Federal Ministry for Economic Cooperation and Development (BMZ) Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH Guidelines

Transcription

1 Federal Ministry for Economic Cooperation Development (BMZ) Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH Guidelines Project Funding for International Agricultural Research Centers January 2017

2 Contents A. Framework Principles... 3 B. Development Objectives... 3 C. Criteria of Project Funding along the R4D Continuum... 6 C.1 Criteria Ranges (R4D Continuum)... 7 C.2 General Criteria... 9 D. Procedures E. Intellectual Property Rights, Biosafety Genetic Engineering F. Protection of Personal Data G. Principles for Publications: Indication of German Support Open Access H. Reporting Flow Chart for Review Process Contacts addresses

3 A. Framework Principles The main objective of the Federal Ministry for Economic Cooperation Development (BMZ) in funding International Agricultural Research for Development is to provide a strategic instrument for enhancing research in organizational, methodological technical innovations concerning sustainable agricultural development, focusing on the impact of this research on the poor population in developing countries. Research support addresses policy issues, the social, environmental technological dimensions of research, the training of professionals the out- upscaling of research findings. Funding is provided to the CGIAR Research Centers to icipe AVRDC - The World Vegetable Center. In the following text, the 17 institutes are collectively referred to as International Agricultural Research Centers (IARCs). Various funding mechanisms for IARCs are applied, namely (i) Project Funding, (ii) Integrated Experts in collaboration with the Centrum fuer Internationale Migration und Entwicklung (CIM), (iii) The Small Grants Program. The present guidelines are addressing Project Funding only. B. Development Objectives From the outset, international agricultural research main purpose was to achieve development outcomes. The new Strategy Results Framework (SRF) of the CGIAR sets ambitious targets to be achieved until 2030 through international agricultural research in the fields of poverty reduction, food nutrition security health natural resource management. Germany s support to the CGIAR is closely aligned with the SRF, projects financed by the German Government have to make a clear contribution to the delivery of the SRF targets, along the research-for-development (R4D) continuum. The System Level Outcomes of the CGIAR match in many cases with the new Sustainable Development Goals (SDGs) of the UN, thus highlighting the relevance international agricultural research has to play in the international development setting. In order to contribute to development outcomes at scale, a close link between research agricultural practice is needed, as are realistic impact pathways including plausible explanations of expected impacts. 3

4 Proposed projects have to be integrated in one of the CGIAR Research Programs accepted as part of the CRP Portfolio during the 2 nd CGIAR System Council Meeting September 25-26, 2016 in Mexico City. Applications need to provide for a clear quantifiable contribution to at least one of the three outcome targets Germany is focusing its support on in line with the new BMZ investment model. The three outcome targets are based on the SRF targets for 2022 (see below). It is important to note that Germanys investment in international agricultural research focus on outcomes (in contrast to impact). SRF Targets (2022) 100 million more farm households have adopted improved varieties, breeds or trees, /or improved management practices 30 million people, of which 50% are women, assisted to exit poverty Improve the rate of yield increase for major food staples from current <1% to %/year 30 million more people, of which 50% are women, meeting minimum dietary energy requirements 150 million more people, of which 50% are women, without deficiencies of one or more of the following essential micronutrients: iron, zinc, iodine, vitamin A, folate, vitamin B12 10% reduction in women of reproductive age who are consuming less than the adequate number of food groups 5% increase in water nutrient (inorganic, biological) use efficiency in agro-ecosystems, including through recycling reuse Reduce agriculturally-related greenhouse gas emissions by 0.2 Gt CO2-e yr-1 (5%) compared with business-as-usual scenario in million hectares (ha) degraded l area restored 2.5 million ha of forest saved from deforestation BMZ Investment Model Outcome Targets (2022) 1. By 2022, small holder households have adopted technologies developed by international agricultural research centers. 2. By 2022, people, of these 50% women, consume healthy nutritious food developed by international agricultural research centers. 3. By 2022, on ha sustainable l management practices designed by international agricultural research centers are applied. In addition, projects have to contribute to one or a maximum of two flagship(s) of one of the eleven CRPs. As the CRPs are covering a wide range of research, AVRDC icipe are expected to submit proposals that will fit under this umbrella. 4

5 Below is the set of the second generation of CGIAR Research Programs (CRPs) Flagships. Only CRPs Flagships marked white or light in the table will be supported by BMZ; strong red ones cannot be funded (Fish FP 3, Maize FP 5, GLDC completely). Fish FTA Livestock Maize Rice RTB Wheat A4NH CCAFS PIM WLE GLDC Sustainable aquaculture Tree genetic resources to bridge production gaps promote resilience Livestock genetics Enhancing MAIZE s R4D strategy for impact Accelerating impact equity Enhanced genetic resources Enhancing WHEAT s R4D strategy for impact Food systems for healthier diets Priorities Policies for CSA Technological Innovation Sustainable Intensification Restoring degraded lscapes Priority Setting Impact Acceleration Fish in multifunctional lscapes Enhancing how trees forests contribute to smallholder livelihoods Livestock health Novel diversity tools for increasing genetic gains Upgrading rice value chains Productive varieties quality seed Novel diversity tools for improving genetic gains breeding efficiency Biofortification (BF) Climatesmart technologies practices Economywide Factors Affecting Agricultural Growth Rural Transformation L water solutions for sustainable intensification Functional Agrifood Systems Enhancing the contribution of fish to nutrition health of the poor Sustainable global value chains investments for supporting forest conservation equitable development Livestock feeds forages Stress tolerant nutritious maize Sustainable farming systems Resilient RTB crops Better varieties reach farmers faster Food safety Low emissions development Inclusive Efficient Value Chains Sustaining rural urban linkages Integrated Farm Household Management Lscape dynamics, productivity resilience Livestock the environment Sustainable intensification of maizebased systems for improved smallholder livelihoods Global Rice Array Nutritious RTB food valueadded through postharvest innovation Sustainable intensification of wheatbased farming systems Supporting Policies, Programs, Enabling Action through Research (SPEAR) Climate services safety nets Social Protection for Agriculture Resilience Managing resource variability, risk, competing uses for increased resilience Variety Hybrid Development Climate change mitigation adaptation opportunities in forests, trees agroforestry Livestock livelihoods agrofood systems Adding value for maize producers, processors consumers New rice varieties Improved livelihoods at scale Improving human health Governance of Natural Resources Enhancing sustainability across agricultural systems Pre- Breeding Trait Discovery FP6: Crosscutting Gender Research Coordination Explanations: = not part of the portfolio = part of the portfolio, but no W1+2 in 2017 = budget requests reduced by 6% based on ISPC /or FEWG assessment for

6 C. Criteria of BMZ Project Funding along the R4D Continuum In order to make outcome-oriented investments in international agricultural research that is making a meaningful contribution to the development targets specified in the SRF until 2022, BMZ is using a new investment model. The research-for-development process is structured into four distinct stages which constitute the R4D continuum: discovery, proof of concept, piloting, scaling. General assumptions of the R4D Continuum: R4D activities move from one stage to the subsequent one within a given period of time. One project funding grant (with a duration of three years) should cover at least one but not more than two connected stages (e.g. proof of concept piloting). Depending on the outcomes of a R4D activity conducted within a project funding grant, it may be necessary to repeat a stage of the R4D continuum (i.e. repeated applications for one stage), yet the necessity of this repetition has to be evident progress along the R4D continuum is expected. R4D activities progress through the continuum finally contribute to outcomes at scale by integrating the appropriate set of partners. Note: The R4D continuum does not imply that proposed projects start research activities at the discovery-stage. Applicants are encouraged to apply also for activities in later stages, given that project activities of the preceding stage were already successfully implemented, funded either by another BMZ grant or a different donor. The new investment model has a major implication for the project funding mechanism. It is intended to invite funded projects that successfully conclude activities in a given stage are of high potential for achieving success in the subsequent stage as well, to a follow-up phase. This invitation will be based on assessments in year 3 of project implementation. Projects that receive such an invitation may submit a project proposal for a follow-up phase in addition to the usual open call proposal submission. In case that a follow-up phase is granted, this second phase will immediately start after the conclusion of the preceding project phase. This follow-up phase system will come into effect first in 2019 (i.e. it applies for projects funded under the 2016 call for proposals, starting in 2017). Applications under the current 2017 guidelines will enter assessment for a follow-up phase in It is assumed that this reward of good R4D performance will further encourage applicants progress along the R4D continuum. 6

7 In a very schematic way, the four stages of the R4D continuum can be understood as progressing from an idea, hypothesis or assumption (discovery), to testing that idea, hypothesis or assumption in order to find out if it is actually positive feasible, /or to developing a prototype (proof of concept), to introducing the prototype to a broad set of users or customers in order to obtain feedback for fine-tuning the product or service (piloting), to the massive roll-out of a suite of products or services with a set of appropriate partners (scaling). This schematic description should not be perceived as complete with clear-cut boundaries; activities that are the main activities of one stage might also occur at another stage. For a comprehensible understing of the R4D continuum, a set of five ranged criteria is proposed (see below C.1), whose characteristics, depending on the respective stage, are defined differently (A-E, beneficiaries, knowledge to product, partnerships, outreach, funding). In addition to the five ranged criteria, four general criteria apply for the entire R4D continuum (see C.2 (1)-(4): research design methodology, impact pathway, capacity development, budget). The criteria mentioned in this section have to be addressed in the proposal narrative within the sections indicated in the proposal template. C.1 Criteria Ranges (R4D Continuum) (A) Beneficiaries The SRF sets ambitious targets in terms of beneficiaries (farmers, consumers, hectares of l) provided by CGIAR research their partners until the years of In general, beneficiaries are understood as the end-users of a product or service. Therefore, it is important that activities progressing through the R4D continuum finally provide products or services to thouss of beneficiaries. It is assumed that in the early stages of the continuum 7

8 (discovery, proof of concept) the numbers of final beneficiaries are lower. No matter how many beneficiaries will be reached according to the R4D stage, proposed projects are expected to provide sound tangible, quantified figures in the application will have to demonstrate later on how many beneficiaries have actually been reached based on sound evaluation methods. (B) Research to Product It is acknowledged that research for development, as any other research, is an open-ended process (that may also lead to negative results or failure). However, in case R4D activities successfully progress from one stage to a subsequent one, it is assumed that research outputs are finally transformed into tangible products or services that benefit people at a large scale. Therefore, it is of utmost importance to assure that products services generated by R4D are actually applicable for end-users which also implies that they are affordable profitable consider the adoption requirements of the end-users. Large-scale adoption can be achieved only by according to directions. In this sense, product service are understood in a broader sense can also include capacities, knowledge forms, new approaches etc. in cases that work is conducted on complex systems. (C) Partnerships For relevant products or services for end-users, it is crucial to engage cooperate with appropriate partners ideally from the very beginning. Partners are clustered here into two groups: science partners (non-science) implementation partners. The latter are for instance development organizations, farmer organizations, policy makers, the private sector, non-governmental or civil society organizations etc. The right set of partners depends on the type of beneficiaries being targeted the product or service that is developed. A late integration of implementation partners in the research process may negatively influence the chances of adoption of research products. Therefore, an early exchange (even in the discovery stage) between research implementation partners is strongly encouraged to ensure alignment. As activities progress along the R4D continuum, the right set of partners their according roles are assumed to change respectively. Justification of partners chosen for the proposed project must be provided roles responsibilities for specific targets or a certain project component clearly stated, also in relation to their contributions the multidisciplinary multi-stakeholder character of the partnership. It is acknowledged that the adoption of products services by people at scale is beyond the control of research alone. 8

9 (D) Communication of Research Results The term communication includes scientific communication as well as communication measures for end-users. While it is acknowledged that scientific communication in the form of peer-reviewed publications is crucial for scientific work an important factor of quality control, it is assumed that peer-reviewed publications dominate in the early stages of the R4D continuum. In the later stages it becomes increasingly important to focus on communication measures that translate scientific knowledge into local context knowledge systems ( people products ). Nevertheless, peer-reviewed publications can also be part of later stages of the continuum for instance when analyzing outreach adoption patterns or the science of scaling. (E) Funding As research for development activities progress along the continuum, it is necessary to increasingly integrate implementation partners to improve overall outcome achievements. Three different scenarios (or a combination of them) of financing partner activities may apply: (1) part of the funding provided by the BMZ grant itself is allocated to implementation partners, (2) implementation partners provide contributions to the project activities by themselves (monetary or in-kind), or (3) additional co-funding on top of the grant is secured. In acknowledgement of the diversity of possible sets of partners activities along the R4D continuum, BMZ does not favor any funding scenario. Yet applicants especially in later stages of the continuum need to clearly demonstrate how the partnership arrangement looks like justify why their choice of budget allocation to partners/amount of co-funding partner contribution is adequate for implementation/scaling purposes. C.2 General Criteria (1) Research Design Methodology Participatory dem-driven research approaches shall be used. Therefore, clear definition of the beneficiaries (e.g. farming households, consumers, user organizations, CBOs, policy makers etc.) must be provided, as well as a clear articulation of the dem for the R4D activities (e.g. by farmer, extension, policy, research). Appropriate methods must be used to estimate the number of beneficiaries as well as solid information on baseline scenarios provided in order to track the project progress in a meaningful manner. In addition, information on 9

10 necessary outcome monitoring for the project duration is required. Information on gender must be provided, especially with regard to the anticipated outcome of the activities (gender disaggregated information). Finally, the comparative advantage of the applicant as well as project partners must be demonstrated. Early career scientists as well as early career project management staff should be supported. (2) Impact Pathway All applications for project funding need to provide a detailed impact pathway, even those applications for activities in the discovery phase. Although not all aspects may be known certain at this point in time there must be some understing of the future use-scenario the R4D activities are aiming to contribute to, which partners shall be involved at which stage etc. As activities progress through the continuum, the impact pathways must reviewed continuously, evolve from being based on rather generic/theoretical assumptions to being more specific contextualized. The impact pathway must correspond to the work plan logical framework of the application; in addition, suitable outcome-orientated indicators milestones that are feasible realistic must be provided. (3) Capacity Development Capacity development (largely in the form of provisions of training) is a main task of international agricultural research must be part of a application. Information on planned academic capacity development as well as capacity development on end-user partner level must be provided (number of people trained etc.). This also includes capacity development at NARS level as well as any involved advisory services through collaborative training. (4) Budget Adequacy transparency of budget (tasks to be performed in accordance with the workplan) is required at every stage. Please ensure that for the tasks to be conducted in the project funding activity, all necessary capacities (e.g. gender, M+E etc.) must be factored in. With regards to budget allocation to partners at the later R4D stages, please refer to paragraph C.1 (E) of this Funding Guidelines. 10

11 D. Procedures CGIAR Centers the two Non-CG-Centers 1 are invited to submit proposals before March 31 st of each year (only one proposal per center). Collaborative projects combining the competencies of several centers complementing one another are particularly welcome. In this case each center submits its own proposal, indicating the collaborative character of the project. Review teams will evaluate the submitted proposals provide their recommendation to GIZ/BEAF. Based on these inputs, GIZ/BEAF makes a recommendation of projects to be funded by BMZ. After the final funding decision of BMZ, centers are notified likely by end- November. If necessary, GIZ/BEAF requests revisions of proposal budget. A contract (Grant Agreement) will be drawn between GIZ (on behalf of BMZ) the center appropriate to the start date of the project, usually January 1 st of the following year. The final approved proposal budget will be specified as part of contractual arrangements between GIZ the individual center. Detailed instructions for the elaboration of proposals are set forth in the attached template. The upper limit for funding is Euro 1.2 million (including indirect costs) for three years. Application together with a cover letter from the Center's Director General should be sent to petra.geissinger@giz.de (electronic filing is sufficient, hard copies are not necessary). Please confirm in the attached letter of the Center s Director General that the research project is synchronized with the DG of the CRP lead center as well as with the CRP Director. This conformation should make sure that the proposal is part of the impact pathway of the CRP. A letter of intent of each project partner involved (not more than 10 LoIs in total) has to be submitted must declare clearly the expertise, contribution the taken tasks to achieve the project objectives. GIZ/BEAF will reject applications if the template for proposals is incomplete (fill in all the blanks!), the submitted template exceeds the limited number of 13 pages or the given format was changed (e.g. side edges). E. Intellectual Property Rights, Biosafety Genetic Engineering As a matter of principle, research results products are considered to be in the public domain. The IARC is required to indicate anticipated patentable research results in the proposal 1 Icipe AVRDC - The World Vegetable Center 11

12 to take necessary steps to avoid results being used by third parties in order to obtain patent registration. If a project is approved, the IARC is in charge of publishing the research results as soon as they have been generated, especially if such research developmental achievements appear likely to meet the patentability requirements of novelty, inventiveness industrial applicability (non-obviousness utility, respectively), in order to ensure their hling as part of the public domain by such third parties. In those cases in which techniques or products of a proprietary nature are being used in the research, any arrangements with the owner of the patent regarding the use of the research product by the center s target group should be indicated. In regard to the exchange of germplasm the centers recognize the authority of the Governing Body of the International Treaty on Plant Genetic Resources for Food Agriculture ('The Treaty') to provide policy guidance relating to their ex situ collections. All shipments will be accompanied by the Stard Material Transfer Agreement (SMTA) adopted by the Governing Body of the Treaty at its First Session in June BMZ cannot fund projects using transgenic /or genome editing methods. In case of doubt, please contact the BEAF team timely for advice. F. Protection of Personal Data GIZ assert the use of valid general terms of personal data protection IT security stards. All provided postal addresses addresses are used exclusively for correspondence or for information processing in the context of calls for proposals administrated by GIZ/BEAF. Information concerning any project proposals submitted to GIZ/BEAF is collected in GIZ s data processing systems (name, profession contact details of project coordinator, partner institutions, name, profession contact details of co-coordinators) for administration, monitoring financial transactions. The IARCs will ensure that their staff members are informed about the acquisition of data by GIZ, that everybody has consented. The IARCs also consent to the sharing of information from this database (personal data as well project-related data results) with other CGIAR research centres, GIZ projects interested persons, as well as publication on the GIZ website. 12

13 G. Principles for Publications: Indication of German Support Open Access Scientific other material published as a result of German funding must indicate the Federal Republic of Germany as donor. Regardless of whether the funds were made available by BMZ directly or through GIZ on behalf of the BMZ, funding should be acknowledged as "With the financial support of the Federal Ministry for Economic Cooperation Development, Germany". More information templates for permitted logos can be requested by sending an e- mail to petra.geissinger@giz.de. Scientific other material published as a result of German funding must be made available Open Access, in accordance with the CGIAR Open Access Data Management Policy, approved on October 2, 2013 by the CGIAR Consortium (click here). H. Reporting Reporting is a key instrument for monitoring evaluation of the German support to International Agricultural Research, which reflects the criteria listed in section B C. The IARC is therefore required to document all relevant knowledge gained during project implementation in a final report. In addition progress reports should be presented in form of an executive summary. Their objective is to present both major results achieved also limitations encountered. The instructions for preparing the reports are outlined in the corresponding templates (Entry forms). Reports have to be submitted by to stefanie.zeiss@giz.de As of 2019, the second progress report must contain sufficient information with clear indicators to assess, if the next phase will step up in the R4D continuum. IARCs might therefore potentially be invited to submit a follow-up proposal. A specific template for these types of progress reports will be distributed timely. Bonn, January

14 Acronyms BEAF Beratungsgruppe Entwicklungsorientierte Agrarforschung (Advisory Service on Agricultural Research for Development, a GIZ service unit) BMZ CGIAR Bundesministerium für wirtschaftliche Zusammenarbeit und Entwicklung (Federal Ministry for Economic Cooperation Development) Global Agricultural Research Partnership (former Consultative Group on International Agricultural Research) CIM Centrum für internationale Migration und Entwicklung CBO Community Based Organization CSO Civil Society Organization GIZ Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH IARC International Agricultural Research Center NARS National Agricultural Research System NGO Non-Governmental Organization 14

15 If no revision necessary Flow Chart for Review Process Procedures: Schedule: IARCs submit Proposal 31 March Review process Funding decision of BMZ with GIZ/BEAF End of October Notification of Centers by GIZ/BEAF request for revisions if necessary End of November Revised Proposals/Budgets submitted to GIZ/BEAF End of December Contract between GIZ the Center As of January 15

16 Contacts addresses Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH Advisory Service on Agricultural Research for Development (BEAF) Friedrich-Ebert-Allee Bonn Germany Focal point for delivering questions on proposals: Ms. Petra Geissinger Tel.: Fax: Focal point for delivering questions on progress final reports: Ms. Stefanie Zeiss Tel.: Fax: Advisory Service on Agricultural Research for Development (BEAF) Postfach Eschborn Germany Contractual questions financial statements: Ms. Iris Weyershaeuser Tel.: Fax: Ms. Julia Rogg Tel.: Fax: general: 16