Request for Concept Note

Transcription

1 Feed the Future Innovation Lab for Collaborative Research on Sustainable Intensification Request for Concept Note Research Sub-Awards supporting Sustainable Intensification in West Africa, East Africa, and Asia Calendar Activity Date Date of issuance of request for concept note June 12, 2015 Online submission of concept notes opens June 26, 2015 Deadline for receipt of concept notes July 10, 2015 Review and selection of concept notes promoted to full proposals Mid July Date of invitations for full proposals Late-July Deadline for submission of full proposal September 10, 2015 This request for concept notes is issued by Kansas State University (KSU), the Management Entity of the Feed the Future Innovation Lab for Collaborative Research on Sustainable Intensification. The KSU Sustainable Intensification Lab (SIIL) is funded by the U.S. Agency for International Development under cooperative agreement AID-OOA-L The KSU SIIL management entity offices are located at Kansas State University, College of Agriculture, Waters Hall 108, Manhattan, Kansas For additional information please contact Dr. Vara Prasad, SIIL Director, webpage:

2 1. Background The Feed the Future (FtF) Sustainable Intensification Innovation Lab (SIIL), formerly known as the SANREM Collaborative Research Support Program (CRSP), is a USAID funded program that supports research, knowledge sharing, and capacity building in relation to small-holder farming systems and the ability to increase ecological intensification for the production of food, fiber and other products. Such efforts will increase farm productivity from existing croplands and pastures, improve nutrition, and raise net income while reducing reliance on pesticides and fertilizers, reducing emissions of greenhouse gases, and leading to efficient and resilient farming systems that protect or enhance natural resources. Sustainable intensification (SI) is defined as a process or system where agricultural yields are increased with minimal adverse environmental impact and without the conversion of additional non-agricultural land. The concept does not articulate or privilege any particular vision or method of agricultural production. Rather, it emphasizes ends rather than means, and does not predetermine technologies, species mix, or particular design components. The combination of the terms sustainable and intensification indicates that desirable outcomes around more food, improved nutrition, and improved environmental goods and services can be achieved by a variety of means. Applicants are referred to the following resources for additional discussions on sustainable intensification: The SIIL holds a broad view of sustainable intensification including social and economic factors that influence the adoption of improved practices. USAID has identified three focus regions (Asia, West Africa, and East Africa) with specific emphasis on Bangladesh, Cambodia, Burkina Faso, Senegal, Ethiopia, and Tanzania. Research sub-award projects focused on the development and implementation of sustainable intensification practices in one or more of the target countries will be competitively selected. Approximately up to US $8 million is potentially available through this RFA which will likely support 6 to 8 projects over 4 years. 2. Overview The SIIL invites the submission of a concept note (CN) from eligible entities that may lead to an invitation to submit a full proposal for the research sub-award competition. Projects may be conducted in one or more of the target countries for SIIL and contribute to the institutional and capacity building within the associated region or regions. The project must partner with relevant and appropriate host country organizations (research institutes or universities) and may partner or significantly link with other US universities, the CGIAR system, and development community partners. The project description should demonstrate links to and

3 leverage from the work of other relevant projects or initiatives in the proposed area of interest and avoid unnecessary duplication. 3. Eligibility All types of US and non-us entities are eligible to apply provided they are not excluded from U.S. Government acquisition and assistance awards (this may be verified through the U.S. Government System for Award Management at and by checking the U.S. Department of Treasury Office of Foreign Assets Control List of Specially Designated Nationals (SDNs) and Blocked Persons and by checking the United Nations Security Designation Lists). It is the applicant s responsibility to ensure that no individuals or organizations proposed for participation in the proposal activities are excluded by the U.S. Government. After award, it is the recipient s responsibility to ensure that no transactions are conducted with excluded parties. The SIIL strongly encourages applications from, or for applicants to include, qualified Minority Serving Institutions including, but not limited to, Historically Black Colleges and Universities, Predominantly Black Institutions, Hispanic Serving Institutions, Tribal Colleges and Universities, and Asian American Native Alaskan and Pacific Islander Serving Institutions. The lead entity making the application will be responsible for negotiating into sub-agreements with all collaborating organizations and for accounting to SIIL for all program accomplishments, expenditures, and reporting requirements. The proposal should identify the nature of any collaborations, the distribution of labor and activities between collaborating organizations, and the budget allocations between collaborating organizations. Interested applicants must submit their CN not later than 11:59 pm Central Time on July 10, Invitations to submit full proposals will be extended within approximately 2 weeks of CN submission. Full proposals must be submitted by 11:59 pm Central Time on September 10, 2015 for consideration, and awards will be made approximately one month later. Projects are expected to begin no later than the fourth quarter of Research and Activity Priorities The vision of FtF Sustainable Intensification Innovation Lab is to become a world leader in transdisciplinary research, knowledge sharing, and capacity building on sustainable intensification with measurable impacts on reducing global hunger and poverty, improving nutrition of small-holder farmers, and leading to improvements in ecosystem services. The SIIL supports research, knowledge sharing, and capacity building in relation to small-holder farming systems and the ability to increase ecological intensification for the production of food. Such efforts will increase farm productivity from existing croplands, improve nutrition, and raise net income while reducing reliance on pesticides and fertilizers, reducing emissions of greenhouse gases, and leading to efficient and resilient farming systems that protect or enhance natural resources. The SIIL holds a broad view of SI including social and economic factors that influence the adoption of improved practices. The portfolio of the SIIL will cover areas of inquiry including stocktaking, mapping, analysis and guidance; farming systems research; linking SI impacts across spatial scales; and SI impacts on gender and nutrition issues. The SIIL supports the Geospatial and Farming Systems Consortium and the Appropriate Scale

4 Mechanization Consortium. Both consortia will be available for individual research projects to assist in addressing the areas of inquiry. Applicants are referred to and for a complete description of SIIL vision and objectives and the most current stocktaking results. Sustainable intensification involves producing more total food (energy), feed, and nutritional components (protein, micronutrients, vitamins, etc.) on the existing land base while enhancing or conserving the natural resource base upon which agriculture relies. Sustainable intensification in the small-holder farmer context will require efficient use of labor and improved access to mechanization to decrease the demand for labor, power, and energy. In addition, SI increases the need for rapid land preparation to decrease turnaround time between harvesting and planting, allowing for additional crops to be grown within an annual cropping cycle. Sustainable agricultural practices, and the resulting unique mechanization challenges and needs, will be strongly emphasized. Further, SI may involve increased reliance on animal agriculture and aquaculture and for which mechanization may play an important role. Appropriate mechanization of farm activities will improve the timeliness and efficiency of farm operations. These issues will, in part, be addressed by the Appropriate Scale Mechanization Consortium but should also be considered for research sub-award projects. The SIIL has identified four major objectives and associated activities, and this RFA is seeking applications for research in addressing objectives 2 through 4 as described below. The Geospatial and Farming Systems Research Consortium will address the research needs for the first objective, although research sub-award applicants are encouraged to incorporate geospatial tools in their projects. 1. Use geospatial tools to identify needs, constraints, technologies, opportunities for intervention and scaling, and for assessing impact. Activities: Map data (ecology, resources, and available technologies, biophysical and socio-economic conditions); identify geographical regions and research technologies with a high potential for SI; prioritize according to the greatest impact on enhancing nutrition and minimizing poverty; determine strategies for implementation, track impact, field / farm scale linkages and opportunities; cropping systems modeling to maximize nutritional value to small holder farmers. Outcomes: Initially, information useful in crafting the RFAs and selecting research portfolio; Concurrently and later, data base development, monitoring and evaluation of ongoing activities, identification and evaluation of technologies across scales, ability to track adoption of SI practices across scales. 2. Improving nutrition using integrated and environmentally sustainable technologies (nutritionsensitive agriculture). Activities: farming systems research focusing on integration of livestock and more intensive crop rotations; effective land, soil, nutrient and water management (improve resource

5 efficiency); climate-smart and resilient crop production systems; increased biodiversity; enhanced nutritional value; and maintaining or enhancing ecosystem services. Outcomes: A portfolio of successful SI practices/farming systems; enhanced knowledge of climate-smart and resilient farming systems; identification to enhance biodiversity to improve resilience, ecosystem services, and nutrition, development of gender sensitive technologies. 3. Identification of enabling conditions and social networks to support and enhance sustainable intensification. Activities: Study of economic and social constraints to adoption of SI practices, testing new participatory approaches and integrated platforms for adoption, develop value chain models, linking farm behavior to decision making and scaling up new SI practices. Outcomes: Identification of select value chain opportunities that promote SI; identification of successful participatory models for enhanced adoption of SI practices. 4. Develop platforms for communication, knowledge sharing, and capacity building. Activities: Identification of effective means of communications for dissemination of information to all relevant stakeholders, short- and long-term training in support of capacity building needs to all relevant participants, develop open-access knowledge sharing platform for all audiences. Outcomes: Increased research capacity of participants, wide-spread knowledge of resources available from SIIL, strengthening partnerships with relevant stakeholders, researchbased strategies and policies to support adoption of SI practices. The SIIL will develop a research portfolio based upon the value chains, need, and measurable impact. The activities of SIIL will directly address the goal of sustainably reduce global poverty and hunger by contributing to both of the major objectives of FtF: (a) inclusive agricultural sector growth by improving agricultural productivity and income of all value chains; and (b) improved nutritional status by enhancing access to diverse and quality diets and income. The identification of the geographical focus, countries, partners, and areas of inquiries is based on the needs of the target countries and with active engagement of the various stakeholders, value chain partners, government organizations (e.g., national agricultural research systesm (NARS), universities), international centers (e.g., CGIAR), non-governmental organizations (NGOs), and private industry. Applications must be consistent with priority areas based on local context in one or more focus countries. Additional information may be obtained from the results of the strengths, weaknesses, opportunities, and threats (SWOT) analyses performed by the SIIL for Tanzania, Bangladesh, and Cambodia available at The participants were from all sectors and disciplines (national research partners, policy makers, private sectors, extension personnel and other stake holders) and we actively engaged in activities related to SI. Applicants are not required to work in these three countries. Preference will be given for research projects conducted in host countries. The SIIL will have regional coordinators placed in the three regions (West Africa in Senegal; East Africa in Tanzania; and Asia in Bangladesh). They will coordinate activities in each region. All projects must include at least one PI from a host country institution. At least one PI from each project must participate annually in at least one of the short-term training sessions in target countries aimed at NARS personnel and training the trainers, or one of the joint training sessions

6 in the US for long-term trainees (as described in the Training and Capacity Building section of the SIIL proposal found at the link below). Capacity Building All projects should include human and institutional capacity development at both the scientist and institutional level. Details regarding the number of trainees, location of training, and efforts at ensuring gender parity of trainees, as well as the need for training of host country nationals should be described in the CN. Collaboration with host country universities is encouraged and may include curriculum development, academic support consistent with research programming, short courses, and other activities that support improved institutional capacity. Outreach activities aimed at the end-user are also required for all projects. These can occur via direct contact with end-users by project investigators or through third party organizations such as host country extension services, host country universities, NGOs, or NARS or CGIAR. Applicants are referred to for a complete description of SIIL capacity building activities. The SIIL currently has collaborative opportunities with certain organizations (for example, The Earth Institute at University of Columbia; Land Institute in Kansas; American Institute of Goat Research at Langston University; World Vision for widespread testing scaleup SI technologies; and a private organization, IBM, on topics related to big data platforms and geospatial tools related to agriculture and SI). Gender USAID policy requires that gender issues be addressed as appropriate for all USAID-funded activities. USAID requires that gender differences and inequalities be integrated into the consortium activities and project design and into criteria used to evaluate this application. The application must present a gender analysis which discusses important gender issues relevant to sustainable intensification practices; and must explain how gender considerations and equality issues will be integrated into the design, implementation, management, knowledge sharing, capacity building, and monitoring and evaluation of the overall project activities. Applicants are referred to for a complete description of gender requirements for proposed projects. 5. Project Design Projects must describe a results framework, including monitoring and evaluation that is consistent with the overall objectives of the SIIL supporting research, knowledge sharing, and capacity building in relation to small-holder farming systems and the ability to increase ecological intensification for the production of food. The framework must also support USAID FtF goals, national objectives, identified zones of influence, and value chains identified for each country. Projects will be reviewed by USAID and relevant host country programs (host country USAID missions). More information on the current activities are available at the following websites: Bangladesh ( Cambodia ( Tanzania ( Ethiopia ( Senegal ( and Burkina Faso (

7 Applicants are encouraged to collaborate, build-on or fill the gaps based on current USAID funded SI flagship programs (e.g., Africa-RISING; CSISA) and other SI related activities in the host countries. A list of select programs are listed in a Table at Applicants are also encouraged to collaborate with activities of other FtF USAID innovation labs (e.g., Nutrition Innovation Lab, Small Scale Irrigation Innovation Lab, Horticulture Innovation Lab, Sorghum and Millet Innovation Lab, and others) that are active in the countries, based on proposed research activities. A complete list of FtF Innovation Labs is available at the following website: Applicants are referred to the formal SIIL results framework available at and will be required to participate in the complete SIIL Monitoring and Evaluation procedures. Projects must be in compliance with USAID s Environmental Compliance Procedures described in Title 22 of the Code of Federal Regulations, Part 216 (22 CFR 216) and provide evidence of compliance with all relevant financial accounting procedures, regulatory compliance, responsible conduct of research, and the US Agricultural Terrorism Act of Project Reporting An annual work plan, budget, activity report summarizing results, impact analysis and results, trip reports, and research reports and summaries will be part of the reporting requirements. The SIIL staff, USAID staff, and SIIL technical advisory committee will review and provide feedback. Amendments or changes may be suggested during the annual review and also with respect to overall SIIL funding since it is allocated on an annual basis. The consortium should have contingency plans in place for a 10% cut in funding to demonstrate abilities to achieve outcomes under an uncertain Federal fiscal environment. 7. Project Funding, Budget Guidelines, and Cost Sharing Approximately US $8 million is available from this RFA from 01 October 2015 through September 15, 2019 to fund 6 to 8 projects in a range of US $750,000 to US $1 million each. The CN must contain a summary budget with costs allocated to various activities and subcontracts clearly delineated using the template available at Budgets should reflect non-federal cost sharing. There are no matching requirements although USAID and SIIL will give favorable consideration to budget proposals that leverage consortium funding.

8 At least 50% of the proposed budget should be spent to support in country activities. All projects should include travel funds for host country and US PIs to attend at least one of the short-term training sessions in target countries aimed at NARS personnel and training the trainers, or one of the joint training sessions in the US for long-term trainees (as described in the Training and Capacity Building section of the SIIL proposal). The cost of this travel can be estimated using the destinations of either the capital city of the host country or Manhattan KS USA as appropriate, although the final costs may differ based on additional factors. 8. Guidelines for Submission All CNs should be submitted at: beginning June 26, 2015 but not later than 11:59 pm Central Time on July 10, Applicants will need to create an account, provide basic information on themselves and the CN, and upload a single pdf file containing the CN. The following format is required for the CN: Component Title Page Executive Summary Narrative Description Anticipated Results Expected Impacts Activity Plan Budget Budget Justification References PI Qualifications Curricula Vitae Description Provides project title; name, title, institution address, , phone, and fax for lead PI at the lead institution; list of collaborating organizations, total project budget, timeframe, and funds requested from SIIL Maximum one page Describes the project participants with clearly identified roles and responsibilities of all members. Focal topics and geographic areas, sustainable intensification opportunities, and research needs should be clearly articulated. Barriers to the adoption of sustainable intensification practices and strategies to overcome them should be identified. Opportunities for collaborating with the two SIIL consortia, research sub-award projects, capacity building, knowledge sharing, and strategies for addressing gender issues should be described. Provide the management and staffing plan. Provide a narrative description referring to the results framework with clear indicators of measuring project results Describe expected impacts and how they will be measured Provide a timeline of activities over the 4-year life of the project Provide a summary budget sheet for the project lead institution and all project partners that will receive funding. The format specified by SIIL must be used. Provide a one-page justification/explanation of budget expenditures List references used in the CN narrative In one page, provide a description of the qualifications of the PIs at the project lead institution and for all relevant project partners Provide the CV for each PI/collaborator whose participation is described in the CN

9 The total page length of the CN, excluding title page, one-page summary budget, one-page budget justification, reference list, PI qualifications, and CVs, is 5 pages. Assemble all sections of the CN into a single file and convert to a single pdf file for submission. The sections should appear in the following order: title page, executive summary, narrative description, anticipated results, expected impacts, activity plan, budget, budget justification, references, PI qualifications, and relevant CVs. 9. Selection Process The SIIL Director and a Technical Advisory Committee will review and score all proposals according to the following criteria. Input may be sought from ad hoc reviewers, host country institutions, USAID Missions, and other relevant development organizations in making the final selection. Criteria Potential Score Technical Merit, Including Management and Staffing 35 Alignment with Target Country(ies) Research Priorities and SIIL 20 Goals and Objectives Human and Institutional Capacity Development 20 Knowledge Sharing and Outreach Activities 10 Gender Programming 10 Monitoring and Evaluation Activities 5