that your reader will be interested in what you write

Writing to inform

15.3

• While your objective in writing to inform is to convey information, it may not be your goal

• Research proposals for funding are to persuade development partner to fund your proposal

• Write to persuade on at least three occasions:

• When preparing concept notes and proposals

• When contributing to brochures, annual reports, and other public awareness materials

• When drafting speeches for VIPs in your country or institute

Writing to persuade

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15.4

Tips for successful writing to persuade

• You need to appeal to the self-interest of your readers

• Write with passion

15.5Tips for your subject, your passion,

shines through…..

• Use strong, emotional words like urgent, vital, essential, new and related ones

• Avoid vague words like possibly, under certain circumstances

• Short sentences convey urgency. Long sentences, with lots of subordinate clauses that go on and on and on and on, like this one, tend to put the reader to sleep!

15.6Tips for your subject, your passion, to

shine through…..(cont’d)• An arresting word or phrase can waken a reader to

the importance of what you are saying. Making a timely reference can help too.

• For instance: “The new devil weevil attacking millet in West Africa has the power to kill as many children as have died in Bosnia, Kosovo and Iraq – only, the weevil will kill more slowly; first through increased malnutrition, then through famine.”

• Get your message across as quickly as possible, and in as few words as possible.

• Use the active rather than the passive voice

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15.7Active and passive writing

• Passive

• Sixty saplings were planted by the researcher

• The road was crossed by five chickens

• A weight gain of half a kilogram was recorded in the cows each month

• Active

• The researcher planted 60 saplings

• Five chickens crossed the road

• The cows gained half a kilogram each month

15.8General writing tips

• Think about your readers before and while you are writing

• Know as much as possible about your readers before you start to write

• Spoon-feed your reader: make your writing as easy to read as possible

15.9General writing tips

• Use simple words

“The scientific members of the establishment seek to ascertain whether the electricity supply has been merely temporarily discontinued or if they are suffering a permanent disconnection.”

“The scientists want to know if this is just a short power cut, or if the electricity has been cut off.”

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15.10General writing tips

• Use simple and direct sentences“The policy environment within which research

organizations operate sends signals about which types of research should be conducted and defines the structure and organization of the research bodies. It also establishes the level and nature of the resources provided to carry out the research mission. Financial policies for agricultural research strongly influence both the level of the research effort and the degree to which that effort is linked to particular sectoral or scientific goals and objectives.”

“Government financial policies have strong, direct effects on agricultural research. Policies influence how much research is done, where it is done, and for whom it is done “

• Use short paragraphs, plenty of white space and plenty of subheads

15.11General writing tips

• Plan before you write

• a. What are you writing? (report, journal article, proposal, term paper, letter of complaint)

• b. Who will read it? (individual and organization)

• c. What is its purpose? (to explain, convince, get money, request action, analyze, etc.)

• d. What is the topic, and how many sections do you need

15.12

Thank you!

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Session 15: Notes to participants: Writing style and readability

15.1 Writing to inform and writing to persuade

15.1.1 Writing to inform

You have been trained to write to inform. During your education, you wrote that way in exam papers,

essays and dissertations. Today you still write that way, in reports, memos, and professional e-mails, and

most especially in research papers. Writing to inform means writing with your head, writing concisely

and clearly, with the object of conveying information to your reader. Most of the time you can take for

granted that your reader will be interested in what you write—perhaps because your reader is a teacher

or professor or fellow-scientist, then he or she is being paid to read your work—it is part of the reader’s

job description.

Notice, however, that while your objective in writing to inform is to convey information, it may not be

your goal. All forms of writing have both an objective and a goal. As we have already noticed, there

are many reasons why researchers communicate, from vanity to concern for the welfare of end-users.

On any given occasion, your goal for writing to inform may be to attract comments and support, to

become famous, to get tenure in your position, or to add to your publications list in hopes of future

promotion.

15.1.2 Writing to persuade

You probably have less experience in writing to persuade. Think about love letters, which many of you

may have written, at least in your head. Your objective in writing them may also be to inform—to let

your loved one know how you feel. But you have a goal, too, one that likely involves persuasion. Your

goal may be to win the love of your loved one, or you may be trying to relieve the stress of your strong

emotions by expressing your feelings in words.

Advertising people are always writing to persuade. Their goal is to make you buy a certain product.

Politicians, whose goal is to make you vote for them, also write and speak to persuade. Advertisers and

others seeking to persuade you to do something use images as well as words. Thus famous athletes sell

sports shoes, and the Marlboro man, macho, strong, outdoorsy, persuades some young men to buy and

smoke Marlboro cigarettes. You are not in the advertising business, but even in the research business,

there are times when you have to write to persuade.

When researchers have to write to persuade

As a researcher, you will have to write to persuade on at least three occasions:

When preparing concept notes and proposals•

When contributing to brochures, annual reports, and other public awareness materials•

When drafting speeches for VIPs in your country or institute•

In concept notes and proposals you need to write to persuade the reader to give you money. You need

to persuade your reader that your proposed research is:

Important• (to the reader and the end users)

Urgent• (if the work is not done, something bad will happen, if it is done, something good will

happen), and

Cost• -effective (you have put together a good project, and the right implementing team—you have

thought through your project, and all you need is the money).

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You can do this by using the right combination of writing to inform and writing to persuade in different

parts of the project concept note or proposal. The places where you can use writing to persuade to

entice a donor to give you support are:

the background section•

the description of the beneficiaries•

the discussion of the project goal and impact•

In public awareness materials, you are trying to persuade your reader of the importance and value of

the work of your institute. You need to inform readers of what you are doing, but you need to present

the information in an informal and reader-friendly style. You cannot assume that your readers are going

to be interested in what you do; so you need to employ the tricks of the persuasive writing trade to make

your material enticing. Similarly, in speeches you are trying to convey to a non-scientific audience the

excitement of the work of the institute, and its contribution to the well-being of citizens of your country.

If a speech is written only in the writing-to-inform style, it will not be very lively; but by using some of

the tips in the next section, you can ensure that the speech will not send the audience to sleep!

Tips for successful writing to persuade

The single most important thing about writing to persuade is that you need to appeal to the self-interest

of your readers. To do this, you first need to identify that self-interest, which in turn means that the more

you know about your readers, the more you can tailor your writing to what you know. Here is what

George Allen, a well-known American journalist, had to say on the subject a few years ago:

‘The simple presentation of facts will rarely persuade an audience. They may find the facts interesting,

but they will rarely be moved to change their attitudes or act in ways the communicator would like

them to… Unless the message is addressed to a specific audience, and is tailored to engage the self-

interest of that audience, it is merely a shot fired in the air with no particular destination. Most of the

messages …(prepared by researchers)… are sent out c/o General Delivery.’

The second most important thing about writing to persuade is to write with passion. When you write to

inform, it is very important to get your facts right, to calmly and logically lay out the issues, to be sure

your meaning is crystal clear. This is not so important when writing to persuade. In writing to persuade

you may wish to highlight some facts and downplay others.

You may even want to exaggerate—just a little. Persil probably doesn’t wash any whiter than other

detergents. You are allowed to take some liberties like this in persuasive writing, because your goal is

to move people, to get them to take a new position, to do something new, or, in the case of a proposal,

to give you money. How can you write so that your love of your subject, your passion, shines through?

Here are some tips:

Use strong, emotional words like urgent, vital, essential, new and related ones. At the same time, •

avoid vague ‘weasel’ words like possibly, under certain circumstances.

Short sentences convey urgency. Long sentences, with lots of subordinate clauses that go on and •

on and on and on, like this one, tend to put the reader to sleep!

An arresting word or phrase can awaken a reader to the importance of what you are saying. •

Making a timely reference can help too. For instance: ‘The new devil weevil attacking millet in

West Africa has the power to kill as many children as have died in Bosnia, Kosovo and Iraq—only,

the weevil will kill more slowly; first through increased malnutrition, then through famine.’

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Get your message across as quickly as possible, and in as few words as possible. A short, punchy •

paragraph will have more power to move your audience than a longer piece, no matter how well

written or strongly felt.

Use the active rather than the passive voice. An • active sentence is one in which a subject takes

direct action. Here are three examples:

The researcher planted 60 saplings.•

Five chickens crossed the road.•

The cows gained half a kilogram each month.•

A passive sentence is one in which the subject is acted upon. The three passive sentences below are

much less punchy and urgent than the active sentences:

Sixty saplings were planted by the researcher.•

The road was crossed by five chickens.•

A weight gain of half a kilogram was recorded in the cows each month.•

You can create different feelings in your readers by your choice of words. In the recent US election

campaign, one candidate always used the phrase ‘climate change’, while the other used ‘global

warming’. Which one makes the future look more frightening? Climate change is a much gentler

phrase, and was used by the candidate who does not want to sign the Kyoto Protocol. Global warming

is a stronger phrase, and was used by the candidate who wanted to scare readers or listeners into taking

the problem seriously.

Another example from the campaign was the phrase ‘inheritance tax’. This is a phrase most people have

used and understood for many years to cover the tax that the government levies on people who die

leaving a large amount of money to their heirs. One candidate wanted to cut this tax, which, of course,

would be popular with the heirs of rich people! To make his point more forcefully, this candidate used

a new phrase that was much stronger. He called it a ‘death tax’. You can have similar effects on your

readers by carefully selecting the words and phrases you use in your proposals.

15.2 Style, readability, editing

15.2.1 General writing tips

The suggestions in this topic are not only relevant for writing up proposals, but will help you with all

your writing activities. However, written proposals are still by far the most common way of approaching

a donor for money, so it will be essential for you to sharpen your writing skills if you want to be an ace

in this field. Here are some simple rules about writing:

1. Think about your readers before and while you are writing

When you write a love letter, you have your beloved in mind. You would not say wonderful things

about her long hair if it is short; you would not praise his muscles if he is rather thin. This approach is

equally valid for all the writing you do. When you write a letter of complaint to a company, think about

the company and its interests. Why should they care about you? Then think about the person who is

going to open and read your letter first. What sort of person is this likely to be? What sort of feelings do

you want that person to have when reading your complaint? What sort of action are you hoping that

person will take? Notice that you are thinking not about your own feelings of anger or irritation, but

about the feelings of the receiver. This will calm you and help you to write more clearly. You will also

be more likely to get the action you want if you try to put yourself in the other person’s place.

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The same thing is true for writing to donors. Think about their needs, not your own needs for money,

and you will be more likely to secure your grant. You cannot think about your audience if you know

nothing about them. So part of the most important thing about writing is:

a) Know as much as possible about your readers before you start to write. Several sessions have tried

to tell you a little about who will read your research proposals. This is the basis on which you

can build your own donor intelligence, learning more and more about the people who have the

money you need.

b) Spoon-feed your reader: make your writing as easy to read as possible. This is really part of

thinking about your readers. You should assume that your readers are busy people, with many

things to do other than read your work. To get their attention, and get the actions you want, you

need to make your message as easy to read as possible. Here are some tips on how to make your

writing readable. 2. Write simply2a. Use simple word

Get into the habit of using the shortest and simplest word you can. You should have no difficulty in

deciding which of the following two sentences is easier to read and understand.

(i) ‘The scientific members of the establishment seek to ascertain whether the electricity supply has

been merely temporarily discontinued or if they are suffering a permanent disconnection.’ (ii) ‘The

scientists want to know if this is just a short power cut, or if the electricity has been cut off.’ The

attachment has some examples of long words and their shorter, and better, equivalents. You may also

want to start a list of your own, and keep it on a notice-board in your office to remind you to use the

short words whenever you can.

2b. Use simple, direct sentences

Do not be afraid to use simple language and short sentences. Readers will not think you are stupid but

will thank you for making your meaning clear. In addition to using simple words, try to get into the

habit of writing simple sentences. Read the following sentences:

‘The policy environment within which research organizations operate sends signals about which types

of research should be conducted and defines the structure and organization of the research bodies.

It also establishes the level and nature of the resources provided to carry out the research mission.

Financial policies for agricultural research strongly influence both the level of the research effort and

the degree to which that effort is linked to particular sectoral or scientific goals and objectives.’

This is the opening paragraph of an article. It makes sense, but it is not easy to read, and certainly not

easy to read quickly—it does not entice you to read more, if you are only partially interested. Below is a

paraphrase of this paragraph that conveys almost the same meaning. It uses simple words, and simpler,

more direct sentences. This version will certainly save the reader time and effort in absorbing the

meaning. ‘Government financial policies have strong, direct effects on agricultural research. Policies

influence how much research is done, where it is done, and for whom it is done ‘

2c. Use short paragraphs, plenty of white space and plenty of subheads

Popular (or tabloid) newspapers are designed for lazy readers. Their material is very easy to read. They never

have more than one idea per paragraph. Sometimes they have a new paragraph for every sentence.

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They use pictures and headlines to break up the text into small, easy-to-read chunks. You can follow

some of these rules. If you find your paragraphs going on and on, just break them into two. Set your

word-processing program to use large margins. Never have a whole page of text without a subheading.

Use bold text and italics to highlight the most important parts of your message. See how we have tried

to make this course material as easy for you to read as possible. One tip that is particularly useful for

scientific writing is to use bullets whenever you write a long list sentence. See which of the following

you find easier to read:

i) ‘There are several reasons why participation in regional cooperation is not always fully costed out.

They include a lack of awareness; a general attitude among institutions, countries, and individuals that

‘it is always better to be in than out’; a tendency to focus more on the expected gains than on the costs

when making such decisions; managers’ fear of being seen as uncooperative; and, failure of members

to seek inputs from financial specialists, especially at the design phase.’

There are five reasons why participation in regional cooperation is not always fully costed:

lack of awareness•

a general attitude that ‘it is always better to be in than out’•

a tendency to focus more on gains than costs•

managers’ fear of being thought uncooperative•

a failure to seek inputs from financial specialists, especially during design’•

Notice that in addition to using bullets, we have also simplified the sentences without losing too much

of the meaning. By making the bullets shorter, they are now easier to read.

There are other tricks to making your writing a pleasure to read. These include:

using the active voice•

choosing lively verbs•

putting your points positively•

re-reading your work•

using graphs, tables, and pictures to illustrate your words• 3. Plan before you write

Very few writers can write anything except a short note or e-mail without having to first think about the

structure of what they want to say. Most writers will find that they write more clearly and more quickly,

if they first prepare an outline of the whole document. Some people prepare their outlines in their head,

but most people write it down, so that they can refer to it as they write. This is what we recommend

you do, too.

We suggest that before you write anything you spend some time thinking about these four questions:

What are you writing? (report, journal article, proposal, term paper, letter of complaint)•

Who will read it? (individual and organization)•

What is its purpose? (to explain, convince, get money, request action, analyse etc.)•

What is the topic, and how many sections do you need?•

After thinking a while, you might find it useful to write out your answers along the lines of the

following example. ‘This is a report to the African Development Bank describing progress on the maize

improvement project after the first year. The report will go to the AfDB Program Officer for Uganda.

He needs to understand that the project is delayed because we have had poor cooperation from local

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officials, and farmers were discouraged by the late arrival of the improved seed. But there is some

good news too, so the report will have two sections—bad news and good news—and a final paragraph

suggesting a revised project work plan.’ You would probably then go on to sketch an outline of the

report. We will be discussing outlines and formats for concept notes, proposals, and progress reports

to donors later.

15.3 Writing and presentation for non-technical audiences

The obligation that researchers have to communicate with a wide range of audiences, other than their

researcher peer-group, has been discussed. In topic 21, we have discussed the different writing styles

that are appropriate for different audiences and occasions.

15.3.1 Who controls the content?

Some non-technical writing about research issues includes open-day posters, technical bulletins,

or extension leaflets. These forms of communication target specific audiences. The publications are

usually not written by researchers but by colleagues or collaborators with training in adult education

and/or agricultural extension to ensure that the material meets the needs of development workers,

farmers, and extension agents.

When writing for the popular media, the researcher may not have control over what is finally printed in

the magazine or daily paper. Often the magazine initiated the demand for an article and the journalists

and editors control the content. Obviously, when writing for a farming magazine, new techniques

would be of interest; but when writing for a business section of a newspaper it would be better to stress

the economic benefits and increased profits your research might lead to.

15.3.2 Capture your audience

In most writing for non-technical audiences, you do not have a captive audience. Any article must

therefore compete for attention with many other articles. Headlines and attractive, attention-grabbing

illustrations are consequently of much more importance in writing for non-technical audiences than for

specialists reading research journals.

Two types of reader

Readers of information, including technical information, can be categorized as consummatory and

instrumental.

Instrumental readers use the material they are reading as an instrument to solve a problem or fill a gap

in knowledge. Because of this they are prepared to search for the information.

Consummatory readers view information and increased knowledge merely as interesting aspects of

life. They do not perceive information as fulfilling a need.

Most researchers spend most of their time writing for instrumental readers. These may be technical

(such as fellow researchers, perhaps administrators) or non-technical (such as donor representatives or

politicians) who are seeking the information contained in articles or program reports produced by the

researcher. However, most people are also consummatory readers and writing for this audience may

be an important component of the dissemination of research results.

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All members of society have a right to be informed of the results of publicly funded research and

for this reason writing for a wider audience should not be considered less important than preparing

papers for specialist journals. Consummatory readers may also include extension agents and farmers.

These groups could benefit from knowing about your research, but they have many other priorities and

demands on their time. Their attention needs to be drawn to what you have found. Their ‘need to know’

must be created, to make them into instrumental readers

15.3.3 Deciding what to write

When writing a popular article for non-technical, consummatory readers it is important to establish

what is important, interesting, and relevant.

Is the information new, or are the events recent enough to be interesting?•

Is the information close enough (geographically or to people’s lives and experience) to be •

interesting?

Will the information affect peoples’ lives, and therefore appeal to their self-interest?•

Agricultural researchers work in a field that is of wide interest since everyone has to eat, and everyone

is affected by their physical environment. It is for the researcher to use one’s imagination to identify

what will bring about changes in people’s lives and is likely to be of interest to journalists and the wider

public.

15.3.4 Writing techniques

The same basic rules apply to popular non-technical writing as to writing research articles. These

include:

Avoid technical terms, which is often difficult for researchers who are not used to interacting with •

non-technical people.

Use short words.•

Write short sentences; short ‘active’ sentences are easy to understand.•

Readability can be quantified. A popular English-language magazine may have 12–15 words per

sentence and an average of 1.6 syllables per word. But, on the other hand, a research paper may have

as many as 25 words per sentence and 1.9 syllables per word. So, when writing for a non-technical

audience, change your writing style.

15.3.5 Order of presentation

In popular writing, the most important information usually comes first. After reading the first few

sentences, the reader decides whether the rest of the article is worth reading. The end of the article

could easily be cut by the editor without losing much of the information. The presentation of a

technical paper, however, is completely different with an introduction at the beginning that often gives

information that is already familiar to some of the readers, and the most important conclusions at the

end of the paper. So, when writing for a general audience you don’t only change your style but also

the order of presentation.

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15.4 Ethical issues in scientific writing

15.4.1 Double publishing and multiple submissions

Double publishing is when the same data is used to produce two papers that are published in two

different journals. This is strictly prohibited in scientific publishing circles. In addition, you should

never submit the same article to several journals at the same time. If and when you are found out it will

like be very embarrassing for you, and might even cost you your scientific reputation for many years.

Many international journals are becoming ruthless in their treatment of what they consider to be dishonest

authors. Double publishing and multiple submissions are regarded as cheating. Most journals make it

a condition when they accept a paper for consideration that it is not being considered for publication

anywhere else. The rules call for you to submit one paper to one journal at a time, and never try to make

two different papers out of the same data set. The exception to this rule is writing for a general audience

in a popular publication. After your research paper has been published in a scientific journal, you may

rewrite the material for a lay audience and publish it in the popular media. Not only is the quite ethical,

but it is also encouraged, as opening an avenue for the population to know what its scientists are doing.

15.4.2 Publishing in different languages

If an article has already been published in your own language, you should not expect to translate it and

then send it off to a journal that publishes in another language, and publish it there also. The only way

this can be ethical is if you explain in advance to the editor of the second publication what you have

done—i.e., published the paper in another language already. If the second editor is agreeable to this

arrangement, you will still need to get permission from the journal in which you first published.

15.4.3 Publishing conference papers

If you give a paper at a conference you need to choose whether you want to publish the paper in a

refereed journal or you will give the paper for publishing in the conference proceedings. If you wish to

publish a reworked version of a conference proceedings paper, perhaps with additional information,

some time later, remember to obtain permission from the conference organizers first.

15.4.4 Authorship

There are many ethical issues associated with authorship. When considering the submission of a paper

for publication, you need to consider, and answer the following questions:

Who holds the rights to the data?•

Who did the research?•

Are you entitled to write up and publish under your name?•

Whose names should be on the paper?•

If you intend to name other people as co-authors you must check with them to ensure that they have no

objections. The names at the top of the paper should be those of the researchers who did the research

and nobody else. Journals do not want directors’ names first or anywhere at all if they did nothing in

the experiment or did not help with writing the paper. You should avoid loading your paper with a long

string of names Authorship is a dangerous area. Journal managers are just as sensitive about disputed

authorship and allegations of stolen results as they are about double publishing. So be very careful that

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every author you mention fully agrees with the publication of the paper in the form that you present

it.

The following guidelines for authorship are recommended:

The first author should be the one who did most of the work and wrote most of the paper.•

Second should come the person who either supervised the activity of the first, as well as planned •

the study and helped write the paper, or, alternatively, the person who did the second-most

amount of work.

Next should come any researchers who contributed, in decreasing order of their inputs.•

15.4.5 Copyright

People who write anything in most countries automatically possess certain rights to their work. You

wrote it, so you should be able to choose and control where and how it is published. This is known as

copyright. You ‘hold the copyright’ for your own work. If a written work is to be published, the authors

will transfer some or all of their rights, by formal agreement, to the publisher. These rights include the

right to make copies of the work and the right to distribute these copies. In international practice, most

journals will publish a copyright notice when they claim the copyright. This may involve the copyright

symbol ©, or sometimes the phrase ‘all rights reserved’.

15.4.6 Permission to reproduce material

If you want to include in your publication a figure or table or other material that is from a published

work under copyright, you must get permission from the copyright holder. It is your responsibility as

an author to do this. It is not difficult, but can take time. You write to the publisher giving exact details

of what you want to reproduce and where you want to print it. Most presses will grant all reasonable

requests at no charge, subject to the agreement of the author. So at the same time, you should write

to the author to seek permission. When you receive both permissions, send copies of both with your

article to the publisher or journal editor you selected. When you reproduce such material, remember

to credit it in the text. Here is an example of what you might say: ‘Reproduced with permission from

CSIRO Australia, Jones AB, Aust J Bot 1985, 53: 121-5’.

15.4.7 Guarantee of material

In signing a publication contract or submitting a paper to a journal, authors guarantee that:

The work is original•

The author(s) owns it•

No part has previously been published•

No other agreement to publish all or part of it is outstanding.•

As noted, if you have published a significant part of the material elsewhere, you must obtain written

permission to reprint the material from the copyright holder and send a copy of the permission to

the publisher. You must also mention this matter of copyright in your paper. The issue of copyright

and intellectual property is complicated. Publishers are strict and getting stricter. Be careful, and take

advice from senior, experienced, and trusted colleagues, who have published widely. If in doubt,

always check with the editor of the journal in which you hope to publish. It is always better to check

than to make assumptions that can later give you grief.

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Trainer’s guideSession 16: Overcoming hurdles to publication and information dissemination Session objectives By the end of this session participants will:

Appreciate the factors that make it hard for people to publish or disseminate •

their research findings

Write easily and simply •Identify appropriate ways of overcoming the factors that constrain researchers to •

publish their findings

Apply the different considerations for effective communication•

Training materials Assorted markers •

Felt pens•

Flip chart• s

Time needed 50 min

Method of facilitation

Activities Contents Time

Plenary discussion Ask participants for some of the reasons why publishing and disseminating research results are limited in Africa

5 min

Plenary presentation Overcoming hurdles to publications and information dissemination 35 min

Participants interaction Participants are organized into a group to discuss the questions and answers to the exercise on project management, monitoring and evaluation.

5 min

Plenary presentation Participants share in subgroups what best practice and challenges they have experienced. Write on cards—green for best practices, red for challenges.

5 min

Summary Trainer summarizes the salient features of the session

Individual exercise Workshop evaluation

Handouts and reference materials

PPT: Overcoming hurdles to publication and information dissemination

Reading notes on overcoming hurdles to publication and information dissemination

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Session 16: Summary of presentations: Overcoming hurdles to publication and information dissemination

16.1

Overcoming hurdles to publication and information dissemination

16.2

• A major purpose of this training workshop is to enable participants and host organization to publish and disseminate the findings of their research activities to the appropriate audiences in a smoother, more timely, and efficient manner

• Identifying difficulties, constraints, and bottlenecks to this process is clearly an important first stage in improving the process

Major aim of scientific writing

16.3

1. Time - Nobody has enough time

• When deadlines exist, the preparation of articles, posters, or talks can often be a last-minute activity conducted “against the clock”, with a corresponding lack of thoroughness and completeness

• Ultimately results and findings are “perishable”, the findings may become irrelevant, similar findings may be produced by other researchers or the researcher(s) involved may be transferred, promoted, or simply lose interest

Hurdles to overcome……

245

Slide 4

Hurdles to overcome (cont’d…)2. Communication and coordination between

researchers• Problems of time are amplified when more than

one author or contributor is involved• Each partner may have difficulty preparing or

reviewing their own contribution or that of their colleague

• If the main contributor is junior to more senior collaborators it may be difficult and frustrating to maintain momentum during the preparation process

• Existing differences between potential collaborators as to the nature and meaning of the material

• Collaborators in different institutes or countries

Slide 5

3. Access to information• Most researchers outside of a few well-funded

universities or institutes do not have access to the full range of journals and specialist background literature in their subject

• Researchers without access to abstracting services or the Internet may even find it difficult to maintain awareness of what work other researchers in their subject are doing

• Obtaining copies of other researchers’ work can be a lengthy and expensive process and the institute or project budget may not be able to afford them

• This ‘isolation’ from the broader community of researchers may hinder and delay the process of writing, either by reducing confidence in the validity and originality of what has been done or simply through the delays in waiting for thorough background information

Hurdles to overcome (cont’d…)

Slide 6

4. Choice of journal

• Ensuring that a completed research article is in fact submitted to an appropriate journal, one that publishes articles on the particular subject, is an obvious step

• Some journals are published by societies and only members of the society may publish in it

• Some journals have page charges, where authors contribute to the cost of publication - Who will pay these, is there a budget in the project or the institute to cover any such charges?

Hurdles to overcome (cont’d…)

246

16.7

5. Publishing process• Journals themselves may only publish 2 or 3 or 4

times a year• Referees and editors are themselves short of time,

called to other tasks and delayed by poor or late communication

• Unnecessary difficulties and delays often result from the fact that the authors did not follow the instructions to authors as specified for the journal to which they submitted their paper• preparation of tables and graphs• the length of the abstract• lack of a clear distinction between the results

and discussion sections of the paper• or an incomplete list of references

Hurdles to overcome (cont’d…)

16.8

5. Publishing process• Language is another issue that can lead to considerable

difficulties• many poorly-written papers are submitted• most reviewers become irritated by impenetrable and

wrong use of the language and will quickly conclude that the paper is not suitable for publication

• The refereeing process is time consuming• Referees are also dealing with many tasks and

responsibilities• They may be in different countries• Manuscripts are still often distributed, and comments

added, on paper copies distributed by post• changing the number of issues per year, may delay

the whole publishing process

Hurdles to overcome (cont’d…)

16.9

• Many factors may delay dissemination of a researcher’s work

• Many of these may appear beyond the control of the researcher and be a cause of intense frustration

• With thought and planning, and the skills, these can be minimized and the whole process of bringing important and necessary information to those who will benefit from it, be made easier

In conclusion…

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Session 16: Notes to participants: Overcoming hurdles to publication and information dissemination

16.1 Introduction

A major purpose of this training workshop is to enable participants and their host organizations to

publish and disseminate the findings of their activities to the appropriate audiences in a smoother,

more timely, and efficient manner. Identifying difficulties, constraints, and bottlenecks to this process is

clearly an important first stage in improving the process.

16.2 Time

Nobody has enough time. Preparing an article is not (in the short or medium term) ‘perishable’ and

(again in the short or medium term) results do not decay. Frequently and inevitably, other activities with

time constraints, e.g. completing a survey before the rainy season, overseeing the harvesting of field

trials, giving lectures at the local university for which the dates have been set, can all take priority. For

most researchers writing becomes something done in the evenings, or at weekends.

Often the only mechanism to ensure that preparation of articles and talks becomes a priority is the

establishing of a deadline by an outside authority. When deadlines exist, the preparation of articles,

posters, or talks can often be a last-minute activity conducted ‘against the clock’, with a corresponding

lack of thoroughness and completeness. With deadlines missed, the urgency to complete may again

be lost and once more the preparation of an article or report can take second place to more urgent

activities. Ultimately results and findings are ‘perishable’, the findings may become irrelevant, similar

findings may be produced by other researchers or the researcher(s) involved may be transferred,

promoted, or simply lose interest.

16.3 Communication and coordination between researchers

The problems of time are amplified when more than one author or contributor is involved. Each partner

may have difficulty preparing or reviewing their own contribution or that of their colleagues. If the main

contributor is junior to more senior collaborators (for example, the need to await the corrections and

approval of the Institute Director), it may be difficult and frustrating to maintain momentum during the

preparation process. It may even be the case that differences exist between potential collaborators as to

the nature and meaning of the material to be presented, which may necessitate protracted negotiation

before agreement is reached. If the collaborators are in different institutes, or in different countries, the

problems are correspondingly greater.

16.4 Access to information

Most researchers outside of a few well-funded universities or institutes do not have access to the full

range of journals and specialist background literature in their subject. This of course includes most

researchers involved in agricultural development. Researchers without access to abstracting services

or the internet may even find it difficult to maintain awareness of what work other researchers in their

subject are doing. Even if researchers are aware of, and wish to read, what other workers are doing,

obtaining copies of other researchers’ work can be a lengthy and expensive process and the institute

or project budget may not be able to afford them. This ‘isolation’ from the broader community of

248

researchers may hinder and delay the process of writing, either by reducing confidence in the validity

and originality of what has been done or simply through the delays in waiting for thorough background

information.

16.5 Choice of Journal

Ensuring that a completed research article is in fact submitted to an appropriate journal, one that

publishes articles on the particular subject, is an obvious step. Some journals are published by societies

and only members of the society may publish in it. Is at least one of the authors a member of the society

in question? Is the article the right length for the journal—is it short enough or long enough for the

journal?

Some journals have page charges, where authors contribute to the cost of publication. (Some journals

offer free publication, but faster publication if page charges are paid). Who will pay these, or is there a

budget in the project or the institute to cover any such charges? Can the journal reproduce any figure or

plate that the article may contain? Will the cost of these be charged to the authors or their institutes?

16.6 The publishing process

Journals themselves may only publish 2 or 3 or 4 times a year. Referees and editors are themselves

short of time, called to other tasks and delayed by poor or late communication. For this reason,

minimizing difficulties that are within the researcher’s control (the subject of this workshop) are clearly

of importance. Unnecessary difficulties and delays often result from the fact that the authors did not

follow the instructions to authors as specified for the journal to which they submitted their paper.

Examples include the preparation of tables and graphs, the length of the abstract, lack of a clear

distinction between the results and discussion sections of the paper, or an incomplete list of references.

All of these are specified in the instructions to authors while good examples are readily available in

recent issues of the journal. Language is another issue that can lead to considerable difficulties. Many

authors who write English-language journal articles do not have English as their mother tongue.

Journal editors cannot be expected to edit the language of the submitted papers other than to spot

and correct the odd typing or grammatical error. Still, many poorly-written papers are submitted. Not

surprisingly, most reviewers become irritated by impenetrable and wrong use of the language and will

quickly conclude that the paper is not suitable for publication rather than spend time to search for

the gem that may make the paper worthwhile. Here the obvious solution lies in asking someone with

greater language skills to read the paper critically before submission, and to do the editing for you or

refer you to a professional editor if necessary.

The refereeing process is time consuming. Trying to ensure that referees deal promptly with manuscripts

they are sent to review is one of the major tasks of a journal editor. Referees themselves are also dealing

with many tasks and responsibilities (often including their own research). They may be in different

countries. Manuscripts are still often distributed, and comments added, on paper copies distributed

by post. Journals themselves are often part of commercial organizations and on occasion business

decisions, such as changing the number of issues per year, may delay the whole publishing process.

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16.7 Summary

As is clear from this brief overview many factors may delay dissemination of a researcher’s work.

Many of these may appear beyond the control of the researcher and be a cause of intense frustration.

However, with thought and planning, and the skills to be taught in this module, these can be minimized

and the whole process of bringing important and necessary information to those who will benefit from

it, be made easier.

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Annex 1: Answers: What sort of projects do donors like?

a. True —Funding partners will look favourably on proposals that have the potential to increase the

incomes of low-income smallholders or that recommends to smallholders various types of trees whose

fruits can be harvested, and that can be planted on hillsides to prevent soil run-off in the rainy season.

In general, all funding partners like to support research that can contribute to poverty reduction and/or

preservation of the environment.

b. False—Donors will never fund proposals unless more than one organization is involved in the

implementation of the project

If an organization has within itself all the personnel with all the skills needed to implement a project,

there will be no need to partner with another group to find complementary skills. However, most

agricultural research organizations are too small to include all the needed capacity to undertake all but

the simplest and smallest projects. Some competitive grants programs (such as the INCO-Dev program

of the European Union) require extensive partnerships—in this case at least two European partners

teamed with at least three groups from developing countries.

c. False —Donors will only fund projects with low risks and high returns

Under certain circumstances, funders will be attracted to high risk, high return projects. In such cases

they are willing to accept that there is a chance that the project might not succeed within time and

budget, because of the very high potential of the results, if the project does succeed. One such example

might be a malaria or AIDS vaccine. The chances of a single project achieving an effective vaccine for

either disease are very low, but if the project were successful, the pay-off would be enormous. That’s

why many donors are now funding projects like that.

d. True—Investors are always on the look out for interesting, unusual and innovative projects

If you have an idea for something that has never been done before, and that might make a real difference

to a major development goal, you are on to a winner. Here’s a small example. A researcher in Ethiopia

came up with a small ‘hay box’ that could be used to raise chickens from baby chicks to full-grown

chickens, without electricity, which is unavailable for millions of small farmers in the country. Families

who tried the hay box found that they could add to their incomes by selling fully grown chickens for

a small investment. The inventor was given a prize by the Ethiopian Government! And donors will be

happy to fund projects for up-scaling this work.

e. False—You should never include a request for computers in a project, for fear of looking greedy and

turning off your target donor

Investors will be happy to fund computers if they are integral to the design of the project, and if they

are attracted to the potential project returns. One example would be a project to increase access to self-

learning modules, by setting up internet cafes in rural colleges and universities in the poorer African

countries. The key is to carefully justify the need for all capital items in your list of project inputs.

251

f. True —You can help give your project an edge over others if you can show that the end-users of your

research are really eager to get its benefits.

If you have taken the trouble to talk directly to the people you feel will be the end users of your

research, you show that the results of your project will not only be of scientific interest, but will also

be put to productive use. Those are just the sort of research projects development donors are looking

for from scientists.

252

Annex 2: Answers: When and when not to write a full proposal

a. Explanation:

You should write a proposal rather than a concept note only when asked to by a potential funder. The

funder will tell you if a full proposal is needed in a competitive grants program. The donor may also ask

for a proposal if she or he has already seen a concept note and wants more information.

b. Explanation:

The equivalent of the bullets in a concept note is a project summary, which is the first section of a

proposal, even though it is the section you should prepare last.

c. Explanation:

In a full proposal you have far more details in every section than in a concept note. Specifically, you

will have back-up financial information, to make more sense of the summary project budget that you

submit with a concept note. You are also likely to have annexes, containing, for instance, information

on the past performance of your organization, and CVs of the key personnel who will implement the

project.

253

Annex 3: Answers: Qualities of a convincing proposal

a. Where in the proposal would you show your interest in ensuring that end-users are benefiting from

the results of your research?

Explanation:

You will describe the effect of your research outputs on the beneficiaries in the Impact section of the

proposal.

b. Name two things that you want readers to think and feel when they read your background section.

Explanation:

In the background section you want to convey the message that (1) something important needs doing,

and (2) it needs immediately, because it is very urgent.

c. In a research proposal, is the author required to show the potential impact of his or her research

results (outputs)?

Explanation:

Yes, the author need not say that his or her project will be responsible for achieving the impact on the

end-users, but the author must trace that path that will need to be followed if the research results are

to turn into real benefits. The author needs to show who will disseminate the results, how they will

be disseminated, why the end-users will adopt the results, and when the benefits of that adoption will

become evident. Further, the author can make the proposal more convincing by saying how those

benefits will be measured.

d. Where in the proposal can you show that you have tried to anticipate everything that might happen

during the implementation of your project?

Explanation:

You can show that you have carefully thought through all the elements of your project throughout the

proposals, i.e. in all of its sections. The more details you put in, the more convincing your proposal

becomes. However, you do not want to make your proposal impossibly long. About 10–20 pages is

about right for a full scale, detailed proposal for a significant project of about 3–4 years duration.

e. Can a proposal have as its goal both something to do with people and something to do with the

environment?

Explanation:

Yes, you can have more than one goal for a project. In fact most projects have multiple effects—i.e.

potential impact. For instance, the introduction of new fruit-bearing tree varieties can have an effect on

household incomes (new products to sell), and on the environment (the trees providing wind-breaks,

carbon sequestration, or perhaps planted to prevent soil erosion). However, the more goals you choose

for your project, the more you will have to write when you come to the Impact section. There will be

more on this later.

254

f. Do you think you need to ‘sell’ the quality of the people who will implement the project in your

proposal?

Explanation:

Yes, definitely, you will want to sell the quality of the people you are proposing to implement the study

or project. You are trying to convey the message that your team has a comparative advantage over any

other group of people to do this work. You can do this by giving their names and attaching their CVs,

and also by including in your proposal a brief description of the past successes of your institute. There

will be more on this later, too.

255

Annex 4: Answers: Proposal format and order of preparation

a False—You should always use the generic proposal outline when submitting a proposal to a

donor.

You should always submit your proposal in your target donor’s preferred outline, if there is one. If

not, you should use your own institute’s regular format. Only if neither donor nor your institute has a

preferred format, should you use the once in this topic. However, if you like it or find it useful, you may

use the generic proposal format, and then repackage it for whichever donor you are targeting first.

b. True—The Summary is always the first section in a project proposal. javascript: ‘’;

The Summary section is always first. It is therefore very important, and since it may be the only section

that some people ever read, you will need to take care in its wording.

c. True—You may have annexes in a full proposal.

In a concept note (that is usually seven pages or less), you would normally not include any annexes.

But in a longer document, like a proposal, of ten pages or more, you may wish to include annexes.

Annexes are used for material that illustrates (or gives more detail on) the main text. Typical annexes in

project proposals are details about:

The qualifications of the proposed project team •

The monitoring and evaluation practices in your institute •

The past performance of your institute and your partners’ •

A logical framework matrix for your project.•

d. False—The Budget section of a proposal is always the last in the presentation, and so it should be

worked on last.

Although the Budget section always comes last in terms of presentations, we do not recommend that

you prepare that last. We suggest that you prepare your proposal’s budget soon after listing your inputs,

and more usually after specifying the project outputs. The section that should be written last, we think,

is the proposal summary.

e. False—The Outputs section is one of the places where you are ‘selling’ your project.

The Outputs section describes what will be in place at the end of the project. You are conveying factual

information here, and should not be trying to ‘sell’ anything.

f. True—If you are describing a research project, the methodology you are using should be

described in the Activities section.

Your research methods are, in effect, the equivalent to the activities of a development project. If your

research methodology is especially novel or important to the project, you may wish to describe it in the

Activities section, under a separate sub-heading.

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Annex 5: Answers: Inputs, activities, work plan

a. Yes —Do all full proposals need a narrative Activities section as well as a chart or diagram showing

the time line of activities?

All full proposals need both a narrative Activities section, as well as a summary chart or time line. Note

that some donors may use different terminology for these things. The European Union, for instance,

may call the ‘activities’ ‘work packages’. In any case, do provide a narrative section.

b. No—Should researchers include a section of ‘research methods’ in their proposals?

If they wish. A development donor will not necessarily be interested in your research methods, but

some donors, like Germany, may hire scientists to read your proposal. If in doubt, ask your target donor.

If you do want to describe your research methodology, perhaps because it is special in some way, you

can present this as a sub-section of the Activities section.

c. Yes —Do you need to include in your list of inputs those things for which the donor will not pay (as

perhaps the salaries of researchers at your NARS)?

You need to list all the inputs your project will need, even if the donor will not pay for these. There

are many reasons for this. First, your management will want to know the full, real cost of all activities

in your institute. Second, you will be able to claim in-kind or other contributions for all those project

inputs for which the donor does not pay. This may include the time of key people, or the use of your

facilities (offices, training rooms, etc) or your vehicles and equipment.

d. How can you improve this sentence from the Activities section of a proposal: ‘Several varieties will

be tested for their drought tolerance in the first year of the project.’?

This sentence is vague, because it uses the passive voice, thus omitting the person who does the work.

It also uses the vague word ‘several’. This sentence would convey more information and be more

convincing if it reads: ‘The agronomist will test at least five varieties for their drought tolerance in the

first year of the project.’

e. What is usually the most important input to projects in agricultural research or development?

The most important input in most research and development projects is people—their experience and

expertise. This is why ‘personnel’ is nearly always the first item in an inputs list. You will need to specify

the person months (in some cases perhaps person days or person weeks or person years) of all the

people you expect to play an important role in the project implementation.

f. When should you include a workshop plan in your proposal?

Only include a workshop plan (or any other special plan, like a training plan), if your project is

sufficiently complex to warrant it. For instance, if your project calls for, say, six or more different

training courses to be given over the life of the project, you may wish to show these details in the form

of a small chart or table.

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Annex 6: Answers: Project management, monitoring, evaluation

a. False —You should include some boilerplate sections on monitoring and evaluation, even if your

institute does not have a regular system for doing these things.

You can only write a ‘boilerplate’ section describing how your institute does its monitoring or evaluation

or both, if indeed your institute really does this regularly. If not, you will have to describe the specific

monitoring and evaluation you plan for your project. Because this is project-specific, you cannot write

it up as ‘boilerplate’. However, you can try to influence your senior management to consider making

regular project monitoring and evaluation part of your institute’s regular work.

b. True—An organogram shows how your project will be managed. An organogram is a diagrammatic

representation of how a project (or an organization) is managed. If you think it helpful, and you are

designing a complex project, with many sites, and partners, and personnel, you can include one in

your project proposal.

c. True—For a complex project, you should include the roles and responsibilities of all the project partners.

It is very useful to have a full list of the roles and responsibilities of all the project partners. You will probably

have this described in another way in the Activities section, but it is useful (and convincing) to show this

divided by partners in Project Management section. It shows that you and your partners have carefully

discussed how the project will work, and are agreed on what each party will take responsibility for.

d. False —You can’t monitor a project without milestones.You could monitor a project in terms of

its objectives and activities and work plan, without specific milestones. However, if your project

design includes specific deliverables at key moments during the life of the project, you will make your

monitoring that much easier, and can highlight problems well in time.

e. True—Evaluation looks at the contribution your project has made to its goal. At least for those

evaluations that are involved in impact assessment. Some evaluations may be focused on other things,

such as the how the project funds were spent, or whether or not all the project partners worked well

together. However, more and more investors are now interested in finding out the extent to which the

projects they funded made a real difference to the target beneficiaries. These evaluations do measure

the contribution of a project to its goal.

f. False —If your project is simple, you won’t need to monitor it or to do an evaluation.

No matter how simple, a project will always need monitoring, to ensure that it is going to plan. And

an evaluation will be useful to see if not only the objectives were met, but also that a real contribution

was (or will be) made to the project goal.

258

Annex 7: An example of a work plan for a project: Generation of knowledge and technologies that ensure sustainable utilization of fish stocks (capture fisheries) on Lakes Kyoga, Kwania and BisinaAnalysis of Frame survey data collected by ILM in 2002 and BMU in 2003 on Lakes Kyoga, Kwania and Bisina and Frame survey of Lake Albert

For Lakes Kyoga, Kwania and Bisina,

Location/activity2005 2006J A S O N D J F M A M J

Preparation of training and Frame survey materialsTraining of DFOs and FOs and delivery of Frame survey materials and logisticsTraining of enumeratorsImplementation of Frame surveyFrame survey returnsData analysis and reporting

For Lake AlbertPreparation of training and Frame survey materialsTraining of DFOs and FOs and delivery of Frame survey materials and logisticsTraining of enumeratorsImplementation of Frame surveyFrame survey returnsData analysis and reporting

Age estimation of the major commercial fish species Lake Kyoga x

Lake KwaniaLake BisinaReporting

259

Annex 8: An example of a project logframe: Development of propagation establishment techniques and harvesting methods that ensure market quality of forest products

Narrative summary Objectively verifiable indicators Means of verification Assumptions

Goal

To improve productivity, use and sustainability of Plantation forest resources

Purpose

To develop, validate and disseminate technologies for improved productivity, use and sustainability of Plantation forest resources

At least 3 technologies for improved productivity, use and sustainability of Plantation forests developed by 2005

Annual reports

Number of Technologies developed

Technologies developed and disseminated are adopted by stakeholders

Conducive policy environment for dissemination.

Peace and stabil-ity guaranteed

Output 1

Priority indigenous trees spp propagated and evalu-ated

Germplasm of at least 10 indigenous trees spp collection by 2005.

Propagation techniques of 10 indigenous trees spp developed and demonstrated by 2005

At least 10 indigenous trees spp evaluated for plantation devel-opment by 2008

Assessment of performance of at least 10 indigenous trees carried out by 2008

No of indigenous species from which germplasm has been collected

Number of propagation techniques of indigenous tree spp developed and demonstrated

Number of indigenous tree spp evaluated for plantation development

Number of indigenous tree spp assessed in plan-tation set up

Appropriate ma-terials available

Stakeholders willingness to collaborate

Output 2

Improved silvicultural techniques for plantation and woodlot development generated

Establishment techniques for at least five indigenous trees determined by 2005

Trials of five indigenous tree spp established in at least two agro-ecological zones by 2005

Assessment of performance for at least five indigenous trees spp carried out by 2008

Guidelines for appropriate establishment and growth performance of five indigenous tree spp in at least two agro-ecological prepared

Number of establishment techniques for indigenous tree spp determined

Number of trials of indig-enous tree spp estab-lished

Number of indigenous tree spp assessed

Technical reports

Appropriate ma-terials available

Stakeholders willingness to collaborate

Conducive policy environment

260

Narrative summary Objectively verifiable indicators Means of verification Assumptions

Output 3

Technologies for reduc-ing waste in harvesting, processing of wood and nonwood forest products developed and wood properties of indigenous tree spp determined

Methods of harvesting Pinus radiata, Carapa grandiflora and Cynometra alexandrii devel-oped by 2005

3 efficient processing tech-niques to improve wood recov-ery developed by 2005

Methods of improved harvest-ing, processing and utilization (value addition) rattan and bamboo developed by 2005

Wood properties of four indig-enous species determined by 2005

Number of methods of harvesting Pinus radiata, Carapa grandiflora and Cynometra alexandrii developed

Number of efficient processing techniques to improve wood recovery developed

Number of methods of improved harvesting, processing and utilization (value addition) of rattan and bamboo developed

Number off indigenous species whose properties are determined

Appropriate ma-terials available

Stakeholders willingness to collaborate

Conducive policy environment

Output 4

Improved forest manage-ment technologies dis-seminated

Five additional potential spp for plantation development promoted by 2005

A brochure on each of the five potential spp for plantation de-velopment produced by 2005

Demonstrations of the 10 potential spp for plantation development out in ARDCs by 2005

Number of additional po-tential spp for plantation development promoted.

Number of Brochures produced

Number of potential spp for plantation develop-ment demonstrated out in ARDCs

Appropriate ma-terials available

Stakeholders willingness to collaborate

Conducive policy environment

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Annex 9: ILRI style guide for editors and writers

Introduction

This style guide contains the house style to be followed when preparing documents for the International

Livestock Research Institute. Consistent use of the house style will ensure that all material published

maintains the institute’s corporate identity.

The Publishing Unit can assist with identifying professional editors/proofreaders for your manuscript. A

copy of this document should be made available to all external editors. The document is also available

on ilrinet, ILRI’s intranet: http://ilrinet.ilri.cgiar.org/defaultframe.asp

Spelling and terminology

ILRI follows British English spellings and usage. Primary references for these are The Concise Oxford

Dictionary for spelling and hyphenation, Collins Gem Dictionary of Spelling and Word Division for

word division and Fowler’s Modern English Usage for usage.

Use the first spelling listed in the Concise Oxford Dictionary, which includes using ‘ize’ rather than ‘ise’

spellings in such words as hybridize, organize, realize, recognize and sympathize. Note, however, a

few exceptions in British ‘ize’ usage: analyse, dialyse, catalyse etc. Also note that some ILRI terminology

differs from this standard (see Appendix 2)

Compile a custom dictionary on your computer for commonly used words. Ensure that the default

language for your document is set to English (UK) by selecting Language from the Tools menu.

Compound words

In general, follow the Oxford Concise, but regardless of particular compound lists, cut down on hyphens

and compounds words.

The tendency for English spelling is not to hyphenate where the sense is clear, e.g. subeditor, •

subregion, overuse, database, germplasm, ongoing, proofreader, worldwide etc.

Do not hyphenate adverbial clauses, e.g. environmentally sound development.•

Hyphenate compound adjectives when they preceded the noun they modify, e.g. short-term •

objective (but ‘an objective that is short term’).

Do not hyphenate compound adjectives denoting regions, e.g. southeast, southwest, northeast, •

northwest.

Emphasis

Because there are so many scientific names in ILRI publications in italics, use single quotation marks

for words that need emphasis. Put local names of plants and similar terms in single quotes (regular

typeface) the first time they are used.

Jargon

Avoid jargon and buzz words of the moment: e.g. not backstop but back up, support, reinforce.

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Non-biased language

As far as possible, avoid biases in the language: e.g. • not ‘the farmer tilling his fields…’ but the

farmers tilling their fields…’.

Avoid sexist language. Correct: people, chairperson, humanity, spokesperson, handmade, trader, •

worker etc. Incorrect: man, chairman, mankind, spokesman, man-made, middleman, workman.

Scientific and technical names

Use italics for Latin genus and species names. Note: abbreviations such as ssp, var, cv in a •

scientific name are not italicized.

Latin names for family, order, class etc. start with a capital letter but are neither underlined nor put •

in italics.

Use full stops when abbreviating genus and species names (• T. b. brucei, not T b brucei).

Insert a space between abbreviations of genus and species names (• T. b. brucei, not T.b. brucei),

When names of species occur in titles or heads, the style of which is to capitalize the first letter •

of every main word, do not capitalize the species names for the sake of stylistic consistency

(The Importance of Trypanosoma brucei in Africa, not The Importance of Trypanosoma Brucei in

Africa),

English names are not capitalized unless they contain a proper noun, such as someone’s name or •

other proper name (ascochyta blight, but East Coast fever).

Sometimes the Latin name and the English name are the same; make clear whether the scientific •

name or the common equivalent is intended (Leucaena, leucaena; Acacia, acacia).

Refer to crops by their English names; weeds, insects, and pathogens by Latin names (without •

authorities unless especially required, such as in a taxonomic paper), except for the most common

pests and for diseases for which English names are widely accepted and unambiguous.

Common (generic) names start with a lowercase letter, trade names with a capital.•

Variety names of crops start with a capital letter, e.g. Katumani, Sissay, Enkoy.•

Soil types start with a capital letter, e.g. Vertisol.•

Acronyms and abbreviations

Do not abbreviate figure, table or litre.•

Do not use an acronym or abbreviation if the term it stands for appears only once in a document. •

If a term appears more than once, spell it out on its first use and put the abbreviation or acronym

in parentheses immediately after. Thereafter use the acronym only without full stops or spaces.

dry matter (DM)•

tonnes (t)•

Consultative Group on International Agricultural Research (CGIAR)•

Food and Agriculture Organization of the United Nations (FAO)•

In tables, use footnotes to define all abbreviations, acronyms and symbols used.•

In figures, define abbreviations and acronyms in the caption; symbols will generally be defined in •

the key/legend.

Do not spell out SI or statistical symbols.•

Keep a separate list of all acronyms you use and their full names. A list of acronyms is useful if •

several are used in the paper.

263

Capitalization

In book titles, headings, subheadings and captions, use capitals only for the initial letter.•

In text, capitalize table, figure, annex, appendix, section etc. when referring to a specific table etc. •

in the document.

Capitalize regions used as proper nouns.•

South Africa, Southeast Asia•

If a name consists of more than one word, capitalize the first letter of each word except articles, •

conjunctions and prepositions such as of.

Association for Strengthening Agricultural Research in Eastern and Central Africa•

Kenya Ministry of Agriculture•

Where a multiple-word name is subsequently shortened to part of the name, do not capitalize the •

short name.

Coast Province . . . the province•

International Livestock Research Institute . . . the institute•

Addis Ababa University . . . the university•

The Ethiopian Government . . . the government•

Such terms should also not be capitalized if used in a general sense.•

A university, a province, a centre, government policies•

Do not capitalize the common names of plant and animal species and various groupings of •

species, but capitalize names of breeds.

N’Dama, West African Dwarf goats, East African Zebu cattle, zebu cattle, hair sheep, taurine •

cattle

Lists

For very short lists, initial word is lower case and there is no end punctuation.•

For longer lists, initial word lower case and end list with full stop.•

For complete sentences, initial word of each capital and end each with full stop. •

Punctuation

Full stops

Leave only one letter space after a full stop at the end of a sentence.•

Use full stops in i.e., e.g., etc., et al., p. and pp.•

Otherwise, do not use a full stop in abbreviations unless the abbreviation might be confused •

with a word.

no. for number (not ‘no’)•

temp•

Do not punctuate degrees, titles etc.•

BSc MSc PhD FRCVS The Right Hon Mr Mrs Ms Dr Prof•

Do not use full stops after sp, spp var and cv.•

Commas

Minimize the use of commas. Use commas to separate clauses within complex sentences to prevent

possible misreading.

Do not use commas after i.e. and e.g.•

Do not use commas before ‘and’ or ‘or’ in a list and before ‘etc.’.•

264

Colons and semicolons

Use a colon when the second part of the sentence directly results from the first part, e.g. The •

farmer had five children: one is working at the farm, three are working in the city but the youngest

is still looking for a job.

Use a semicolon to join two parts of a sentence that belong together but contain different •

statements. In most cases the semicolon can be replaced by ‘and’, ‘but’ or ‘because’. Both parts

must be a complete sentence, with a subject and verb. For example: It is a pity that the farmers in

our trial are illiterate; this is hampering the experiment.

Brackets

(When a complete sentence is enclosed in brackets, its punctuation is enclosed.)•

When only part of a sentence is enclosed in brackets, punctuation is placed outside (as in this •

example).

Quotation marks

Use single quotation marks (‘ ’) to enclose quoted material that is run into text. •

Use double quotation marks (“ ”) to enclose a quotation within a quotation. •

If the quotation is not a full sentence, place punctuation marks such as commas, colons and •

full stops outside the quotation marks. If the quotation is one or more full sentences, place the

quotation marks outside the associated punctuation.

Where the quoted text is set off from the text, no quotation marks are needed.•

Numbers, units and dates

Numbers

Write out numbers below 10 except:

When they are part of a series with some numbers below 10 and some of 10 or more.•

The average farm livestock holding consists of 2 cows, 7 sheep and 11 goats.•

When used in conjunction with a standard (abbreviated) unit of measure.•

3 kg, 5 TLU, 2 t/ha, 5%•

A number implying an arithmetical manipulation.•

a factor of 2•

When a number begins a sentence it is always written out.•

Fifteen sheep were infected.•

In numbers consisting of two to four digits, run the numerals together.•

1500, 2570, 9999.•

In numbers consisting of more than four digits, separate groups of three with a comma.•

10,000 100,000 1,273,000•

Avoid writing numbers ending in several zeros; either substitute a word for part of the number or •

add a prefix to a basic unit of measurement.

1.25 million, rather than 1,250,000•

9 mg, rather than 0.009 g•

Numbers smaller than 1.0 should be written with a zero in front of the decimal point.•

0.05, not .05•

265

Units

Use the metric system (tonnes, hectares etc.).•

Use the symbols for per cent (%) and degree (• o) with numerals; leave no space between the

numeral and the symbol.

15• oC 25%

Insert a space before a figure and a unit of measurement.•

33 cm (• not 33cm)

In an expression of range, omit the symbol after the first number.•

15–25% 20–27• oC

Do not use full stops or spaces after measurements, e.g. cm, mm, g, ha.•

Write out if the unit is used without numerals, e.g. the level of N applied in kilograms per hectare.•

Expression of division, rate and concentration

Use a slant line as a sign for division and to show rates or concentrations. Do not use the negative •

powers system.

One-quarter = 1/4•

kg/ha•

mol/litre•

Do not use more than one slant line in an expression.•

kg/ha/year should be written as kg/ha per year•

Dates

Report dates in the sequence day, month, year, with no punctuation.•

12 June 1993 (not 12/6/93, since this could mean either 12 June or 6 December 1993, •

depending on the convention used)

Do not use apostrophes in decades: e.g. 1990s.•

Do not abbreviate years, i.e. use 1990 not ’90.•

Indicate a range of dates as 1998–99 or from 1998 to 1999.•

Time

Report times using the 24-hour time system; the time is indicated by four digits, the first two for •

the hour, the last two for minutes, with no punctuation between the two sets.

0830 hours 1200 hours 1905 hours •

Currency

Prices etc. will normally be expressed in local currency, but the exchange rate to the US dollar •

should be given at first mention.

The name of the local currency should be spelled out at the first mention, and an ISO-approved •

abbreviation, using the alphabet rather than symbols, used thereafter (e.g. : United States dollar,

USD; British pound sterling, UKP; Euro, EUR; Ethiopian birr, ETB; Kenya shilling, KES; Tanzania

shilling, TZS; Uganda shilling, UGS; for a full list of such approved currency abbreviations, see:

http://www.xe.com/iso4217.htm)

When the unit of currency is written out in full, it comes after the number; when abbreviated, it •

comes before the number.

. . . a price of 20 Ethiopian birr (ETB) per kilogram (ETB 8.8 = USD 1.00 at 18 March 2006).•

then . . . EB 15/kg•

266

Tables and figures

Tables are used for reporting extensive numerical data in an organized manner. They show classifications,

facilitate comparison, reveal relationships and save space. They should be self-explanatory. It is seldom

necessary to use a table for fewer than 8 items of data; instead, present the information in the text.

Figures present comparisons and contrasts quickly and visually. They catch the reader’s attention and

are vivid in the message they convey. But by their nature, they do not give the detail of data that can

be carried in a table.

You must decide whether a table or figure is better for conveying a particular message. Data presented

in tables should not be duplicated in figures. Neither tables nor figures should be discussed extensively

in the text, as if they were not there for the reader to see. However, important points can be brought out

and reinforced in the text. Every table and every figure should be cited in the text. Tables and figures

both should be numbered consecutively in the order they are referred to in the main text. Each should

have its own number: not Table 2a, Table 2b but Table 2, Table 3; not Figure 3a, Figure 3b, Figure 3c

but Figure 3, Figure 4, Figure 5.

Both tables and figures should be self-explanatory; that is, they should stand on their own, in that the

reader does not have to refer to the text to understand the material being presented. Abbreviations in

a table should be spelled out in the table footnotes. Axes in a figure should be clearly labelled and

symbols used explained in a key.

Note: A table should be an analysis, not merely a listing of all the raw data collected.

Show the units for all measurements. Use no more digits than the accuracy of the method justifies. Do

not include columns of data that can be calculated easily from other columns.

Table titles should be brief but sufficiently explanatory of the data included. They should not include

the units of measurement. Table titles go above the table. The title is not a complete sentence and

should not end with a full stop. It should be flush at the left, not centred.

Figure captions go below the figures. The caption is often a complete sentence; even if it is not, it

should end with a full stop. Submit your data figures with your figure, whether it is drawn by hand or

on the computer, so that if it needs to be redrawn, that can be done accurately and efficiently.

References

Every reference cited in the text of an article or as a source of a table or figure must be included in the

reference list with full bibliographic details. The details must be complete, so that an interested reader

can locate the reference. Also, any work listed in the reference list must be cited in the text.

Citations in the text

Use the name-year system, with no comma between the author and the year (O’Connor 1992).•

When an author has written more than one work in the same year, use a, b etc. to differentiate, •

e.g. 1999a, 1999b.

Where there are more than two authors for a publication, use the first author’s name and et al. in •

the text; give all the names in the reference list (Smith et al. 2003).

267

When there is more than one reference for a certain issue, separate the citations with a semicolon; •

place the citations in chronological order with the earliest citation first (O’Connor 1992; Smith et

al. 2003; FAO 2004).

Styling the reference list

All lists of literature cited should be in alphabetical order by surname (or main name) of the first •

author, followed by initials; if there are listings of different authors with the same surnames and

initials, then alphabetize by date.

All works by a single author precede works by that author jointly with others. •

Works written by an author precede those edited by the same author. •

Works published in the same year are alphabetized by title. •

Multi-authored works are alphabetized by surname of the first author, then of the second etc. •

Italicize titles of books and journals; do not italicize titles of articles and chapters.•

Components of a publication

Major components for a journal article

author.year.•

title of article. • Not italicized or enclosed in quotation marks. Capitalization is ‘sentence style’,

that is, capitalize only the first word and proper nouns, as you would in a sentence. Followed by a

full stop.

name of journal. • In italics; do not abbreviate the journal title.

volume, inclusive pages.•

Major components for a book

author.year.•

title of book. • Italicized followed by a full stop.

publisher: • Give the name of the publisher followed by a comma.

city of publication• : Give the city where the book was published, followed by a comma.

country of publication: • Give the country where the book was published followed by a full stop.

Note: if the publisher has multiple offices around the world, omit the city and country.•

Major components for a chapter in a book or a paper in a proceedings

author.year.•

title of chapter or paper.•

in: • Give editors’ names and initials followed by (eds) and a comma.

title of book or proceedings.• Italicized followed by a full stop.

publisher: • Give the name of the publisher followed by a comma.

city of publication: • Give the city where the book was published, followed by a comma.

country of publication: • Give the country where the book was published followed by a full stop.

Note: if the publisher has multiple offices around the world, omit the city and country.•

page numbers•

ILRI and corporate authors

If the author is a corporate author, for example ILRI, which would be cited in the text as (ILRI •

2005), list the acronym or abbreviation of the corporate entity as the author, followed by the name

spelled out in full in brackets.

268

ILRI (International Livestock Research Institute). 2005. • Annual report 2004. ILRI, Nairobi,

Kenya.

Examples of references

Journal article

Thorpe W, Cruickshank DKR and Thompson R. 1981. Genetic and environmental influences on •

beef cattle production in Zambia. 4. Weaner production from purebred and reciprocally crossbred

dams. Animal Production 33:165–177.

Note: If there is a journal number, insert it in brackets after the volume: 33(2):130–135.•

Paper in workshop proceedings

Bunderson WT and Cook RH. 1985. Feeding conserved forages to traditional cattle in the Nuba •

Mountains, Sudan. In: Nordblom TL, Ahmed AKH and Potts GR (eds), Research methodology for

livestock on-farm trials. Proceedings of a workshop held at Aleppo, Syria, 25–28 March 1985.

IDRC (International Development Research Centre), Ottawa, Canada. pp. 41–63.

Chapter in book

McKay MN, Nelson OP and Peterson RS. 1988. Sheep and goat farming in Ethiopia. In: Adams •

AB, Smith ST and Jones FG (eds), Improved production of livestock in Africa. 2nd edition. Oxford

University Press, London, UK. pp. 275–301.

Whole book

Esslemont RJ, Bailie JH and Cooper MJ. 1985. • Fertility management in dairy cattle. Collins,

London, UK. 143 pp.

If the book has named editors, rather than authors, the style is exactly the same, except that the •

abbreviation ‘ed’ or ‘eds’ is added after the name(s). For example:

Hafez ESE. (ed). 1980. • Reproduction in farm animals. Lea and Febiger, Philadelphia, USA. 627

pp.

Institutionally published documents, government reports etc.

If they have named authors or editors, documents published by institutions, government agencies •

etc. should be treated in the same way as published articles, books etc. For example:

Goldson JR. 1977. • Calf and dairy heifer rearing at Kitale with special reference to smallholder

practice. National Agricultural Research Station Technical Report 15. National Agricultural

Research Station, Ministry of Agriculture, Nairobi, Kenya. 15 pp.

Okike, Iheanacho. 2004. • Impact of livestock pricing policies on meat and milk output in

selected sub-Saharan African countries. ILRI Technical Report 20. ILRI (International Livestock

Research Institute), Addis Ababa, Ethiopia. 79 pp.

Al-Najim MN. 1991. • Changes in the species composition of pastoral herds in Bay Region,

Somalia. Pastoral Development Network Paper 31b. ODA (Overseas Development Institute),

London, UK. 14 pp.

If the documents do not have a named author, show the issuing institution or government as the •

author.

AMLC (Australian Meat & Livestock Corporation). 1991. • Statistical review, July 90–June 91.

AMLC, Sydney, Australia. 52 pp.

269

FAO (Food and Agriculture Organization of the United Nations). 1970. • Improvement of

livestock and dairy industry, Malawi. Pasture and range conditions. FAO Technical Report 3.

FAO, Rome, Italy. 15 pp.

If the documents have multiple institutional authors and one is the major publisher, show the •

main publisher as follows:

ILRI (International Livestock Research Institute) in collaboration with the Kenya Bureau of •

Statistics. 2003. Kenya Poverty Mapping. ILRI, Nairobi, Kenya. 250 pp.

Unpublished reports

Huxley PA. 1986. Rationalising research on hedgerow intercropping: An overview. ICRAF •

Working Paper 40. ICRAF (International Centre for Research in Agroforestry), Nairobi, Kenya.

Electronic publications (reference to Internet documents)

The basic rules of citing do not differ markedly between Internet and printed publications. There •

is always an author or organization with responsibility for the publication, a date of publication, a

title, a place of ‘publication ’ and a publisher. It is true, however, that some elements are harder to

locate when citing Internet publications. When certain elements are missing, square brackets can

be used to indicate missing data or for clarification by the person doing the citing, e.g. [no date].

For publications available on the Internet, give the full reference and add the website address in

brackets and the date the website was accessed.

FAO (Food and Agriculture Organization of the United Nations). 2005. Training HIV/AIDS •

orphans in sub-Saharan Africa. FAO Newsroom. FAO, Rome, Italy. (Available from http://www.

fao.org/newsroom/en/news/2005/102183/index.html) (Accessed on 16 May 2005)

CD-ROM

The format for citing CD-ROM publications is similar to that for print media.•

OUP (Oxford University Press). 1996.• Oxford English Dictionary on CD-ROM [monograph on

CD-ROM ]. OUP, Oxford, England.

Appendix 1. SI units

In general, ILRI uses SI (Systeme Internationale) units. The SI base units are:

Physical quantity Name of unit Unit symbollength metre mmass kilogram kgtime second selectric current ampere Athermodynamic temperature kelvin Kluminous intensity candela cdamount of substance mole mol

270

Acceptable SI-derived units include:

Unit name Symbol Physical quantitydegree Celsius oC Celsius temperaturejoule J energy, work or quantity of

heatNewton N forceohm [omega] electric resistancePascal Pa pressurevolt V and electromotive force and

electromotive forcewatt W power

Non-SI units accepted for general use:

Physical quantity Name of unit Unit symbolvolume litre litremass tonne ttime minute mintime hour htime day dayplane angle degree oplane angle minute ‘plane angle second “

271

Annex 10: Preferred usage

For a full list of variants in British and American spellings, check web resources such as: http://www.

spelling.org/Freebies/british_vs_american_spelling.htm

acknowledgement not acknowledgmentageing Sot agingagro-ecology not agroecologyaluminium not aluminumantigen-trapping ELISA not antigen ELISAartefact not artifactB cell (noun) not B-cellB-cell (adjective) Not B cellbehaviour not behaviorBlue Sepharose not blue sepharoseB lymphocyte (noun) not B-lymphocyteB-lymphocyte (adjective) not B lymphocytecancelled, cancelling not canceled, cancelingcentimetre not centimetercentre not centerChad not TchadChagas’ disease not Chagas diseasechannelled, channelling not channeled, channelingcheque not checkco-localized not colocalizedcolour not colorCoomassie not coomassieCôte d’Ivoire not Ivory Coastcross-react not cross reactcross-resistance not cross resistanceC-terminus (carboxyl end, carboxyl terminus) not C terminusDar es Salaam not Dar-es-Salaamdatabase not data basedecision-maker not decisionmaker or decision makerdecision-making not decisionmaking or decision makingdefence not defensedialogue not dialogdisulphide not disulfidedraught, draughtsman not draft, draftsmanEagle’s medium not Eagles mediumendeavour not endeavorendocytic not endocytoticenquire not inquireenrol, enrols, enrolled, enrolling immunosorbent assay not enroll, enrolls, enrolled, enrolling immunosorbent assay not enzyme linkedequalling not equalingfavour not favorfeeder layer not feeder-layer (except as adj)fibre not fiberfluorescence-activated cell sorter not fluorescence activated cell sorter not focussesfocuses not focussesfold: twofold, ninefold etc. (but 70-fold) not two-fold, nine-fold etc.Freund’s adjuvant not Freunds adjuvantfulfil, fulfilment not fulfill, fulfillment

272

gastro-intestinal not gastrointestinalgoal not jailgrey not grayhigh-performance liquid chromatography not high performance liquid chromatographyimmunogold not immuno-goldinfection and treatment not infection-and-treatment (except as adj)infection-and-treatment immunization not infection and treatment immunizationinfra-red not infraredinternet not Internetjudgement not judgmentkDA (for kilodalton) not kDkerb not curbkilometre not kilometerlabelled not labeledlabour not laborleukaemia not leukemialevelled not leveledlicence (n.) not license (n. & v.)license (v.) —life cycle not lifecycle or life-cycle (except as adj)litre not literliveable not livablelive weight not liveweight (except as adj)MAb (monoclonal antibody) not mAbmetre (unit of measure) not metermodelling not modelingMozambique Not Moçambiqueneighbour not neighbornet not Netneurone not neuronN’Dama not ndama, D’dama, NDamanortheast, northeastern Not north-east, north-easternnorthwest, northwestern not north-west, northwesternN-terminus (amino end, amino terminus) not N terminusoedema not edemapalaeontology not paleontologypelleted not pellettedper cent not percentploughpolicymaker not policy-maker or policy makerpolicymaking not policy-making or policymakingpostcode not zip codepractice (n.) —practise (v.) not practice (v.)program not programmequantification not quantitationradiolabelled not radiolabeledrigour not rigorSanga not sangasavannah not savannasceptic

273

semi-arid not semiaridsheikhskilful, skilfully not skillful, skillfullysocio-economics not socioeconomicssoutheast, southeastern not south-east, south-easternSoutheast Asiasouthwest, southwestern not south-west, south-westernSouthern blot not southern blotspeciality not specialtyspiralled not spiraledsubhumid, subunit, subpopulation, subclinical etc. not sub-humid, sub-unit etc.sulpha not sulfaSuperose not superosetargeted not targettedT cell (noun) not T-cellT-cell (adjective) not T celltheatrethe Gambia not The Gambiathe Netherlands not The Netherlandsthe PhilippinesT lymphocyte (noun) not T-lymphocyteT-lymphocyte (adjective) not T lymphocytetotalling not totalingtowards not towardtransferral not transferaltrans Golgi not trans-Golgi or trans Golgitravelling not travelingtrypano-resistant not trypanoresistanttrypano-sensitive not trypanosensitivetrypanotolerant not trypano-toleranttumour not tumortyre not tireUK not U.K.under way not underwayUSA not U.S.A.web not Webweb page not Webpage, Webpage or webpagewebsite not Website, Website or web sitewebmaster not Webmaster or web masterWestern blot not western blotyoghurt Not yogurtzebu not Zebu (except in proper name such as East Afri-

can Zebu

274

Annex 11: CABI Peer Review Form

Manuscript title

Author(s):

Journal: Perspectives in Agriculture, Veterinary Science, Nutrition and Natural Resources

REFEREE’S REPORT (I)

The following questions indicate the points on which information is particularly required but you are

free to render a report in any way you wish.

1. Does the title describe adequately the subject of the manuscript? Yes/No 2. Scientific contenti) Is the information presented useful to a wide readership? Yes/Noii) Is the manuscript a useful contribution to its field? Yes/Noiii) If the manuscript is a bibliographic study, is it reasonably comprehensive in its coverage of previous work on the subject? Yes/No3. Organization/Presentation(i) Does the manuscript develop the subject logically and effectively? Yes/No(ii) Does the scientific content of the paper justify its length? If not, please indicate where length is excessive. Yes/Noiii) Does the manuscript repeat unnecessarily published work cited in the reference list? Yes/Noiv) Is relevant literature cited? Yes/Nov) Is the information presented in a relatively simple, straightforward mannerthat can be readily understood by a reasonably competent reader? Yes/No vi) Are the figures and/or tables relevant, clear and self-explanatory? Yes/No 4. Recommendation(i) Publish (ii) Publish after minor revision (iii) Publish after major revision(iv) Do not publish

275

General

Please outline your general observations, comments, criticisms and suggestions, if any.

You do not need to check grammar, spelling or style, although comments are always welcome. All

comments are confidential, so your name will not be sent to authors or other referees.

Perspectives in Agriculture, Veterinary Science, Nutrition and Natural Resources Instructions and

Guidelines for Authors

Perspectives in Agriculture, Veterinary Science, Nutrition and Natural Resources is an international

review journal that aims to provide comprehensive and timely reviews on the latest developments

in the fields of Animal Science and Veterinary Medicine, Nutrition and Food Science, Applied Plant

Sciences, Agriculture and Natural Resources and Environmental Science (please see the scope section

for details on the coverage of these areas).

Perspectives in Agriculture, Veterinary Science, Nutrition and Natural Resources produces a mix of

review types, with articles that cover the latest developments in the field as well as articles that provide

a comprehensive overview of particular aspects of the subject areas.

Review Format

Perspectives in Agriculture, Veterinary Science, Nutrition and Natural Resources reviews follow the

same format regardless of length:

Title

Author Name(s)

Address

Correspondence

Abstract

Keywords

Review Methodology

Review Text—subdivided by headings

Conclusion/Summary

References

Acknowledgements

We will provide authors with 3 months’ access to CAB Abstracts to help them with their resource

discovery needs.

Title: This should be succinct and informative, and in lower case except for proper names.

Author Name(s): Please use the following format;

FirstName Initial(s) Surname and FirstName Initial(s) Surname or

276

Firstname Initial(s) Surname, Firstname Initial(s) Surname and Firstname Initial(s) Surname etc. (Note:

Initials are optional)

Address: Please precede each author address with appropriate superscripted numbers and list the

author addresses in the same order as the author names, to indicate the association between the author

and their address, except where all authors are at the same address.

Correspondence: Please provide one email address for a corresponding author

Abstract: The abstract should be no more than 250 words in length and should aim to inform the

reader of the scope and content of the review, with an indication of the summary/conclusions where

appropriate.

Keywords: Please provide between 3–7 keywords preferably for a controlled vocabulary source (such

as CAB Thesaurus [available via your CAB Abstracts access] or MESH terms). Please list these in order

of importance.

Review Methodology: To enable readers to stay up-to-date with the area covered by the review, please

include a short statement that indicates the search and selection criteria used in selecting the literature

for the review, as well as any other steps or sources used to derive information. An example is shown

below;

We searched the following databases: CAB Abstracts, CAB Heritage, Agricola and Medline (Keyword

search terms used: X, Y, Z). In addition we used the references from the articles obtained by this method

to check for additional relevant material. We also spoke to colleagues and checked for any upcoming

studies not yet published.

Review Text: Reviews covering the latest developments should be 2,500 to 3,000 words in length.

Comprehensive reviews can be up to 5,000 words in length, not including the references and tables..

Whilst personal opinions and discussion of areas of content in the research on the subject area under

review are welcome, please do be careful not to be prejudicial or to write in a way that could be

interpreted as biased. The main body of the review can be subdivided by headings but please avoid

sub-headings unless it is absolutely necessary. Headings within the main body of the text should be

short and informative. There should be at least two sentences between any two headings. Please start

each section of text under new heading on a new line.

Conclusion/Summary: Please supply a short paragraph or two that sums up the review and provide

conclusions (if appropriate). Future directions for research can also be included in this section.

References: References should be numbered consecutively in the order in which they are first mentioned

in the text. Use Arabic numerals in parentheses e.g. [1] to identify the reference. Multiple references

should be identified as follows [2–5] (meaning references 2, 3, 4, and 5). Any references cited ONLY

in figures or tables should be numbered according to the location of the first reference to the figure or

table in the text.

References to papers that have been accepted but not yet published are acceptable providing that;

permission has been obtained to cite the paper and verification of acceptance for publication has also

been obtained. It is the responsibility of the author to ensure that these two conditions have been met.

Unpublished papers should be cited as ‘in press’.

277

Authors can cite a ‘personal communication’ so long as the information is important enough to justify

the use of an unpublished piece of research AND they can obtain permission from the source. The name

of the person and the date of the communication should be cited in brackets next to the information

e.g. (personal communication: Firstname Surname, 2005). Such citations should NOT form part of the

standard reference list at the end of the article.

Please use full journal titles in the reference and follow the Vancouver style for reference formatting. An

appendix containing details of the Vancouver style can be found at the end of this document.

Acknowledgements: Please list those professional colleagues who provided assistance in the production

of the article. Financial and other material support can be acknowledged as well.

Tables and figures: Tables and figures should not be incorporated into the body of the text. Please

supply them as separate items and clearly identify them. Please supply tables as individual word

processor documents NOT images. Figures should be supplied in a suitable image format (see below

for details).

Tables: Each table should be numbered consecutively in the order of first citation within the text. Each

table should have a succinct and informative title, in the style ‘Table 1: A table summarizing the key

results’ Columns (and where appropriate, rows) should have a brief heading (abbreviated if necessary).

Please do NOT use internal horizontal and vertical rules. Table entries that need explanation should be

referenced by use of superscript Arabic numerals (e.g. 1 2 3). The referenced explanatory text should be

placed under the table, in numerical order (e.g. 1) ‘This is an example of some explanatory text.’ Please

use this system to define any non-standard abbreviations used in the table.

Tables can be up to 16 cm wide by 25 cm deep (portrait layout) including the associated title, or 25 cm

wide by 16 cm deep (landscape layout), again to include the title. If a table is to be used from another

source then permission must be obtained and the proper acknowledgement given.

Figures: Each figure should be numbered consecutively in the order of first citation within the text (e.g.

Figure. 1). Each figure should have a succinct and informative title, starting with the figure number (e.g.

‘Figure 1: An example of a figure title)’.

As Perspectives in Agriculture, Veterinary Science, Nutrition and Natural Resources is an exclusively

electronic product, we welcome colour figures, but please be aware that many readers may print out

the articles in black and white. If possible, please check that the figure retains the important detail

when viewed in black and white. If a figure is to be used from another source then permission must be

obtained and the proper acknowledgement given.

Submitted figures should be submitted in their final form to ensure that they can be incorporated into

the final version as easily as possible. Perspectives in Agriculture, Veterinary Science, Nutrition and

Natural Resources places tables and figures at the end of the article to remove the restrictions on size

found in many other journals. This means that figure dimensions can be up to 16 cm wide by 25 cm

deep (portrait layout) including the associated figure caption, or 25 cm wide by 16 cm deep (landscape

layout), again to include the figure caption.

Technical Requirements:

Size: up to 16 cm by 25 cm (portrait or landscape orientation)

278

Resolution: At print size, the resolution should be 300 dots per inch (dpi)

Image Mode: Images can come in two basic ‘modes’; RGB and CMYK. Please try to supply your images

in RGB mode (usually this is the default mode for most image programs and formats).

Fonts: Please use Arial for any text that accompanies the figure (this includes the figure caption). The

font size should be between 6 points and 10 points.

File formats: we prefer the following formats; tif/tiff (tagged Image File Format), jpeg/jpg (Joint

Photographic Experts), png (Portable network graphics). We can accept additional formats, but please

do check with the editorial office first so that any potential problems can be identified and sorted

out. This biggest problem is usually that of figures with a screen resolution (typically 72 dpi) being

submitted for print, the resulting images are not of a high quality.

Articles in journals

1. Standard journal article

List the first six authors followed by et al.

Vega KJ, Pina I, Krevsky B. Heart transplantation is associated with an increased risk for

pancreatobiliary disease. Annals of Internal Medicine 1996;124:980–3.

More than six authors:

Parkin DM, Clayton D, Black RJ, Masuyer E, Friedl HP, Ivanov E, et al. Childhood leukaemia in

Europe after Chernobyl: 5 year follow-up. British Journal of Cancer 1996;73:1006–12.

2. Organization as author

The Cardiac Society of Australia and New Zealand. Clinical exercise stress testing. Safety and

performance guidelines. Medical Journal of Australia 1996;164:282–4.

3. No author given

Cancer in South Africa [editorial]. South African Medical Journal 1994;84:15.

4. Article not in English (but use translation or romanized version for non-roman script languages)

Ryder TE, Haukeland EA, Solhaug JH. Bilateral infrapatellar seneruptur hostidligere frisk kvinne.

Tidsskr Nor Laegeforen 1996;116:41–2.

5. Volume with supplement

Shen HM, Zhang QF. Risk assessment of nickel carcinogenicity and occupational lung cancer.

Environmental Health Perspectives 1994;102 Suppl. 1:275–82.

6. Issue with supplement

Payne DK, Sullivan MD, Massie MJ. Women’s psychological reactions to breast cancer. Seminars in

Oncology 1996;23(1 Suppl. 2):89–97.

7. Volume with part

Ozben T, Nacitarhan S, Tuncer N. Plasma and urine sialic acid in non-insulin dependent diabetes

mellitus. Annals of Clinical Biochemistry 1995;32(Pt 3):303–6.

279

8. Issue with part

Poole GH, Mills SM. One hundred consecutive cases of flap lacerations of the leg in ageing patients.

New Zealand Medical Journal 1994;107(986 Pt 1):377–8.

9. Issue with no volume

Turan I, Wredmark T, Fellander-Tsai L. Arthroscopic ankle arthrodesis in rheumatoid arthritis. Clinical

Orthopaedics 1995;(320):110–4.

10. No issue or volume

Browell DA, Lennard TW. Immunologic status of the cancer patient and the effects of blood

transfusion on antitumor responses. Current Opinions in General Surgery 1993:325–33.

11. Pagination in Roman numerals

Fisher GA, Sikic BI. Drug resistance in clinical oncology and hematology. Introduction. Hematology

Oncology Clinics of North America 1995 April; 9(2):xi–xii.

12. Type of article indicated as needed

Enzensberger W, Fischer PA. Metronome in Parkinson’s disease [letter]. Lancet 1996;347:1337.

Clement J, De Bock R. Hematological complications of hantavirus nephropathy (HVN) [abstract].

Kidney International 1992;42:1285.

13. Article containing retraction

Garey CE, Schwarzman AL, Rise ML, Seyfried TN. Ceruloplasm in gene defect associated with

epilepsy in EL mice [retraction of Garey CE, Schwarzman AL, Rise ML, Seyfried TN. In: Nature

Genetics 1994;6:426–31]. Nature Genetics 1995;11:104.

14. Article retracted

Liou GI, Wang M, Matragoon S. Precocious IRBP gene expression during mouse development

[retracted in Investigative Ophthalmology and Visual Science 1994;35:3127]. Investigative

Ophthalmology and Visual Science 1994;35:1083–8.

15. Article with published erratum

Hamlin JA, Kahn AM. Herniography in symptomatic patients following inguinal hernia repair

[published erratum appears in Western Journal of Medicine 1995;162:278]. Western Journal of

Medicine 1995;162:28–31.

Books and other monographs

16. Personal author(s)

Ringsven MK, Bond D. Gerontology and leadership skills for nurses. 2nd ed. Albany (NY), USA:

Delmar Publishers; 1996.

17. Editor(s), compiler(s) as author

Norman IJ, Redfern SJ, editors. Mental health care for elderly people. New York, USA: Churchill

Livingstone; 1996.

18. Organization as author and publisher

Institute of Medicine (US). Looking at the future of the Medicaid program. Washington, USA: The

Institute; 1992.

280

19. Chapter in a book

Phillips SJ, Whisnant JP. Hypertension and stroke. In: Laragh JH, Brenner BM, editors. Hypertension:

pathophysiology, diagnosis, and management. 2nd ed. New York, USA: Raven Press; 1995. p.

465–78.

20. Conference proceedings

Kimura J, Shibasaki H, editors. Recent advances in clinical neurophysiology. Proceedings of the 10th

International Congress of EMG and Clinical Neurophysiology; 1995 October 15–19; Kyoto, Japan.

Amsterdam, Netherlands: Elsevier; 1996.

21. Conference paper

Bengtsson S, Solheim BG. Enforcement of data protection, privacy and security in medical

informatics. In: Lun KC, Degoulet P, Piemme TE, Rienhoff O, editors. MEDINFO 92. Proceedings

of the 7th World Congress on Medical Informatics; 1992 September 6–10; Geneva, Switzerland.

Amsterdam, Netherlands; 1992. p. 1561–5.

22. Scientific or technical report

Issued by funding/sponsoring agency:

Smith P, Golladay K. Payment for durable medical equipment billed during skilled nursing facility

stays. Final report. Dallas (TX): Dept. of Health and Human Services (US), Office of Evaluation and

Inspections; 1994 October Report No.: HHSIGOEI69200860.

Issued by performing agency:

Field MJ, Tranquada RE, Feasley JC, editors. Health services research: work force and educational

issues. Washington: National Academy Press; 1995. Contract No.: AHCPR282942008. Sponsored by

the Agency for Health Care Policy and Research.

23. Dissertation

Kaplan SJ. Post-hospital home health care: the elderly’s access and utilization [dissertation]. St Louis

(MO): Washington University.; 1995.

24. Patent

Larsen CE, Trip R, Johnson CR, inventors; Novoste Corporation, assignee. Methods for procedures

related to the electrophysiology of the heart. US patent 5,529,067. 1995 June 25.

Other published material

25. Newspaper article

Lee G. Hospitalizations tied to ozone pollution: study estimates 50,000 admissions annually. The

Washington Post 1996 June 21; Section A:3 (column 5).

26. Audiovisual material

HIV+/AIDS: the facts and the future [videocassette]. St. Louis (MO), USA: Mosby-Year Book; 1995.

27. Legal material

Public law:

Preventive Health Amendments of 1993, Pub. L. No. 103–183, 107 Statute 2226 (December 14,

1993).

281

Unenacted bill:

Medical Records Confidentiality Act of 1995, S. 1360, 104th Congress, 1st Session (1995).

Code of Federal Regulations:

Informed Consent, 42 C.F.R. Section 441.257 (1995).

Hearing:

Increased Drug Abuse: the Impact on the Nation’s Emergency Rooms: Hearings Before the

Subcommittee. on Human Resources and Intergovernmental Relations of the House Committee. on

Government Operations, 103rd Congress, 1st Session (May 26, 1993).

28. Map

North Carolina. Tuberculosis rates per 100,000 population, 1990 [demographic map]. Raleigh: North

Carolina Department. of Environment, Health, and Natural Resources, Division of Epidemiology;

1991.

29. Book of the Bible

The Holy Bible. King James version. Grand Rapids (MI), USA: Zondervan Publishing House; 1995.

Ruth 3:1–18.

30. Dictionary and similar references

Stedman’s medical dictionary. 26th ed. Baltimore, USA: Williams & Wilkins; 1995. Apraxia; p.

119–20.

31. Classical material

The Winter’s Tale: Act 5, Scene 1, lines 13–16. The complete works of William Shakespeare. London:

Rex; 1973.

Unpublished material

32. In press

Leshner AI. Molecular mechanisms of cocaine addiction. New England Journal of Medicine. In press

1996.

Electronic material

33. Journal article in electronic format!!

Morse SS. Factors in the emergence of infectious diseases. Emerging Infectious Diseases [serial

online] 1995 January–March [cited 1996 June 5];1(1):[24 screens]. Available from: URL: http://www.

cdc.gov/ncidod/EID/eid.htm

34. Monograph in electronic format

CDI, clinical dermatology illustrated [monograph on CD-ROM]. Reeves JRT, Maibach H. CMEA

Multimedia Group, producers. 2nd ed. Version 2.0. San Diego, USA: CMEA; 1995.

Manual for preparing a grant application for the

ACP Science and Technology Programme

ACP-EU co-operation programme in science and technology

12.1: Manual for preparing a grant application for the ACP Science and Technology Programme

TABLE OF CONTENTS

1. Introduction 2

2. ACP Science and Technology Programme in brief 3

3. Before starting to complete the Grant Applicatio n Form 6

4. Some criteria for a successful application 9

5. Forming an eligible partnership based on a sound project idea 13

6. Completing the Grant Application Form 15

6.1 Which application documents to submit? 15

6.2 Cover sheet and first page of the Grant Applica tion Form 17

6.2.1 Cover sheet 17 6.2.2 First page 18

6.3 The Logical Framework 19

6.4 Part A - Concept Note 33

6.5 Part B - Full Application Form 34

I The Action: 34 1 Description 34 2 Budget for the Action 39 3 Expected sources of funding 43 4 Linkages to other programmes and policy initiativ es 44 5 Experience of similar Actions 44

II The Applicant 45 III Partners of the Applicant participating in the Action 50 IV Associates of the Applicant participating in the Action 53 V Checklist 55 VI Declaration by the Applicant 56 VII Assessment grid 56

7. Final stages 58

7.1 Validation of the proposal 58

7.2 The last steps of submitting the proposal 58

7.3 The evaluation process 61

7.4 Sources of further guidance 68

7.5 A final word 69 8. Glossary 70

ACP Science and Technology Programme - Manual for preparing a grant application 2

1. Introduction

This Manual should be read in conjunction with the ‘Grant Application Form’ and the ‘Guidelines for Grant Applicants’ for the Call for Proposals which was published in November 2008 on the Websites of the ACP Science and Technology Programme, the ACP Secretariat and EuropeAid. Its purpose is to provide additional information on how to fill in the ‘Grant Application Form’ and related documents, and to guide applicants through the proposal development, drafting, submission and evaluation process. It cannot and does not attempt to answer all the questions applicants may have. We, therefore, encourage you to address questions you do not find answered in this Manual to the Programme Management Unit and also to regularly check the FAQ section (Frequently Asked Questions) on the Website of the ACP Science and Technology Programme.

ACP Science and Technology Programme Programme Management Unit

c/o GOPA-Cartermill 45 rue de Trèves, B-1040 Brussels

Belgium

E-mail: info@acp-st.eu Fax: +32-2-280.1406 Tel: +32-2-234.3727

Website: www.acp-st.eu

This Manual has been prepared by the Programme Management Unit (PMU) of the ACP Science and Technology Programme, which has sole responsibility for its contents. It can in no way be taken to reflect the views of the ACP Secretariat or the European Union. In case of discrepancies between information given in this Manual and in the ‘Guidelines for Grant Applicants’, the English version of the latter is the binding document.

ACP Science and Technology Programme - Manual for preparing a grant application 3

2. THE ACP SCIENCE AND TECHNOLOGY PROGRAMME IN BRIEF

The ACP Science and Technology Programme is an ACP- EU co-operation programme that started its operation in June 2008. Promoting intra-ACP co-operation, it contributes to building capacity through networks o f institutions in the ACP region by funding partnership projects to be selected from a public Call for Proposals, which is open to all 79 member states of the African, Caribb ean and Pacific Group of States (ACP), the 27 member states of the European Union ( EU), the 3 EU candidate countries, and the 3 member states of the European Free Trade Association (EFTA) that belong to the European Economic Area (EEA). It is implemented by the ACP Secretariat with funding from the European Union.

OBJECTIVES

The overall objective of the ACP Science and Technology Programme is to support ACP countries in formulating and implementing science and technology (S&T) policies that can lead to sustainable development and to poverty reduction through economic growth and progressive integration in the world economy. The purpose is to strengthen the internal S&T capacity of ACP countries to support research, development and innovation in the ACP region at three levels:

• Institutional, administrative and policy making.

• Academic research and technology. • Business and civil society. The Programme promotes interdisciplinary approaches to sustainable development along three main axes:

• Co-ordination and networking in applied research.

• Instruments for collaborative research. • Management of research activities and

reinforcement of research. TYPES OF PROJECTS

The projects to be funded should primarily focus on:

• Quality health care: traditional and biodiversity-dependent community medicines; biotechnology.

• Environmental research activities: climatic variability, loss of biodiversity,

deforestation, desertification and rising sea levels; indigenous technology; adaptation of foreign technology.

• Energy: renewable sources of energy. • Transport: congestion, air pollution;

accidents. • Agriculture and agro-industry: food

productivity and security; agro-products; farmers’ participation in production and post-harvest management.

• Sustainable trade: private sector; trading capacity of ACP countries; socio-economic impact of international trade agreements and protocols on sustainable development.

EXPECTED RESULTS

The expected results of the ACP Science and Technology Programme are:

• Networks established or consolidated at intra ACP-level with linkages to international networks.

• Increased capacity to assess research needs to facilitate the formulation and implementation of research policies.

• Increased capacity and incentives to research network partners to prepare and submit project proposals to funding, including for example the EC’s ‘Seventh Framework Programme for research and technology development’ (FP7).

• Research results better capitalized and disseminated.

• Quality of research results improved.

ACP Science and Technology Programme - Manual for preparing a grant application 4

APPLICATION PROCEDURE

Call for Proposals − For the period 2008-2013, there is one

Call for Proposals scheduled with a total budget of € 33 million .

− The proposal submission deadline is 27 February 2009 .

Allocation of funds by lot

The overall indicative amount for this Call for Proposals is EUR 33.000.000, of which:

− EUR 28,000,000 is made available from the 9th EDF (European Development Fund).

− EUR 5,000,000 from the EC budget line 21.03.17 ‘European Programme for Reconstruction and Development’ (EPRD), the development co-operation programme between the EC and South Africa.

This Call for Proposals is divided into 2 Lots, one for each funding source, with different eligibility criteria for the applicants and partners, but identical objectives, results and activities:

− Lot 1 – EDF – concerns the € 28 million EDF contribution. Members of the partnership must belong to one of the 79 ACP States or one of the 27 EU Member States (this obligation does not apply to international organisations).

− Lot 2 – BUDGET – concerns the € 5 million EC budget line 21.03.17 contribution. Members of the partnership must belong to one of the 79 ACP States, one of the 27 EU Member States, one of the 3 EEA / EFTA Member States or one of the official EU candidate countries (this obligation does not apply to international organisations).

− Institutions from Cuba and the Overseas Countries and Territories (OCT) may only participate in projects as associates, and cannot be final beneficiaries of the project.

Size of grants − Projects may request a grant between €

350,000 and € 1 million . − In exceptional cases, projects may

request a grant up to € 3 million when project activities concern at least four of the six ACP regions and when these

contribute to regional, interregional or intraregional S&T policies.

− The Programme contribution will cover up to a maximum of 85% of the total eligible project costs.

Duration − The duration of a project should be

between 1 and 3 years.

Evaluation and selection − Proposals will be evaluated by an

Evaluation Committee with regard to their quality and relevance.

− The final decision on the selection of projects for financing will be made by the ACP Secretariat subject to the approval of the European Commission.

All information about this Call for Proposals, the application documents and the guidelines for applicants, can be consulted at: www.acp-st.eu. WHO CAN APPLY

Organisations that are interested to apply for a grant under this Call must belong to one of the following categories:

(a) ACP national or regional S&T organisations, research institutions, universities, ministries or public institutions dealing with research policies, ACP national research networks, relevant civil society or private sector actors or similar EU actors partnering with ACP counterparts.

(b) Regional S&T institutions, with separate legal status, not belonging to any national system but formally recognised by one of the eligible countries.

(c) Established ACP S&T networks provided that: all its members and headquarters are located in eligible countries; they have a legal status; they are applying in its own right; and they have been registered for a minimum of 2 years.

(d) Regional or inter-State bodies to which one or more ACP States belong, including bodies with non-ACP State members, which are authorised by those ACP States.

ACP Science and Technology Programme - Manual for preparing a grant application 5

The organisations must belong to one of the 79 ACP Member States, the 27 Member States of the EU, the 3 EU Candidate countries, or the 3 EEA EFTA

States (see table below). NB: This obligation does not apply to international organisations:

African, Caribbean and Pacific Countries

Eastern Africa Central Africa Western Africa Southern Africa Caribbean Pacific

Burundi Comoros Djibouti Eritrea Ethiopia Kenya Madagascar Mauritius Rwanda Seychelles Somalia Sudan Tanzania Uganda

Cameroon Central African Republic Chad Congo Dem. Republic of Congo Equatorial Guinea Gabon Sao Tome & Principe

Benin Burkina-Faso Cape Verde Côte d'Ivoire Gambia Ghana Guinea Guinea Bissau Liberia Mali Mauritania Niger Nigeria Senegal Sierra Leone Togo

Angola Botswana Lesotho Malawi Mozambique Namibia South Africa Swaziland Zambia Zimbabwe

Antigua and Barbuda Bahamas Barbados Belize Dominica Cuba Dominican Republic Grenada Guyana Haiti Jamaica Saint Kitts and Nevis Saint Lucia Saint Vincent and Grenadines Suriname Trinidad and Tobago

Cook Islands Fiji Kiribati Marshall Islands Micronesia Nauru Niue Palau Papua New Guinea Samoa Solomon Islands Timor Leste Tonga Tuvalu Vanuatu

European Union

Austria Belgium Bulgaria Cyprus Czech Republic

Denmark Estonia Finland France Germany

Greece Hungary Ireland Italy Latvia

Lithuania Luxembourg Malta Netherlands Poland

Portugal Romania Slovakia Slovenia Spain

Sweden United Kingdom

EU candidate countries

Croatia Former Yugoslav Republic of Macedonia Turkey

European Economic Area - European Free Trade Associ ation (EEA EFTA) states

Iceland Liechtenstein Norway

The organisations must operate within a partnership:

− A partnership involves at least 3 organisations from at least 2 different ACP Member States. NB: Established ACP S&T networks and regional ACP inter-state bodies are considered partnerships in themselves and are not obliged to form alliances with others. Networks, however, have to be multinational.

− The number of non-ACP partners in a partnership cannot be greater than the number of ACP partners.

Preference will be given to partnerships where the lead institution is an ACP partner or to partnerships composed exclusively of ACP partners, over those not fulfilling these criteria if at a certain stage of the evaluation process they receive the same scores.

For further information about the ACP Science and Technology Programme, please consult the Website: www.acp-st.eu or contact the Programme Management Unit by e-mail:

info@acp-st.eu or by Fax: +32-2-280.1406

ACP Science and Technology Programme - Manual for preparing a grant application 6

3. BEFORE STARTING TO COMPLETE THE GRANT APPLICATION FORM

1. Familiarise yourself with the ACP

Science and Technology Programme

Read the information provided on the Website of the ACP Science and Technology Programme. Here you will find answers in the section ‘Frequently Asked Questions’ which may cover some of your own questions. If possible, attend one of the Information Days for applicants the ACP Secretariat will organise in the ACP and EU regions. The dates will be communicated in due time on the Website. 2. Make sure that you are familiar with

the objective and purpose of the ACP Science and Technology Programme

Read the previous chapter ‘The ACP Science and Technology Programme in brief’. It explains in a few sentences the objective and purpose of the Programme and the results the Programme hopes to achieve. They should be reflected in your proposal. Read also carefully Section 1 of the ‘Guidelines for Grant Applicants’, in particular Section 1.1 which explains the background of the Programme. You are strongly encouraged to consult the policy documents and other S&T initiatives that are referred herein. Relevant components hereof should be reflected in your proposal. Remember that your project should, apart from achieving its own objectives, also fit well in the context of the Programme and take part in achieving the objectives of the Programme. It is, therefore, very important for the Programme and towards the financing sources that the projects to be financed are linked to the above and other relevant policies.

3. Study thoroughly the type of projects and participants the ACP Science and Technology Programme may support

Read the previous chapter ‘The ACP Science and Technology Programme in brief’ and the ‘Guidelines for Grant Applicants’. It explains the scope, the main axes and the priority areas where the Programme is focused on, as well as the type of organisations that can apply for a grant. These eligibility criteria must be met in your proposal. Ensure that your proposal is an additional activity to existing funding programmes and that it is in synergy with other initiatives at national, regional or global level. Bear in mind that your proposal must contribute to “… the creation or strengthening of frameworks for regional and sub-regional co-operation and of inter-institutional co-operation in the ACP region in the field of science and technology”. More precisely, this concerns “… building and enhancing strong scientific and technological capacity to support research, development and innovation in the ACP region, and enabling the identification and formulation of activities or policies that are critical to sustainable development”. 4. Follow the Guidelines for Grant

Applicants to the letter

These Guidelines describe the background of the Programme, the application procedure and how to fill in the ‘Grant Application Form’.

Where to find the Guidelines?

a. - Go to www.acp-st.eu

b. - Choose your language

c. - Click on the section ‘How to apply?’

ACP Science and Technology Programme - Manual for preparing a grant application 7

In various parts of the Guidelines, a reference is made to specific documents from the European Commission. You are strongly encouraged to consult these documents and apply the described rules and criteria in your proposal, For a quick reference, these documents are also assembled in Chapter 7.4 of this Manual. 5. From the very beginning, be aware

of the deadline for submission

Prepare a work plan for the completion of your proposal, where you plot the essential activities to be undertaken and the milestones to be achieved against a strict time schedule. You should include here, among others: •••• the topic of your proposal;

•••• the partners with whom to collaborate and their agendas;

•••• the organisation of meetings with partners (dates, location, contents);

•••• the identification of who you need to write the proposal and the assurance to have them made available;

•••• the design and subsequent supervision of a schedule for the proposal development stages (production of the proposal concept, outline and sections, and drafts; information search; sharing of text parts; editing; etc.);

•••• the inclusion of review moments (proof reading and quality assurance); and

•••• the finalisation of the proposal (obtaining the required signatures, checking the full set of documents to be submitted, timely submission),

The proposal development process should start as early as possible to allow all partners enough time to provide input into the drafting of the proposal, to be involved in the process to decide on priorities and needs, and to send some original documents to the Applicant (re: ‘Partnership Statement’: Part B, Section III.2 of the ‘Grant Application Form’) Be sure to include some slack time – unforeseen things will inevitably happen.

6. Choose the language for proposals

Proposals can only be submitted either in English or in French. These are the languages predominantly used by the evaluators. 7. Take into account that the

evaluators are the first target group for your proposal

Bear in mind that the evaluators are the persons who will read and assess your proposal. Although carefully selected, they have different backgrounds and may not be specialists on the topic of ‘your’ proposal. So put yourself in the evaluators’ position: while everything in your proposal is so obvious for you as the author, it is not necessarily so for the evaluators, who will only see the information you provide. 8. Be aware that the evaluation will not

be carried out under ‛luxury’ conditions

Evaluators have to work their way through a large number of proposals under strong time pressure. They will not have the time to read your proposal more than once. So make sure that this one reading is enough for them to correctly understand it. 9. Be aware that the evaluators have

to make their choice among many excellent proposals

A Call for Proposals and its evaluation is a competitive process. Only the best ones will finally be selected, because of the limited amount of funding available. This does not mean that the remainder are poor proposals – they are just less good. Therefore, you cannot afford any weakness in your proposal: all parts of it must be of excellent quality. 10. Take notice of the various steps in

the Call for Proposals

Step 1. Become acquainted with the ACP Science and Technology Programme. Ensure that this Call for Proposals matches

ACP Science and Technology Programme - Manual for preparing a grant application 8

your interest in promoting Science and Technology in the ACP region. Step 2. Obtain call-specific documentation and forms. The ACP Secretariat publishes a separate information package which includes the ‘Grant Application Form’ and the accompanying ‘Guidelines for Grant Applicants’ that offers practical advice for preparing and submitting proposals under this Call for Proposals. Follow strictly the rules on how to complete the application form and related documents. Step 3. Establish a consortium of partners. The Applicant must recruit partners to form a consortium capable of undertaking all aspects of the intended project. Partners may be identified through established networks or the Partner Search service available on the ACP Science and Technology website. Step 4. Prepare a proposal. Proposers must use the ‘Grant Application Form’ and submit this together with the required related documents.

Step 5. Submit the proposal by the Call deadline. Submit the proposal to the Programme Management Unit (PMU) of the ACP Science and Technology Programme. The deadline for submitting the application in the Call for Proposals is clearly stated on the first page of the application and the guidelines. Applications submitted after the deadline are ineligible. Step 6. Evaluation and selection of proposals. All grant applications will be evaluated by an Evaluation Committee. Step 7. Contract negotiations and Grant Contract. The terms and conditions regulating the selected projects are contained in two documents: (a) the formal Grant Contract between the consortium and the ACP Secretariat, and (b) the Consortium Agreement between the partners and signed by them only. Step 8. Contract signature. Step 9. Launch of the project. The project starts its implementation.

1. Become acquainted with the ACP Science and Technology Programme

2. Obtain call-specific documentation and forms

3. Establish a consortium of partners

4. Prepare a proposal

5. Submit the proposal by the call deadline

6. Evaluation and selection of proposals

7. Contract negotiations and Grant Contract

8. Contract signature

9. Launch of the project

ACP Science and Technology Programme - Manual for preparing a grant application 9

4. SOME CRITERIA FOR A SUCCESSFUL APPLICATION

1. Strictly follow the rules and

provisions of the Call for Proposals

When filling in the ‘Grant Application Form’, strictly respect the rules as explained in this form, in the ‘Guidelines for Grant Applicants’ and in this Manual. Do not leave out or add any chapters or change their sequence. Above all, respect the limitations to the number of pages that are indicated for some sections. Make sure to send all required documents in time and to the right address and do not annex unrequired documents. The ‘Grant Application Form’ is not specifically designed for the ACP Science and Technology Programme. The European Commission uses the same form as a basis for many different types of programmes. At certain points you may, therefore, not be entirely sure how to complete it. In this case, if you do not find an explanation in this Manual, first consult the Frequently Asked Questions on the Website of the ACP Science and Technology Programme. If you still cannot find an explanation there, you can always contact the PMU of the ACP Science and Technology Programme and ask for clarifications. 2. Study the different documents you

have to complete

The proposal application that you submit consists of the following mandatory documents – available in Microsoft Word or Microsoft Excel format: − Grant Application Form, which includes

a Part A (Concept Note) and a Part B (Full Application Form);

− Budget (worksheet 1 ‘Budget’, and worksheet 2 ‘Sources of funding’);

− Logical Framework; − The ‘Checklist’ and the ‘Declaration by

the Applicant’ (Part B Section V

respectively Section VI of the Grant Application Form).

Familiarise yourself with the required contents you have to provide. 3. Read carefully the evaluation and

selection procedure

Before you start writing your proposal, read carefully through the evaluation and selection procedure in the ‘Guidelines for Grant Applicants’. It shows which issues the evaluators will look at, what the various steps are a proposal can undergo, and what the maximum scores are for certain sections. Taking this procedure into consideration should help you in sharply focusing on the contents to be drafted for your proposal. 4. Find a good title for your project

The title of your project should be concise and self-explanatory in view of the proposed Action. 5. Draft a convincing Concept Note

We cannot stress it enough: Overcoming the first hurdle on the way to success of your proposal depends on the quality of your Concept Note. You have to convince the evaluators in just 4 pages to recommend your application for further evaluation. So what you say must be well-structured, concise, and complete! 6. Make a thorough analysis of the

background of your project

This analysis will lay the foundation for the Action you propose. It must identify the essential problem areas; define target group(s) and stakeholders, and links and complementarities with other initiatives. This must be done in such a way that the activities you plan to undertake and the

ACP Science and Technology Programme - Manual for preparing a grant application 10

solutions you propose follow logically from this analysis. If you start the preparation of your proposal with the Logical Framework (see Chapter 6.3 of this Manual), as we strongly suggest, you will automatically be led to performing this background analysis. 7. Identify clear objectives, methods

and results

Show that you have a clear idea of your project; that you know exactly what the intention is, what to do, how to do it, why, and what will come out of it. Again, the Logical Framework Analysis will help you structure your ideas and check their logic. 8. Develop a well-structured work

plan

Show in your work plan that you have a realistic view of the sequence and timing of the activities to be undertaken in the performance of the project, the inputs required at each point and the results you expect to achieve. Be honest about possible constraints and make appropriate provision for them in the work plan. 9. Make sure to have an appropriate

project cycle management

Your proposal should contain convincing methods for the follow-up and evaluation of your project, should it be selected. This includes a good definition of objectively measurable indicators. To help you with this definition, we recommend you to consult Chapter 6.3 of this Manual (the Logical Framework). Remember that if your project is selected for financing, you will be expected to report regularly on its progress. Monitoring and evaluation of your project should, therefore, be embedded as an essential activity into the very fabric of the work plan. 10. Calculate a realistic budget

The budget must be expressed in Euros (€). The budgeted project costs must be

reasonable and realistic. It often occurs that the amount of the grant requested in proposals is identical to the upper grant limit mentioned in the Call for Proposals. This creates the impression that this figure was taken as the starting point in formulating the project proposal and then filled with activities to justify that amount. However, it is unlikely that this approach will lead to an optimally designed project. When you prepare the budget, it is more logical to start from realistic considerations regarding the activities needed to successfully carry out the Action and then translate them into costs. Avoid the impression that your budget was ‘artificially inflated’ in order to obtain the maximum possible grant. 11. Have a clear text structure

The text of your proposal must be clear and concise for easy reading. It should have precise headings and sub-headings and contain short paragraphs to structure it. The information you provide should be limited to what is essential for describing your proposed Action and it should show a logical sequence. Avoid redundancies and jargon, and do not use acronyms without explanation. Little credit will be given for sweeping claims such as “this project will be entirely sustainable”. Do not forget that a proposal under the ACP Science and Technology Programme is not a scientific paper. You should write as if it was for a non-technical reader. Look at it from a pragmatic point of view: You want to obtain funding to do a certain well-defined work within a clear timeframe that will result in tangible outputs. This is much more like a business proposal. Within a partnership, it is common practice that each partner will make a contribution to the proposal, in particular the text segments related to its designated role in the project. However, this implies the risk that the final product will not be homogeneous with regard to style, detail of content, presentation, etc. It is, therefore, advisable that one person

ACP Science and Technology Programme - Manual for preparing a grant application 11

should do the final editing of the proposal to ensure the homogeneity of the full text. This person should also be responsible for doing a last check of the completeness of the application and its compliance with all the provisions of the Call for Proposals. 12. Use good quality language

Proposals must be submitted in either English or French . It goes without saying that the use of good ’standard’ English or French is an asset for your application. Please ensure that your proposal is reviewed by someone whose mother tongue is English or French, where applicable, and who could, within a few hours, turn an incomprehensible text into a legible application which might be retained. After revising your application, please have the grammar and spelling again checked by someone whose mother tongue is English or French. A proposal must not be formulated in a sophisticated way, but it should be easy to read and – more important – to understand. How else will the evaluators be in a position to assess your proposal? 13. Do not forget any documents!

Your application must be supported by a certain number of documents (see Chapter 6.1 of this Manual). Please note that these documents will not be returned at the end of the evaluation process. 14. Major reasons for the rejection of

applications under other programmes

The application was posted after the submission deadline: This is the most annoying reason of all for having your proposal rejected after all the effort it took to prepare it. So be absolutely sure to respect the deadline. Rejection of late proposals is automatic and there will be no exceptions. The application failed to pass the administrative check:

•••• The compulsory format of the Grant Application Form was not respected;

•••• Essential documents were missing (budget, sources of funding, logical framework …);

•••• Partnership is not eligible (no partners at all, not enough partners, ineligible partners ...);

•••• Requested European Development Fund (EDF) or EC general budget (BUDGET) contribution exceeds the limit.

Quality of the content: •••• The relevance of the project (to the

needs and constraints of the country/region and to those of the target group(s) and final beneficiaries) is not convincing;

•••• Proposal shows no clear relation to the objectives of the ACP Science and Technology Programme;

•••• Goals are too ambitious and not plausibly substantiated by the proposed activities;

•••• Parts of the proposal are a duplication of past or ongoing projects;

•••• Objectives, methodology and results are insufficiently elaborated and explained;

•••• Text is not clearly structured, lacking internal logic;

•••• Text is obviously written by ‘cut and paste’ of same text parts in different sections; poor final editing;

•••• Poor Logical Framework (intervention logic, indicators, sources of verification);

•••• Costs appear exaggerated in relation to the proposed activities and inputs.

Impact: •••• Target group(s) is/are not clearly

identified or negligible in quantitative terms;

•••• Proposal does not elaborate on tangible outputs and results;

•••• Sustainability of the project is not sufficiently substantiated.

ACP Science and Technology Programme - Manual for preparing a grant application 12

Implementation: •••• Insufficient management experience of

the project coordinator;

•••• Inadequate knowledge of Project Cycle Management (PCM).

ACP Science and Technology Programme - Manual for preparing a grant application 13

5. FORMING AN ELIGIBLE PARTNERSHIP BASED ON A SOUND PROJECT IDEA

Establishing a partnership

There are two possible approaches to the establishment of your partnership:

•••• Either you develop your project idea first and then look for eligible institutions / networks / groups that might be interested in the subject and in working with your organisation;

•••• Or, if your organisation already has well-established and tested relations with other eligible institutions / networks / groups, you can build on this experience and jointly develop a project idea of common interest.

You can also make use of the ‘Search Partner’ section on the Website of the ACP Science and Technology Programme by advertising your organisation and your specific interests there. Please note that the PMU’s role is limited to placing your search request on the Website. It will not get involved as a broker between the different parties. As explained in Section 2.1 of the ‘Guidelines for Grant Applicants’, please note that in the Call for Proposals of the ACP Science and Technology Programme, there is a variety of eligible institutions and networks that can form an eligible partnership structure. Whichever approach you choose, the selection of partners and the constitution of the partnership must be based on clear ideas and perceptions about the project. The partnership should bring together all competences relevant for the successful execution of the project and should be committed to the Action and its target group(s). It is important that all partners have a high level of mutual trust and a good co-operative spirit.

How many members should the partnership consist of?

There are minimum rules that you find explained in the ‘Guidelines for Grant Applicants’, but there is no upper limit to the number of members the partnership may comprise. However, there is no point in adding partners just for the sake of it. The optimum is a partnership that combines all the required competences, where each partner has a well-defined role and where partners share project activities and benefits in a balanced way. And remember: the more partners are involved, the more complex and difficult managing the project will become. Choosing the lead institution

One member of the partnership must be designated as the lead institution who then becomes the ‘Applicant’. The most useful consideration in choosing the lead institution of the partnership should be project management experience and capacity. This is an important criterion in the evaluation process and should, therefore, be the outstanding qualification of the lead institution. Formalising the partnership

The establishment of the partnership is formalised through the so-called ‘partnership statements’, included in Part B, Section III.2 of the ‘Grant Application Form’. Each partner must sign, date (and stamp) such a statement and in principle they should all be included as originals in your application. Faxed copies will be accepted, but you may be asked by the ACP Secretariat to provide the original at a later time. Assembling the partnership statements should, therefore, be one of the very first activities to be undertaken once the partnership structure has been agreed, since experience shows that it may take considerable time to obtain them all. The

ACP Science and Technology Programme - Manual for preparing a grant application 14

signature on the ‘Partnership Statement’ must be that of a person authorised to legally represent the institution. An additional instrument to formalise your partnership is an internal agreement (‘consortium agreement’, ‘co-operation agreement’, …) that: describes the purpose of the partnership; clearly defines the role and responsibilities of each partnership member: confirms their commitment to the joint undertaking; etc. It is also recommended to include the internal rules of communication and decision making, the financial conditions, property rights,

valorisation and the dissemination of results, etc. It is necessary to consider all possible events in order to avoid any surprises in the project implementation, which could lead to a deadlock or even the suspension of the project. It is entirely up to you whether and how you draw up such a document. It is neither part of your application nor is it a condition for its validity. If your application should be selected for a grant, you can then replace this initial (and more informal) agreement by a more precise and detailed one that is legally binding on its signatories.

ACP Science and Technology Programme - Manual for preparing a grant application 15

6. COMPLETING THE GRANT APPLICATION FORM

6.1 WHICH APPLICATION

DOCUMENTS TO SUBMIT?

The ‘Guidelines for Grant Applicants’ contains the following list of Annexes: • Documents to fill in:

– Annex A: Grant Application Form (Microsoft Word format)

– Annex B: Budget (Microsoft Excel format) – Annex C: Logical Framework

(Microsoft Excel format) – Annex D: Legal Entity Sheet for

Public Entities and for Private Companies

– Annex E: Financial Identification Form

• Documents for information:

– Annex F: Standard Grant Contract – Annex G: Daily Allowance Rates

(per diem) – Annex H: Standard Contribution

Agreement (applicable in case where the Beneficiary is an international organisation)

The mandatory documents to be submitted are the ‘Grant Application Form’ with the following parts and annexes: •••• Part A - Concept Note

four sections:

1. Title of the Action 2. Relevance of the Action 3. Description of the Action and its

effectiveness 4. Sustainability of the Action

•••• Part B - Full Application Form

seven sections:

I. The Action II. The Applicant III. The Partners IV. The Associates V. Checklist VI. Declaration by the Applicant VI. Assessment Grid •••• The 2 annexes:

- Budget (worksheet 1 ‘Budget’ and worksheet 2 ‘Sources of funding’)

- Logical Framework The following documents will only be requested by the ACP Secretariat if your proposal is provisionally selected at the end of the evaluation procedure (see Section 2.4 of the ‘Guidelines for Grant Applicants’): - Legal Entity Sheet (of the Applicant) - Financial Identification Form (of the

Applicant) - Other: statutes or articles of

association (of the Applicant and the partners); profit and los account and balance sheet (of the Applicant); and details on the audit firm.

The following documents are provided for information purposes only and should not be returned: - Standard Grant Contract: this type

of contract will be officially sent to you for signature only if a grant has been awarded at the end of the assessment.

- Daily Allowance Rates: this document can be consulted for the calculation of per diems in case of

ACP Science and Technology Programme - Manual for preparing a grant application 16

missions requiring an overnight stay away from the base of operations. These include accommodation, meals, local travel within the place of mission and sundry expenses.

- Standard Contribution Agreement: this type of contract will be used – only if a grant has been awarded at the end of the assessment – when the Beneficiary is an international organisation, with the exception if it concerns an organisation with

which the EC has concluded a specific framework agreement.

Do not send any additional documents – they will be disregarded. In particular, do not send at this time any of the documents listed in Section 2.4 of the ‘Guidelines for Grant Applicants’ (statutes, balance sheets, etc.). You will be requested by the ACP Secretariat to submit these if and when your application should be selected for funding.

ACP Science and Technology Programme - Manual for preparing a grant application 17

6.2 COVER SHEET AND FIRST PAGE OF THE GRANT APPLICATION FORM

6.2.1 Cover sheet

Name of Applicant: Please indicate the name of the lead institution within the partnership that submits the proposal and, if the proposal is selected, signs the grant contract.

Title of the Action: Give here the exact title of your Action, including the acronym, if there is one.

Lot: Please select the appropriate Lot number for the proposed Action

Location(s) of the Action:

Indicate here the location(s) where the proposed Action will take place, at the level of region, country and, if applicable, town (for example: Western Africa – Burkina-Faso – Ouagadougou; Pacific – Fiji, Samoa, Tonga; Europe – Italy – Rome, …).

Total eligible cost of the Action (A)

(EUR)

Amount requested (B)

(EUR)

% of total eligible cost of the Action (B/Ax100)

(%)

The amount you enter here (in EUR) must be the same that appears in the bottom line of Annex B.1 of the ‘Guidelines for Grant Applicants’ - Budget for the Action (budget line 11.’Total eligible costs (9+10)’ in the column ‘All Years’).

The amount you enter here (in EUR) must be the same that appears in Annex B.2 of the ‘Guidelines for Grant Applicants’ – Expected sources of funding in the line ‘EDF or EC general budget contribution sought in this application’. It must be an amount between € 350,000 and € 1,000,000 or up to € 3,000,000 for exceptional cases (see Chapter 2 of this Manual and Section 1.3 of the ‘Guidelines for Grant Applicants’).

This percentage (%) must be ≤ 85%. If it exceeds 85%, even by decimals, you must either increase the figure for ‘total eligible cost’ – thus increasing the percentage contributed by other sources than the EDF or EC general budget – or reduce the figure for ‘amount requested’.

Please calculate the percentage precisely (for example: 75.48%). Do not round up or down.

Total duration of the Action: (months)

Please indicate the number of months during which the proposed Action will take place, including the possible months where no activities are planned (holidays, …). This must be a minimum of 12 and a maximum of 36 months.

Dossier No Do not write here. This is the number that will be attributed to your application by the ACP Secretariat.

(for official use only)

ACP Science and Technology Programme - Manual for preparing a grant application 18

6.2.2 First page

Contact details for the purpose of this Action:

Postal address:

Please indicate here the complete postal address of the Applicant’s institution so that the letters of the ACP Secretariat regarding the status of your proposal in different stages of the evaluation process will reach you. The ACP Secretariat will not be held responsible in case it cannot reach an Applicant.

Please ensure that the address is correct and notify the PMU of the ACP Science and Technology Programme of any changes

Telephone number: Country code + city code + number

Please indicate here the complete telephone number of the Applicant’s contact person. This number will be used to contact you in case of need for any additional information or clarifications regarding your application.

Please ensure that the telephone number is correct and notify the PMU of the ACP Science and Technology Programme of any changes.

Fax number: Country code + city code + number

Please indicate here the complete fax number of the Applicant’s contact person (for the same reasons as explained above).

Please ensure that the fax number is correct and notify the PMU of the ACP Science and Technology Programme of any changes

Contact person for this Action:

Please indicate the title (Ms./Mr.), surname, first name and function of the person to whom any requests for clarification or further information can be addressed.

Contact person’s e-mail address:

Please indicate a valid e-mail address, preferably a professional one. This address will be used to contact you in case of need for any additional information or clarifications regarding your application. This e-mail address is also the one to which letters of the ACP Secretariat regarding the status of your proposal in different stages of the evaluation process will be sent.

Please ensure that the e-mail address is correct and notify the PMU of the ACP Science and Technology Programme of any changes.

ACP Science and Technology Programme - Manual for preparing a grant application 19

6.3 THE LOGICAL FRAMEWORK

In Part B, Section I, paragraph 1.11 of the ‘Grant Application Form’ you are required to produce a so-called ‘Logical Framework Matrix’ (attached as Annex C to the ‘Guidelines for Grant Applicants’) after you have described your project in detail in the sections I.1.4 – I.1.10 of the ‘Grant Application Form’. However, we suggest that the Logical Framework Matrix should best be developed before you start writing the texts of sections I.1.4 – I.1.10. When going first through the different steps of the Logical Framework Approach (LFA) as described below, this will naturally lead up to identifying the contents of these texts. Doing it the other way around – writing your texts first and then ‘filling in’ the Logical Framework Matrix as an afterthought - frustrates the very philosophy of the approach. The LFA should be thought of as an ‘aid to thinking’. It allows information to be analysed and organised in a structured way. It is useful to distinguish between the LFA, which is an analytical process (involving stakeholder analysis, problem analysis, objective setting and strategy selection), and the Logical Framework Matrix (logframe) as the product of this process, which is based on further analysis on how objectives will be achieved and the potential risks that may occur. The process of going through the various steps of the LFA should ideally be carried out by representatives of the Applicant and its partners sitting together in a workshop situation and assisted by a qualified moderator. It requires the group to address issues that may have appeared self-evident or which importance was not fully realised before. The process exposes previously unstated assumptions and hypotheses, and forces the group to analyse carefully what it is planning to do and to think about the ‘why’ and ‘how’ of the project. The overall result is that the project you will then

describe in the ‘Grant Application Form’ will be clearly thought out and present a feasible and consistent solution to the problem(s) you propose to address. If the organisation of the above-mentioned workshop is not possible for cost reasons, the Applicant may form a working group to perform the exercise and then discuss and share the results with its partners. A situation where the logical framework is developed in isolation by an individual staff member or even by an external consultant should definitely be avoided. The Logical Framework Matrix (also referred to as the ‘Logframe’) looks deceptively simple, but in reality it should not be perceived as a stand-alone document that can be completed in isolation. Rather, it is the end result of a series of interlinked analytical planning steps called the Logical Framework Approach. If you feel that you are sufficiently familiar with it, you can skip this chapter and start straight away with the production of the Logical Framework Matrix. If not, please read this chapter carefully as this will help you to significantly improve the overall quality of your proposal and thereby your evaluation scores. The Logical Framework Approach (LFA) The way in which projects are planned and implemented follows a sequence that is known as the project cycle, which consists of the following phases: programming → identification → formulation → funding decision → implementation → evaluation. Project Cycle Management (PCM) is a set of project design and management tools, adopted by the European Commission in 1992, and based on the Logical Framework Approach. These techniques are described in detail in the document ‘Project Cycle Management Guidelines’ which can be consulted at the following Internet address: http://ec.europa.eu/europeaid/multimedia/p

ACP Science and Technology Programme - Manual for preparing a grant application 20

ublications/publications/manuals-tools/t101_en.htm. The Logical Framework Approach (LFA) must not be confused with the Logical Framework Matrix. LFA is a systematic analytical project preparation methodology, whereas the Logical Framework Matrix is a document produced at the end of the LFA process with a special structure regarding the project set-up and its implementation. It is this matrix that you have to complete in Part B, Section I, paragraph 1.11 of the ‘Grant Application Form’ (attached as Annex C to the ‘Guidelines for Grant Applicants’). The LFA fulfils several functions:

−−−− It provides a picture of the contextual environment of the project topic.

−−−− It develops a structured set of project ideas by clarifying objectives and outputs.

−−−− It provides a clear, brief and logical description of the proposed project.

−−−− It helps to identify possible risks to project implementation.

−−−− It provides a useful basis for evaluation during and at the end of the project.

The LFA process can be divided into the following seven steps:

1. Situation analysis 2. Stakeholder analysis 3. Problem analysis 4. Objectives analysis 5. Analysis of alternatives 6. Activity planning 7. Resource planning

Only when you have gone through these steps, you can prepare the Logical Framework Matrix. 1. Situation Analysis

As a first step, you need to undertake a structured analysis of the existing situation and the context of the envisaged project. This will require you to answer questions of the following type, among others:

•••• What are the general areas of

concern, or themes, that the project will focus on?

•••• What is the historical background of issues relating to the project?

•••• What are the lessons learned from comparable projects?

•••• What is the project aiming to achieve?

•••• At what spatial levels will the project focus, in terms of subject and/or geography?

•••• Within what political, socio-economic, technological and biophysical environment will the project operate?

•••• Who will/should be involved in the process of design, implementation, monitoring, evaluation and reporting?

•••• Who is working on the issues already? What are they doing? What results have been achieved?

•••• Who will implement the project?

•••• What is the intended duration of the project?

•••• What is the anticipated level of funding?

•••• Who will fund the project?

The information sources for answering the above questions could be: a feasibility study; a pre-appraisal report; strategy papers of countries, themes, institutions, etc.; science and technology policy documents; a compilation of documents prepared specifically for the LFA; or simply the professional knowledge of the participants to the planning process. 2. Stakeholder Analysis

The Stakeholder Analysis will produce a document where you give a detailed analysis of the people, groups, or organisations that may influence or be influenced by the problem area addressed by the proposed project or by the potential solution to the problem. The objective of this step is: to identify these groups and organisations and discuss their role,

ACP Science and Technology Programme - Manual for preparing a grant application 21

interests, capacity to participate and expectations with respect to the project; how they relate one to another; how they can be involved in the design and implementation of the project; how it can be assured that they will actually benefit from it; etc. When looking at who the stakeholders are, it is useful to distinguish between the ‘target groups’ and the ‘final beneficiaries’ who both benefit in whatever way from the implementation of the project:

•••• ‘Target groups’ are the groups/entities who will be directly positively affected by the project at the Project Purpose level. They are sometimes also called ‘direct beneficiaries’. They are listed in Part B, Section II, paragraph 2.3 of the ‘Grant Application Form’. This may include the staff from partner organisations;

•••• ‘Final beneficiaries’ are those who will benefit from the project in the long term at the level of the society or sector at large.

3. Problem Analysis (the problem tree)

The Problem Analysis is undertaken by developing a ‘problem tree’ for your project through an analysis of cause and effects. By identifying what the main problems are in the problem area and establishing the cause and effect relationships which result in, and flow from, these problems in the form of a diagram – called a ‘problem tree’ – visualises the hierarchy of these problems. Once complete, the problem tree represents a summary picture of the existing negative situation. Identifying the main problems You may use brainstorming techniques to identify the main problems faced by the target group(s) and final beneficiaries with respect to the problem area. The facilitator should explain the process and the rules for brainstorming.

Brainstorming rules

•••• All ideas are accepted without argument.

•••• The aim is for quantity rather than quality.

•••• No debate will be allowed about whether ideas are accepted or not, only about whether the idea has already been listed.

•••• No evaluation will take place at this time; concentrate on getting a full cross-section of ideas first.

For maximum efficiency, a brainstorming group should be no more than around ten people. If more persons participate, it is better to split them into smaller groups. The brainstorming exercise commences by asking participants to identify the main problems which the project will address. They will be written on cards, and stuck on the wall, in no particular order. When the participants feel that all essential problems are displayed, they should cluster them into groups of similar issues. At this stage a ‘weeding’ exercise can be undertaken with the aim of discarding problems that duplicate each other and removing those that can clearly not be addressed by the project. Developing the problem tree The problem tree is then developed by arranging the problem cards on the wall in a ‘cause–effect’ hierarchy, possibly adding new ones that emerge as the tree is built up. When building the tree, it will automatically centre to one main problem in the upper half of the tree, a series of lower order problems that branch out below this main problem and a series of upper order problems that branch out above it. The easiest way to develop the problem tree is to begin with a ‘starter’ problem and progressively add the other problem cards above or below it. It does not really matter which problem is chosen as the ‘starter’, but it is best if it is a problem that participants agree is of major importance. The problem tree is constructed by successively relating your problem cards to

ACP Science and Technology Programme - Manual for preparing a grant application 22

the starter problem using the cause-effect rationale:

•••• If the problem is a cause of the ‘starter’ problem, it is placed below it;

•••• If the problem is an effect of the starter problem, it goes above;

•••• If it is neither a cause nor effect, it goes to the same level.

Below we show an example of a problem tree that may be drawn up by a restaurant owner, who analyses the reasons for his core problem – that his business is unprofitable (we have deliberately chosen an example totally unrelated to the ACP Science and Technology Programme). 4. Objectives Analysis (the objective

tree)

The next step is to reformulate all elements in the problem tree into positive, desirable conditions – these are the objectives. The problem tree is transformed into an ‘objective tree’ by converting the problems

into ‘positive achievements’. In that sense, the objective tree is the positive mirror image of the problem tree. It can also be considered as an ‘ends-means’ diagram. The top of the tree is the end that you desire to achieve with your project and the lower levels are the means to achieving it. Its main strength is that it keeps the analysis of potential project objectives firmly based on addressing a range of clearly identified priority problems. Once complete, the objective tree provides a summary picture of the desired future situation. As with the problem tree, the objective tree should provide a simplified but robust summary of reality. It is simply a tool to aid analysis and presentation of ideas. The following example shows the objective tree corresponding to the previously shown example of a problem tree. As you can see, it is a mirror image – what has been stated before as a problem is now presented as a positive, desirable situation, that is to say as an objective to be achieved.

ACP Science and Technology Programme - Manual for preparing a grant application 23

Inexperienced kitchen

staff

Salaries are not

attractive

No recruitment policy

Untrained staff

Menu is undistinguished

Waiters are inattentive

Windows offer no noise

insulation

Menu display does not

attract passers-by

High street noise level

No advertisement or

publicity

Unattractive table

presentation

Furniture and interior

decoration is outdated

Restaurant not known

even in neighbourhood

Unattractive exterior

Uninviting façade and

entrance area

No special incentives

Customers don’t find

atmosphere attractive

Too few customers

Customers complain about

slow service

Business is not profitable

Restaurant is not well-known

No return customers

Customers don’t find food

attractive

Tables have no

distinguishing features

Cutlery and china is worn

and old-fashioned

Use of canned

ingredients

Low-quality range of

suppliers

Example of a Problem Tree

Qualified staff is leaving

High turn-over of staff

Increase of overdue

payments

Negative publicity by unsatisfied customers

ACP Science and Technology Programme - Manual for preparing a grant application 24

Qualified cook

Attractive salaries

Recruitment through

specialised agency

Well-trained staff

Attractive choice of menu

Prompt attention to

customers

Double-glazed windows

Visible outdoor display of

menu

No disturbing outside

noise

Advertisement in Yellow

Pages

Good table presentation

Modern and pleasing

decor

Direct mail-drops in

neighbourhood

Improved outdoor

presentation

Renovated façade and

entrance area

Special rates for parties

Pleasant atmosphere

More customers

Good service

Business is profitable

Restaurant is well-known

Satisfied customers

Good quality of food

Fresh flowers and linen

Good quality cutlery and

china

Use of fresh ingredients

High-quality suppliers

Example of an Objective Tree Tree

High supply of qualified staff

Increase of net benefits

Good publicity by satisfied

customers

ACP Science and Technology Programme - Manual for preparing a grant application 25

5. Alternatives Analysis

Looking at your objective tree you may realise that several possible strategies can be envisaged to achieve the objectives it shows and that you will have to select the one that appears most feasible. You may also find that it will not be possible to achieve all the objectives in the context of a single project, given the limits of the resources that can be applied or the complexity of the items to be dealt with, the different stakeholder interests, political demands, institutional capacities, etc. In such cases, you may have to reformulate your project to address only a certain section of the objective tree. In our example of an objective tree, the restaurant owner may decide to concentrate only on the left-hand part of the tree as a first step, since his current financial situation does not allow for costly renovation and advertising activities. 6. Activity Planning

After defining the objectives with respect to the problem area and selecting a solution from a set of alternatives that will be incorporated into the proposed Action, the detailed planning phase starts by defining the activities that are required to achieve each objective of the proposed Action – and this is where we finally come to the Logical Framework Matrix. The Logical Framework Matrix The Logical Framework Matrix (also called the ‘Logframe’) summarizes the results of the above LFA process in four columns and four rows, and serves as a planning, management, monitoring and evaluation overview:

−−−− It describes how exactly the proposed project is built up to achieve results.

−−−− It specifies the components that contribute to achieving the stated results and objectives.

−−−− It identifies specific indicators to be used to measure the project performance.

−−−− It specifies the important assumptions and uncertainties (or: critical success factors) beyond the control of the project.

The matrix should provide a summary of the project design in a coherent structure. It should generally be 1 - 4 pages in length. Both during the production of the matrix as well as after it has been completed, the following important questions have to be answered: Is there a comprehensive overall objective? Are the specific objective(s), the results and activities logically coherent as derived from the overall objective? Can any single activity be related to the realization of the overall objective? Are indicators realistic and the sources of verification available? The preparation of the matrix is an iterative process, not just a linear set of steps. As new parts of the matrix are drafted, information previously assembled needs to be reviewed and, if required, revised. Nevertheless, there is a general sequence to completing the matrix, which starts with the pre-conditions, followed by the project description (top-down), the assumptions (bottom-up), and at last the indicators and the sources of verification (working across). Let us first see in a general way, what information goes into the different boxes and then explain in more detail the different column and row headings. Column Headings Intervention logic This is the text that ‘narrates’ or describes the objectives, results and activities. It summarizes the ‘means-end’ logic of the proposed project. Components of the objective tree can be used to start framing the hierarchy in this column. Objectives at the top of the tree

ACP Science and Technology Programme - Manual for preparing a grant application 26

Intervention logic

Objectively Verifiable

Indicators of achievement (OVI)

Sources and means of

verification (MOV)

Assumptions

Overall objective(s)

What is/are the overall broader objective(s) to which the project aims to make a contribution?

What are the quantitative ways of measuring, or qualitative ways of judging, whether these broad objectives are being achieved?

And by when will they be produced?

Which sources of information exists, or can be provided in a cost-efficient and timely manner to complete the indicators?

Specific objective

What is the specific objective the project expects (by its own efforts) to have achieved by the end of the project? And that contributes to the overall objective(s)?

What are the quantitative measures or qualitative evidence by which achievement and distribution of impacts and benefits can be judged?

And by when will they be produced?

Which sources of information exist or can be provided in a cost-efficient and timely manner to complete the indicators? Must provision for collection be made under ‘Activities’ of the project (and in the budget)?

Which conditions external to the project are necessary if the achievement of the specific objective is to contribute to reaching the overall objective(s)?

Expected results

What are the various results (outputs) that must be produced, which, taken together, will allow the achievement of the project’s specific objective?

What kind and quantity of characteristics are needed to measure the degree of achievement of the expected results?

And by when will they be produced?

What are the sources of information to complete the indicators?

What are the conditions not within the control of the project which are necessary to progress from the results towards the specific objective?

Activities

Which main activities must be carried out and in what sequence to achieve each of the expected results?

What are the means which are necessary to implement each of the activities, for example: personnel, equipment, training, etc.

What are the sources of information to measure the progress of the project?

Which conditions external to the project must be realised to obtain planned results on schedule?

Which pre-conditions must be met in order to start the project itself?

Note: The pre-conditions cell in the bottom right of the matrix is important to complete and analyse

during the construction of the matrix. This information may also be inserted as a second part of the cell above (“Which conditions external to the project must be realised to obtain planned results on schedule?”).

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should help frame the ‘Overall objective(s)’ and the ‘Specific objectives’, while further down the tree ‘Expected results’ and ‘Activities’ could also be identified. However, it should not be expected that the objective tree can be transposed directly into the matrix hierarchy. Further adjustment and refinement of statements is usually required and checking of the ‘means-ends’ logic should be ongoing as the matrix is being developed. Objectively Verifiable Indicators of achievement (OVIs) OVIs define the evidence, direct or indirect, that will show progress towards and achievement of the objectives and results. They are expressed as units of measurement that provide a basis for the monitoring and evaluation of project achievements over time. They must be ‘objectively verifiable’, which means that different persons (within and outside the project) must be able to collect the same information and use the same measuring process to obtain the same results independently. OVIs should meet the following criteria:

•••• Be measurable and specific An indicator must be able to be

measured in either quantitative or qualitative terms. It must also be specific enough to objectively determine whether the project has been successful or not, and to what extent. Ensure that standard indicators are used to the extent possible for comparability over time or between target groups.

•••• Be feasible An indicator should be feasible in

terms of finances, equipment, skills and time available.

•••• Be relevant and accurate An indicator should be relevant to

the management information needs and reflect what to measure in an accurate way.

•••• Be sensitive An indicator should be capable of

picking up changes over the time period that we are interested in.

•••• Be timely, time-bound and time-based

An indicator should be able to provide information in a timely manner and should be defined for each quarter or half year or year as appropriate to the indictor. It should express the benefits or changes that a project aims to bring about at certain intervals and by the end of the implementation period.

There is often a tendency to include large numbers of indicators on the assumption that more information is better than less. This is not necessarily so: one well-chosen indicator can be better than several less precise ones. When formulating OVIs, the following questions should be asked:

−−−− What characteristics, conditions or features would indicate that the results have been achieved?

−−−− Would the collected data help one understand what is going on in the project and would they make sense in relation to the results?

Sources and means of verification (MOVs) MOVs show where to find the information that can be used to measure or verify the indicators. They should specify:

•••• how the information should be collected (for example: performing surveys; studying administrative records, national statistics, etc.; organising workshops; studying research findings, publications, etc.);

•••• where the information for the measurements or verification can be collected;

•••• who should collect the information; •••• when or how regularly it should be

collected; and •••• the format in which the data

collected should be presented. MOVs should allow obtaining the required information with a reasonable input of time, money and effort. For example, official

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statistics are a cheap and readily accessible MOV, but they will often have a time lag of a year or more against the actual situation. A targeted survey will give you precise and up-to-date information, but this may be quite expensive to undertake. It is preferable to use existing systems and sources (where possible and appropriate) before establishing new ones. Assumptions These are external factors outside the control of the project, but which are critical for the achievement of its objectives and results. They need to be fulfilled if the intervention logic is to hold true. Assumptions should, therefore, be stated in terms of the desired situation, for example:

•••• Budget allocations are made available in a timely manner.

•••• Local institutions collaborate in planning activities.

•••• Suitable staff are identified and recruited on time.

•••• All stakeholders will attend the stakeholder meetings.

•••• New laboratory building is operational according to schedule.

•••• Etc. In formulating and assessing the importance of your assumptions, you should apply the logic presented in the decision-making flowchart below. Once the assumptions have been analysed and tested, and assuming the project is still considered ‘feasible’, the only assumptions that should remain in the Logical Framework Matrix are those which are likely to hold true, but which nevertheless need to be carefully monitored during project implementation. They then become part of the project’s monitoring and risk management plan.

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Decision-making flowchart for the verification of assumptions:

Row Headings Overall Objective(s) This is (these are) the higher-level objective(s) to which the project is expected to contribute. They are based on the ‘focal problem’ identified during the LFA. The word ‘contribute to' implies that the project by itself cannot be expected to achieve the overall objective(s). Specific Objective This is the anticipated effect your project will achieve by delivering the planned results.

Expected Results These are the tangible results that the project should be able to guarantee. Results must generally be delivered within a specified time frame and budget. Activities These are the activities that must be undertaken by the project partners in order to produce the results. Each activity is directly related to one of the results. The activities take time to perform and consume financial and material inputs.

Is the external factor important to reach the Specific

Objective or Results of the proposed project?

YES NO

Is the external factor likely to happen without the proposed project? Do not include in the matrix

Certainly

Likely

Unlikely

Do not include in the matrix

Include as an assumption in the matrix

Can we do something in the project

to influence the external factor?

YES NO

Include in the project design:

Add the external factor as a result

and identify additional activities.

The external factor is a ‘killer’ assumption:

From a technical point of view, the project is not feasible, unless a solution is found externally to realise the assumption or to transform it into an acceptable

assumption.

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Example The following example shows a part of a Logical Framework corresponding to the previously example of an objective tree

with respect to a restaurant owner who wants to improve his business (we have deliberately chosen an example totally unrelated to the ACP Science and Technology Programme).

Example of parts of a Logical Framework:

Intervention logic OVIs MOVs Assumptions

Overall objective(s)

Satisfied customers in village X − Good publicity. − Survey of customers.

Specific objective

Good quality of served food

− Opinion of customers. − Opinion of nutrition

professionals.

− Survey of customers. − Annual report of the

restaurant. − Press articles. − Rating in restaurant

guides.

− Active reporters.

Expected results

1. … … 2.2.1 Improved co-operation between the chef and the regional suppliers of vegetables and fruits 2.2.2 … …..

− Level of co-operation reflected in good and frequent contacts between restaurant and suppliers.

− Number of invitations (from the suppliers) to all kind of events.

− Frequent reduction on products.

− …

− Survey of suppliers. − Document review at

the Chamber of Commerce.

− Business correspondence between the restaurant and the suppliers.

− …

− Postal and telecommunication services are properly functioning.

− Good harvest years.

− …

Activities

… 2.2.1.1 Organisation of consultation meetings. 2.2.1.2 Inviting suppliers for a free meal. …

− No. of meetings held. − No. of free meals

served. − …

− Minutes of the meetings.

− Bookkeeping records. − …

− Interest of suppliers to participate.

Vertical and Horizontal Logic within the Logical Framework Matrix The matrix functions on two dimensions, vertical and horizontal. The vertical logic connects the levels of the matrix – activities, results, specific objective, and overall objective(s). This means that:

•••• Meeting the pre-conditions should lead to the start of the project.

•••• Completion of the activities should lead to the delivery of the results.

•••• Delivery of the results should lead to the achievement of the specific project objective.

•••• Achievement of the specific project objective should contribute to the overall objective(s).

If your project has good causality, the vertical logic should be correct and demonstrable. Testing the vertical logic will help you to correct logical inconsistencies when formulating your project proposal. The illustration below presents the vertical and horizontal logic within the matrix:

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Intervention Logic Assumptions Overall objective(s)

THEN IF Specific objective

are valid is achieved AND

assumptions for achieving the overall objective(s)

THEN IF Results

are valid are achieved AND

assumptions for achieving the specific objective

THEN IF Activities

are valid are carried out AND

assumptions for achieving the results

THEN

are valid

IF pre-conditions for starting up the project

Important Assumptions In other words, the conditional logic of the project design begins with the initial assumptions about the necessary pre-conditions for project start-up, for example, available funding, available staff, institutional support, etc. IF these initial assumptions hold true, THEN the foreseen project activities can be implemented. IF the activities are achieved, AND provided that the assumptions about the external factors affecting the ‘activities-results’ relationships hold true, THEN the expected results should be achievable. IF the results are achieved, AND provided that the assumptions about the external factors affecting the ‘results-specific objective’ relationships hold true, THEN the specific objective should be achievable. IF the

specific objective is achieved, AND provided that the assumptions about the external factors affecting the ‘specific objective-overall objective(s)’ relationships hold true, THEN the overall objective(s) should be achievable. The horizontal logic of the matrix considers how to determine the status of the activities, of the results, achieving the specific project objective and contributing to the overall objective(s) by listing the indicators and means of verification and the assumptions for the implementation of the project (as such providing a framework for monitoring and evaluation of the project), for example:

Intervention Logic OVIs MOVs Assumptions

IF this is one of the expected results

THEN this will measure whether it has been achieved

AND this is where to find the information that will tell us whether it has been achieved

AND if these assumptions are valid, the result will lead to achieving the specific project objective

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Some basic rules you should keep in mind when completing the Logical Framework Matrix:

•••• Start first with specifying the pre-conditions in the ‘Assumption’ column.

•••• Continue with the ‘Intervention logic’ column (from the top to the bottom).

•••• Write clear and concise statements in the ‘Intervention logic’ column.

•••• Number the ‘Expected Results’ (1, 1.1, 1.2, … 2, 2.1, …, etc.)

•••• Number the ‘Activities’ (1, 1.1, 1.2, … 2, 2.1, …, etc.) and ensure that the numbers correspond to those of the ‘Expected Results’, resulting in the activities being grouped per result.

•••• Continue with the ‘Assumptions’ column (from the bottom to the top).

•••• Leave the ‘Assumptions’ cell for the ‘Overall objective’ blank. •••• Now complete the columns ‘Objectively Verifiable Indicators of achievement’ and

‘Sources and means of verification’ (working across). 7. Resource planning

Once the Logical Framework Matrix is complete, a detailed plan of the resources which are needed to implement the project activities can now be made. These resources can consist of specialised expertise (local and/or foreign expertise; available within the partnership or through subcontractors), equipment, tools, supplies, premises, finances and time. The details of the activities, such as the division into activity components, periods of implementation and responsibilities will be presented in the work plan of the project (Part B, Section I.1.9 of the ‘Grant Application Form’). Financing for the project can be provided in different forms, for example grants, funds, credits or contributions in kind. It is important to make a detailed overview of the project costs; who will be entitled to receive funding, how much and when; and where should the total project finances come from. Take into consideration that the ACP Science and Technology Programme applies certain criteria as to the minimum and maximum sizes of grants (€ 350,000 – 3,000,000) to be awarded, as well as to the maximum percentage (85%) of the total

eligible costs (Section 1.3 of the ‘Guidelines for Grant Applicants’). Because an unspecified division of responsibilities and cost allocation may create problems during the implementation of the project, the budget, particularly in respect of cost-sharing, should preferably be decided before the start of the project and be clearly stated in the proposal and in the contract. Although not to be mentioned in the Budget breakdown (Part B, Section I.2 of the ‘Grant Application Form’), time is an important resource too. If, for instance, equipment is needed, this might have to be adapted to local conditions and training in the use of the equipment should be integrated as an activity in the project plan. If the project is awarded a grant, it will receive portions of the grant at different intervals. This is stipulated in the Grant Contract and important for the way at what time during the implementation of the project you can allocate the funds to the various project actors. Finally, the resource planning should lead to a breakdown of the project budget where the means and costs are linked to the project activities and detailed per time period.

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6.4 PART A - CONCEPT NOTE

The Concept Note – a brief summary of the proposed Action – is one of the most important parts of your application. As the first step of the evaluation process after the administrative check (see Chapter 7.3 of this Manual), the Concept Note will be evaluated and if it does not receive the required minimum score, the rest of your application will not even be considered for further evaluation. It is, therefore, important that you should give a great deal of attention to the formulation of the Concept Note. We recommend that you only draft your Concept Note after having put together the whole proposal. You will then have the hindsight needed to present a Concept Note that sums up the key points of your proposal very well. The main aim of the Concept Note is to get acquaintance with the project concept (the general framework of your project), before the Full Application Form and relevant documents are needed in case of a successful assessment in the Concept Note evaluation step. Though limited to 4 pages, it must give a clear and comprehensive overview of all essential aspects of your proposal in relation to the evaluation criteria applied to it. Do not refer to explanations given in further parts of the proposal – the evaluators will not see these when they are looking at the Concept Note. Also, do not make references to literature or other documents; only what is actually written in the Concept Note will be taken into consideration. The Concept Note should thus be written as a ‘stand-alone’ document. For the presentation of your Concept Note, you must strictly follow the structure shown

and read careful the explanations given on p. 4 of the ‘Grant Application Form’: 1. Title of the Action

2. Relevance of the Action

3. Description of the Action and its effectiveness

4. Sustainability of the Action

Make sure that everything that can be said in relation to a certain section is said at this point and not in another section. The evaluators will find it difficult to attribute a correct score if the information on a certain issue is spread all over the Concept Note. It is up to you to decide how much space you want to devote to each section. If you think you can describe the relevance of the Action (section 1) on half a page, but you need 2 pages to sufficiently describe the Action (section 2), this is perfectly acceptable. It is the total of the Concept Note that must not exceed 4 pages. Please explain any acronyms you use if they are essential for understanding the text. Please carefully read the instructions given in the various parts of the Concept Note and delete these before completing them. Finally, if the author(s) of the Concept Note is/are not fully proficient in the language in which it is written (English or French), you should have it checked by a competent person – preferably a native speaker. It would be unfortunate if your Concept Note does not receive the score it merits because it cannot be properly understood for reasons of poor linguistic quality.

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6.5 PART B - FULL APPLICATION FORM

Section I: THE ACTION If you have followed our advice and gone through the Logical Framework Analysis (Chapter 6.3 of this Manual) before you come to this point, you will already have in hand most of the elements you need to complete this section of the ‘Full Application Form’. It will now be a matter of elaborating them in detail. Please carefully read the instructions given in the various parts of the ‘Full Application Form and delete these before completing them.’ 1. Description

Sections I.1.1 – I.1.3 repeat the information you have already given on the cover sheet of the ‘Grant Application Form’. 1.1 Title

Give here the exact title of your Action, including the acronym, if there is one. 1.2 Location(s)

Indicate here the location(s) where the proposed Action will take place, at the level of region, country and, if applicable, town (for example: Western Africa – Burkina-Faso – Ouagadougou; Pacific – Fiji, Samoa, Tonga; Europe – Italy – Rome, …). 1.3 Cost of the Action and amount requested from the ACP Secretariat

Total eligible cost of the Action The amount you enter here (in EUR) must be the same that appears in the bottom line of Annex B.I - Budget for the Action (budget line 11.’Total eligible costs (9+10)’ in the column ‘All Years’).

Amount requested The amount you enter here (in EUR) must be the same that appears in Annex B.2 – Expected sources of funding in the line ‘EDF or EC general budget contribution sought in this application’. It must be an amount between € 350,000 and € 1,000,000 or up to € 3,000,000 for exceptional cases. % of total eligible cost of Action This percentage (%) must be ≤ 85%. If it exceeds 85%, even by decimals, you must either increase the figure for ‘total eligible cost’ – thus increasing the percentage contributed by other sources than the EDF or EC general budget – or reduce the figure for ‘amount requested’. Please calculate the percentage precisely up to two decimals (for example: 75.48%). Do not round up or down. 1.4 Summary (maximum 1 page)

Total duration of the Action: Indicate the number of months you foresee for implementing the Action, including the possible months where no activities are planned (holidays, …). It must be a minimum of 12 and a maximum of 36 months. Objectives of the Action: The overall objective(s) and the specific objective(s) you list here – in a few lines – must be the same you will describe in detail in Section I.1.5 of the ‘Grant Application Form’. Partners: Indicate here the name, country and location of all the partners who will be collaborating in the Action, but not of the Applicant or the associates (if any). They must be the same for which you will be requested to provide partner descriptions and signed partnership statements in Section III of the ‘Grant Application Form’. Please ensure that the number and nationality of partners respect the rules

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explained in the Sections 2.1.1 and 2.1.2 of the ‘Guidelines for Grant Applicants’. Target group(s): ‘Target groups’ are defined as “ …. the groups/entities who will be directly positively affected by the project at the Project Purpose level”. They are the direct beneficiaries of the Action you propose. Examples of ‘target groups’ could be: administrative staff of the participating institutions, research managers in the health sector, policy development staff of governmental institutions, etc. Try to define this group (or these groups) as precisely as possible. Final beneficiaries: ‘Final beneficiaries’ are defined as “ …. those who will benefit from the project in the long term at the level of the society or sector at large”. In this respect, they are the indirect beneficiaries of the Action you propose. Examples of ‘final beneficiaries’ could be: research community in the transport sector, university students, public administrations involved in environmental management, etc. Try to define these beneficiaries as precisely as possible. Estimated results These are the results that will be achieved through the Action if all the planned activities are carried out. You can verify these results and they do not depend on other peoples’ or projects’’ activities over which you have no or only limited control. Main activities: In Section I.1.7 of the ‘Grant Application Form’, you will have a maximum of 14 pages for a detailed description of the activities you plan to carry out in the proposed Action. At this point, just give a short summary of the major ones. 1.5 Objectives (maximum 1 page)

Overall objective Explain the overall objective(s) to which the Action will contribute. In fact, according to the ‘Grant Application Form’, there should be just one such objective!

Also describe what other developments outside the project must take place so that the overall objective will be achieved. An example of an overall objective could be “Quality improvement of research activities in renewable sources of energy in the Pacific Region”. Specific objective(s) There must be at least one, but there can be several specific objectives, which can and will be achieved if the project is implemented as planned. So, contrary to the overall objective, you can control the specific objective(s). They should address the core problem identified in the Logical Framework Analysis (LFA) and be defined in terms of sustainable benefit for the target groups. An example for a specific objective, related to the above example of an overall objective could be “Strengthened capacity of the partner institutions in drafting research proposals on renewable sources of energy”. 1.6 Relevance of the Action (maximum 3 pages) This is a very important part of your application. In the evaluation, you must reach a total score of at least 20 points (out of 25) for the heading ‘Relevance’. If this is not the case, your proposal will be rejected no matter how good the rest of your project may be (see Section 2.3 of the ‘Guidelines for Grant Applicants’). Please respond to each item asked for in this section in accordance with the points developed in your Logical Framework mentioned in Section I.1.11 (which we once again advise you to prepare before completing the ‘Grant Application Form’). You should elaborate on the results of the Logical Framework Analysis and clearly describe the problems and their interrelationships, the target group(s) and final beneficiaries (including their particular needs and constraints), and the specific problems to be addressed by the proposed Action. Describe precisely and clearly the relevance of the project with respect to the

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objectives and priorities of the ACP Science and Technology Programme, as well as to the perceived needs and constraints which appear in the sector or geographical area where your Action will take place. It should also explain how you arrived at the identification of the target group(s) and final beneficiaries. It is important to know who or which category of the population is being targeted, because this will determine the approach, the content and the methodology of the proposed Action. Therefore, the beneficiaries “everybody” or “the general public” is not adequate: you must be more precise. Make also clear how the proposed Action will achieve the desired solutions. If there are synergies with other initiatives, such as of the EC or the ACP Group of States, please mention these and explain clearly how the proposed Action adds value or complements these and that it does not concern a duplication of activities that are or have already been supported. You should call on your partners in the other countries to propose an analysis of local situations that can be integrated in this text. This analysis of the current (pre-project) situation should expose the context in which your proposed Action would take place. Consequently, the necessity of the Action and its justification, the description of its effectiveness and the methodology applied should be a logical conclusion. As far as possible, you should propose numeric indicators, for instance: What is the size of the group of final beneficiaries? After how many years will the estimated impact be apparent? etc. 1.7 Description of the Action and its effectiveness (maximum 14 pages) Overall Objective and the Purpose of the Action (maximum 1 page) This complements what you have said under Section I.1.5, but gives you the opportunity to elaborate further on it. The

term ‘Purpose of the Action’ is a synonym of ‘Specific Objective(s)’. Outputs and expected results (maximum 4 pages) Give a description of the concrete results (products and services) that are expected from the Action. Be specific and quantify as much as possible. Keep in mind that these achievements must be consistent with the objectively verifiable indicators (OVI) and sources and means of verification (MOV) defined in the Logical Framework (Section I.1.11). Present and describe outputs and expected results in a logical chronological order as they accrue over the time duration of the project. Some outputs may be produced in the early stages of the project and be a pre-condition for producing subsequent ones. This should be clearly shown so that the internal logic of your project becomes apparent to the evaluators. In this section you must also show that the project is likely to have multiplier effects, which includes the scope for replication and extension of the outcome of the Action, as well as the dissemination of information. The proposed activities and their effectiveness (maximum 9 pages) Use a step-by-step approach for all tasks: activity 1, activity 2, etc. and include the title for each activity. Please ensure that the activities are presented and described in their logical sequence. Explain in detail who will carry out the activities (the Applicant, which partner, which associate), where and when they will be carried out, and what the necessary inputs are (persons involved, materials). Link the activities to the outputs you have described above, because each activity is directly related to, one of the outputs (as mentioned in the Logical Framework Matrix). Show and demonstrate clearly the cross-cutting issues between components of each activity which adds value to the project

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and distinguish, where appropriate, between critical and supportive activities. It is important that this section corresponds to the indicative action plan (see Section 1.9 below) and allows a cross-check with the budget (Section I.2). It is also important that this section clearly indicates the sequence of all the different activities and the links between them. This should be done in a project management description which is appropriate to the type of Action you are proposing, identifying the critical path for implementing the Action (start-to-finish, finish-to-finish, start-to-start, finish-to-start, etc.). 1.8 Methodology (maximum 4 pages) The ‘methodology’ is the method (or the ‘how’) of project implementation and management. It must be appropriate and practical, and you should be able to demonstrate that it is capable of producing the objectives and expected results. Please respond to each item asked for in this section, in particular:

The methodology must be orderly, logical and consistently designed, as well as clearly described and feasible. Please ensure that it also reflects the analysis of the problems identified in Section I.1.6 of the ‘Grant Application Form’.

Describe precisely the method of

project implementation (areas, phases, …) and explain why you have chosen for such a methodology.

If the project builds on previous

activities, show how it will be ensured that they are integrated into the project design.

If the project is part of a larger

programme, show how it fits into and is coordinated with this programme. Describe potential

synergies that may be gained from this approach.

If the project might have synergies

with or experience constraints due to other current or planned projects, or with projects in the vicinity of the location of the proposed Action, describe these and explain how these will be dealt with.

Describe the team proposed for

the implementation of the project in terms of number, role and status of persons (no names are necessary). Please note that the project coordinator must be a member of staff of the applicant organisation and that there should be work packages and task managers at the partners’ level.

Describe the number and role of

other stakeholders (for example, target groups, local authorities, etc.), why these roles have been assigned to them, and how they interrelate with the project partners.

Describe the management

structure put into place for the proposed Action: how the activities of the different partners and other stakeholders will be coordinated, what the function and responsibility of each partner is, which types of information will be transferred between them, how a full use of synergies can be ensured, how an adequate information flow and communication is guaranteed, how the decision-making processes will be organised, how possible risks will be controlled, other procedures, etc.

The partners' level of involvement

and participation in the Action must be balanced. It is important that the role of each member of the partnership is clearly defined, including the way how they collaborate amongst each other.

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If applicable, describe how the relationship between the Applicant and the partners and between the partners is working.

Provide information on the different

means necessary for implementing the various project activities (equipment, tools, etc.) and how they will be used.

Describe how all stakeholders

think about the Action and its various activities and how they see their involvement herein.

Elaborate on procedures for

monitoring and evaluation. This means in particular monitoring of actual versus planned activities (use the OVIs in the Logical Framework), reporting (internal and to the ACP Secretariat) and arrangements for internal and/or external evaluation of project achievements.

1.9 Duration and indicative action plan for implementing the Action

•••• Complete the form in accordance with the template provided.

•••• Do not mention actual dates: use ‘month 1’ as the starting month, then ‘month 2’, etc.

•••• For the first year, please ensure that all activities mentioned in the description of Section I.1.7 appear here.

•••• For the following year(s), you need only to list the most important activities (at semester level).

•••• Ensure that the numbers and titles of activities correspond to those in Section I.1.7.

•••• As a precaution, foresee a certain amount of slack in the timetable.

•••• Provide the name(s) of the organisation(s) responsible for the implementation of each activity.

1.10 Sustainability (maximum 3 pages) In this section you must show that all probable risks can be managed in order to ensure a smooth implementation of the Action and the achievement of the specific objective and results. You must, therefore, provide an analysis of the possible risks in which you identify the likelihood or chance of problematic events or other difficulties, and the likely consequences. Include also the main pre-conditions and the assumptions prior, during and after the implementation of the project (as mentioned in the Logical Framework in Section I.1.11). You must describe here the context of your project in the sense that you must identify what are the conditions that will allow your project to be started and implemented, as well as the constraints that you must deal with. On the basis of this analysis, you must develop a ‘contingency’ (or ‘back-up’ or ‘emergency’) plan with alternatives that allows you to redress any problems encountered and to pursue the implementation of the Action. In this section you must also show that the Action is likely to have a tangible impact on its target group(s) and final beneficiaries and that the expected results are sustainable, in other words, that they will be continued after the project comes to an end . Some interesting questions you should ask with respect to impact and follow-up are:

•••• What impact shall the project have on the identified problem(s)?

•••• Shall the project have a multiplier effect?

•••• What will you do when the donor’s money ends?

•••• How will you ensure the follow-up? Please distinguish between the financial sustainability (how will the activities be financed after the grant ends?), the institutional sustainability (will institutional structures allowing the activities to continue be in place at the end of the

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project?; will there be local ‘ownership’ of project outcomes?), and the sustainability on policy level (what will be the structural impact of the project?; will it lead to improved science and technology capacities, research proposals, science and technology policies, research management, etc?). Please also provide details on whether any multiplier effects are foreseen, whereby the implementation and/or the results of the Action promotes the implementation of similar initiatives. 1.11 Logical Framework At this point of completing the ‘Grant Application Form’ appears Annex C of the ‘Guidelines for Grant Applicants’ – the Logical Framework (Microsoft Excel format). We have, however, already explained before to start with completing the Logical Framework before you start writing the texts of Sections I.1.4 – I.1.10 of the ‘Grant Application Form’. If you preferred not to follow our advice, you can now consult Chapter 6.3 ‘The Logical Framework’. The preparation of the Logical Framework Matrix will allow you to structure the proposed Action coherently. Furthermore, the matrix aims to facilitate the implementation of the Action. The matrix should provide a narrative summary of the project design in a coherent structure and should generally be 1 - 4 pages in length. Use the matrix structure with the columns and rows and complete it with the by you desired information. Please carefully read the instructions given in the cells of the matrix and delete these before completing them. 2 Budget for the Action

This is Annex B to the ‘Guidelines for Grant Applicants’ and consists of 2 worksheets (Microsoft Excel format) plus the budget justification.

Before completing these worksheets, please reflect on the following issues:

•••• Use the format proposed. •••• Be detailed and realistic. •••• Make calculations understandable. •••• Respect maximum and minimum

amounts allowed. •••• Make a clear link between actions

and costs. •••• Do not ask too much or too little.

Worksheet 1 of Annex B (‘ Annex B.1 - Budget for the Action’ ) The budget for the Action has to be presented in Euros (EUR) with a thousands separator “,” and a decimal separator “.” (for example, 182.31 or 2,130.00). All figures you insert in the columns ‘number of units’, ‘unit rate’ and ‘costs’ must be presented with two decimals. Please respect the template provided (Microsoft Excel Format). Data on the expenses categories have to be provided for the full duration of the Action (‘All Years’) in the left-hand part of the template and, if applicable, for the first year of the Action (‘Year 1’) in the right-hand part of the template. The budget must show the total eligible costs of the project, that is to say the sum of the requested EDF or EC general budget contribution plus the own contribution. This is the figure that appears in the bottom line (budget line 11 ‘Total eligible costs (9+10)’ in the column ‘All Years’) and must be the same as the figure you have entered on the cover page and again on p. 6 (Part B, Section I, paragraph 1.3) of the ‘Grant Application Form’. You do not have to show, which items will be financed from the EDF or EC general budget contribution and which from your own contribution. Data on own and external contributions should be provided in Worksheet 2 of Annex B (see below).

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The budget headings are separated in ‘direct eligible costs’ (budget lines 1-9) and ‘indirect eligible costs’ (budget line 10), which together add up to the total eligible project costs (budget line 11). Direct eligible costs are costs which can be charged directly to the project, whereas indirect eligible costs are the administrative costs or overheads which are not directly attributable to the project, but are incurred in relation to the direct costs of the project. The ACP Science and Technology Programme allows a maximum administrative costs of 7% of the total eligible direct costs of the Action. Please respect the main headings provided and add lines under each of them as necessary. The budget does not have to be split equally between the partners (though there should be a balanced involvement of all partners). It is up to the Applicant and its partners to divide the budget according to actual costs and in the most appropriate way. A short explanation on the terminology used in the budget table:

− Unit A unit is a standard measure of a quantity, e.g., day, month, flight, meeting, item, etc.

− # of units The number of units refers to the total of days, months, meetings, flights, etc. required to implement the Action.

− Unit rate (in EUR) This figure describes how many euros correspond to one unit of the mentioned expenses item (cost per item).

Below, we elaborate on some of the headings in the expenses categories. • 1. Human Resources

Subdivide the heading ‘salaries’ according to staff profiles (see example below). Normally, there is no differentiation between ‘local’ and ‘expat/international staff’. Specify the percentage of time in the staff profiles. The unit rate for salaries should be realistic local market rates and you may be requested by the ACP Secretariat during the proposal evaluation process to substantiate the rates you apply with supporting documents (see Chapter 7.3 of this Manual).

Example:

1. Human Resources Unit # of units

Unit rate (in EUR)

Costs (in EUR)

1.1 Salaries (gross amounts, local staff) 1.1.1 Technical 1.1.1.1 One half-time Research Associate, Applicant – 50% of time

Per month 18.00 4,000.00 72,000.00

1.1.1.2 One half-time Project Coordinator Per month 18.00 3,750.00 67,500.00 1.1.1.3 Project Leader Per day 80.00 319.05 25,524.00 1.1.2 Administrative/support Staff 1.1.2.1 Secretary 10% of her capacity Per month 3.60 2,000.00 7,200.00 1.1.2.2 Head of Financial Management for Research 5% of capacity

Per month 1.80 3,300.00 5,940.00

− Salaries

Local staff = staff placed in the project location that is hired on the local market. Expat/International staff = An expatriate (in abbreviated form ‘expat’) or international staff member is a project

staff member temporarily residing in the country and culture where the project is located other than that of the person's upbringing or legal residence or of the headquarters of the organisation he is working for.

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Technical staff = project coordinators, managers, researchers, etc. Administrative staff = support staff (secretaries, accountants, drivers, etc.). No names of staff members are required in the budget table, just their positions in the project. The salaries refer to the actual salaries paid by the Beneficiary and its partners to their staff members assigned for the project, including the social security contributions. − Per month

Standard month = 22 working days. − # of units

if staff is not working full time for the Action, the percentage of involvement should be indicated in the first column under the heading ‘Human Resources’ and reflected in the number of units’ column.

− Unit rate (in EUR)

Unit rates cannot be higher than gross salaries (employees) or qualifications and experience (independents). In case of part-time work, please adapt the number of units and not the unit rate.

− 1.3 Per diems for missions/travel

Include per diem rates by country of destination. A per diem is an established daily allowance rate in case of missions which require an overnight stay away from the base of operations. It covers accommodation, meals, local travel within the place of mission and sundry expenses. Current per diem rates are available on the Internet address: http://ec.europa.eu/europeaid/work/procedures/implementation/per_diems/index_en.htm. For long periods, monthly allowances may be considered.

• 2. Travel

Indicate the place of departure and arrival for the international and local travels.

− 2.3 Participation in stakeholders’ meetings

You must enter a lump sum of € 5,000 to cover the costs of participation in an ACP Science and Technology stakeholders’ meeting. The stakeholders’ meeting will be organised for representatives of the selected partnerships to explain the financial and administrative rules and procedures for project implementation. In case your project is selected for funding, but you have not made provision for it in the budget, you must have to pay for your participation in the meeting from your own resources.

• 4. Local office

Costs for a local office can be introduced in case a local office is established in one of the partner countries specifically for the implementation of the project (or if special costs arise). Otherwise, such costs are covered by budget line 10 ‘Administrative costs’. • 5. Other costs, services

Under this heading, a variety of eligible costs and subcontracted services can be identified as directly attributable to the project.

− 5.3 Auditing costs

If your project is selected, an audit carried out by a recognised external audit firm is compulsory at the end of the implementation period, in order to receive the final payment. This is also the case of interim payments to projects that are granted € 750,000 or more. Further details on the audit are provided in Article 15.6 of the General Conditions to the standard Grant Contract (see Annex F of the ‘Guidelines for Grant Applicants’), which can be consulted at the following Internet address: http://ec.europa.eu/europeaid/work/procedures/documents/execution/grants/e3h_2gencond_en.pdf. You must select an audit firm of your choice and make a provision for the

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estimated costs in the budget. However, this must be an independent and approved firm who is member of an internationally recognised supervisory body for statutory auditing. If you do not make that provision, you must have to finance the cost of the audit from your own resources. The external auditing institution will audit all expenditures related to the awarded grant. The auditing report must certify that the awarded grant money was always and completely spent according to the submitted proposal and in line with the regulations of the ACP Secretariat and the EC. Any failure either in providing such a report or evidence of misconduct will entitle the ACP Secretariat to refuse further payment and to demand reimbursement of awarded funds. − 5.8 Visibility actions

If your project is selected, it will be partially funded by the EC. You will then be expected to comply with certain requirements as to the incorporation of information and communication activities that: (a) raise awareness of the reasons for the Action, (b) visibly acknowledge the EU support and (c) promote the results and the impact of this support. They cover the written and visual identity of the EU and ACP Secretariat and are to be used in briefings, newsletters, press conferences, presentations, invitations, signs etc. For all such actions, you must make a provision for the estimated costs in the budget. Further details on the visibility requirements are provided in Article 6 of the General Conditions to the standard Grant Contract (see Annex F of the ‘Guidelines for Grant Applicants’), which can be consulted at the following Internet address: http://ec.europa.eu/europeaid/work/procedures/documents/execution/grants/e3h_2gencond_en.pdf.

Guidance on how to make the project visible and examples on types of visibility actions can be consulted at: http://ec.europa.eu/europeaid/work/visibility/index_en.htm.

• 11. Total eligible costs

The amount you indicate here is the total cost of the Action, as indicated on the cover sheet and on p. 6 (Part B, Section I, paragraph 1.3) of the ‘Grant Application Form’. • Footnotes

Despite the clarifications given here, please read carefully the information in the footnotes. Table: Budget justification

All budget items must be further explained in the Budget Justification table in Part B, Section I, paragraph 1.3 of the ‘Grant Application Form’ in a clear and transparent way. This is an explanation of the factors used to determine the costs of each budget category or budget line item. This should also include the financial details concerning the subcontracted activities (the subcontractor’s rates, number of days/months, outputs, etc.) Please justify each budget item with respect to:

− the necessity for the item (for example: flight, computer, etc.);

− the number of units proposed; and − the choice of the unit rate applied.

The justification should make reference to the activities foreseen in your proposal. The unit rates for staff involved in the Action must be actual local market rates and must also be explained in the budget justification. Please note that the ACP Secretariat as Contracting Authority is entitled to ask for salary slips to verify the accuracy of the rates presented in the budget.

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Example: Budget line 1.3.1.1 – 25 days per diem: 4 missions of 5 days each to Angola by coordinator to participate in 2 Advisory Group Meetings and 2 Training of the Trainers sessions (see activities 2.1 and 4 for details). The EC per diem rates are applied. 3 Expected sources of

funding

Worksheet 2 of Annex B (‘ Annex B.2 - Expected sources of funding’ ) In this worksheet you must provide information on contributions from your own organisation, contributions you request under this Call for Proposals from the EDF or EC general budget, and contributions from other sources. Together, they sum up the total costs of the proposed Action. • EDF or EC general budget

contribution sought In this application

The ‘EDF or EC general budget contribution sought in this application’ cannot be more than 85% of the total project cost shown in the bottom line (‘Overall total’). • Own contribution

The own contribution or co-financing part must be a minimum of 15% of the total project cost shown in the bottom line (‘Overall total’). It is the sum of:

� ‘Applicant’s financial contribution’, which also includes contributions of the partners. Associates (if any) may also make a financial contribution to the project.

� ‘Contribution(s) from other European Institutions or EU Member States’.

� ‘Contributions from other organisations’ must be listed individually.

• Direct revenue from the Action

If applicable, the income generated by the project (for instance, admission fee to a conference carried out by the consortium, sale of the proceedings of the conference, etc.) has to be mentioned under the item ‘Direct revenue from the Action’. • Overall total

The overall total corresponds to the total eligible costs for the Action as described above. It must be the same as the figure you have entered on the cover sheet and on p. 6 (Part B, Section I, paragraph 1.3) of the ‘Grant Application Form’. When you compile your application documents, please pay attention to the printing of both worksheets of the budget. Worksheet 2 will not print out automatically when you print worksheet 1. Table: Contribution in kind

If applicable, please mention the resources that will be made available by third parties to the Applicant or the partners or by the members of the partnership themselves by means of contributions in kind which are free of charge and have been contributed specifically to be used on the project. Such contributions are non-cash inputs which can be given a cash value (for instance: an institution provides the use of an office, a seminar room or a vehicle for free; a government agency donates some paper to print books; a consultant donates his time to your project; etc.). Section 2.1.4 of the ‘Guidelines for Grant Applicants’ refers to these contributions as non-representative for actual expenditures which makes them non-eligible costs. Therefore, they can not be treated as co-financing costs nor mentioned in Worksheet 2. You can use the space provided in the box in Part B, Section I, paragraph 1.3 of the ‘Grant Application Form’. Please specify the contributions and their (estimated) value as precisely as possible.

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4. Linkages to other programmes and policy initiatives

If applicable, you should provide here information on the linkages which the proposed Action has with other programmes or policy initiatives, either ongoing or expected ones. These programmes can be from the EC, from EU Member States, the ACP Group of States, ACP Member States, international organisations, etc. You should include here and elaborate on the probable synergies with other initiatives you already provided in Part B, Section I, paragraph 1.8 of the ‘Grant Application Form’. 5 Experience of similar

Actions

The intention of this section is to establish your management experience by providing references of similar Actions in which you and all partners of the partnership in the proposed Action have participated either as the Applicant or as a partner. Please use the provided template, one for each Action not exceeding 1 page. You can give as many references as you like, but we suggest you limit yourself to projects that are ongoing or have been completed within the last 3 years. Reference no: Provide a reference number of the Action, if any. Project title: Mention the title of the Action in which your organisation or that of the partner were involved. Sector: Mention the sector in which the Action was focussed on. You can use the sector list provided in Part B, Section II, paragraph 2.2 of the ‘Grant Application Form’. If the sector type is not mentioned here, please use the names provided by

the OECD at the following Internet address: http://www.oecd.org/document/21/0,3343,en_2649_34469_1914325_1_1_1_1,00.html Name of organisation: Give the name of your organisation or that of the partner who were involved in the Action. Location of the Action: State all the locations where the Action has taken place (countries/regions) and underline the location of the part for which you or the partner were directly responsible. Cost of the Action: Give the total cost and in brackets the cost of the part for which you or the partner were directly responsible. Lead manager of partner: State the role of your organisation or that of the partner. Donors to the Action: State the name of all the donors that financially supported the Action. If one of the donors is the EU Commission or an EU Member State, please specify the EC budget line, EDF or EU Member State. Amount contributed: State the amount (in EUR) of financial support received per donor. If the original data is not expressed in Euro, please use the official InforEuro exchange rate according to the month stated at the following Internet address: http://ec.europa.eu/budget/inforeuro/index.cfm?Language=en. Dates: If the Action is still ongoing, state the starting date (Day/Month/Year) – present Objects and results of the Action: Show briefly the overall objectives and results achieved and then in more detail your organisation’s or the partner’s role herein, in which you describe in particular your or the partner’s management and coordination activities.

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Section II: THE APPLICANT

EuropeAid ID number You have to provide this identification number only if your institution is registered in the European Commission’s on-line PADOR registration service, which is accessible through: http://ec.europa.eu/europeaid/onlineservices/pador. Please note that registration to the PADOR is not compulsory.

Name of the organisation

It is important that you indicate the full name of the institution. In cases where the Applicant is a Legal Entity within an institution, indicate the full name of the Entity followed by the full name of the institution, for example: Faculty of Applied Sciences, Kenyatta University.

Applicants that are registered in PADOR do not need to fill in the rest of this section. However, to ensure a smooth processing of all information throughout the evaluation procedure and, in case of being awarded a grant, the contract negotiation phase, Applicants are strongly encouraged to still provide the information requested below. 1. Identity

Legal Entity File number

You have to provide this number only if your institution has already signed a contract with the European Commission or the ACP Secretariat. If this is the case, check this contract to find the number.

Abbreviation If applicable, provide the abbreviation or the commonly used acronym of your institution.

Registration Number (or equivalent)

This is the number that your institution is registered under – with the competent authorities – for official purposes.

Date of Registration Indicate here the date on which your institution was first officially registered with the competent authorities.

Official address of Registration

This is the legal address under which your institution is registered for official purposes. It may be different from the postal address.

Country of Registration Please spell out the name of the country in full where your institution is registered for official purposes.

E-mail address of the Organisation Indicate here a valid general e-mail address for your

institution, if there is one, preferably a professional e-mail

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address. This address will be used to contact you if any information or clarification is needed concerning your application. This is also the e-mail address that will be used by the ACP Secretariat for sending correspondence concerning your proposal in the different phases of the evaluation process. It is, therefore, extremely important to give an operational address that works and to notify the PMU of the ACP Science and Technology Programme if there are any changes.

Telephone number: Country code + city code + number

Indicate here a general telephone number for your institution, if there is one. This number will be used to contact you if any information or clarification is needed concerning your application. Please ensure that this number is correct and notify the PMU of the ACP Science and Technology Programme if there are any changes.

Fax number: Country code + city code + number

Indicate here a general fax number for your institution, if there is one. This number will be used to contact you if any information or clarification is needed concerning your application. Please ensure that this number is correct and notify the PMU of the ACP Science and Technology Programme if there are any changes.

Website of the Organisation

If applicable, indicate the Website address of your institution for information purposes (starting with “www.”).

2. Profile This section is aimed at identifying the nature of your institution, the sector(s) in which it is active and the related target group(s). Please remember that the ‘Grant Application Form’ is also used for other types of programmes and projects under EC financing, so the following tables include options that may not appear appropriate to the ACP Science and Technology Programme, but may apply in other cases. Legal status Please indicate the legal status of your institution or, if the Applicant is an entity within an institution, of this entity. The legal status refers to your organisation as a properly constituted legal person, which means that the statutes of your

organisation must have been registered or filed with the competent authorities. Examples of a legal status are: public agency, private university, co-operative association, corporation limited company, limited-liability company, NGO, co-operative society, etc. Profit-Making Tick as appropriate. Please remember that grants provided to an Action may not have the purpose or effect of producing a profit for the Applicant or its partners as explained in Section 2.1.4 of the ‘Guidelines for Grant Applicants’ and Article 17.3 of the General Conditions to the standard Grant Contract (see Annex F of the ‘Guidelines for Grant Applicants’), which can be consulted at the following Internet address:

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http://ec.europa.eu/europeaid/work/procedures/documents/execution/grants/e3h_2gencond_en.pdf. NGO Tick as appropriate. Value based Tick as appropriate. Is your institution linked with another entity? In the case of a parent entity, you have to provide the EuropeAid identification number only if the parent entity is registered in the EC’s online PADOR registration service, which is accessible through: http://ec.europa.eu/europeaid/onlineservices/pador. Please note that registration to the PADOR is not compulsory. The case of a ‘controlled entity’ would be relevant if you apply as a legal entity within an institution. 2.1 Category The category refers to the type of your organisation, either in the public or private sector. Please note that only one choice may be made. 2.2 Sector(s) The sectors listed here refer to those your organisation has been active in. The list is not exhaustive, but reflects the sectors to which this Call for Proposals is focussed on (see Section 2.1.3 of the ‘Guidelines for Grant Applicants’). Here, you can tick as many boxes as judged relevant and appropriate. 2.3 Target Group(s) Again, you can tick as many boxes as judged relevant and appropriate. The ‘Target group(s)’ listed here should be understood as to include both immediate (direct) and final (indirect) beneficiaries of your organisation’s activities in the above sectors.

3. Capacity to manage and implement Actions

All participants must have an appropriate discipline-oriented expertise with respect to the activities listed in the proposed Action. In this section, the Applicant must show that it has the technical and management capacity, and stable and sufficient sources of finance to manage and implement projects. 3.1 Experience by Sector In this table you must complete as many rows in the first column (‘Sector’) as you have ticked boxes in the table of Section 2.2 above. If you need more rows in the table, please copy an empty row and insert this at the bottom of the table. For each row, you have to complete the information requested in the columns to the right. In the next column to the right (‘Year(s) of Experience’), tick the box that corresponds to the years of your institution’s experience in the sector shown in the first column. The next column to the right (‘Experience in the last 3 years’) you have to tick only if in the previous one you have given your experience as being 3 years or less. In the next column to the right (‘Number of Projects’), give an estimate of the number of projects your institution as a whole has carried out over the period you have described in the ‘Year(s) of Experience’ column. We can define a ‘Project’ as “A planned undertaking of related activities to reach an objective. It has a defined beginning and end and typically its own funding, accounting, and delivery schedule.” If, for example, your application under the ACP Science and Technology Programme should be selected and receive funding, this would be a project in the sense of this definition. Finally, in the last column (‘Estimated Amount’) try to put a value – expressed in ‘,000 €’ (thousand Euros) – to the total number of projects you have defined in the previous column.

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Then continue on the next row with the other sectors you have ticked in the table of Section 2.2 above. 3.2 Experience by Geographical Area In this table you have to translate the information given in the table of Section 3.1 above into geographical terms. If all your experience is in your own country, then you have to fill in only one row and the information you give in the columns ‘Year(s) of Experience’, ‘Number of Projects’ and ‘Estimated Amount’ must correspond to the information provided in Section 3.1. If your experience is in several countries or regions (for example: East Africa, Caribbean, Fiji), then you must fill one row for each geographical area and break down the information given in Section 3.1 regarding ‘Year(s) of Experience’, ‘Number of Projects’ and ‘Estimated Amount’ between these countries or regions. If you need more rows in the table, please copy an empty row and insert this at the bottom of the table. The next table ‘Cross-reference of experience by Sector and by Geographical area’ combines the information you have provided in the tables of Sections 2.2 and 3.2. If you need more rows in the table, please copy an empty row and insert this at the bottom of the table. 3.3 Resources This section is aimed at identifying the financial and human resources of your organisation. This information is needed to verify the financial and operational capacity required to implement the Action. • 3.3.1 Financial data

Here you are requested to provide certain financial information, which can be retrieved from your:

• Profit and loss account (the financial statement that shows the revenue, expenditure and the profit and/or loss of an organisation); and

• Balance sheet (the financial statement that shows the assets, liabilities and, if applicable, the owner’s equity of an organisation).

You should interpret the table accordingly and add explanatory footnotes as necessary. ‘N’ is the most recent year for which the information is available – this should be 2007; ‘N-1’ is 2006; etc. So, replace ‘N’, ‘N-1’ and ‘N-2’ by the corresponding years (also to be done in the tables hereafter). • 3.3.2 Financing Source(s)

Indicate the sources of funding for your organisation for the last 3 years, where year ‘N’ is the same as year ‘N’ in the table of Section 3.3.1 above. The column ‘Number of fee-paying members’ is mostly of use for NGOs and other associations who have members who pay fees. If you do have 'fee-paying members' in your organisation, then fill in this column in the row ‘Member’s fees’, otherwise ignore it. The last table in this section needs to be completed if the Applicant requests for a grant that is more than € 500,000. The name of an approved external auditor – recognized by public authorities – who has verified the financial data of the past three financial years of your organisation needs to be mentioned here, where year ‘N’ is the same as year ‘N’ in the tables above. The exact periods of the validity of the audit reports have to be mentioned in the last column as follows: Day/Month/Year. • 3.3.3 Number of Staff

EU applicants will find the first row most appropriate to indicate the number of staff of their institution. If some of their staff is (temporarily) seconded to institutions or projects in ACP countries, they may also make a corresponding entry in the second row. For ACP Applicants, the third row of the table is the most appropriate one. Please note that you are requested to express the number of staff of your institution in full-time equivalents (FTE),

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paid and/or unpaid. If, for example, you have 20 staff members working for 50% of their time, this would convert into 10 full-time equivalent staff members. 4. List of the Management

Board/Committee of your organisation

List here the members of the supreme decision-making body responsible for your institution (or, if you are applying as a legal entity within an institution, for that entity). You do not have to list members of secondary bodies. If you need more rows in the table, please copy an empty row and insert this at the bottom of the table.

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Section III: PARTNERS OF THE APPLICANT PARTICIPATIN G IN THE ACTION

1 Description of the partners The following table must be filled in and numbered for each partner individually (Partner 1, Partner 2 ….). If you need more

tables, please copy an empty table and insert this on a new page. The information should be provided by the partners to ensure it is complete and correct.

Partner 1

EuropeAid ID number :

You have to provide this identification number only if the institution is registered in the European Commission’s on-line PADOR registration service, which is accessible through http://ec.europa.eu/europeaid/onlineservices/pador. Please note that registration to the PADOR is not compulsory.

Full legal name

Indicate the full legal name of the institution. In cases where the partner is a Legal Entity within an institution, indicate the full name of the Entity followed by the full name of the institution, for example: Faculty of Applied Sciences, Kenyatta University.

Partners that are registered in PADOR do not need to fill in the following part of the table: However, to ensure a smooth processing of all information throughout the evaluation procedure and, in case of being awarded a grant, the contract negotiation phase, Applicants are strongly encouraged to still provide the information requested below.

Date of Registration Indicate here the date on which the institution was first officially registered with the competent authorities.

Legal status Legal status of the institution or, if applicable, of the entity within the institution that acts as a partner in the Action.

Official address of Registration

This is the legal address under which the institution is registered for official purposes. It may be different from the postal address.

Country of Registration Please spell out the name of the country in full where the institution is registered for official purposes.

Contact person Indicate the title (Ms./Mr.), surname, first name and function of the person within the institution who is responsible for the participation in the Action.

Telephone number : country code + city code +

Indicate here the telephone number of the contact person or a general telephone number for the institution, if there is one.

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number This number will be used to contact the contact person if any information or clarification is needed concerning the application. Please ensure that this number is correct and notify the PMU of the ACP Science and Technology Programme if there are any changes.

Fax number : country code + city code + number

Indicate here the fax number of the contact person or a general fax number for the institution, if there is one. This number will be used to contact the contact person if any information or clarification is needed concerning the application. Please ensure that this number is correct and notify the PMU of the ACP Science and Technology Programme if there are any changes.

E-mail address

Indicate here a valid e-mail address of the contact person or a general one for the institution, preferably a professional e-mail address. This is important as the e-mail address will be used in case of need for any additional information or clarifications regarding the partner’s participation in the application.

Website of the Organisation

If applicable, indicate the Website address of the institution for information purposes (starting with “www.”).

Number of employees Please give this number in full-time equivalent (FTE).

Other relevant resources If applicable, please describe any relevant human, financial or material resources the institution can mobilise for the implementation of the Action.

All partners must fill in the last part of the table:

Experience of similar Actions, in relation to the role in the implementation of the proposed Action

Give title, name of funding agency and amount of funding, period of implementation, role and involvement, and names of other institutions participating in such Actions.

History of cooperation with the Applicant

If applicable, briefly describe the previous cooperation with the Applicant, both formal and informal.

Role and involvement in preparing the proposed Action

Describe the institution’s role and participation in the process of preparing the application for the proposed Action.

Role and involvement in implementing the proposed Action

Describe the institution’s role and participation in the implementation of the proposed Action. The description given here must correspond to the one given in Part B, Section I (‘The Action’) of the ‘Grant Application Form’.

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2. Partnership Statement This statement must be filled in and signed by each of the partners. If you need more partnership statement pages, please copy an empty one and insert this on a new page. It is a very important document as it is the formal proof of the existence of the partnership. The signature on the partnership statement must be that of a person authorised to legally represent the institution.

The partnership statement must not be signed by the Applicant. The application must contain the statements of all partners, preferably bearing an original signature. Faxed copies will be accepted, but you may be asked to provide the original at a later time. Assembling the partnership statements should, therefore, be one of the very first activities to be undertaken once the partnership has been agreed, since experience shows that it may take considerable time to obtain them all.

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Section IV: ASSOCIATES OF THE APPLICANT PARTICIPATI NG IN THE ACTION

Associates play a real role in the Action, but may not receive funding from the grant with the exception of per diems or travel costs. Conversely, they may make a financial contribution to the project that will be included in the own contribution of the project. Associates do not have to meet the eligibility criteria set out in Section 2.1.2 of

the ‘Guidelines for Grant Applicants’. The following table must be filled in for each associate and numbered (Associate 1, Associate 2, ….). If you need more tables, please copy an empty table and insert this on a new page.

Associate 1

Full legal name

Indicate the full legal name of the institution. In cases where the associate is a Legal Entity within an institution, indicate the full name of the Entity followed by the full name of the institution, for example: Faculty of Applied Sciences, Kenyatta University.

EuropeAid ID number :

You have to provide this identification number only if the institution is registered in the European Commission’s online PADOR registration service, which is accessible through http://ec.europa.eu/europeaid/onlineservices/pador. Please note that registration to the PADOR is not compulsory.

Country of Registration Please spell out the name of the country in full where the institution is registered for official purposes.

Legal status Legal status of the institution or, if applicable, of the entity within the institution that acts as an associate in the Action.

Official address This is the legal address under which the institution is registered for official purposes. It may be different from the postal address.

Contact person Indicate the title (Ms./Mr.), surname, first name and function of the person within the institution who is responsible for the participation in the Action.

Telephone number : country code + city code + number

Indicate here the telephone number of the contact person or a general telephone number for the institution, if there is one. This number will be used to contact the contact person if any information or clarification is needed concerning the application. Please ensure that this number is correct and notify the PMU of the ACP Science and Technology Programme if there are any changes.

Fax number : country code + city code +

Indicate here the fax number of the contact person or a general fax number for the institution, if there is one.

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number This number will be used to contact the contact person if any information or clarification is needed concerning the application. Please ensure that this number is correct and notify the PMU of the ACP Science and Technology Programme if there are any changes.

E-mail address

Indicate a valid e-mail address of the contact person or a general one for the institution, preferably a professional e-mail address.

This is important as the e-mail address will be used in case of need for any additional information or clarifications regarding the associate’s participation in the application.

Number of employees Please give this number in full-time equivalent (FTE).

Other relevant resources If applicable, please describe any relevant human, financial or material resources the institution can mobilise for the implementation of the Action.

Experience of similar Actions, in relation to the role in the implementation of the proposed Action

Give title, name of funding agency and amount of funding, period of implementation, role and involvement, and names of other institutions participating in such Actions.

History of cooperation with the Applicant

If applicable, briefly describe the previous cooperation with the Applicant, both formal and informal.

Role and involvement in preparing the proposed Action

Describe the institution’s role and participation in the process of preparing the application for the proposed Action.

Role and involvement in implementing the proposed Action

Describe the institution’s role and participation in the implementation of the proposed Action. The description given here must correspond to the one given in Part B, Section I (‘The Action’) of the ‘Grant Application Form’.

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Section V: CHECKLIST Applicants are strongly encouraged to carefully go through the Checklist to crosscheck the documents required. Having completed Sections II (‘The Applicant’) and III (‘Partners of the Applicant’) of the ‘Grant Application Form’, you already have all the administrative information you need to fill in the first table of the Checklist.

Indicate on the top of the Checklist which lot your application refers to:

• either Lot 1 (funds from the 9th EDF) • or Lot 2 (funds from the EC budget

line 21.031700).

Make sure that all the partners appear in the table. You must make as many copies of the row ‘Partner’ as necessary to create entries for each partner and insert them all in this table.

Name of the Applicant

It is important that you indicate the full name of the institution. In cases where the Applicant is a Legal Entity within an institution, indicate the full name of the Entity followed by the full name of the institution, for example: Faculty of Applied Sciences, Kenyatta University.

EuropeAid ID number

You have to provide this identification number only if your institution is registered in the European Commission’s on-line PADOR registration service, which is accessible through: http://ec.europa.eu/europeaid/onlineservices/pador. Please note that registration to the PADOR is not compulsory.

Country and date of Registration

Please spell out the name of the country in full where your institution is registered for official purposes. Indicate here also the date on which your institution was first officially registered with the competent authorities.

Legal Entity File number

You have to provide this number only if your institution has already signed a contract with the European Commission or the ACP Secretariat.

If this is the case, check this contract to find the number.

Legal status Legal status of the institution or, if applicable, of the entity within the institution that acts as the Applicant in the Action.

Partner no. …

Please provide here the same type of information for the partner as done for the Applicant above:

Name/EuropeAid ID number:

Nationality/Country of registration:

Legal status:

The second table allows you to go through a final verification before sending your

application. If everything is in order, only the cells in the column ‘Yes’ will be ticked.

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Section VI: DECLARATION BY THE APPLICANT This declaration must be signed by the person authorised to do so on behalf of the Applicant (that is to say, the lead institution) and of the consortium (that is to say, all the partners). It must be included in the application as an original – no fax copies will be accepted. Please read the declaration carefully. In particular, take note of the 5th bullet point which refers you to a list of documents in the ‘Guidelines for Grant Applicants’ that you will be required to produce within 15 working days only in the case if your application advances to the final stage of the evaluation process. This is further explained in Chapter 7.3 of this Manual (‘The Evaluation Process’). In the 4th bullet point, reference is made to the ‘Practical Guide to Contract procedures

for EC external actions’ (available at the following Internet address: http://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/2008new_prag_final_en.pdf). This is a useful document to consult which explains the contracting procedures applying to all EC external aid contracts financed from the EDF and EC general budget. These are the financing sources of the ACP Science and Technology Programme. The line ‘list only Actions in the same field as this proposal’ you are requested to insert in the lower part of this page (if applicable) can largely be produced from the information you have been asked to provide in Part B, Section I.I.5 (‘Experience of similar Actions’) of the ‘Grant Application Form’.

Section VII: ASSESSMENT GRID This page – presented on the following page – is added for your information only; do not tick any of the boxes. It shows you the different steps of the evaluation process, which are further explained in the following chapter of this Manual.

This table will be completed by the PMU of the ACP Science and Technology Programme, as the evaluation of proposals proceeds and according to the decisions of the Evaluation Committee.

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Assessment grid: YES NO

STEP 1: OPENING SESSION AND ADMINISTRATIVE CHECK 1. The Deadline has been respected. 2. The Grant Application Form satisfied all the criteria mentioned in the Checklist

(Section V of Part B of the Grant Application Form).

The administrative verification has been conducted by: Date: DECISION 1: The Evaluation Committee has recommended the Concept Note for Evaluation after having passed the Administrative check.

STEP 2 : EVALUATION OF THE CONCEPT NOTE DECISION 2: The Evaluation Committee has approved the Concept Note and decided to proceed with the evaluation of the Full Application Form after having pre-selected the best Concept Notes.

The evaluation of the Concept Note has been conducted by: Date: STEP 3: EVALUATION OF THE FULL APPLICATION FORM DECISION 3: A. The Evaluation Committee has recommended the proposal for Eligibility

verification after having been provisionally selected within the top-ranked scored proposals within the available financial envelope.

B. The Evaluation Committee has recommended the proposal for Eligibility verification after having been put on the reserve list according to the top-ranked scored proposals.

The verification of the proposal has been conducted by: Date:

STEP 4: ELIGIBILITY VERIFICATION

3. The supporting documents listed hereunder, submitted according to the Guidelines for Grant Applicants (Section 2.4), satisfied all the eligibility criteria of the Applicant and his partner(s).

a. The Applicant's statutes.

b. The statutes or articles of association of all partners is attached and duly signed.

c. The Applicant's external audit report (if applicable).

d. The Legal Entity File (see annex D of the Guidelines for Applicants) is duly completed and signed by the Applicant and is accompanied by the justifying documents requested.

e. A Financial Identification Form (see annex E of the Guidelines for Grant Applicants) is duly completed, signed and stamped by the Applicant and his bank.

f Copy of the Applicant’s latest accounts.

The assessment of the eligibility has been conducted by: Date: DECISION 4: The Evaluation Committee has selected the proposal for funding after having verified its eligibility according to the criteria stipulated in the Guidelines for Grant Applicants.

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7. Final stages

7.1 Validation of the proposal

At the proposal release, validate that with respect to the contents of the proposal:

• The proposal is what you expected.

• You are still interested in submitting the proposal.

• Are the objectives of the proposal and the envisaged results clear?

• The proposed approaches reflect the best cost/benefit balance and the partners’ preferences.

• All the changes suggested by the partners in previous drafts of the proposal have been carefully studied and, when relevant, incorporated.

• The reasons why the ACP Secretariat should select the proposal are clear.

• All proposal parts are correct and optimized against the evaluation criteria.

• The methodology identifies everything needed to produce the results.

• The schedule in the action plan is the best allocation of time, and deadlines are realistic and enforceable.

• Assignments of tasks and responsibilities among the partners are correct, no one is overloaded, and everyone who can contribute is included.

• The proposal is compliant with the objectives of the ACP Science and Technology Programme and fits within the Call for Proposals.

• The proposal is sufficient to meet the required quality standards

• The checklist matrix includes all response requirements.

• The proposal is compliant with all requirements from the ‘Grant Application Form’ in the correct format and sequence; and it is properly sized and scoped.

• The proposal is ready for submission.

… and with respect to the production of the proposal:

• The proposal has been edited and

proofread.

• The proposal matches the specifications of the Call for Proposals.

• The proposal has been assembled correctly and is ready for packaging and sending off (see Chapter 7.2 below).

7.2 THE LAST STEPS OF

SUBMITTING THE PROPOSAL

1. Binding your proposal

All the elements of the proposal should be compiled according to the precise sequence of the ‘Grant Application Form’ and loosely bound in an A4-size (210mm by 297mm) binder:

• the application form (Part A and Part B);

• the budget and the financing sources (the two worksheets of Annex B); and

• the logical framework (Annex C). However:

− The Checklist (Part B, Section V of the ‘Grant Application Form’) and

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− The Declaration by the Applicant (Part B, Section VI of the ‘Grant Application Form’)

must be loosely bound and enclosed separately in the envelope. Check that your paper and electronic copies (see next paragraph) are identical to the original application. The PMU of the ACP Science and Technology Programme will not be held responsible if the evaluators are unable to evaluate the proposal correctly because of the bad quality of the copies or missing parts or differences with the original. Please follow this rule strictly. Non-compliance may not lead to the rejection of your proposal, but it will complicate the administrative check and the following steps of the evaluation process. Above all, it will raise doubts as to your management capabilities and the evaluation of your proposal will start with a burden. Avoid this! 2. What to send

• 1 original and 1 copy of the paper version of your proposal: one-sided printed, separately and loosely bound.

• An electronic version of your proposal. It must contain exactly the same information as the paper copy and can be provided in the form of a floppy disc or CD-Rom.

The three components of the application (Grant Application Form, Budget and Logical Framework) must be submitted in a separate and unique electronic file. Please do not split the Grant Application Form. Please note that the Declaration by the Applicant (Part B, Section VI of the ‘Grant Application Form’) can, if possible, contain a scanned signature. Otherwise, leave this cell empty and provide the signature only as an original on the paper

version of the ‘Grant Application Form’. Do not send the electronic copy in ‘pdf’ format (the Portable Document Format from Adobe), as this will considerably complicate the process of entering your application into the ACP Science and Technology Programme database. Please use Microsoft Word and Microsoft Excel formats. If you wish, you can add a second electronic copy in ‘pdf’ format.

If you submit more than one proposal, each one must be sent separately and conform to the above instructions. 3. How, when and where to send your

proposal

You can submit your proposal either by sending it by post or courier service or by hand-delivering it to the Programme Management Unit (PMU) of the ACP Science and Technology Programme in Brussels. In the first case, please note that the deadline for the Call for Proposals (27 February 2009 ) is the deadline for sending it, not for its receipt in Brussels. In case of hand delivery, you must arrive at the PMU address before 16:00 hours (Brussels time) on the day of the deadline and you will be given an acknowledgement of receipt to prove it. Make sure to use the right address, that is to say, the address of the Programme Management Unit of the ACP Science and Technology Programme. Do not use any other address, such as the ACP Secretariat or the European Commission.

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Send your proposal in a sealed envelope labelled as below: ACP Science and Technology Programme Call for Proposals: EuropeAid/127860/D/ACT/ACP Lot No. Insert the LOT number of the proposed Action FROM: Insert the full name and address of the APPLICANT “Not to be opened before the opening session”

TO: ACP Science and Technology Programme Programme Management Unit c/o GOPA-Cartermill Rue de Trèves 45 1040 Brussels BELGIUM

In the top left corner of the envelope, you mention in separate lines: (a) the title of the Programme, (b) Call for Proposals and its number, (c) the number of the Lot, (d) the name and address of the sender, that is to say, the Applicant, and (e) the phrase “Not to be opened before the opening session”. In the middle of the page, you mention the full name and address of the PMU of the ACP Science and Technology Programme. Ensure yourself once again that the packaging and labelling match the specifications of the Call for Proposals and then send it off. If you use the normal mail services:

• inform the PMU by e-mail (info@acp-st.eu) or fax (+32-2-280.1406) of the sending by mail indicating the date of sending.

If you use a courier service:

• make sure that the address on the courier envelope is not only correct, but legible and includes the PMU telephone number in Brussels (+32-2-280.1737);

• inform the PMU by e-mail (info@acp-st.eu) or fax (+32-2-280.1406) of the sending by courier indicating:

− the date of sending; − the name of the courier service;

and − the courier service’s registration

number of the shipment. In any case, keep some documentary proof of having sent your application before the deadline so that there can be no doubt about it.

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7.3 THE EVALUATION PROCESS

1. The Evaluation Committee

Proposals are evaluated by an Evaluation Committee appointed by the ACP Secretariat. It consists of a non-voting Chairperson, a non-voting Secretary and three voting members. The detailed evaluation will be carried out by a team of independent assessors. The Evaluation Committee will conduct its deliberations on the basis of their assessments. The task of the assessors consists of carrying out a written assessment of the concept notes (Part A of the ‘Grant

Application Form’) and of the full application forms (Part B of the ‘Grant Application Form’) on the basis of the respective evaluation grids, which are presented in Section 2.3 of the ‘Guidelines for Grant Applicants’. At least two assessors will assess each concept note and each full application form, working independently of each other. 2. The Evaluation Process

The evaluation process consists of a series of successive steps; each is undertaken only after the previous one has been completed. These steps are:

Publication of Call for Proposals

Receipt and registration of proposals

Opening session and administrative check

Evaluation of Concept Notes

Evaluation of Full Application Forms

Verification of eligibility

Conclusions of the Evaluation Committee

Preparation and signing of contracts

Project implementation

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Receipt and registration of proposals

Upon receipt, the proposals will be registered and for those delivered by hand an acknowledgement of receipt will be issued. The envelopes remain sealed and in a safe place until the opening session. Opening session and administrative check

All proposals received will be opened in an opening session at which the registration details will be checked and the proposals numbered. Proposals not submitted before the specified deadline (as evidenced by the postmark or the date of the deposit slip) will be disqualified at this time. The secretary of the Evaluation Committee supervises the opening session. Proposals that have been submitted before the deadline are then subject to an administrative check, which assesses whether they satisfy all the criteria mentioned in the checklist tables shown in Part B, Section V of the ’Grant Application Form’. Incomplete proposals will be disqualified from the further evaluation process. However, if only minor inconsistencies are found, the Evaluation Committee may

decide to invite the Applicant to submit a clarification within a fixed deadline. Following the opening session and the administrative check, the Evaluation Committee will meet to decide on any contentious case and signs the ‘Proposal Opening Session and Administrative Check’ report. A standard letter will then be sent to all Applicants informing them whether or not their application was found to be submitted before the deadline, whether or not it has satisfied all the administrative criteria mentioned in the checklist and whether or not their concept note has been recommended for further evaluation. The letter will also inform the Applicants of the application reference number allocated to their proposal which must be used in all further correspondence. Evaluation of the Concept Note

In the next phase of the evaluation process, the concept notes of applications submitted before the deadline and having satisfied the administrative criteria will undergo an evaluation of the relevance of the Action, its effectiveness, as well as of its feasibility and sustainability on the basis of the following evaluation grid:

Evaluation grid for the Concept Note:

Heading / subheading Maximum Score

1. Relevance of the Action 15 1.1 Relevance of the problems to needs and constraints of the

country/region to be addressed in general, and to those of the target groups and final beneficiaries in particular.

5

1.2 Relevance to the priorities and objectives mentioned in the Guidelines. 5 (x2)* 2. Effectiveness and Feasibility of the Action 25 2.1 Assessment of the problem identification and analysis. 5 2.2 Assessment of the proposed activities (practicality and consistency in

relation to the objectives, purpose and expected results). 5 (x2)*

2.3 Assessment of the role and involvement of all stakeholders and proposed partners.

5 (x2)*

3. Sustainability of the Action 10 3.1 Assessment of the identification of the main assumptions and risks,

before the start-up and throughout the implementation period. 5

3.2 Assessment of the identification of long-term sustainable impact on the target groups and final beneficiaries.

5

Maximum total score 50

* these scores are multiplied by 2 because of their importance.

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This evaluation grid is also shown in Section 2.3 of the ‘Guidelines for Grant Applicants’. The overall assessment is based on the scores obtained under each subheading, added up by heading. The final score is the arithmetical average of the scores given by the two assessors. The secretary of the Evaluation Committee will then prepare a list of all evaluated concept notes, ranked by score:

• As a first step, only the concept notes which have been given a score of at least 12 points (out of 15) in the category ‘Relevance’, as well as a minimum total score of 30 points (out of 50) will be considered for pre-selection.

• In a second step, counting in descending order of the total scores, only the set of concept notes for which the cumulative sum of grant requests totals no more than twice the amount available for the Call for Proposals (that is to say, 2 x 28 million EUR = 56 million EUR for Lot 1 and 2 x 5 million EUR = 10 million EUR for Lot 2) will be considered for pre-selection.

Thus the applications of which the concept notes have been pre-selected according to the above ranking list will undergo the next evaluation step (evaluation of the full application form). A standard letter will then be sent to the Applicants whose concept note have been evaluated, informing them whether or not their full application form will be evaluated in the next step of the evaluation process. For those applications that will not pass to the next phase, the letter will indicate the reason and include the scores attributed to each section and sub-section of the evaluation grid shown in Section 2.3 of the ‘Guidelines for Grant Applicants’. Evaluation of the Full Application Form

The quality of the full applications forms will be assessed on the basis of the evaluation grid shown in Section 2.3 of the ‘Guidelines

for Grant Applicants’ (and presented below) containing the selection and award criteria. Comments are made for each heading on the basis of the questions and criteria used for that heading and, in particular cases, for specific subheadings. The overall assessment is based on the scores obtained under each subheading, added up by heading. The final score is the arithmetical average of the scores given by the two assessors. The Secretary of the Evaluation Committee will then prepare a list of all the proposals, ranked by score:

• As a first step, only the applications which have been given a score of at least 12 points (out of 20) in the category ‘Financial and operational capacity’ and 20 points (out of 25) in the category ‘Relevance’ will be considered for provisional selection.

• In a second step, counting in descending order of the total scores, only the set of applications for which the cumulative sum of grant requests totals no more than the available budget for the Call for Proposals (that is to say, 28 million EUR for Lot 1 and 5 million EUR for Lot 2) will be considered for provisional selection.

According to the above ranking list, a table will be established with the provisionally selected proposals. These applications will undergo the next evaluation step (verification of eligibility of the Applicant and partners). The Evaluation Committee will, furthermore, draw up a reserve list comprising a limited number of proposals having obtained the best scores after those provisionally selected for financing. The proposals included in that list are likely to receive a grant only if funds become available under the Call for Proposals (because of: decrease of the eligible costs of the selected proposals; rejection of the proposal in the eligibility verification step – see below; impossibility to sign a contract with a selected Applicant; etc).

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Evaluation grid for the Full Application Form:

Section / subsection Maximum Score

1. Financial and operational capacity 20 1.1 Do the Applicant and partners have sufficient experience of project

management ? 5

1.2 Do the Applicant and partners have sufficient technical expertise ? (notably knowledge of the issues to be addressed.)

5

1.3 Do the Applicant and partners have sufficient management capacity ? (including staff, equipment and ability to handle the budget for the Action)?

5

1.4 Does the Applicant have stable and sufficient sources of finance ? 5 2. Relevance 25 2.1 How relevant is the proposal to the objectives and one or more of the

priorities of the Call for Proposals?

Note: A score of 5 (very good) will only be allocated if the proposal specifically addresses at least one priority .

Note: A score of 5 (very good) will only be allocated if the proposal contains specific added-value elements, such as promotion of gender equality, equal opportunities, …

5 x 2

2.2 How relevant to the particular needs and constraints of the target country/countries or region(s) is the proposal? (including synergy with other EC initiatives and avoidance of duplication.)

5

2.3 How clearly defined and strategically chosen are those involved (final beneficiaries, target groups )? Have their needs been clearly defined and does the proposal address them appropriately?

5 x 2

3. Methodology 25 3.1 Are the activities proposed appropriate, practical, and consistent with

the objectives and expected results? 5

3.2 How coherent is the overall design of the Action? (in particular, does it reflect the analysis of the problems involved, take into account external factors and anticipate an evaluation ?)

5

3.3 Is the partners' level of involvement and participation in the Action satisfactory?

5

3.4 Is the Action plan clear and feasible? 5 3.5 Does the proposal contain objectively verifiable indicators for the

outcome of the Action? 5

4. Sustainability 15 4.1 Is the Action likely to have a tangible impact on its target groups? 5 4.2 Is the proposal likely to have multiplier effects ? (including scope for

replication and extension of the outcome of the Action and dissemination of information.)

5

4.3 Are the expected results of the proposed Action sustainable : - financially (how will the activities be financed after the funding ends?) - institutionally (will structures allowing the activities to continue be in

place at the end of the Action? Will there be local ‘ownership’ of the results of the Action?)

- at policy level (where applicable) (what will be the structural impact of the Action — e.g., will it lead to improved legislation, codes of conduct, methods, etc?)

5

5. Budget and cost-effectiveness 15 5.1 Is the ratio between the estimated costs and the expected results

satisfactory? 5

5.2 Is the proposed expenditure necessary for the implementation of the Action?

5 x 2

Maximum total score 100

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A standard letter will be sent to the Applicants, stating whether or not their proposal has been provisionally selected according to its score:

• Applicants whose proposals have been provisionally selected will be invited to supply the supporting documents listed in Section 2.4 of the ‘Guidelines for Grant Applicants’. These documents must be provided within 15 calendar days following the receipt of the provisional selection notification from the ACP Secretariat.

• Applicants whose proposals have been put on the reserve list will be informed that there application was rejected, indicating the reason and including the scores attributed to each section and sub-section of the evaluation grid shown in Section 2.3 of the ‘Guidelines for Grant Applicants’. However, they will still be invited to supply the supporting documents listed in Section 2.4 of the ‘Guidelines for Grant Applicants’ (within 15 calendar days following the receipt of the provisional selection notification from the ACP Secretariat).

• For those applications that were rejected, the letter will indicate the reason and include the scores attributed to each section and sub-section of the evaluation grid shown in Section 2.3 of the ‘Guidelines for Grant Applicants’.

Submission of supporting documents

The Applicants from those proposals that have either been provisionally selected or put on the reserve list will be requested by the ACP Secretariat to supply a set of additional documents in order to verify the eligibility of the Applicants and partners: Statutes or articles of association of the Applicant’s and partner’s organisation: The Applicant’s organisation as well as each partner’s organisation must provide a copy of their statutes (legal act of establishment or Court registration) or

articles of association (a formal document that regulates the organisation’s internal management and administrative affairs). These formal documents do not need to be submitted by those Applicants and/or partners whose eligibility has already been recognised by the ACP Secretariat or the EC in another Call for Proposals under the same budget lines within 2 years before the deadline for submission of applications of the current Call for Proposals. These budget lines are the 9th EDF and the budget line 21.03.17 ‘European Programme for Reconstruction and Development’ (see Section 1.3 of the ‘Guidelines for Grant Applicants’). It is sufficient if in these cases a copy of the document is enclosed proving the eligibility of the Applicant and/or partner(s) in such former Call for Proposals (e.g., a copy of the Special Conditions of a grant contract received). However, if a change in the legal status has occurred in the meantime, a copy of their statutes or articles of association still has to be submitted. This obligation does not apply to international organisations which have signed a framework agreement with the EC. A copy of the Applicant’s latest accounts: Only when the Applicant is not a public entity or an international organisation, a copy of the Applicant’s accounts has to be provided that covers the previous financial year for which the accounts have been closed. This concern the:

• Profit and loss account (the financial statement that shows the revenue, expenditure and the profit and/or loss of an organisation); and

• Balance sheet (the financial statement that shows the assets, liabilities and, if applicable, the owner’s equity of an organisation).

Legal Entity Sheet of the Applicant: According to the legal statute of the Applicant’s organisation, the Applicant must fill out the Legal Entity Sheet of one of the two categories of entities which are provided in Annex D of the ‘Guidelines for Grant Applicants’: ‘Public Entities’ or ‘Private Companies’. The form has also to:

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• be signed and dated by an authorised representative of the Applicant’s organisation. In the case of a public entity, the name and function of the authorised representative must be given too.

• be stamped. Please ensure that you also attach some additional supporting documents which are requested in the footnotes of the form. In the case of a ‘private company’, this concern:

• A copy of an official document (official gazette, company register etc.) showing the name of the legal entity, the address of the head office and the registration number given to it by the competent national authorities.

• A copy of the VAT registration document, if applicable, and if the VAT number does not appear on the above official document.

In the case of a ‘public entity’, this concern:

• A copy of the resolution, law, decree or decision establishing the entity in question. Or, when such document cannot be provided, any other official document attesting to the establishment of the entity by the competent national authorities.

• If in the form the VAT field is completed, please attach an official VAT document.

As a general rule, you will have to fill out this form and submit them together with the additional supporting documents to the ACP Secretariat only once. If the Applicant has already signed a contract with the ACP Secretariat or the EC, the ‘Legal Entity File Number’ previously assigned may be provided, which is the same number as stated in the table of Part B, Section II.1 of the ‘Grant Application Form’. However, in the event of change of the legal status of the Applicant’s organisation compared to what is already recorded, you

will be required to provide a new form, completed, signed and stamped, accompanied if necessary by the adequate supporting documents. The above requested legal co-ordinates allow the ACP Secretariat to record and validate this information which is needed to verify the eligibility of the Applicant and, in the case of being awarded a contract, to launch the necessary contract procedures. Financial Identification Form of the Applicant: In order to allocate funds to the bank of the Applicant’s organisation, in the case of being awarded a contract, the Financial Identification Form in Annex E of the ‘Guidelines for Grant Applicants’ – or another form with the same information – needs to be filled out correctly. It is very important to make sure that the denomination (title) under the item ‘Contact’ and the other contact co-ordinates, as well as the account and bank information are exactly in conformity with what is recorded at the bank. If the Applicant has already signed a contract with the ACP Secretariat or the EC, or where the EC has been in charge of the payments of a contract, a copy of the previous Financial Identification Form may be provided instead. However, if the banking co-ordinates have changed, you will be required to provide a new form, completed, signed and stamped, accompanied if necessary by the adequate supporting documents. Audit firm co-ordinates: Whenever a contract is awarded and the Action is being implemented, the Action’s expenditure will have to be verified by an independent and approved auditor who is a member of an internationally recognised supervisory body for statutory auditing. Therefore, the name, complete address and contact details of this audit firm must be given. Further details of this verification are provided in Article 15.6 of the General Conditions to the standard Grant Contract (see Annex F of the ‘Guidelines for Grant

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Applicants’), which can be consulted at the following Internet address: http://ec.europa.eu/europeaid/work/procedures/documents/execution/grants/e3h_2gencond_en.pdf. Verification of eligibility

The proposals that have been provisionally selected will undergo an eligibility verification of the Applicant and its partners. This assessment will be carried out using the ‘Declaration by the Applicant’ shown in Part B, Section VI of the ‘Grant Application Form’ and the criteria set out in the Sections 2.3 and 2.4 of the ‘Guidelines for Grant Applicants’:

• Is the ‘Declaration by the Applicant ‘in conformity with the supporting documents provided?

Any missing supporting document or any incoherence between the Declaration and the supporting documents will lead to the rejection of the proposal on that sole basis.

• Are the Applicant, the partners and the Action eligible?

Following the above analysis, any rejected proposal will be replaced by the next best placed proposal in the reserve list that falls within the available financial envelope. This proposal will then undergo the eligibility verification examination. Even though the verification of eligibility is foreseen to be carried out only for the provisionally selected proposals at the end of the evaluation process, the Evaluation Committee may decide to verify this item at any previous step of the procedure. Taking into account ‘good administrative practices’, the Evaluation Committee can exclude an Applicant at any stage of the evaluation process whenever it is obvious that the Applicant does not meet the eligibility criteria. The Secretary of the Evaluation Committee will draw up a list containing the proposals which are found to be ineligible. For each entry on the list, the grounds for ineligibility must be identified.

A standard letter will be sent to the Applicants whose proposal has not been selected or whose proposal remains on the reserve list:

• Applicants who had been put on the reserve list and who have been found eligible on the basis of the provided supporting documents will be informed that they remain on the reserve list. Only if funds become available under the Call for Proposals (as explained above), they may still have a chance to be awarded a grant.

• For those applications that were rejected, the letter will indicate the reason.

Conclusions of the Evaluation Committee

The Evaluation Committee will ultimately draw up a list of the proposals selected for financing. This list is made up of the proposals obtaining the best scores, ranked by order, within the limits of the funds available under the Call for Proposals. However:

• The Evaluation Committee may not allocate all the available funds if it finds that there are too few proposals of the quality required to receive a grant.

• The Evaluation Committee may reject a proposal if it has selected another one which is of a similar nature, but has been awarded a higher score.

• If several proposals submitted by the same Applicant are selected for financing, but the Applicant is judged not to have the financial and operational capacity required to implement the Actions all together, the Evaluation Committee may reject the proposal(s) which has (have) been awarded a lower score, and select the proposal(s) where the Applicant has the capacity to implement.

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A final Evaluation Report is drawn up following the final meeting of the Evaluation Committee. It comprises the completed evaluation grids, the eligibility verification and the minutes of the evaluation sessions. The report will be signed by all members of the Evaluation Committee. Once the approvals have been given, the ACP Secretariat will commence awarding the grants. A standard letter will be sent to the Applicants from awarded grants. The award decision contains the subject and overall amount of the decision, the evaluation outcomes and, where appropriate, the grounds for the decision by the ACP Secretariat to depart from the recommendations made by the Evaluation Committee in the report in respect of a particular proposal. The letter also announces the start of the grant contract preparation procedures. The entire procedure, from the drawing-up of the Call for Proposals to the selection of successful Applicants, is confidential. The Evaluation Committee's decisions are collective and its deliberations must remain secret. 7.4 Sources of further

guidance

ACP Science and Technology Programme • Information about this ACP-EU co-

operation programme on science and technology, the current Call for Proposals and Frequently Asked Questions:

http://www.acp-st.eu

http://www.acpsec.org (ACP Secretariat)

http://ec.europa.eu/europeaid/work/funding/index_en.htm (EuropeAid Calls for proposals and tenders)

European Commission • Practical Guide to Contract

procedures for EC external actions. This is a useful document to consult which explains the contracting procedures applying to all EC external aid contracts financed from the EDF and EC general budget. These are the financing sources of the ACP Science and Technology Programme:

http://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/2008new_prag_final_en.pdf

• Information about how to prepare a

project proposal and manage a project with respect to its quality (in terms of the relevance, feasibility and effectiveness of projects) in the document ‘Project Cycle Management Guidelines’:

http://ec.europa.eu/europeaid/multimedia/publications/publications/manuals-tools/t101_en.htm

• Guidance on how to make the project

visible and examples on types of visibility actions:

http://ec.europa.eu/europeaid/work/visibility/index_en.htm

• PADOR on-line registration service for

consulting or acquiring an EuropeAid ID number:

http://ec.europa.eu/europeaid/onlineservices/pador

• Currency exchange rates at

InforEuro , the EC’s website with the monthly accounting rate of the Euro:

http://ec.europa.eu/budget/inforeuro/index.cfm?Language=en

• Per diem rates by country of

destination:

http://ec.europa.eu/europeaid/work/procedures/implementation/per_diems/index_en.htm.

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• The General Conditions to the standard Grant Contract :

http://ec.europa.eu/europeaid/work/procedures/documents/execution/grants/e3h_2gencond_en.pdf

• The Special Conditions to the

standard Grant Contract :

http://ec.europa.eu/europeaid/work/procedures/implementation/grants/documents/e3_h_1_speccond_en.doc

• Seventh Framework Programme for research and technology development (FP7). It bundles all research-related EU initiatives together under a common roof playing a crucial role in reaching the goals of growth, competitiveness and employment:

http://cordis.europa.eu/fp7/home_en.html

OECD • List of sectors needed to complete Part

B, Section I (paragraphs 1.4 and 1.5) and Section II (paragraph 2.2, 3.1 and 3.2) of the ‘Grant Application Form’:

http://www.oecd.org/document/21/0,3343,en_2649_34469_1914325_1_1_1_1,00.html

7.5 A FINAL WORD

In this Manual, we have tried to give you guidance on how to prepare and present your proposal in the Call for Proposals of the ACP Science and Technology Programme. As we have pointed out in the Introduction, it is not possible to cover all the questions that YOU may have in YOUR specific situation. Do not hesitate, therefore, to ask the Programme Management Unit (PMU) of the ACP Science and Technology Programme any question for which you did not find an answer in this Manual or in the ‘Guidelines for Grant Applicants’. You can do this by:

• sending an e-mail to: info@acp-st.eu

• checking the FAQ section (Frequently Asked Questions) on the Website of the ACP Science and Technology Programme at the following Internet address: www.acp-st.eu or

• sending a fax to: +32-2-280.1406 The PMU will do its best to give you a quick and complete reply. However, we would like to point out once more that the PMU may and will answer only to questions related to the formal aspects of your proposal. For reasons of impartiality the PMU is not allowed to answer questions related to the content of a proposal.

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GLOSSARY

ACP African, Caribbean and Pacific.

ACP Group of States The African, Caribbean and Pacific Group of States. The Group is composed of the 79 African, Caribbean and Pacific States (see Chapter 2 of this Manual) who are signatories – apart from Cuba – to the Georgetown Agreement (signed in 1975 and revised in 2003) or the Partnership Agreement between the ACP and the EU (signed in 2000), officially called the ‘ACP-EC Partnership Agreement’ or the ‘Cotonou Agreement’. It aims to coordinate co-operation between its members and the EU, but also in diverse international fora such as the WTO covering trade, economics, politics and culture. Internet address: http://www.acpsec.org

ACP Secretariat The Secretariat responsible for the administrative management of the ACP Group of States: it assists the Group's decision-making and advisory organs in carrying out their work; its headquarters is located in Brussels (Belgium). Internet address: http://www.acpsec.org

ACP Science and Technology Programme An ACP-EU co-operation programme that promotes intra-

ACP co-operation in the field of science and technology innovations and capacity building, with specific reference to formulating and implementing science and technology policies that can lead to sustainable development and poverty reduction through economic growth and progressive integration in the world economy. It funds partnership projects to be selected from a public Call for Proposals. Internet address: http://www.acp-st.eu

Action -or- Project The set of activities the partnership proposes to carry out: (a) it is a planned undertaking of related activities to reach an objective; and (b) it has a defined beginning and end and typically its own funding, accounting, and delivery schedule. By definition, all projects are unique, which is one reason it is difficult to compare different projects to one another.

Action plan -or- Work plan A schematic overview of the major project activities to be performed during the implementation period of the project which presents, in chronological order, the major activities and tasks together with the period of implementation and the implementing organization(s). It will also be used in preparing project reports to reflect the accomplishment of objectives and results.

Administrative costs The overheads or indirect costs, that is to say, the eligible costs which are not directly attributable to the project, but are incurred in relation to the direct costs of the project. The ACP Science and Technology Programme applies here a maximum of 7% of the total eligible direct costs of the project.

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Applicant The lead institution within the partnership that submits the proposal and, if the proposal is selected, signs the grant contract and becomes the Beneficiary of the grant.

Application -or- Proposal Written request for a grant or contribution to implement a project. It outlines why the grant is needed, the purpose it will serve, the plan for meeting the need, the required resources, the amount of money needed, and information about the Applicant and its partners.

Articles of association The body of rules, directions and regulations for internal regulation of an organisation, that is to say, the internal affairs of the organisation, including the powers and duties of its members, and formalities attaching to the convening and holding of meetings and procedure of rules for members attending them.

Associate Organisation that has a real role in the Action, but cannot receive funding from the ACP Science and Technology Programme, with the exception of per diems or travel costs. Associates do not have to meet the eligibility criteria referred to in Section 2.1.1 of the ‘Guidelines for Grant Applicants’.

Assumption An external – critical – factor which could affect the progress or success of the project, but over which the project (manager) has no direct control.

Audit A formal examination of an organisation's accounts or financial situation. An audit may also include examination of compliance with applicable terms, laws, and regulations.

Award criteria The evaluation criteria – applied in the ‘Full Application Form’ evaluation step under this Call for Proposals – that allow to assess the quality of the proposals submitted in relation to the set objectives and activities, and to award grants to Actions which maximise the overall effectiveness of the Call for Proposals. They enable the selection of proposals which the ACP Secretariat can be confident will comply with its objectives and priorities and guarantee the visibility of EC financing. These criteria cover such aspects as the relevance of the Action, its consistency with the objectives of the Call for Proposals, quality, expected impact, sustainability and cost-effectiveness.

Balance sheet The financial statement that shows the assets, liabilities and, if applicable, the owner’s equity of an organisation.

Beneficiary -or- Grant Beneficiary The organisation that signs a grant contract with the ACP

Secretariat and receives the grant on behalf of the partnership.

BUDGET The European Communities general budget.

Call for Proposals A public invitation by the Contracting Authority, addressed to clearly identified categories of applicants, to propose operations within the framework of a specific grant programme.

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Capacity building Strengthening the operating efficiency of an organisation, group or individual through training (increasing knowledge), changed operating procedures, restructuring, etc.

Civil society actors National and international non-governmental organisations, community-based groups, academic institutions, professional organisations, faith-based organisations, women’s organisations, schools, research institutions, etc.

c/o ‘Care of’, used when sending something to an address in care of the person or department that resides or has an office at that address.

Concept Note An abstract or comprehensive description of a project or a short version of a project proposal. It is part of the Grant Application Form and has a specific format.

Consortium A grouping of eligible natural and legal persons which submits an application in response to a Call for Proposals. It may be a permanent, legally-established grouping or a grouping which has been constituted informally for a Call for Proposals. All members of a consortium (that is to say, the leader and all other partners) are jointly and severally liable to the Contracting Authority.

Consortium agreement -or- Co-operation agreement A formalized agreement or collaborative arrangement in

support of a project between the Applicant and the partners which describes the purpose of the partnership, assures the collaboration between the members of the partnership and their role and responsibilities, and stipulates the usage of results in the form of terms and conditions of the joint implementation of the project. It is a separate document from the formal Grant Contract between the Contracting Authority and the Grant Beneficiary.

Contingency plan -or- Emergency plan -or- Back-up plan A plan that identifies potential problems or risks that may

occur during the project period and that are beyond the control of the project. It also identifies alternative strategies to mitigate the unintended consequences in order to still continue with the project and achieve the project results.

Contract -or- Grant Contract A legal document that states the agreement, between the ACP Secretariat and the Beneficiary, with specific terms and an undertaking to implement a project, selected from a Call for Proposals, in return for a financial contribution.

Contracting Authority The ACP Secretariat, acting for and on behalf of the EC, in the execution, management and administration of the ACP Science and Technology Programme, assisted by a Programme Management Unit (PMU). The European Commission exercises systematic ex-ante controls, that is to say, that every step requires prior approval from the European Commission before they are taken by the Contracting Authority.

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Contribution in kind A contribution – in the form of material, equipment or services – provided by a member of the partnership or a third party to the project that has a monetary value, but is, however, not charged to the project.

Criteria The standards, measures, or expectations used in making an evaluation or verification.

Critical path The sequence of activities that must be completed on schedule for the entire project to be completed on schedule. Its cumulative time requirements determine the minimum total project time. Delay in critical path activities delay the entire project if other steps are not compressed.

Direct costs All costs that fall under the definition of eligible costs which can be charged directly to the project.

EC European Community.

EC general budget Within this Call for Proposals, Lot 2 receives funding from the EC general budget (BUDGET), more specifically from the European Programme for Reconstruction and Development (EPRD), the development co-operation programme between the EC and South Africa, financed from the EC budget line 21 03 17.

EDF European Development Fund, the main instrument for providing EC aid for development co-operation in the ACP States and the Overseas Countries and Territories (OCT). Within this Call for Proposals, Lot 1 receives funding from the EDF. Internet address:

http://ec.europa.eu/development/how/source-funding/edf_en.cfm

EEA European Economic Area. It unites three of the four EFTA Member States (Iceland, Liechtenstein and Norway) and the 27 EU Member States into an Internal Market, which is governed by the same basic rules. These rules aim to enable goods, services, capital, and persons to move freely among the EEA countries in an open and competitive environment. Internet addresses:

http://www.efta.int/content/eea http://ec.europa.eu/external_relations/eea

EFTA European Free Trade Association, an intergovernmental organisation set up for the promotion of free trade and economic integration to the benefit of its four Member States: Iceland, Liechtenstein, Norway and Switzerland. Internet address: http://www.efta.int

Eligible costs Costs in the project which are actual, economic and necessary for the implementation of the project. They must be determined in accordance with the terms of the Call for Proposals (see Section 2.1.4 of the ‘Guidelines for Grant Applicants’) and incurred during the duration of the project, except for the costs in drawing up the final report. Once the project is awarded a grant, these costs are reimbursable in full or in part by the Contracting Authority, under the terms of the Contract that is the basis for the project.

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Eligibility criteria A set of specified characteristics that are required for a proposal to take part in the Call for Proposals. with respect to the type of participants, the type of project they would like to execute and the type of costs needed to implement the proposed project.

EMU European Monetary Union.

EPRD European Programme for Reconstruction and Development in South Africa.

Established network Within the context of the ACP Science and Technology Programme, this is a consortium of organisations existing prior to submitting an application and fulfilling the following criteria:

• all network members and the network headquarters are located in eligible countries;

• the network has a legal status; • the network is applying in its own right; and • the network has been registered for a minimum of two

years

EU European Union. It is an intergovernmental organisation – currently composed of 27 European nations (see Chapter 2 of this Manual) – created in 1991 with its own institutional structures and decision-making framework. It aims to enhance political, economic and social co-operation among its 27 members (or Member States). It is also called the European Community or the Common Market. Internet address: http://europa.eu

Euro The common currency of the countries participating in the EMU, that is to say, the EU Member States which belong to the Euro zone. Its currency sign is ‘€’ and its banking code is ‘EUR’.

EuropeAid The EC’s Co-operation Office that manages EU external aid programmes: it finances – with funds from the EC general budget and EDF – external actions to beneficiary countries through financing agreements, namely legal acts concluded with those States, and by other means such as calls for proposals and actions implemented by other international organisations. Internet address:

http://ec.europa.eu/europeaid

Evaluation (of a project) – The assessment of how well a project achieved its objectives. This can be done at regular intervals, at mid-term or at the end of a project. It seeks to understand what happened and why, to look for impact and to learn lessons.

(of a proposal) – An integrated assessment of a submitted proposal which uses a minimum set of administrative requirements and evaluation criteria to determine whether the proposal satisfies the application requirements. The process examines and assesses the merits of each proposal against the application requirements and rates the proposals on each evaluation criterion.

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Evaluation Committee A committee made up of a number of members (at least three) with the necessary technical and administrative expertise to give an informed opinion on the grant applications.

Evaluation criteria The standards used to evaluate a proposal.

Expat/International staff An expatriate (in abbreviated form ‘expat’) or international staff member is a project staff member temporarily residing in the country and culture where the project is located other than that of the person's upbringing or legal residence or of the headquarters of the organisation he is working for.

FAQ Frequently Asked Questions.

Final beneficiary Those groups or entities which will benefit from the project in the long term at the level of the society or sector at large.

Financial Identification Form A standard form used to provide banking co-ordinates in order to allocate funds to the bank of the Applicant’s organisation in the case of being awarded a contract.

Finish-to-finish A model used in project management which refers to the particular and specific long-term and logical relationship between one particular activity and another particular activity within the project. This relationship is based on the end times and the activities can start whenever needed.

Finish-to-start A model used in project management whereby a particular activity cannot start until another activity has completed. This is by far the most common relationship between multiple activities.

FP7 Seventh Framework Programme for research and technology development. It bundles all research-related EU initiatives together under a common roof playing a crucial role in reaching the goals of growth, competitiveness and employment. Internet address:

http://cordis.europa.eu/fp7/home_en.html

Framework agreement An agreement between the EC and the beneficiary international organisation, in particular to UN programmes, as part of an ongoing, formalised relationship of co-operation.

FTE Full-Time Equivalent.

Full Application Form The extended version of a project proposal. It is part of the Grant Application Form and has a specific format.

General Conditions The general contractual provisions setting out the administrative, financial, legal and technical clauses governing the execution of all contracts of a particular type. It forms an integral part of the set of contractual documents. Internet address:

http://ec.europa.eu/europeaid/work/procedures/documents/execution/grants/e3h_2gencond_en.pdf

Grant A type of financial contribution of a non-commercial nature awarded by the Contracting Authority to the Beneficiary to undertake the project activities as stipulated in the contract with the Contracting Authority in order to promote the

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objectives of the ACP Science and Technology Programme.

Grant Application Form The standard form used to apply for a grant. It has to be submitted by the Applicant on behalf of the partnership. It consists of a set of mandatory documents (Concept Note and Full Application Form) and annexes (Budget, Sources of funding, Logical Framework) to be completed.

Guidelines for Grant Applicants A document explaining the purpose of a Call for Proposals for grants. It sets out the rules regarding who may apply, the types of activities and costs which may be financed, and the evaluation (selection and award) criteria. It also provides practical information on how to complete the Grant Application Form, what documents must be annexed, and rules and procedures for applying.

ID number Identification number.

Indicator A measurable characteristic that can be used to determine the degree of adherence to a standard or the level of quality achieved. It is used to monitor or evaluate the achievement of project activities, results and objectives over time.

InforEuro The EC’s website with the monthly accounting rate of the Euro. Internet address:

http://ec.europa.eu/budget/inforeuro/index.cfm?Language=en

Inputs The financial, human, material, technological and information resources which are needed for the implementation of the project.

Internal Market -or- EU Internal Market One of the cornerstones of EU co-operation, that is to say,

a trading area governed by the same basic rules, enabling the free movement of goods, services, capital and people - the four freedoms. The internal market encompasses the EU Member States plus the EEA countries Norway, Iceland and Liechtenstein.

Intervention logic A systematic and reasoned description of the links between a project’s activities, results, specific and overall objectives. In the Logical Framework Matrix, this should be a brief description provided in the form of a narrative summary.

Legal Entity Sheet The standard form used to describe the legal status of the Applicant. Within the context of this Call for Proposals, a legal entity has, in the eyes of the law, the capacity to enter into a contract with the Contracting Authority and the abilities to assume an obligation and to pay off its debts. A legal entity, under the law, is responsible for its actions and may be sued for not performing in accordance with the contract.

LFA Logical Framework Analysis or Logical Framework Approach. A methodology for planning, managing and evaluating programmes and projects in a structured and analytical manner. It involves situation analysis,

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stakeholder analysis, problem analysis, objectives analysis, analysis of alternatives, and the preparation of the Logical Framework Matrix.

Local staff Staff placed in the project location that is hired on the local market.

Logical Framework (Matrix) -or- Logframe A management tool used to improve the design of a

project. It involves identifying strategic elements (inputs, outputs, outcomes and impact) and their causal relationships, indicators, and the assumptions and risks that may influence success and failure. It thus facilitates the planning, execution and evaluation of a project.

Microsoft Excel A spreadsheet software from Microsoft. It is a computer application which is used for making calculations and related graphics and tables.

Microsoft Word A word processing software from Microsoft. It is a computer application used for the preparation of documents (including composition, writing, editing and formatting).

Monitoring The process of periodically or continuously assessing the implementation progress of the project in connection to the established timetables and the use of services, infrastructure and inputs by the project actors, as well as identifying measures to correct problems where they occur. It includes the collection, analysis, recording, reporting and use of management information about the physical and financial progress of a project. The purpose of monitoring is to understand what is happening as the project progresses in order to keep it on track, that is to say, to achieve efficient and effective performance of an operation. Its focus is on the activity and output levels of the project.

MOV Means and Sources of Verification. They serve as a guidance to help to find the information necessary to complete the indicators.

Multiplier effect Direct or indirect consequences of an action, whereby a change or changes which has (have) been the result of the implementation of that action can act to promote changes elsewhere (outside the context of the action) and in turn act on the original action itself.

NGO Non-Governmental Organisation.

Objective tree A diagrammatic representation of the situation in the future once problems have been remedied, following a problem analysis, and showing a means to ends relationship.

OCT Overseas Countries and Territories: there are 21 OCTs related to the EU and they depend constitutionally on 4 of its Member States: Denmark, France, the Netherlands, and the United Kingdom; OCT nationals are EU citizens.

OECD Organisation for Economic Co-operation and Development.

Outcomes The results the project is expected to achieve at the overall and purpose level objectives.

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Outputs The products and services which are directly produced and delivered by the project. In the context of the Logical Framework, these are the tangible results (directly achievable and observable) of applying inputs to and undertaking activities in the project.

Overall objective The higher-level objective to which the project is expected to contribute.

OVI Objectively Verifiable Indicators of achievement. They define the performance standard and specify the evidence which will tell you if an expected result, objective or activity is reached or implemented.

Own contribution The part of the total eligible costs funded from the Applicant's or partners' own resources, or from sources other than the budget of the EDF or EC general budget.

PADOR Potential Applicants Data On-line Registration. Internet address:

http://ec.europa.eu/europeaid/onlineservices/pador

Partner The institution – other than the Applicant – that is a member of the partnership.

Partnership The grouping of institutions, that is to say, the Applicant and, if applicable, its partners, constituted for the purpose of submitting an application and, if successful, for implementing the Action. To be eligible, the institutions must belong to one of the following categories:

(a) ACP national or regional S&T organisations, research institutions, universities, ministries or public institutions dealing with research policies, ACP national research networks, relevant civil society or private sector actors or similar EU actors partnering with ACP counterparts.

(b) Regional S&T institutions, with separate legal status, not belonging to any national system but formally recognised by one of the eligible countries.

(c) Established ACP S&T networks provided that: all its members and headquarters are located in eligible countries; they have a legal status; they are applying in its own right; and they have been registered for a minimum of 2 years.

(d) Regional or inter-State bodies to which one or more ACP States belong, including bodies with non-ACP State members, which are authorised by those ACP States.

Under this Call for Proposals, a partnership involves at least 3 organisations from at least 2 different ACP Member States. NB: Established ACP S&T networks and regional ACP inter-state bodies are considered partnerships in themselves and are not obliged to form alliances with others. Networks, however, have to be multinational. The number of non-ACP partners in a partnership cannot be greater than the number of ACP partners.

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PCM Project Cycle Management. It is a methodology for planning, implementation and evaluation of projects and programmes based on the Logical Framework Approach, focusing especially on the beneficiaries.

pdf Portable Document Format. It is a document-encoding process (software) developed by Adobe that maintains page lay-out, fonts, and graphics and can include many other features such as hyperlinks.

per diem An established daily allowance rate in case of missions which require an overnight stay away from the base of operations. Per diems cover accommodation, meals, local travel within the place of mission and sundry expenses. The Internet address stipulating the per diem rates by country of destination, which are applicable for the ACP Science and technology Programme, is:

http://ec.europa.eu/europeaid/work/procedures/implementation/per_diems/index_en.htm

PMU Programme Management Unit.

Practical Guide to Contract procedures for EC external actions The working tool which explains the contracting procedures

applying to all EC external aid contracts financed from the European Communities general budget (Budget) and the European Development Fund (EDF). Since it incorporates the relevant provisions of the legal texts respectively ruling the Budget and the EDF, the purpose of this instrument is to provide all users, in an encompassing manner, with all the information necessary to undertake procurement or a grant procedure from the very first steps to the award of contracts, including the contracting procedures. Internet address:

http://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/new_prag_final_en.pdf

pre-selection The interim results of the application evaluation process conducted by the Evaluation Committee whereby the proposals submitted under this Call for Proposals have positively passed the ‘Concept Note’ evaluation step.

Private sector actors National and international organizations and entities that are not part of any governmental structure. It includes for-profit (SMEs, industry, etc.) and not-for-profit organizations private sector associations, chambers of commerce, NGOs, etc.), and can have a formal or informal structure.

Problem tree A diagrammatic representation of a negative situation, showing a cause-effect relationship.

Profit and loss account The financial statement that shows the revenue, expenditure and the profit and/or loss of an organisation.

Project purpose The specific objective(s) of the project.

Provisional selection The interim results of the application evaluation process conducted by the Evaluation Committee whereby the proposals submitted under this Call for Proposals have

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positively passed the ‘Full Application Form’ evaluation step.

Region In the context of the ACP Science and Technology Programme, this is referred to as one of the 6 regions in the ACP area (see Chapter 2 of this Manual).

Resources The means needed to implement projects and procedures, such as people, equipment, services, supplies, facilities, finances and time.

S&T Science and technology.

Selection criteria The evaluation criteria – applied in the ‘Full Application Form’ evaluation step under this Call for Proposals – that help assess the Applicants' financial and operational capacity to ensure that they have:

• stable and sufficient sources of finance to maintain their activity throughout the period during which the Action is being carried out and, where appropriate, to participate in its funding;

• the management capacity, professional competencies and qualifications required to successfully complete the proposed Action. This also applies to any partners of the Applicant.

SME Small and Medium-sized Enterprises.

Special Conditions The special conditions laid down by the Contracting Authority as an integral part of the Call for Proposals dossier, including amendments to the General Conditions and clauses specific to the contract. It forms an integral part of the set of contractual documents. Internet address: http://ec.europa.eu/europeaid/work/procedures/implementation/grants/documents/e3_h_1_speccond_en.doc

Specific objective The anticipated effect a project will achieve by delivering the planned results.

Stakeholder Any person, group or organisation that is interested in, affected by or involved in the proposed Action.

Standard Contribution Agreement The grant contract between the Contracting Authority and

the Beneficiary in case the Beneficiary is an international organisation, with the exception if it concerns an organisation with which the EC has concluded a specific framework agreement. It is drawn up by EuropeAid Co-operation Office on the basis of the standard grant contract for external aid.

Start-to-start A model used in project management whereby a particular activity must start before another activity can start. This relationship is based on the activity start times. The end times of each activity are not related and, in fact, one activity could end at a much later time than the other.

Start-to-finish A model used in project management which emphasizes to be certain to keep a logical flow to the project(s), ensuring that the successor activity does not begin until after the

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predecessor activity is completed. This is the most logical path to follow when planning a project.

Statutes Legal act of establishment or Court registration that regulates the activities of the organisation and the functions of its management bodies in conformity with other details provided in the law. Organisations are formally governed by their statutes.

Subcontractors The organisation (public entity or private company) that will execute some necessary limited parts of the Action which the beneficiaries of the grant cannot execute themselves, e.g., the supply of products, execution of works, or provision of services. They are neither partners nor associates, and are subject to the General Conditions and the Procurement Rules set out in the Annexes II and IV to the standard Grant Contract (see Annex F of the ‘Guidelines for Grant Applicants’).

Successful Applicant The Applicant selected at the end of a Call for Proposals procedure for the award of a contract.

Sustainability The ability to continue any given activity into the future within the likely existing resources of an organisation or project, as part of its ongoing budgetary and management processes.

Target groups -or- Direct beneficiaries The groups or entities that will be directly positively

affected by the project at the project purpose level.

UN United Nations.

Unit A standard measure of a quantity, e.g., day, month, flight, meeting, item, etc.

Unit rate (in EUR) The figure describing how many euros correspond to one unit of expenses (cost per item).

VAT Value Added Tax.

WTO World Trade Organization.

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CALL PROFILES

Livestock CGS Research Call for 2006 (Livestock/ 01)

Result Area 1: Institutional capacity for cost-effective surveillance and innovative methods of pests disease control in livestock and forage crops developed and promoted.

Background

Disease remains the topmost concern of the stakeholders because of its effects in productivity and access to lucrative markets for livestock and livestock products. To the producers, the priority diseases are ticks and tick-borne diseases in cattle-based enterprises; worms in cattle, goats and pigs; New Castle Diseases in chickens; and African swine fiver in pigs. The strategy document of the Ministry of Agriculture, Animal Industry and Fisheries puts considerable emphasis on notable diseases: Foot and Mouth Diseases; Contagious Bovine and Caprine Pleuropneumonia in the context of creating disease-free zone to win credibility of the regional, and international markets. Resurgence of tsetse and the attendant trypanosomosis has provoked political overtures that MAAIF needs to contain. There is urgent need to establish the geographical spread and ascertain risk levels to the livestock and human population. There are a number of technologies that have been proven to contain the pests and diseases. The persistence of the problems among resource poor households is indicative of incompetence in the existing innovation system to create, managed and utilized knowledge and technologies.

New Castle Disease remains the major challenge in free range poultry production. Community-based vaccination programs has been successful in delivering thermo-labile vaccines, to offset losses and increase offtakes in rural flocks. Thermostable vaccines have been evaluated and proven to be economically viable and socially acceptable. The challenge is to develop the national capacity to produce and distribute the vaccines to farmers at affordable prices.

For more than 2 decades, Napier grass (Pennisetum purpureus) has been the feed base for smallholder dairy production in Uganda. The fodder base is threatened by Napier Stunt Disease.

Research and development assignment for call

This call: Institutional capacity for cost-effective surveillance and innovative methods of pests disease control in livestock and forage crops developed and promoted, will focus on ticks and tick-borne diseases, worms, tsetse notifiable diseases, viral diseases in pigs and poultry, and NSD IN Napier grass. It is expected to provide innovative tools, methods and approaches, policies and institutions that will enhance access of resource-poor households to improved technologies for controlling the key pests and diseases and to improve the competitiveness of the poor farmers in the livestock market. In the case of notifiable diseases, policy incentives and diagnostic tools that enhance community participation in disease surveillance and compliance to veterinary regulations is a notable area of interest. The underlying hypothesis is that: Limited participation of the consumers, producers, the private sector, and scientists is a disincentive to adoption and utilization of disease control methods in livestock production.

Research design

CN should therefore be indicative of an integrated agricultural research approach that brings together all relevant stakeholders in the technology development and dissemination processes. Generically, the stakeholders are expected to include scientific, policy, and private sector institutions, farmers’ and

12.2: Call Profiles

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advisory service organizations. Where desirable, the CN should show the need and capacity to perform cutting edge science for new knowledge as public or private goods or services. There must be of indication of well-articulated environmental and social implications including specific gender concerns; and estimates of levels of adoption, expect impact and methods of monitoring and evaluation. A brief logical framework must be included.

Budget requirements

The CN should present a realistic indication of at most a 3-year financial scope of the work. Please note that:

1. The total cost of the project should not exceed US $ 30,000 for three years 2. The scheme covers only direct costs including professional fees for quantified professional

time. Stipends for students, per diems, and supervision fees are not included 3. The scheme does not cover salaries, wages and allowances such as medical cover, housing 4. Grantee institutions are eligible to overhead allowance not exceeding 15% of the total budget

for field or laboratory based research.

Other issues related to the call

1. Documentary evidence of willingness of stakeholders’ institutions to participate in the project duly expressed on letterheads and endorsed by the head of the institution.

2. Electronic version should reach the Office of Director for Research by 5:00 pm of 21st April, 2006

3. Adhere to the format for the CGS in the number of words/pages 4. For a consortium that involves foreign institutions, the Lead Investigator must be a Ugandan

from registered institution 5. NARO is not liable to sub-contractual obligations undertaken by the grantee of the call.

Result area 2: Innovations for rational land and water resource use in food and feed production in intensive, semi-intensive and rangeland production systems developed and promoted:

Background

High population growth in Uganda has exacerbated the urge to produce more food using high yielding, nutrient demanding crop varieties and livestock breeds on highly fragmented and rapidly declining per capita land holdings. Population pressure has also compelled farmers to encroach on marginal lands including steep slopes, forest ecosystems and wetlands. Over the years, these factors have contributed to progressive degradation of the biophysical environment, notable among which is a legacy of unabated soil fertility declines, increased vegetation and biodiversity losses, and the development of favourable climatic conditions for spread of previously unfamiliar diseases to the region, notably malaria. Intensive cultivation has led to precipitous soil fertility declines, and low agricultural productivity is a primary cause of periodic food insecurity and acceptably high levels of poverty in the country because farmers can neither produce enough food to store for the lean months of the year nor realize sufficient surplus for sale and income generation. Seasonal feed and water shortages are persistent features in the rangeland production systems. During the LSRP phase fodder bank technologies and feed conservation technologies were tested and disseminated, but the adoption was lower than expected due to limitations on land and drudgery in hay and silage making. In the pastoral areas an early warning system was developed as an internet based advisory for pastoralists in the western and central rangeland of Uganda. The application has neither been institutionalized in the National Early Warning System nor integrated into the ongoing

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rangeland monitoring and inventorying process. Cymbopogon nardus is one of the undesirable plant species that pastoralists identified as major constraint to forage supply especially in the dry season. The importance of the weed as an aggressively invasive species, its potential as a threat to biodiversity, and impact on livestock productivity has been established. However scientists know too little about the biology of the weed and sustainable options to contain it below economically injurious levels. The problem of the weed is compound by high stock densities, and attitudes that dissuade individuals and communities to invest in appropriate land and water resources management. Development of a rangeland policy is in progress. The process should be nurtured by robust knowledge derived from platforms and debates that involves and informs all stakeholders.

Research and development assignment to the call

This call targets CNs that will lead to the development of decision support tools for delivering customized advisories to farmers on enterprise selection on smallholdings in intensive, semi-intensive, and rangeland production systems. It includes development of new tools and institutionalization of the applications of proven models. Noting the complexities in the rangeland ecosystems, and new of multi-stakeholder participation, harness competencies from relevant stakeholders in addressing the technological, economic, policy and social factors. The thrust should be on: management of the rangeland weeds; attitudinal change in land and water resource management and; systems integration options that links rangelands to the market. The generic hypothesis is that: Smallholder crop–livestock farmers, and pastoral communities can derive economic benefits from decision support tools and systems integration linked to urban markets.

Research design features

IAR4D is adopted as the operating paradigm in the call. The CNs must indicate relevant multidisciplinary inputs, with strong indications of the envisaged interactions between natural environment and human interventions including policies and the market.

Budget requirements The CN should present a realistic indication of at most a 3-year financial scope of the work. Please note that:

1. The total cost of the project should not exceed US $ 30,000 for three years 2. The scheme covers only direct costs including professional fees for quantified professional

time. Stipends for students, per diems, and supervision fees are not included 3. The scheme does not cover salaries, wages and allowances such as medical cover, housing 4. Grantee Institutions are eligible to overhead allowance not exceeding 15% of the total budget

for field or laboratory based research.

Other issues related to the call

1. Documentary evidence of willingness of stakeholders’ institutions to participate in the project duly expressed on letterheads and endorsed by the head of the institution.

2. Electronic version should reach the Office of Director for Research by 5:00 pm of 21st April, 2006

3. Adhere to the format for the CGS in the number of words/pages 4. For a consortium that involves foreign institutions, the Lead Investigator must be a Ugandan

from registered institution 5. NARO is not liable to sub-contractual obligations undertaken by the grantee of the call.

Result Area 3: Utilization of plant and animal biodiversity for food production and income generation enhanced

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Needs assessment strongly indicated that improved breeds of goats; chicken and pigs are on high demand by farmers. The Boer goat craze has provoked concerns among the scientific community that indiscriminate breeding was an imminent threat of erosion of genetic merits of the indigenous goat population. In any case, such introductions appeared to have been guided by intuitive impulses and uninformed policies rather than credible economic analysis and information about the target markets. Livestock Development Strategy (2005/06–2007/08) has identified a number of genetic resources that can be tapped for goat improvement. The gap is a market focused breeding program with defined breed standards to guide the selection process and develop management packages for producing desirable marketable products. Effort to improve genetic potential in the free range poultry using the SAARI cockerel program has indicated that growth rate, egg number, size and clutch size can be doubled using F1 upgrade cocks in the breeding program. However, there are indications that the response of the improved chicken to endemic disease challenges is likely to tilt preference in favour of indigenous chickens. Review of the Farmers’ experiences indicated that the stock of cattle in Uganda produce below the breed standards for dairy cattle elsewhere and there is need to recharge the gene pool through importation of pedigree semen, embryos and live animals. But the current ban on importation of cattle has impeded utilization of these options. Nevertheless there are indications that high performing dairy cattle exist within the national herd. A comprehensive strategy to optimize their utilization has not been adequately explored. Compared to other livestock, pigs are new animals in Uganda having been introduced less than five decades ago. There are indications that performance of the national herd is affected by inbreeding depression and a relatively closed population. These contention needs to be validated and strategies for broadening the gene pool established.

Intensive dairy production which has been a major toolkit in the household poverty reduction schemes and emancipation of women is reliant on Napier grass (Pennisetum purpureus). However, Napier Stunt Disease is an emerging threat to the feed base that needs to be contained before it attains crisis levels. Season fluctuations in forage supply especially in the rangelands calls for innovative strategies for improving pasture productivity and efficiency of utilization in the rangelands and arid agropastoral systems.

Research and development assignment to the call

The CN is expected to show market focused livestock breeding programs with defined breed standards to guide the selection process and develop management packages for producing desirable marketable products. Elements should strategize for developing institutional capacities for enhancing the exploitation of existing animal population, and strategic imports to broaden the gene pool. Innovative approaches for including disease resistance in the breeding programs will be of comparative advantage as a public or private good.

Research design features

IAR4D is adopted as the operating paradigm in the call. The CN must indicate relevant multidisciplinary inputs, with strong indications of the envisaged interactions among the public, private and farmers’ organizations. Ways to creating incentives among farmers to participate in National Herd Recording schemes is of strategic importance. Similarly innovative methods of dissemination information for the National Herd Registry will be an important feature.

Budget requirements The CN should present a realistic indication of at most a 3-year financial scope of the work. Please note that:

1. The total cost of the project should not exceed US $ 30,000 for three years 2. The scheme covers only direct costs including professional fees for quantified professional

time. Stipends for students, per diems, and supervision fees are not included

NATIONAL AGRICULTURAL RESEARCH ORGANISATION

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3. The scheme does not cover salaries, wages and allowances such as medical cover, housing 4. Grantee Institutions are eligible to overhead allowance not exceeding 15% of the total budget

for field or laboratory based research. Other issues related to the call

1. Documentary evidence of willingness of stakeholders’ institutions to participate in the project duly expressed on letterheads and endorsed by the head of the institution.

2. Electronic version should reach the Office of Director for Research by 5:00 pm of 21st April, 2006

3. Adhere to the format for the CGS in the number of words/pages 4. For a consortium that involves foreign institutions, the lead investigator must be a Ugandan

from registered institution 5. NARO is not liable to sub-contractual obligations undertaken by the grantee of the call.

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DM2009 COMPETITION GUIDELINES

I. OVERVIEW I.a. Introduction Development Marketplace (DM) is a competitive grant program administered by the World Bank and supported by the Global Environment Facility (GEF) and additional DM partners that identifies and funds innovative, early-stage projects with high potential for development impact. Since its inception in 1998, DM has awarded roughly US$54million to more than 1,000 projects through global, regional and country-level Marketplaces. Using DM funding as a launching pad, many projects go on to scale up or replicate elsewhere, winning prestigious awards for social entrepreneurship. I.b. DM2009: Innovations for Climate Adaptation There is now a strong consensus that climate change presents an urgent challenge to the well-being of all countries, particularly the poorest people in them. Even if efforts to reduce greenhouses gas (GHG) emissions are successful, it is no longer possible to avoid some degree of global warming and climate change. The primary direct effects of climate change are an increase of droughts and floods, more seasonal peaks in river flow, and a higher probability of stronger tropical storms. The poorest countries and communities are likely to suffer the most because of their geographical location, low incomes, and low institutional capacity, as well as their greater reliance on climate-sensitive sectors like agriculture. Adaptation to climate risks and change therefore is increasingly important in developing countries; this is understood as efforts to adjust to ongoing and potential effects of climate change. Building up resilience to increasing climate variability is the most significant climate challenge facing these countries. Countries will need to factor climate risks into their developing planning, and consider the range of interventions that will increase their resilience to climate change. This call for proposals aims to identify the most innovative means to address this challenge. II.ELIGIBILITY CRITERIA II.a. Sub-themes Each project idea submitted to the competition must focus on one of the three following sub-themes described below. Although a project idea may be relevant to more than one sub-theme, it can only be submitted through one sub-theme. A project idea that is submitted by an applicant through more than one sub-theme window will be ineligible.

Sub-theme 1: Resilience of Indigenous Peoples Communities to Climate Risks

There are approximately 250 million Indigenous Peoples worldwide. Indigenous Peoples are distinct in that the land on which they live, and the natural resources on which they depend, form part and parcel of their identity and culture. Ancestral territories of Indigenous Peoples encompass up to 22% of the world’s land surface and coincide with regions containing the world’s remaining forests and rich reserves of biodiversity and other natural resources.

Climate change poses differential and heightened threats to the survival of Indigenous Peoples communities. Indigenous Peoples, particularly those living in deserts, high altitudes, tropical forests, islands and coastal regions, and the arctic already experience adverse impacts of climate change. At the same time, because of their close traditional relationship with the environment, Indigenous Peoples are uniquely positioned to adapt to climate change. Indigenous Peoples’ rich traditional knowledge on the environment, agriculture, land management, cultural practices, and trade and customary law can provide a basis for innovations needed to adapt to climate change. However, this knowledge possessed by their elders is itself under serious threat of being forgotten to the detriment of future generations.

This sub-theme of the DM2009 promotes Indigenous Peoples communities and organizations development of innovative ways to adapt to climate change. With particular interest on efforts that focus on the engagement of women and youth, we seek proposals that:

12.3: DM2009 Competition Guidelines

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• Identify and conserve agriculture, land, water and soil management practices that are based on traditional Indigenous knowledge and that help increase the resilience of Indigenous Peoples communities to climate threats;

• Develop and apply innovative adaptation plans and communication strategies based on Indigenous systems that would help accelerate learning and knowledge sharing on climate change adaptation.

Sub-theme 2: Climate Risk Management with Multiple Benefits Poor communities have the weakest capacity to manage climate risks. They already struggle to cope with climate variability and extreme weather. These shocks interact with socio-economic factors to worsen the vulnerability and inequality of disadvantaged groups such as women, children, the elderly, and persons with disabilities. As the future brings more dramatic climates, their vulnerability is set to increase unless adaptation is stepped up. Communities need to build resilience to climate variability and climate change. At the same time as robust adaptation helps safeguard progress in reducing poverty, it may also yield other benefits such as conserving biodiversity and improving the state of eco-systems. This sub-theme of the DM2009 promotes innovative community-based climate risk management with multiple social and environmental benefits for the vulnerable. Specifically, we seek proposals that deliver multiple social and environmental benefits and empower poor communities exposed to climate risk to:

• Test innovative, low-cost strategies to spread climate risk beyond the local level (e.g. trade and value-chain improvements; micro-finance), with a preference for strategies that target vulnerable groups such as women, children, the elderly;

• Forge innovative partnerships that build adaptive capacity of vulnerable communities, including increased

access to climate risk management knowledge, information, and services;

• Use innovative means to help educate communities on climate risks that leads to empowerment for action.

Sub-theme 3: Climate Adaptation and Disaster Risk Management Climate change is projected to worsen the frequency and severity of extreme weather events. Already, disasters kill tens of thousands of people every year and destroy the livelihoods of millions. Disasters destroy decades of development gains in a few moments and the costs of relief, recovery, and reconstruction consume billions of dollars from regular development funds and household savings. Disasters push households towards poverty by destroying their human, social, and fixed capital and trap poorer households in persistent poverty. Moreover, disasters disproportionately impact disadvantaged groups such as women, children, the elderly, and persons with disabilities. Sustained long-term efforts are needed to integrate climate adaptation and disaster risk management to reduce vulnerability and safeguard development in urban and rural areas. This sub-theme of the DM2009 promotes innovative ideas linking climate adaptation and disaster risk reduction. Specifically, we seek proposals that:

• Develop innovative arrangements, such as social safety nets or micro-insurance, that diffuse climate-related disaster risks faced by the poor and vulnerable beyond the local level with a preference for proposals that target vulnerable women, children, the elderly, persons with disabilities and communities in conflict-prone areas;

• Create innovative low-cost approaches for making housing and local infrastructure resistant to climate-related disasters and for spatial planning (land use, housing, coastal zone management) for climate resilience;

• Improve the capacity of local communities to access and use multi-hazard risk information to enhance their early warning systems for droughts, floods and cyclones and other community-based responses to climatic extremes and climate change.

II.b. On-the-ground results The proposal must target a group of beneficiaries that would be impacted directly by the project. While applied field research is eligible, proposals with the primary output of academic / published research or knowledge dissemination through publications or conferences are not eligible for DM grants.

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II.c. Organization type: Organizations, including non-governmental organizations (NGOs), other civil society organizations (e.g. community associations, faith-based groups, labor unions, etc.), private foundations, development agencies, government agencies, academia and the private sector are eligible to apply, subject to the criteria below. The eligible organization applying must be legally registered in a member country of the World Bank, have an established bank account in its name, and be able to receive international financial contribution (in US dollars). The universe of country-based options is imbedded in the short-proposal form. Organizations that are active in World Bank supported programs and past DM winners (from global, region, or country-level competitions) can apply if their proposal is substantially different from the one that has already received World Bank / DM funding. Individuals, including World Bank consultants and other World Bank employees are not eligible. Organization type criteria: i) For sub-theme 1, applicants must be from Indigenous Peoples (IP)’ communities, IP not-for profit and non-governmental organizations, and IP research centers or universities located in the country where the project will be implemented. Because the World Bank can only enter into a Grant Agreement with a legally registered entity, an IP community or IP group that does not have legal representation but would like to apply may designate a non-government organization or other civil society organization, a private foundation or a development agency that is legally registered in the country of implementation to apply on its behalf. In such cases, the relationship between the IP community or group and the applicant entity must be made explicit in writing in the Implementation Capacity of the Organization(s) question of the short form application. Please note that in the case that the proposal is selected to receive a grant, the designated applicant will enter into a Grant Agreement with the World Bank on behalf of the IP community or IP group. Also, consistent with the World Bank Policy on Indigenous Peoples OP 4.10, prior to signing the Grant Agreement, the designated applicant will be requested by the World Bank to submit a letter from the IP community or IP group that is signed by their leader/s and/or representatives, that delegates the applicant organization to apply on the IP community or group’s behalf and that states the broad support of the IP community or group. The address and contact information of the representative(s) of the IP community or group benefiting from the project must be indicated. All IP eligible applicants, including those that have been designated by an IP community or group, can (but are not required to) apply in partnership with another entity from inside or outside the country of implementation, including NGOs and other civil society organizations, private foundations, development agencies, government agencies, academic institutions, and private businesses. ii) For sub-themes 2 and 3, applicants for DM2009 are welcomed from the following organizations - NGOs, other civil society organizations, private foundations, development agencies, government agencies, academia and the private sector. However, some types of these organizations are required to have a partner. Specifically: For the sub-themes (2) Climate risk management with multiple local benefits and (3) Disaster Risk Management: NGOs, other civil society organizations / groups, private foundations or development agencies that are based in the country of implementation may apply without a partner. All other groups must apply in partnership with at least one organization, subject to the conditions below:

At least one of the parties involved in the proposal must be based in the country of implementation. Both parties cannot be private businesses. Both parties cannot be academic institutions. Both parties cannot be local, national or regional government institutions.

II.d. Implementation time frame Proposed activities must be completed within two years of receiving the initial disbursement from Development Marketplace.

II.e. Award size Requests for DM funding must not be greater than US$200,000 or less than US$50,000. II.f. Language Consistent with past World Bank small grant programs for Indigenous Peoples, proposals for Sub-theme 1 may be submitted in English, Spanish or French. For Sub-themes 2 and 3, proposals must be submitted in English.

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Irrespective of sub-theme, all finalists of the DM2009 competition will be offered translation services on an “as needed” basis to comply with the DM requirement that all full proposals are submitted in English to the jury panel that selects the winning proposals. III. ASSESSMENT CRITERIA Proposals will be assessed according to the following criteria: III.a. Innovation Innovation is a major differentiating element of DM competitions compared to other development grant programs. All proposals selected for funding should go beyond standard climate change adaption development projects. The proposal will be assessed according to how it differs from existing approaches. Note that transferring an approach to solve a common problem from one beneficiary group or from one geographic area to another is not considered innovative by the DM Program. Please see the Annex for details. III.b. Objective & Measuring Results The project should have clear and measurable results that will have a direct impact on improving individuals’ or communities’ ability to adapt to climate change. The expected results / outcome of the proposed project should be achievable within the timeframe of implementation of the DM funding. Assessors will also examine the quality of proposed indicators of the outcomes/results you expect to achieve and review any other method(s) that you propose to use to measure project success. III.c. Project Design & Organizational Capacity The project should have a realistic plan with concrete steps/activities to achieve the project objective within the two-year or less span of implementation. The organization’s, and if applicable, its partner’s capacity to implement the project will be assessed. III.d. Sustainability of Impact Assessors will assess the characteristics of the project that, if successful, will help ensure that its results and development impacts are sustainable after DM funding. Depending on the project design, the characteristics could involve financial and/or organizational sustainability. For organizational sustainability, proposals should describe the factors related to your organization’s capacity and the capacity of your partner organization to sustain the results of the project.

For financial sustainability, the strategy to become self-perpetuating will differ depending on the type of project.

• For revenue-generating projects, a realistic timeframe and pathway to reach the point of revenue breakeven should be included. If possible, project the long term expenses and revenue/income stream (noting any market assumptions for sources such as user fees, sales revenues, community contributions, etc.). If breakeven is not expected by the end of DM support, the strategy for external donor or investor support between the end of the DM project and the breakeven point should be stated.

• For projects that are not generating any income or revenue, the proposal should provide a realistic strategy for

sustaining the project’s results after completion of DM support from sources such as other donors, private foundations, and government agencies, etc.

III.e. Growth Potential DM places a premium on projects that have the potential to have a large scale development impact. Assessors will explore possible constraints as well as the opportunities to scaling up / replicating. Note: Replicability is when a project can be adopted by other groups. For example, a new method for organizing work flow and quality control to increase production of bamboo-based home decorations tested by a DM project is then transferred / learned by a rural artisan cooperative of Vietnamese women, and as a result they increase production from 1,000 pieces to 10,000 pieces per month, enabling them to get a major EU retailer to become a customer of the cooperative. Scalability is when a project can be expanded within a geographic area to benefit more people in the project area. For

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example, an innovative approach to use specific types of grasses to stabilize freshwater embankments that has been successfully tested on a few hectares of embankments is then rolled out on a massive scale along creeks in fragile, high rainfall areas on the Eastern slopes of the Andes Mountains. IV. Selection Process Once the call of proposals is closed, the following process is used to select the winners: 1. All submitted proposals are screened by the DM Program and World Bank sector specialists to ensure proposals are eligible. 2. Eligible proposals are assessed by experts in each sub-theme on how innovative the project idea is. The most innovative subset of proposals is then assessed by experts using all five assessment criteria. At least three sector specialists read each proposal. In aggregate, at least half of the assessors are experts from outside the World Bank. 3. The 100 top ranked proposals will be identified as finalists, subject to the condition that at least the 20 top ranked proposals from each of the three sub-themes will become finalists. (This condition is in place to ensure all three sub-themes are adequately represented at the Marketplace). 4. The 100 finalists will be invited to submit a more detailed full proposal in English and to attend the Marketplace Event at World Bank Headquarters in Washington DC. There, an independent jury comprised of senior World Bank staff and leading individuals in development outside the World Bank (from academia, civil society, foundations, government, other donor institutions and the private sector) will select 20-25 winners based on the five selection criteria and a review by the World Bank to ensure consistency with applicable World Bank policies, procedures and practices and aligned with the World Bank's mission. To take advantage of the presence of a variety of development actors together in one place, DM also will convene a set of Knowledge Exchange sessions at the event to share ideas and engage finalists with other representatives of the development community. The World Bank will cover the cost for one representative from each finalist team to attend the event. V. COMPETITION TIMELINE AND KEY STEPS May 18, 2009: Call for proposals closes at 6 p.m. EST (22:00 GMT) July 30, 2009: Announcement of finalists September 15, 2009: Deadline for finalists to submit their full proposal (tentative date) November 3-5, 2009: Global Development Marketplace & Knowledge Exchange, Washington, D.C. VI. HOW TO APPLY

1. PROPOSALS MUST BE SUBMITTED THROUGH THE DEVELOPMENT MARKETPLACE WEBSITE. For instructions on how to apply, please visit our website at www.developmentmarketplace.org and posted step-by-step instructions for filling out the online proposal form.

2. The online form allows applicants to save a draft of their proposal in the system while they work on it. Note that only submitted applications will be considered for the competition and that any proposal in draft form will be automatically deleted after the submission deadline. To be considered for this competition, please make sure that you click the “Submit” button on your application by 6:00 p.m. EST (22:00 GMT) on May 18, 2009.

3. The Development Marketplace Team must receive your completed proposal by 6:00 p.m. EST (Washington, D.C. time) or 22:00 GMT on May 18, 2009.

4. If you are unable to access the internet or our website, please contact the DM team at +1 (202) 676-0959 by

fax or send an e-mail to: DMinfo@worldbank.org.

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ANNEX: DEFINING INNOVATION

Innovation is a major criterion for the Development Marketplace. All proposals selected for funding will be innovative beyond traditional development projects. For illustrative purposes only, here are some examples of possible types of innovation.

New technologies

• New technologies and communication tools to translate weather and climate information for local use

• New technology, standards, and practices that are resilient to changing climates and climate related disasters, for low-cost housing and local infrastructure

New products or services using existing technology

• Rapid participatory testing of new varieties of crops and practices for new climates

• New community-based approaches to deliver safety nets and micro-insurance for managing climate risk

• A portable package to help integrate a climate risk mapping system that combines multiple sources of information (scientific, participatory, customary knowledge) and tools (satellite maps, participatory 3-D mapping, sketch mapping, clay models)

• New means to equip urban planners with knowledge and tools to adopt standards of climate resilient housing and local infrastructure

• New agriculture products and practices that conserve water and are resilient to low and unpredictable rainfall

New processes, including new mechanisms to deliver products or services

• New processes that enable rapid exchange of adaptation knowledge among indigenous groups

• New types of incentives to spur adoption of practices that better manage the risks from new climates

• New approaches including those that draw from multiple sources of knowledge (scientists, practitioners) to identify and target communities and households vulnerable to climate risks

• New type of partnership to share and act upon land, water, and soil management knowledge

• New type of partnership to help farmers access markets, products, and services for climate risk management (for example, setting up farmers’ groups that promote resilient and water conserving crops or to market those crops)

• Novel micro-finance scheme geared toward managing climate risks or improving the value chain

ACP Science and Technology Program Grant Application Form – Call for Proposals 2008 1

African, Caribbean and Pacific Group of States (ACP Secretariat)

ACP Science and Technology Program 1

Grant Application Form

Open Call for Proposals 2008

9th European Development Fund (Lot 1) and

Budget Line 21.03700 (Lot 2)

Reference: EuropeAid/127860/D/ACT/ACP

Deadline for submission of applications: 27 February 2009

Name of applicant:

Title of the action:

Lot:

Location(s) of the action:

<specify country(ies), region(s), area(s) or town(s) that will benefit from the action>

Total eligible cost of the action (A)

(EUR)

Amount requested (B)

(EUR)

% of total eligible cost of the Action (B/A x 100)

(%)

Total duration of the action: (months)

Dossier No (for official use only)

1 (formerly called ‘Program for Science and Technology Innovations and Capacity Building’ – PSTICB).

12.4: ACP Science and Technology Programme Grant Application Form

ACP Science and Technology Program Grant Application Form – Call for Proposals 2008 2

Contact details for the purpose of this action:

Postal address:

Telephone number: Country code + city code + number

Fax number: Country code + city code + number

Contact person for this action:

Contact person’s e-mail address:

Any change in the addresses, phone numbers, fax numbers and in particular e-mail, must be notified in writing to info@acp-st.eu. The ACP Secretariat will not be held responsible in case it cannot contact an applicant.

NOTICE Please read and complete this grant application form with all due care in accordance with the

Guidelines for Grant Applicants.

Please note that the evaluation of your full application form (Part B) will only be performed if your

concept note (Part A) has been pre-selected. Hereafter, the eligibility conformity check will only be

performed for those proposals that have been provisionally selected according to the score obtained

after the complete evaluation on the basis of (a) the supporting documents requested by the ACP

Secretariat and (b) the ‘Declaration by the Applicant’ (Section VI) signed and sent together with the

application .

PART A. CONCEPT NOTE

I. GUIDANCE FOR THE DRAFTING OF THE CONCEPT NOTE

There is no specific template for the concept note, but the applicant has to ensure that the text of his concept note:

• does not exceed 4 full pages (A4 or letter size) of Arial 10 characters with 2 cm margins; • responds, in the same sequence, to the headings listed below and in the full application form

(Part B). It is expected that the size of each section will reflect the relative importance of each heading (ref. max. scores in the evaluation grid – Section VII – and in the guidelines for grant applicants). The applicant may provide any additional information that he may deem useful

ACP Science and Technology Program Grant Application Form – Call for Proposals 2008 3

for the evaluation, but which might not have been specifically requested (e.g., added value and/or synergy with other similar interventions — past, present, or planned — past activities, multiplier or spill-over effects, why the Applicant is the best placed for the implementation of the Action, etc). The evaluation will be carried out in accordance with the evaluation grid and it will be based solely on the information provided by the applicant in the concept note;

• is drafted as clearly as possible to facilitate its assessment; and • is described according to the following paragraphs:

1. Title of the action 2. Relevance of the action Provide a general presentation and analysis of the problems and their interrelation at all levels. Identify clearly specific problems to be addressed by the Action. Include a brief description of the target groups and final beneficiaries. Demonstrate the relevance of the proposal to the needs and constraints in general of the target

country(ies) or region(s) and to the target groups/final beneficiary groups in particular. Demonstrate the relevance of the proposal to the priorities and requirements presented in the

Guidelines for Grant Applicants. 3. Description of the action and its effectiveness Provide a description of the proposed action including, where relevant, background information

that led to the presentation of this proposal. This should include: − a description of the overall objective of the action, outputs and expected results; − a description of the proposed activities and their effectiveness; − involvement of implementing partners, their role and relationship to the Applicant, if

applicable, and the applicant's relationship with them; − other possible stakeholders (national, local government, private sector, etc.), their

anticipated role and/or potential attitudes towards the project. 4. Sustainability of the action Provide an initial risk analysis and eventual contingency plans. This should include at minimum a

list of risks associated for each activity proposed accompanied by relevant mitigation measures. A good risk analysis would include a range of risk types including physical, environmental, political, economic and social risks.

Give the main preconditions and assumptions during and after the implementation phase. Explain how sustainability will be secured after completion of the action. This can include aspects

of necessary follow-up activities, built-in strategies, ownership, etc., if any.

ACP Science and Technology Program Grant Application Form – Call for Proposals 2008 4

PART B. FULL APPLICATION FORM

I. THE ACTION

1. DESCRIPTION

1.1. Title

1.2. Location(s)

Country(ies), region(s), town(s)

1.3. Cost of the action and amount requested from the ACP Secretariat

Total eligible cost of the action (A)

Amount requested (B) % of total eligible cost of the action (B/Ax100)

[EUR] [EUR] %

Lot

NB: The % of total eligible cost of the action must not exceed 85%.

Please note that the cost of the action and the contribution requested have to be expressed in EURO

1.4. Summary (max. 1 page)

Total duration of the action

months

Objectives of the action Overall objective(s) Specific objective

Partner(s)

Sector2

Target group(s)3

Final beneficiaries4

2 Where applicable, clearly indicate the sector specified in the call for proposals to which the proposed

Action would apply - See paragraph 2.2 in Section II for the list. 3 ‘Target groups’ are the groups/entities who will be directly positively affected by the project at the project

purpose level (i.e., the Specific Objective level) – See paragraph 2.3 in Section II for the list. 4 ‘Final beneficiaries’ are those who will benefit from the project in the long term at the level of the society

or sector at large. Please indicate as precisely as possible and estimate the number of beneficiaries to be reached through this action.

ACP Science and Technology Program Grant Application Form – Call for Proposals 2008 5

Estimated results

Main activities

1.5. Objective(s) (max. 1 page)

Describe the overall objective(s) to which the action aims to contribute towards and the specific objective that the action aims to achieve.

1.6. Relevance of the action (max. 3 pages)

Please provide the following information: Provide a general and detailed presentation and analysis of the problems and their interrelation at

all levels. Provide a detailed description of the target groups and final beneficiaries and estimated number. Identify clearly the specific problems to be addressed by the action and the perceived needs and

constraints of the target groups. Specify clearly which axis or combination of axes (mentioned in Section 1.2 of the guidelines for

grant applicants) the action is referring to. Demonstrate the relevance of the action to the needs and constraints in general of the target

country(ies) or region(s) and to the target groups/final beneficiary groups in particular and how the action will provide the desired solutions, in particular for the targeted beneficiaries and population.

Demonstrate the relevance of the Action to the priorities and requirements presented in the guidelines for grant applicants.

1.7. Description of the action and its effectiveness (max. 14 pages)

Provide a description of the proposed action including, where relevant, background information that led to the formulation of the action. This should include: Overall objective and the purpose of the action (max. 1 page). Provide and describe the overall

objective(s) to which the action aims to contribute towards as well as the purpose that the action aims to achieve.

Outputs and expected results (max. 4 pages). Indicate how the action will improve the situation of target groups/beneficiaries as well as the technical and management capacities of target groups and/or any local partners where applicable. Be specific and quantify outputs as much as possible. Indicate notably foreseen publications. Describe the possibilities for replication and extension of the action outcomes (multiplier effects).

The proposed activities and their effectiveness (max. 9 pages). Identify and describe in detail each activity to be undertaken to produce the results, justifying the choice of the activities and specifying where applicable the role of each partner (or associates or subcontractors) in the activities. In this respect, the detailed description of activities must not repeat the indicative action plan which has to be presented in paragraph 1.9 below.

Indicate clearly the sequence of, and links between all different activities in an appropriate project management form, identifying the critical path for implementing the action (start-to-finish, finish-to-finish, start-to-start, etc.)

ACP Science and Technology Program Grant Application Form – Call for Proposals 2008 6

1.8. Methodology (max. 4 pages)

Describe in detail: the methods of implementation and reasons for the proposed methodology; where the action is the prolongation of a previous action or project, and how the action is

intended to build on the results of this previous action or project; where the action is part of a larger program, explain how it fits or is coordinated with this

program or any other eventual planned project. Please specify the potential synergies with other initiatives, in particular from the EC;

the procedures for follow-up and internal/external evaluation; the role and participation in the action of the various actors and stakeholders (local partner/-s,

target groups, local authorities, etc.), and the reasons for which these roles have been assigned to them;

the organizational structure and team proposed for implementation of the action (by function: there is no need to include the names of individuals);

the main means proposed for the implementation of the action (equipment, tools, etc.) and for carrying out the proposed activities;

the involvement of implementing partners, their role and relationship to the applicant, if applicable, and the applicant's relationship with them;

the attitudes of all stakeholders towards the action in general and the activities in particular; any anticipated synergies with, or possible constraints due to other current or planned projects or

activities in the vicinity of the location of the action.

1.9. Duration and indicative action plan for implementing the action

The duration of the action will be <X> months. The indicative action plan may not prejudge a specific start-up implementation date. To this end, it may not make reference to specific dates or months, and therefore simply show ‘month 1’, ‘month 2’, etc. Applicants are recommended to base the estimated duration for each activity and total period on the most probable duration and not on the shortest possible duration by taking into consideration all relevant factors that may affect the implementation timetable. The activities stated in the action plan should correspond to the activities described in detail in this section. The implementing body shall be either the applicant or any of the partners, associates or subcontractors. Any months or interim periods without activities must be included in the action plan and count toward the calculation of the total estimated duration of the action. The action plan for the first 12 months of implementation should be sufficiently detailed to give an overview of the preparation and implementation of each activity. The action plan for each of the subsequent years may be more general and should only list the main activities foreseen for those years. To this end, it shall be divided into six-month interim periods (NB: A more detailed action plan for each subsequent year will have to be submitted before receipt of new pre-financing payments, pursuant to Article 2.1 of the general conditions of the grant contract - http://ec.europa.eu/europeaid/work/procedures/documents/execution/grants/e3h_2gencond_en.pdf). The action plan shall be coherent with, and based on the identification of all links and relation between the different activities described in paragraph 1.7. The action plan will be drawn up using the following format:

ACP Science and Technology Program Grant Application Form – Call for Proposals 2008 7

Year 1 Semester 1 Semester 2 Activity Month

1 2 3 4 5 6 7 8 9 10 11 1

2 Implementing body

Preparation activity 1 (title)

Local partner 1

Execution activity 1 (title)

Local partner 1

Preparation activity 2 (title)

Local partner 2

etc. For the following years: Activity Semester 3 Semester 4 Semester 5 Semester 6 Implementing body Execution activity 1 (title)

Local partner 1

Execution activity 2 (title)

Local partner 2

Preparation activity 3 (title)

Local partner 1

etc.

1.10. Sustainability (max. 3 pages)

Provide a detailed risk analysis and eventual contingency plans. This should include at minimum a list of risks associated for each activity proposed accompanied by relevant mitigation measures. A good risk analysis would include a range of risk types including physical, environmental, political, economic and social risks.

Describe the main preconditions and assumptions during and after the implementation phase. Explain how sustainability will be secured after completion of the action. This may include

aspects of necessary follow-up activities, built-in strategies, ownership, etc., if any.

In so doing, please make a distinction between the following 3 dimensions of sustainability: Financial sustainability (financing will follow up activities, sources of revenue for covering all

future operating and maintenance costs, etc.); Institutional level (Which structures would allow, and how, the results of the Action to continue

be in place after the end of the action? Address issues about the local ‘ownership’ of action outcomes);

Policy level where applicable (What structural impact will the action have - e.g., will it lead to improved legislation, codes of conduct, methods, etc.).

1.11. Logical framework

Please fill in Annex C5 to the guidelines for grant applicants.

5 Explanations can be found at the following address:

http://ec.europa.eu/europeaid/multimedia/publications/documents/tools/europeaid_adm_pcm_guidelines_2004_en.pdf

ACP Science and Technology Program Grant Application Form – Call for Proposals 2008 8

2. BUDGET FOR THE ACTION Fill in Annex B (worksheet 1 ‘Budget’) to the guidelines for grant applicants:

for the total duration of the action and for its first 12 months.

For any subcontracted activities (including the corresponding services) please complete additionally the following ‘Budget Justification’ table, providing a detailed explanation of the financial details for each budget category, indicating why an item costs what it does (at what rates) and how each item relates to the activities of the action (number of days/months, outputs, etc.).

Budget justification

Cost category

Explanation

For further information see the Guidelines for Grant Applicants (Section 2.1.4).

3. EXPECTED SOURCES OF FUNDING Fill in Annex B (worksheet 2 ‘Sources of funding’) to the guidelines for grant applicants to provide information on the expected sources of funding for the action.

NB: Please note that there are two different worksheets to be completed in Annex B. Please mention here below the contributions in kind to be provided (please specify), if any (max. 1 page).

Contribution(s) in kind to be provided (if applicable)

4. LINKAGES TO OTHER PROGRAMS AND POLICY INITIATIVES Please mention here below the linkage(s), if any, of the action to other programs or policy initiatives. Some examples of possible linkages are given in Section 1.1 of the guidelines for grant applicants (max. 1 page). Linkage(s) to other programs and / or policy initiatives (if applicable)

ACP Science and Technology Program Application Form – Open Call for Proposals 2008 11

5. EXPERIENCE OF SIMILAR ACTIONS Max. 1 page per action. Please provide a detailed description of actions managed by your organization (the applicant’s and all partners’) over the past three years. This information will be used to assess whether you have sufficient and stable experience of managing actions in the same sector and of a comparable scale to the one for which you are requesting a grant. You must make as many copies of this table as necessary to create entries for more associates and insert these directly hereafter. Reference no: Project title: Sector (see paragraph 2.2 in Section II):Name of organization Location of

the action Cost of the

action (EUR)

lead manager or partner

Donors to the action (name)6

Amount contributed (by

donor)

Dates (from dd/mm/yyyy to

dd/mm/yyyy) Object and results of the action

6 If the donor is the EU Commission or an EU Member States, please specify the EC budget line, EDF or EU Member State.

ACP Science and Technology Program Application Form – Call for Proposals 2008 12

II. THE APPLICANT

EuropeAid ID number7

Name of the organization

Please note that applicants that are registered in PADOR do not need to fill in the rest of this section.

1. IDENTITY

Legal Entity File number8

Abbreviation

Registration number (or equivalent)

Date of registration

Official address of registration

Country of Registration9

E-mail address of the Organization

Telephone number: country code + city code + number

Fax number: country code + city code + number

Website of the organization

7 This number is available to an organization which registers its data in PADOR. For more information and to

register, please visit: http://ec.europa.eu/europeaid/work/onlineservices/pador. 8 If the Applicant has already signed a contract with the European Commission. 9 If organizations / institutions/ networks are not in one of the countries listed in Section 2.1.1.3 of the

guidelines for grant applicants, please justify its location.

ACP Science and Technology Program Application Form – Call for Proposals 2008 13

2. PROFILE

Legal status10

Profit-making □ Yes □ No

NGO □ Yes □ No

Value based11 □ Political □ Religious □ Humanistic □ Neutral

Is your organization linked with another entity?

□ Yes, parent entity: (please specify its EuropeAid ID:…………………………) □ Yes, controlled entity(ies) □ No, independent

2.1. Category

Category12 Public □ Public administration □ Decentralised representatives of sovereign states □ International organization □ Judicial institution □ Local authority □ Implementation agency □ University/Education □ Research institute □ Think Tank □ Foundation □ Association □ Media □ Network/Federation □ Professional and/or Industrial organization □ Trade union □ Cultural organization □ Commercial organization

Private Implementation agency University/Education Research Institute Think Tank Foundation Association Media Network/Federation Professional and/or Industrial organization Trade Union Cultural organization Commercial organization Other non state actor

10 E.g., non-profit making, governmental body, international organization. 11 Please choose only one set of values. 12 Please specify 1) the sector to which your organization belongs, as defined in its statutes (or equivalent

document): Public (established and/or funded by a public body) OR Private (established and/or funded by a private entity); 2) in the appropriate column, the category to which your organization belongs (ONE CHOICE ONLY).

ACP Science and Technology Program Application Form – Call for Proposals 2008 14

2.2. Sector(s)13

HEALTH Health, general 12110 Health policy and administrative management 12181 Medical education/training 12182 Medical research 12191 Medical services Basic health 12220 Basic health care 12230 Basic health infrastructure 12240 Basic nutrition 12250 Infectious disease control 12261 Health education 12262 Malaria control 12263 Tuberculosis control 12281 Health personnel development WATER SUPPLY AND SANITATION 14010 Water resources policy and administrative management 14015 Water resources protection 14020 Water supply and sanitation - large systems 14030 Basic drinking water supply and basic sanitation 14040 River development 14050 Waste management/disposal 14081 Education and training in water supply and sanitation TRANSPORT AND STORAGE 21010 Transport policy and administrative management 21020 Road transport 21030 Rail transport 21040 Water transport 21050 Air transport 21061 Storage 21081 Education and training in transport and storage COMMUNICATION 22010 Communications policy and administrative management 22020 Telecommunications 22030 Radio/television/print media 22040 Information and communication technology (ICT) ENERGY GENERATION AND SUPPLY 23010 Energy policy and administrative management 23020 Power generation/non-renewable sources 23030 Power generation/renewable sources 23040 Electrical transmission/ distribution 23050 Gas distribution 23061 Oil-fired power plants 23062 Gas-fired power plants 23063 Coal-fired power plants 23064 Nuclear power plants

13 Please tick the box for each sector your organization has been active in. The sectors starting with a reference

code come from the DAC list set up by the OECD. For further information, please consult the following Internet address: http://www.oecd.org/document/21/0,3343,en_2649_34469_1914325_1_1_1_1,00.html

ACP Science and Technology Program Application Form – Call for Proposals 2008 15

23065 Hydro-electric power plants 23066 Geothermal energy 23067 Solar energy 23068 Wind power 23069 Ocean power 23070 Biomass 23081 Energy education/training 23082 Energy research AGRICULTURE 31110 Agricultural policy and administrative management 31120 Agricultural development 31130 Agricultural land resources 31140 Agricultural water resources 31150 Agricultural inputs 31161 Food crop production 31162 Industrial crops/export crops 31163 Livestock 31164 Agrarian reform 31165 Agricultural alternative development 31166 Agricultural extension 31181 Agricultural education/training 31182 Agricultural research 31191 Agricultural services 31192 Plant and post-harvest protection and pest control 31193 Agricultural financial services 31194 Agricultural co-operatives 31195 Livestock/veterinary services FORESTRY 31210 Forestry policy and administrative management 31220 Forestry development 31261 Fuel wood/charcoal 31281 Forestry education/training 31282 Forestry research 31291 Forestry services FISHING 31310 Fishing policy and administrative management 31320 Fishery development 31381 Fishery education/training 31382 Fishery research 31391 Fishery services INDUSTRY 32110 Industrial policy and administrative management 32120 Industrial development 32130 Small and medium-sized enterprises (SME) development 32140 Cottage industries and handicraft 32161 Agro-industries 32162 Forest industries 32163 Textiles, leather and substitutes 32167 Energy manufacturing 32168 Pharmaceutical production 32171 Engineering 32172 Transport equipment industry 32182 Technological research and development

ACP Science and Technology Program Application Form – Call for Proposals 2008 16

TRADE POLICY AND REGULATIONS AND TRADE-RELATED ADJUSTMENT

33110 Trade policy and administrative management 33120 Trade facilitation 33130 Regional trade agreements (RTAs) 33140 Multilateral trade negotiations 33150 Trade-related adjustment 33181 Trade education/training MULTISECTOR/CROSS-CUTTING General environmental protection 41010 Environmental policy and administrative management 41020 Biosphere protection 41030 Bio-diversity 41040 Site preservation 41050 Flood prevention/control 41081 Environmental education/ training 41082 Environmental research Other multisector 43030 Urban development and management 43040 Rural development 43050 Non-agricultural alternative development 43081 Multisector education/training 43082 Research/scientific institutions

2.3. Target group(s)

□ All □ Child soldiers □ Children (less than 18 years old) □ Community based organization(s) □ Consumers □ Disabled □ Drug consumers □ Educational organizations (school, universities) □ Elderly people □ Illness affected people (Malaria, Tuberculosis, HIV/AIDS) □ Indigenous peoples □ Local authorities □ Migrants □ Non governmental organizations □ Prisoners □ Professional category □ Refugees and displaced □ Research organizations/Researchers □ SME/SMI14 □ Students □ Urban slum dwellers □ Victims of conflicts/catastrophes □ Women □ Young people □ Other (please specify): ……………………………..

14 SME = Small and Medium Enterprises; SMI = Small and Medium Sized Industries.

ACP Science and Technology Program Application Form – Call for Proposals 2008 17

3. CAPACITY TO MANAGE AND IMPLEMENT ACTIONS

3.1. Experience by sector (for each sector selected in paragraph II.2.2)

If you need more rows in this table, please insert these directly hereafter.

Sector Year(s) of experience

Experience in the last 3 years

Number of projects

Estimated amount (in thousand

Euros)

□ Less than 1 year □ 1 to 3 years □ 4 to 5 years □ 6 to 10 years □ 11 to 20 years □ 20 years +

□ Less than a year □ 1 year □ 2 years □ 3 years

□ 1 to 5 □ 6 to 10 □ 11 to 20 □ 21 to 50 □ 51 to 200 □ 200 to 500 □ 500+

□ Less than 1 □ 1 to 5 □ 5 to 20 □ 20 to 50 □ 50 to 100 □ 100 to 300 □ 300 to 1.000 □ 1.000 □ Unknown

□ Less than 1 year □ 1 to 3 years □ 4 to 5 years □ 6 to 10 years □ 11 to 20 years □ 20 years +

□ Less than a year □ 1 year □ 2 years □ 3 years

□ 1 to 5 □ 6 to 10 □ 11 to 20 □ 21 to 50 □ 51 to 200 □ 200 to 500 □ 500+

□ Less than 1 □ 1 to 5 □ 5 to 20 □ 20 to 50 □ 50 to 100 □ 100 to 300 □ 300 to 1.000 □ 1.000 □ Unknown

□ Less than 1 year □ 1 to 3 years □ 4 to 5 years □ 6 to 10 years □ 11 to 20 years □ 20 years +

□ Less than a year □ 1 year □ 2 years □ 3 years

□ 1 to 5 □ 6 to 10 □ 11 to 20 □ 21 to 50 □ 51 to 200 □ 200 to 500 □ 500+

□ Less than 1 □ 1 to 5 □ 5 to 20 □ 20 to 50 □ 50 to 100 □ 100 to 300 □ 300 to 1.000 □ 1.000 □ Unknown

ACP Science and Technology Program Application Form – Call for Proposals 2008 18

3.2. Experience by geographical area (country or region)

If you need more rows in this table, please insert these directly hereafter.

By geographical area (country or

region) Year(s) of experience

Number of projects

Estimated amount (in thousand

Euros)

Indicative list of regions − Europe EU − Europe non-EU − Eastern Europe − Central America − South America − Southeast Asia − Northeast Asia − South Asia − Central Asia − Mediterranean − Gulf Countries − Eastern Africa − Central Africa − Western Africa − Southern Africa − Indian Ocean − Caribbean − Pacific

□ Less than 1 year □ 1 to 3 years □ 4 to 5 years □ 6 to 10 years □ 11 to 20 years □ 20 years +

□ 1 to 5 □ 6 to 10 □ 11 to 20 □ 21 to 50 □ 51 to 200 □ 200 to 500 □ 500+

□ Less than 1 □ 1 to 5 □ 5 to 20 □ 20 to 50 □ 50 to 100 □ 100 to 300 □ 300 to 1.000 □ 1.000 □ Unknown

□ Less than 1 year □ 1 to 3 years □ 4 to 5 years □ 6 to 10 years □ 11 to 20 years □ 20 years +

□ 1 to 5 □ 6 to 10 □ 11 to 20 □ 21 to 50 □ 51 to 200 □ 200 to 500 □ 500+

□ Less than 1 □ 1 to 5 □ 5 to 20 □ 20 to 50 □ 50 to 100 □ 100 to 300 □ 300 to 1.000 □ 1.000 □ Unknown

□ Less than 1 year □ 1 to 3 years □ 4 to 5 years □ 6 to 10 years □ 11 to 20 years □ 20 years +

□ 1 to 5 □ 6 to 10 □ 11 to 20 □ 21 to 50 □ 51 to 200 □ 200 to 500 □ 500+

□ Less than 1 □ 1 to 5 □ 5 to 20 □ 20 to 50 □ 50 to 100 □ 100 to 300 □ 300 to 1.000 □ 1.000 □ Unknown

Cross-reference of experience by sector and by geographical area:

Sector(s) (as selected in paragraph 2.2)

Geographical area(s) (country or region, as identified previously)

ACP Science and Technology Program Application Form – Call for Proposals 2008 19

3.3. Resources

3.3.1 Financial data

Please provide the following information, if applicable, on the basis of the profit and loss account and balance sheet of your organization. If the original data is not expressed in Euro, please use the official InforEuro exchange rate according to the month stated. For information on the InforEuro exchange rates, please visit the following Internet address: http://ec.europa.eu/budget/inforeuro/index.cfm?Language=en.

Year15 Turnover or

equivalent

(EUR)

Net earnings or

equivalent

(EUR)

Total balance sheet or budget

(EUR)

Shareholders’ equity or equivalent

(EUR)

Medium and long-term debt

(EUR)

Short-term debt

(< 1 year)

(EUR)

N N - 1 N - 2

3.3.2. Financing source(s)

Please tick the source(s) of the revenues of your organization and specify the additional information requested.

Year14 Source Percentage (total for a

given year must be equal to 100%)

Number of fee-paying members (only for source

= Members' fees)

N □ EU Commission N/A N □ EU Member States Public Bodies N/A N □ Third Countries16 Public Bodies N/A N □ United Nations N/A N □ Other international organization(s) N/A N □ Private sector N/A N □ Member's fees N □ Other (please specify):

N/A

N Total 100% N/A

Year14 Source Percentage

(total for a given year must be equal to 100%)

Number of fee-paying members (only for source

= Members' fees)

N – 1 □ EU Commission N/A N – 1 □ EU Member States Public Bodies N/A N – 1 □ Third Countries16 Public Bodies N/A

15 N = current year; N - 1 = previous year; etc. 16 Non-EU Member States.

ACP Science and Technology Program Application Form – Call for Proposals 2008 20

N – 1 □ United Nations N/A N – 1 □ Other international organization(s) N/A N – 1 □ Private sector N/A N – 1 □ Member's fees N – 1 □ Other (please specify):

N/A

N – 1 Total 100% N/A N – 2 □ EU Commission N/A N – 2 □ EU Member States Public Bodies N/A N – 2 □ Third Countries16 Public Bodies N/A N – 2 □ United Nations N/A N – 2 □ Other international organization(s) N/A N – 2 □ Private sector N/A N – 2 □ Members' fees N – 2 □ Other (please specify):

N/A

N – 2 Total 100% N/A

Furthermore, where the grant requested exceeds EUR 500.000, please provide the references of the external audit report established by an approved auditor for the last financial year available. This obligation does not apply to international organizations or to public bodies.

Year14 Name of approved auditor Period of validity

(from dd/mm/yyyy to dd/mm/yyyy)

N

N – 1

N – 2

3.3.3. Number of staff (full-time equivalent)

Please tick one option for each type of staff.

ACP Science and Technology Program Application Form – Call for Proposals 2008 21

4. LIST OF THE MANAGEMENT BOARD/COMMITTEE OF YOUR ORGANIZATION

Name Profession Function Country of nationality

On the board since

Ms

Mr

Type of staff Paid Unpaid

HQ Staff: recruited and based in headquarters (located in developed country)

□ < 10

□ > 10 and < 50

□ > 50 and < 100

□ > 100

□ N/A

□ < 10

□ > 10 and < 50

□ > 50 and < 100

□ > 100

□ N/A

Expat Staff: recruited in headquarters (located in developed country) and based in developing country

□ < 10

□ > 10 and < 50

□ > 50 and < 100

□ > 100

□ N/A

□ < 10

□ > 10 and < 50

□ > 50 and < 100

□ > 100

□ N/A

Local staff: recruited and based in developing country

□ < 10

□ > 10 and < 50

□ > 50 and < 100

□ > 100

□ N/A

□ < 10

□ > 10 and < 50

□ > 50 and < 100

□ > 100

□ N/A

ACP Science and Technology Program Application Form – Call for Proposals 2008 22

III. PARTNERS OF THE APPLICANT PARTICIPATING IN THE ACTION

1. DESCRIPTION OF THE PARTNERS This section must be completed for each partner organization within the meaning of Section 2.1.2 of the guidelines for grant applicants. Any associates as defined in the same section need not be mentioned. You must make as many copies of this table as necessary to create entries for more partners, and insert

these documents directly hereafter.

Partner 1

EuropeAid ID number:17

Full legal name

Partners that are registered in PADOR do not need to fill in the rest of this section which is marked in grey.

Date of registration

Legal status18

Official address of registration19

Country of registration

Contact person

Telephone number: country code + city code + number

Fax number: country code + city code + number

E-mail address

Website of the organization

17 This number is available to an organization which registers its data in PADOR. For more information and to

register, please visit: http://ec.europa.eu/europeaid/work/onlineservices/pador. 18 E.g., non-profit making, governmental body, international organization. 19 If not in one of the countries listed in Section 2.1.1 of the guidelines for grant applicants, please justify its

location.

ACP Science and Technology Program Application Form – Call for Proposals 2008 23

Number of employees

Other relevant resources

Experience of similar actions, in relation to the role in the implementation of the proposed action

History of cooperation with the applicant

Role and involvement in preparing the proposed action

Role and involvement in implementing the proposed action

Important: This grant application form must be accompanied by a signed and dated

‘Partnership Statement’ from each partner, in accordance with the model provided below (paragraph 2).

2. PARTNERSHIP STATEMENT A partnership is a relationship of substance between two or more organizations involving shared responsibilities in undertaking the action funded by the ACP Secretariat. To ensure that the Action runs smoothly, the ACP Secretariat requires all partners to acknowledge this by agreeing to the principles of good partnership practice set out below. Please make as many copies of this page as necessary to create entries for more partners, and insert these directly hereafter.

1. All partners must have read the grant application form and understood what their role in the Action will be before the application is submitted to the ACP Secretariat.

2. All partners must have read the standard grant contract20 and understood what their

respective obligations under the contract will be if the grant is awarded. They authorize the lead applicant to sign the contract with the ACP Secretariat and represent them in all dealings with the ACP Secretariat in the context of the Action's implementation.

3. The applicant must consult with his partners regularly and keep them fully informed of the

progress of the action.

4. All partners must receive copies of the reports — narrative and financial — submitted to the ACP Secretariat.

5. Proposals for substantial changes to the action (e.g., activities, partners, etc.) should be

agreed by the partners before being submitted to the ACP Secretariat. Where no such 20 The contractual conditions are laid down in the standard contract annexed to the guidelines for grant

applicants (annex F).

ACP Science and Technology Program Application Form – Call for Proposals 2008 24

agreement can be reached, the applicant must indicate this when submitting changes for approval to the ACP Secretariat.

6. Where the Beneficiary21 does not have his headquarters in the country where the action is

implemented, the partners must agree before the end of the action, on an equitable distribution of equipment, vehicles and supplies for the Action purchased with the EU grant among local partners or the final beneficiaries of the action.

I have read and approved the contents of the proposal submitted to the ACP Secretariat. I undertake to comply with the principles of good partnership practice.

Name:

Organization:

Position:

Signature:

Date and place:

21 The ‘Beneficiary’ is the recipient of a grant.

ACP Science and Technology Program Application Form – Call for Proposals 2008 25

IV. ASSOCIATES OF THE APPLICANT PARTICIPATING IN THE ACTION

This section must be completed for each associated organization within the meaning of Section 2.1.2 of the guidelines for grant applicants. You must make as many copies of this table as necessary to create entries for more associates and insert these directly hereafter.

Associate no. 1

Full legal name

EuropeAid ID number22

Country of registration

Legal status23

Official address

Contact person

Telephone number: country code + city code + number

Fax number: country code + city code + number

E-mail address

Number of employees

Other relevant resources

Experience of similar actions, in relation to the role in the implementation of the proposed Action

History of cooperation with the applicant

Role and involvement in preparing the proposed action

Role and involvement in implementing the proposed Action

22 This number is available to an organization which registers its data in PADOR. For more information and to

register, please visit: http://ec.europa.eu/europeaid/work/onlineservices/pador. 23 E.g., non profit making, governmental body, international organization.

ACP Science and Technology Program Application Form – Open Call for Proposals 2008 28

V. CHECKLIST

ACP SCIENCE AND TECHNOLOGY PROGRAM, OPEN CALL FOR PROPOSALS 9TH EDF

EC BUDGET LINE 21.031700 <please tick the appropriate box depending upon which lot this application refers to>

REFERENCE:

NB: You must add as many rows to this table as necessary to create entries for more partners.

ADMINISTRATIVE DATA To be filled in by the applicant

Name of the applicant

EuropeAid ID number

Country24 and date of registration

Legal entity file number25

Legal status26

Partner no. 1 Name/EuropeAid ID number: Nationality/Country of registration: Legal status:

Partner no. 2 Name/EuropeAid ID number:

Nationality/Country of registration: Legal status:

24 For organizations. 25 If the Applicant has already signed a contract with the European Commission. 26 E.g., non profit making, governmental body, international organization.

ACP Science and Technology Program Application Form – Call for Proposals 2008 29

27 Please check the Guidelines for Grant Applicants, Section 1.3 for information on the maximum amount of the grants.

BEFORE SENDING YOUR PROPOSAL, PLEASE CHECK THAT EACH OF THE FOLLOWING COMPONENTS IS COMPLETE AND RESPECTS THE FOLLOWING CRITERIA

To be filled in by the Applicant

Title of the proposal: Yes No

1. The correct grant application form, published for this call for proposals, has been used.

2. The proposal is typed and is in English or French.

3. One original and one copy are included.

4. An electronic version of the proposal (CD-Rom) is enclosed.

5. Each partner has completed and signed a partnership statement and these statements are included.

6. The budget is presented in the format requested, is expressed in € and is enclosed.

7. The logical framework has been completed and is enclosed.

8. The duration of the action is equal to or lower than 36 months (the maximum allowed).

9. The duration of the action is equal to or higher than 12 months (the minimum allowed).

10. The requested contribution is equal to or higher than 350.000 EURO (the minimum allowed).

11. The requested contribution is equal to or lower than 3.000.000 EURO (the maximum allowed)27.

12. The requested contribution is equal to or lower than 85 % of the total eligible costs (maximum percentage allowed).

13. The declaration by the applicant has been filled in and has been signed.

ACP Science and Technology Program Application Form – Call for Proposals 2008 30

VI. DECLARATION BY THE APPLICANT

The applicant, represented by the undersigned, being the authorized signatory of the applicant, including every partner, hereby declares that: the applicant and each partner of the partnership have the sources of financing and the

professional competence and qualifications specified in Section 2 of the guidelines for grant applicants;

the applicant undertakes to comply with the obligations foreseen in the partnership statement of the grant application form and with the principles of good partnership practice;

the applicant is directly responsible for the preparation, management and implementation of the Action with his partners and is not acting as an intermediary;

the applicant and his partners are not in any of the situations excluding them from participating in contracts which are listed in Section 2.3.3 of the ‘Practical Guide to Contract procedures for EC external actions’ available at the following Internet address: http://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/new_prag_final_en.pdf. Furthermore, it is recognized and accepted that if we participate in spite of being in any of these situations, we may be excluded from other procedures in accordance with Section 2.3.5 of the practical guide;

if selected, the applicant is in a position to deliver immediately, upon request, the supporting documents stipulated under Section 2.4 of the guidelines for grant applicants;

the applicant and each partner are eligible in accordance with the criteria set out under sections 2.1.1 and 2.1.2 of the guidelines for applicants;

if recommended to be awarded a grant, the Applicant accepts the contractual conditions as laid down in the standard contract annexed to the guidelines for grant applicants (annex F);

the applicant and his partners are aware that, for the purposes of safeguarding the financial interests of the European Communities, their personal data may be transferred to internal audit services, to the European Court of Auditors, to the Financial Irregularities Panel or to the European Anti-Fraud Office.

The following grant applications have been submitted (or are about to be submitted) to the European Institutions, the European Development Fund and the EU Member States in the current year:

• <list only Actions in the same field as this proposal> The applicant is fully aware of the obligation to inform without delay the ACP Secretariat to which this application is submitted if the same application for funding made to European Commission departments or community institutions or any other institution has been approved by them after the submission of this grant application. Signed on behalf of the applicant: Name

Signature

Position

Date

ACP Science and Technology Program Application Form – Call for Proposals 2008 31

VII. ASSESSMENT GRID (to be used by the ACP Secretariat)

YES NO

STEP 1: OPENING SESSION AND ADMINISTRATIVE CHECK 1. The deadline has been respected. 2. The grant application form satisfied all the criteria mentioned in the checklist (Section

V of Part B of the grant application form).

The administrative verification has been conducted by: Date: DECISION 1: The evaluation committee has recommended the concept note for Evaluation after having passed the administrative check.

STEP 2 : EVALUATION OF THE CONCEPT NOTE DECISION 2: The evaluation committee has approved the concept note and decided to proceed with the evaluation of the full application form after having pre-selected the best concept notes.

The evaluation of the concept note has been conducted by: Date: STEP 3: EVALUATION OF THE FULL APPLICATION FORM DECISION 3: A. The evaluation committee has recommended the proposal for eligibility verification

after having been provisionally selected within the top-ranked scored proposals within the available financial envelope.

B. The evaluation committee has recommended the proposal for eligibility verification after having been put on the reserve list according to the top-ranked scored proposals.

The verification of the proposal has been conducted by: Date: STEP 4: ELIGIBILITY VERIFICATION

3. The supporting documents listed hereunder, submitted according to the guidelines for grant applicants (Section 2.4), satisfied all the eligibility criteria of the applicant and his partner(s).

a. The applicant's statutes.

b. The statutes or articles of association of all partners is attached and duly signed.

c. The applicant's external audit report (if applicable).

d. The Legal Entity File (see annex D of the Guidelines for Applicants) is duly completed and signed by the applicant and is accompanied by the justifying documents requested.

e. A Financial Identification Form (see annex E of the guidelines for grant applicants) is duly completed, signed and stamped by the applicant and his bank.

f Copy of the applicant’s latest accounts.

The assessment of the eligibility has been conducted by:Date: DECISION 4: The evaluation committee has selected the proposal for funding after having verified its eligibility according to the criteria stipulated in the guidelines for grant applicants.

2007 4/1

GRANT CONTRACT - EXTERNAL ACTIONS OF THE EUROPEAN COMMUNITY -

<Grant contract identification number>

African, Caribbean and Pacific Group of States (ACP Secretariat) Avenue George Henri 451 1200 Brussels Belgium, ("the Contracting Authority")

of the one part,

and

<Full official name of the beneficiary, as mentioned in the LEF> <Legal status (organization) /title (individual)> <Organization official registration number / Passport or ID number > <Full official address> [VAT number, for VAT registered beneficiaries]("the Beneficiary")

of the other part,

have agreed as follows:

Special conditions

Article 1 - Purpose

1.1 The purpose of this contract is the award of a grant by the contracting authority for the implementation of the Action entitled: <title of the Action> ("the Action") described in Annex I.

1.2 The beneficiary will be awarded the grant on the terms and conditions set out in this contract, which consists of these special conditions ("Special Conditions") and the annexes, which the beneficiary hereby declares it has noted and accepted.

1.3 The beneficiary accepts the grant and undertakes to carry out the Action under its own responsibility.

Article 2 - Implementation period of the Action

2.1 This contract shall enter into force on the date when the last of the two parties signs.

2.2 Implementation of the Action shall begin on: choose one of the following:

- [the day following that on which the last of the two parties signs] - [the first day of the month following the date on which the first instalment of pre-financing is paid

by the contracting authority]

12.5: Grant Contract - External Actions of the European Community

2007 2/4

- [a later date], - [exceptionally, a date preceding the signature of the contract but not preceding the beneficiary's

request for a grant or the signature of any relevant financing agreement between the European Commission and the recipient country].

2.3 The Action's implementation period, as laid down in Annex I, is <number of months>. Article 3 - Financing the Action 3.1 The total cost of the Action eligible for financing by the contracting authority is estimated at

<... ........EURO >, as set out in Annex III. 3.2 The Contracting Authority undertakes to finance a maximum of <... .....EURO >, equivalent to <...>%

of the estimated total eligible cost specified in paragraph 1; the final amount shall be established in accordance with Articles 14 and 17 of Annex II.

3.3 Pursuant to Article 14.4 of the Annex II, <…>% (maximum 7% )of the final amount of direct eligible

costs of the Action established in accordance with Articles 14 and 17 of the Annex II, may be claimed by the beneficiary as indirect costs.

Article 4 - Narrative and financial reporting and payment arrangements 4.1 Narrative and financial reports shall be produced in support of payment requests, in compliance with

Articles 2 and 15.1 of Annex II. 4.2 Payment will be made in accordance with Article 15 of Annex II. Of the options referred to in Article

15.1, the following will apply:

[Option 1

Amount of first instalment of pre-financing: <... ........EURO > Forecast final payment (subject to the provisions of Annex II): <... ........EURO >

[Option 2

First instalment of pre-financing (80% of the part of the forecast budget for the first 12 months of implementation financed by the contracting authority): <... ........EURO >

Further instalment(s) of pre-financing: <... ........EURO > Forecast final payment (subject to the provisions of Annex II): <... ........EURO >]

4.3 In case where the pre-financing instalments are to be paid by the contracting authority, the first instalment of pre-financing will be paid to the beneficiary within 45 days, as from the date of reception by the contracting authority of signed contract accompanied by the financial guarantee if required in accordance with article 15.7 of the general conditions.

Article 5 - Contact addresses

2007 3/4

5.1 Any communication relating to this contract must be in writing, state the number and title of the Action and be sent to the following addresses: For the contracting authority African, Caribbean and Pacific Group of States (ACP Group) Department Political Affairs and Human Development For the attention of Mr. Andrew Bradley Avenue George Henri 451 1200 Brussels Belgium [A copy of the reports referred to in Article 4.1 must be sent to the European Commission Delegation in charge of monitoring the Action, at the following address: <address of the Delegation>] For the beneficiary <address of the beneficiary for correspondence>

[5.2 The audit firm which will carry out the verification(s) referred to in Article 15.6 of Annex II is <name, address, telephone and fax numbers>].

Article 6 - Annexes 6.1 The following documents are annexed to these special conditions and form an integral part of the

contract: Annex I: Description of the action Annex II: General conditions applicable to European Community-financed grant contracts for external

Actions

Annex III: Budget for the action Annex IV: Contract-award procedures Annex V: Standard request for payment and financial identification form Annex VI: Model narrative and financial report Annex VII: Model report of factual findings and terms of reference for an expenditure verification of an

EC financed grant contract for external actions Annex VIII: Model financial guarantee 6.2 In the event of conflict between the provisions of the Annexes and those of the special conditions, the

provisions of the special conditions shall take precedence. In the event of conflict between the provisions of Annex II and those of the other annexes, those of Annex II shall take precedence.

Article 7 - Other specific conditions applying to the action 7.1 The general conditions are supplemented by the following:

2007 4/4

7.1.1 The contingency reserve may only be used under duly justified circumstances and upon prior written approval of the contracting authority.

7.1.2 The logo of the European Union and the ACP Group of States must always appear together

and shall include the following statement: "ACP Science and Technology Program. A programme of the ACP Group of States, with the financial assistance of the European Union".

Done at <.........> in three originals in the English language, two of them for the contracting authority and one for the beneficiary. For the beneficiary For the contracting Authority

Name Name

Title Title

Signature Signature

Date Date Endorsed for financing by the European Community

Name

Title

Signature

Date

The NATIONAL AGRICULTURAL RESEARCH ORGANISATION (NARO) is calling for submission of concept notes

a) Background The National Agricultural Research Organisation Council (NAROC) operates a Competitive Grant Scheme for the National Agricultural Research System (NARS) in Uganda in line with the new National Agricultural Research (NAR) Policy 2003, which is guided by the principles of the Plan for Modernisation of Agriculture. The vision which guides the NAR Policy is based on a market-responsive, client-oriented and demand-driven national agricultural research system comprising of public and private institutions working in tandem for the sustainable economic growth of Uganda. The agricultural research policy recognizes that opening up provision of agricultural research services to competition may increase the efficiency and effectiveness of agriculturalresearch, and therefore explicitly recognizes pluralism in the provision of services. This requires separating public funding from the delivery of research services.

This Research Call is an invitation by the National Agricultural Research Council (NARC) for the submission of concept notes (CNs) towards the competitive award of research grants for undertaking research projects to be funded under the Agricultural Sector Program Support phase II. The call focuses on three priority intervention areas that address priority constraints and opportunities identified through a widespread stakeholder consultation process involving Zonal Agricultural Research Institutes,NAADS enterprise groups, scientists and policymakers. It takes into account previous and ongoing livestock research programs in the country.It premises on ruminant livestock, poultry and pigs as the priority enterprises that farmers identified to be important in the poverty reduction program in Uganda. The key intervention points respond to the priority challenges of the farmers, namely the need to increase productivity, create incentives for compliance to policies and regulation, and enhance access to market and sustainability of the environment; while addressing gender and other livelihood concerns.

b) Research themes Implementation of research has been re-organized into five

new research themes namely: 1. Understanding people, their livelihood systems , demands

and impacts of innovations 2. Enhancing innovation process and partnerships 3. Developing technological options responding to demands

and opportunities 4. Enhancing integrated management of natural resources 5. Linking producers, market opportunities and policies

A. Overview

Agricultural research is a key pillar of the Plan for Modernization of Agriculture (PMA) in Uganda. In order to realize the PMA objectives, the Government of Uganda deemed it imperative to reform the research system, to enhance client focus and intensify market orientation. The signing of the National Agricultural Research Bill in September, 2005, signalled the inception of a paradigm shift from research as a predominantly public service in technology and knowledge generation to an institution that attracts participants from the public, private and civil sectors in research service delivery. Therefore the new National Agricultural Research Organization (NARO) is designed to be an institution that harnesses competencies from all organizations into an innovation system that can effectively and efficiently transform technologies and knowledge into marketable products and services based on the principles of pluralism and competition in the technology and knowledge market. It is driven by and focused on demands of clients, whose proactive participation sets the research agenda, and provides governance of the research process. It recognizes the democratic rights of communities to access services irrespective of social strata, and geopolitical boundaries. Hence pro-poor interventions have been instituted as an innate right of communities wherever they happen to live. However issues that affect livelihood across the country should attain a national agenda for efficient use of scarce human, financial, physical, social and political capitals.

Hence 5 National (NARIs) and 7 Zonal Agricultural Research and Development Institutes (ZARIs) of equal status have been established. The latter address concerns and develop interventions to respond to the issues specific to the respective agro-ecological zones and production systems. The new NARO will therefore be guided by the national and zonal priorities of the country.

This call for concept notes respond to the quest by farmers countrywide for technology options, methods and approaches for increasing productivity, enhancing market access and creating incentives for policies compliance. In meeting these demands there is need for protection of the natural environment and enhancing equity in the distribution of livelihood assets and benefits among gender groups.

12.6: Livestock Calls for Proposals

B. Calls for concept notes

Needs assessment showed that farmers’ concerns could be summarized as the needs to increase productivity, market access/enterprise profitability and improve the social harmony and environmental sustainability. The topmost challenge was livestock diseases and pests. Notable pests and diseases were ticks, tsetse and respective diseases that affect ruminant livestock. Worms were important in goats and pigs and Napier Stunt Disease in fodder fields. The national export promotion strategy and role of market in poverty eradication strategies put significant and justifiable emphasis on Notifiable diseases: namely Foot and Mouth Disease (FMD), Contagious Pleuropneumonia (CBPP), and African Swine Fever (ASF). NCD diseases and Fowl Pox is a prevalent problem. Increasing competition for land for crop and livestock production varied across agroecological zones and the need to develop strategies to offset dry season feed and water shortages was` expressed in both intensive and pastoral systems. In the pastoral areas the problem was confounded by undesirable plant species notably weeds and shrubs. Farmers expressed overwhelming demand for improved livestock breeds particularly, goats, pigs and poultry. The need to ensure quality and sustainable supply of

stock called for institutional and informed policies to address the market. Consistent with PMA objectives and NARS principle the IAR4D approach was adopted as a strategy will guide the implementation process. Hence the following calls were developed.

c) Call for proposals Result Area 1: Institutional capacity for cost effective surveillance and innovative methods of pests disease control in livestock and forage crops developed and promoted Result Area 2: Innovations for rational land and water resource use in food and feed production in intensive, semi-intensive and rangeland production systems developed and promoted Result Area 3: Utilization of plant and animal biodiversity

for food production and income generation enhanced Details on each of the above areas are provided in the call profiles available on the NARO website: http://www.naro.go.ug or can be obtained from: The National Coordinator: Agricultural Research Component (see contacts below)

(d) Available resources In this particular round/call, the total funds available for awards will not exceed US $ 30,000 per year for a maximum of three years (3 years). The cheaper and more realistic the project have preferential advantage.

(e) Eligible institutions The scheme gives preference to client oriented market focused CNs, with clear indications of multi-stakeholder (including farmers and ferments organizations) interaction in solving problems in an environment that foster institutionalization of knowledge generation, dissemination and utilization and promotes application of cutting edge technologies in poverty reduction programs.

i. Resident in Uganda (at least the principal investigator should be resident in Uganda); ii. Consortia involving non-national organization must have lead scientist and institutions registered in Uganda iii. Qualified to undertake the proposed research and development activity. For research, the applicant should demonstrate

capacity to conduct research and deliver the stated results in the proposal, and post-graduate students, should be closely supervised by an adequately qualified scientist. In the case of development activities, indication of competence should be provided.

iv. Registered with the competent authority as an agricultural research service provider. (f) Concept notes

Approval of CNs are not an indication of guaranteed support. The formats for pre-proposals (concept notes) are found in the guidelines and procedures for the National Competitive Agricultural Research and Development Fund, which can be obtained from the NARO Council Secretariat - Entebbe

Closing date of grant applications: 5.00 pm of April 24th 2006. The applications and all the supporting documents can be sent or hand delivered to:

A. The Director Planning, Monitoring and Evaluation;

Mr. Sylvester Dickson Baguma, NARO Secretariat, P.O.Box 295, Entebbe, Tel: 0772504827; E-mail: sdbaguma@naro.go.ug

B. The Coordinator LSRP-ARC Dr. Cyprian Ebong, NAARI, P.O.Box 7084, Kampala, Tel: 0772200342; E-mail: cyprian.ebong@naro-ug.org

2009 Development Marketplace Global Competition Innovations for Climate Change Adaptation

Step-by-step Instructions for completing DM2009 Proposal Form. Actual proposals must be submitted through our online application at www.developmentmarketplace.org.

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STEP-BY-STEP INSTRUCTIONS FOR FILLING OUT THE ONLINE PROPOSAL FORM

GENERAL NOTES

1. PROPOSALS MUST BE SUBMITTED THROUGH THE DEVELOPMENT MARKETPLACE WEBSITE. Before filling out the online proposal form, carefully review the DM2009 Competition Guidelines for sub-themes and other eligibility criteria available at www.developmentmarketplace.org.

2. The online form allows applicants to save a draft of their proposal in the system while they

work on it. Please save your work regularly! You will be automatically logged out of the system after 60 minutes of inactivity and any unsaved information you entered will be lost.

3. Any proposal in draft form after the submission deadline will be automatically deleted and

ineligible for the competition.

4. To be considered for this competition you must complete all required fields (see #8 below) and click the “Submit” button on your application by the submission deadline of 6:00 p.m. Eastern Standard Time (EST) / 22:00 Greenwich Mean Time (GMT) May 18, 2009. The Development Marketplace Team MUST receive your submitted and complete proposal by this deadline. Late applications will not be accepted.

If you are experiencing technical difficulties in accessing our website, please contact the DM team at +1 (202) 676-0959 by fax or send an e-mail to: DMinfo@worldbank.org. The DM Team cannot guarantee that it will be able to respond to inquiries received after 15:00 EST / 19:00 GMT May 15, 2009.

5. If selected to be a winner of the competition, the applicant organization will enter into a

Grant Agreement with the World Bank to receive the grant funds. As such, the applicant organization must be legally registered in the World Bank member country it lists as its address in the proposal form. In the case of subtheme #1 in which an Indigenous Peoples community or group that is not legally registered is delegating an eligible organization to apply on its behalf, this organization (not the Indigenous Peoples community or group) is the applicant. The delegated organization should provide information regarding their partner Indigenous Peoples community or group in project questions 1, 2, and 6a of the online proposal form.

6. Consistent with past World Bank small grant programs for Indigenous Peoples, proposals

for Sub-theme 1 may be submitted in English, Spanish or French. For Subthemes 2 and 3, proposals must be submitted in English.

12.7: Step-By-Step Instructions for Filling out the Online Proposal Form

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7. The proposal form consists of 5 sections covering the following areas:

o Applicant Contact Information – background information about the applicant organization submitting the proposal

o Project Profile – basic information about the proposed project title, sub-theme, country of implementation, duration of activities, etc.

o Primary Partner – background information about the main partner of the applicant organization for the proposed project

o Project Details –description of main activities and project design elements including problem definition, project objective, innovation, and sustainability

o Project Costs – breakdown of budget by major expenditure categories, overall cost of project, funding requested from the DM, and funding from other sources

8. Fields marked with an asterisk (*) are mandatory. Submitted proposals will be rejected if

mandatory fields are not complete. 9. Please note that a number of questions have character count limits (a character is any

letter, space or symbol). If your answers exceed the given character count, the online application cannot accept your entry (on average a word consists of 7 characters, including spaces and punctuation).

TIP: We encourage you to draft the “Project Details” section in a word processor (Microsoft Word, WordPerfect, etc.) to ensure the correct character count. You can then directly cut and paste the answers into the online application form.

2009 Development Marketplace Global Competition Innovations for Climate Change Adaptation

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Applicant Contact Information *Primary Contact Email: Provide the most reliable e-mail address available. The DM team

will correspond with applicants primarily via e-mail. Failure to provide a working address may prevent you from receiving our notifications.

*Password: Create your own password with a minimum of 6 characters.

*Last Name: Enter last name (surname) of the person who will be the primary contact with the Development Marketplace (DM) team.

*First Name: Enter first name of primary contact.

Secondary Contact Email: Indicate a secondary e-mail address if available. This address will only be used if we are unable to reach you via the primary e-mail.

Position at Organization: Identify primary contact’s position or role within the applicant organization.

Unit Within Organization: If the applicant organization belongs to a large corporation, a bilateral or multilateral development agency, or another large organization, please specify in which division, department or unit the applicant organization is located. Otherwise leave blank.

*Organization Name: Enter full name of the legally registered applicant organization. Do not use acronyms or initials.

Organization Website: If the applicant organization has an active website, enter the address.

*Organization Type: Identify the applicant organization type from the drop-down list. Note: The range of organization-type options differs according to the sub-theme selected Organization Type options: Sub-theme 1

• Registered local Indigenous Peoples not-for-profit organization

• Registered local Indigenous Peoples research center or university

• Registered local Indigenous Peoples community • Unregistered local Indigenous Peoples community

designatee (SEE GUIDELINES) Organization Type options: Sub-themes 2 & 3

• Academia or Research Organization • Development Agency (bilateral or multilateral) or

Foundation

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• Government • Non-Governmental Organization (NGO) or other civil

society organization • Private Business

Consult the DM2009 Competition Guidelines for eligibility criteria.

*Telephone: Enter most reliable telephone number. Include country code, area code and extensions as necessary.

Fax: Enter most reliable fax number. Include country code and area code.

*Address: Provide a mailing address. If the applicant organization has both a street address and a postal box, include both.

*City: Enter city here.

State / Province: List state or province here. Leave this blank if the applicant organization does not have a state / province.

Postal Code: Enter postal code here. Leave this blank if the applicant organization address does not have a postal code.

*Country: Enter country where the applicant organization or office is based.

*Organization Description: (character limit 350)

Briefly describe the applicant organization’s mission and main services or products it provides and to whom.

*Year established: (character limit 4)

Enter the year the applicant organization was established, using 4 characters (e.g. 1995).

2009 Development Marketplace Global Competition Innovations for Climate Change Adaptation

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Page 1: Overview *Title of Proposal: (character limit 105)

Provide a brief title for your proposed project. The project title should be an indication of the objective you hope to achieve. Avoid using general titles (such as “Climate Adaptation Project”) that do not describe your specific project. Avoid using the name of the country of implementation in the title.

*Project Duration Using DM Funds (Number of months; 24 month maximum):

Indicate how many months it will take you to implement this project. Only numbers can be entered in this field. Please note that the maximum implementation timeframe is 24 months.

*Country of Implementation:

Select the country where this project will be implemented from the drop-down list. If the project covers more than one country, or is global in scope, please select “multi-country”.

*Sub-theme: Identify the sub-theme you selected on the DM2009 website. 1. Resilience of Indigenous Peoples Communities to Climate Risks 2. Climate Risk Management with Multiple Benefits 3. Climate Adaptation and Disaster Risk Management

*Proposal Language:

Select the language in which you will submit this proposal. 1. English 2. French 3. Spanish

NOTE: Options 2 and 3 are only available if applying to Sub-theme 1.

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Page 2: Partner Information IMPORTANT NOTE: If according to eligibility criteria set forth in the DM2009 Competition Guidelines, Important NOTE: If, (according to the eligibility criteria set forth in the DM2009 Competition Guidelines), the applicant organization is not required to and does not have a partner, please: (i) enter "N/A" in all fields marked with an asterisk; (ii) select "No Partner Required" in the organization type drop-down list; and (iii) enter the applicant organization e-mail address in the required field for the partner e-mail address. tner, please insert “not applicable” in all required (*) fields in this section. *Last Name: Enter last name (surname) of the primary contact in your partner

organization.

*First Name: Enter first name of partner contact.

*Partner Primary Email: Provide the most reliable partner e-mail address.

Partner Secondary Email: Indicate a secondary e-mail address if available.

*Partner Organization Name: List full name of partner organization.

Partner Position at Organization:

Enter position of primary contact person within partnering organization.

*Partner Organization Type (Please select one):

Identify your partner organization type from the drop-down list.

• Academia or Research Organization • Development Agency (bilateral or multilateral) or Foundation • Government • Non-Governmental Organization (NGO) or other civil society

organization • Private Business • No Partner Required

Consult the DM2009 Competition Guidelines for eligibility criteria.

Partner Organization Website:

If your partner organization has an active website, please enter the address.

*Partner Telephone: Enter most reliable telephone number for your partner organization. Include country code, area code and extensions as necessary.

Partner Fax: Enter most reliable fax number for your partner organization. Include country code and area code.

*Partner Address: Provide a mailing address for your partner organization. If possible, use street number and names in place of postal boxes.

*Partner City: Enter city here.

Partner Postal Code: Enter postal code here. Leave this blank if the partner organization address

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does not have a postal code.

Partner State / Province: List state or province here. Leave this blank if the partner organization address does not have a state / province.

*Partner Country: List the country of your partner organization.

*Describe Partner Organization: (character limit 350)

Briefly describe your partner organization’s mission and the main services or products it provides and to whom.

*Year Partner Organization Established:

Enter the year your partner organization was established, using 4 characters. (e.g. 1995)

*Partnership Duration (number of years):

Enter the number of years the applicant organization and partner have worked together (Note: There is no minimum requirement to be eligible. Enter “0” if the partnership is brand new. Enter “1” if the partners have been working together for one year or less).

Page 3: Project Questions

*Question 1. Problem Definition (900 characters)

Clearly describe the specific problem your project is trying to address. Identify the group of people directly affected by the problem in the geographic area(s) in which you plan to work. Explain why solving / alleviating this problem is important for this group of people. In other words, this section should answer the question:, “Immediately after the close of the project, what problem has been addressed / solved for this targeted group?”

2009 Development Marketplace Global Competition Innovations for Climate Change Adaptation

Step-by-step Instructions for completing DM2009 Proposal Form. Actual proposals must be submitted through our online application at www.developmentmarketplace.org.

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*Question 2. Project Objective / Results (1050 characters)

State the project objective. It should be clearly linked to the sub-theme selected. It should focus on the expected results for the primary targeted beneficiary group for which the project reasonably can be held accountable, given the project’s duration (24 months or less) and project resources. Explain what the target group will be doing differently after the project that should make the group better off. The project objective should NOT encompass objectives that depend on other efforts outside the scope of the proposed project.

For example: The objective for a project from a past DM competition was to increase farmer income by enabling small farmers to negotiate better prices for their produce with middlemen and intermediaries by providing them with real-time information about commodity prices via SMS text messages on their cell phones.

Consult the DM2009 Competition Guidelines to ensure that your idea is clearly linked to the sub-theme that you selected for this project.

*Question 3. Measuring Results (750 characters)

To the extent possible, provide quantitative information / estimates of the expected results (e.g. 500 beneficiaries, 10% change in incomes, etc.).

Note: Indicators can either be quantitative, (usually referring to a numerical amount, answering questions such as, “How much?” or “How many?”) or qualitative (information regarding how people feel about an experience or what opinions they hold). In either case, indicators should be clear, discrete and measurable.

For example: 1,000 farmers from three farmer cooperatives will increase their income by at least 10% as a result of improved negotiations on prices for their crops.

*Question 4a. Project Description (1,500 characters)

What is your project idea to address the stated problem (Question 1)? Describe / list the major components (the concrete steps or major activities) that the project will undertake to meet your objective within a two-year span. Indicate the scope of each major activity. Provide an estimate of the number of people belonging to the targeted beneficiary group that you plan to reach during project implementation.

*Question 4b. Site Description (700 characters)

If the project covers more than one country (multi-country project) please list all of the countries where project activities will be conducted.

If known, identify the location of the site(s) project activities will be conducted in the country or countries. Provide a brief geographic description of the site(s). Identify who owns the land, or if landownership is not known, or is in dispute.

If the project site(s) have not yet been selected / identified, explain the criteria and process that will be used to identify the site(s).

2009 Development Marketplace Global Competition Innovations for Climate Change Adaptation

Step-by-step Instructions for completing DM2009 Proposal Form. Actual proposals must be submitted through our online application at www.developmentmarketplace.org.

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*Question 5a. Innovation (1,500 characters)

What specific characteristics of your idea demonstrate that your project is innovative? If other organizations are addressing the same problem using a different approach, how is your proposed idea different? If your idea includes a novel technology or process, please describe how it would work in simple terms.

For types of innovation and illustrative examples the DM considers innovative, please refer to Annex 1 of the DM2009 Competition Guidelines.

*Question 5b: Type of Innovation

Choose which type best describes the main innovative element of your project

New technology

New product or service

New process, including new mechanism to deliver an existing product or service

*Question 5c: Stage of Innovation

In the drop down menu below, choose which stage describes the current state of development of the main innovative element of your project

New untested idea (Idea has yet to be tested; in the case of a new technology, no prototype exists)

Early testing stage (Idea has evolved beyond an untested concept / blueprint. For example, a prototype has been developed but not field-tested on a sufficient scale to indicate feasibility of the idea)

Proof of concept stage (Idea has been validated in the field, demonstrating its feasibility, but more small scale testing is required under a variety of conditions to test its robustness)

Note: An idea that has been successfully validated on a small scale and under several conditions that is ready to be replicated in other geographic areas or to be scaled-up is not considered innovative by the DM.

*Question 6a. Implementation Capacity of the Organization(s) (900 characters)

Describe the strengths of the applicant organization (and if relevant, the partner organization) that it brings to the project, including relevant implementation experience with similar initiatives in the country of implementation or with climate adaptation.

If the applicant is applying with a partner organization, briefly describe in this section the respective roles that you and your partner will have during project implementation. What elements of the partnership contribute to the two organizations’ capacities to implement the project? For example, describe the extent to which you and your partner have together already built relevant relationship(s) with the local community and other relevant stakeholder groups.

Note for Sub-theme 1 only: If an Indigenous Peoples community has designated the applicant to act on its behalf with regard to this proposal, also describe here the relationship between the IP community or group and the applicant organization.

2009 Development Marketplace Global Competition Innovations for Climate Change Adaptation

Step-by-step Instructions for completing DM2009 Proposal Form. Actual proposals must be submitted through our online application at www.developmentmarketplace.org.

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*Question 6b. Answer “yes” or “no” to the following questions:

(i) The applicant organization has project implementation experience in the geographic area(s) impacted by the project [ ] Yes [ ] No

(ii) The applicant organization has prior experience working directly with the project’s targeted beneficiary group [ ] Yes [ ] No

(iii) The applicant organization’s primary mission is focused on issues of climate adaptation. [ ] Yes [ ] No

*Question 6c. Answer “Yes”, “No” or “Not applicable” to the following questions:

(i) The partner organization has project implementation experience in the geographic area(s) impacted by the project [ ] Yes [ ] No

(ii) The partner organization has prior experience working directly with the project’s targeted beneficiary group [ ] Yes [ ] No

(iii) The partner organization’s primary mission is focused on issues of climate adaptation. [ ] Yes [ ] No

*Question 7. Sustainability (900 characters)

What actions do you plan to take to help project results continue beyond the phase funded by Development Marketplace? What characteristics of your project will help ensure that its results and development impact are sustainable? Describe any major challenges that your project faces to sustain its results. Depending on the nature of the project design, you may want to address financial / economic sustainability and/or organizational sustainability.

See DM2009 Competition Guidelines for details.

*Question 8. Growth Potential (900 characters)

Describe the potential development impact of the project five years after DM funding ends. Include the potential number of beneficiaries if possible. Describe how your project idea may be replicable elsewhere and/or can be “scaled up” from a local to a regional / national / global level; the characteristics of your project idea that would make it replicable or scalable; and/or possible constraints to scaling up / replicating as well as the opportunities.

See DM2009 Competition Guidelines for definitions of replicability and scalability.

2009 Development Marketplace Global Competition Innovations for Climate Change Adaptation

Step-by-step Instructions for completing DM2009 Proposal Form. Actual proposals must be submitted through our online application at www.developmentmarketplace.org.

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*Question 9a. Challenges for Implementation (750 characters)

Please note that the information you provide for this question is NOT part of the DM assessment criteria used to select the finalists. It is merely a tool for the DM to identify possible environmental and social safeguard issues with World Bank policies, procedures and practices. In the case that you are selected to be a finalist in the competition and the DM identifies possible safeguard issues based on the information you provide here, the DM would inform you of World Bank good practices for safeguard risk mitigation and management. This would help you ensure that the full proposal you submit as a finalist conforms to World Bank safeguard policies.

Describe any anticipated issues, challenges and/or risks that your project may face during implementation to include both environmental and social issues, challenge/risks. For the social context, identify which, if any, stakeholder groups may feel that their interests are threatened by the project. Examples include, but are not limited to, organizational, structural, project design, conflict area, and climate conditions, etc. Note: Stakeholders are any groups or individuals who have an interest in or can influence the outcome of the project; it always includes targeted beneficiaries, but there can be other stakeholders as well. For the environmental context, this would include any short-term or permanent impacts to the environment.

*Question 9b.

Will the project include / involve any of the following potential activities, issues and/or impacts?

(i) Activity has impact on forests, natural habitats and/or protected areas [ ] Yes [ ] No (ii) Activities that could cause potential damage to historic building(s) or archaeological sites[ ] Yes [ ] No (iii) Activities that include building rehabilitation and/or new construction [ ] Yes [ ] No (iv) Building activities that include use and/or removal of hazardous or toxic materials [ ] Yes [ ] No (v) Agricultural activities that include the use and/or disposal of pesticides [ ] Yes [ ] No (vi) Activities that will include retrofitting and/or building hydro infrastructure / dams [ ] Yes [ ] No (vii) Production activities will could have effluent and / or discharges into receiving waters; [ ] Yes [ ] No (viii) Activities which include health care clinic that may handle / manage medical waste [ ] Yes [ ] No (ix) Acquisition of land that poses potentially adverse impacts on livelihood incomes, including

encroachment on private property, relocation of project affected persons or involuntary resettlement [ ] Yes [ ] No (x) Activities that will include and /or impact Indigenous Peoples [ ] Yes [ ] No (xi) Activities that may potentially take place in disputed areas [ ] Yes [ ] No

2009 Development Marketplace Global Competition Innovations for Climate Change Adaptation

Step-by-step Instructions for completing DM2009 Proposal Form. Actual proposals must be submitted through our online application at www.developmentmarketplace.org.

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Page 4: Project Budget General Notes:

• ENTER EXPENSES IN US DOLLARS (US$).

• Enter whole numbers only; please do not use commas, decimal points or other symbols. For example, US$50,000 should be entered as 50000.

• Major works, goods and services (exceeding $20,000 per unit) must be detailed in the notes section.

• In the relevant category (works, goods, services, etc.), include the costs of any relevant customs or other taxes incurred exclusively for the project.

• In the appropriate category under ‘Services’, please include any translation costs you may need in order to provide, in English, two progress and one final completion report to the World Bank. Each report ranges from 8 – 10 pages.

• Be sure to include the costs of project evaluation and information dissemination activities. These refer to the costs of assessing the impact of the project and sharing the information with the development community.

*Expenses *Amount (US$) 1. Works This amount includes the cost of construction of buildings,

infrastructure, etc.

2. Goods (Materials and Equipment)

This amount includes the supplies (materials and equipment) needed to carry out activities.

3. Services a. Personnel This amount includes the overall cost of wages, salaries, and benefits

of Project staff. (Project staff is defined as current personnel of the applicant organization that will work exclusively for the Project).

b. Consultant Fees This amount includes consultant costs, excluding travel. c. Consultant Travel This amount includes in-country and international travel required by

consultants for the activities of this project. d. Personnel Travel This amount includes in-country and international travel required by

Project staff for the activities of this project. e. Other Services This amount includes the cost of all other services, including renting

training or workshop facilities.

4. Operating Costs This is the total incremental expenditures that are directly related to the management and monitoring of the Project. These expenses would not incur absent the Project. For example, it could include project-related expenditures for office supplies, maintenance of office equipment, communication charges, operation and maintenance of vehicles, bank charges.

5a. Other Expenses All items must be detailed in 5b.

5b. If applicable, please describe “Other Expenses” (175 characters)

Describe the nature of any Other Expenses you accounted for above in line item 5a.

6. TOTAL EXPENSES The total sum of items #1-5. Calculated automatically.

2009 Development Marketplace Global Competition Innovations for Climate Change Adaptation

Step-by-step Instructions for completing DM2009 Proposal Form. Actual proposals must be submitted through our online application at www.developmentmarketplace.org.

- 13 -

7a. Amount of Co-financing If your project costs exceed your funding request to the Development Marketplace, indicate the amount of planned co-financing in this section. If you expect that your project will generate income (e.g., sale of goods and services, user fees, etc.) during project implementation, include this amount. Note: Co-financing is welcomed, but not a required feature for a DM-funded project.

7b. Sources of Co-financing (175 characters)

Identify the sources of co-financing and indicate whether the commitments have been confirmed. If you expect that the project will generate income, specify the source of self-generating income. Indicate the assumptions behind the estimated project-generated income (volume / price) and indicate if marketing research has been conducted or other evidence that supports this estimate.

8a. Total DM Funding Requested IMPORTANT – This figure identifies the exact amount you plan to request from the DM. It should be equivalent to the difference between line #7a and line #6. It is calculated automatically. The total amount cannot exceed US$200,000.

8b. Please enter comments or explanations regarding project costs (750 characters)

Enter descriptive information for works or goods whose cost exceeds US$20,000 per unit. Enter “N/A” if not applicable.

NATIONAL AGRICULTURAL RESEARCH ORGANISATION

NARO 1

CALL PROFILES

Southwestern Agro-ecological Zone (Kachwekano) ZCARDF –Research Call Round 01 for 2006

Call Ref: Kachwekano ZARDF 06/01/01

Research area 1: Comparative analysis of major agro-enterprises for development of commercially oriented agriculture in the Southwestern Agro-ecological Zone

Background

One of the fundamental principles of the National Agricultural Research Policy 2003 ensures generation and promotion of strategic technologies, information and services that will enable producers make rational decisions in order to exploit market opportunities that abound locally, nationally, regionally and internationally and enhance commercialization of agricultural activities in the country. Smallholder farmers in Uganda and particularly in the Southwestern Zone (Kachwekano) have not used the production potential of the zone to respond to opportunities made available by the expanding markets and the new technologies. This is mainly due to poor understanding of the existing opportunities, inadequate knowledge on the use of the new technologies coupled with poor decision-making in the choice of enterprises. Due to the poor marketing systems and poor market access, farmers have made losses either through direct loss of produce/products due to spoilage in storage or through selling at throw away prices. In order to enhance competitiveness and develop commercially oriented agriculture in the zone, there is need to improve on the productivity and market access to benefit the smallholder producers. To this end therefore, it is necessary to carry out comparative analysis of major agro-enterprises in the zone as a first step towards achieving this. Although NAADS is carrying out enterprise selection with farmer groups, hard data for informed decision-making is often not available.

Research and development assignment of call

In this call for concept notes, comparative analysis of major agro-enterprises for development of commercially oriented agriculture in the Southwestern Agro-ecological Zone will be the main focus of the study geared towards assisting the smallholders respond to local, national and regional markets for their agricultural products thus enhancing competitiveness in the Southwestern Agro-ecological Zone. Smallholders often lack adequate capacity for collective action for massive production and marketing of their products. The underlying hypothesis is that provision of information from comparative analysis of the predominant agro-enterprises in the zone will lead to increased access to markets and consequently stimulate increased productivity and commercialization, through the right choice of enterprises and use of improved technologies. This is expected to be achieved through analysis and understanding of: farm level productivity, cost of production, transaction costs, demand and marketing chains for the various identified priority commodities and coming up with concrete recommendations for the zone. The study should also integrate the most effective market information system into the production system.

12.8: Call for Proposals - Kachwekano Profiles

NATIONAL AGRICULTURAL RESEARCH ORGANISATION

NARO 2

Research design features

The concept note MUST indicate a multidisciplinary approach involving multiple stakeholders/collaborators in the investigating team (minimum 2 collaborators). It should indicate the multiple objectives addressing all the aspects of the problem running from production to processing and marketing. The concept note should also reflect a system-based approach focused on the multiple objectives. The research questions/hypothesis to be answered have to be clearly defined and methods and approaches to answer each question have to be described, stating how the beneficiaries will be involved, who they are and how the research will benefit them. The experimental/study design, methods of data collection, analysis and interpretation should be clearly outlined. The concept note should point out the challenges the team is likely to encounter in the implementation of the proposed activities and how they will address these challenges. The concept note should outline the method for scaling-up and include a monitoring and evaluation strategy and plan to be used. Consider innovative M&E methods that engage stakeholders in the process as well as use of clear indicators and milestones. The means of disseminating the results from the research should be described and should be as innovative as possible. A brief time frame for implementation specifying persons/institutions responsible for each activity should be included in the concept note.

Budget requirements

It may not be necessary to provide a detailed budget at this stage but the total cost of the project should be provided. Please note that:

1. The total cost of each project should not exceed US $ 50,000 or its equivalent in Uganda shillings for a period not exceeding 3 years.

2. The scheme covers only direct research costs and can cover professional fees for time bound activities. Stipend for post-graduate students and per diem for the student supervision are permissible

3. The scheme does not cover salaries, wages and allowances such as medical, house, mileage, etc.

4. An overhead allowance of 8 and 15% of the total budget is payable to grantees’ institutions for field or laboratory based research respectively.

Other issues related to the call

Concept notes with innovations in the following areas will earn more merit: Critical identification of stakeholders in the research Strategy to address social equity and particularly gender concerns and other crosscutting

issues of concern to the study Clear indicators and milestones for monitoring the specified outputs Innovative approaches to the problem and clear description of stakeholder participation

CALL PROFILES

Southwestern Agro-ecological Zone (Kachwekano) ZCARDF –Research Call Round 01 for 2006

NATIONAL AGRICULTURAL RESEARCH ORGANISATION

NARO 3

Call Ref: Kachwekano ZARDF 06/01/02.

Research area 2: Development of innovative approaches for improved technology packaging and dissemination in the Southwestern Zone

Background

The research system has developed and released many technologies for improving agricultural production at various levels and particularly focussing on smallholder producers. It is assumed that use of these technologies will increase productivity with increased incomes at household levels thus reducing levels of poverty and improving the livelihoods of the producers. For various reasons, most smallholder farmers in the zone have not been able to adopt and use these technologies. Farmers have either not been able to afford the technologies or if they are available to them they are not able to apply them properly because information on the use of these technologies is not available. Proper technology delivery mechanisms which offer incentives to the users are necessary to accompany any technology if it is to be successfully adopted. A lot of technologies developed by NARO and other research entities have thus remained on shelf for lack of accompanying information materials. For the clients to benefit from these technologies, there is need to develop innovative approaches and mechanisms for developing these information materials and disseminate these to the various target clients/uptake pathways.

Research and development assignment of call

This call targets proposals which aim at development of innovative approaches/mechanisms for improved packaging and dissemination of available technologies on priority agro-enterprises and their products being promoted in the zone for use by the clients as a major step towards increased productivity and competitiveness of the Southwestern agro-ecological zone. The concept note should therefore consider making an inventory of the available technologies for the different priority enterprises being promoted in the zone together with their products and the type of clients likely to engage in these technologies. The concept note should further identify the best ways to develop suitable information materials on these technologies for the various types of clients identified and make them reach these clients. To this effect, the potential uptake-pathways/institutions and the type of partnership linkages envisaged should be clearly established for each technology packaged. The pre-tested information materials from this endeavour should form the basis for recommendation for dissemination for different types of technologies to be used by agricultural advisory services in the zone.

Research design features

The concept note MUST indicate a multidisciplinary approach involving multiple stakeholders/collaborators in the investigating team (minimum 2 collaborators). It should indicate the multiple objectives addressing all the aspects of the problem running from production to processing and marketing. The concept note should also reflect a system-based approach focused on the multiple objectives. The research questions/hypothesis to be answered must be clearly defined and methods and approaches to answer each question have to be described, stating how the beneficiaries will be involved, who they are and how the research will benefit them. The

NATIONAL AGRICULTURAL RESEARCH ORGANISATION

NARO 4

experimental/study design, methods of data collection, analysis and interpretation should be clearly outlined. The concept note should point out the challenges the team is likely to encounter in the implementation of the proposed activities and how they will address these challenges. The concept note should outline the method for scaling-up and include a monitoring and evaluation strategy and plan to be used. Consider innovative M&E methods that engage stakeholders in the process as well as use of clear indicators and milestones. The means of disseminating the results from the research should be described and should be as innovative as possible. A brief time frame for implementation specifying persons/institutions responsible for each activity should be included in the concept note.

Budget requirements

It may not be necessary to provide a detailed budget at this stage but the total cost of the project should be provided. Please note that:

1. The total cost of each project should not exceed US $50,000 or its equivalent in Uganda shillings for a period not exceeding 3 years.

2. The scheme covers only direct research costs and can cover professional fees for time bound activities. Stipend for post-graduate students and per diem for the student supervision are permissible

3. The scheme does not cover salaries, wages and allowances such as medical, house, mileage, etc.

4. An overhead allowance of 8 and 15% of the total budget is payable to grantees’ institutions for field or laboratory based research respectively.

Other issues related to the call

Concept notes with innovations in the following areas will earn more merit: Critical identification of stakeholders in the research Strategy to address social equity and particularly gender concerns and other crosscutting

issues of concern to the study Clear indicators and milestones for monitoring the specified outputs

Innovative approaches to the problem and clear description of stakeholder participation

CALL PROFILES

Southwestern Agro-ecological Zone (Kachwekano) ZCARDF –Research Call Round 01 for 2006

Call Ref: Kachwekano ZARDF 06/01/03

Research area 3: Post harvest handling, processing and product development

Background

Lack of technologies/innovations for value-adding, post-harvest conservation and handling and processing, and the limited diversification of agricultural products in general, have hampered the

NATIONAL AGRICULTURAL RESEARCH ORGANISATION

NARO 5

full realization of opportunities which are potentially available for the farmers in the Southwestern zone to improve their livelihoods. Limited processing technologies therefore limit the marketability of commodity enterprises in the zone. Utilization of the existing value-adding technologies/innovations and their commercialization through various market channels will enhance productivity and competitiveness of the agricultural system in the zone. However, weak farmer institutions in the areas of production, processing and marketing do not allow for this to be fully attained. In Kachwekano zone, a lot of potatoes for example are grown by smallholders. Due to the narrow utilization base for crops in general, liquidity and cash flow problems experienced soon after the harvest, farmers are forced to sell their produce at low prices for lack of technologies to add value or even extend shelf life until prices improve. Farmers are often not organized into marketing groups so as to have a bargaining power for higher prices since they do individual marketing. The narrow utilization base of the potato does not give the farmers enough incentives to specialize in planting certain varieties in large quantities for a definite use so as to create a good condition for collective bargaining.

Research and development assignment of call

In this call for concept notes, post-harvest handling, processing and product development for the market will be the main focus of the study through identifying/developing and promoting technologies/innovations for value addition, post-harvest handling and processing and utilization of various available market channels (both conventional and niche markets) for the diversified value-added potato products. The study should look into ways to store and preserve potatoes for gradual release to the market to avoid a glut in the market and devise the best marketing strategies for potato. In this regard, innovations in processing potatoes into non-perishable products should be looked into. Innovations which give the farmers better incentives in the growing of potato in the zone would increase the benefits derived from the crop. The study will also be expected to identify farmer institutions and relevant stakeholders for production, marketing and processing and value addition of potato in the zone and identify appropriate ways to link the producers and processors to the market. In this regard, the concept note should attempt to identify and recommend certain varieties for particular uses for growing by the farmers.

Research design features

The concept note MUST indicate a multidisciplinary approach involving multiple stakeholders/collaborators in the investigating team (minimum 2 collaborators). It should indicate the multiple objectives addressing all the aspects of the problem running from production to processing and marketing. The concept note should also reflect a system-based approach focused on the multiple objectives. The research questions/hypothesis to be answered have to be clearly defined and methods and approaches to answer each question have to be described, stating how the beneficiaries will be involved, who they are and how the research will benefit them. The experimental/study design, methods of data collection, analysis and interpretation should be clearly outlined. The concept note should point out the challenges the team is likely to encounter in the implementation of the proposed activities and how they will meet these challenges. The concept note should outline the method for scaling-up and the monitoring and evaluation strategy and plan to be used. Consider innovative M&E methods that engage stakeholders in the

NATIONAL AGRICULTURAL RESEARCH ORGANISATION

NARO 6

process as well as use of clear indicators and milestones. The means of disseminating the results from the research should be described and should be as innovative as possible. A brief time frame for implementation specifying persons/institutions responsible for each activity should be included in the concept note.

Budget requirements

It may not be necessary to provide a detailed budget at this stage but the total cost of the project should be provided. Please note that:

1. The total cost of each project should not exceed US $50,000 or its equivalent in Uganda shillings for a period not exceeding 3 years.

2. The scheme covers only direct research costs and can cover professional fees for time bound activities. Stipend for post-graduate students and per diem for the student supervision are permissible

3. The scheme does not cover salaries, wages and allowances such as medical, housing, mileage, etc.

4. An overhead allowance of 8 and 15% of the total budget is payable to grantees’ institutions for field or laboratory based research respectively.

Other issues related to the call

Concept notes with innovations in the following areas will earn more merit: Critical identification of stakeholders in the research Strategy to address social equity and particularly gender concerns and other crosscutting

issues of concern to the study Clear indicators and milestones for monitoring the specified outputs Innovative approaches to the problem and clear description of stakeholder participation

REQUEST FOR PROPOSALS

Sponsoring Empirical Research on

Securing Access to Natural Resources

The CGIAR Systemwide Program on Collective Action and Property Rights (CAPRi) invites participating CGIAR centres to respond to this Request for Proposals (RFP), in collaboration with partner institutions in the countries of the research.

About the CAPRi Program

CAPRi aims to promote comparative research on the role played by collective action and property rights institutions for poverty reduction with particular reference to the management of natural resource systems in developing countries. The program builds on CGIAR research on these topics in the CGIAR centres and in Systemwide Programs. The Collective Action and Property Rights Program is not intended to replace or redefine the numerous current existing projects in these areas, but rather to complement and extend ongoing efforts, promote new research where gaps are identified, and forge new linkages between Centres and non-CGIAR partners.

CAPRi-funded research is intended to contribute to policies and practices that reduce rural poverty by analyzing and disseminating knowledge on the ways that collective action and property rights institutions influence the livelihood of the rural poor as well as the efficiency, equity and sustainability of natural resource use.

Ensuring that the poor have access to the natural resources vital for their livelihoods is important to CAPRi’s overall goal of contributing to poverty reduction. The topic of securing access cross cuts several of the past research projects sponsored by CAPRi and provides a potential to provide further insight into each of CAPRi’s priority research themes.

Rationale

Several major global and local dynamics, such as climate change, trends in global economy, and demographic shifts, are affecting the livelihoods of the poor in the developing world. These and other changes present new challenges to the resource-dependent communities. In 2008, CAPRi became involved in several initiatives to explore the effects of climate change on the rights to resources of the poor (see http://www.capri.cgiar.org/wks_0508.asp and http://www.capri.cgiar.org/wks_1008.asp). However, since the overall goal of CAPRi calls for a broader focus on natural resources and the institutions of collective action and property rights, the topic of Securing Access to Resources fits with most of CAPRi’s core themes and explores the effects of other challenges besides climate change on the livelihoods of the poor.

In this call for proposals, we are interested in new research that explores both the threats that the poor face in accessing and benefitting from natural resources and the approaches used to counter these threats that are based on the institutions of collective action and property rights.

Under threats, CAPRi understands the following issues as representative of the current major challenges (other major threats can also be considered):

• High-value uses of resources such as biofuel crop production, mining, large plantations for cash crops;

• Formalization of property rights that disregard customary rights held by the poor; • Conflicts, both resource-related and geopolitical;

12.9: CAPRI Request for Proposals - Sponsoring Empirical Research on Securing Access to Natural Resources

• Demographic shifts; • Global climate change; • Gender inequality in access to and benefits from resources.

There are various mechanisms that can be used to counter these threats. The following responses are based on changes in the institutions of property rights:

• Alternative forms of recognition of property rights; • Developing a framework for free, prior, informed consent (FPIC) and strengthening of the

negotiating capacity of the poor, including indigenous groups; • Promoting equitable access for women and other disadvantaged groups (ethnic minorities,

etc). On the collective action side, approaches may include:

• Strengthening local institutions; • Collective enterprise development; • Institutions of collective action as a basis for local resilience.

Further research on these threats and resolution mechanisms would show how the institutions of collective action and property rights can be used to deal with current challenges experienced by the resource-dependent communities and provide alternative policy approaches to deal with these challenges. Through this call, we invite proposals to further investigate these issues. Objectives

The objectives of sponsoring empirical research through the CAPRi program are to:

1. Demonstrate the importance of collective action and property rights issues for the CGIAR's mandate, and mobilize attention and resources for collective action and property rights research within the CGIAR, partner institutions in developing countries, and policymakers at all levels;

2. Build or strengthen capacity to do such research in the CGIAR and partner institutions in developing countries.

The main objective of this call for proposals is to develop policy-relevant findings on the threats that the poor face in accessing resources vital for their livelihoods and the approaches they currently use or can potentially use to secure access to these resources based on the institutions of collective action and property rights. The proposed research should aim to develop and disseminate best practices for methodologies to investigate the challenges to access to natural resources and how these challenges can be countered with mechanisms based on the institutions of collective action and property rights.

Proposals should address at least one of the following topics:

• Threats that the poor face in accessing vital natural resources, which have implications for collective action and property rights: Many challenges rising out of new global trends are limiting or preventing the poor from accessing and benefitting from natural resources. As outlined above, these threats range from climatic distresses to demographic changes to emerging economic trends. Research proposals could investigate the nature of these challenges and their effect on the institutions that are important for the livelihoods of the poor, such as the rights to access and benefit from resources, and the ability to organize

and the effectiveness of groups and networks in fulfilling their objectives.

• Approaches to counter threats to resource access that are based on property rights institutions: As outlined above, the institutions of property rights can be used in various ways to ensure that the poor have a secure access to natural resources. While the threats to access may undermine the rights to resources, there are new and innovative ways that are being used by organizations working to help the poor to overcome these threats. Research on this topic could investigate these new mechanisms adopted to secure the property rights of the poor as well as investigate alternative forms of recognition of rights that would enable the poor to effectively deal with emerging resource-related challenges. In this context, property rights may become both the objective (i.e. secure access) and the means to achieving the objective (innovative ways to re-define property rights). Special attention could be given to the examination of how these approaches can be applied to women, and whether new policy and programmatic instruments could be developed to secure access to resources for women.

• Approaches to secure access to resources that are rooted in collective action: Similarly to the institutions of property rights, collective action institutions of the poor offer numerous innovative and creative solutions to the increasing threats on their resources. CAPRi’s previous work has shown that groups and networks of the poor play a vital role in supporting and enhancing their livelihoods. Research under this topic could investigate the applicability of collective action to securing access to resources in the face of new challenges and how the groups and networks adapt to their new roles and functions to fulfill these new objectives. As with property rights, the role of collective action in securing access to resources for women can be examined under this topic. Another possible research question applicable both to this topic and the one above is the link between collective action and property rights in the context of new global challenges and the adaptability of both institutions to deal with the emerging resource-related threats.

Research sponsored under this RFP is expected to build on current research in the CGIAR,

such as either a) projects that already address the issues of collective action or property rights issues in natural resources or b) other ongoing research that has identified the relevance of collective action and property rights in the face of emerging threats to resource access, but has not yet been able to devote research to the topic of this RFP.

CAPRi would provide up to $150,000 per project. It is expected that funds from CAPRi would

be supplemented from another source (Center core or another donor). Individual projects can last for one to 2.5 years, but would receive a maximum of $150,000 from CAPRi over the duration of the project. Any CGIAR center, in partnership with national research institutions, may submit proposals for these funds.

Selected projects would be required to submit at least one paper to the CAPRi Working Paper

series, and to contribute actively in the discussions on overcoming threats and securing access to resources, through email exchanges, and by participating in an international workshop.1 All projects will be required to submit two financial and narrative progress reports annually: a short summary report on the first 6 months of the year in August each year, and a more detailed annual report in February of the following year. The final narrative and financial report is due no later than two months after the grant period. Three copies of all publications and papers from the project should be provided to the CAPRi Coordinator.

Support for this research and the overall CAPRi program is provided by the governments of

1 Expenses for participation in the workshop should be factored into the project costs. 

Norway and Italy, and the World Bank. Criteria for grant selection 1. Investigates the threats that the poor face in accessing resources and approaches used to

secure this access as outlined in this RFP. 2. Proposes the application of appropriate research methodology, which might include a mix of

quantitative and qualitative methods ensuring overall quality of proposed research; 3. Includes strong involvement of national research partners (including a letter of intent to

participate from at least one research institution and/or NGO in the country of research); 4. Addresses critical policy issue, potential importance of findings for CGIAR mandate; 5. Outlines explicit plans for outreach and fostering broad impact (e.g. fostering cooperation with

critical actors in the policy arena, including government, NGOs and civil society); 6. Links to other research of the CGIAR center (e.g. brings collective action and/or property rights

issues into other studies that the center has in its Medium Term Plan); 7. Aims to build or strengthen capacity to do social science research in the CGIAR and partner

institutions in developing countries.

Proposals will be reviewed according to these criteria by an independent Proposal Review Panel. The review panel will give its recommendations on the proposals to the CAPRi Executive Committee, which will make the final selection, based on the review panel’s recommendations. In case proposals are of similar quality, preference will be given to those centres that have not received a previous CAPRi research grant. Who may apply Any CGIAR center who is a member of the CAPRi Program may apply, in collaboration with at least one partner organization (research institute or NGO) in the country or countries of research. Other collaborating partners based in industrialized countries may also be included. Collaborative proposals from more than one CGIAR center are encouraged, but collaboration with other CGIAR centres is not a substitute for national partners in the countries of research. National institutes in developing countries may initiate the research project, but substantial involvement of a CGIAR center is required, and the proposal must be submitted by the CGIAR center. Funds will be remitted to the CGIAR institution, and they are responsible for accounting and deliverables. A draft contract can be shared with applying CGIAR centres upon request.

Applying research teams are requested to keep the liaison from the submitting center informed,2 to allow centres to coordinate their submissions. A CGIAR center can submit more than one proposal, provided that all submissions are endorsed by that center. Process and timetable

Complete proposals should be sent by mail and must be received by, not postmarked by, the due date.

Faxed proposals will be accepted, provided a cover note indicates that the original is being sent

by express mail before the deadline. All submissions will receive notification upon receipt of their application.

E-mail submissions are acceptable under the following conditions:

2 For a list of liaisons, see http://www.capri.cgiar.org/member.asp#steerexec

1) E-mail submissions should be sent to capri-proposals@cgiar.org. Please indicate in the subject line: grant application.

2) Signed letters of support need to be either sent by fax3 or attached as pdf files (pdf files need to include the relevant letterhead and signature); AND

3) The hardcopies that include ALL the original documents should be sent by express mail before the deadline.

Please note that emails over 10 MB cannot be accepted; if the attachments are too large, they should be split and sent in separate emails. Only complete applications will be accepted. The applicants should ensure the completeness of the application packet since the electronic and mailed submissions will not be opened until the day after the submission deadline. April 15, 2009 Proposals due. April 16, 2009 Opening of proposals, forwarding to external review panel. May 11, 2009 Executive Committee awards the grants. May 15, 2009 Announcement of research awards. How to apply Two copies of your proposal, including application form and all requested supplementary material, should be mailed to:

German Gavino Chief Accountant International Food Policy Research Institute (IFPRI) 2033 K Street, NW Washington, DC 20006 USA

Late proposals or proposal components cannot be accepted. Questions Any questions regarding this RFP should be directed to: Ruth Meinzen-Dick or Helen Markelova r.meinzen-dick@cgiar.org h.markelova@cgiar.org phone: 1-202-862-5664 Potential applicants are encouraged to contact Ruth or Helen to indicate their interest, and ask any questions, in order to make sure the proposals submitted are as strong as possible. Appeals Applicants can appeal to the decision of the Executive Committee by May 29, 2009 by contacting one of following Executive Committee members indicating the reason for the appeal: Juan-Camilo Cardenas, Universidad de los Andes, Colombia: jccarden@uniandes.edu.co

3 Faxes should be addressed to German Gavino (IFPRI), +1-202-467-4439.

Nontokozo Nemarundwe, University of Zimbabwe and PhytoTrade Africa, Zimbabwe: nonto@phytotradeafrica.com

CGIAR Systemwide Program on Collective Action and Property Rights 2009 Grant Application

(max 15 pages) Please note: Χ All CGIAR Centres submitting proposals must provide all of the information requested to be

considered for funding. Χ Proposals do not need to be submitted on original forms--word processed versions using this

format are acceptable. Χ Submit two copies of all material, including all requested attachments. Χ Submit the completed checklist along with your grant application. Name of CGIAR Center: _____________________________________________________ Address: ____________________________________________________________ Lead researcher: _______________________________________ (include title) Telephone: ____________________ Fax: _____________________ Email of lead researcher: ______________________ Mailing address of lead researcher:_________________________________ (if different from Center address) Amount requested: US$ ____________Total project budget: US$ ______________ Collaborating organization(s): ________________________________________________ Countries of project: ______________________________________________ Proposed project period: from _______________ to ______________________ Proposed project title and a 1–2 sentence description of this project:

CAPRi Grant Application, 2009 1 1. Purpose for which funds are requested [approx. 10 pages for questions under item 1]

1.1. Project Description: Identify goals, objectives, background and key concepts. 1.2. Research methods: Describe the methods to be used. 1.3. Contributions to the understanding of the role of collective action and property rights in

securing access to resources for the poor. 1.4. Policy relevance: Indicate the main policy questions that this research addresses and why

these are important for poverty reduction. 1.5. Capacity strengthening: Indicate how the proposed research will contribute to strengthening

capacity to undertake further work on collective action or property rights for poverty reduction. 1.6. Work plan: Describe plans for implementing the research project, including the dates for

launching and ending different phases of the project and noting specifically how the requested funds will be used.

2. Outputs

What are the intended outcomes and deliverables that will arise from the research project? Include dates of expected outputs.

3. Outreach, dissemination and impact 3.1. What impacts are envisaged for this project? Who are the critical actors, who have to be

involved to achieve these impacts? How will these actors be integrated into the project? 3.2. What plan is there for dissemination of research results? Specify target audience(s) and

means of dissemination (e.g. workshops, publications, extension, etc.), including expected dates.

4. Staffing Note who will lead the research project and be the primary point of contact regarding progress and outcomes of the project. Attach the CVs of the project leader and staff with primary responsibility for Collective Action and Property Rights (CAPR) research. (If a collaborating institution is a major source of CAPR research capacity, include experts from that organization.)

5. Collaboration List all major collaborators (individuals and their organizational affiliation) in the research project and specifically describe their proposed participation in the project. A letter of intent to collaborate from each partner institution, including the lead CGIAR center, should be attached, or forwarded by the collaborating organization prior to the proposal deadline.

6. Bibliography Materials relating to the proposed research, including key theoretical and applied research on the topic.

7. Background/capacity of your Center to do work on collective action and property rights Briefly describe how CAPRi relates to your organization's overall mission, goals, and objectives; current programs and activities.

8. Other funding sources List which other donor(s) have been approached and/or committed funds to this research project and how much. Source $ Committed $ Pending Expected Decision Date ________________ ___________ ____________ _______________ ________________ ___________ ___________ _______________ ________________ ___________ ___________ _______________ ________________ ___________ ___________ _______________ ________________ ___________ ___________ _______________

9. Project budget (a detailed budget in your institute’s budget format may be attached, in addition to this summary form)

Proposed project period (month/year - month/year):______/____-____/______ _______________________________________________________________ Revenues: CAPRi US$___________ Other donors (specify) US$___________ ______________________________________________________ Expenditures (by institute)

Checklist of attachments Please submit two copies of each of the following: ____ this checklist, on the cover of the proposal ____ cover letter of support from host CGIAR center ____ completed grant application form (Maximum length 15 pages) ____ letters from main collaborating organizations relevant to this proposal ____ CVs of project leader and researchers primarily responsible for work on CAPRi issues ____ any supplemental materials regarding your center or collaborating institute's work on

collective action and property rights (please list)

4 Specify on a separate page for each participating institute: Name of each researcher, daily rate in US$, and number of days on the project. 5 Not data collection related, but meetings, or training/extension. 6 Note that, according to the CGIAR Center Directors Agreement on Systemwide Programs, the convening center (in this case IFPRI) charges a 2% administrative fee on all pass-through funds such as this, and the recipient CGIAR center can charge up to their regular overhead rate minus 2%. The ceiling of $150,000 per project available through CAPRi includes any overhead charges.

CGIARcenter

partner institute 1

partnerinstitute 2

Salaries and benefits4

Consultants and hired field staff Data collection Conferences/meetings Training and extension Printing/publications Travel5

Communication costs

Other expenses (specify) Subtotal Administrative overhead (___%)6 GRAND TOTALTOTAL US$ US$ US$ US$

1

The Secretariat of the African, Caribbean and Pacific Group of States (ACP Secretariat)

ACP Science and Technology Programme1

Guidelines for Grant Applicants

Open Call for Proposals - 2008

9th European Development Fund and

Budget line 21.031700

Reference: EuropeAid/127860/D/ACT/ACP

Deadline for submission of applications: 27 February 2009

1 (formerly called Programme for Science and Technology Innovations and Capacity Building – PSTICB)

12.10: ACP Science and Technology Programme Guidelines for Grant Applicants

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NOTICE

Please read these Guidelines for Grant Applicants with all due care in order to complete the

Grant Application Form (see Annex A).

Please note that an evaluation of your Full Application Form (Part B of the Grant

Application Form) will only be performed if your Concept Note (Part A of the Grant

Application Form) is provisionally selected. Hereafter, the eligibility conformity check will

only be performed for those proposals that have been provisionally selected according to the

score obtained after the complete evaluation, on the basis of: (a) the supporting documents

requested by the ACP Secretariat and (b) the Declaration by the Applicant (Section VI of Part

B of the Grant Application Form) signed and sent together with the application.

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Table of contents

DEFINITIONS ....................................................................................................... 4

1. ACP SCIENCE AND TECHNOLOGY PROGRAMME ............................. 6

1.1 Background .................................................................................................................... 6

1.2 Objectives of the programme and priority issues........................................................ 7

1.3 Financial allocation provided by the ACP Secretariat ............................................... 8

2. RULES FOR THIS CALL FOR PROPOSALS .......................................... 10

2.1 Eligibility criteria ......................................................................................................... 10 2.1.1 Eligibility of Applicants: who may apply ? ..................................................... 10 2.1.2 Partnerships and eligibility of partners ............................................................ 14 2.1.3 Eligible Actions: Actions for which an application may be made ................... 16 2.1.4 Eligibility of costs: costs which may be taken into consideration for the grant18

2.2 How to apply and the procedures to follow ............................................................... 21 2.2.1 Application form.............................................................................................. 21 2.2.2 Where and how to send the applications.......................................................... 21 2.2.3 Deadline for submission of applications .......................................................... 24 2.2.4 Acknowledgement of receipt ........................................................................... 24 2.2.5 Further information.......................................................................................... 24

2.3 Evaluation and selection of applications .................................................................... 25

2.4 Submission of supporting documents for provisionally selected proposals ............ 30

2.5 Notification of the ACP Secretariat’s decision .......................................................... 32 2.5.1 Content of the decision ......................................................................................... 32 2.5.2 Indicative time table.............................................................................................. 32

2.6 Conditions applicable to implementation of the Action following the ACP Secretariat's decision to award a grant ...................................................................... 33

3. LIST OF ANNEXES..................................................................................... 34

4

DEFINITIONS

ACP African, Caribbean and Pacific. Action or Project The set of activities the partnership proposes to carry out. Applicant The lead institution within the partnership that submits the proposal

and, if the proposal is selected, signs the grant contract. Associate Organisation that has a real role in the Action but cannot receive

funding from this Programme, with the exception of per diem or travel costs. Associates do not have to meet the eligibility criteria referred to in Section 2.1.1. The associates have to be mentioned in Part B Section IV of the Grant Application Form (‘Associates of the Applicant participating in the Action’).

AU African Union. Beneficiary The Applicant as the contracting party with whom a grant contract will

be signed, if the proposal is selected. BUDGET The European Communities general budget. EC European Community. EDCTP The European & Developing Countries Clinical Trials Partnership. EDF contribution The amount of EDF grant the partnership requests. It cannot exceed

85% of the total eligible costs and must be comprised within the minimum and maximum amounts specified in Section 1.3.

EDF European Development Fund. EEA European Economic Area. EFTA European Free Trade Association. Established ACP Science and Technology network

A consortium of organisations existing prior to submitting an application and fulfilling the following criteria: - all network members and the network headquarters are located in eligible countries; - the network has a legal status; - the network is applying in its own right; and - the network has been registered for a minimum of two years

EU European Union. FP7 Seventh Framework Programme for research and technology

development. INCO International Cooperation. NEPAD New Partnership for Africa’s Development. OCT Overseas Countries and Territories. Own contribution The part of the total eligible costs funded from the Applicant's or

partners' own resources, or from sources other than the budget of the European Community or the European Development Fund, subject to the specifications of Section 2.1.4.

Partner The institution - other than the Applicant – that is a member of the partnership.

Partnership The grouping of institutions, i.e., the Applicant and its partners, constituted for the purpose of submitting an application and, if successful, for implementing the Action. It does not have to exist previously, and its constitution has to be demonstrated by the signed ‘Partnership Statements’ required under Section III of the Grant Application Form.

S&T Science and Technology SADC Southern African Development Community.

5

Subcontractors The grant beneficiaries have the possibility to award contracts to subcontractors for necessary limited parts of the Action they cannot execute themselves, e.g., the supply of products, execution of works, or provision of services. They are neither partners nor associates, and are subject to the General Conditions and the Procurement Rules set out in the Annexes II and IV to the standard Grant Contract (see Annex F of these Guidelines).

Total eligible costs The sum of the EDF (and/or Budget) contribution and own contribution, subject to the specifications of Section 2.1.4.

UNESCO United Nations Educational, Scientific and Cultural Organization

Other terms used in the present Guidelines are defined in the glossary to the ‘Practical Guide to Contract procedures for EC external actions’ which is available at the following Internet address: http://ec.europa.eu/europeaid/work/procedures/documents/execution/edf_general/edf_a1glossary_en.doc

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1. ACP SCIENCE AND TECHNOLOGY PROGRAMME

1.1 BACKGROUND

The ACP Science and Technology Programme2 originates from the need of a joint and systematic ACP-EU (African Caribbean and Pacific – European Union) approach in the field of research and innovations and responds to the conclusions of the 2002 Cape Town ACP Ministerial Forum on Research and the Johannesburg World Summit on Sustainable Development (WSSD). Developed in the context of the ‘EC's Strategy for Sustainable Development’, it will contribute to achieving the Millennium Development Goals 1, 7 and 8 by targeting poverty eradication, focusing on building and enhancing strong scientific and technological capacity to support research, development and innovation in the ACP region, and enabling the identification and formulation of activities or policies that are critical to sustainable development.

To be successful, the Programme has to facilitate the creation or strengthening of frameworks for regional and sub-regional co-operation and of inter-institutional co-operation in the ACP region in the field of science and technology. As such, it is linked to the Education and Training and Poverty Reduction initiatives of the European Parliament and Council (July 2001 and March 2002), and the Development Council resolution of 30 May 2002. The ACP Science and Technology Programme is also consistent with ‘The European Consensus on Development’ (2005) and the ‘Africa-EU Strategy Partnership’. In the context of this latter partnership (endorsed at the EU-Africa Summit in Lisbon, December 2007), a Joint EU-Africa Strategy has been adopted, on the basis of which a ‘First Action Plan 2008-2010 for the implementation of the Africa-EU strategic partnership’ has been developed. It identifies 8 Africa-EU Partnerships, of which one is on ‘science, information society and space’. It addresses a number of priority actions: a) Support the development of an inclusive information society in Africa; b) Support Science and Technology Capacity Building in Africa and Implement Africa's Science and Technology Consolidated Plan of Action; and c) Enhance co-operation on space applications and technology.

Furthermore, the Programme is complemented by other EC (European Community) funded initiatives, such as the ‘Erasmus Mundus’, and by the EC research programmes ‘International Cooperation (INCO)’ and ‘The European & Developing Countries Clinical Trials Partnership (EDCTP)’.

The Programme has also been developed in the context of other initiatives with similar objectives, such as EDULINK, European initiatives in Water and Energy, the ‘Seventh Framework Programme for research and technology development (FP7)’, the ‘Africa’s Science and Technology Consolidated Plan of Action’ of the African Union / New Partnership for Africa’s Development - AU/NEPAD - (August 2005), the United Nations Educational, Scientific and Cultural Organization (UNESCO) supported ‘Action Plan on Higher Education in Africa’ and SADC bilateral co-operation programmes.

The origin of this Programme is based on the conviction that one of the requirements for an effective fight against poverty in the ACP countries is the application of knowledge gained from Science and Technology (S&T), both on a local as on a regional level. Any systematic approach to an improved science and technology capacity and towards applying its results and recommendations is a national and regional task. Therefore, any framework for action needs to be defined by appropriate S&T policies which more than likely differ from country to country. Nevertheless, in order for S&T policies to be successful in contributing to a fight against poverty, their identification, formulation, implementation and evaluation should involve a rather broad group of concerned actors: government and policy makers, academic 2 The name formerly used was ‘Programme for Science and Technology Innovations and Capacity Building’ –

PSTICB.

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institutions, centres of excellence, private sector and civil society. Here is where the ACP Science and Technology Programme comes in. Whereas the national governments are obviously responsible for the S&T policies, the ACP Science and Technology Programme provides an opportunity for the above mentioned actors (governmental institutions and agencies, policy makers, academia, centres of excellence, private sector and civil society) to strengthen their capacity to play their distinctive roles in this process: to be able to address development needs, to design appropriate instruments for collaborative research and to manage the research capacity in the country concerned. This is why the focus of the Programme is on the ACP countries, their institutions and actors (different from, yet complementary to programmes, such as FP7) and the strengthening of the networking of ACP institutions in a given country and in a region as a whole to benefit from a complementation of the different points of views, capacities and experiences. The ACP Science and Technology Programme is, therefore, not limited to a particular kind of institution like for instance Higher Education Institutions (as is the case of EDULINK). It has a very practical approach to the most urgent development needs as defined in previous policy documents, such as the ‘Cape Town Declaration on Research for Sustainable Development’. This is why the ACP Science and Technology Programme expects to receive proposals in the fields of quality health care, environmental research activities, energy, transport, agriculture and agro-industry, as well as sustainable trade. The ACP Science and Technology Programme is not limited to one area, but encompassing all 79 ACP Member States and the modalities of its execution reflect the partnership for development that marks the new relationship between the European Union and the ACP Member States. One concrete expression of this EU-ACP partnership is the fact that different from (and complementary to) other sectoral EU initiatives in similar fields, this Programme is being implemented by the ACP Secretariat directly in a decentralized ex ante management mode.

1.2 OBJECTIVES OF THE PROGRAMME AND PRIORITY ISSUES

The overall objective of the ACP Science and Technology Programme is to support ACP countries in formulating and implementing science and technology policies that can lead to sustainable development and to poverty reduction through economic growth and progressive integration in the world economy.

The purpose of the Programme is to strengthen the internal science and technology capacity of ACP countries at three levels:

• Institutional, administrative and policy making levels.

• Academic research and technology.

• Business and civil society.

The Programme emphasizes the promotion of interdisciplinary approaches to sustainable development along three main axes, to achieve five results:

• Co-ordination and networking in applied research (Axis 1).

Result 1: Networks established or consolidated at intra ACP-level with linkages to international networks.

Result 2: Increased capacity to assess research needs to facilitate the formulation and implementation of research policies.

• Instruments for collaborative research (Axis 2).

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Result 3: Increased capacity and incentives to research network partners to prepare and submit project proposals to funding

• Management of research activities and reinforcement of research quality (Axis 3).

Result 4: Research results better capitalized and disseminated. Result 5: Quality of research results improved.

In order to facilitate the monitoring of the Programme’s impact, Applicants should clearly specify in Part B Section I.1.6 of the Grant Application Form for which axis or combination of axes they are applying.

The Programme will fund projects which primarily focus on quality health care, environmental research activities, energy, transport, agriculture and agro-industry, and sustainable trade. More details of these focus areas are given in Section 2.1.3 of these Guidelines.

1.3 FINANCIAL ALLOCATION PROVIDED BY THE ACP SECRETARIAT

Indicative allocation of funds by lot

For this Call for Proposals, an indicative amount of EUR 28.000.000 is made available from the 9th EDF and an indicative amount of EUR 5.000.000 is made available from budget line 21.03.17 ‘European Programme for Reconstruction and Development’. The overall indicative amount made available under this Call for Proposals is, therefore, EUR 33.000.000. The ACP Secretariat reserves the right not to award all available funds.

This Call for Proposals is divided into 2 Lots, one for each of the above mentioned funding sources, with different eligibility criteria for the applicants and partners, but identical objectives, results and activities:

• Lot 1 – EDF – concerns the EUR 28.000.000 EDF (European Development Fund) contribution.

• Lot 2 – BUDGET – concerns the EUR 5.000.000 EC budget line 21.03.17 contribution.

Information on the eligibility of applicants, their partners, types of actions and costs, is provided in Section 2.1.

Applicants have to clearly specify in the first page of the Grant Application Form for which lot they are applying. Each proposal may be submitted under only one lot.

In the case where the financial allocation foreseen for one of the lots cannot be fully used due to insufficient quality or number of proposals received, the ACP Secretariat reserves the right to transfer proposals from one lot to the other under the condition that all eligibility criteria are met.

Size of grants (for both lots)

A grant awarded under this Programme must fall between the following minimum and maximum amounts:

• minimum amount: EUR 350.000

• maximum amount: EUR 1.000.000

9

In exceptional cases, the maximum amount for project grants can reach up to EUR 3.000.000. Applications are considered exceptional cases whenever the Action proposed for financing concerns at least four of the six ACP regions3 and contributes to the formulation and implementation of regional, interregional or intraregional science and technology policies, or whenever the Applicant is a regional or inter-state body as defined in Section 2.1.1.1 for Lot 1 – EDF under heading (1) (d) and Section 2.1.1.2 for Lot 2 – BUGDET under heading (1) (d).

Grants may be awarded up to the maximum of 85 % of the total eligible costs of the Action (see also Section 2.1.4). The balance must be financed from the Applicant's or partners' own resources, or from sources other than the European Community budget or the European Development Fund.

3 Eastern Africa, Central Africa, Western Africa, Southern Africa, Caribbean and Pacific. The composition of

these regions is further detailed in Section 2.1 of these Guidelines.

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2. RULES FOR THIS CALL FOR PROPOSALS

These Guidelines set out the rules for the submission, selection and implementation of Actions financed under this Call for Proposals, in conformity with the provisions of the ‘Practical Guide to Contract procedures for EC external actions’, which is applicable to the present call (available on the Internet at this address: http://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/new_prag_final_en.pdf.

2.1 ELIGIBILITY CRITERIA

There are three sets of eligibility criteria, relating to:

• Applicants - which may request a grant (Section 2.1.1), and their partners (Section 2.1.2),

• Actions - for which a grant may be awarded (Section 2.1.3),

• Types of cost - which may be taken into account in setting the amount of the grant (Section 2.1.4).

2.1.1 Eligibility of Applicants: who may apply?

Eligibility of Applicants under ‘Lot 1 – EDF’ respects the rules applicable for EDF funding, while eligibility of Applicants under ’Lot 2 – Budget’ respects the rules applicable for budget line 21.03.17.

2.1.1.1 Lot 1 – EDF (1) In order to be eligible for a grant under Lot 1 - EDF, Applicants must meet all of the following criteria:

• be legal persons and

• have at least a three-year record of activities in the formulation and/or implementation of activities in research and science and technology, for which they will have to provide the relevant legal documents and

• be directly responsible for the implementation of the Action with their partners, not acting as an intermediary and

• be able to demonstrate their experience and capacity to manage activities corresponding in scale and complexity to those for which a grant has been requested and

• have stable and sufficient sources of finance to ensure the continuity of their organisation throughout the Action and

• belong to one of the following categories:

(a) ACP national or regional science and technology organizations, research institutions, universities, government ministries or public institutions dealing with

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research policies, ACP national research networks, relevant civil society or private sector actors4 or similar EU actors working in partnership with ACP counterparts; or

(b) Regional science and technology institutions, with separate legal status, not belonging to any national system but formally recognised by one of the eligible countries; or

(c) Established ACP science and technology networks5 provided that: all network members and the network headquarters are located in eligible countries; the network has a legal status; the network is applying in its own right; and the network has been registered for a minimum of two years.6

(d) The Commission of the African Union and regional or inter-State bodies7 to which one or more ACP States belong, including bodies with non-ACP State members, which are authorised by those ACP States; and

• be nationals8 of one of the 79 ACP States or one of the 27 Member States of the

European Union. This obligation does not apply to international organisations

Institutions from Cuba and the Overseas Countries and Territories (OCT) may only participate in projects as associates, and cannot be final beneficiaries of the project from EDF funds.

(2) Applicants will not be awarded grants if:

• they are in any of the situations which are listed in Section 2.3.3 of the ‘Practical Guide to Contract procedures for EC external actions’ available from the following Internet address: http://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/new_prag_final_en.pdf

In Part B Section VI of the Grant Application Form (‘Declaration by the Applicant’), Applicants must declare that they do not fall into any of these situations.

4 The Applicant accepts that the grant can under no circumstances result in a profit for himself and/ or the

partners and that the grant must be limited to the amount required to balance income and expenditure for the action. Profit shall be defined as a surplus of receipts over the costs of the Action in question. Eligibility of private sector actors/ profit making institution will be assessed on a case-by-case basis and will be only accepted if fully justified by the Applicant. In case a profit-making institution is accepted as a partner within a selected proposal, the members of the partnership will have to sign a memorandum of understanding, clearly stating that funds awarded by the Programme shall not be used for profit-making activities.

5 This section should be read in conjunction with Section 2.1.2 ‘Composition of Partnerships’, especially the first bullet point.

6 Where a network acts as an Applicant, it must be able to enter into contractual and financial obligations with the ACP Secretariat.

7 This section should be read in conjunction with Section 2.1.2 ‘Composition of Partnerships’, especially the first bullet point.

8 Such nationality being determined on the basis of the organisation's statutes which should demonstrate that it has been established by an instrument governed by the internal law of the country concerned. In this respect, any legal entity whose statutes have been established in another country cannot be considered an eligible local organisation, even if they are registered locally or accompanied by a ‘Memorandum of Understanding’.

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2.1.1.2 Lot 2 – BUDGET (1) In order to be eligible for a grant under Lot 2 – Budget, Applicants must meet all of the following criteria:

• be legal persons and

• have at least a three-year record in the formulation and/or implementation of activities in research and science and technology development, for which they will have to provide the relevant legal documents and

• be directly responsible for the implementation of the Action with their partners, not acting as an intermediary and

• be able to demonstrate their experience and capacity to manage activities corresponding in scale and complexity to those for which a grant has been requested and

• have stable and sufficient sources of finance to ensure the continuity of their organisation throughout the Action and

• belong to one of the following categories:

(a) ACP national or regional science and technology organizations, research institutions, universities, government ministries or public institutions dealing with research policies, ACP national research networks, relevant civil society or private sector actors9 or similar EU actors working in partnership with ACP counterparts; or

(b) Regional science and technology institutions, with separate legal status, not belonging to any national system but formally recognised by one of the eligible countries; or

(c) Established ACP science and technology networks10 provided that: all network members and the network headquarters are located in eligible countries; the network has a legal status; the network is applying in its own right; and the network has been registered for a minimum of two years.11

(d) The Commission of the African Union and regional or inter-State bodies12 to which one or more ACP States belong, including bodies with non-ACP State members, which are authorised by those ACP States; and

• be nationals13 of one of the 79 ACP States, one of the 27 Member States of the European Union, one of the 3 European Economic Area (EEA) / European Free Trade

9 The Applicant accepts that the grant can under no circumstances result in a profit for himself and/ or the

partners and that the grant must be limited to the amount required to balance income and expenditure for the action. Profit shall be defined as a surplus of receipts over the costs of the Action in question. Eligibility of private sector actors/ profit making institution will be assessed on a case-by-case basis and will be only accepted if fully justified by the Applicant. In case a profit-making institution is accepted as a partner within a selected proposal, the members of the partnership will have to sign a memorandum of understanding, clearly stating that funds awarded by the Programme shall not be used for profit-making activities.

10 This section should be read in conjunction with Section 2.1.2 ‘Composition of Partnerships’, especially the first bullet point.

11 Where a network acts as an Applicant, it must be able to enter into contractual and financial obligations with the ACP Secretariat.

12 This section should be read in conjunction with Section 2.1.2 ‘Composition of Partnerships’, especially the first bullet point.

13 Such nationality being determined on the basis of the organisation's statutes which should demonstrate that it has been established by an instrument governed by the internal law of the country concerned. In this respect, any legal entity whose statutes have been established in another country cannot be considered an eligible local organisation, even if they are registered locally or accompanied by a ‘Memorandum of Understanding’.

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Agreement (EFTA) Member States or one of the official EU candidate countries. This obligation does not apply to international organisations.

Institutions from Cuba and the Overseas Countries and Territories (OCT) may only participate in projects as associates, and cannot be final beneficiaries of the project from the Budget funds.

(2) Applicants will not be awarded grants if:

• they are in any of the situations which are listed in Section 2.3.3 of the ‘Practical Guide to Contract procedures for EC external actions’ available from the following Internet address: http://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/new_prag_final_en.pdf

In Part B Section VI of the Grant Application Form (‘Declaration by the Applicant’), Applicants must declare that they do not fall into any of these situations.

2.1.1.3 Overview of Differences between Lot 1 – EDF and Lot 2 – Budget and List of eligible countries and composition of regions

Eligible nationality 14 for Applicants and partners

Lot 1 – EDF (28 M€) Lot 2 – Budget (5 M€) 79 ACP States (Table A) ���� ���� 27 EU Member States (Table B) ���� ���� EEA / EFTA countries (Table C) ���� Official EU Candidate countries (Table D)

����

Applicants must operate with a partnership that must involve at least three organisations from at least two

different ACP Member States. The number of non-ACP partners in a partnership cannot be greater than the

number of ACP partners.

Table A: The 79 African, Caribbean and Pacific Member States divided into the six regions eligible under Lot 1 and 2

Eastern Africa Burundi Comoros Djibouti Eritrea Ethiopia Kenya Madagascar Mauritius Rwanda Seychelles Somalia Sudan Tanzania Uganda

Central Africa Cameroon Central African Rep. Chad Congo Democratic Rep. of Congo Equatorial Guinea Gabon Sao Tome & Principe

Western Africa Benin Burkina-Faso Cape Verde Côte d'Ivoire Gambia Ghana Guinea Guinea Bissau Liberia Mali Mauritania Niger Nigeria Senegal Sierra Leone Togo

14 Other eligibility criteria apply. Refer to Section 2.1.1 of the Guidelines for Grant Applicants.

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Southern Africa Angola Botswana Lesotho Malawi Mozambique Namibia South Africa Swaziland Zambia Zimbabwe

Caribbean Antigua and Barbuda Bahamas Barbados Belize

Cuba15 Dominica Dominican Republic Grenada Guyana Haiti Jamaica Saint Kitts and Nevis Saint Lucia Saint Vincent and Grenadines Suriname Trinidad and Tobago

Pacific Cook Islands Fiji Kiribati Marshall Islands Micronesia Nauru Niue Palau Papua New Guinea Samoa Solomon Islands Timor Leste Tonga Tuvalu Vanuatu

Table B: 27 EU Member states eligible under Lots 1 and 2 Austria Belgium Bulgaria Cyprus Czech Republic Denmark Estonia Finland France

Germany Greece Hungary Ireland Italy Latvia Lithuania Luxembourg Malta

Poland Portugal Romania Netherlands Slovakia Slovenia Spain Sweden United Kingdom

Table C: 3 EEA EFTA states eligible under "Lot 2 – Budget" only Iceland Liechtenstein Norway Table D: 3 official EU candidate countries eligible under "Lot 2 – Budget" only Croatia Former Yugoslav Rep. of

Macedonia Turkey

2.1.2 Partnerships and eligibility of partners

Partnerships

The Applicant will act as the lead organisation in a partnership and, if selected, as the ‘Beneficiary’.

Applicants must operate within a partnership and act with partner organisations as specified hereafter.

15 Institutions from Cuba may only participate in projects as associates, and cannot be final beneficiaries of the

project.

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Composition of partnerships

Partnerships must involve at least three organisations from at least two different ACP Member States. The number of non-ACP partners in a partnership cannot be greater than the number of ACP partners. There is no upper limit on the number of members in a partnership. However, a partnership should be composed in such a way as to allow for the achievement of project objectives in the most efficient manner.

Please note that for both lots the following applies:

• ’Established ACP science and technology networks’ and ’regional or inter-state bodies organisations’ mentioned under Section 2.1.1.1 (lot 1 - EDF) under (1) (c) and (d) and Section 2.1.1.2 (lot 2 - Budget) under (1) (c) and (d) are considered partnerships in themselves and, therefore, do not have to form alliances with other organisations for the purpose of this Programme. However, in the case of networks they have to be multinational.

• Applications submitted by partnerships where the lead institution is an ACP Member State or by partnerships composed exclusively of ACP partners will be given preference over partnerships not fulfilling these criteria if at a certain stage of the evaluation process they receive the same scores.

Partners

Applicants’ partners participate in designing and implementing the Action. Each member of a partnership must have a precise and clearly identified role in the planning and execution of the project activities. The role of each partnership member institution must be clearly explained in the proposal. Even though the ACP Secretariat will conclude the contract with the Applicant only, all partners should actively participate and contribute at different stages of the implementation of the project. The Applicant and its partners should draw up an agreement defining the technical and financial rights and obligations of each partnership member. A clear written allocation of tasks and responsibilities and a balanced distribution of costs will contribute to the partnership’s success. Such an agreement will be an internal document of the partnership and not part of the application.

The costs the partners incur are eligible in the same way as those incurred by the Beneficiary of the grant referred to in Section 2.1.4 below.

The partners must satisfy the same eligibility criteria as Applicants referred to in Section 2.1.1 (2.1.1.1 for Lot 1 – EDF and Section 2.1.1.2 for Lot 2 – Budget) above. Proposals, which fail to comply with these principles, will be rejected by the Evaluation Committee.

Institutions from Cuba and the Overseas Countries and Territories (OCT) may only participate in projects as associates, and cannot be final beneficiaries of the project.

The following institutions are not considered partners and, therefore, do not have to sign the ‘Partnership Statement’ (Part B Section III.2 of the Grant Application Form):

• Associates

Other organisations may be involved in the action. Such associates play a real role in the action but may not receive funding from the grant with the exception of per diem or travel costs. Associates do not have to meet the eligibility criteria referred to in Section 2.1.1. The associates have to be mentioned in Part B Section IV - “Associates of the Applicant participating in the Action” of the Grant Application Form.

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• Subcontractors

The grant beneficiaries have the possibility to award contracts to subcontractors. Subcontractors are neither partners nor associates, and are subject to the procurement rules set out in Annex IV to the standard grant contract. The applicant will act as the lead organisation and, if selected, as the contracting party (the "Beneficiary").

2.1.3 Eligible Actions: Actions for which an application may be made

Duration

The planned duration of an Action may not be less than 12 months nor exceed 36 months. Only eligible costs incurred during this period will be recognized for funding. All Actions have to be completed by the deadline of 31 December 2012.

Sectors or themes

The ACP Science and Technology Programme will fund projects which primarily focus on:

• Quality health care: with special attention both to traditional and biodiversity dependent community medicines and to the developments taking place in biotechnology.

• Environmental research activities: addressing climatic variability, loss of biodiversity, deforestation, desertification and rising sea levels, as well as issues associated with upgrading and mainstreaming appropriate indigenous technology and establishing efficient mechanisms for access to and the adaptation of appropriate foreign technology.

• Energy: with special attention to renewable sources of energy such as solar, wind, hydro and biomass energy.

• Transport: addressing transport congestion, air pollution and accidents.

• Agriculture and agro-industry: addressing food productivity and security, adding value to agro-products and encouraging a stronger participation by farmers in production and post-harvest management.

• Sustainable trade: in order to increase investments, encourage development in the private sector and improve the trading capacity of ACP countries. Attention will be given to the socio-economic impact of international trade agreements and protocols on sustainable development in ACP countries.

Location

Lot 1 - EDF Actions should mainly take place in one or more of the 79 ACP Member States mentioned in Section 2.1.1. If part of the Action takes place in the 27 EU Member States, Cuba or the Overseas Countries and Territories (OCTs), the final beneficiaries must still be the ACP Member State/s (with the exception of Cuba).

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Lot 2 - Budget Actions should mainly take place in one or more of the 79 ACP Member States mentioned in Annex I. If part of the Action takes place in the 27 EU Member States , the 3 EEA EFTA States or the 3 EU Candidate countries, Cuba or the Overseas Countries and Territories (OCTs), the final beneficiaries must still be the ACP Member State/s (with the exception of Cuba).

Types of Action

The three types of Action – referred to as Axes under this Programme – which may be financed under this Call for Proposals must relate to the Programme’s overall objectives, purpose and expected results specified in Section 1.2. It is possible to select either one type or a combination of types of Action, but they should always address one or more of the corresponding project activities outlined hereafter. This listing is not exhaustive, but intends to give an indication of the types of activities that partnerships can undertake:

1. Support to Co-ordination and networking in applied research (Axis 1):

• Promotion and strengthening of networks inter-linking research institutes, researchers, civil society, business sectors and policy makers as well as ‘Centres of Excellence’, science and technology consortia.

• Establishment of research frameworks with the aim of achieving a greater and more market-oriented use of ACP research resources.

• Multi-stakeholder in-depth assessments of research and innovation needs in science and technology at regional and sub-regional levels and the design of dynamic databases indicating available expertise.

• Organisation of public debates and consultations on research needs in relation with indigenous knowledge and interests (surveys, focus groups, citizens' debates, etc.), incl. capacity building for civil society groups on research issues.

2. Support to Instruments for collaborative research (Axis 2):

• Establishment or consolidation of intra ACP advisory or observatory bodies on research and innovation for sustainable development in order to collect, share and analyze information on the latest developments in science and technology and their potential applications and provide advice to the policy makers and relevant science and technology non-state actors.

• Definition and implementation of technical instruments: designing tax incentives for firms engaged with universities and research institutions, review and strengthening of legislation relating to property rights, etc.

• Benchmarking good practices and designing 'models of research instruments' in order to promote the best modalities of industry-academia links and co-operation.

3. Support to Management of research activities and reinforcement of research quality (Axis 3):

• Definition and promotion of peer review and evaluation procedures and indicators in order to increase quality and efficiency in regional and national science and technology programmes.

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• Implementation of multi-stakeholder activities (publications, database building, ICT development, information management, consulting, seminars, short-term training, etc.) in order to capitalize, disseminate and implement knowledge and innovations (the results of research), incl. targeted communication and debates with civil society groups concerned.

• Organisation of short-term training sessions at regional, sub-regional and country levels in order to strengthen and upgrade the competences of the scientific community in the following areas: research methods, research fund management, research managerial capacities, etc.

In the description of the project activities, the choice of the activities, the role of each partner, and the related costs must be clearly justified.

In addition, visibility actions (budget line 5.8 of Annex B.1, ‘Budget for the Action’) must be detailed in the application form, comply with Article 6 of the Standard Contract General Conditions, as well as with the ‘Communication and Visibility Manual for EU External Actions’ (http://ec.europa.eu/europeaid/work/visibility/index_en.htm), and be kept at a reasonable level, in line with the principle of proportionality.

The following types of Action are not eligible:

• Actions that conflict, either directly or indirectly, with the policies of the European Union or which may be linked with a prejudicial image.

• Actions concerned only or mainly with individual sponsorships for participation in workshops, seminars, conferences, congresses, etc.

• Actions concerned only or mainly with individual scholarships for studies or training courses.

• Research and Development activities.

Number of proposals and grants per Applicant

In order to provide an equal opportunity to the widest number of eligible applicants to participate in this Call for Proposals, an applicant may submit up to three proposals with the same partner institution(s). In addition, where appropriate, an applicant may submit only one application for a requested grant amount which is more than EUR 1.000.000 (available under exceptional cases as defined under Section 1.3 ‘Size of grants’).

An Applicant cannot submit the same application under different lots.

However, an Applicant may submit proposals of a different nature under different lots.

An Applicant may be awarded more than one grant under this Call for Proposals, provided that it has the required managerial and financial capacity (please refer to the selection criteria indicated in Section 2.3).

2.1.4 Eligibility of costs: costs which may be taken into consideration for the grant

Only ‘eligible costs’ can be taken into account for a grant. These are detailed below. The budget is, therefore, both a cost estimate and a ceiling for ‘eligible costs’. Note that the

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eligible costs must be based on real costs based on supporting documents (except for subsistence costs and indirect costs where flat-rate funding applies).

Recommendations to award a grant are always subject to the condition that the checking process which precedes the signing of the contract does not reveal problems requiring changes to the budget (for instance, arithmetical errors, inaccuracies or unrealistic costs and other ineligible costs). The checks may give rise to requests for clarification and may lead the ACP Secretariat to impose modifications or reductions to address such mistakes or inaccuracies. The amount of the grant and the percentage of co-financing as a result of these corrections may not be increased in any case.

It is, therefore, in the Applicant's interest to provide a realistic and cost-effective budget.

Eligible direct costs

To be eligible under this Call for Proposals, costs must respect the provisions of Article 14 of the General Conditions to the standard Grant Contract (see Annex F).

Staff costs

Staff costs shall mean any payment made to a person attached to a member of the partnership or working on a regular or recurrent basis for the project.

Staff costs shall be calculated on the basis of the actual salary/fee of the employee/service provider, multiplied by the number of months/days to be spent on the project. This calculation shall include all the normal charges paid by the employer, such as social security contributions and related costs, but shall exclude any bonus, incentive and profit-sharing arrangements or running costs.

Subcontracted costs

Overall project management, for which the Applicant will be responsible, cannot be subcontracted. It is suggested that the involvement of subcontractors only take place if necessary for the implementation of the project and for services which cannot be secured through the project partners. No projects should be controlled by subcontractors or be driven by commercial purposes.

The costs for subcontracted services – including consultancy services – must be listed in the table ‘Budget for the Action’ (see Annex B). In addition, financial details concerning the subcontracted activities (rates, number of days/months, outputs, etc.) must be developed as necessary in the ‘budget justification’ (Section II.2 of the Grant Application Form).

Proposals, which fail to comply with these principles, will be rejected by the Evaluation Committee.

Contingency reserve

A contingency reserve not exceeding 5% of the eligible direct costs may be included in the Budget of the Action. It can only be used with the prior written authorisation of the ACP Secretariat.

Participation in stakeholder meetings

For stakeholder meetings organised by the ACP Secretariat, an amount of EUR 5,000 must be entered in budget line 2.3 in the table ‘Budget for the Action’ (see Annex B).

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Eligible indirect costs (overheads)

The indirect costs incurred in carrying out the Action may be eligible for flat-rate funding fixed at not more than 7% of the total eligible direct costs.

If the applicant is in receipt of an operating grant financed from the European Community budget or the EDF, no indirect costs may be claimed within the proposed budget for the action.

Contributions in kind

Contributions in kind, which must be listed separately in the Grant Application Form (Part B Section I.3), do not represent actual expenditure and are not eligible costs. They refer to contributions given to the project that have a monetary value, but are not charged for, e.g., in the form of material or resource. The contributions in kind may not be treated as co-financing.

The cost of staff assigned to the Action is not a contribution in kind and may be considered as co-financing in the Budget of the Action when paid by the Beneficiary or his partners.

Notwithstanding the above, if the description of the Action as proposed foresees the contributions in kind, such contributions have to be provided.

Ineligible costs

The following costs are not eligible:

• debts and provisions for losses or debts;

• interest owed;

• items already financed in another framework;

• purchases of land or buildings, except where necessary for the direct implementation of the Action, in which case ownership must be transferred to the final beneficiaries and/or local partners, at the latest by the end of the Action;

• currency exchange losses;

• taxes, including VAT, unless the Beneficiary (or the Beneficiary’s partners) cannot reclaim them and the applicable regulations do not forbid coverage of taxes;

• credits to third parties.

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2.2 HOW TO APPLY AND THE PROCEDURES TO FOLLOW

2.2.1 Application form

Applications must be submitted using the Grant Application Form annexed to these Guidelines (see Annex A) that includes the Concept Note (Part A) and the Full Application Form (Part B). Both parts must be completed. Guidance notes on how to complete these forms are included.

Applicants must apply in either English or French.

Please complete the application form carefully and as clearly as possible so that it can be assessed properly.

Any error related to the points listed in the Checklist (Part B Section V of the Grant Application Form) or any major inconsistency in the application form (e.g. the amounts mentioned in the budget are inconsistent with those mentioned in the application form) may lead to the rejection of the proposal.

Clarifications will only be requested when information provided is unclear, thus preventing the ACP Secretariat from conducting an objective assessment.

Please note that:

• Only the completed Grant Application Form and the annexes (Budget, Logical Framework) – that are attached to these Guidelines – will be considered valid and will be transmitted to the evaluators and assessors. It is, therefore, of utmost importance that these documents contain all relevant information concerning the Action. No supplementary annexes should be sent.

• Applicants must keep strictly to the format of the application and fill in the paragraphs and the pages in order.

• The information provided must explain the proposed Action in a concise and complete manner.

• Applicants must provide the budget with round figures.

• No additional and unrequested information must be included.

• Hand-written applications will not be accepted.

2.2.2 Where and how to send the applications

Where to send:

Applications must be submitted in a sealed envelope by registered mail, courier service or by hand-delivery (a signed and dated certificate of receipt will be given to the deliverer) at the address below:

Postal address (this is the same address for hand delivery or delivery by courier service)

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ACP Science and Technology Programme Programme Management Unit c/o GOPA-Cartermill Rue de Trèves 45 B-1040 Brussels BELGIUM TEL: 0032 (0)2 280.1737

Applications sent by any other means (e.g., by fax or e-mail) or delivered to other addresses will be rejected.

How to send:

Applications must be completed in both a paper and an electronic version in a standard text (Microsoft Word) and calculation (Microsoft Excel) format:

• Paper version

One (1) original and one (1) copy in A4 or letter size, each separately bound and inserted together in one envelope, must contain the following completed documents, for which the Annexes A-C of these Guidelines must be used:

• Grant Application Form (Part A: Concept Note, and Part B: Full Application Form), and

• Budget (worksheet 1 ‘Budget’, and worksheet 2 ‘Sources of funding’), and

• Logical Framework.

The ‘Checklist’ and the ‘Declaration by the Applicant’ (Part B Section V respectively Section VI of the Grant Application Form) must be stapled and enclosed separately in the same envelope.

• Electronic version

A copy of the above-mentioned documents, containing exactly the same information, must also be provided in electronic format (CD-Rom or floppy disc) and enclosed in a separate envelope.

Each of the three components of the application (Grant Application Form, Budget and Logical Framework) must be submitted in a separate electronic file. Please do not split the Grant Application Form into several different files.

To facilitate the processing of applications, the electronic version must be provided in Word and Excel formats.

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The envelopes containing the paper version and the electronic version of the application must be inserted in one outer envelope that must bear the following 2 labels:

• in the middle

TO : ACP Science and Technology Programme Programme Management Unit c/o GOPA-Cartermill Rue de Trèves 45 B-1040 Brussels BELGIUM

• in the top left

(insert the Title of the Call for Proposals) (insert the Reference number of the Call for Proposals) (insert the Number of the lot) FROM: (insert the full name and address of the Applicant) "Not to be opened before the opening session"

Please note that:

• Applicants must verify that their application is complete by filling in the ‘Checklist’ and signing the ‘Declaration by the Applicant’ (Part B Section V respectively Section VI of the Full Application Form). Incomplete applications may be rejected.

• The ‘Declaration by the Applicant’ must bear original signatures and stamps. The person to sign this should be authorised to act on behalf of the partnership submitting the proposal. At the same time, the sheet ‘The Applicant’ (Part B Section II.1 of the Grant Application Form) must identify the contact person to whom any requests for clarification or further information could be addressed.

• The ‘Description of Partners’ (Part B Section III.1 of the Grant Application Form) has to be filled in either by the partners themselves or by the Applicant on the basis of the information provided by the partners.

• All partners, with the exception of the Applicant, have to sign a ‘Partnership Statement’ (Part B Section III. 2 of the Grant Application Form). The person to sign this should be the person legally authorised to represent the partner institution.

• Faxed or scanned copies of signed Partnership Statements will be accepted, but Applicants may be subsequently asked to replace them with originals.

• Applicants who belong to the categories of organisations ‘c’ and ‘d’ as mentioned in Section 2.1.1 and who act as partnerships in themselves do not have to complete the above ‘Description of Partners’ and ‘Partnership Statement’.

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Please also note that:

• Where an Applicant sends several different proposals, each one has to be sent separately.

2.2.3 Deadline for submission of applications

The deadline for the submission of applications to the address stated in Section 2.2.2 is 27 February 2009, as evidenced by the date of dispatch, the postmark or the date and the hour of the disposal slip (16:00 hrs. Brussel time at the latest in case of hand-deliveries). Any application submitted after this deadline will be automatically rejected.

2.2.4 Acknowledgement of receipt

Following the proposal opening session, the ACP Secretariat will send an ‘Acknowledgement of receipt’ to all Applicants (see Section 2.3 below) by electronic mail. This is why it is important to provide a contact e-mail address in the ‘Declaration of the Applicant’.

2.2.5 Further information

Questions related to the completion of the Grant Application Form may be sent by e-mail, post or fax no later than 21 days before the deadline for the submission of proposals to one of the address(es) listed below:

E-mail address: info@acp-st.eu

Postal address: ACP Science and Technology Programme Programme Management Unit c/o GOPA-Cartermill Rue de Trèves 45 B-1040 Brussels BELGIUM

Fax number: 0032-2-280.1406 Replies will be given no later than 11 days before the deadline for the submission of proposals.

In the interest of equal treatment of Applicants, the ACP Secretariat cannot give a prior opinion on the eligibility of an Applicant, a partner or an Action.

Questions that may be relevant to other Applicants, together with the answers, will be published on the ACP Science and Technology Programme’s website: http://www.acp-st.eu.

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2.3 EVALUATION AND SELECTION OF APPLICATIONS

Applications will be examined and evaluated by an Evaluation Committee composed of members of the ACP Secretariat. This Committee will be assisted by external assessors and by the Programme Management Unit. All Actions submitted by Applicants will be assessed according to the following steps and criteria:

STEP 1 – OPENING SESSION AND ADMINISTRATIVE CHECK

The following will be assessed:

• Has the deadline for submission of proposals been respected? If the deadline has not been respected, the proposal will automatically be rejected.

• Does the Grant Application Form satisfy all the criteria mentioned in the Checklist (Part B Section V of the Grant Application Form)? If any of the requested information is missing or is incorrect, the proposal may be rejected on that sole basis and the proposal will not be evaluated further.

Following the opening session and the administrative check, the ACP Secretariat will send an ‘Acknowledgement of receipt’ to all Applicants, indicating whether their application was submitted prior to the deadline, informing them of the reference number they have been allocated, whether they have satisfied all the criteria mentioned in the Checklist and whether their Concept Note has been recommended for evaluation (Step 2).

STEP 2 – EVALUATION OF THE CONCEPT NOTE

The evaluation of the Concept Notes that have passed the first administrative check will cover the relevance of the Action, its merits and effectiveness, its viability and sustainability. The ACP Secretariat reserves the right to skip the evaluation of the Concept Notes whenever considered justified (for example when a less than expected number of proposals are received) and to go straight to the evaluation of the corresponding Full Application Forms.

The Concept Note will be given an overall score out of a maximum of 50 points in accordance with the breakdown provided in the Evaluation Grid below. The evaluation shall also verify the compliance with the instructions provided in the guidance for the drafting of the Concept Note (Part A of the Grant Application Form).

If the examination of the Concept Note reveals that the proposed Action does not meet the eligibility criteria stated in Section 2.1.3 of these Guidelines, the proposal shall be rejected on this sole basis.

The evaluation criteria are divided into headings and subheadings. Each subheading will be given a score between 1 and 5 in accordance with the following assessment categories: 1 = very poor; 2 = poor; 3 = adequate; 4 = good; 5 = very good.

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Evaluation Grid

Heading / subheading Maximum

Score 1. Relevance of the Action 15 1.1 Relevance of the problems to needs and constraints of the

country/region to be addressed in general, and to those of the target groups and final beneficiaries in particular.

5

1.2 Relevance to the priorities and objectives mentioned in the Guidelines. 5 (x2)* 2. Effectiveness and Feasibility of the Action 25 2.1 Assessment of the problem identification and analysis. 5 2.2 Assessment of the proposed activities (practicality and consistency in

relation to the objectives, purpose and expected results). 5 (x2)*

2.3 Assessment of the role and involvement of all stakeholders and proposed partners.

5 (x2)*

3. Sustainability of the Action 10 3.1 Assessment of the identification of the main assumptions and risks,

before the start-up and throughout the implementation period. 5

3.2 Assessment of the identification of long-term sustainable impact on the target groups and final beneficiaries.

5

Maximum total score 50 * these scores are multiplied by 2 because of their importance

Once all Concept Notes have been assessed, a list will be established with the proposed Actions ranked according to their total score:

• Firstly, only the Concept Notes which have been given a score of a minimum of 12 points in the heading ‘Relevance’ as well as a minimum total score of 30 points will be considered for pre-selection.

• Secondly, the list of Concept Notes will be reduced in accordance to the ranking to those whose sum of requested contributions amounts to no more than EUR 56 million for lot 1 and EUR 10 million for lot 2 (two times the available budget for each lot). The Evaluation Committee will subsequently proceed with the evaluation of the Full Application Form of the pre-selected Applicants (Step 3).

Please note that:

• The scores awarded to the Concept Note are completely independent from those given to the Full Application Form.

• A note will be sent (normally by e-mail) to the Applicants whose Concept Note has been evaluated, including the assessment results and indicating whether their full Application Form will be evaluated.

STEP 3 – EVALUATION OF THE FULL APPLICATION FORM

An evaluation of the quality of the proposals, including the proposed budget, and of the capacity of the Applicant and its partners, will be carried out in accordance with the evaluation criteria set out in the Evaluation Grid included below. There are two types of evaluation criteria: selection and award criteria.

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The selection criteria are intended to help evaluate the Applicants' financial and operational capacity to ensure that they:

• have stable and sufficient sources of finance to maintain their activity throughout the period during which the Action is being carried out and, where appropriate, to participate in its funding;

• have the management capacity, professional competencies and qualifications required to successfully complete the proposed Action. This also applies to any partners of the Applicant.

The award criteria allow the quality of the proposals submitted to be evaluated in relation to the set objectives and activities, and grants to be awarded to Actions which maximise the overall effectiveness of the Call for Proposals. They enable the selection of proposals which the ACP Secretariat can be confident will comply with its objectives and priorities and guarantee the visibility of the EDF and EC general budget financing. These criteria cover such aspects as the relevance of the Action, its consistency with the objectives of the Call for Proposals, quality, expected impact, sustainability and cost-effectiveness.

If the examination of the proposal reveals that the proposed Action does not meet the eligibility criteria stated in Section 2.1.3 of these Guidelines, the proposal shall be rejected on this sole basis.

The evaluation criteria are divided into sections and subsections. Each subsection will be given a score between 1 and 5 in accordance with the following assessment categories: 1 = very poor; 2 = poor; 3 = adequate; 4 = good; 5 = very good.

Evaluation Grid

Section / subsection Maximum

Score 1. Financial and operational capacity 20 1.1 Do the Applicant and partners have sufficient experience of project

management? 5

1.2 Do the Applicant and partners have sufficient technical expertise? (notably knowledge of the issues to be addressed.)

5

1.3 Do the Applicant and partners have sufficient management capacity? (including staff, equipment and ability to handle the budget for the Action)?

5

1.4 Does the Applicant have stable and sufficient sources of finance? 5 2. Relevance 25 2.1 How relevant is the proposal to the objectives and one or more of the

priorities of the Call for Proposals?

Note: A score of 5 (very good) will only be allocated if the proposal specifically addresses at least one priority .

Note: A score of 5 (very good) will only be allocated if the proposal contains specific added-value elements, such as promotion of gender equality, equal opportunities, …

5 x 2

2.2 How relevant to the particular needs and constraints of the target country/countries or region(s) is the proposal? (including synergy with other EC initiatives and avoidance of duplication.)

5

2.3 How clearly defined and strategically chosen are those involved (final beneficiaries, target groups)? Have their needs been clearly defined and does the proposal address them appropriately?

5 x 2

28

3. Methodology 25 3.1 Are the activities proposed appropriate, practical, and consistent with

the objectives and expected results? 5

3.2 How coherent is the overall design of the Action? (in particular, does it reflect the analysis of the problems involved, take into account external factors and anticipate an evaluation?)

5

3.3 Is the partners' level of involvement and participation in the Action satisfactory?

5

3.4 Is the Action plan clear and feasible? 5 3.5 Does the proposal contain objectively verifiable indicators for the

outcome of the Action? 5

4. Sustainability 15 4.1 Is the Action likely to have a tangible impact on its target groups? 5 4.2 Is the proposal likely to have multiplier effects? (including scope for

replication and extension of the outcome of the Action and dissemination of information.)

5

4.3 Are the expected results of the proposed Action sustainable: - financially (how will the activities be financed after the funding ends?) - institutionally (will structures allowing the activities to continue be in

place at the end of the Action? Will there be local ‘ownership’ of the results of the Action?)

- at policy level (where applicable) (what will be the structural impact of the Action — e.g., will it lead to improved legislation, codes of conduct, methods, etc?)

5

5. Budget and cost-effectiveness 15 5.1 Is the ratio between the estimated costs and the expected results

satisfactory? 5

5.2 Is the proposed expenditure necessary for the implementation of the Action?

5 x 2

Maximum total score 100

Note on Section 1. Financial and operational capacity

If the total score is less than 12 points for section 1, the Evaluation Committee will reject the proposal.

Note on Section 2. Relevance

If the total score is less than 20 points for section 2, the Evaluation Committee will reject the proposal.

Provisional selection

Following the evaluation, a table listing the proposals ranked according to their score and within the available financial envelope (EUR 28 million for Lot 1- EDF and EUR 5 million for Lot 2 - Budget) will be established as well as a reserve list following the same criteria.

Please note that:

• If, in addition to the partnership preference stated in Section 2.1.2 of these Guidelines, two applications attain the same score, the one with the higher score on the ‘Relevance’ criteria will be given a higher ranking.

29

• The scores awarded in this phase are completely independent from those given to the Concept Note of the same application.

STEP 4 – VERIFICATION OF ELIGIBILITY OF THE APPLICA NT AND

PARTNERS

The eligibility verification will only be performed for the proposals that have been provisionally selected according to their score and within the available financial envelope. This verification will be based on the supporting documents requested by the ACP Secretariat (see Section 2.4 below).

• The ‘Declaration by the Applicant’ (Part B Section VI of the Grant Application Form) will be cross-checked with the supporting documents provided by the Applicant. Any missing supporting document or any incoherence between this Declaration and the supporting documents may lead to the rejection of the proposal on that sole basis.

• The eligibility of the Applicant, the partners, and the Action will be verified according to the criteria set out in Sections 2.1.1, 2.1.2 and 2.1.3 of these Guidelines.

Following the above analysis, any rejected proposal will be replaced by the next best placed proposal in the reserve list that falls within the available financial envelope. This proposal will then be examined for the eligibility of its Applicant and partners.

30

2.4 SUBMISSION OF SUPPORTING DOCUMENTS FOR PROVISIONALLY SELECTED

PROPOSALS

Applicants who have been provisionally selected or are listed under the reserve list will be informed so in writing by the ACP Secretariat. They will be requested to supply the following documents in order to allow the ACP Secretariat to verify the eligibility of the Applicants and its partners:

1. The statutes or articles of association of the Applicant organisation and of each

partner organisation 16

. Where the ACP Secretariat has recognized the Applicant’s eligibility for another Call for Proposals under the same budget line within 2 years before the deadline for submission of applications, the Applicant may submit, instead of its statutes, a copy of the document proving the eligibility of the Applicant in a former Call (e.g., a copy of the special conditions of a grant contract received during the reference period), unless a change in its legal status has occurred in the meantime. This obligation does not apply to international organisations which have signed a framework agreement with the European Commission. A list of the relevant framework agreements is available at the following Internet address: http://ec.europa.eu/europeaid/work/procedures/implementation/international_organisations/index_en.htm.

2. A copy of the Applicant’s latest accounts (the profit and loss account and the balance sheet for the previous financial year for which the accounts have been closed).17

3. A Legal Entity Sheet (see Annex D) duly completed, signed and stamped by the Applicant, accompanied by the justifying documents which are requested therein. If the Applicant has already signed a contract with the ACP Secretariat, instead of the legal entity sheet and its supporting documents, the legal entity number previously assigned may be provided, unless a change in its legal status occurred in the meantime.

4. A Financial Identification Form conforming to the model attached at Annex E, signed and stamped by the Applicant and certified (signed and stamped) by the bank to which the payments will be made. The bank must be located in the country where the Applicant is registered. If the Applicant has already signed a contract with the European Commission or where the European Commission has been in charge of the payments of a contract, a copy of the previous Financial Identification Form may be provided instead, unless a change in the indicated bank account occurred in the meantime.

5. The name, complete address and contact details of the audit firm that will carry out the verification referred to in Article 15.6 of the General Conditions to the standard Grant Contract (see Annex F). Please note that the selected audit firm must be a member of an internationally recognised supervisory body for statutory auditing.

The supporting documents requested must be supplied in the form of originals or photocopies of the said originals. However, the Legal Entity Sheet and the Financial Identification Form must always be submitted in original.

16 Where the Applicant and/or (a) partner(s) is/are a public body created by a law, a copy of the said law must be

provided. 17 This obligation does not apply to public bodies or to international organisations.

31

Where such documents are not in one of the official languages of the Programme (English, French, and Portuguese), a translation into English or French must be provided by the Applicant and/or partner(s).

If the supporting documents are not provided before the set deadline (15 calendar days from the receipt of the notice sent by the ACP Secretariat), the application may be rejected.

Based on the verification of the supporting documents, the Evaluation Committee will make a final recommendation to the ACP Secretariat, which will decide on the award of grants.

32

2.5 NOTIFICATION OF THE ACP SECRETARIAT ’S DECISION

2.5.1 Content of the decision

Applicants will be informed in writing (normally by e-mail) of the ACP Secretariat’s decision concerning their application and the reasons for the decision.

Applicants believing that they have been harmed by an error or irregularity during the award process may petition to the ACP Secretariat directly. The ACP Secretariat must reply within 90 days of receipt of the complaint.

Where the European Commission is informed of such a complaint, it must communicate its opinion to the ACP Secretariat and do all it can to facilitate an amicable solution between the complainant (Applicant) and the ACP Secretariat. If this procedure fails, the Applicant may have recourse to procedures established under the recipient’s national legislation.

2.5.2 Indicative time table

COMPONENT DATE TIME **

Deadline for request for any clarifications from the ACP Secretariat

21 days before the deadline for

submission of applications

18:00 hrs.

Last date on which clarifications are issued by the ACP Secretariat

11 days before the deadline for

submission of applications

18:00 hrs

Deadline for submission of the application 27 February 2009 16:00 hrs

(if hand delivered)

Information to Applicants on the opening & administrative check

March 2009* n/a

Information to Applicants on the evaluation of the Concept Notes

March 2009* n/a

Information to Applicants on the evaluation of the Full Application Form

May 2009* n/a

Notification of award (after the eligibility check)

June 2009* n/a

Contract signature July 2009* n/a

* Provisional date. ** Brussels Time (time of the ACP Secretariat)

33

2.6 CONDITIONS APPLICABLE TO IMPLEMENTATION OF THE ACTION FOLLOWING

THE ACP SECRETARIAT 'S DECISION TO AWARD A GRANT

Following the decision to award a grant, the Beneficiary will be offered a contract based on the ACP Secretariat's standard Grant Contract (see Annex F). By signing the Grant Application Form (see Annex A), the Applicant declares accepting, in case where it is awarded a grant, the Contractual conditions as laid down in the standard Grant Contract.

If the successful Applicant is an international organisation, the model Contribution Agreement with an international organisation or any other contract template agreed between the international organisation concerned and the ACP Secretariat will be used instead of the standard Grant Contract provided that the international organisation in question offers the guarantees provided for in Article 53d (1) of the Financial Regulation, as described in Chapter 7 of the ’Practical Guide to Contract procedures for EC external Actions’.

Implementation contracts

Where implementation of the Action requires the Beneficiary to award procurement contracts, it must award the contract to the tenderer offering the best value for money, that is to say, the best price-quality ratio, in compliance with the principles of transparency and equal treatment for potential contractors, care being taken to avoid any conflict of interests. To this end, the Beneficiary must follow the procedures set out in Annex IV to the standard Grant Contract.

34

3. LIST OF ANNEXES

DOCUMENTS TO FILL IN

ANNEX A: GRANT APPLICATION FORM (WORD FORMAT)

ANNEX B: BUDGET (EXCEL FORMAT)

ANNEX C: LOGICAL FRAMEWORK (EXCEL FORMAT)

ANNEX D: LEGAL ENTITY SHEET (EXCEL FORMAT)

Public Entities: http://ec.europa.eu/europeaid/work/procedures/documents/execution/grants/e3e_lefpublic_en.pdf

Private Companies: http://ec.europa.eu/europeaid/work/procedures/documents/execution/grants/e3e_lefcompany_en.pdf

ANNEX E: FINANCIAL IDENTIFICATION FORM http://ec.europa.eu/europeaid/work/procedures/documents/execution/grants/e3f_fif_en.pdf

DOCUMENTS FOR INFORMATION

ANNEX F: STANDARD GRANT CONTRACT, available at the following Internet address: http://ec.europa.eu/europeaid/work/procedures/documents/execution/grants/e3h_1speccond_en.doc ANNEX G: DAILY ALLOWANCE RATES (PER DIEM), available at the following Internet address: http://ec.europa.eu/europeaid/work/procedures/implementation/per_diems/index_en.htm

ANNEX H: STANDARD CONTRIBUTION AGREEMENT, applicable in case where the beneficiary is an International organisation; available at the following Internet address: http://ec.europa.eu/europeaid/work/procedures/implementation/international_organisations/annexes_standard_documents/index_en.htm

ANNEX I: OVERVIEW OF DIFFERENCES BETWEEN LOT 1 –EDF AND LOT 2 – BUDGET AND

LIST OF ELIGIBLE COUNTRIES AND COMPOSITION OF REGIONS

35

ACP Science and Technology Programme Annex I to the Guidelines for Grant Applicants

Overview of Differences between Lot 1 –EDF and Lot 2 – Budget and List of eligible countries and composition of regions

Eligible nationality 18 for Applicants and partners

Lot 1 – EDF (28 M€) Lot 2 – Budget (5 M€) 79 ACP States (Table A) ���� ���� 27 EU Member States (Table B) ���� ���� European Economic Area Member States (Table C)

����

Official EU Candidate countries (Table D)

����

Applicants must operate with a partnership that must involve at least three organisations from at least two

different ACP Member States. The number of non-ACP partners in a partnership cannot be greater than the

number of ACP partners. Table A: The 79 African, Caribbean and Pacific Member States divided into the six regions

eligible under Lot 1 and 2 Eastern Africa Burundi Comoros Djibouti Eritrea Ethiopia Kenya Madagascar Mauritius Rwanda Seychelles Somalia Sudan Tanzania Uganda

Central Africa Cameroon Central African Rep. Chad Congo Democratic Rep. of Congo Equatorial Guinea Gabon Sao Tome & Principe

Western Africa Benin Burkina-Faso Cape Verde Côte d'Ivoire Gambia Ghana Guinea Guinea Bissau Liberia Mali Mauritania Niger Nigeria Senegal Sierra Leone Togo

Southern Africa Angola Botswana Lesotho Malawi Mozambique

Caribbean Antigua and Barbuda Bahamas Barbados Belize Dominica

Pacific Cook Islands Fiji Kiribati Marshall Islands Micronesia

18 Other eligibility criteria apply. Refer to Section 2.1.1 of the Guidelines for Grant Applicants.

36

Namibia South Africa Swaziland Zambia Zimbabwe

Cuba19 Dominican Republic Grenada Guyana Haiti Jamaica Saint Kitts and Nevis Saint Lucia Saint Vincent and Grenadines Suriname Trinidad and Tobago

Nauru Niue Palau Papua New Guinea Samoa Solomon Islands Timor Leste Tonga Tuvalu Vanuatu

Table B: 27 EU Member states eligible under lots 1 and 2 Austria Belgium Bulgaria Cyprus Czech Republic Denmark Estonia Finland France Germany

Greece Hungary Ireland Italy Latvia Lithuania Luxembourg Malta Poland Portugal

Romania Netherlands Slovakia Slovenia Spain Sweden United Kingdom

Table C: 3 EEA EFTA states eligible under "lot 2 – Budget" only Iceland Liechtenstein Norway Table D: 3 official EU candidate countries eligible under "lot 2 – Budget" only Croatia Former Yugoslav Rep. of

Macedonia Turkey

19 Institutions from Cuba may only participate in projects as associates, and cannot be final beneficiaries of the project.

Annex B.1 - Budget for the Action1

stsoCstinu fo #tinUstinu fo #tinUsesnepxE(in EUR)3

1. Human resources1.1 Salaries (gross amounts, local staff)4

1.1.1 Technical 00.0htnom reP00.0htnom reP 1.1.2 Administrative / support staff 00.0htnom reP00.0htnom reP1.2 Salaries (gross amounts, expat/international staff) 00.0htnom reP00.0htnom reP1.3 Per diems for missions/travel5

1.3.1 Abroad (staff assigned to the Action) 00.0meid reP00.0meid reP 1.3.2 Local (staff assigned to the Action) 00.0meid reP00.0meid reP 1.3.3 Seminar/conference participants 00.0meid reP00.0meid rePSubtotal Human Resources 00.000.0

2. Travel62.1 International travel 00.0thgilf reP00.0thgilf reP2.2 Local transportation 00.0htnom reP00.0htnom reP2.3 Participation in stakeholders' meeting organised by ACP Secretariat Per meeting 0.00 00.0gniteem rePSubtotal Travel 00.000.0

3. Equipment and supplies7

3.1 Purchase or rent of vehicles 00.0elcihev reP00.0elcihev reP3.2 Furniture, computer equipment 00.000.03.3 Machines, tools, etc.3.4 Spare parts/equipment for machines, tools 00.000.03.5 Other (please specify) 00.000.0Subtotal Equipment and supplies 00.000.0

4. Local office4.1 Vehicle costs 00.0htnom reP00.0htnom reP4.2 Office rent 00.0htnom reP00.0htnom reP4.3 Consumables - office supplies 00.0htnom reP00.0htnom reP4.4 Other services (tel/fax, electricity/heating, maintenance) 00.0htnom reP00.0htnom rePSubtotal Local office 00.000.0

5. Other costs, services8

5.1 Publications9 00.000.05.2 Studies, research9 00.000.05.3 Auditing costs 00.000.05.4 Evaluation costs 00.000.05.5 Translation, interpreters 00.000.05.6 Financial services (bank guarantee costs, etc.) 00.000.05.7 Costs of conferences/seminars9 00.000.05.8 Visibility actionsSubtotal Other costs, services 00.000.0

All Years Year 12

Unit rate (in EUR)

Costs(in EUR)3

Unit rate(in EUR)

ACP Science and Technology Programme, 2008 1

12.11: Guidelines for Grant Applicants - Annex B - Budget for the Action

All Years Year 12

ACP Science and Technology Programme, 2008 2

Expenses Unit # of units Unit rate Unit # of units Costs(in EUR) (in EUR)3

6. Other 0.00 0.00Subtotal Other 0.00 0.00

7. Subtotal eligible direct costs of the Action (1-6) 0.00 0.00

8. Provision for contingency reserve (maximum 5% of item 7 "Subtotal eligible direct costs of the Action") 9. Total eligible direct costs of the Action (7+8) 0.00 0.00

10. Administrative costs (maximum 7% of item 9 "Total eligible direct costs of the Action")11. Total eligible costs (9+10) 0.00 0.00

1. The Budget must cover all eligible costs of the Action, not just the ACP Secretariat's contribution. The description of items must be sufficiently detailed and all items broken down into their main components. The number of units and unit rate must be specified for each component depending on the indications provided.2. This section must be completed if the Action is to be implemented over a period of more than 12 months.3. Please note that the cost of the Action and the contribution requested have to be expressed in EURO. Costs and unit rates are rounded to the nearest euro cent. The official exchange rates can be consulted at: http://ec.europa.eu/budget/inforeuro/index.cfm?Language=en4. If staff are not working full time on the Action, the percentage should be indicated alongside the description of the item and reflected in the number of units (not the unit rate).5. Indicate the country where the per diems are incurred and the applicable rates (which must not exceed the scales published by the EC at the time of contract signature). The current per diems can be consulted at: http://ec.europa.eu/europeaid/work/procedures/implementation/per_diems/index_en.htm Per diems cover accommodation, meals and local travel within the place of the mission and sundry expenses.6. Indicate the place of departure and the destination.7. Costs of purchase or rental. Expenditure should represent no more than 15% of the eligible direct costs.8. Specify. Lump sums will not be accepted.9. Only indicate here when fully subcontracted.

NOTA BENE: The Beneficiary alone is responsible for the correctness of the financial information provided in these tables

Costs(in EUR)3

Unit rate (in EUR)

ACP Science and Technology Programme, 2008 3

Annex B.2 - Expected sources of funding

Amount Percentage(in EUR) of total

(in %)

Applicant's financial contribution

EDF or EC Budget Line contribution sought in this application

Contribution(s) from other European Institutions or EU Member States

Contributions from other organisations:Name Conditions

TOTAL CONTRIBUTIONS

Direct revenue from the Action

OVERALL TOTAL

ACP Science and Technology Programme, 2008

Annex C - Logical Framework for the project

Intervention Objectively verifiable Sources and means of Assumptionsnoitacifirevtnemeveihca fo srotacidnicigol

Overall What are the overall broader What are the key indicators related What are the sources ofobjectives objectives to which the Action to the overall objectives? information for these indicators?

will contribute?

Specific What specific objective is the Which indicators clearly show What are the sources of Which factors and conditions outsideobjective Action intended to achieve to that the objective of the information that exist or can be the Beneficiary's responsibility

contribute to the overall objectives? Action has been achieved? collected? What are the methods are necessary to achieve thatrequired to get this information? objective? (external conditions)

Which risks should be takeninto consideration?

Expected The results are the outputs envisaged to What are the indicators to measure What are the sources of What external conditions must be metresults achieve the specific objective. whether and to what extent the information for these indicators? to obtain the expected results

?eludehcs nodetcepxe eht seveihca noitcA?stluser detcepxe eht era tahW?stluser)meht etaremune(

Activities What are the key activities to be carried out Means: What are the sources of What pre-conditions are required beforeand in what sequence in order to produce What are the means required to information about action the action starts?

s'yraicifeneB eht edistuo snoitidnoc tahW?ssergorp,.g.e ,seitivitca eseht tnemelpmi?stluser detcepxe eht(group the activities by result) personnel, equipment, training, Costs direct control have to be met

studies, supplies, operational What are the action costs? for the implementation of the planned?seitivitca?deifissalc yeht era woH.cte ,seitilicaf

(breakdown in the Budget for the Action)

ACP Science and Technology Programme, 2008 1

12.12: Guidelines-for-Grant-Applicants-Annex-C-Logical-Framework

Project proposal c all: NRM and biodiversity conservation in the drylands of eastern and central Africa

1. Background

The Association for Strengthening Agricultural Research in Eastern and Central Africa (ASARECA) is a non-political association of agricultural research institutes in: Burundi, DR Congo, Eritrea, Ethiopia, Kenya, Madagascar, Rwanda, Sudan, Tanzania and Uganda. ASARECA serves as a platform for promoting regional research and in the sharing of benefits and spillovers that derive from such research. The mission of ASARECA is to "Enhance regional collective action in agricultural research for development, extension and agricultural training and education, to promote economic growth, fight poverty, eradicate hunger and enhance sustainable use of resources in Eastern and Central Africa (ECA). ASARECA delivers its research through seven research programs: Staple Crops; Non Staple Crops; Agro-biotechnology and biodiversity; Livestock and Fisheries; Natural Resource Management and Forestry; Policy Analysis and Advocacy; and Up-scaling and Knowledge Management. The Policy Analysis and Advocacy Programme (PAAP) is the key agency for achievement of the ASARECA Result on Policy options for enhancing the performance of the agricultural sector in the ECA subregion facilitated. PAAP evolved from the Eastern and Central Africa Programme for Agricultural Policy Analysis (ECAPAPA). PAAP employs the policy cycle as the conceptual framework for achieving policy change. The policy change process is divided into four stages to: identify related policy constraints and opportunities; collect and analyse data on possible policy options; facilitate dialogue and advocacy for implementation at national and regional fora. Drylands, Arid and Semi Arid Lands (ASALs) and pastoral areas are encompassed in the ASARECA'S strategic priority recommendation domains of low agricultural potential, low market access and low population density. In the dryland areas, rainfall is sparse and variable, soils are poor, vegetation sparse and pastoral mobility is the most effective strategy for enhancing biological diversity and maintaining ecosystem integrity and resilience. Pastoralism plays a key role in the conservation of dryland natural resources biodiversity including maintenance of palatable forage species for domesticated and wildlife and animal genetic diversity through local knowledge and breeding skills. Although mobile pastoralism has been blamed for land degradation in rangelands, and consequent loss of biodiversity, research evidence shows the contrary. Where mobility continues unhampered, it has resulted in biodiversity conservation and sustainable land management. Where it is constrained, it has led to serious over grazing and land degradation. A longer term desired impact is sustainable management of ecosystems as a whole. For this to happen, sustainability must be explicitly considered. What practices would be most sustainable? How would new knowledge about sustainable actions be incorporated into policy? The study will examine the assertion that dryland biodiversity may be best conserved by supporting the livelihoods of the pastoralists who manage this diversity. This could entail removal of policy disincentives derived from the existing misconceptions of pastoralism as an undesirable way of life, appropriate social service delivery, good governance, rights to resources, investment and infrastructure; such support can be regulatory, market-based (e.g., carbon trading in rangelands), or involving a complementary balance of customary and state governance at the national and regional level. ASARECA is developing a project to address natural resource management and biodiversity in dryland and pastoral areas. This project fits within PAAP's strategic thematic area: Policy issues for natural resource management. This project will augment ongoing initiatives such as the Comprehensive Africa Agriculture Development Programme (CAADP) Pillars I on land and water management and III on food security. It will build on CAADP's early action on Regional Enhanced Livelihoods in Pastoral Areas (RELPA)[i]. The project

12.13: Project Proposal Call: NRM and biodiversity conservation in the Drylands of Eastern and Central Africa

will  be  implemented  in  close  collaboration  with  ASARECA's  Programmes  on  Natural  Resources Management and Forestry, Agro‐biodiversity and Biotechnology, and Livestock and Fisheries.   2. Project goal Make a significant contribution to understanding high priority regional policy issues and potential reforms that  will  favour  improved  and  sustainable  biodiversity  conservation,  while  enhancing  livelihoods  in pastoral areas of the Eastern and Central African region    3. Objectives

1. Inform  policy  harmonization  in  sustainable  management  of  dryland  and  pastoral  areas biodiversity.

2. Develop tools that will guide sustainable investment options in dryland and pastoral areas.  3. Promote a regional approach to drylands and pastoral areas conservation and use.

    4. Scope of this call The project will contribute to ASARECA's Strategic Plan, and will be implemented within the scope of the approved Operational Plan [ii]. It will complement activities of ASARECA's Natural Resource Management Programme, and will  liaise with and  complement other projects active  in pastoral areas. These  should include  components  of  the  Regional  Enhanced  Livelihoods  in  Pastoral  Areas  (RELPA)[iii],  and  the Pastoralist Livelihood Initiative (PLI) in Ethiopia[iv] . The project will cover 3–5 countries in ECA. The extent of work coverage will include policy analysis (international protocols/conventions/agreements); national; and community mechanisms both customary and formal; and biodiversity at the species and ecosystem levels.    5. Key activities and outputs   The  successful  proposal  will  show  how  it  will  generate  outputs  within  the  period  available  for implementation that will contribute to clearly defined results in each of the following areas:  

(a) Mapping  of  biodiversity  characteristics  of  (hotspots  in)  dryland  areas  of  ECA.  Layers will include  human  population  densities,  livestock  unit  population  densities,  vegetation,  land‐use,  infrastructure,  aridity  index  (mean  annual  precipitation  over  potential  evapo‐transpiration),  etc.  These maps  should  show  trends  over  the  last  30  or more  years,  and should  add  value  to  available  spatial  analysis,  including  development  domains,  poverty maps[v],  PACAPS  work  on  livelihoods  zoning  harmonization  [vi],  livestock  forage  early warning systems [vii].   The  key  output  will  be  a  map  to  guide  investment  and  policy  interventions  for  the development of dryland areas, while both preserving and enhancing biodiversity.

  (b) Economic and  social analysis of dryland  resources and  services. This analysis  should  take 

into account values attached to resources and services in the dryland areas. This will involve a trade‐off analysis of different scenarios such as ecotourism, fragmentation, etc.    The key output will be documentation of the contribution of dryland and pastoral areas  in national and regional economies and a framework of various  investment and development options  for  enhancing  livelihoods  in  dryland  areas, while  both  preserving  and  enhancing biodiversity.

  (c) Situational and comparative analyses of biodiversity conservation policies in key biodiversity 

hotspots in pastoral areas in ECA. This will encompass a detailed analysis of policies affecting dryland  areas  (land, water, wildlife,  livestock,  people  and  biodiversity)  including  national 

legislation, by‐laws and customary/traditional norms on access, use and control of dryland resources.   The key output will be a documentation of options  for policy harmonisation  that  support biodiversity conservation and sustainable use in dryland areas of ECA.

    6. Project duration and budget This call invites proposals on projects that will deliver the three outputs between July 2009 and December 2010  for  a maximum of US$  300,000.  Presentation of  these outputs  at  regional  and national  fora  for policy change will be facilitated by PAAP in 2011 and will require the involvement of the winning team.   7. Expertise required   The lead institution shall put together a team composing of this expertise:‐  

(a) Policy analyst, economist and social analyst (b) Sociologist/Anthropologist with demonstrated insight in pastoral areas (c) Expert in dryland areas, biodiversity conservation (d) Natural resource management specialist/environmental economist (e) GIS/EIS expert (f) Land use expert

  The  lead  institution must be one of  the NARES  in  the ECA  region. Collaborating  team members can be drawn  from other  institutions e.g. NGOs. The  lead  institution  should have demonstrated experience  in working  on  pastoral  areas  development  and  biodiversity  conservation  issues.  The  team  should  have experience working in ECA.   8. Proposal outline

1. Interpretation of the research call 2. Introduction  3. Justification (valued added to the region and potential spillovers to other countries) 4. Methodology as per activities 5. Geographic scope 6. Expected outputs and outcomes 7. Project logframe, work plan and timeline 8. Detailed and summary budget 9. Institutional profile 10. CVs of team members

  9. Procedures for submission of proposals The  lead  institution  should  submit  their  proposal  and  curriculum  vitae  of  the  team  members.  The proposal should follow the outline provided in section 8    The  deadline  for  submission  of  proposals  (electronically)  is Monday May  11th  2009  at  17:00  hours, Entebbe time.   

Submission should be to: The Manager

Policy Analysis and Advocacy Programme Plot 13 John Babiiha Road

P.O. Box 765 Entebbe, Uganda

Fax: 256 41 4321 777 email: paap@asareca.org 

  Any clarification should be sought in writing (post, email or fax) from the above address.    For  further  information  on  ASARECA  and  its  research  programmes  and  units  visit  the  website www.asareca.org

[i] Including the (1) COMESA/CAADP Support, (2) Enhanced Livelihoods in the Mandera Triangle (ELMT), (3) Pastoral Areas Coordination, Analysis and Policy Support (PACAPS) activities, and (4) the Regional Conflict Prevention and Mitigation Task Order.  See http://eastafrica.usaid.gov/en/Article.1072.aspx;  [ii] For all ASARECA related documents please send an email request to paap@asareca.org  [iii] For additional information, PACAPS contact: Francis Chabari (fchabari@pacaps.org). ELMT contact is Fiona Flintan, NRM Technical Working Group Advisor: fionaflintan@yahoo.co.uk, or Fionaf@savechildren.org.et., [iv] PLI contact:  Andrew Catley, Andrew.Catley@tufts.edu [v] E.g., Nature's Benefits in Kenya: An Atlas of Ecosystems and Human Well-Being," by WRI, Gov of Kenya, and ILRI, 2007. See also the Regional Strategic Analysis and Knowledge Support System (ReSAKSS), www.resakss.org. [vi] Contact Alexandra Crosskey , [vii] http://glcrsp.ucdavis.edu/projects/#LINKS