Call for Proposals 2009 - EuropeAid/128500/C/ACT/Multi  Guidelines for Applicants

Deadline for submission of Applications: 06/11/2009

European Commission

Food Security Thematic Programme (FSTP)

Component 1 – Research and Technology

2009-2010 Global Programme on Agricultural Research for Development (ARD)

Open Call for Proposals 2009

Guidelines for grant applicants

Budget line 21.02.01 for Food Security

Reference: EuropeAid/128500/C/ACT/Multi

Deadline for submission of Applications:

06/11/2009

Notice

Evaluation grids and applications forms have been modified under this call so as to give more weight to relevance in the Concept Note evaluation. Relevance will therefore constitute the major criterion in pre-selection. Relevance will not be evaluated again when assessing the Full Application. It is therefore of utmost importance that applicants use the correct application form for this call.

Prior registration by applicants and partners in EuropeAid's on-line database, PADOR, is obligatory under the present call for proposals (see section 2.2 below for details).

This is an open Call for Proposals. Applications must include both a Concept Note and a Full Application Form. In the first instance, only the Concept Notes will be evaluated. Thereafter the Full Application Forms corresponding to the pre-selected Concept Notes will undergo evaluation.

The eligibility conformity check will be performed for the full applications that are provisionally selected. This check will be undertaken on the basis of the supporting documents requested by the European Commission and the "Declaration by the applicant" signed and sent together with the application.

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Call for Proposals 2009 - EuropeAid/128500/C/ACT/Multi  Guidelines for Applicants

Deadline for submission of Applications: 06/11/2009

Table of contents

1.GENERAL information on The 2009-2010 Global Programme on Agricultural Research for Development (ARD):

1.1Background......

1.2Objectives of the programme and priority issues......

1.2.1 Objectives of the Research and Technology / Global Subcomponent

1.2.2 Objectives, expected results, indicators and priorities of this Call for Proposals

1.3Financial allocation provided by the European Commission......

2.Rules for this call for proposals

2.1Eligibility criteria......

2.1.1.Eligibility of applicants: who may apply

2.1.2.Partnerships and eligibility of partners

2.1.3.Eligible actions: actions for which an application may be made

2.1.4.Eligibility of costs: costs which may be taken into consideration for the grant

2.2How to apply and the procedures to follow......

2.2.1Grant Application form

2.2.2Where and how to send the Applications

2.2.3Deadline for submission of Applications

2.2.4Further information for applicants

2.3Evaluation and selection of applications......

2.4Submission of supporting documents

2.5 Notification of the European Commission’s decision

2.5.1 Content of the decision

2.5.2 Indicative time table

2.6Conditions applicable to implementation of the action following the European Commission's decision to award a grant

3.LIST OF annexes

  1. GENERAL information on The 2009-2010 Global Programme on Agricultural Research for Development (ARD):

The information in section 1 is extracted from the corresponding Action Fiche of the Annual Action Programme 2009, approved by Commission decision in May 2009 and accessible online at:

1.1Background

The European Commission (EC) is firmly committed to the achievement of the Millennium Development Goals (MDGs) by the year 2015. The agricultural sector plays a crucially important role in the achievement of these aims. The links of agriculture with food security are particularly important, as the number of undernourished people is still very high. Food insecurity is often exacerbated by conflicts and political instability, but increasingly regional agricultural marketing and food price developments become more and more important.

Agriculture Research for Development (ARD) is a multi-dimensional research that addresses the agricultural development challenges of developing and emerging countries. The agricultural domain includes crop production and animal husbandry, agro-forestry, fisheries and aquaculture, agribusiness and related enterprises, animal and human health related issues, as well as the sustainable management of the natural sources on which farming depends and the socio-cultural and bio-diverse landscapes, food systems and ecologies in which it is embedded. ARD provides technological, economic and institutional knowledge and innovations contributing to sustainable development. It encompasses research of a national and international public goods , as well as research that yield private gains.

In the "Thematic Strategy Paper" and the "Multi-annual Indicative Programme 2007-2010" ( of the Food Security Thematic Programme (FSTP), and in particular its strategic priority 1 on research and technology, the EC recognises the importance of investing in the provision of international public goods contributing to food security and in particular in the field of research and technology. As defined by the International Task Force on Global Public Goods, international public goods address issues that: i) are important to the international community, ii) cannot, or will not, be adequately addressed by individual countries acting alone, and therefore iii) are addressed collectively on a multilateral basis, by both developed and developing countries.

The Multi-annual Indicative Programme's componenton research and technology has two dimensions or subcomponents: (i) Global, which builds on a long-established cooperation with the Consultative Group on International Agricultural Research for Development (CGIAR), and opens up to new global partners to improve outreach and the impact of research and (ii) Continental or Sub-regional.

1.2Objectives of the programme and priority issues

1.2.1 Objectives of the Research and Technology / Global Subcomponent

The present action is specifically related to the FSTP component "Supporting the delivery of international public goods contributing to food security: research and technology", subcomponent Global and is targeting global public goods in the field of agricultural research, to be provided by organisations other than Centres of the CGIAR. It is complementary to other actions of the FSTP as well as the Framework Programme 7-Food, Agriculture, Fisheries, and Biotechnology Thematic (FP7-FAFB) of the EC, as well as to actions of EU member states.

Overall objective:

The overall objective of the programme is agricultural innovation for smallholder farmers in developing countries for food security, in the context of impact and adaptation to climate change and in favour of economic development.

1.2.2 Objectives, expected results, indicators and priorities of this Call for Proposals

a) Objectives:

Each proposal should address one of the six priorities of this programme:

  1. "Conservation agriculture" (based on Agroecology) to combat land degradation in dry land areas: increase productivity based on improved soil fertility and more efficient use of labour and other resources;
  1. Innovation systems involving smallholder farmers and traditional knowledge in developing countries: improve productivity through better use of knowledge by smallholder farmers;
  1. Empowering smallholder farmers in the access to markets: enable farmers to generate cash income from selling produce at markets leading to greater stability of income and increased agricultural production diversity;
  1. Risk management in family agriculture in developing countries: make farmers less vulnerable to disaster through improved management of risks at local and regional levels;
  1. Agricultural diversification (high value crops, organic agriculture, and underutilized species): increase farmer income and improve food security through the introduction of high-value crops;
  1. Control of endemic neglected diseases and zoonoses affecting livestock production and human health in developing countries: improvement and/or development of new and more effective tools.

In addition to the overall objective of the programme defined above, each proposal should address all the following objectives unless duly justified:

  1. To generate research results (international public goods) onthe six prioritiesabove which will enable policies meant to improve the food security of smallholder farmers;
  2. To create critical masses of research able to answer at least one of these priorities, drawing, in first place, on developing countries research capacities, and also on European research capacities, in order to help generate sustainable bi-regional research partnership;
  3. To ensure that research results, in relevant contexts, are to be implemented in at least 3 developing countries;
  4. To create suitable conditions for dissemination of research results to smallholders;
  5. To improve the exchange of information, experience and knowledge, through scientific and producers' associations networks and (multi)stakeholder platforms;
  6. To enhance the link between agricultural research and extension programmes, research capacity and institution building, responding to beneficiaries’ needs.

All proposals should clearly explain how the actions of applied research proposed would contribute to the Call objectives, and address the priority under which they are proposed. The specific needs and impacts on the countries/regions chosen for implementation and dissemination should be demonstrated.

b) Expected results:

As explained in more length in the guidelines on ARD issued by the EC services in 2008[1], each project should provide (totally or partially)the following expected results:

  • Global public goods in the field of agricultural research delivered and applied in relevant context in at least 3 developing countries;
  • Pro-poor scientific, technological innovations and policies options delivered;
  • Understanding of major cross-cutting issues affecting food security – Climate change is particularly relevant to this programme but also gender, good governance, human rights, HIV/AIDS and environmental sustainability enhanced;
  • New and sustainable south/south and north/south partnerships between research organisations and other organisations created;
  • Link between agricultural research and extension programmes, research capacity and institution building, responding to beneficiaries’ needs developed and enhanced;
  • Active participation of low-income smallholder farmers, as the main beneficiary, as well as other civil society and private actors, in research/extension programmes and policy dialogue on food security issues enhanced; exchange of information, experience and knowledge, through scientific and producers' associations networks and (multi)stakeholder platformsimproved;
  • Systematic introduction of an "innovation system approach" in ARD activities promoted;
  • Development of the innovation capacities of ARD actors in developing countries lead to a better linkage between ARD activities supported by the EC and their rural development enhancing contextpromoted.

c) Indicators:

Actions will be selected, inter alia, on the basis of their expected results and potential effectiveness. Each proposal must therefore have its objectively verifiable indicators which should cover outputs, outcomes and impact. The indicators must be "SMART": Specific to the objective they are supposed to measure, Measurable (either quantitatively or qualitatively), Available at an acceptable cost, Relevant to the information needs of managers and Time-bound. The proposal should include a clear logframe and delivery strategy showing how the expected results will benefit the food insecure and how the project will contribute toward that outcome.

The major overall indicator of the programme is successfully completed research projects, with results disseminated and in use by the corresponding target group.

Further indicators will measure:

  • Number of dissemination actions;
  • Number of final research results and new technologies applicants;
  • Number of interactions with policy makers, CSOs, the research community, farmers and other producer organisations and other stakeholders.

If relevant, other specific indicators may be added.

d) Partnership

Applicants having the nationality[2] of a beneficiary country of the actionmay act individually or in partnership as defined in section 2.1.2. However, priority will be given to actions where applicants act in partnership with at least another organisation. Applicants having the nationality of a European Economic Area (EEA) Member State[3] or of a country eligible under the reciprocal access rulesmust act in partnership with one or more local organisations having the nationality of the beneficiary country or countries where the action will be implemented.

Adherence to the minimum requirements regarding partnership will be assessed both at Concept Note and Full Application stage (see section 2.3 below – Concept Note evaluation grid, point 1.1 and Full application evaluation grid, point 3.4).

1.3Financial allocation provided by the European Commission

The overall amount made available under this Call for Proposals is EUR 5,000,000 from the 2009 budget, adopted by Commission Decision on 8th May 2009 as foreseen by the relevant financing decision (2009 Annual Action Programme for Food Security). Subject to the decision of the Budgetary Authority and subsequent Commission Decision, an additional amount in the order of EUR18000 000will be allocated to this Call for Proposals from the 2010 budget.

Where the indicative financial envelope foreseen for this Call for Proposals cannot be used due to insufficient quality or number of proposals received, the Contracting Authority reserves the right not to award all available funds and to reallocate the remaining funds to another Call under the Development Cooperation Instrument. Similarly, remaining funds from other Calls under this instrument may be reallocated to the present Call.

Size of grants

Any grant awarded under this Call for Proposals must fall between the following minimum and maximum amounts:

Minimum amount: EUR 1,500,000

Maximum amount: EUR 3,000,000

Moreover, a grant may not exceed 90% of the total eligible costs of the project (see also Section 2.1.3). However, the maximum EC contribution may not exceed 50% of the total eligible costs of the project when the proposals are submitted by:

  • Private sector organisations;
  • Financial institutions that grant, promote and finance private investment in the partner countries and regions;
  • Public and parastatal bodies, local authorities and consortium or association of Local Authorities, , having an eligible nationality (see section 2.1.1), other than those entities having the nationality of one of the possible beneficiary countries listed in Annex K and universities and research centres.

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.

In exceptional cases, full financing of the total eligible costs may be applied where such full financing is deemed essential to carry out the action in question. The Applicant must justify any such request in Part B, Section II.2 of the Grant Application Form and the validity of the justification provided will be examined during the evaluation procedure.

Funding of the priorities

It is the intention to provide broadly equal funding to each of the six priorities.

  1. Rules for this call for proposals

These guidelines set out the rules for the submission, selection and implementation of actions financed under this call, in conformity with the provisions of the Practical Guide to contract procedures for EC external actions (PRAG).

The majority of terms used in the present guidelines are explained in the Glossary to the Practical Guide to contract procedures for EC external actions.

The afore-mentioned Practical Guide and the Glossary can be consulted at the following Internet address:

In addition, the following definitions apply:

Partnershipthe grouping of organisations, i.e. the applicant and its partners, for the purpose of implementing the proposed action

Applicantthe organisation responsible for submitting the application

Partnermemberorganisation of the partnership other than the applicant

Associateorganisation that plays an active role in the action but which cannot benefit from funding under the grant

Subcontractororganisation contracted by the beneficiary in accordance with the appropriate procedures in order to execute specific tasks in implementing the action

Re-granting financial support that may be given to third parties by the beneficiary of the Community grant where the implementation of the action so requires, subject to the conditions laid down in Articles 120 of the Financial Regulation and 184a of the Implementing Rules of the Financial Regulation[4]

2.1Eligibility criteria

There are three sets of eligibility criteria, relating to:

  • organisations which may request a grant (2.1.1), and their partners (2.1.2),
  • actions for which a grant may be awarded (2.1.3),
  • types of cost which may be taken into account in setting the amount of the grant (2.1.4).

2.1.1.Eligibility of applicants: who may apply

(1) In order to be eligible for a grant, applicants must:

  • be legal persons and
  • be nationals[5] of one of the member states of the European Economic Area(EEA)[6], one of the official EU candidate countries[7], or an eligible partner country as listed in AnnexK as well as other developing countries specified in the OECD/Development Assistance Committee (OECD/DAC) list.

Furthermore, for proposed actions taking place exclusively in the least developed countries as defined by the OECD/DAC[8]reciprocal access shall be granted to OECD/DAC members[9]; and

  • be directly responsible for the preparation and management of the actions, not acting as an intermediary.

NB:International Research Centres belonging to the CGIAR[10]and their challenge programmes and system-wide programmes are ineligible as applicants or partners in this Call. They may however act as associates.

(2) Potential applicants may not participate in Calls for Proposals or 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 Internet address indicated at the beginning of the section 2).

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.

2.1.2.Partnerships and eligibility of partners

Requirements with regard to partnership are indicated under section 1.2.2 above.

Partners

Applicants’ partners participate in designing and implementing the action, and the costs they incur are eligible in the same way as those incurred by the grant beneficiary. They must therefore satisfy the same eligibility criteria as applicants.

Where the applicant does not propose partners or associates, he must provide due justification that will be evaluated when awarding the score for sub-section 3.4 of the Full Application Form evaluation grid.

The following are not partners and do not have to sign the “partnership statement”.

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.