GUIDE FOR THE PREPARATION OF PROPOSALS
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CONTENT
A General information
B Scientific and technical content
Sheet I-a The project identification Sheet (1 page)
Sheet I-b Identification of teams
Sheet I-c Commitment of the signatories of the project
Sheet I-d Identification sheet of the project coordinator
Sheet I-e Chronogram of activitie
Sheet I-f Budget
Sheet I-g Logical frame
II. PROPOSAL ACKNOWLEDGEMENT SLIP
III. FUNDING REQUEST FORM
Sheet III-a Request for initial funding advance
Sheet III-b Request for granting the six-monthly advance
IV. REPORTS
Sheet IV-a Format for the preparation of financial reports
Sheet IV-b Technical report guide
Sheet IV-b1 Progress report guide
Sheet IV-b2 Guide for the preparation of the final report
APPENDIX – PROPOSAL EVALUATION FORMS
Sheet a. Assessment form phase 1 (eligibility)
Sheet b. Assessment form phase 2 (Scientific and technical assessment)
I. Guide for the preparation of proposals
The main component of the project proposal is divided into three parts. The first part, which is captioned general information, deals with the project and team identification. The second part concerns project implementation, whilst the third part concerns the resources of the project. Fulfilment of all the conditions is obligatory. Failure to meet all criteria will render the proposal ineligible .
A. General information
· Project identification sheet (sheet I-a : 1 page)
This sheet displays the key elements of the project on one page. This includes the title (a maximum of one line, written in a way that clearly reflects the objectives of the project), the project theme under which this call for proposals falls, the coordinator’s name, the names and countries of partner institutions of the project, starting with that of the team leader, the project costs, the duration of project and a brief summary of the project’s contents (the summary should be concise and a maximum of 300 words is required).
· Participants identification sheet (sheet I-b)
Participating institutions are presented in a way that facilitates the assessment of their scientific and institutional potentials. It contains the name and nature of the institution International/regional center, NARI, University or faculty of agriculture, private sector, NGO...), the institution’s address, the name and qualification of the head of the institution, the number of research scientists working for the institution (nationals and expatriates), the proportion of senior research scientists, scientific partnerships with other research institutions (at least three among the main ones should be mentioned), technical partnerships, especially with projects and development institutions NGOs and Farmers’ Organisations...(at least five among the main ones), total annual budget administered by the institution (local grant, agreements , projects, institution’s own resources acquired through the sale of research products and services...), the name and qualification of the person responsible for financial management and the accompanying management tools.
· Commitment of the signatories of the project (Sheet I-c : 1 page)
Three key persons are responsible for proper implementation of the projects. These are :
· The project’s coordinator, who is responsible for the implementation of the project within the limits of the scheduled deadline, producing project reports according to the defined guidelines and schedule and ensuring the transparent use of results...) ;
· The head of the project coordinator’s institution, representing all the institutions making up the consortium, which is responsible for providing certain infrastructure and equipment of the institution for the benefit of the project, covering certain expenses that are not eligible under the competitive fund and the financial management of the project.
These two people should be committed to their responsibilities at the moment of submission of the proposals.
· CORAF/WECARD Executive Secretary should ensure that the funds are regularly disbursed facilitate consultations between participants of the project, ensure respect of the terms of the contract relative to intellectual property rights as regards the results.
· Project coordinator identification sheet (sheet 1-d : 3 to 4 pages)
Detailed information which facilitates assessment of the coordinator’s capacity in playing a key role in the project is given. This involves the following:
· The coordinator’s identity (title, surname, given names, date and place of birth , nationality, institution to which he/she belongs, complete address, telephone, fax, e-mail);
· Time (in percentage) devoted to research, dissemination, production, teaching, administration and other occupations (to be specified);
· His/her career and professional experience starting with his/her more recent experiences and positions. Researches conducted in partnership should be mentioned along with names of partner institutions and the main researchers; research work related to the subject of the present research proposal should also be mentioned, whether completed or on-going.
· His/her training and qualifications (only university training and degrees will be taken into account, as well as main training courses, beginning with the most recent ones);
· His/her publications. The main publications among the most recent ones and particularly those related to the area , subject and theme of the present research proposal
Participating researchers’ identification sheet (1 page)
Information contained in this sheet concerns only the identity and qualifications of the participating researchers (see points 1, 4, 5, and 6 in sheet1-d)
B. Scientific and technical contents
The scientific and technical information in the proposal should be structured this way:
· Context (2 pages)
The context provides a bibliographic review of the highlights of previous work conducted in the targeted area, the link with project activities being proposed. Repetition of earlier research work carried out on the subject should be avoided. The context should also clearly indicate the potential of such a regional research and certain experiences of a successful research cooperation that justifies the need to build the proposed partnership.
Problem (1 page)
The problem statement will highlight the nature of the challenge that will be addressed, and explanation on how this project will respond to the needs of technology users. Proof should be provided showing that the demand is regional and why it would be possible to derive some solution from the proposed regional research work.
· Beneficiaries (1 page)
A list of beneficiaries of the results of the project should be provided (producer groups, small and medium enterprises for produce processing or marketing, industrial use, consumers etc.). The extent to which the expected results could be promoted should also be provided.
· Objectives and expected results (2 to 3 pages)
In this decisive part of the project, development objectives, which are also considered as general objectives, should be precisely stated (maximum 2). the specific objectives (maximum 4) that result from the described constraints that motivated the need of the research should also be listed. Expected results should logically be related to the specific objectives. They should be stated in terms of generating knowledge, developing technologies, training, strengthening institutional capacities and building partnerships.
· Description of the project’s activities ( 4 to 5 pages)
Activities should be formulated so as to obtain a given result. They should thus be described in direct link with expected results. These activities are related to research and training, monitoring and evaluation and the promotion of research results obtained (publication, dissemination of results through appropriate channels)
· Methodology and project planning (1 to 2 pages)
The articulated activities will be conducted in conformity with a rationally structured and clearly described methodology. This includes the following:
establishment of a protocol to facilitate activities;implementation of sampling methods, choice of sampling sites and preparation of survey questionnaires;
Data collection collation and analysis procedures;
Technology transfer approaches to users.
Partnerships (1 to 2 pages maximum plus an explanatory chart of relationships between the partners)
The document should clearly indicate the types of partnership the project would like to promote. These include:
partnership between different types of actors (scientists, NGO, Farmers, private sector, etc.);
regional and international partnership.
The complementarity of various teams of the consortium and the methods of cooperation between them should be clearly described in this section.
· Schedule of activities (sheet I-e: 1 to 2 pages)
The meticulously planned work schedule should present activities to be realised on a monthly or quarterly basis, over the duration of the project.
Dissemination and promotion of results
A concrete and realistic planning for disseminating and promoting research results should be drawn up.
C. Resources
Resources necessary for the implementation of the project
Description of the required resources needed for the implementation of the project will facilitate budgeting. These resources are as follows:
Human: researcher scientists, technicians and support staff;
Material: infrastructure and equipment;
Financial: duty travels, temporary staff allowances, purchase of light equipment and expendables, etc.
Existing resources
The availability of certain of these resources is a condition for granting the funds. It is therefore important to list the resources available at the host institutions. These resources, which are equipment and permanent staff for the project, are logically considered as a contribution made by these institutions.
Budget (sheet I-f)
The budget should show the total cost of the project and the amount being requested from the competitive fund (CF). The only budget lines eligible for the CF are as follows:
équipment (light equipment)
agricultural input and laboratory chemicals;
maintenance of infrastructures and of the equipment being used for the project;
temporary labour;
transport and duty travels (perdiem);
bibliographic research work
laboratory analyses, biometric analyses and other services rendered by another institution
edition (reports and publications);
workshops, seminars and training
Fund disbursement plan
The disbursement plan for the granted fund will specify the initial amount to be released at the start of the project, periodic disbursement, and the final amount to be disbursed at the end of the project. A periodicity of six months is proposed, but this will also depend on how easy it is to transfer funds to individual countries involved. This periodicity could be extended to 9 or 12 months if the banking or postal system is such that the time taken to transfer the fund is excessively long.
Logical framework (sheet 1-g: 2 - 3 pages)
The logical framework should be drawn up in the form of a synoptic chart with objectively verifiable indicators as well as the sources of verification. This will ensure the implementation of activities and that meaningful results will be obtained.
Bibliographic reference
(1 page)
The bibliography should concentration the main research accomplished on the research theme (or subject) within the recent past. This will allow an assessment of the level of knowledge of the consortium on the subject and the research and/or development challenges.
Sheet I – a: The project identification
sheet (1 page)
1. Project title :
2. Call for proposal reference:
3. Research theme:
4. Coordinator’s name
5. Name and address of the coordinator’s institution:
6. Names and countries of associated institutions:
7. Cost of the project:
8. Project duration :
9. Summary description of the project.
Important notice: Each participating team should complete one form
1. Name of the institution:
2. Nature (NARI, NARC, University/ faculty for agriculture, other entity whose main mission is not research) :
Address, telephone, fax, e-mail address :
Name and status / qualification of the Head of institution :
Name and position / qualification of the person responsible for financial management
Number of researcher scientists that will participate in the research activities (nationals and expatriates)
Proportion of senior researchers (holder of a PhD with at least 5 years of experience in the research field and a considerable number of publications):
8. Scientific partnership with research institutions (southern institutions, International or regional centres, ARIs and universities) - mention three to five among the most prominent ones
9. Technical partnerships with users of technology (projects and development institutions, NGO, Farmers, SME, etc) mention three to five among the main ones):
10. Infrastructure and equipment
11. Annual general budget managed by the institution
National government subvention ;
Conventions and projects :
Internally generated resources (sale of research products and services).
12. Financial management tools (is there any department for administrative and financial management? Is this department equipped with a documented accounting system?)
Place………. Date…. Signature and stamp
The undersigned (administrator and beneficiaries of the competitive fund) hereby commit themselves to the following:
1) Start the project within the month following the receipt of the funds; coordinate the implementation of the project’s activities according to schedule; ensure the production of the various reports within the required time frame and according to the guideline established by CORAF/WECARD; take the necessary measures to properly implement the project and inform the ES of CORAF/WECARD ; respect the terms of the contract related to intellectual property rights as regards research products.
Date……………… Signature (The coordinator)
2 The lead institution will provide staff, infrastructure, local transportation means, equipment and financial resources that will cover the indirect costs of the project and all non-eligible expenses; will ensure a rigorous and transparent management of the project’s fund according to the rules and norms in force in my institution and diligently transfer funds intended for researchers and associated institutions; sign sub-contracts with the institutions of other beneficiaries to share responsibilities,enforce the respect of the sub-contracts, supply financial reports according to the guidelines established by CORAF/WECARD within the the required time frame.
Date……………… Signature (Head of the lead institution)
3- Release and diligently transfer project allocated funds according to the established disbursement schedule of contract n°……… as approved by the ES of CORAF/WECARD ; encourage consultation between the project participants and respect the terms of the contract related to intellectual property rights over the research results.
Date………………… Signature (CORAF/WECARD Executive Secretary)
Sheet I- d Identification sheet of the project coordinator
1) The coordinator’s identity
a- Status:
b- Surname:
c- Given names:
d- Date and place of birth:
e- Nationality:
f- Research institution:
g- Address, telephone, fax , e-mail address of the research institution :
2) Time devoted to research, teaching, dissemination, production, administration and other occupations ( should be specified):
3) Career and professional experience (starting with the most recent positions and experiences):
4) Research work related to the theme or subject targeted in the research proposal (completed or on-going):
5) Education and earned degrees (university degrees only):
6) Publications (the most recent ones and notably those related to the area, theme and subject of the research targeted in the project):
Sheet I-e: Chronogram of activities
Years and quarterly
Year 1
Year 2
Year 3
1
2
3
4
1
2
3
4
1
2
3
4
Activity 1
Activity 2
Activity 3
Activity 4
Activity 5
Activity 6
Sheet I-f: Budget
1°) Annual
Budgetary lines
Year 1
T* CF*
Year 2
T CF
Year 3
T CF
Total
T CF
Staff
Permanent staff
Temporary labour
Duty travel
0
0
0
0
Operations
Agricultural inputs
Laboratory supplies
Other expendables
Laboratory analyses
Biometric analyses
Information/Edition
Post and telecommunication
Other services
Transport
Fuel and lubricants
Maintenance and repairs
Equipment
Agricultural equipment
Laboratory equipment
Computer
Telecommunication
Existing equipment
Training
Seminar/workshops
Short-term internships
Trainings
Promotion
Publications
Workshops for dissemination of results
Total
2°) For each participating institution
(same size and same budgetary lines)
*T = total cost (institution’s contribution + CF)
*CF = Competitive fund
Sheet I-g : Logical frame
Results
Activities
Objectively verifiable indicators
Verification sources
Main hypotheses
Specific objective 1
Result 1
Activities 1
Activities 2
Activities 3
Result 2
Activities 1
Activities 2
Specific objective 2
Result 1
Activities 1
Activities 2
Activities 3
Activities 4
II. Proposal acknowledgment slip
Reference of call
Number / code:
Year of call:
Chosen theme:
Proposal Title of the project:
Coverage:
(Mention countries that provide the main and secondary sites for the project)
Duration:
Cost:
Reference of the lead institution
Institution:
Country:
Address:
Dossier submission
Date:
Signature:
(Head of lead institution)
Acknowledgement of receipt
(part to be filled by the ES of CORAF/WECARD; the lead institution should receive one photocopy of this sheet
Date:
Signature:
Dossier number:
(Documents are numbered according to date of reception )
III. Fund request forms
Sheet III- a : Request for initial funding advance
(to be made after selection of the document has been announced by the ES of CORAF/WECARD
Dossier N° / contract:
Project theme :
Coordinator:
Name and address of institution:
Total funds allocated (Euro or FCFA)...............................
Scheduled expenses for the 1st period (first quarterly of year 1)
Budgetary lines
Quarter 2
Address to which the funds should be transferred
Bank :
Post :
Other :
Date:
Signature: The coordinator The head of the institution
Sheet III-b : Request for granting the six-monthly advance
Dossier N° / contract N°:
Project title:
Coordinator:
Name and address of institution:
Total funds allocated (Euro or CFA)..............................
Remainder of the fund before this request (Euro or CFA)........................
Scheduled expenses for the 2nd period expenses¹ (2nd half of year 1)
Budgetary lines
Quarter 3 Quarter 4
Total
Total advance requested (Euro or CFA)
Address to which funds should be transferred
Bank:
Post:
Other:
Date :
Signature : The coordinator The head of the institution
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¹ : The 3rd period corresponds to the first half of year 2
The 4th period corresponds to the second half of year 2
The 5th period corresponds to the first half of year 3
The 6th period corresponds to the second half of year 3 (the last year of the project). This request covers the remainder of the funds and should be made only on submission of the final report.
IV. Reports
Sheet IV-a : Format for the preparation of financial report
Dossier N° / contract:
Project title:
Coordinator:
Name and address of institution:
Total funds allocated (Euro or FCFA)..........................
Remainder at the last report (Euro or FCFA)..........................
Financial report of the 1st half year 1 ¹
Budgetary lines
Quarter 1
Quarter 2
Total
Total expenses within the period (Euro or FCFA)
Cumulative expenses made to this date
Remainder compared to allocated funds
Date:
Signature:
The Coordinator Administrative officer The Head of the institution
² The following reports will be entitled:
1. Financial report of the 2nd half year of year 1
2. Financial report of the 1st half of year 2
3. Financial report of the 2nd half of year 2
4. Financial report of the 1st half yof year 3
5. Financial report of the 2nd half year of year 3
Sheet IV - b: Technical reports guide
Two types of reports are expected with respect to the management of projects under the competitive funds scheme. These reports are divided in two parts regardless of their nature. The first part is related to the project’s identification with the number of the dossier or contract, the subject of the project, the duration of the project , the starting date, the coordinator’s name and his institution’s reference. The second part is related to the report itself.
Sheet IV – bI: Progress reports guide
Dossier N° / contract:
Project title :
Starting date:
Duration ofproject:
Coordinator:
Name and address of institution:
Report covering the activities from……/ to……..
It contains:
1) Introduction
This part should be as concise as possible and should describe the general conditions of the projects with respect to its implementation during the period under review. It should give some in-sight on the up- and down-ward trends during the implementation of activities.
2) Project objectives
State the global and specific objectives of the project. Focus on the specific objectives that are related to activities planned for the period covered by the report.
3) Materials and method
Briefly describe the scientific approach adopted to implement the research activities as well as the material means needed for the implementation of activities.
4) Technical execution of the project.
Explain how activities were carried out according to the schedule, focusing on the progress made since the beginning of the project, or in comparison with the immediate past experience. State also how encountered constraints were solved.
5) Results
The annual report should clearly specify and quantify obtained results with respect to the expected results. This implies the linkage of the research results to technology use. It also includes the generation of new knowledge, impacting knowledge (i.e. training), as well as its promotion.
6) Partnerships
This chapter should highlight efforts made in building and/or strengthening partnerships in accordance to the project plans. This should be especially so with respect to the participation of the various stakeholders involved, in the project, their complementarity, mutual sharing of experiences, etc.
7) Administration and financial management of the project (see progress report)
A financial report prepared according to the format given in sheet IVa should accompany the annual report. This report should cover the period of the report.
Sheet IV –b2: Guide for the preparation of the final report
The final report is similar to the annual report. However, its various sections will contain more details since it covers the whole project. In addition to this, two new chapters should be included in the final report. These are:
8 Discussion of the results
This section will permit the characterisation of the results with respect to the project objectives, and to analyse the next steps to promote these results and the broadening of knowledge.
9 Promotion of results
Scientific results already published as an off-shoot of the project and those that are in preparation should be stated. This section should also include scheduled dissemination activities and those already implemented. (Attach a list of publications, technical manuals/handbooks and other dissemination aids produced within the framework of the project to facilitate technology promotion).
Appendix - proposal evaluation forms
Sheet a Assessment form phase 1 (eligibility).
This phase of assessment is done by the Executive Secretariat of CORAFWECARD
1 -Reception before the closing date yes - no
(if no, specify the date of reception)
2 The theme of the proposal conforms with
the theme of the call for proposal yes – no
(if no, explain why)
3 The regional dimension of the proposal is respected (3 countries
in the sub region represented) yes – no
(if no, explain)
4 The presence of at least two categories of actors and at least one
user of result of research (various categories of actors
are national centers, ARI, universities, NGOs, Farmers,
the private sector) yes - no
The proposal is eligible yes – no
(If 1 criteria among all 4 is missing, the answer is no)
Sheet b Assessment form phase 2 ( scientific and technical assessment)
Proposal assessment is done by a minimum of three evaluators for each proposal. They are chosen by the CEP for each proposal. The proposal assessment will be as follows:
- the first level is individual assessment,
- the second level is a group or panel assessment. This panel write assessments report with comments and also scores the proposal.
The report of the panel on a proposal is the only report to be used in the selection procedure. The individual reports will only facilitate the panel discussion.
The contents of the assessment form are the same at all levels of assessment... The only difference is the title of the report and the fact that the report written by the panel should be dated and signed by each of the evaluator of the panel.
Assessment will be based on five groups of criteria mentioned in the competitive fund manual and are described here below.
Any proposal that obtains a mark inferior to 13/25 on pertinence will be eliminated
Individual and joint assessment sheet
1. Pertinence 25
- Identification of problems to be solved 10
- Nature of the request 5
- Regional significance 10
2. Scientific and technical quality 25
- Clarity of objectives 6
- Level of knowledge on the subject 4
- Feasibility of the proposed methodology 6
- Clarity and realism of the work plan 5
- Methods of disseminating and promoting results 4
3. Impact
15
-
Environment
7
-
Social
4
- Economic 3
- Financial 1
4. Partnership 20
- Diversity of partnership 7
- Regional dimension 7
- Complementarity 6
5. Management 10
- Technical management capacity 4
- Financial management capacity 6
6. Budget 5
- The budget realism 3
- Stability between partners 2