Handout/Worksheet Package Responding to RFPs Writing...

Responding to RFPs—

Writing Effective Proposals

Handout/Worksheet Package

GEF-IWCAM Training Workshop

Responding to RFPs— Writing Effective Proposals

Prepared and Presented by

The Write Source, Inc.

March 7-10, 2011 Antigua and Barbuda

Permission is granted to duplicate materials for non-commercial, non-profit purposes only provided acknowledgement

is given. All other rights are reserved. 1

Table of Contents

Pretest………………………………………………………………………….page 2

Day 1: Research Methods and Techniques………………………….page 6

Day 2: Effective Proposal Writing Techniques……………………..page 52

Day 3: RFP / Solicitation Analysis…………………………………….page 77 Day 4: Organizing, Formatting and Writing the Proposal……….page 102



Pretest



Pretest

Circle the correct answer(s) 1. This is a simple pretest/pretext/protest to point out the importance of using the correct word, proper grammar, and appropriate punctuation.

2. If you offer me free tickets I will gladly accept/except them—accept/except for the ―Lawrence Welk Revisited‖ ones.

3. You need to collect information twice a month and prepare a report every other month. Circle the correct word choice: The reports are due

bimonthly/semimonthly so make sure you get everyone‘s input bimonthly/semimonthly to avoid a last minute rush.

4. He gave the extra input on a complementary/complimentary basis. We welcomed his contribution because it complemented/complimented the information in our grant proposal.

5. There are several ―voices‖ that may be used in a proposal, e.g./i.e. passive, active, and aggressive.

6. The group was/were finally on the bus. It took quite some time to get the bus loaded because the group was/were in disagreement about their seat assignments.

7. Our office has a really slow Internet/internet connection, but the Intranet/intranet is quite fast.

8. The computer program/programme seems to be degrading the computer‘s

performance.

9. What is the correct word usage here? It‘s all the same difference to me.

10. The spread of pollution in the watershed is systemic/systematic. We need a clean up approach that is systemic/systematic if we are to ever have truly clean water again.



Pretest

Correct answer(s)

1. This is a simple pretest/pretext/protest to point out the importance of using the correct word, proper grammar, and appropriate punctuation.

Answer: pretest. The words sound similar but have very different meanings… spell-checker won‘t catch the error.

2. If you offer me free tickets I will gladly accept/except them—accept/except for the ―Lawrence Welk Revisited‖ ones.

Answers: accept, then except. Just remember that the ―x‖ in ―except‖ excludes

things—they tend to stand out, be different.

3. You need to collect information twice a month and prepare a report every other month. Circle the correct word choice: The reports are due bimonthly/semimonthly so make sure you get everyone‘s input bimonthly/semimonthly to avoid a last minute rush.

Answers: bimonthly, then semimonthly. A bimonthly event occurs every two months and a semimonthly one occurs twice a month.

4. He gave the extra input on a complementary/complimentary basis. We welcomed his contribution it because it complemented/complimented the information in our grant proposal.

Answers: complimentary, then complemented. Something that is ―free,‖ or freely given, or gratuitous is complimentary. If things ―go together‖ or enhance one another they are complementary.

5. There are several ―voices‖ that may be used in a proposal, e.g./i.e. passive, active, and aggressive.

Answer: It‘s best to use ―for example‖ or ―that is‖ instead of e.g. or i.e. When you mean ―for example,‖ use e.g. It is an abbreviation for the Latin phrase exempli gratia. When you mean ―that is,‖ use ―i.e.‖ It is an abbreviation for the Latin phrase id est.

6. The group was/were finally on the bus. It took quite some time to get the

bus loaded because the group was/were in disagreement about their seat assignments.

Answers: was, then were. When the group is being considered as a whole, it can be treated as a single entity, but when the individuality of its members is being emphasized, ―group‖ is plural.

7. Our office has a really slow Internet/internet connection, but the Intranet/intranet is quite fast.

Answers: Internet, then intranet. Internet is a proper name so the word needs to be capitalized. However, intranet is a generic term.

8. The computer program/programme seems to be degrading the computer‘s performance.

Answer: program. In all computer-related contexts, the UK standard spelling is like the US one: ―program.‖



9. What is the correct word usage here? It‘s all the same difference to me.

Answer: same. This is a slang expression that doesn‘t belong in proposal writing.

10. The spread of pollution in the watershed is systemic/systematic. We need a clean up approach that is systemic/systematic if we are to ever have truly clean water again.

Answer: systemic/systematic. Systemic is a scientific and technical term referring to parts of a body or system. Systematic means logical, planned, or orderly.



Effective Grant Proposal Writing

Day 1: Research Methods and Techniques



Handout #1: Search String/Parameter Results

1. Watershed Caribbean grant

http://www.ustr.gov/trade-topics/trade-development/preference-programs/caribbean-basin-initiative-cbi

The first page had several interesting results including the Office of the United States Trade Representative for the Caribbean Basin Initiative (CBI). Here is the text on the first page of the website:

The trade programs known collectively as the Caribbean Basin Initiative (CBI) remain vital elements in U.S. economic relations with our neighbors in Central

America and in the Caribbean. The CBI is intended to facilitate the economic development and export diversification of the Caribbean Basin economies.

Initially launched in 1983, through the Caribbean Basin Economic Recovery Act (CBERA), and substantially expanded in 2000 through the U.S.-Caribbean Basin Trade Partnership Act (CBTPA), the CBI currently provides beneficiary countries with duty-free access to the U.S. market for most goods.

The CBTPA entered into force on October 1, 2000, and continues in effect until September 30, 2010, or the date, if sooner, on which a free trade agreement as described in legislation enters into force between the United States and a CBTPA beneficiary country. There are currently 18 CBERA beneficiary countries:

Antigua and Barbuda Aruba The Bahamas Barbados Belize British Virgin Islands Dominica Grenada Guyana Haiti Jamaica

Montserrat Netherlands Antilles Panama St. Kitts and Nevis St. Lucia St. Vincent and the Grenadines Trinidad and Tobago

Eight of these 18 are also beneficiaries under CBTPA:

Barbados Belize Guyana Haiti Jamaica Panama St. Lucia



Trinidad and Tobago 2. Wildlife watershed preservation grant

This one led to the National Science Foundation Ocean Acidification grant example in Handout #9…by refining and clicking through several websites. 3. European Union

Search string: European Union grant funding Caribbean watershed 2011

This led to a series of results including:

The Terra Viva Grants site: http://www.terravivagrants.org/Home/funding-

news/application-deadlines-2/april-2011

The University of the West Indies: http://www2.sta.uwi.edu/officeofresearch/resfunding.asp

The National Fish and Wildlife site: http://www.nfwf.org/AM/Template.cfm?Section=Charter_Programs_List&Template=/TaggedPage/TaggedPageDisplay.cfm&TPLID=61&ContentID=13554

The Nature Conservancy: http://www.nature.org/aboutus/howwework/conservationmethods/conservationfunding/

Critical Ecosystem Partnership Fund: http://www.cepf.net/where_we_work/regions/CaribbeanIslands/ecosystem_profile/Pages/assessment_current_investment.aspx

4. Specifically for NGOs

http://www.fundsforngos.org/latest-funds-for-ngos-5

5. YOUR Search Ideas

Work with the other people at your table to come up with three more search strings, do the search, and list the most promising web sites below:

___________________________________________________________________

___________________________________________________________________

___________________________________________________________________

___________________________________________________________________

___________________________________________________________________

___________________________________________________________________

___________________________________________________________________

___________________________________________________________________

___________________________________________________________________

http://www.terravivagrants.org/Home/funding-news/application-deadlines-2/april-2011

http://www.terravivagrants.org/Home/funding-news/application-deadlines-2/april-2011

http://www2.sta.uwi.edu/officeofresearch/resfunding.asp

http://www.nfwf.org/AM/Template.cfm?Section=Charter_Programs_List&Template=/TaggedPage/TaggedPageDisplay.cfm&TPLID=61&ContentID=13554

http://www.nfwf.org/AM/Template.cfm?Section=Charter_Programs_List&Template=/TaggedPage/TaggedPageDisplay.cfm&TPLID=61&ContentID=13554

http://www.nature.org/aboutus/howwework/conservationmethods/conservationfunding/

http://www.nature.org/aboutus/howwework/conservationmethods/conservationfunding/

http://www.cepf.net/where_we_work/regions/CaribbeanIslands/ecosystem_profile/Pages/assessment_current_investment.aspx

http://www.cepf.net/where_we_work/regions/CaribbeanIslands/ecosystem_profile/Pages/assessment_current_investment.aspx

http://www.fundsforngos.org/latest-funds-for-ngos-5



Handout #2: Sample Funding Sources

1. Search Parameter: UNESCO grant

http://www.terravivagrants.org/Home/view-grant-makers/international-organizations/united-nations-educational--scientific--and-cultural-organization

Interests in the International Green Sector

Natural Sciences Theme

Water Sciences: UNESCO is among the multiple UN agencies to engage in programs for water, both freshwater and oceans. For decades, UNESCO has supported the International Hydrological Program for international water research, water management, education, and capacity building. UNESCO is a part of the World Water Assessment Program (with 21 other UN agencies and affiliates). A number of other UNESCO initiatives in water sciences are explained on its Water Portal.

Intergovernmental Oceanographic Commission (IOC): This body of UNESCO assists member governments to address ocean and coastal issues through the sharing of knowledge, information, and technology.

People, Biodiversity, and Ecology: UNESCO‘s mandate includes biodiversity science, policy, and training. The Man and the Biosphere Program (MAB) seeks to innovate and demonstrate approaches that promote conservation with sustainable development. MAB‘s world network of biosphere reserves has grown to 533 sites in 107 countries.

Earth Sciences: This area of UNESCO refers to geosciences, global earth observation, and geological applications (e.g., related to groundwater, natural hazards, climate change, and others). The International Geoscience Program (IGCP) facilitates international collaboration in research on geological problems, particularly through partnerships between scientists in the developing countries with scientists in the industrialized countries.

Basic Sciences and Engineering: Included in this division is the theme of sustainable and renewable energy. UNESCO invests in awareness raising, capacity building, and technology transfer in renewable energy -- particularly in solar power.

Science Policy and Sustainable Development: UNESCO works to advance the development of science policy, to provide guidance on national policy reforms, and to foster regional and international cooperation in science. This includes a platform for Sustainable Development in Coastal Regions and Small Islands.

2. Search parameter: USAID grant

USG Organizations Involved in Overseas Assistance






The following is a comprehensive list of all U.S. Government organizations that have funded foreign assistance projects in Fiscal Year 2008.

African Development Foundation Department of Agriculture

Agricultural Research Service Animal, Plant and Health Inspection Service Cooperative State Research Education and Extension Service Emerging Markets Program Food Safety and Inspection Service Foreign Agricultural Service Forest Service

Department of Commerce Commercial Law Development Program International Trade Administration National Institute of Standards and Technology National Oceanic and Atmospheric Administration Patent and Trademark Office

Department of Defense Army Corp of Engineers Defense Security Cooperation Agency Defense Threat Reduction Agency Department of Defense HIV/AIDS Prevention Program Office of Counternarcotics

Department of Energy National Nuclear Security Administration

Department of Health and Human Services Bureau for Global Health Centers for Disease Control and Prevention Food and Drug Administration Office of Global Health Affairs Substance Abuse and Mental Health Services Administration

Department of Homeland Security U.S. Customs and Border Protection

Department of Interior Office of Insular Affairs U.S. Fish and Wildlife Service

Wetlands Conservation Department of Justice

Drug Enforcement Administration Federal Bureau of Investigation International Narcotics and Law Enforcement Affairs Overseas Prosecutorial Development Assistance and Training

US Marshals Service Department of Labor

Bureau of International Labor Affairs Department of State

African Affairs Educational and Cultural Affairs Counterterrorism Coordinator Democracy, Human Rights, and Labor East Asian and Pacific Affairs



Intelligence and Research International Information Programs International Narcotics and Law Enforcement Affairs International Security and Nonproliferation National Endowment for Democracy Near Eastern Affairs Oceans and International Environmental and Scientific Affairs Office of Counternarcotics Political-Military Affairs Population, Refugees, and Migration Public Affairs Trafficking in Persons

Department of Transportation Federal Aviation Administration Federal Highway Administration National Highway Traffic Safety Administration Office of the Secretary of Transportation

Department of the Air Force Defense Security Cooperation Agency

Department of the Army Army Corp of Engineers

Department of the Navy Department of Treasury

Office of Technical Assistance Environmental Protection Agency

Office of Air and Radiation Office of Enforcement and Compliance Assurance Office of International Affairs Office of Pollution Prevention and Toxic Substances Office of Research and Development Office of Solid Waste and Emergency Response Office of the Administrator

Export-Import Bank of the United States Federal Trade Commission Inter-American Foundation Millennium Challenge Corporation

National Science Foundation Open World Leadership Center Overseas Private Investment Corporation Peace Corps Trade and Development Agency U.S. Agency for International Development United States Institute of Peace United States Postal Service



Handout #3: Meeting Funder‘s Objectives

Focus of funding: Improving sea turtle habitat

Funding range: USD 25,000 to 100,000

50% in-kind or other funding

Deadline for proposals: 1 May 2010

Eligible organizations: NGOs, governments, universities

Your organization‘s goal is general watershed improvements, but sea turtles are affected by the runoff and resulting water degradation. What should you do to qualify? You are seeking USD 250,000 in funding. What should you do? You are seeking USD 10,000 in funding. What should you do? You have limited staff and depend on supplemental donations, funding, and volunteers to provide support services. How should you approach the ‗in-kind‘ requirement? You want to submit a proposal but aren‘t sure you can meet the deadline? What

are your options? You are an NGO but are closely affiliated with a for-profit company that supplies much of your funding. How should you handle this?



Handout #4: Bid/No-Bid Decision Tree

Fff Review RFP

D We meet basic RFP criteria

D We don’t meet basic criteria

D No bid

D Funding is adequate

F Funding is inadequate

100% compliant

Not 100% compliant

No bid

No bid

Bid



Handout #5: Your Basic Bid/No Bid Decision Tree

No Bid

No Bid

No Bid

No Bid

No Bid

BID



Handout #6: Sample Proposal Checklist

□ Submitted by due date

□ Proposal includes:

□ Title page

□ Executive Summary

□ Statement of Need/Purpose/Mission

□ Project Description

□ Budget

□ Organisational Description

□ Conclusion

□ Compliant with page count and other restrictions

□ Required copies or electronic format



Handout #7: Conservation International—Supporting Communities

Since its inception in 1987, Conservation International has worked to benefit humanity by conserving the Earth‘s biodiversity – the species and ecosystems that are our natural heritage. We believe that maintaining healthy ecosystems and the services they provide is the foundation for healthy human societies that thrive on sustainable economic development.

CI works in biodiversity hotspots, high-biodiversity wilderness areas and seascapes in more than 40 countries. These regions of the planet‘s richest biodiversity also are home to indigenous and local communities that directly depend on healthy ecosystems for their clean water, food, fuel, clothing, medicine and shelter. When

soaring human consumption and impact depletes those resources, everything and everyone suffer. By partnering with these local inhabitants and other stakeholders – from international organizations and national governments to grassroots groups – CI strives to achieve the multiple benefits of empowering indigenous and local communities to conserve essential resources and strengthening the fundamental role of biodiversity conservation in providing sustainable livelihoods.

IN DEPTH: Read stories of CI's community partnerships and successes.

In 2003, CI created the Indigenous and Traditional Peoples Program (ITPP) to continue to strengthen our commitments to indigenous and traditional peoples and support the vital role of their territories in conservation landscapes. Guided by CI‘s ―Principles for Partnership,‖ ITPP works directly with CI programs and partners, local leaders, communities, conservationists, indigenous organizations and other critical players to build a common agenda for the conservation of biological and cultural diversity at local, national and international scales. The program‘s activities strengthen the collaboration of these groups and expand the abilities of communities to effectively manage their lands and resources while also maintaining their livelihoods and their natural and cultural patrimony.

READ MORE: Growing Opportunity

Overall, CI‘s partnerships cover a broad spectrum of actions and achievements. We

support efforts by indigenous groups to gain legal designation and management authority over ancestral lands and their resources. We help communities enhance their capacity to manage those areas to conserve the biodiversity and ecological processes on which they depend. We join international partners in the Critical Ecosystem Partnership Fund and other mechanisms that support projects promoting biodiversity conservation and human well-being. We partner with communities to support the sustainable and traditional uses of medicinal plants and animals, and provide needed economic resources that help promote conservation efforts on the ground. We enter conservation agreements with national authorities and local resource owners who protect natural ecosystems in exchange for a steady stream of structured benefits. Throughout CI, all of our work emanates from our guiding principles of helping people through conservation.

http://www.conservation.org/discover/welbeing

http://www.conservation.org/discover/welbeing

http://www.conservation.org/learn/biodiversity/species

http://www.conservation.org/explore/priority_areas/Pages/hotspots.aspx

http://www.conservation.org/explore/priority_areas/wilderness/Pages/default.aspx

http://www.conservation.org/explore/priority_areas/oceans/Pages/default.aspx

http://www.conservation.org/learn/culture/communities/Pages/successes.aspx

http://www.conservation.org/learn/land

http://www.conservation.org/FMG/Articles/Pages/growing_opportunity_madagascar.aspx

http://www.cepf.net/


http://www.conservation.org/learn/culture/communities/Pages/incentives.aspx



Handout #8: Extracts from www.cepf.net Grants Section

ELIGIBILITY

Our grant decision-making process is based on the evaluation of proposals in accordance with the objectives and strategies of CEPF, including the relevant ecosystem profile.

Proposals that target direct global environmental benefits and meet the following eligibility criteria are welcome:

Project is located in an approved biodiversity hotspot Project is located in a country that is not excluded by law Project supports a strategic direction outlined in the relevant CEPF

ecosystem profile and investment strategy Grant applicant is authorized under relevant national laws to receive charitable contributions

Government-owned enterprises or institutions are eligible only if they can establish i) that the enterprise or institution has a legal personality independent of any government agency or actor, ii) that the enterprise or institution has the authority to apply for and receive private funds, and iii) that the enterprise or institution may not assert a claim of sovereign immunity

Grant will not be used for the purchase of land, involuntary resettlement of people, or activities that negatively affect physical cultural resources, including those important to local communities

Grant will not be used for activities adversely affecting Indigenous Peoples or where these communities have not provided their broad support to the project activities

Grant will not be used to remove or alter any physical cultural property (includes sites having archeological, paleontological, historical, religious, or unique natural values)

Proposed activities observe all other relevant safeguard and social policies

We will not award grants for $1 million and above.

In addition, we encourage proposals that demonstrate the following characteristics:

Existence of co-financing or the ability to leverage additional funds Demonstration of coordination with other organizations to reduce

duplication of efforts Existence of partnerships or alliances with one or more other organizations Endorsements from other recognized agencies or authorities Transnational or regional projects Clear plans for continuation and/or replication after initial CEPF funding Support Indigenous and local communities in community-based or co-

management activities for biodiversity conservation and actions that enhance local communities‘ tenure and resource use rights


http://www.cepf.net/grants/Pages/safeguard_policies.aspx



HOW TO APPLY

If support is available for the region where you wish to apply for a grant, the first step is to thoroughly review the investment strategy included in the relevant ecosystem profile. Every grant awarded helps implement one of the strategic directions in the strategy included in the profile.

Applicants should also review our application guidelines below and any specific announcement of grant availability.

The next step for all applicants is to submit a letter of inquiry about the work being proposed.

For proposals requesting $20,000 or less, the letter of inquiry constitutes the full proposal. If a letter of inquiry requesting more than $20,000 is recommended for award, the applicant will be notified and invited to submit a full project proposal.

When funding is available:

All letters of inquiry for grants of more than $20,000 should be sent by e-mail to [email protected].

Project Database

We have supported more than 1,500 nongovernmental and private sector partners working to conserve Earth's biodiversity hotspots. Each grant awarded is an integral part of a regional investment strategy and helps meet a specific strategic direction from that strategy. Our Project Database includes summaries of all the grants awarded to date and also news, publications and other resources related to individual grants.

mailto:[email protected]



The Secretariat of the African, Caribbean and Pacific Group of States (ACP Secretariat)

ACP Caribbean & Pacific Research Programme for Sustainable Development

Guidelines for grant applicants

10th European Development Fund

Reference: EuropeAid/130381/D/ACT/ACP

Deadline for submission of proposals: 31st January 2011

NOTICE

This is an open Call for Proposals, where all documents are submitted at one stage (Concept Note and full proposal). However, in the first instance, only the Concept Notes will be evaluated. Thereafter, for the applicants whose Concept Notes have been pre-selected, evaluation of the full proposal will be carried out. Further to the evaluation of the full proposals, an eligibility check will be performed for those which are provisionally selected. This check will be undertaken on the basis of the supporting documents requested by the Contracting Authority and the signed "Declaration by the Applicant" sent together with the application.



TABLE OF CONTENTS

1. ACP Caribbean & Pacific Research Programme for Sustainable Development 21 1.1 Background 21 1.2 Objectives of the programme and priority issues 21 1.3 Financial allocation provided by the contracting authority 22

2. Rules FOR thIS call for proposalS 24 2.1 Eligibility criteria 24

2.1.1 Eligibility of applicants: who may apply? 24 2.1.2 Partnerships and eligibility of partners 25 2.1.3 Eligible actions: actions for which an application may be made 26 2.1.4 Eligibility of costs: costs which may be taken into consideration for the grant

29 2.2 how to apply and the procedures to follow 31

2.2.1 Application form 31 2.2.2 Where and how to send the Applications 31 2.2.3 Deadline for submission of Applications 32 2.2.4 Further information for the Application 33

2.3 Evaluation and selection of applications 34 2.4Submission of supporting documents for provisionally selected applications 39 2.5 Notification of the Contracting Authority‘s decision 41

2.5.1 Content of the decision 41 2.5.2 Indicative time table 41

2.6 Conditions applicable to implementation of the action following the Contracting Authority's decision to award a grant 41

2.7 Early warning system and central exclusion database 42 3. LIST OF annexes 43



1. ACP CARIBBEAN & PACIFIC RESEARCH PROGRAMME FOR SUSTAINABLE DEVELOPMENT

1.1 BACKGROUND

This call for proposals for the Caribbean and Pacific regions is part of the ACP Research for Sustainable Development Programme.

The Programme is in line with the ACP-EU Partnership Agreement (―The Cotonou Agreement‖). Within its ‗Development Strategies‘ the Cotonou Agreement calls for the ―development of scientific, technological and research infrastructure and

services, including the enhancement, transfer and absorption of new

technologies‖1. It is also in line with the European Consensus on Development which states that the Community will increase its support to development-related

research.2

Caribbean and Pacific (C&P) countries are generally lagging behind in research and development. Many countries do not have R&D strategies or long-term research programmes. Research and innovation in targeted specific areas is critical for the attainment of sustainable development in ACP countries and in particular for Small Islands. The inclusion of science and technology in the thinking about sustainable development is imperative not only for these countries to become more resilient to adverse impacts of climate change but also to become self-sufficient and to meet the MDGs, in particular the ‗eradication of extreme poverty and hunger‘. Research is a horizontal issue to the extent that many poverty problems are also rooted in the absence of, or limited access to, knowledge and know-how.

The programme has been developed as complementary to other ACP and/or EU initiatives such as the EDULINK Programme, the ACP Science & Technology Programme and the FP7 Framework Programme for Research. It is further complemented by initiatives such as the ACP Water and Energy Facilities which, although not focused on research, provide capacity building as well as improved access to water and sanitation and to sustainable and affordable energy as well as by other bilateral and multilateral initiatives in research cooperation such as those sponsored for example by UNDP, CGIAR and ACIAR.

This programme will focus on support for research and innovation initiatives from ACP stakeholders. The targeted areas in the C&P countries to benefit from this new programme are Post-harvest and Agriculture, Renewable and Sustainable Energy, Water & Sanitation and Climate Change.

1.2 OBJECTIVES OF THE PROGRAMME AND PRIORITY ISSUES

1 Article 23 (j).

2 2005, The European Consensus on Development, § 35: “The EU is fully committed to taking action to

advance Policy Coherence for Development in a number of areas (…Trade, Environment, Climate change,

Security, Agriculture, Fisheries, Social dimensions of globalisation, Employment and decent work,

Migration, Research and innovation, Information, Transport and Energy).”



The Overall objective of this Call for Proposals is to contribute to sustainable development of Caribbean and Pacific countries belonging to the ACP Group of States through research in science and technologies.

The Specific objective of this Call for Proposals is to support research projects in the fields of agriculture and post harvest, renewable and sustainable energy, water and sanitation and climate change, that contribute to the fight against poverty in the target countries and improve their resilience.

Expected Results

Enhanced Food security and Food safety;

Better adapted renewable and sustainable energy technologies;

Improved integrated water resources and waste management;

Improved Climate Change adaptation and mitigation technologies.

Priority areas

(1) Agriculture and Post-harvest

(2) Renewable and sustainable energy

(3) Water and Sanitation

(4) Climate change

1.3 FINANCIAL ALLOCATION PROVIDED BY THE CONTRACTING AUTHORITY

The overall indicative amount made available under this call for proposals is EUR 4,800,000. The Contracting Authority reserves the right not to award all available funds.

Indicative allocation of funds

In order to ensure adequate geographical coverage, preference will be given to at least one proposal for each priority sector (see 2.1.3) in each of the two geographical regions (Caribbean/Pacific).

Size of grants

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

minimum amount: EUR 250,000.

maximum amount: EUR 500,000.

No grant may exceed 85 % of the total eligible costs of the action (see also section 2.1.4). The balance must be financed from the applicant's or partners' own



resources, or from sources other than the European Union budget or the European Development Fund.



2. RULES FOR THIS CALL FOR PROPOSALS

These guidelines set out the rules for the submission, selection and implementation of actions financed under this Call, in conformity with the provisions of the Practical Guide to contract procedures for EC external actions, which is applicable to the present call (available on the Internet at this address: http://ec.europa.eu/europeaid/work/procedures/implementation/index_en.htm).

2.1 ELIGIBILITY CRITERIA

There are three sets of eligibility criteria, relating to:

applicant(s) 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 persons3 and

have their headquarters in a country belonging to the ACP Group of States or the European Union and

be registered locally in (or have a ‗memorandum of understanding‘ with) a Caribbean or Pacific country belonging to the ACP Group of States prior to the publication of this call for proposals and

be able to demonstrate that they have been constituted and registered in accordance with the legislation in force in the country concerned at the time of the submission of an application and

have at least a three-year record in the formulation and/or implementation of activities in research development, for which they will have to demonstrate their relevant expertise and

be directly responsible for the preparation and management of the action with their partners, not acting as an intermediary and

be able to demonstrate their experience and capacity to manage activities corresponding in scale and complexity to those for which a grant has been requested and

3 Subject to the prior approval of the relevant services of the European Commission, grant applications may be eligible if

submitted by entities which do not have legal personality under the applicable national law, provided that their

representatives have the capacity to undertake legal obligations on their behalf, and assume financial liability.

http://ec.europa.eu/europeaid/work/procedures/implementation/index_en.htm



have stable and sufficient sources of finance to ensure the continuity of their organisation throughout the implementation of the proposed action.

Institutions from Cuba and the Overseas Countries and Territories (OCT) may only participate in projects as associates, and cannot be final beneficiaries of the project from EDF funds.

(2) 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 following Internet address: http://ec.europa.eu/europeaid/work/procedures/implementation/index_en.htm);

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

Partnerships

Applicants must operate within a partnership and act with partner organisations as specified hereafter. Established research networks and regional bodies are considered partnership in themselves if their composition meets the below criteria.

Composition of partnerships

Partnerships must involve at least two organisations. The number of Caribbean and/or Pacific partners in a partnership should be a majority. There is no upper limit to the number of members in a partnership. However, a partnership should be composed in such a way as to allow for the achievement of project objectives in the most efficient manner.

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 eligibility criteria as applicable to

the grant beneficiary himself, but don‘t have to be locally registered, without prejudice to applicable local legislation.

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.




Subcontractors

The grant beneficiaries have the possibility to award contracts to subcontractors. Subcontractors are neither partners nor associates, and are subject to the procurement rules set out in Annex IV to the standard grant contract.

The applicant will act as the lead organisation and, if selected, as the contracting party (the "Beneficiary").

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

Definition

An action (or project) is composed of a set of activities.

Duration

The planned duration of an action may not be lower than 12 months nor exceed 36 months.

Priority sectors

The Programme will fund at least 1 project in each of the following priority sectors in each of the two regions. Applicant should indicate which priority is primarily being addressed. Multi-sectoral projects are allowed.

Priority sector 1 - Agriculture and Post-harvest with the following thematic sub-areas:

Ensuring food security in the context of climate change;

Preserving and exploiting genetic resources and moving away from monoculture crop production;

Improving market access for agricultural products;

Identifying competitive, value-added, processed agricultural products;

Supporting agricultural research that incorporates environmental, energy and water sectors issues.

Priority sector 2 - Renewable and sustainable energy, with the following thematic sub-areas:

Overcoming barriers to domestic bio-fuel production;

Research to demonstrate how poverty can be reduced by local energy application;

Providing support for hybrid renewable technology research;

Identifying the right renewable energy mix;



Improving energy efficiency and energy conservation techniques.

Priority sector 3 - Water and Sanitation, with the following thematic sub-areas:

Integrated and locally adapted water resource management;

Climate change adaptation in the water and sanitation sectors;

Addressing the health impacts of water & sanitation;

Strengthening availability of data on water & sanitation.

Priority sector 4 - Climate change, with the following thematic sub-areas:

Increased support for climate change modelling and forecasting targeted to the Pacific and Caribbean Islands, without duplicating the work of other organisations;

Support for detailed coastal mapping that can predict and assist adaptation to coastal erosion and ground- and surface water fluctuations resulting from climate change and natural disasters.

Finding and developing areas of land-based resource management that can serve as both adaptation and mitigation tools (e.g. forest and land management and agriculture).

Addressing the impacts of climate change on water resources.



Location

Actions must take place in one or more Caribbean or Pacific country belonging to the ACP Group of States.

If part of the action takes place in another country, the beneficiaries must still be the ACP member States in the Caribbean or Pacific region.

Types of action

Regional research actions: actions proposed for funding should at least have regional scope and be of benefit for more than one country in the Caribbean and

/ or Pacific region.

Inter-regional research actions: actions proposed for funding may have inter-regional scope and provide benefits for countries in both regions.

Types of activity

The types of activity which may be financed as part of an action are, inter alia:

Research activities including data-collecting through desk research, stakeholders consultations and field visits and any other activity necessary for a proper implementation of the proposed research project;

Development and implementation of a proper management system for the proposed action;

Preparation and implementation of a communication and visibility plan (with the corresponding budget given in Annex B: Budget) in line with the communication and visibility manual for EU external actions: http://ec.europa.eu/europeaid/work/visibility/index_en.htm ;

Preparation and implementation of a M&E plan (with the corresponding budget given in Annex B: Budget) for monitoring the proposed action and to carry out periodical evaluations;

Participation of the project manager to annual 1 to 2 days stakeholders meetings organized by the contracting authority, in principle in Brussels (with the corresponding budget for flights and per diems given in Annex B. Budget, clearly identified);

Publication / dissemination of the outcome of the research project to stakeholders in the Caribbean & Pacific region.

Applicants must foresee, and make appropriate budget allocation for, the participation of the project manager to annual stakeholders meetings in Brussels and visibility activities.

Project Proposals could accommodate minor capacity building components if there are weaknesses and activities that can be foreseen for facilitating the implementation of the project.

http://ec.europa.eu/europeaid/work/visibility/index_en.htm



Sub-granting

In order to support the achievement of the objectives of the Action, and in particular where the implementation of the Action proposed by the Applicant requires financial support to be given to third parties, the Applicant may propose awarding sub-grants. However, sub-granting may not be the main purpose of the Action and it must be duly justified.

In case where the Applicant foresees to award sub-grants, it has to specify in its application the total amount of the grant which may be used for awarding sub-grants as well as the minimum and maximum amount per sub-grant a list with the types of activity which may be eligible for sub-grants must be included in the

application, together with the criteria for the selection of the beneficiaries of these sub-grants. The maximum amount of a sub-grant is limited to EUR 10.000 per third party while the total amount which can be awarded as sub-grants to third parties is limited to EUR 100.000.

Ineligible actions

The following types of action are ineligible:

actions concerned only or mainly with individual sponsorships for participation in workshops, seminars, conferences, congresses;

actions concerned only or mainly with individual scholarships for studies or training courses;

Actions concerned only or mainly with capacity building as these are already being addressed by the ACP Science and Technology programme.

Number of applications and grants per applicant

An applicant may not submit more than two applications per priority sector under this call for proposals.

An applicant may at the same time be partner in another application.

Partners may take part in more than one application.

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

Only "eligible costs" can be taken into account for a grant. The categories of costs considered as eligible and non-eligible are indicated below. The budget is both a cost estimate and a ceiling for "eligible costs". Note that the eligible costs must be based on real costs based on supporting documents (except for subsistence costs and indirect costs where flat-rate funding applies).

Only costs that are necessary and duly justified are eligible and

A separate budget explanatory note, justifying all budget appropriations, must be provided



Recommendations to award a grant are always subject to the condition that the checking process which precedes the signing of the contract does not reveal problems requiring changes to the budget (for instance arithmetical errors, inaccuracies or unrealistic costs and other ineligible costs). The checks may give rise to requests for clarification and may lead the Contracting Authority to impose modifications or reductions to address such mistakes or inaccuracies. The amount of the grant and the percentage of co-financing as a result of these corrections may not be increased.

It is therefore in the applicant's interest to provide a realistic and cost-effective budget.

Eligible direct costs

To be eligible under the Call for Proposals, costs must comply with the provisions of article 14 of the General Conditions to the Standard Grant Contract (see Annex F of the Guidelines).

Contingency reserve

A contingency reserve not exceeding 5% of the direct eligible costs may be included in the Budget of the Action. It can only be used with the prior written authorisation of the Contracting Authority.

Eligible indirect costs (overheads)

The indirect costs incurred in carrying out the action may be eligible for flat-rate funding fixed at not more than 7% of the total eligible direct costs.

If the applicant is in receipt of an operating grant financed from the EU budget no indirect costs may be claimed within the proposed budget for the action.

Contributions in kind

Contributions in kind are not considered actual expenditure and are not eligible costs. The contributions in kind may not be treated as co-financing by the Beneficiary.

The cost of staff assigned to the Action is not a contribution in kind and may be considered as co-financing in the Budget of the Action when paid by the Beneficiary or his partners.

Notwithstanding the above, if the description of the action as proposed by the beneficiary foresees the contributions in kind, such contributions have to be provided.

Ineligible costs

The following costs are not eligible:

debts and provisions for losses or debts;

interest owed;



items already financed in another framework;

purchases of land or buildings, except where necessary for the direct implementation of the action, in which case ownership must be transferred to the final beneficiaries and/or local partners, at the latest by the end of the action;

currency exchange losses;

taxes, including VAT, unless the Beneficiary (or the Beneficiary‘s partners) cannot reclaim them and the applicable regulations do not forbid coverage of taxes;

credit to third parties.

2.2 HOW TO APPLY AND THE PROCEDURES TO FOLLOW

Prior registration in PADOR for this Call for proposal is not necessary.

2.2.1 Application form

Applications must be submitted in accordance with the instructions on the Concept Note and the Full application form included in the Grant Application Form annexes to these Guidelines (Annex A)

Applicants must apply in English or French.

Any error or major discrepancy related to the points listed in the instructions on the Concept Note or any major inconsistency in the application form (e.g. the amounts mentioned in the budget are inconsistent with those mentioned in the application form) may lead to the rejection of the application.

Clarifications will only be requested when information provided is unclear, thus preventing the Contracting Authority from conducting an objective assessment.

Hand-written applications will not be accepted.

Please note that only the application form and the published annexes which have to be filled in (budget, logical framework) will be evaluated. It is therefore of utmost importance that these documents contain ALL relevant information concerning the action. No additional annexes should be sent.

2.2.2 Where and how to send the Applications

Applications must be submitted in one original and two copies in A4 size, each bound. The complete application form (part A: concept note and part B: full application form), budget and logical framework must also be supplied in electronic format (CD-Rom) in a separate and unique file (e.g. the application form must not be split into several different files). The electronic format must contain exactly the

same application as the paper version enclosed.



The Checklist (Section V of part B the grant application form) and the Declaration by the applicant (Section VI of part B of the grant application form) must be stapled separately and enclosed in the envelope

Where an applicant sends several different applications (if allowed to do so by the Guidelines of the Call), each one has to be sent separately.

The outer envelope must bear the reference number and the title of the call for proposals, together with the title, the full name and address of the applicant, and the words "Not to be opened before the opening session".

Applications must be submitted in a sealed envelope by registered mail, private courier service or by hand-delivery (a signed and dated certificate of receipt will be given to the deliverer) at the address below:

Postal address

The Secretary-General of the ACP Group of States

Avenue Georges Henri, 451

1200 Brussels

Belgium

Attn: John Fred Kakule

Address for hand delivery or by private courier service

The Secretary-General of the ACP Group of States

Avenue Georges Henri, 451

1200 Brussels

Belgium

Attn: John Fred Kakule

Applications sent by any other means (e.g. by fax or by e-mail) or delivered to other addresses will be rejected.

Applicants must verify that their application is complete using the checklist (section V of part B of the grant application form). Incomplete applications may be rejected.

2.2.3 Deadline for submission of Applications

The deadline for the submission of applications is 31st of January 2011 as evidenced by the date of dispatch, the postmark or the date of the deposit slip. In the case of hand-deliveries, the deadline for receipt is at 16:00 hours Brussels time



as evidenced by the signed and dated receipt. Any application submitted after the deadline will automatically be rejected.

However, for reasons of administrative efficiency, the Contracting Authority may reject any application received after the effective date of approval of the first evaluation step (i.e. Concept Note) (see indicative calendar under section 2.5.2).

2.2.4 Further information for the Application

Questions may in addition be sent by e-mail or by fax no later than 21 days before the deadline for the submission of applications to the below addresse(s), indicating clearly the reference of the call for proposals:

E-mail address: [email protected]

Fax:+32-2-735 55 73

Contracting Authority has no obligation to provide further clarifications after this date.

Replies will be given no later than 11 days before the deadline for the submission of applications.

In the interest of equal treatment of applicants, the Contracting Authority cannot give a prior opinion on the eligibility of an applicant, a partner, an action or specific activities.

Questions that may be relevant to other applicants, together with the answers, will be published on the internet at the EuropeAid website: https://webgate.ec.europa.eu/europeaid/online-services/index.cfm?do=publi.welcome and the website of the ACP Secretariat: http://www.acp.int. It is therefore highly recommended to regularly consult the abovementioned website in order to be informed of the questions and answers published



2.3 EVALUATION AND SELECTION OF APPLICATIONS

Applications will be examined and evaluated by the Contracting Authority with the possible assistance of external assessors. All actions submitted by applicants will be assessed according to the following steps and criteria:

If the examination of the application reveals that the proposed action does not meet the eligibility criteria stated in paragraph 2.1.3, the application shall be rejected on this sole basis.

STEP 1: OPENING SESSION AND ADMINISTRATIVE CHECK

The following will be assessed:

The submission deadline has been respected. If the deadline has not been respected the application will automatically be rejected.

The Application Form satisfies all the criteria specified in points 1-5 of the Checklist (section V of part B of the grant application form). If any of the requested information is missing or is incorrect, the application may be rejected on that sole basis and the application will not be evaluated further.

Following the opening session and the administrative check, the Contracting Authority will send a letter to all applicants, indicating whether their application was submitted prior to the deadline, informing them of the reference number they have been allocated and whether they have been recommended for further evaluation.

STEP 2: EVALUATION OF THE CONCEPT NOTE

The evaluation of the Concept Notes that have passed the first administrative check will cover the relevance of the action, its merits and effectiveness, its viability and sustainability. The Contracting Authority reserves the right not to undertake the evaluation of the Concept Notes whenever considered justified (for example when a less than expected number of applications are received) and to go straight to the evaluation of the corresponding full applications.

Please note that the scores awarded to the Concept Note are completely separate from those given to the Full Application.

The Concept Note will be given an overall score out of 50 points in accordance with the breakdown provided in the Evaluation Grid below. The evaluation shall also verify the compliance with instructions provided in the guidance for Concept Note, part A of the grant application form.

The evaluation criteria are divided into headings and subheadings. Each subheading will be given a score between 1 and 5 in accordance with the following assessment categories: 1 = very poor; 2 = poor; 3 = adequate; 4 = good; 5 = very good.



Scores

1. Relevance of the action Sub-score 15

1.1 Relevance of the action needs and constraints of the country/region to be addressed in general, and to those of the target groups and final beneficiaries in particular.

1.2 Relevance to the priorities and objectives mentioned in the Guidelines.

5

5(x2)*

2. Effectiveness and Feasibility of the action Sub-score 25

2.1 Assessment of the problem identification and analysis.

2.2 Assessment of the proposed activities (practicality and consistency in relation to the objectives, purpose and expected results).

2.3 Assessment of the role and involvement of all stakeholders and, if applicable, proposed partners.

5

5(x2)*

5(x2)*

3. Sustainability of the action Sub-score 10

3.1 Assessment of the identification of the main assumptions and risks, before the start up and throughout the implementation period.

3.2 Assessment of the identification of long-term sustainable impact on the target groups and final beneficiaries.

5

5

TOTAL SCORE 50

*the scores are multiplied by 2 because of their importance

Once all Concept Notes have been assessed, one list will be established with the proposed actions ranked according to their total score.

Firstly, only the Concept Notes which have been given a score of a minimum of 12 points in the category "Relevance" as well as a minimum total score of 30 points will be considered for pre-selection.

Secondly, the list of Concept Notes will be reduced in accordance to the ranking to those whose sum of requested contributions amounts to at least twice the available budget for this Call for proposals. The Evaluation Committee will subsequently proceed with the applicants whose proposals have been pre-selected.



STEP 3: EVALUATION OF THE FULL APPLICATION

An evaluation of the quality of the applications, including the proposed budget, and of the capacity of the applicant and its partners, will be carried out in accordance with the evaluation criteria set out in the Evaluation Grid included below. There are two types of evaluation criteria: selection and award criteria.

The selection criteria are intended to help evaluate the applicants' financial and operational capacity to ensure that they:

have stable and sufficient sources of finance to maintain their activity throughout the period during which the action is being carried out and, where appropriate, to participate in its funding;

have the management capacity, professional competencies and qualifications required to successfully complete the proposed action. This also applies to any partners of the applicant.

The award criteria allow the quality of the applications submitted to be evaluated in relation to the set objectives and priorities, and grants to be awarded to actions which maximise the overall effectiveness of the call for proposals. They enable the selection of applications which the Contracting Authority can be confident will comply with its objectives and priorities and guarantee the visibility of the EDF financing (see http://ec.europa.eu/europeaid/work/visibility/index_en.htm). They cover such aspects as the relevance of the action, its consistency with the objectives of the call for proposals, quality, expected impact, sustainability and cost-effectiveness.

Scoring:

The evaluation criteria are divided into sections and subsections. Each subsection will be given a score between 1 and 5 in accordance with the following guidelines: 1 = very poor; 2 = poor; 3 = adequate; 4 = good; 5 = very good.

Evaluation Grid

Section Maximum Score

1. Financial and operational capacity 20

1.1 Do the applicant and, if applicable, partners have sufficient experience of project management?

5

1.2 Do the applicant and, if applicable partners have sufficient technical expertise? (notably knowledge of the issues to be addressed.)

5

1.3 Do the applicant and, if applicable, partners have sufficient management capacity? (including staff, equipment and ability to handle the budget for the

5

http://ec.europa.eu/europeaid/work/visibility/index_en.htm



action)?

1.4 Does the applicant have stable and sufficient sources of finance?

5

2. Relevance 25

2.1 How relevant is the proposal to the objectives and one or more of the priorities of the call for proposals? Note: A score of 5 (very good) will only be allocated if the proposal specifically addresses at least one priority.

Note: A score of 5 (very good) will only be allocated if the proposal contains specific added-value elements, such as promotion of gender equality and equal opportunities…

5 x 2

2.2 How relevant to the particular needs and constraints of the target country/countries or region(s) is the proposal? (including synergy with other EU initiatives and avoidance of duplication.)

5

2.3 How clearly defined and strategically chosen are those involved (final beneficiaries, target groups)? Have their needs been clearly defined and does the proposal address them appropriately?

5 x 2

3. Methodology 25

3.1 Are the activities proposed appropriate, practical, and consistent with the objectives and expected results?

5

3.2 How coherent is the overall design of the action? (in particular, does it reflect the analysis of the problems involved, take into account external factors and anticipate an evaluation?)

5

3.3 Is the partners' and/or other stakeholders' level of involvement and participation in the action satisfactory?

5

3.4 Is the action plan clear and feasible? 5

3.5 Does the proposal contain objectively verifiable indicators for the outcome of the action?

5

4. Sustainability 15

4.1 Is the action likely to have a tangible impact on its target groups?

5

4.2 Is the proposal likely to have multiplier effects? (including scope for replication and extension of the outcome of the action and dissemination of information.)

5

4.3 Are the expected results of the proposed action sustainable: 5



- financially (how will the activities be financed after the funding ends?)

- institutionally (will structures allowing the activities to continue be in place at the end of the action? Will there be local “ownership” of the results of the action?)

- at policy level (where applicable) (what will be the structural impact of the action — e.g. will it lead to improved legislation, codes of conduct, methods, etc?)?

- environmentally (if applicable) (will the action have a

negative/positive environmental impact?)

5. Budget and cost-effectiveness 15

5.1 is the ratio between the estimated costs and the expected results satisfactory?

5

5.2 Is the proposed expenditure necessary for the implementation of the action?

5 x 2

Maximum total score 100

Note on Section 1. Financial and operational capacity

If the total average score is less than 12 points for section 1, the application will be rejected.

Note on Section 2. Relevance

If the total average score is less than 20 points for section 2, the application will be rejected.

Provisional selection

Following the evaluation, a table listing the applications ranked according to their score and within the available financial envelope will be established as well as a reserve list following the same criteria. Priority will first be given to one project per priority sector and region.

Note: The scores awarded in this phase are completely separate from those given to the concept note of the same application.



(4) STEP 4: VERIFICATION OF ELIGIBILITY OF THE APPLICANT AND PARTNERS

The eligibility verification, based on the supporting documents requested by the Contracting Authority (see section 2.4) will only be performed for the applications that have been provisionally selected according to their score and within the available financial envelope.

The Declaration by the applicant (Section VI of part B the grant application form) will be cross-checked with the supporting documents provided by the applicant. Any missing supporting document or any incoherence between the Declaration by the applicant and the supporting documents may lead to the rejection of the

application on that sole basis.

The eligibility of the applicant, the partners, and the action will be verified according to the criteria set out in sections 2.1.1, 2.1.2 and 2.1.3.

Following the above analysis and if necessary, any rejected application will be replaced by the next best placed application in the reserve list that falls within the available financial envelope, which will then be examined for the eligibility of its applicant and the partners.

2.4 SUBMISSION OF SUPPORTING DOCUMENTS FOR PROVISIONALLY SELECTED

APPLICATIONS

Applicants who have been provisionally selected or listed under the reserve list will be informed in writing by the Contracting Authority. They will be requested to supply the following documents in order to allow the Contracting Authority to verify

the eligibility of the applicants and their partners:4

1. The statutes or articles of association of the applicant organisation5 and of each partner organisation. Where the Contracting Authority has recognized the applicant‘s eligibility for another call for proposals under the same budget line within 2 years before the deadline for receipt of applications, the applicant may submit, instead of its statutes, copy of the document proving the eligibility of the applicant in a former Call (e.g.: copy of the special conditions of a grant contract received during the reference period), unless a change in its legal status has

occurred in the meantime.6 This obligation does not apply to international organisations which have signed a framework agreement with the European Commission. A list of the relevant framework agreements is available at the following address: http://ec.europa.eu/europeaid/work/procedures/implementation/international_organisations/index_en.htm

4 No supporting document will be requested for applications for a grant not exceeding EUR 25 000. 5 Where the applicant and/or (a) partner(s) is a public body created by a law, a copy of the said law must be

provided 6 To be inserted only where the eligibility conditions have not changed from one call for proposals to the

other.

http://ec.europa.eu/europeaid/work/procedures/implementation/international_organisations/index_en.htm

http://ec.europa.eu/europeaid/work/procedures/implementation/international_organisations/index_en.htm



2. Copy of the applicant‘s latest accounts (the profit and loss account and the balance sheet for the previous financial year for which the accounts have been closed)7.

3. Legal entity sheet (see annex D of these Guidelines) duly completed and signed by the applicant, accompanied by the justifying documents which are requested therein. If the applicant has already signed a contract with the Contracting Authority, instead of the legal entity sheet and its supporting documents the legal entity number may be provided, unless a change in its legal status occurred in the meantime.

4. A financial identification form conforming to the model attached at Annex E of

these Guidelines, certified by the bank to which the payments will be made. This bank must be located in the country where the applicant is registered. If the applicant has already signed a contract with the European Commission or where the European Commission has been in charge of the payments of a contract, a copy of the previous financial identification form may be provided instead, unless a change in its bank account occurred in the meantime.

The requested supporting documents must be supplied in the form of originals, photocopies or scanned versions (i.e. showing legible stamps, signatures and dates) of the said originals. However, the Legal entity sheet and the financial identification form must always be submitted in original.

Where such documents are not in one of the official languages of the European Union, a translation into one of the languages of the call for proposals of the relevant parts of these documents, proving the applicant‘s eligibility, must be attached and will prevail for the purpose of analysing the application.

Where these documents are in an official language of the European Union other than one of the language(s) of the call for proposals, it is strongly recommended, in order to facilitate the evaluation, to provide a translation of the relevant parts of the documents, proving the applicant‘s eligibility, into one of the languages of the call for proposals.

If the abovementioned supporting documents are not provided before the deadline indicated in the request for supporting documents sent to the applicant by the Contracting Authority, the application may be rejected.

Based on the verification of the supporting documents by the Evaluation Committee it will make a final recommendation to the Contracting Authority which will decide on the award of grants.

7 This obligation does not apply to natural persons who have received a scholarship, nor to public bodies nor

to international organisations. It does not apply either when the accounts are in practice the same documents

as the external audit report already provided pursuant to section 2.4.2.



2.5 NOTIFICATION OF THE CONTRACTING AUTHORITY‘S DECISION

2.5.1 Content of the decision

Applicants will be informed in writing of the Contracting Authority‘s decision concerning their application and, in case of rejections, the reasons for the negative decision.

Applicants believing that they have been harmed by an error or irregularity during the award process may file a complaint. See further section 2.4.15 of the Practical Guide.

2.5.2 Indicative time table

DATE TIME*

Deadline for request for any clarifications from the Contracting Authority

10th January 2011

16:00

Last date on which clarifications are issued by the Contracting Authority

20th January 2011

-

Deadline for submission of Application Form

31st January 2011

16:00

Information to applicants on the opening & administrative check (step 1)

March 2011* -

Information to applicants on the evaluation of the Concept Notes (step 2)

April 2011* -

Information to applicants on the evaluation of the Full Application Form (step 3)

May 2011* -

Notification of award (after the eligibility check) (step 4)

May 2011* -

Contract signature June 2011* -

*Provisional date. All times are in the time zone of the country of the Contracting Authority (Belgium)

2.6 CONDITIONS APPLICABLE TO IMPLEMENTATION OF THE ACTION FOLLOWING THE

CONTRACTING AUTHORITY'S DECISION TO AWARD A GRANT

Following the decision to award a grant, the Beneficiary will be offered a contract based on the Contracting Authority's standard contract (see Annex F of these Guidelines). By signing the Application form (Annex A of these Guidelines), the applicant declares accepting, in case where it is awarded a grant, the Contractual conditions as laid down in the Standard Contract.



If the successful applicant is an international organisation, the model Contribution Agreement with an international organisation or any other contract template agreed between the international organisation concerned and the Contracting Authority will be used instead of the standard grant contract provided that the international organisation in question offers the guarantees provided for in article 53d (1) of the Financial Regulation, as described in Chapter 7 of the Practical Guide to contract procedures for EC external actions.

Implementation contracts

Where implementation of the action requires the Beneficiary to award procurement contracts, it must award the contract to the tenderer offering the best value for

money, that is to say, the best price-quality ratio, in compliance with the principles of transparency and equal treatment for potential contractors, care being taken to avoid any conflict of interests. To this end, the Beneficiary must follow the procedures set out in Annex IV to the Contract.

2.7 EARLY WARNING SYSTEM AND CENTRAL EXCLUSION DATABASE

The applicants and, if they are legal entities, persons who have powers of representation, decision-making or control over them, are informed that, should they be in one of the situations mentioned in:

the Commission Decision of 16.12.2008 on the Early Warning System (EWS) for the use of authorising officers of the Commission and the executive agencies (OJ, L 344, 20.12.2008, p.125) or

the Commission Regulation of 17.12.2008 on the Central Exclusion Database (CED) (OJ L344, 20.12.2008, p.12),

their personal details (name, given name if natural person, address, legal form and name and given name of the persons with powers of representation, decision-making or control, if legal person) may be registered in the EWS only or both in the EWS and CED, and communicated to the persons and entities listed in the above-mentioned Decision and Regulation, in relation to the award or the execution of a grant agreement or decision.



3. LIST OF ANNEXES

DOCUMENTS TO BE COMPLETED

Annex A: Grant Application Form (Word format)

Annex B: Budget (Excel format)

Annex C: Logical Framework (Excel format)

Annex D: Legal Entity Sheet (Excel format)

Annex E: Financial identification form

DOCUMENTS FOR INFORMATION

Annex F: Standard Contract

Annex II: General conditions applicable to european union-financed grant contracts for external actions

Annex IV: contract award procedures

Annex V: standard request for payment

Annex VI: model narrative and financial report

Annex VII: model report of factual findings and terms of reference for an expenditure verification of an EU financed grant contract for external actions

Annex VIII: model financial guarantee

Annex G: Daily allowance rates (Per diem), available at the following address: http://ec.europa.eu/europeaid/work/procedures/implementation/index_en.htm

Annex H: Standard Contribution agreement, applicable in case where the beneficiary is an International organisation.

Project Cycle Management Guidelines

http://ec.europa.eu/europeaid/multimedia/publications/publications/manuals-tools/t101_en.htm

Link to Application and other documents: https://webgate.ec.europa.eu/europeaid/online-services/index.cfm?ADSSChck=1284432951455&do=publi.detPUB&searchtype=QS&orderby=upd&orderbyad=Desc&nbPubliList=15&page=1&aoref=130381






Handout #10: Recently Awarded National Science Foundation Grant

Award Abstract #0928406

BEACON: BErmuda ocean Acidification and COral reef iNvestigation

NSF Org: OCE Division of Ocean Sciences

Initial Amendment Date: September 16, 2009

Latest Amendment Date: September 16, 2009

Award Number: 0928406

Award Instrument: Standard Grant

Program Manager: Donald L. Rice

OCE Division of Ocean Sciences GEO Directorate for Geosciences

Start Date: October 1, 2009

Expires: September 30, 2012 (Estimated)

Awarded Amount to Date: $851025

Investigator(s): Andreas Andersson [email protected]

(Principal Investigator) Nicholas Bates (Co-Principal Investigator) Samantha de Putron (Co-Principal Investigator)

Sponsor: Bermuda Institute of Ocean Sciences (BIOS), Inc.

17 Biological Station St. George's GE01, 441/297-1880

NSF Program(s): CHEMICAL OCEANOGRAPHY

Field Application(s): 0204000 Oceanography

Program Reference Code(s): EGCH, 1389, 1382

Program Element Code(s): 1670

http://www.nsf.gov/div/index.jsp?div=oce

http://www.nsf.gov/div/index.jsp?div=oce



ABSTRACT

Ocean acidification owing to anthropogenic emission of CO2 is a significant and imminent threat to marine calcifying organisms and ecosystems such as corals and coral reefs. As a result of future ocean acidification, i.e., increasing seawater CO2, and decreasing pH, carbonate ion concentration [CO3], and carbonate saturation state, it is likely that marine calcifiers will have difficulty growing their shells and skeletons of calcium carbonate (CaCO3) at their present rates. Dissolution of carbonate sediments and structures are also likely to increase, and could ultimately exceed calcification and CaCO3 production, leading to a transition from net accumulation to a net loss in carbonate material of individual coral colonies, coral communities and coral reef ecosystems. Because of Bermuda's relatively high-latitude location (32° N), the annual average surface seawater [CO3] is lower in Bermuda than regions closer to the tropics. As a consequence, the Bermuda coral reef is likely to experience critical [CO3] values and net dissolution before its tropical counterparts as a result of continued ocean acidification. Furthermore, a natural gradient in [CO3] exists along the Bermuda reef with environmental parameters such as, light, temperature, and nutrients being near identical. This gradient allows for unique cross-comparisons of calcification of individual calcifiers and calcifying communities under different [CO3] in a natural environment. In this study, researchers at the Bermuda Institute of Ocean Science (BIOS) will launch the BEACON project to further our understanding of the consequences of ocean acidification to the process of calcification and CaCO3 production at three different spatial scales including (1) individual coral colonies, (2) local reef communities, and (3) regional coral reef ecosystems. They will conduct (1) in situ and in vitro experiments to assess growth and evaluate net calcification of individual coral colonies of three different species common to Bermuda and the Caribbean exposed to different [CO3] under both natural and controlled experimental conditions; (2) diel and quasi-lagrangian calcification experiments to evaluate net calcification of local reef communities and in moving water masses along the natural [CO3] gradient existent on the Bermuda platform; and (3) time series data collected across the Bermuda platform and offshore, to evaluate net calcification and CaCO3 production of the Bermuda coral reef ecosystem and platform over seasonal and annual cycles.

Broader impacts : This project will provide fundamental data on the consequences of ocean acidification to coral reefs on different temporal and spatial scales. Combined, knowledge at each of the scales will contribute to an improved understanding of this problem in a broader context, i.e., the effect on coral reefs as a global entity and role in the global carbon cycle during past, present and future seawater chemical conditions. As the meaning implies, the research team envisions BEACON to serve as a guiding light to assist researchers and policymakers in framing future strategies and making decisions regarding the management of coral reefs and CO2 emission policies in order to establish CO2 stabilization targets. Scientific understanding and research products from the project will be specifically used in the BIOS explorer program, CoE POGO ocean acidification module, and the coral reef ecology class taught at BIOS. It will also contribute to developing the research and technical skills of one graduate student and one research technician at BIOS, and will include the involvement of interns and NSF REU fellowship students each year of the project.



Supplemental Handout: A search process for funded grant proposals and supporting documentation

Develop a list of key words to use as search terms:

Example: water, watersheds, land, sediments, nutrients, eutrophication, ecological effects, heavy metals, ecosystem, restoration, aquatic, grantmaker, community based, cost benefit, environmental, chemistry, biology, physics, engineering, ecology, hydrology, mathematics, limnology, modeling, northeast, UNEP, UNDP, environmental protection, EPA, Caribbean, geographic information systems, GIS, macrophytes, decision support, stakeholders, anthropogenic processes, aquatic biota, aquatic ecosystems, nitrate concentrations, phosphorous, ammonia, oxygen, Secchi depth, clarity, suspended solids, nutrient flux, nutrient transport, restoration planning, watershed assessment, watershed management, watershed restoration, ecosystem protection, environmental exposure, environmental risk, international, cooperation, scientific discipline, RFA, ecosystem, aquatic ecosystems, estuarine research, water quality monitoring, terrestrial ecosystems, aquatic ecosystem, biochemistry, ecology, environmental monitoring, water quality, watershed management, watershed restoration, ecosystem indicators, aquatic biota, nitrate concentrations, diagnostic indicators, conservation planning, biological impairment, watershed classification, conservation, anthropogenic processes, aquatic ecosystems, biological indicators, biota diversity, nutrient transport, bioassessment, bioindicators, watershed sustainablility, anthropogenic stress, ecosystem stress, ecosystem response, watershed assessment, ecosystem monitoring, biodiversity, restoration planning

The process:

1. Search for ―Environmental Protection‖

2. Choose the option www.epa.gov

3. Click on ―Science and Technology‖…this takes you to: http://www.epa.gov/epahome/scitech.htm

4. Under ―Grants and Funding,‖ click on ―EPA awards for environmental research‖…this takes you to: http://www.epa.gov/ncer/grants/

5. This is the page called ―STAR Grants and Cooperative Agreements‖ [STAR is Science and Technology to Achieve Results]

6. Click through the ―Site Navigation‖ box at the right

7. Start with the ―Research Category‖ Option…this takes you to page with a pull-down menu called ―Research Category‖: Select the last one, ―Water and Watersheds‖: This populates the RFA area.

8. Choose one of the options. I chose RFA: Nutrient Science for Improved Watershed Management. This took me to: http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/searchControlled.main

9. I chose the first project, and here is the grant proposal/application that was funded (Called a Request for Application, or RFA):

Improved Science and Decision Support for Managing Watershed Nutrient

Loads

EPA Grant Number: R830654 Title: Improved Science and Decision Support for Managing Watershed Nutrient

http://www.epa.gov/

http://www.epa.gov/epahome/scitech.htm

http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/searchControlled.main

http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/searchControlled.main



Loads Investigators: Chapra, Steve Current Investigators: Chapra, Steve , Durant, John , Hemond, Harold F. , Kirshen, Paul , Vogel, Richard Institution: Tufts University Current Institution: Tufts University , Massachusetts Institute of Technology EPA Project Officer: Perovich, Gina Project Period: January 20, 2003 through January 19, 2006 (Extended to January 19, 2007) Project Amount: $749,179 RFA: Nutrient Science for Improved Watershed Management (2002) Research Category: Water and Watersheds

Description:

The proposed research addresses two critical gaps in the TMDL process: (1) the inadequacy of presently existing receiving water models to accurately simulate nutrient-sediment-water interactions and fixed plants; and (2) the lack of decision-oriented optimization frameworks for managing nutrient loads to achieve multiple water quality objectives.

To advance understanding of sediment-water nutrient releases, we will test the hypothesis that rates of phosphorus release are predictable from the dynamics of iron release and iron speciation in the bottom waters, and that these in turn are governed first by oxygen and then by nitrate concentrations. We will also determine the stoichiometry and final products of nitrogen reduction/iron oxidation. These new results, along with existing scientific research on attached plants, will be integrated into a watershed/receiving water model that will be applied and tested on the Aberjona River/Upper Mystic Lake watershed. The watershed/receiving water model will then serve as a part of a decision-support system (DSS) that represents the second component of this research. The decision-support component will allow managers and stakeholders to rapidly develop different management scenarios, explore the decision space to identify least-cost solutions and integrate uncertainty into their considerations.

Approach:

Seasonal measurements of surface water chemistry and biology and whole lake input-output fluxes of phosphorus and nitrogen will be made for the Upper Mystic Lake. In addition, detailed vertical profiles will be sampled for the lake's water

column. The profiles will include the nitrogen/argon ratio, nitrous oxide, and carbonate species (an approximation of total respiration, in the absence of methane fermentation). In addition to particulate and dissolved phosphorus we will measure iron (II) and total iron oxyhydroxides, reduced sulfur species and methane. These measurements will be used to calculate electron balances, to confirm that nitrogen redox and iron redox reactions are quantitatively coupled, and to identify and quantify specific key mechanisms governing nutrient dynamics. The results will then be used to parameterize and test a submodel of sediment-water exchange and phosphorus speciation in the water column, including surface complexation on iron oxyhydroxides. The submodel, along with an attached plant model will be integrated with a seasonal, eutrophication model of the lake. This model will be tested using the seasonal data.

Genetic algorithms (GA) using multiple objectives will serve as the optimization tool for the decision support component of this research. The DSS will consist of a series of linked simulation models (a GIS-based watershed model and the improved

http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.investigatorInfo/investigator/6338






http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.institutionInfo/institution/2252




http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.rfa/rfa_id/304

http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.researchCategory/rc_id/22



eutrophication model) that will be interfaced with the GA solver and a graphical user interface (GUI). Based on collaboration with a group of stakeholders, environmental, social, and economic indicators and criteria will be developed for use as objective functions within the DSS. We will also assemble data on the options and costs for watershed nutrient management including data on the costs and effectiveness of Best Management Practices, sediment management (e.g., dredging, capping, and re-aeration) and lake and river management (e.g., seasonal lake level manipulation to control light to macrophytes in forebays). The DSS will be tested by developing a nutrient TMDL and implementation plan for the study watershed.

Expected Results:

The study's science component will result in improved algorithms to account for two critical gaps in presently existing models: attached plants and sediment-water nutrient cycling. The decision-support system component will provide a tool and methodology to empower stakeholders to define and prioritize nutrient management actions to implement nutrient TMDLs.

Publications and Presentations:

Publications have been submitted on this project: View all 38 publications for this project

Journal Articles:

Journal Articles have been submitted on this project: View all 2 journal articles for this project

Supplemental Keywords: water, watersheds, sediments, macrophytes, decision support, stakeholders, chemistry, biology, physics, hydrology, limnology, modeling. , Ecosystem Protection/Environmental Exposure & Risk, Water, INTERNATIONAL COOPERATION, Scientific Discipline, RFA, ECOSYSTEMS, Water & Watershed, Aquatic Ecosystems & Estuarine Research, Water Quality Monitoring, Terrestrial Ecosystems, Aquatic Ecosystem, Biochemistry, Watersheds, Ecology and Ecosystems, Environmental Monitoring, water quality, watershed management, watershed restoration, ecosystem indicators, aquatic biota, nitrate concentrations, diagnostic indicators, conservation planning, biological impairment, watershed classification, Mystic Lake, conservation, anthropogenic processes, aquatic ecosystems, biological indicators, biota diversity, nutrient transport,

bioassessment, bioindicators, watershed sustainablility, anthropogenic stress, ecosystem stress, ecosystem response, watershed assessment, ecosystem monitoring, biodiversity, restoration planning

Progress and Final Reports: 2003 Progress Report 2004 Progress Report

10. I then chose the 2003 Progress Report:

2003 Progress Report: Improved Science and Decision Support for Managing Watershed Nutrient Loads

EPA Grant Number: R830654 Title: Improved Science and Decision Support for Managing Watershed Nutrient Loads Investigators: Chapra, Steve Current Investigators: Chapra, Steve , Durant, John , Hemond, Harold F. ,

http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.publications/abstract/5864

http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.publications/abstract/5864

http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.journals/abstract/5864

http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.journals/abstract/5864

http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.abstractDetail/abstract/5864/report/2003

http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.abstractDetail/abstract/5864/report/2004







Kirshen, Paul , Vogel, Richard Institution: Tufts University Current Institution: Tufts University , Massachusetts Institute of Technology EPA Project Officer: Perovich, Gina Project Period: January 20, 2003 through January 19, 2006 (Extended to January 19, 2007) Project Period Covered by this Report: January 20, 2003 through January 19, 2004 Project Amount: $749,179 RFA: Nutrient Science for Improved Watershed Management (2002) Research Category: Water and Watersheds

Description:

Objective:

The objectives of this research project are to: (1) conduct scientific studies of both watershed and aquatic processes relevant to the delivery and impact of nutrients on natural waters; (2) incorporate this science into watershed and receiving water models; and (3) integrate these models into a decision-support framework that can support cost-effective environmental decisionmaking related to nutrient control of eutrophication. Although our research has national relevance, our study is being conducted on an urbanized watershed in the Boston metropolitan area, the Aberjona/Mystic River.

Progress Summary:

For the past year, water samples have been collected bimonthly at eight locations along the Aberjona River and its major tributary, Horn Pond Brook, to provide baseline measures of nitrogen (N) and phosphorous (P) concentrations and speciation. Analytes include total N, ammonium, nitrate, organic N, particulate N, total P, dissolved P, and particulate P. A limited number of wet weather samples were collected to measure nutrient loads during rainstorms. These data are being analyzed to identify major sources of reduced N and P for this primarily urban and residential watershed. Furthermore, they will be used to calibrate and corroborate our watershed loading models and to drive our lake eutrophication model.

Data on nutrients and other water quality constituents also were collected in the watershed‘s primary receiving water, the Upper Mystic Lake. Results support the hypothesis that P and N cycles in the lake are linked via the action of nitrate in inhibiting the benthic release of P. This hypothesis arises by analogy with nitrate-arsenic coupling in which nitrate oxidizes iron (II), which in turn scavenges and sorbs arsenate. We expected that, if arsenate and phosphate were both controlled by sorption on iron oxyhydroxides, the two chemicals would be correlated strongly throughout the water column and throughout the period of anoxia in the stratified lake. Our data have shown this to be correct.

Aside from the scientific and data collection efforts, models were developed for both the watershed and for the lake. For the watershed, the major thrust of this year's work was to modify existing models so that they: (1) could be used to simulate daily nutrient and suspended solid loadings for urban watersheds; (2) would simulate values in a form that was more directly compatible with eutrophication receiving water models; and (3) could simulate the effect of best management practices (BMPs) on loadings. With regard to the latter, simulation models of five types of BMPs were developed: street sweeping, porous pavement, grass swales, detention ponds, and bioretention units.







http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.rfa/rfa_id/304

http://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.researchCategory/rc_id/22



In addition to the foregoing research, an independent parallel effort was conducted to explore using geographic information systems technology to directly simulate placement of BMPs to optimally control watershed runoff. A distributed hydrologic model of the Aberjona Watershed was combined with a genetic algorithm (GA) to optimally locate BMPs for stormwater management. The initial application suggested that more than 20 percent of the peak flow reduction could be achieved by installing fewer than 200 BMPs in the watershed. The maximum peak flow reduction achievable was 31 percent. Although this work focused on stormwater management, it is anticipated that the approach will be applicable to nutrient load management.

A new lake model was developed to compute seasonal trends of water quality in stratified lakes. The model simulates the seasonal dynamics of nutrients (N and P),

organic carbon, inorganic suspended solids, phytoplankton, and zooplankton. It is unique because it is capable of simulating the trends of the two major impacts of eutrophication: oxygen depletion and reduction of water clarity. In addition, it simulates the levels of problem phytoplankton (blue green algae), and includes a submodel of sediment-water fluxes of oxygen and nutrients.

During Year 1 of the project, a proof-of-concept decision-support system (DSS) was built by applying a GA to the lumped parameter generalized watershed loading function model to select optimal quantities of BMPs. Cost and other parameters of the various BMPs were estimated from literature values, but they are adjustable such that a user of the DSS can more accurately choose design options to suit local needs and costs that reflect local conditions. We conducted preliminary optimizations of BMP installation choices and quantities by exploring the maximum reduction of average instream nutrient concentration achievable for investment budgets of various sizes. Diminishing returns were observed, resulting from BMPs being installed first in areas generating higher loads. Additional input of BMPs then are installed successively in areas that generate smaller nutrient loads, and result in smaller water quality improvement for the same marginal BMP investment.

Finally, meetings and presentations were conducted between project team members and stakeholders in the watershed. The project goals and methodology were described during the meeting, and stakeholder reaction was elicited.

Future Activities:

We will perform continued measurements on the watershed with emphasis on event sampling and areas that appear to be contributing significantly to N and P

loadings in the river. In addition, we will better quantify stormwater loads of N and P from different parts of the watershed, and identify specific areas where N transformation is occurring (e.g., wetlands). In the lake, the plan for the next year is to identify the products of iron oxidation by nitrate, and specifically to determine if this is a nitrogen-conservative process (as would be the case if ammonium were the product) or a nitrogen-consuming process (if dinitrogen is formed). A more complete mass balance of the hypolimnion, including N species as well as total inorganic carbon, will serve to answer this question, which is important from the standpoint of N modeling. We also may employ N enrichment experiments in microcosms to test the hypothesis that either ammonium, or alternatively dinitrogen, are the products of nitrate reduction in this lake.

Further improvements to the BMP simulation model are planned through changes to the sediment routing calculations and increased sophistication of individual BMP models. We then plan to develop a semidistributed model of the Aberjona Watershed by applying the model to several subbasins, and the continuing



instream data collection at various locations in the watershed will allow testing of model performance at each subbasin outlet. The lake model will be tested by applying it to our study lake as well as other lakes for which adequate data sets exist. In addition, the lake model will be integrated into the DSS. This will be conducted so that the optimization of BMPs will be based on the levels of the lake's quality variables of concern (water clarity and oxygen) that are most relevant to the stakeholders. Finally, the full stakeholder group will be convened several times to review the framework of the DSS as it evolves.



Effective Grant Proposal Writing Day 2: Effective Proposal Writing



Handout #1: Managing Sentences

1. Place periods or semi-colons to simplify the sentences:

The golden toad vanished after an exceptionally dry season following the 1986-1987 El Niño, probably not long after the chytrid fungus was introduced. Scientists speculate that dry conditions caused the toads to congregate in a small number of puddles to reproduce, prompting the disease to spread rapidly. Some have linked the dry spell to global warming, arguing that warmer temperatures allowed the chytrid pathogen to flourish and weakened the toad‘s defenses. The new study finds that Monteverde was the driest it‘s been in a hundred years following the 1986-1987 El Niño, but that those dry conditions were still within the range of

normal climate variability. The study does not address amphibian declines elsewhere, nor do the authors suggest that global warming is not a serious threat to biodiversity.

[source: http://www.earth.columbia.edu/articles/view/26460]

2. This is a press release, so it should be at grade 5-6 in reading level; it is considered grade 23+ and virtually unreadable (0.8 on a scale of 0 to 100).

What do you consider the ‗point‘ in this paragraph?

Try rewriting it so your teenager could understand the content and ‗get the point.‘

To cope with challenges emanating from the financial crisis, climate change, food shortages and conflicts, developing countries need —now more than ever― to build capable institutions that will help them protect their citizens and sustain economic growth. The need to transform government institutions by investing in people‘s capabilities and in providing innovative solutions and incentives that enable the delivery of effective services was a central message at the first day of the United Nations Development Programme (UNDP) global conference Capacity is Development, which began here today.

[source: http://content.undp.org/go/newsroom/2010/march/global-conference-calls-on-countries-to-invest-in-strong-institutions.en]

http://www.earth.columbia.edu/articles/view/26460

http://content.undp.org/go/newsroom/2010/march/global-conference-calls-on-countries-to-invest-in-strong-institutions.en




3. Another excerpt from the same press release:

Over 120 participants from Africa, Arab States, Asia, Europe, Latin America and North America, among world leaders and experts from multilateral and bilateral development communities, will highlight policy choices, institutional reforms and investment decisions that enable states and societies to drive and demand a more equitable, sustainable and peaceful development.


Again, rewrite to make several sentences.

4. Our plan reflects a renewed commitment to meeting the needs of our partners and customers and to cultivating an atmosphere of innovation and creativity that will foster and reward the broad scale, integrated science we believe is needed by decision makers and the public.

[source: http://usgu.gov/stratplan/]





Handout #2: Managing Bullets

1. Here is a short paragraph that lends itself to bullets:

Proving a link between climate change and biodiversity loss is difficult because so many overlapping factors may be at play, including habitat destruction, introduction of disease, pollution and normal weather variability. This is especially true in the tropics, because written weather records may go back only a few decades, preventing researchers from spotting long-term trends.

[http://www.earth.columbia.edu/articles/view/2646]

As currently written this is at a post-graduate (grade 17 level) and is almost unreadable for the average person with a score of about 18.

2. Here‘s another paragraph that is well-suited to bullets:

The study will be conducted with partners from the Arctic Monitoring and Assessment Programme (AMAP), Environment Canada, Fisheries and Oceans Canada, the Swiss Federal Institute of Technology, University of Bern, the European Monitoring and Evaluation Programme (EMEP), University of Texas, Laval University (Canada), University of Concepción (Chile), International POPs Elimination Network (IPEN), and other institutions.

[Source: http://www.unep.org/Documents.Multilingual/Default.asp?DocumentID=617&ArticleID=6493&l=en]

As currently written this is considered totally unreadable (a reading ease score of zero) at a grade level of 33.7—way, way post-graduate!

http://www.unep.org/Documents.Multilingual/Default.asp?DocumentID=617&ArticleID=6493&l=en

http://www.unep.org/Documents.Multilingual/Default.asp?DocumentID=617&ArticleID=6493&l=en



Handout #2: Managing Bullets—Concluded

3. Another example:

The wide-ranging Nusa Dua Declaration, agreed today in the closing session of the UN Environment Programme's (UNEP) Governing Council/Global Ministerial Environment Forum, underlines the vital importance of biodiversity, the urgent need to combat climate change and work towards a good outcome in Mexico later in the year and the key opportunities from accelerating a transition to a low-carbon resource-efficient Green Economy.

[Source: http://www.unep.org/Documents.Multilingual/Default.asp?DocumentID=612&ArticleID=6482&l=en ]

As currently written this is considered totally unreadable (a reading ease score of zero) at a grade level of 33.7…

4. Here‘s one more from a press release:

―It is commonly accepted that social and economic development must be based on three main pillars: strengthening human and institutional capacities, good governance and appropriate economic reforms,‖ said Mohamed Ouzzine, Secretary of State, Ministry of Foreign Affairs of Morocco. ―But the first element is – undoubtedly – the keystone and the condition for the success of the other two.‖


Again, as written it is considered virtually unreadable, but bullets are an easy simplification tool.

Rewrite it here:





An example of how much clearer ‗bulletised‖ text is:

[source: http://www.worldwaterday2010.info/]

Sediment that is washed off from fields is one of the largest sources of agricultural water pollution, as this soil runoff often contains harmful pesticides and chemical contaminants. Runoff from fertilizer adds nitrogen and phosphorous to waterways, and these extra nutrients can lead to algae growth that depletes oxygen in the water and harms the ecosystem. [Steps you can take include:]

Use soil erosion control techniques and implement nutrient management plans on agricultural land to reduce excess and reduce runoff that contaminates waterways.

Use Integrated Pest Management (IPM) techniques (which include biological pest control) to minimize pesticide impacts on waterways.

Use the least – and least toxic – applications to protect groundwater, because fertilizers and pesticides used to grow crops may leach through soils and contaminate groundwater supplies.

Control farm animal access to water resources by constructing fences or bushes and trees to protect water quality. Livestock eat the vegetation that protects stream banks, their hooves can cause further erosion, and their waste degrades water quality.

Maintain your septic system and have it inspected and pumped every 2-5 years. Keep household hazardous wastes out of it.

Remember that roots from trees and shrubs can damage the septic system, so keep plantings away from the area.

Make use of ―Green infrastructure‖ to improve both urban and rural waters: use soil, trees, plants, wetlands, and open space to reduce total runoff and treat what is produced through capture and reuse or infiltration of rainwater.

Avoid draining, filling and damaging wetland ecosystems. Wetlands act as a natural water treatment and purification systems.

Sustainably manage forests by avoiding clearcutting to maintain their functions such as storing water and regulating flow.

Be involved and speak out! Join – or start –a local watershed coalition, stream or river protection group or conservation organization.

http://www.worldwaterday2010.info/



Handout #3: Managing Paragraphs

During the Investigation of Sulfur Chemistry in the Antarctic Troposphere, a joint venture between NCAR and the Georgia Institute of Technology, ACD‘s Fred Eisele and his team discovered a chemical surprise in the Antarctic. Hydroxyl radicals, the atmosphere‘s primary cleansing agents, occur in exceptionally high concentrations in the lower troposphere (the lowest level of the atmosphere). These elevated levels of radicals above the South Pole are most likely due to large amounts of nitric oxide released by the interaction of sunlight and nitrates in snow—a process known as photolysis. The hydroxyl radicals prevent toxic buildups by oxidizing (essentially erasing) pollution and many naturally occurring chemicals in the air. Some of this oxidation also appears to be occurring in sections of the snowpack that are no more than about 10 years old and are shallow enough to be reached by sunlight. This fact could complicate measurements, particularly of nitrates, in ice core samples used to determine atmospheric conditions of the past. While the hydroxyl radicals have an immediate, local effect of cleaning the air, the global implications are still unknown. Fred‘s research is continuing, and he hopes to use the NSF/NCAR C-130 research aircraft in 2005 to extend the investigation over much of the Antarctic Plateau.

Floods are the most expensive and the second deadliest natural hazard in the United States, and they remain a concern in Colorado even though parts of the state remain in a severe drought. In RAP, Hatim Sharif is working with David Yates and Ed Brandes to perform hydrometeorological analyses of flash floods in the Denver metropolitan area. The first area selected for analysis is Harvard Gulch, a highly urbanized catchment (an area, defined by topography, that drains to a common point). The sophisticated hydrologic model used in this study can include many physical details and incorporate high-resolution radar rainfall estimates to predict flash floods. The team, which includes RAP‘s Rita Roberts, is implementing a computer forecasting system known as the NCAR Auto-nowcaster to provide short-term flash flood forecasts for organizations such as the Denver Urban Drainage and Flood Control District. These forecasts can predict lead times of up to 90 minutes for the Harvard Gulch study area and potentially even longer lead times for larger catchments. The study results are encouraging; in one case, the errors were less than 25% for flash floods predicted 70 minutes beforehand.



[Source: http://www.ucar.edu/communications/staffnotes/0305/short.html]

Current reading ease is 31—goal is 60-70. Current grade level is 15—a junior in college. Well above the goal of grade 9-10.

http://www.ucar.edu/communications/staffnotes/0305/short.html



Bringing it together…

1. A well-written, easy to read article?

Well-written—yes. Easy to read? Not really. The readability score is a 20—and the goal is to be at 60 to 70 or higher. The grade level is 15.6—the final year of college.

The paragraph length is good, but the sentences are too long and the words too complicated for the likely proposal evaluator.

How might you ‗fix‘ this article?

January 28, 2010 | A new study led by NCAR scientist Peter Lawrence has found that impacts to Earth's hydrological cycle—not changes in the reflection or absorption of solar radiation—are the most important driving force in how human-caused land use changes affect climate. The findings contradict previous research and suggest that land cleared of forest for agriculture could have a greater warming impact on regional temperatures than previously thought.

While making real-world observations, scientists have widely accepted that the main factor in how land use affects climate is surface albedo. Models generally show that deforestation has a cooling effect, as darker leaves are replaced by lighter-colored plants such as grasses and crops. Observations indicate, however, that regional climate has warmed substantially in mid-latitude and tropical regions where forests have been replaced with grasses and crops.

By running experiments with the NCAR-based Community Climate System Model (CCSM), Lawrence found that the reason for the discrepancy was rooted in how many models simulate land surface hydrology. The CCSM showed that replacing forests with grasslands and crops resulted in increased land surface evapotranspiration, contrary to observations. After Lawrence corrected the CCSM's land component to more closely reflect observed surface hydrology, model results matched real-world observations in showing that clearing land for agriculture and other uses leads to reduced evapotranspiration. This reduction in turn weakens evaporative cooling, with feedbacks that lessen rainfall and cloud cover.

http://www3.interscience.wiley.com/journal/123233166/abstract



The study's conclusion that deforestation in mid-latitudes and tropics may substantially enhance regional warming on top of projected global warming has implications for biofuels production, which could require widespread landscape conversion to agriculture. It also underscores the need for more research aimed at fine-tuning how climate models represent the hydrological cycle.

[source: http://www2.ucar.edu/staffnotes/research/hydrologic-link-between-land-use-changes-and-climate ]

http://www2.ucar.edu/staffnotes/research/hydrologic-link-between-land-use-changes-and-climate

http://www2.ucar.edu/staffnotes/research/hydrologic-link-between-land-use-changes-and-climate



A well-written, easy to read paragraph?

Well-written—not really. Easy to read? Not at all. The readability score is a 5—and the goal is to be at 60 to 70 or higher. The grade level is 20—at or beyond the PhD. level.

The paragraph length is too long. The sentences are too long and the words too complicated for the likely proposal evaluator.

How might you ‗fix‘ this paragraph?

Incorporate shorter sentences, shorter paragraphs, and possibly bullets.

Keep in mind this is part of a press release and so should be readable by the average newspaper reader.

Leadership vision, commitment and effective public management are crucial to enhancing growth and tackling socioeconomic challenges. Developing these skills contributes to the achievement of the Millennium Development Goals – eight goals to be achieved by 2015, responding to the world's main challenges, ranging from eradicating extreme poverty and hunger to reducing maternal and infant mortality. Investing in institution building has enabled countries to increase school enrollment and improve health services. For instance, by abolishing school fees, introducing double shifts in schools, scaling up teacher recruitment and other measures, Tanzania almost doubled its national enrolment rate between 1999 (50 per cent) and 2006 (98 per cent), decreasing the number of out-of-school children of primary school age from over 3 million to under 150,000. In Egypt, access to skilled delivery and emergency obstetric care helped the country reduce its maternal mortality rate by 52 per cent from 1993 to 2000.

[source: http://content.undp.org/go/newsroom/2010/march/global-conference-calls-on-countries-to-invest-in-strong-institutions.en ]





Handout #4: Is It Clear?

1. The new study finds that Monteverde was the driest it‘s been in a hundred years following the 1986-1987 El Niño, but that those dry conditions were still within the range of normal climate variability.

How might you modify this to make it clear? [Hint—How can there be 100 years following something that happened in 1986-87?]

2. You saw this next example in the ―sentences‖ handout. Look at it more closely. Is it clear? [Hint: ‗among‘ is probably not the ‗best‘ word choice here.]

Over 120 participants from Africa, Arab States, Asia, Europe, Latin America and North America, among world leaders and experts from multilateral and bilateral development communities, will highlight policy choices, institutional reforms and investment decisions that enable states and societies to drive and demand a more equitable, sustainable and peaceful development.



Handout #5: Is It Concise?

1. The best way incorporate sustainability and environmental benefits into a house design is to look at, evaluate, assess, and include design elements from the current LEED platinum draft standards.

2. We always make every possible effort to incorporate and include all imaginable types of best practices into our documents such as plans, reports, surveys, and studies by making use of the latest software, internet, and other electronic technologies.



Handout #6: Is It Consistent?

The EPA is a premier source for grant funding for universities and research labs such as NREL. One of the Environmental Protection Agency‘s (EPA) main goals is to support these places with research grants in the area of passive solar design and reduced need for airconditioning through the incorporation of tree canopies into building site designs. At the National Renewable Energy Laboratory (NREL) the focus is on solar technology while at LLL it is on nuclear power applications. Both these laboratories rely heavily on NSF and EPA grants. [Note the acronym problem]



Handout #7: Is It Considerate?

If you want someone to do something the directions and information must be clear. Unclear writing is NOT considerate. Consider the following:

[source: http://penningtonpublishing.com/blog/grammar_mechanics/ten-tips-to-improving-writing-coherency/ ]

Incoherent Writing Model

Snow creates problems. Streets need shoveling. Snowplows cannot always access streets. Driveways are hard to clear. Many communities leave the expense of clearing snow up to the homeowner. Building up dangerously high on a roof, it can

break roof framing. Snow may seem harmless. It can damage houses. Snow is always potentially hazardous. It can endanger people.

Coherent Revision

Snow creates two problems for homeowners. First, it requires shoveling to keep driveways and streets clear, but snowplows cannot always access them. Furthermore, many communities leave the expense of clearing snow up to the homeowner; thus some homeowners cannot afford the expense of hiring a snowplow. Second, snow may seem harmless, yet it is not. Snow can build up dangerously high on a roof and break roof framing. Always potentially hazardous, snow can damage houses and endanger those who live in them.

http://penningtonpublishing.com/blog/grammar_mechanics/ten-tips-to-improving-writing-coherency/

http://penningtonpublishing.com/blog/grammar_mechanics/ten-tips-to-improving-writing-coherency/



Handout #8: Is It Complete?

The preparatory meeting will be January 5th at 1600 hours in the conference room used last week. All project participants are requested to attend. The four main funding sources are grants, in-kind, and volunteer staff hours. John and Martha want to go to.



Handout #9: Is It Correct?

The proposals are due not later than 1000 hours EST on June 15th. Send all replies through the link on the website www.unep.int. We all attended the bidder‘s conference. Our proposal will incarcerate the required principals.

http://www.unep.int/



Handout #10: Simple Editing/Bringing it Together

Bringing together all the elements you‘ve been practicing today…

Review the ―Essentials of Editing‖ and the exercises in Handouts 1 through 9.

Edit the following to make it simple and readable, incorporating the ―Cs‖ of good writing.

Consider the audience to be a grant proposal reviewer at a funder you are considering approaching.

Role of Science at EPA

[Source: http://www.epa.gov/epahome/science.htm] [modified for this example]

Science provides the foundation for credible decision-making since it is only through adequate knowledge about the risks to human health and ecosystems, and innovative solutions to prevent pollution and reduce risk, can we continue to enjoy a high quality life. With a better understanding of environmental risks to people and ecosystems, EPA can target the hazards that pose the greatest risks and anticipate environmental problems before they reach a critical level.

Although it is important that EPA's scientific research and development be

integrated with and responsive to the Agency's regulatory needs, it is vital that the conduct of the research itself be independent and of the highest quality. Over the past four years, EPA has taken major steps to ensure that it carries out a program of sound science to inform Agency decisions without allowing regulatory objectives to distort scientific findings or analyses. These steps have included open, transparent, and peer-reviewed research planning; competitively awarded extramural research grants; independent peer review of EPA science publications, assessments, and documents; and rigorous peer review of EPA's research laboratories and centers.

http://www.epa.gov/epahome/science.htm



In its recent report, Evaluating Federal Research Programs: Research and the Government Performance and Results Act, the National Academy of Sciences (NAS) identified three questions as important for evaluating federally funded research programs: Is the program of high quality; is the program's work relevant to the Agency's mission; and is the program performing leading-edge science?

High Quality Scientific Research

EPA works in several areas to provide high quality research to support EPA's mission. For its major scientific research activities, EPA writes forward-looking research strategies and plans that address those problems that pose the greatest risks to human health and the environment. EPA evaluates the plans and strategies periodically and adjusts them if warranted by new research results, by changes in EPA or national priorities, or by emerging issues and concerns. These plans and strategies are subjected to rigorous peer review. To complement its in-house research program, EPA leverages its resources by partnering with other federal agencies on the interagency Committee on Environmental and Natural Resources and has created the Science to Achieve Results (STAR) program, an extramural research program that includes the best of this country's scientists through targeted, competitive, and peer-reviewed grants that are focused on the most important environmental science issues facing our nation and the world.

http://books.nap.edu/openbook.php?record_id=6416&page=R1

http://books.nap.edu/openbook.php?record_id=6416&page=R1

http://www.epa.gov/ncer/grants/



Relevance

To maintain both short- and long-term relevance to EPA's mission, EPA balances its scientific research activities across the two broad categories of problem-driven research (to solve current environmental problems of high risk and high scientific uncertainty) and core research (to improve the underlying scientific foundation for understanding and protecting human health and the environment). These two aspects of EPA's research program at times overlap, and can be mutually reinforcing—work on a particular problem can lead to a fundamental breakthrough, and discoveries made while conducting core research can solve a particular environmental problem. EPA needs both types of research, and the synergy between them enhances EPA's overall research program.

Leading-Edge Research

EPA is a leader in many areas of environmental science, and EPA's work in the area of endocrine disrupting chemicals illustrates this leadership. EPA has been studying the effects of these chemicals for many years, and took the lead in convening experts from around the world to develop an international research strategy, partnering with other federal agencies and the President's Office of Science and Technology in an effort that has now resulted in a broad, internationally integrated research program to study the effects and risks of these chemicals. For example, as part of this program an EPA scientist has discovered a unique protein in male animals, including humans, that is a marker for reproductive fertility. EPA is studying the usefulness of this marker as a diagnostic tool for assessing fertility following exposure to endocrine disrupting chemicals.



Role and Use of Science at EPA

The role and use of science at EPA are determined by the nature of scientific information and how it fits within the context of Agency decision-making. Scientific information of the type described above—whether it comes from EPA, other agencies, academia, the regulated community, or other sources—always includes some degree of uncertainty and is subject to varying interpretations. For example, assessments of risks to humans from exposure to chemicals are often based on tests in which laboratory animals are given high doses of a chemical but effects seen in the animals may or may not appear in humans, who are typically exposed to much lower doses and whose bodies may metabolize the chemicals differently. In addition, there are often different scientifically justifiable ways to conduct risk assessments, and the method chosen by the assessor can significantly impact the risk estimate.

Scientific knowledge is not only uncertain, but also dynamic. Through research that is designed to reduce uncertainties, our understanding increases and, as a result, we change our assumptions about the impacts of environmental problems and how they should be addressed. For example, for many years we have been concerned mainly with removing large particles of toxic pollutants from airborne emissions, but recent research indicates that small particles of air pollutants may

cause greater damage to human lungs than larger particles. This new information not only changes our understanding of the effects of air pollution, but also may significantly impact future pollution prevention and removal strategies.

Science does not drive EPA's policy and regulatory decisions, but rather, along with other relevant factors, informs and supports those decisions. Implementation costs and technological feasibility, local autonomy versus federal control, and justice and



equity--all of which impact our quality of life and standard of living--are among the considerations that need to be factored into EPA's decisions without compromising scientific integrity, the Agency's mission, or statutory mandates. The impacts or limitations of these non-science factors, as well as the current state-of-the-science, will influence how scientific considerations are brought to bear on a particular environmental problem facing the Agency.

EPA's research program is of high quality, relevant to the Agency's mission, and at the leading edge of knowledge in many areas of environmental science. EPA's approach to measuring the strength of its research program is in accord with the most recent NAS recommendations for evaluating federal research programs. EPA continually looks for ways to build on its strengths, so that EPA's decisions and actions continue to be informed by the best available science. As we move into the 21st century, EPA's research program remains focused on providing high quality, relevant support for the Agency's activities, and is well positioned to keep EPA at the forefront of addressing the next environmental problems over the horizon.

Reading ease—poor—20.2; Grade level—17.5



Useful Grammar and Punctuation Tips

Source: The Guardian and Observer‘s online style guide: http://www.guardian.co.uk/styleguide/a

1. Acronyms: Use all capitals if an abbreviation is pronounced as the individual letters: BBC, VAT etc; if it is an acronym (pronounced as a word) spell out with initial capital, eg Nasa, Nato, unless it can be considered to have entered the language as an everyday word, such as awol, laser and, more recently, asbo, pin number and sim card. Note that pdf and plc are lowercase. If an abbreviation or acronym is to be used more than once, put it in brackets at first mention.

2. Acknowledgment is correct—no ‗e‘

3. Oxford comma: A comma before the final "and" in lists: straightforward ones (he ate ham, eggs and chips) do not need one, but sometimes it can help the reader (he ate cereal, kippers, bacon, eggs, toast and marmalade, and tea), and sometimes it is essential (I dedicate this to my friends and parents, John, Mary, Lucy Lou and Alvin.

4. Colons: Use between two sentences, or parts of sentences, where the first introduces a proposition that is resolved by the second, eg Fowler put it like this: to deliver the goods invoiced in the preceding words. A colon should also be used (rather than a comma) to introduce a quotation: "He was an expert on punctuation," or to precede a list – "He was an expert on the following: the colon, the comma and the full stop."

5. Note the use/placement of the commas and periods in #4—inside, not outside, quotes. Note use of double, not single, quote marks.

6. Commas: A misplaced comma can sabotage a sentence, as in this example from the paper: "Neocon economists often claim a large, black economy turbo-powers growth ... " (the writer meant a big black economy, not a big and black one, which is not the same at all). Another example is ―Eats, Shoots & Leaves‖ (the book title).

7. Contractions: Avoid overuse of contractions, e.g. aren't, can't, couldn't, hasn't, don't, I'm, it's, there's and what's.

8. Space after period: Just one. Same for colons and semicolons and question marks and exclamation points (and one of these is enough!).

9. Quotation marks: Use double quotes at the start and end of a quoted section,

with single quotes for quotes within that section. Place full points and commas inside the quotes for a complete quoted sentence; otherwise the point comes outside – "She said: 'Your style guide is out of date,' and I said: 'I agree.' On the other hand, "I said updating the guide was 'a difficult and time-consuming task'."

10. Web: use web, website, webpage, world wide web. [Note: worldwide, not world wide, except in the case of the web.]

11. While is preferred over whilst.

12. Numbers: Spell out from one to nine; numerals from 10 to 999,999; thereafter use m or bn for sums of money, quantities or inanimate objects.

13. Scientific measurements: Notes: "m" in scientific terms stands for "milli" (1mW is 1,000th of a watt) while "M" denotes "mega" (1MW is a million watts). It‘s a good idea to only use the uppercase abbreviation when you could use both upper and lower, e.g., so write out, for example, 10 million W rather than 10

http://www.guardian.co.uk/styleguide/a



mW since the ―m‖ is easily misunderstood. Other abbreviations: amps A, volts V, watts W, kilowatts kW, megawatts MW, milliwatts mW, joules J, kilojoules kJ.

14. Avoid terms such as ―bung in,‖ ―costs a bomb,‖ ―prezzie,‖ and so forth.

15. Plural/singular: Corporate entities take the singular: e.g., ―The BBC has decided (not ‗have‘) to skip coverage of the contest.‖ In subsequent references make sure the pronoun is singular: "It [not ‗they‘] will press for change to the broadcast schedule." Note that sports teams are an exception—they are plural. Staff are plural since it is a true collection of individuals.

16. Collective nouns: Nouns such as committee, family, government, jury, and squad take a singular verb or pronoun when treated as a single unit, but a

plural verb or pronoun when treated as a collection of individuals.

17. Gender: Use firefighter, police officer, actor, comedian, and so forth.



Handout #11: Simple Outline with Allocations

1. Summary Sheet—one page

6-7 50-word paragraphs

2. Organization/history/purpose—one page

6-7 50-word paragraphs

3. Project (Proposed)—seven pages:

3.1 Project background—1-2 pages

3.2 Objectives—1-2 pages

3.3 Beneficiaries/Community—1 page

3.4 Activities to be performed—1 page

3.5 Timeline for project—1 page (mostly a figure)

3.6 Evaluation/success criteria—1 page

4. Budget—one page

5. Supporting material (bylaws, financials)—no limit



Effective Grant Proposal Writing Day 3: RFP/Solicitation Analysis



Handout #1: General RFP Analysis/Proposal Tips

Key Considerations When Seeking Grant-based Funding:

Every funder/grantor has different guidelines and priorities.

Every funder/grantor has different deadlines and timetables.

Any funder/grantor that accepts your application may request additional information at any stage in the application process.

Some funders/grantors choose to provide both general and project support grants, while others choose to award only project grants.

Before submitting an application to a potential funder/grantor, verify your project or programme matches their published interests and determine what forms of grant support they will consider providing (e.g., general support, project support, capital grants, and so forth.). Specifics about individual grant programmes are available from each funder/grantor.

Research the funding interest of a foundation or other grant maker before applying.

Obtain a copy of the potential funder/grantor‘s annual report and/or guidelines.

Familiarise yourself with the grantor/funder‘s application process, including the timetable and preferred method of initial contact. Note that some grantors/funders only accept grant proposals after an initial phone call, query letter, or submission of a pre-application form.

It is never a good idea to send out mass mailing of grant proposals. In fact, many grantors/funders want to know where else you are applying for funding.

Make sure your cover letter clearly and succinctly outlines the link between your grant proposal and the grantor/funder‘s interests. One paragraph of the cover letter should provide a brief summary of the proposed or ongoing project.

Follow any format and specific instructions from the grantor/funder to the letter.

Show you follow ―best practices.‖

Make sure the ‗right‘ person(s) signs the cover letter.



Handout #2: RFP or Solicitation Guidelines Checklist Deadlines Submission requirements Eligibility Proposal forms and formats Page count limits Standard forms Timelines Budgets Funding goals/priorities Award ranges Evaluation criteria Evaluation process and timeline Contact(s) and process Special restrictions Other key information—What might go here?

Staffing guidelines Reports required Delivery schedules for reports and other documentation Renewal criteria/schedules . . . . . . . .



Handout #3: Requirements Matrix [RTM/RCM] Note: We will be using this tomorrow as well. You may use the RFP in the separate handout or an RFP you are currently working on.

RFP Requirement RFP Ref. Proposal Ref.



RFP Requirement RFP Ref. Proposal Ref.



RFP Requirement RFP Ref.

Proposal Ref.



Handout #4: Ten Tips for Responding to Imperfect RFPs

The world is filled with funding opportunities, but many times the Request for Proposal (RFP) and supporting documentation are not well written. Here are some of the top problems you are likely to encounter:

1) RFP is not well-structured.

Impose a structure on the document yourself. If it is in Word, use Word‘s features to do it. If you cannot modify the document electronically, print it out and show the structure on the hardcopy.

No paragraph numbers? Number the paragraphs yourself, even if you just

write them in on the hardcopy by hand. Use an outline-type numbering

system.

No page numbers? Put in page numbers; use the ―1 of 10‖ format.

Find the ―purpose statement‖ of the RFP. If you cannot find it in the RFP,

find the mission statement of the funding organization.

2) Funder did not provide a checklist of items wanted.

Prepare your own checklist.

Read the RFP slowly. Make a list of each item (cover letter, budget,

summaries of key personnel, etc.) that is mentioned.

Include page counts on your checklist.

You may find that an item is mentioned in one place and described in

another.

3) Inconsistent requirements are stated.

This is a tricky one. You do not want to query the funder if you can avoid it.

First, read the RFP carefully. Find each mention of a requirement.

List all of the places the requirement is stated one way.

List all of the places the requirement is stated a different way.

Compare the two lists. Does it look like the inconsistency is a typographical

error? (e.g.: In six places, the amount is 20 and in one place the amount is

29. The number 20 is probably correct and 29 is probably a typo because

the number 20 shows far more frequently than 29. Also the numbers 0 and

9 are right next to each other, so it is easy to inadvertently hit the 9).

If the inconsistency does not look like a typo, go online and check other

materials provided by the funder including previous RFPs. They may clear

the matter up.

If you determine that the requirements are truly inconsistent and you are

unsure which one is accurate, prepare a carefully worded question for the

funder.

4) No budget is mentioned.

Check other projects that this entity has funded. Their Web site is a good

place to start your research.



Try to determine a ―typical‖ dollar amount that they fund. (e.g.: Most projects

awarded were between $75,000 and $110,000).

Get a feel for the percentage of funding they provide. (e.g.: Most projects were

awarded 50-60% of the total cost).

5) Evaluation criteria for successful proposals are located throughout the document.

Make your own list by carefully reading the document and noting any evaluation criteria. On your list, include:

Where in the original document the criteria is mentioned. (You have

imposed a structure on the document, haven‘t you?!)

What percentage or points is assigned to each item.

Who will be reading the proposal—technical people, legal counsel, and so

forth.

6) Acronyms are not defined.

Do a search for the acronym in the electronic document to see if it is defined

elsewhere.

Check the materials provided (including the website) for an acronym list.

Do an online search for the acronym with either the general topic (e.g:

watershed might be the topic) or the name of the funder.

7) Words or terms are used in an unfamiliar manner.

Check for a list of definitions in the funder‘s materials.

Do a search for the word or term in the electronic document. If you find it

elsewhere, use context to determine the meaning. Apply that meaning

several other places in the document as a test.

Do a search on the funder‘s website for the word or term. Look for a

definition, or try to determine its meaning from the context.

Do an online search for the word or term in context. Include the general

topic.

Search for other RFPs from similar organizations. Look for a list of

definitions in their materials.

8) No proposal format is provided.

Examine the actual RFP. Identify how they do the following things and copy their formatting:

Font (usually no smaller than 12).

Margins (usually 2.5 cm).

Note how the RFP specifies figures and numbers (use of commas, currency

symbols, signs, use of abbreviations such as Kg or kg, and so forth).

Types of headings and sub-headings (indentation, fonts,

bold/italic/combination).



Appearance of bulleted and numbered lists.

Appearance and labeling of tables and figures.

9) No page count limits are given.

Examine several winning proposals for that funder to determine an average

page count for each section. (Look on their website).

Use page counts recommended in other grant applications.

A good rule is that smaller awards go with shorter proposals.

10) Poor grammar or wording makes it difficult to determine the meaning of the sentence or paragraph.

Read the entire RFP carefully. Mark unclear passages.

Use the rest of the document as a source to clarify any ambiguous

meanings.

Use the funder‘s website to clarify any areas that are confusing—either the

text of the site or the documents that are posted on the site.

Try to ‗get inside the funder‘s head‘ to determine what was meant by areas

that are unclear.

Use your resources. Ask colleagues to read confusing sections and give their

interpretations.

Reading proposals that received funding is a good place to gather general information. As you read, look for clarification of things you do not understand in your RFP, such as unfamiliar words, terms, and jargon. Look at how the successful teams presented their information, such as budgets and how their proposal tracks the RFP‘s project evaluation criteria.

Permission is granted to duplicate materials for non-commercial, non-profit purposes only provided

acknowledgement is given. All other rights are reserved. 86

Handout #5: Sample Completed Grant Application

ORGANIZATION OF AMERICAN STATES

EXECUTIVE SECRETARIAT FOR INTEGRAL DEVELOPMENT (SEDI)

FORMAT FOR PRESENTATION OF

PARTNERSHIP FOR DEVELOPMENT PROPOSALS8

ALL THE SECTIONS MUST BE COMPLETED

I. IDENTIFICATION OF THE PROPOSAL Name: Integrated Management Plan for Codrington Lagoon

Presented by: Antigua and Barbuda

Beneficiary countries: Antigua and Barbuda Date of execution (projects can have a duration of up to 4 years). Starting date: March 2007 Completion Date: March 2009

5. Indicate the amount requested from each funding source (in US $1,000) for each year of execution

Year

OAS/

FEMCIDI

Executing Country (Countries)

Total

Counterpart financial

funds committed

Date counterpart funds will be

available

2007

$78,925.00 $103,490.23 January 1, 2007

$182,415.23

2008

$71,075.00 $211,956.77 January 1, 2008

$283,031.77

Total

$150,000.00 $315,447.00 $465,447.00

8 This format is to be completed only by the presenting institutions of the project concepts included in

the FEMCIDI Preliminary Programming Proposal.



LOGICAL FRAMEWORK OF THE

PROPOSAL NARRATIVE

SUMMARY OF OBJECTIVES AND

ACTIVITIES

INDICATORS MEANS OF

VERIFICATION ASSUMPTIONS

GOAL 1. The development of an effective

participatory management system for the protection of the Codrington Lagoon 2. The improvement and sustainability of the Ecosystems and Habitats within the Codrington Lagoon

1. The establishment of the Codrington Lagoon as an effectively managed Marine Park with designated areas for recreational, commercial and environmental activities by December 2008.

The passage of legislation to govern the activities within the Codrington Lagoon by December 2008.

The development of management policies and an operational management team for the overseeing of activities within Codrington Lagoon by December 2007.

2. Improvement in the water quality of the Codrington Lagoon and an increase in the number of habitats for the various wild life by December 2008.

Increase in the Frigate Bird sanctuaries from one main area to three by 2008

Increase in the Lobster spawning grounds from 0 designated areas to two

1. Means of verification for

goal one will Include:

Statistical Information

Act pass in parliament

Management plan developed

Published information on the Marine park

2. Means of verification for goal two will include:

Data collection and Databases that will be created for the project

Statistical Analysis

1. It will be possible to

source Long term funding through the government/ Barbuda Council as well as International organizations to sustain the project. 2. The governmental agencies will be willing to create the necessary legislation to implement the management system 3. There is an existing base on which to build to create the management

system and monitor the ecosystem through what has been completed with the Caribbean Regional Environmental Program where the Codrington Lagoon was a demonstration site. 4. There exists a pool of trained technical



by 2008.

personnel that can be utilized to achieve the goals.



PURPOSE The creation of an

effective management and operational program for the Codrington Lagoon and surrounding areas which

have been designated a national park

1. The employment of a park manager, one administrative staff, an education/community liaison officer and an accountant to manage the operation and finances of the Codrington Lagoon National Park by December 2008 2. The employment of three rangers to patrol, monitor and collect data on the park as well as sustainably develop the park by December 2008.

3. The commissioning of an operational board comprising the Barbuda Council, the Environment Division, Barbuda Fishermen Corporative, The Tour Guides association, The small business association, The Hotel Association, The lobster Fishermen Corporative and The Barbuda Planning Commission for the national park aimed at raising funds for the upkeep and continuity of the operations of the park as well as monitoring the park‘s activities

4. At least 85% implementation of a development and management plan for the Codrington Lagoon National Park by December 2008.

5. At least 65% implementation of an effective zoning plan

1. Operational Plan documents

2. Development Plan documents

3. Policy

Documents

1. It will not be a difficult task to create and implement a management and development plan for the Codrington Lagoon.

2. The Barbuda Council will facilitate the necessary creation of legislation and policy documents needed to create and operate the Codrington Lagoon as a national park.

3. It will not be difficult to recruit the necessary staff to ensure the proper operations of the national park.

4. The funds will be sourced to ensure that all these activities can be implemented.



OUTPUTS 1. Establishment of

a functioning management authority and board for the protected area.

2. Participatory resource use mapping training for management planning resource persons

3. Economically viable and sustainable livelihood activities created for residents of Codrington, Barbuda based on the zones created within the park.

4. Completion of participatory resource use map and use zone identification.

5. Usable data ascertained through monitoring and evaluation activities agreed

upon in the management planning process.

6. A management plan

7. Formal Gazetting of Legislation for the operation of the Park.

8. Rangers monitoring park activities continuously.

9. Development of park user fee system and a park trust fund to ensure sustainability.

10. Community awareness and development

Hiring of a 4 member management team for the park operations and the monthly meeting of a 8 member board for the park.

Training Courses completed for staff and relevant participants

Financial records for the activities created within the commercial zones established

Creation of a zoning map indicating fishing, recreational, tourism and protected areas

Database indicating all the data collected for the park on the environmental conditions and economic activities conducted and the analysis of this data.

Complete Management plan for the area encompassing

Codrington Lagoon and declared a national park stretching from the ―Caribbean Sea to the West stretching to the Martello Tower in the east and North past the Sand Ground Plantation …and ends at the Trig Station ―Ba 14‖‖.

Legal Acts for the park

Accounts for the park showing user fees.

Community meetings, training sessions and awareness programs

Staff Files and reports on park activities and Meeting minutes from the board

Training records indicating training

courses conducted and the staff attending.

Audited financial records for the parks operation

Posted at strategic entrances to the park the created zoning map.

Microsoft Excel or other suitable software used to create the database available to those who wish to utilize it.

Management plan available for viewing and comments or amendments by the public or other interested parties.

Availability of legislative documents for viewing by all interested parties of the acts passed for the park.

Installation of park signage, workshop reports, training records

There are trainers available to conduct training sessions

The Barbuda Planning Commission

will be able to assist in the creation of the use Zones.

The new Barbuda Land use Act will allow for the establishment of the Management Authority for the park and allow for the governing of the park by the authority and the board.

The community members will corporate to ensure the success of the

program and all outreach sessions.



ACTIVITIES See Attached Spreadsheet

See attached spreadsheet

See Attached spreadsheet.

See attached spreadsheet

Permission is granted to duplicate materials for non-commercial, non-profit

purposes only provided acknowledgement is given. All other rights are reserved. 92

III. JUSTIFICATION OF THE PROPOSAL

1. Background.

Codrington Lagoon is the most significant component of Barbuda‘s coastal zone. It measures 12 Km from north to south and is 4 Km wide. The Lagoon occupies an area approximately 18 Km2 with depths ranging from less then 0.5m to 4m. The lagoon is one of the largest in the Lesser Antilles and serves as a habitat for a range of marine species due to the extensive fringing mangroves and sea-grass beds. It is an important nursery for juvenile fish and crustaceans that are harvested for commercial use. The

Lagoon also supports one of the world‘s largest colonies of Frigate birds (Fregata magnificens). The Frigate bird sanctuary was established to conserve this globally important colonies and it has become a prized tourist attraction. The lagoon is used for a number of activities, which can be categorized as follows:

Fishing (pots, lines, diving, and net fishing).

Tourism (visits to the Bird Sanctuary, use of beaches on the west coast)

Leisure and Recreation (harbour for small fishing vessels; swimming by locals around the wharf area; bathing of domestic animals; occasional sailboat racing; parties and fund raising events such fish fries around the wharf area; water skiing, other future water sporting activities such as kayaking, paddle boats, glass bottom boats; and designated National Park.

The diversity of resources use activities demonstrates the importance of the Codrington Lagoon both to the economy and culture of Barbuda. Thrrough out the years, the lagoon has suffered hurricane damage, over harvesting of marine resources, cutting of mangroves for charcoal production, and garbage dumping near the coastline. It should be noted that the Lagoon, presently, is in a relatively healthy state due to the low levels of development. However, recent actions from the owners of land on the waterfront on the outskirts of Codrington Village indicate that the residents wish to develop such lands for residential purposes. However, their exposure to storm surges, and the current lack of a central sewage system

on the island are areas of concern which must be addressed if any development around the Codrington Lagoon is to be allowed. In light of this, it has become necessary for measures to properly zone these and other areas to be undertaken immediately.

If the Codrington Lagoon and its environs is to remain in its current healthy state, development along the waterfront needs to be carefully planned, particularly as it relates to water access and proper liquid and solid waste disposal to preserve and protect this fragile marine ecosystem. This therefore warrants the need for a detailed management plan to govern activities in and around the Lagoon and regulations implemented to guide the development of the waterfront.

2. Pertinence



The project is very pertinent to the overall national goals relating to the improvement of human health, biological diversity and natural resource management. It is also aimed at ensuring that the country meets it‘s regional and international biodiversity goals. This project falls under the Sustainable Development and the Environment 2006 – 2009 strategic plan as well as the National Environmental Management Strategy (NEMS) which is the nation‘s attempt to fulfil its obligations under the St. George‘s Declaration. Of the 21 recommended principles under the St. George‘s Declaration, three relates to this project. They are:

Principle 1: Foster Improvement in the Quality of life (Within Antigua and Barbuda).

The recommended actions include

Establish the environmental basis of major livelihoods, 0assess conditions of the resources, prioritize remedial action and develop an implementation plan.

Implement the National Disaster Services Action Plan

Implement a 4 year public education and outreach program aimed at persons living in areas of poor drainage, sanitation, and irregular water supply.

Establish a set of national indicators to facilitate the monitoring and implementation of plans and programs.

Principle 11: Ensure the Sustainable Use of Natural Resources

Develop a national environmental management strategy which takes account of current conditions and prioritizes necessary actions to stem practices which currently cause stress or destroy resources including educating target groups to encourage change in behaviour.

Develop procedures for conducting carrying capacity studies.

Develop and implement national natural resource management plans.

Establish cost – effective implementing mechanisms including monitoring and evaluating systems.

Promote scientific and technical cooperation in the fields of natural resources.

Principle 13: Protect and Conserve Biological Diversity

Develop a system of biodiversity protected areas

Secondly, the project has significance as it relates to the country‘s fulfilment of is obligations under the United Nations Convention on Biological Diversity. This is especially appropriate under Article 10 on Sustainable Use of Components of Biological Diversity. Since the project aims at ensuring that all aspects of biodiversity within the Codrington Lagoon are adequately protected and sustainably utilized the project shows that Antigua and Barbuda is trying to implement necessary programs for the preservation of its natural resources.



3. Beneficiaries 1. The Barbuda Council The development and protection of the lagoon can lead to an increase in visitors to the location. With the necessary legislations implemented the activities at the lagoon can be sustainable, and can also generate a significant source of revenue for this economy. 2. The Local Fishers within the area With the necessary infrastructure and legislations in place, there will be a decrease in over – fishing incidences. This will lead to a revitalization of not only the terrestrial biodiversity, but also the aquatic biodiversity. Additionally, the necessary infrastructure will be in place to make fishing operations more efficient. 3. Tour Operators The upgrade and beautification of the lagoon can now be an attraction for the eco – tourist. Tour operators can capitalize on this opportunity. Again the revenue generated will be beneficial to the economy. 4. Hoteliers and Restaurateurs The expected increase in visitor arrivals to the location can generate business for the local hotels and restaurants. This can also act as a stimulus for more individuals to become more active in this sector of the economy – diversifying the economy. 5. Handicraft Sellers Handicraft sellers will also benefit from this project in that the increase in visitors can lead to an increase in revenue for the operators.

4. Donor Complementarities There are presently two different projects being embarked on by the Government and Antigua in partnership with the United Nations Development Program and the Global Environmental Facility that are aimed at addressing issues similar to that being proposed at the Codrington Lagoon. These project which address different issues relating to biodiversity and watershed management in Antigua and Barbuda can be used as co-

funding to show the country‘s overall effort to address biodiversity, sanitation management and watershed protection nation wide. These projects, the Sustainable Island Resource Management Mechanism and the Integrated Watershed and Coastal zone Area Management projects, will address the issues outlined above within various demonstration areas in Antigua. It is anticipated that these projects will lead to more sustainable management of these areas and the eventual overall protection of the biodiversity in Antigua and Barbuda. The data and lessons learnt from these projects can assist with the development of this project and essentially help to ensure that this project meets the necessary goals.

5. Sustainability

It is anticipated that once the grant from the project comes to an end, the project will be at a point that it can sustain itself. Firstly, the project will be primarily the responsibility of the Barbuda council who has final responsibility for project outcomes and will be overseen by a board. The



Barbuda Council is in full support of the Codrington Lagoon being efficiently managed as a national park due to its importance on a commercial, environmental and social level. Financial sustainability will come from the government of Antigua and Barbuda (recurrent costs), represented by the Barbuda Council, fund raising events as conducted by the park management authority that will be created and finally, through application for funding from donor agencies. During the latter stage of the project, efforts will be made to identify aspects of the project that may be further co-funded by other donor agencies and applications made to provide funds for these areas. The fees that will be charged by the new park management system that will be implemented as well as the sustainable livelihoods projects that will be created will also assist in ensuring financial continuity of the project beyond the FEMCIDI grant. As the project aims to improve the capacity of the Barbuda Council to monitor the activities of the Codrington Lagoon, it means that the ability of the organization to effectively manage the park is improved and as such sustainability is enhanced.

6. Goal or Impact of the Project This project will impact (1) Various governmental projects and activities; (2) The business sector; (3) The community and, (3) the environment

Government Policies and Activities This project will impact the following projects:

1. Zaragoza – Start date to be established. 2. Caribbean Regional Environmental Program demonstration project in

Barbuda – Codrington Lagoon – Ended June 30, 2006 3. Sustainable Island Resource Management Mechanism Project (SIRMM) –

(Codrington Demonstration Project) – March 2007 The Business Sector This project will: 1. Ensure sustainability of the Lobster and Fishing industry in Barbuda

2. Enhance the development of the relatively infant Eco-Tourism industry in Barbuda through the proper management of the areas of interest to the tourism sector.

3. Provide an alternative income generating activity that is more environmentally friendly as well as an alternative to sand mining.

The Community

It is anticipated that the Codrington Village will:

1. See an improvement in the economic viability of the Codrington Lagoon.

2. See an improvement in the overall environmental health of the Codrington Lagoon and the surrounding ecosystems.

The Environment



This project will: 1. Improve the quality of the water within the Codrington lagoon through

the resulting monitoring program that will be implemented.

2. Improve the health of the ecosystems surrounding the area with an increase in species habitat as pollution threat from sewage and other chemicals will be reduced through the monitoring program.

3. Improve the repopulation of the habitats within the lagoon as strict breeding grounds will be demarcated and where necessary closed seasons will be acknowledged

Collectively, this project will lead to the sustainable development of the Codrington Lagoon with the various physical upgrades of the environment, and the passing of legislations which will regulate the activities which will occur at the location. Additionally, the upgrade will improve the appearance of the lagoon which will make the area more suitable to be promoted for eco – tourism. This will in turn lead to an increase in revenue which will be enjoyed by the local community. Furthermore, the data collected from the Lagoon will also ensure that educational awareness on the ecosystems and biodiversity within the lagoon can be harnessed and promoted within Antigua and Barbuda as well as regionally and internationally.

7. Purpose

At the end of this project it is anticipated that an efficient park management authority, with an operating board to oversee its activities, will be created. The task of the management authority will be to implement the activities created in a development plan aimed at the sustainable management of the Codrington Lagoon and surrounding areas as a national park. The park will consist of areas designated for commercial, recreational, and research activities with additional regions demarcated as protected areas. The implementation of a monitoring program for the natural resources within the park through this project is also anticipated. 8. Outputs The outputs for the life of this project are as follows:

1. The establishment of a functioning management authority and board for the protected area. 2. Participatory resource use mapping training for management planning resource persons. 3. Economically viable and sustainable livelihood activities created for residents of Codrington, Barbuda based on the zones created within the park. 4. Completion of participatory resource use map and use zone identification Creating a management and Business plan for the Operation of the park. 5. Usable data ascertained through monitoring and evaluation activities agreed upon in the management planning process. 6. A Management Plan. 7. Formal Gazetting of Legislation for the operation of the. 8. Park Rangers monitoring park activities continuously. 9. Development of park user fee system and a park trust fund to ensure sustainability. 10. Community Awareness and Development.



9. Activities For output 1, the activities are as follows: (Total Expenditure US$ 228,230.45) 1.1 Sensitisation Meeting, Establishment of Park Management Board/park management authority and subsequent monthly meetings 1.2 Legal establishment of the Management Authority. 1.3 Office Rental 1.4 Procurement of office equipment 1.5 Securing communication tools 1.6 Technical staff and project coordinator 1.7 Monthly reports 1.8 Quarterly reports For output 2, the activities are as follows: (Total Expenditure US$ 6,800) Hire consultant to develop a business plan Hire consultant to develop a disaster management plan for the park Preparation of draft management plan Park board and park authority present the development plan for the park for comment of the community through stakeholder meetings Presentation of plan for legislative enactment For output 3, the activities are as follows: (Total Expenditure US$ 41, 500) Completion of Participatory Resource Use Map and Use Zone Identification. . Demarcate use zones and map boundaries Resolve user conflicts at Wharf (animals, tourists, etc.) Erect a ranger lookout tower for the Protected Area at a suitable site Install and maintain marker buoys for mooring at strategic points to prevent bottom damage Install distance markers and signage at Frigate Bird Sanctuary Demarcate transport channel For output 4, the activities are as follows: (Total Expenditure US$ 3,000) 4.1 Assessment on present status of legislation 4.2 Management Authority and Board prepare draft legislation and consult

stakeholders to get their input on scope of the legislation and boundaries

4.3 Engage legal personnel to prepare bill for tabling in parliament 4.4 Gazetting of legislation and regulations For output 5, the activities are as follows: (Total Expenditure US$ 10,800) 5.1 Hire consultant to conduct an alternative livelihoods feasibility study and

prepare a gender sensitive strategy for developing community based income generating activities

5.2 Partner with Ministry of Tourism and the Antigua & Barbuda Hotels & Tourism Association to develop and implement marketing and promotional campaign for eco tourism initiatives in collaboration with local business persons

5.3 hire consultant to facilitate a two day special skills and small business training workshop for 30 Barbudans

5.4 Monitor and evaluate impacts of new sustainable livelihood initiatives 5.5 Develop economically viable and sustainable livelihood activities based on

the different zones within the park



For output 6, the activities are as follows: (Total Expenditure US$ 4,900) 6.1 Financial Capacity Developed for Council to Maintain Ranger programme 6.2 Proposals written to seek funding from regional and international donors 6.3 Development of Park Trust Fund (potentially with hotels) 6.4 Start of ―Friends of Barbuda‖ Programme with Exclusive Hotels

For output 7, the activities are as follows: (Total Expenditure US$ 145,070.55) 7.1 Recruitment of park manager, administrative assistant, community liaison/public awareness officer and accountant 7.2 Recruitment of a suitable and representative group of Rangers to conduct stakeholder outreach, monitoring and enforcement. 7.3 One week training and familiarization session for Staff Members 7.4 Train Staff in community mobilization, facilitation skills 7.5 Train staff in conflict management 7.6 Undertake monitoring and evaluation activities agreed upon in the management planning process 7.7 Training of Rangers in Ecological Monitoring Techniques, Social Impact Assessment and Awareness Assessment 7.8 Procurement and management of Equipment for Outreach, Monitoring and Enforcement For output 8, the activities are as follows: (Total Expenditure US$ 2,992) 8.1 Participatory Resource Use Mapping Training for Management Planning

Resource Persons For output 9, the activities are as follows: (Total Expenditure US$ 10,654) 9.1 Conduct a comprehensive inventory of resources of the lagoon and

assessment of its ecological integrity, identifying current impacts and threats and review and update the 2000 Biological Monitoring Plan

9.2 Ongoing resource recovery status monitoring For output 10, the activities are as follows: (Total Expenditure US$ 11,500) Frigate Mascot Community Clean Up and Bin Provision Frigate Mascot Signage (immediate at entrance of Lagoon, beach)

Promote Barbuda ECO Day Itinerary –small income generation activities linked to management planning process Public awareness campaign to educate community and visitors on the components of the management plan Production of public awareness materials Emphasize public awareness of the project through a quarterly one page newsletter, weekly radio programme, quarterly public meeting Develop Project Frigate Mascot ―keep us Clean‖ ―keep us going‖ ―keep Barbuda going‖ ―Save our livelihood‖ (competition, artist, ect.) Beautification and Development of interpretation and education centre at Warf.

A brief description of the activities outlined, the date of execution and the activity breakdown is provided in the attached activity spreadsheet.



Please follow the procedures explained in the attached Annex ―Descriptive Glossary of Objects of Expenditure‖ to complete this section. (This annex was not found with the document. We were also unable to find it on the website)

11. Performance Measurement9 12. Risk Mitigation

1. Risk

Delays in the provision of funds for the project by Donor agencies

and Government

Mitigation Strategy To avoid such delays the financial management of the projects will

rests with the Environment Division where financial strategies

(such as the use of financial management software) utilized to manage previous large projects will be used.

2. Risk

Time Delays caused by natural disasters, availability of suitable

man power and materials and the procurement process for contracts where necessary.

Mitigative Strategy

To minimize delays in these areas the project will be conducted in

separate time intervals

3. Risk Change over of Staff in other departments which will be a

necessary part of this project

Mitigative Strategy

To mitigate against delays caused by a change is staff, there will be more than one staff member working on a particular project

thus ensuring that with the departure of one staff there are other

staff that can take over. IV. INSTITUTIONAL DATA 1. Executing Institution(s). Entities that assume technical

responsibility for the implementation of one or more activities of a cooperation project. They may also share responsibilities connected with the administration of available funds, based on the programming agreements established by the participating countries

Provide the information listed below, regarding the institutions responsible for the execution in each of the countries in which the

9 Please see Performance Table Model in the FEMCIDI Project Preparation User Guide.



cooperation project will be taking place. Provide a separate table for each country

a. Name of institution: Environment Division, Ministry of Works,

Transportation, and the Environment b. Name and title of responsible official: Diann Black – Layne, Chief

Environment Officer c. Address: No. 1 Prime Minister’s Office Drive, Factory Road, St.

John’s, Antigua d. State/Province:

Antigua and

Barbuda

e. Country: Barbuda

j. The Environment Division of Antigua and Barbuda is a technical agency of the Government of Antigua which is responsible for coordinating the Government‘s implementation of commitments to the various Multilateral Environment Agreements. Additionally, the Division is responsible for establishing and monitoring the Environmental standards for major development activities and providing policy guidance on various environmental issues as may be requested by other Government agencies. With all technical staff at the Masters or Undergraduate level, the Environment Division also implements a number of projects (both locally and regionally) with the support of the GEF, UNDP, UNEP, OAS, Global Environment Facility, and OECS Environment and Sustainable Development Unit. The Division is currently the national focal point for (among others) the UNCBD, UNCCD, UNFCCC, POPS, Bio-safety and CITES. The proposal for the Integrated Management Plan for Codrington Lagoon was Prepared by Environment Officers, Melesha Banhan and Cedric Dyer.

Contact information- E-mail: [email protected] Telephone: 268-462-4625 / 268-562-2568

Coordinator for this project: Mrs. Diann Black – Layne.

Contact information – Tel: 268-464-4625; Email:

[email protected]

Officer responsible for the execution of each activity: Melesha Banhan; Telephone 268-562-2568 / 268-462-2568; Email: [email protected]

Note: Repeat the above table as often as necessary, and include all relevant information for each case.

2. If applicable, indicate what other institutions (governmental and non-governmental) will contribute to the execution of this proposal. Include a brief description of the form of contribution (financial, technical, material, informational) of the institution. If the contribution is monetary, indicate the amount in US $1,000 *.




Data on Contributing National Institutions

Data on Contributing International Institutions

Fisheries Division

The Fisheries Division is the Ramsar convention National Focal Point for Antigua and Barbuda, and as the Lagoon is our first Ramsar site, the Fisheries Division would have a vested interest in its management. The contribution from this agency will be in the form of technical, informational and material

provision.

Barbuda Council

Participation in and support of this project will be key for this agency. The Barbuda Council will be the representative of the government for this project. The government will be providing technical, material and informational contributions to this project. Financial contributions as outlined in the activities work plan budget will also be provided.



Effective Grant Proposal Writing

Day 4: Organizing, Formatting, and Writing Your Proposal



Handout #1: Sample Grant Proposal Formats

Here are some semi-standardised Grant Proposal Formats that generally accommodate the requirements set forth by most RFP issuers.

Generic/General Grant Proposal Format #1

Instructions

Type and single-space all grant proposals.

Answer all of the questions in the order listed.

Use headings as provided.

Submit only one copy.

Do not include any materials other than those specifically requested at this time.

Do not send videotapes.

Application/Grant Proposal Contents

A. Cover Sheet

The Cover Sheet is one page and must contain the following:

Date of application: _______________

Name of agency or organization to which grant would be paid. Please list exact (legal) name:

________________________________________________________________

Purpose of grant (one sentence): ________________________________________

________________________________________________________________

[This is where you indicate the community that would benefit or be served.]

Address of organization: ______________________________________________

________________________________________________________________

[Physical and mailing]

Telephone number: _____________Fax: _____________E-mail: ______________

[Include International Access Code]

Executive director: __________________________________________________

Contact person and title (if not executive director): ___________________________

________________________________________________________________

Type of organization or agency: _________________________________________________________________________

[Spell out acronyms]

Grant request: $_______________________



Check one (based on the organization‘s priorities and the funder‘s guidelines):

□ General support

□ Project support

Total organizational budget (for current year): $___________________

Dates covered by this budget (day/month/year): __________ to _________

Total project budget (if requesting project support): $_________________

Dates covered by project budget (day/month/year): __________ to _________

Project name (if applicable): ____________________________________________

[Name should closely relate to community/purpose.]

B. Grant Proposal Format

1. PROPOSAL SUMMARY: one-half page, maximum

[Two to three line summary, then three or four bullet points.]

Please summarise in a short paragraph the purpose of your agency or organization. Briefly explain why you are requesting this grant, what outcomes you hope to achieve, and how you will spend the funds if a grant is made.

2. NARRATIVE—Five pages maximum. [Allocate word/page counts before starting to write this section]

a. Background—Describe the work of your agency or organization, addressing each of the following:

A brief description of your history and mission.

The need or problem that your agency or organization works to address, and the population your agency serves, including: geographic location, socioeconomic status, race, ethnicity, gender, age, physical ability, and language, as applicable.

Current programmes and accomplishments. Please emphasize the achievements of the recent past.

Number of paid full-time staff; number of paid part-time staff; number of volunteers.

Your organization‘s relationships — both formal and informal — with other organizations working to meet the same needs or providing similar services.

Explain how you differ from these other entities.

3. FUNDING REQUEST—Please describe the programme(s) for which you seek funding.

[No page count specified—but be brief and to the point. Do not use this section’s lack of limits to include data that should have been covered in the narrative.]

a. If applying for general operating support, briefly describe how this grant would be used.



b. If your request is for a specific project, please explain the project including:

A statement of its primary purpose and the need or problem you are seeking to address.

The population that you plan to serve and how this population will benefit from the project.

Strategies you will employ to implement your project.

The proposed staffing for the project, and the names and titles of the individuals who will direct the project.

Anticipated length of the project.

How the project contributes to your agency‘s or organization‘s overall mission.

4. EVALUATION—Explain how you will measure the effectiveness of your activities.

[Do this as bullet points. Be quantitative instead of qualitative. This should track the items you address in Section 2: Narrative.]

Describe your criteria for a successful program and the results you expect to have achieved by the end of the funding period.

C. ATTACHMENTS—Label all attachments to correspond to the items that follow.

[Mention in Section 2: Narrative that Financial Information and other Supporting Materials are in the “Attachments” Section. Never just stick things in—always reference them…figures, tables, attachments, and so forth.]

1. Financial Information—Provide the dates that each document covers.

Your most recent financial statement, audited if available. This statement should reflect actual expenditures and funds received during your most recent fiscal year.

Aligned side by side on the same page, your operating budgets for the current and most recent fiscal year.

Aligned side by side on the same page, a list of foundation and corporate or other financial supporters and all other sources of income, with amounts, for your current and most recent fiscal/accounting year.

Please list the foundations, corporations, and other sources you are soliciting for funding and, to the best of your knowledge, the status of your proposal with each.

If project funding is requested:

Provide a current expense budget for the project. List each staff line separately and include the percentage of time each person spent/spends on the project. Indicate the specific uses of the requested grant, if possible.



Include a list of all sources of income being or to be applied toward the project, actual and prospective, with amounts.

2. Other Supporting Materials

A list of your Board of Directors or other oversight entity, with affiliations (if applicable).

One-paragraph resumes of key staff, including qualifications, relevant to your grant proposal.

The most recent annual report, if available/applicable.

No more than three examples of recent articles about, or evaluations of, your organization, if available.



Handout #2: Specific Grant Proposal Formatting Example (USDTA)

U.S. Trade and Development Agency (USTDA) RANT REQUEST INSTRUCTIONS AND PROPOSAL FORMAT

FOR OVERSEAS APPLICANTS

Introduction

This paper is intended to help overseas applicants understand the U.S. Trade and Development Agency‘s (USTDA) grant application procedures. USTDA does not have a standard application form or application deadline. Requests for assistance may be submitted at any time. However, the agency does require a letter of request with as much project supporting information as possible. You may use the information provided below as a guide in preparing your letter of request, but it is not mandatory to supply all the information initially. USTDA often helps project sponsors develop the scope or terms of reference for a grant activity, if such assistance is needed. In the information provided below, the project sponsor is defined as the overseas entity responsible for the follow-on policy implementation or project investment that will directly benefit from the results of the USTDA-funded activity. USTDA grant funding is intended for services sourced in the United States. However, up to 20 percent of the agency‘s funding for a particular activity may be subcontracted by the U.S. contractor to entities in the project sponsor‘s country. You will find below USTDA‘s Mission Statement, information about its grant programs, and a suggested proposal format. We encourage you to contact us to answer any questions that you may have about the agency‘s program or its operations in your country. The U.S. embassy or consulate in your country also may be able to help you. Fundamentally, our program is designed to facilitate your access to U.S. technical expertise in the hope that U.S. solutions will be considered for

project implementation. At the same time, there is no agency requirement for a recipient of USTDA assistance to purchase goods or services from the United States using its own funds for project implementation.

Some helpful definitions as used below follow: ―Activity‖ means a USTDA-funded study or technical assistance program.

―Contractor‖ is the U.S. firm selected by a host country project sponsor to carry out the terms of reference associated with a USTDA grant-funded activity.



―Project‖ means the actual objective to be achieved at the conclusion of the USTDA-funded activity. ―Project sponsor‖ is the overseas entity that will have responsibility for implementing the project. ―Proposal‖ means an activity concept that is submitted to USTDA for funding consideration.

USTDA‘s Mission Statement

The U.S. Trade and Development Agency (USTDA) advances economic development and U.S. commercial interests in developing and middle income countries. The agency funds various forms of technical assistance, early investment analysis, training, orientation visits and business workshops that support the development of a modern infrastructure and a fair and open trading environment. USTDA's strategic use of foreign assistance funds to support sound investment policy and decision-making in host countries creates an enabling environment for trade, investment and sustainable economic development. Operating at the nexus of foreign policy and commerce, USTDA is uniquely positioned to work with U.S. firms and host countries in achieving the agency's trade and development goals. In carrying out its mission, USTDA gives emphasis to economic sectors that may benefit from U.S. exports of goods and services. USTDA‘s Grant Program One of the ways that USTDA delivers its program commitments is through grants to overseas project sponsors for technical assistance, feasibility studies, and training. A USTDA grant is provided directly to an overseas project sponsor who, in turn, selects a U.S. company to perform the USTDA-funded activity. The project sponsor may be a government institution at the national, state/provincial, or local level, or it may be a local private company.

USTDA accomplishes its mission by funding: 1) trade capacity building and sector development technical assistance; and 2) project identification and investment analysis. Trade capacity building and sector development technical assistance may support the establishment of industry standards, rules and regulations, trade agreements, market liberalization and other policy reform. Project identification and investment analysis involves activities including feasibility studies and technical assistance that support large capital investments related to overseas development. The agency is open for business in more than 100 countries around the world. In certain nations, statutory, resource or policy constraints limit the availability of USTDA programs.



Getting Started USTDA recommends that you first familiarize yourself with the agency‘s mission and funding criteria. The USTDA Website (http://www.USTDA.gov) has a significant amount of information that will assist host country applicants, including an electronic version of USTDA‘s brochure entitled ―Project Sponsor Information.‖ This brochure is available in English, Spanish, French, Portuguese and Russian. After this, you may wish to contact the appropriate USTDA Regional Director or Country Manager by e-mail or letter to informally discuss your proposal. General Proposal Guidelines To initiate USTDA consideration of a proposal, an overseas project sponsor should submit a request directly to the agency. USTDA does not have a standard application form or application deadline. Requests for assistance may be submitted at any time. However, the agency does require a letter of request with as much project specific supporting information as possible. The information provided below should be used as a guide, and it is not mandatory to supply all of the information at the time of your initial request. USTDA often helps project sponsors to develop the scope or terms of reference for a grant activity if such assistance is needed. Proposal Outline A. Executive Summary. A concise summary of the proposal, including the specific objective of the USTDA-funded activity. B. Project Description. A brief description of the project‘s technical, economic, and financial prospects. C. Project Sponsor's Capabilities and Commitment. A demonstration of the project sponsor‘s commitment to project implementation and ability to implement the project.

D. Implementation Financing. A discussion of the financing options for project implementation, including:

1. An overall cost estimate, proposed ownership and financing structure,

and schedule for project implementation; and 2. Evidence that financing is available or likely to be available for the

project.

E. Imported Content. A list of the procurements that are likely to be subject to competitive tenders in which international suppliers can participate and a list of the equipment and services that are likely to be imported for project implementation.



F. Developmental Impact. A description of the most important benefits that the project will provide to the country where it is located. G. Impact on the Environment. A statement on the likely consequences the proposed project might have on the environment. H. Justification. An explanation of why USTDA‘s funding is needed. I. Terms of Reference (TOR). The TOR for the proposed USTDA-funded activity, setting out the primary tasks to be accomplished. The TOR for an infrastructure activity typically includes, at a minimum:

1. The purpose and objective of the study or technical assistance. 2. A technical assessment.

3. An economic analysis of the project. 4. A financial analysis of the project. 5. An appropriate environmental analysis of the project. 6. A review of the regulatory issues related to the project. 7. An analysis of the key development impacts of the project in the country where it is located. 8. An implementation plan. 9. A final report.

USTDA Operating Procedures USTDA‘s review of a proposal it receives from an overseas project sponsor involves three steps. First, USTDA staff conducts an internal review to determine whether the proposal represents an appropriate opportunity for

USTDA support. Second, proposals that satisfy this internal analysis are independently assessed by either a USTDA-funded definitional mission (DM) or desk study (DS) consultant. This analysis is based on:

The priority the project sponsor attaches to the project, and if it is infrastructure specific, its likelihood of receiving implementation financing; and

Whether the project offers mutual economic benefit for the country where it is located and the United States, including potential opportunities for commercial cooperation with U.S. firms.

A DM provides a detailed evaluation of a particular proposal, and involves travel to the designated country. A DS provides analysis of a detailed proposal, usually with an existing terms of reference, and is produced within the United States. Both DMs and DSs are carried out by small U.S. firms



that are not permitted to perform USTDA grant-funded activities associated with proposals that they previously evaluated for the agency. Third, USTDA conducts due diligence on potential overseas project sponsors for USTDA-funded activities in order to ensure that our projects are in compliance with applicable U.S. law and the agency is working with reputable and solvent entities. USTDA performs these due diligence procedures on potential project sponsors, potential U.S. contractors and subcontractors, parent corporations, and principal officers, directors and shareholders. Additionally, potential overseas private sector project sponsors must complete the Request for Information form provided in Annex 1 below. If USTDA approves funding, it signs a Grant Agreement with the overseas project sponsor. The grant recipient then selects a U.S. company to perform the work, generally through a competitive bid process, and signs a contract with that entity to carry out the USTDA-funded activity. Both the Grant Agreement and contract contain the terms of reference that outline the parameters of the activity. USTDA Contact Information Requests for USTDA assistance from overseas project sponsors should be sent to the agency by either mail delivery or by e-mailing your USTDA region of interest:

East Asia: [email protected]

Europe and Eurasia: [email protected]

Latin America and the Caribbean: [email protected]

Middle East and North Africa: [email protected]

South and Southeast Asia: [email protected]

Sub-Saharan Africa: [email protected] USTDA‘s mail delivery addresses are as follows: U.S. Trade and Development Agency 1000 Wilson Boulevard, Suite 1600 Arlington, VA 22209 USA Telephone: +1-703-875-4357 Facsimile: +1-703-875-4009 U.S. Trade and Development Agency




Sub-Saharan Africa Regional Office U.S. Consulate General – Johannesburg 1 Sandton Drive, Sandhurst, 2196 Johannesburg, South Africa Telephone: +27 (11) 290-3084 Facsimile: +27 (11) 884-0396 U.S. Trade and Development Agency Asia Regional Office U.S. Embassy Thailand Diethelm Tower A, Suite 303 93/1 Wireless Road Bangkok, 10330 Thailand Telephone: +66 (2) 205-5090 Facsimile: +66 (2) 255-4366

In addition, host country project sponsors are encouraged to send their requests for USTDA assistance through the U.S. embassy or consulate in their respective countries. ANNEX I PRIVATE SECTOR GRANTEE DUE DILIGENCE – REQUEST FOR INFORMATION

I. Grantee Profile

In addition, potential private sector Grantees must provide the information listed below.

1. Name of firm and business address (street address only), including

telephone and fax numbers. 2. Year established (include predecessor companies and year(s)

established, if appropriate).

3. Type of ownership (e.g. public, private or closely held). 4. If private or closely held company, provide list of shareholders and the

percentage of their ownership. 5. List of directors and principal officers (President, Chief Executive

Officer, Vice-President(s), Secretary and Treasurer; provide full names including first, middle and last). Please place an asterisk (*) next to the names of those principal officers who will be involved in the Feasibility Study.

6. If Grantee is a subsidiary, indicate if Grantee is a wholly-owned or

partially-owned subsidiary. Provide the information requested in items 1 through 5 above for the Grantee‘s parent(s).



7. Project Manager's name, address, telephone number, e-mail address and fax number.

II. Grantee Representations

As part of its due diligence review process, USTDA requires that potential private sector Grantees provide it with the information detailed below. In addition to answering all questions presented below, please attach copies of all documents requested. 1. Grantee is duly organized, validly existing and in good standing under the laws of ______________. Grantee has all the requisite power and authority to conduct its business as presently conducted and to execute and deliver a contract to the Contractor for the performance of the Feasibility Study. Grantee is not debarred, suspended, or to the best of its knowledge or belief, proposed for debarment or ineligible for the award of grants by any federal or state governmental agency or authority. 2. Grantee has included its Charter or Articles of Incorporation and a certificate of good standing issued within one month of the date of signature below, or the equivalents thereof, issued by the government of ___________. 3. Neither the Grantee nor any of its principal officers have, within the three-year period preceding the submission of this proposal, been convicted of or had a civil judgment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing an international, federal, state or local government contract or subcontract; violation of any antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, violating federal or state criminal tax laws, or receiving stolen property. 4. Neither the Grantee, nor any of its principal officers, is presently indicted for, or otherwise criminally or civilly charged with, commission of any of the offenses enumerated in paragraph 2 above.

5. There are no tax liens pending against the assets, property or business of the Grantee. The Grantee, has not, within the three-year period preceding the submission of this proposal, been notified of any delinquent taxes in an amount that exceeds US$3,000 for which the liability remains unsatisfied. Taxes are considered delinquent if (a) the tax liability has been fully determined, with no pending administrative or judicial appeals; and (b) a taxpayer has failed to pay the tax liability when full payment is due and required. 6. The Grantee has not commenced a voluntary case or other proceeding seeking liquidation, reorganization or other relief with respect to itself of its debts under any bankruptcy, insolvency or other similar law. The Grantee has not had filed against it an involuntary petition under any bankruptcy, insolvency or similar law. The Grantee shall notify USTDA if any of the



representations included herein are no longer true and correct at the time of its entry into a contract with the Contractor.

Name of Authorized Representative: ______________________________ Signature of Authorized Representative: ____________________________________ Date: ___________________________________



Generic/General Grant Proposal Format #3

Guidelines for applicants (following instructions of the potential grantor/funder)

Send _____ number of complete copies: cover sheet, five-page proposal, and attachments that have been specifically requested.

Use a standard font: no smaller than 12-point

Use no less than 2.5 cm margins (one inch).

Proposals by fax are/are not accepted.

Binders or folders are/are not accepted.

Your proposal must be double sided/single sided/no preference.

Please use the following paper: A4/A3, white/very light colored, recycled/no preference

Submit proposals in the following languages: English/French/Spanish, other: __________.

I. COVER SHEET

Organization or Agency Name: __________________________________________

Type of Entity: _______________________________________________________

Year organization was founded (if applicable): _____________________________

Date of grant proposal application: ______________________________________

Address: ____________________________________________________________

____________________________________________________________________

[Physical and mailing addresses]

Telephone number: ________________ Fax number: ________________________

[Include International Access Code]

Director: ____________________________________________________________

Website: _________________________ Email address: ______________________

Contact person and title (if not director): __________________________________

Website: _________________________ Email address: ______________________

Grant request: $ ___________________

Period grant will cover: ______________________ to ________________________

Type of request (general support, start-up, technical assistance, etc.): ___________

____________________________________________________________________

Project title (if project funding is requested): _______________________________

__________________________________________________________________________



[Make sure the title clearly relates to the actual purpose of your project]

Total project budget (if request is for other than general support): $_____________

Total organizational budget (current year): $________________________________

Starting date of fiscal/accounting year: ____________________________________

Summarize the organization‘s mission (two to three sentences):__________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

[Relate to your project name. Correlate to actual project and community being served or benefited.]

Summary of project or grant request (two to three sentences):__________________

_____________________________________________________________________

_____________________________________________________________________

[Two-three line summary, then bullet points if appropriate. Note that this version is less specific here than version #1.]

II. NARRATIVE (maximum of five pages)

[See comments on version #1. Make sure to reference attachments in this section.]

A. Introduction and Background of Organization or Agency (incorporate the following points):

1. Briefly describe your agency/organization‘s history and major accomplishments.

2. Describe your current programmes and activities.

3. Explain your constituency (be specific about demographics such as occupations, race, class, gender, ethnicity, age, and people with disabilities). Are they actively involved in your work? How will they benefit from this programme and/or the work done by your agency or organization?

4. If you are a grassroots group, describe your community. If you are a state, regional or national organization/agency, describe your work with local groups, if applicable, and how other regional, national, and/or international organizations are involved.

B. Describe your request (incorporating the following points):

1. Provide a ‗problem statement‘: What problems, needs, or issues does this grant proposal address?

2. If you are seeking other than general operating support, describe the programme(s) for which you seek funding, why you decided to pursue this project and whether it is a new or ongoing part of your organization or agency.



3. What are the goals, objectives and activities/strategies involved in this proposal? Describe your specific activities/strategies using a timeline for activities covered by this proposal.

4. How does your work directly benefit your area(s) of interest and the greater community?

5. Describe systemic, physical, social, or other changes you are trying to achieve: How does your work address and change the underlying or root causes of the problem?

III. ATTACHMENTS/REQUIREMENTS (supply everything requested/ required by the funder/ grantor you are approaching):

A. Evaluation

[Use quantitative terms to the maximum extent possible.]

Briefly describe your plan for evaluating the success of the project or your agency/ organization‘s work. What questions will be addressed? Who will be involved in evaluating this work—staff, board, constituents, government, international organization, community, consultants? How will the evaluation results be used?

B. Organizational Structure/Administration

1. Briefly describe how your organization works: What are the responsibilities of board, staff, and volunteers?

2. Who will be involved in carrying out the plans outlined in this grant proposal? Include a brief paragraph summarising the qualifications of key individuals involved.

3. Provide a list of your board of directors or other governing organization with related demographic information.

4. Include an organizational chart showing your decision making structure.

C. Finances

1. Provide the most recent, completed full year organizational financial statement (expenses, revenue and balance sheet), audited, if available.

2. Provide your agency/organization‘s current annual operating budget (use

any provided budget format).

3. Provide your current or planned project budget, other than general support (use any provided format).

4. Provide your projected operating budget for upcoming year (use any provided format).

5. List other funding sources available or applied for in support of this project. Include amounts and whether received, committed, or projected/pending.

6. Describe your plans for future fund raising.

7. Provide and other relevant financial/funding information.

D. Other Supporting Material

1. Letters of support/commitment (up to three).



2. Recent newsletter articles, newspaper clippings, evaluations, or reviews (up to three).

3. Latest annual report.

4. Videos/cassettes are accepted ONLY if specifically requested by the funder/grantor.

5. Other relevant information.



IV. BUDGET

If you already prepare organizational/agency and project budgets that approximate the required format, please feel free to submit them in their original forms. You may reproduce this form on your computer and/or submit separate pages for income and expenses.

Budget for the period: ______ to _______

EXPENSES/INCOME

Salaries and wages (breakdown by individual position and indicate full or part-time)

Fringe benefits and taxes

Consultant and professional fees

Travel

Equipment

Supplies

Training

Printing and copying

Telephone and fax

Postage and delivery

Rent and utilities

In-kind expenses

Other (specify)

TOTAL EXPENSES: $____________________

Government, agency, organization grants and contracts (specify)

Foundations (specify)

Corporations

Other institutions

Fundraising events and products

In-kind support

Other (earned income, consulting fees, and so forth. Please specify)

TOTAL INCOME: $____________________

BALANCE: $_________________________



Handout #4: Letter of Inquiry—www.cepf.net CEPF Letter of Inquiry

To submit your Letter of Inquiry, please send it to [email protected]. If you have any questions or concerns please send your inquiry to the same account and we will do all that we can to assist.




Organization Information

Organization Legal Name

Organization Short Name / Acronym, if any.

Project Lead Contact – Provide the name and contact information for the person responsible for correspondence with CEPF regarding this project.

Organization Chief Executive – Provide the name and contact information for the chief executive or person who is authorized to sign contracts on behalf of your organization.

Mailing Address

Physical Address – if different from mailing address above.

Country

Telephone

Fax, if any.

Web Site Address, if any.

E-mail Address – Provide an e-mail address. CEPF will use this to communicate the status of your application.

Total Permanent Staff

Year Organization Established

Organization Type

___ Local ____ International

Local organizations should be legally registered in a country within the hotspot where the project will be implemented and have an independent board of directors or other similar type of independent governing structure.

History and Mission Statement – Provide a brief description of your organization‘s history and mission, including experience relevant to the proposed project.



Eligibility Questions

CEPF funds may not be used to directly fund government agency activities. In addition, they may not be used for the purchase of land, involuntary resettlement of people, the capitalization of a trust fund or the alteration of any physical cultural property. If your proposed project involves any of these, CEPF is not in a position to fund your proposal. Where possible, you may revise your strategy to avoid these elements or you may wish to consult the ―Resources‖ section at www.cepf.net that provides links to additional funding sources and resource sites.

Do you represent, or is your organization controlled by, a government

agency?

Do you plan to use any of the potential project funds to purchase land?

Does the project involve the removal or alteration of any physical cultural property (includes movable or immovable objects, sites, structures, and natural features and landscapes that have archeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance)?

Does the project involve the relocation of people or any other form of involuntary resettlement?

Do you plan to use any of the project funds to capitalize a trust fund(s)?

Project Title and Request




Project Title

CEPF Region – Please list the CEPF region where your project will be implemented. CEPF funding regions are described on www.cepf.net.

Project Location – Define the geographic location (including country, corridor, site, etc) where project activities will take place.

Project Duration – Enter the approximate time period of your project.

Strategic Direction from the CEPF Ecosystem Profile – Enter the single

strategic direction this proposal aims to address. Use the exact number, such as 1, 2, etc. and wording from the ecosystem profile for this region found on www.cepf.net.

Total Project Budget –Enter the total budget for this project from all funding sources.

Counterpart Funding – Identify the amounts and sources of any other funding already secured to be directed to this project.

In-Kind Contributions – Enter the amount of your organization‘s contributions to be directed to this project and explain how these have been calculated.

Project Budget – Provide a breakdown of the proposed budget (in US$ and only for the CEPF funded portion of the project) using the following categories.

Salaries/Benefits:

Professional Services:

Rent and Storage:

Telecommunications:

Postage and Delivery:

Supplies:

Furniture and Equipment:

Maintenance:

Travel:

Meetings & Events:

Miscellaneous:

Sub-Grants:

Indirect Cost (max 13%):





Total Budget:

Safeguard Policy Aspects If the answer to one or more of the following questions is marked Yes, please summarize the potential impacts and how these might be avoided or mitigated. Please be aware that CEPF may ask applicants for additional information and project documentation if the project possesses the potential to trigger Safeguard Policies.

Environmental Aspects

Will the proposed project involve activities that are likely to have adverse impacts on the environment? [ ] Yes [ ] No

Justification I - Provide rationale for environmental impact if the answer marked is Yes.

Social Aspects

Will the proposed project involve activities that are likely to have

adverse impacts on the local community? [ ] Yes [ ] No Justification II - Provide rationale for social impact if the answer marked is Yes.



Letter of Inquiry The letter of inquiry is meant to provide CEPF with an overview of the project concept. It is typically 2-3 pages in length, and must include at least the following information:

Project Rationale – Describe the conservation need (key threats and/or important opportunities) your project aims to address and what would happen if this project were not implemented.

Project Approach – Describe the proposed strategy and actions of your

project in response to the conservation need stated above. Include the expected results of the project and any potential risks you face in implementing this plan. (no more than 500 words)

Link to CEPF Investment Strategy – How does your project relate to the CEPF investment strategy presented in the Ecosystem Profile? (This document may be found at www.cepf.net) Your answer should include reference to a specific strategic direction from the relevant ecosystem profile that the project will support.

Project Partners / Stakeholders – List any partners to be directly involved in implementing this project as well as important stakeholders and how you have involved them in your planning.

Long-term Sustainability/Replicability – Describe how project components or results will continue or be replicated beyond the initial project.

Please compose your letter of inquiry in the section below.

* Letter of Inquiry




Sample Data Entry Form

Funder to which this application is directed

Date of Application

ORGANIZATION NAME

Applicant Organization (Full Legal Name)

Doing Business As

Previous Name, if changed

Name of Executive Director

Name of Attorney (if applicable)

Name of Accountant (if applicable)

Name of Contract Fundraiser (if applicable)

Name of Fiscal Sponsor (if applicable)

CONTACT INFORMATION

Proposal Contact Name

Title

Phone

Fax

E-mail

Street Address

City

State

Zip Code

Organization Website

Mailing Address (if different than physical address)

City

State

Zip Code

ORGANIZATION FINANCIAL INFORMATION

Organization‘s Budgeted Expenses for Current Year (give fiscal year end:

$



dd/mm/yyyy)

Organization‘s Major Funding Sources by percentage

ORGANIZATION‘S AFFILIATIONS

Specify:

Regional/International organizations:

REQUEST DATA

Programme/Project Title

Total Budget for this Programme/Project

$

Amount of this request $

Grant Duration (e.g., one-year grant, etc.)

Anticipated Project Start Date

Community served by or benefitting from this

Programme/Project

Total number of people to be served during grant period

Brief demographic description of population served by this Programme/Project

TYPE OF REQUEST (check all that apply and see glossary for definitions)

Capital Technical assistance Operating Endowment Programme/Project Start-up Other (specify)

SIGNATURES (both are required unless otherwise specified by funder)

Signature of Executive Director

Signature of Oversight Authority



Handout #5: Sample Pre-proposal Form

CENTER FOR THE COMMERCIALIZATION OF INNOVATIVE TRANSPORTATION TECHNOLOGY

(CCITT OR ―SEE IT‖)

USDOT UNIVERSITY TRANSPORTATION CENTER

NORTHWESTERN UNIVERSITY

Transportation Innovation Gap Research Grant Pre-Proposal

2009 - 2010



CENTER FOR THE COMMERCIALIZATION OF INNOVATIVE TRANSPORTATION TECHNOLOGY

Grant Pre-Proposal Cover Sheet

2009 – 2010

Project Title:

Primary Contact:

Title:

Phone:

Email:

NU Address:

Assistant email:

Total Funds Requested: $ (75,000 maximum)

Proposed Project Duration:

(12 months maximum)

Principal Investigator information:

Name School Department

Email

PI

Co-PI

Co-PI

Co-PI



Other Project Team Members

Name School Departme

nt Email



[PROJECT TITLE]

[Principal Investigator]

PRE-PROPOSAL

[Text not to exceed 2 pages, 11 pt. font either Times New Roman or Arial, 0.5

inch margins, not including cover sheet, bio-sketches and summary budget.]

Project Summary

In one paragraph or less, summarize the translational research project opportunity and research approach. [Note: The goal of this program is to move existing research closer to application and implementation in the transportation practitioner community. Projects that measurably position innovations for technology transfer or commercialization are expected.]

Needs Statement

Provide an overview of the need you expect to address or problem you propose to solve. Describe how the need or problem affects the safety, mobility, global connectivity, mobility, environmental impact, or security of the surface transportation system. Discuss the transportation sector end-user, practitioner or customer who is impacted by the problem. Elaborate on the severity of the problem or ―pain‖ encountered by this end-user. Explain what difference will be made if the problem is addressed. Please provide evidence and references that support your claim, such as priorities identified by TRB, USDOT, transportation associations, etc. For example, see:

TRB IDEA program: http://onlinepubs.trb.org/onlinepubs/sp/IDEA_announcement.pdf

USDOT SBIR program: http://www.volpe.dot.gov/sbir/previous.html

CCITT website: http://www.ccitt.northwestern.edu/resources.html

Proposed Solution

Describe your proposed solution to the problem. Describe what is unique and novel about the solution and research approach. Your description of the solution and approach should be understood by others only moderately familiar with the field of study and research. Please explain how the proposed research builds off of the current research, expertise, prior work, intellectual property and innovations of the proposed research team. Please include diagrams, charts, or other graphic means to help explain your proposed solution.

Implementation (or Commercialization) Strategy

http://onlinepubs.trb.org/onlinepubs/sp/IDEA_announcement.pdf

http://www.volpe.dot.gov/sbir/previous.html

http://www.ccitt.northwestern.edu/resources.html



Describe the anticipated path to implementing your research project in practice - examples include: additional sponsored research, including corporate funding sources; licensing; consulting engagements; industrial collaboration; and business startup opportunity. Address the potential barriers to adoption of your innovation in the marketplace. Describe the alternative solutions in practice or in development that could or might address the problem. List and describe anticipated research project and end-user adoption risks. Discuss assistance that might be needed to help move your innovation to market or transfer knowledge to the transportation practitioners.

Research Strategy and Outcomes

Briefly describe your research strategy. Highlight the key tasks or milestones that you expect to achieve during the course of the project. Itemize the accomplishments and deliverables expected at the end of the project, such as a feasibility study, proof of concept, prototype, etc. Discuss the path to implementation within a 12 to 36 month period.

Project Team and Partners

List Northwestern research team members including faculty and students and industrial or government partners, if applicable. Please disclose if the Northwestern investigators have any financial or ownership relationship with any proposed industrial collaborators or partners. Please disclose any potential conflicts of interest and how they will be managed. [List is part of cover sheet.]

Resources and Budget

Provide a summary budget describing approximate resources including people, equipment and supplies that will be needed to complete the project. Total project costs may not exceed $75,000. The total must include the indirect cost rate of 51 percent.

[Note: Cost sharing (cash or in-kind), desirably from external partners and $1.10 for every $1.00 provided by CCITT, is required. Match from external partners with the capability to implement the project outcome is highly encouraged and will be given the highest priority.]

Reviewers Internal and external reviewers, including the CCITT Director, CCITT Advisory Board members and at least one reviewer from the Research and Innovative Technology Administration (RITA), will be engaged to evaluate the proposals. Please indicate if there is anyone, internal or external to Northwestern, you would prefer not to receive a copy of this proposal.

[source: www.ccitt.northwestern.edu ]

http://www.ccitt.northwestern.edu/



Handout #5: Sample Outline with Page Counts: Based on Sample Full Grant Agreement to be worked on later in this session.

A. Abstract—One page. Note that an abstract, or other summary document, is written LAST. How can you summarise that which does not yet exist? Writing a summary FIRST leads to a proposal that is illogical and often incomplete or otherwise noncompliant.

1. RFP Title

2. Proposal/Project title

3. Investigators

4. Agency/Organization

5. Project Period and Location

6. Project Cost

7. Project Summary

8. Supplemental Keywords

B. Research Plan—15 pages

1. Objectives—1 page

2. Approach/Activities—5 pages

3. Expected Results, Benefits, Outputs, and Outcomes—5 pages

4. General Project Information—3 pages

5. Appendices—but must fit within 15-page limit—1 page

C. Quality Assurance Statement—3 pages

1. Responsible Investigator and Approach—1/4 page

2. Project Objectives and Hypotheses—1/2 page

3. Project Elements—1 page

4. Use of Previously Collected/Reference Data—1/4 page

5. Method Development—1/2 page

6. Development/Refinement of Models—1/8 page

7. Development/Operation of Environmental Technology—1/4 page

8. Any Relevant Surveys—1/8 page

D. Data Plan—Two pages

E. References—No page limit

F. Budget and Budget Justification

1. Budget—Use specified form

2. Budget Justification—2 pages

G. Résumés



H. Current and Pending Support (use form)

I. Guidelines, Limitations, and Additional Requirements

1. Letters of Support/Intent

2. Confidentiality

J. Other specified forms (may go at beginning)



Handout #6: Options 1 and 2



Option 1: WWB-LAC (Sample) Grant Solicitation

Source: http://informer.ogrd.wsu.edu/Opportunity.aspx?ID=5796

Instructions for non-U.S. grant applicants:

STEPS TO APPLY FOR A GRANT:

Read the Assistance Award Guidelines.

Obtain a DUNS number. Applicants without a DUNS number need to go to Dun and Bradstreet website to request one.

Develop a Project Narrative – The project narrative consists of goals, activities, benefits, monitoring and organization overview. You can find more detailed information in Section IV - Part C of the Notice of Funding Availability. The narrative must include a Project Timeline

Develop a Project Budget – Budgets should include funded equipment, indirect costs and program income. You can find more information in Section IV - Part C of the NOFA. An example can be found here at Budget Example

Obtain a government endorsement letter from the agency responsible for the area or species your project protects.

Grant Solicitation Title: Wildlife Without Borders - Latin America and

the Caribbean Program (WWB-LAC) - WWBLAC2010 ACCN: 121519

Sponsors: U.S. Fish and Wildlife Service (FWS); United States Department of the Interior (DOI)

Sponsor Types: Federal, U.S.

Internal Deadline: - Agency Deadline: 02/15/2011 Next Deadline (est): - Agency Deadline

Note: Organizational Limit: Amount: $5,000 Upper Amount: $50,000 Amount

Note: The expected number of awards is 35.

The estimated total program funding is $1,020,000.

The award ceiling is $50,000. The award floor is $5,000. Due to the limited funds available, preference is given to proposals requesting less than $25,000 and demonstrating significant in-kind or financial matching support. Higher amounts may be requested with appropriate justification.

Although the period of performance for projects funded under this program is typically one year, there are no restrictions on funding proposals for activities exceeding one year. The period of performance for all funded projects begins on the date the award is signed by the USFWS.

Past and present recipients of awards under this Fund are eligible but must submit new proposals to compete for funding each year. This program uses grant agreements and cooperative agreements as the primary assistance instruments.

http://informer.ogrd.wsu.edu/Opportunity.aspx?ID=5796

http://www.fws.gov/international/DIC/pdf/AAG_2-24-10.pdf

http://www.fws.gov/scripts/exit.cfm?link=http://fedgov.dnb.com/webform/pages/CCRSearch.jsp&linkname=Dun%20and%20Bradstreet

http://www.fws.gov/international/DIC/pdf/Sample_timetable.pdf

http://www.fws.gov/international/DIC/pdf/Sample_budget.pdf



Eligibility: Applicants under this program can be federal, state and local government agencies; nonprofit, nongovernmental organizations; and public and private institutions of higher education. U.S. nonprofit, nongovernmental organizations must submit documentary evidence of their Section 501(c)(3) nonprofit status.

Citizenship: United States Activity Location: Caribbean; Latin America

Requirements: Academic Institution; Government; Nonprofit Abstract: The WWB-LAC funds projects designed to strengthen the ability of Latin American and Caribbean institutions to manage and conserve species, habitats, and ecological processes for the benefit of the people of the Americas and the world. Of particular interest are projects that build the

human and institutional capacity to effectively conserve and manage natural protected areas in Latin America and the Caribbean.

Program objectives are:

(1) to advance, through capacity building, the transition of protected areas from legally established but under-implemented "paper parks" to effectively managed landscapes, benefiting species of regional concern

(2) to develop, strengthen, and replicate high-quality conservation training programs that reach the priority audiences associated with protected areas.

The priority audiences for the training supported by this program include:

Protected area managers and administrators

Protected area guards and rangers

Protected area outreach and education specialists

Community leaders (living in and around protected areas)

Decision-makers who influence protected areas (including private landowners, legislators, public officials)

Upper-level students (working on projects in and around protected areas).

The subject areas for training/capacity building initiatives that this program seeks to support are listed below. Proposals can address multiple subject

areas:

Protected Area/Buffer Zone Management

Sustainable Natural Resource Management

Private Management/Co-management

Law: Policy Understanding and Enforcement

Monitoring and Evaluation (species and populations)

Human-Wildlife Conflict 7. Illegal Hunting

Ecosystem Rehabilitation/Restoration

Community Engagement/Public Participation

Environmental Education and Outreach

Environmental Leadership and Governance

Participatory Public Policy Development

Voluntary Conservation Incentives (economic or other)

Conservation Finance Mechanisms



Sustainable Development and Ecotourism

Project Development/Management

Grant Writing and Fundraising

Increasing Media Awareness

Establishing/Managing Partnerships (with domestic and international institutions/agencies that directly or indirectly influence protected areas)

Training Needs (identify and prioritize)

Note: This list does not exclude other possible relevant topics, and not all subject areas will be relevant to all audiences. Projects should take place in Latin America or the Caribbean, ideally in a recognized high priority ecosystem or ecoregion , or a key location associated with flagship, endangered, or migratory species of regional concern. If work is to be conducted outside that region, the proposal must explain why it is preferable that the project is implemented elsewhere.

Bookmark URL: http://fundingopps.cos.com/cgi-bin/getRec?id=121519

Keywords: Biodiversity; Ecosystems; Endangered Species; Environmental Conservation; Environmental Law; Environmental Management; Wildlife Funding Type: Collaboration or Cooperative Agreement; Program or Curriculum Development or Provision Sponsor Ref No: Last Updated: 11/23/2010

http://fundingopps.cos.com/cgi-bin/getRec?id=121519



Option 2: Sample Grant Application Instructions United Nations Permanent Forum on Indigenous Issues

Trust Fund for the Second International Decade of the World‘s Indigenous Peoples

[email protected] Grant Application Instructions

General Instructions: The completed application, including the Summary Sheet, should be 5-8 pages in length and may not in any case exceed 8 pages. Supporting documents requested in Section 5 do not count towards this page limit.

The application must address each of the questions listed below. While suggested page limits are supplied for each question, applicants may expand or shorten their responses at their discretion, so long as each question is fully addressed, and the total application, including Information Sheet, does not exceed 8 pages. Please answer each question in the order asked and utilize the organizational headings provided below as your section headers.

1. Summary Sheet. Maximum Length: 1 page.

See Instructions for Completing Summary Sheet for detailed information.

2. Organization. Suggested Length: 1 page.

Please describe the history and purpose of your organization, including its mission statement if appropriate, and provide details of its governing and organizational structure.

3. Project. Suggested Length: 4 pages.

A. Problem background: Describe the problem or issue your project seeks to

address.

B. Objectives: Describe the specific goals and objectives of the project.

C. Beneficiaries: Detail the indigenous peoples or communities who will benefit from your project (provide an estimate of participants women/men/youth/others).

D. Means: Please describe in detail the activities and their aim to be implemented during the project.

E. Timeline: Please provide a timeline/ work plan for the phases of your project (month/activity).

Permission is granted to duplicate materials for non-commercial, non-profit purposes

only provided acknowledgement is given. All other rights are reserved. 140

Example of Plan of activities

Month 1 2 3 4 5 6 7 8 9 10 11 12

Activity

Activity 1

x x x

Activity 2

x x x x

Activity 3

x x x

Activity 4

x x x x x x x

F. Evaluation: Describe the projected results of your project and the means by

which you will measure success. Please also describe here the long-term or on-

going benefits of your project and/or how this project will continue to operate or

provide benefits after this grant has been concluded.

4. Budget. Suggested length 1 page.

Provide a detailed budget in US dollars for this project. Indicate other funding sources including, if appropriate, any funds allocated from your organization‘s budget. Please also provide information regarding your organization‘s overall annual budget.

Example of budget structure:

ITEMs/activity # OF UNITS

COST PER UNIT $US

Funds provided by Org.

Funds provided by UN

OTHER funds (from other donors)

Total costs $US

Budget item 1

Budget item 2

Budget item 3

TOTAL



5. Verifications.

A. Organizational Status. Please attach a copy of your organization‘s bylaws.

B. Free, Prior and Informed Consent. Please attach documentation confirming that your organization has obtained the free, prior and informed consent of the indigenous peoples/communities you seek to serve. All project proposals must include written evidence of free, prior and informed consent, such as a letter or document including names, signatures and contact details of the indigenous peoples, groups or communities you seek to serve.



Handout # 7: Grant Proposal Writing Short Course

Used with permission of The Foundation Center; © The Foundation Center

Grant Proposal Writing ―Short Course‖

Components of a Proposal

Executive Summary

umbrella statement of your case and summary of the entire proposal 1 page

Statement of Need

why this project is necessary 2 pages

Project Description

nuts and bolts of how the project will be implemented and evaluated 3 pages

Budget

financial description of the project plus explanatory notes 1 page

Organiza-tional Information

history and governing structure of the nonprofit; its primary activities,

audiences, and services 1 page

Conclusion

summary of the proposal's main points

2 para-graphs



The Executive Summary

This first page of the proposal is the most important section of the entire document. Here you will provide the reader with a snapshot of what is to follow. Specifically, it summarizes all of the key information and is a sales document designed to convince the reader that this project should be considered for support. Be certain to include:

Problem A brief statement of the problem or need your agency has recognized and is prepared to address (one or two paragraphs).

Solution A short description of the project, including what will take place and how many people will benefit from the program, how and where it will operate, for how long, and who will staff it (one or two paragraphs).

Funding requirements An explanation of the amount of grant money required for the project and what your plans are for funding it in the future (one paragraph).

Organization and its expertise A brief statement of the history, purpose, and activities of your agency, emphasizing its capacity to carry out this proposal (one paragraph).

The Statement of Need

If the grants decision-maker reads beyond the executive summary, you have successfully piqued his or her interest. Your next task is to build on this initial interest in your project by enabling the funder to understand the problem that the project will remedy.

The statement of need will enable the reader to learn more about the issues. It presents the facts and evidence that support the need for the project and establishes that your nonprofit understands the problems and therefore can reasonably address them. The information used to support the case can come from authorities in the field, as well as from your agency's own experience.

You want the need section to be succinct, yet persuasive. Like a good debater, you must assemble all the arguments. Then present them in a logical sequence that will readily convince the reader of their importance. As you marshal your arguments, consider the following six points.

First, decide which facts or statistics best support the project. Be sure the data you present are accurate. There are few things more embarrassing than to have the funder tell you that your information is out of date or incorrect. Information that is too generic or broad will not help you develop a winning argument for your project. Information that does not relate to your organization or the project you are presenting will cause the funder to question the entire proposal. There also should be a balance between the information presented and the scale of the program.

Second, give the reader hope. The picture you paint should not be so grim that the solution appears hopeless. The funder will wonder whether an investment in your solution would be worthwhile. Here's an example of a solid statement of need: "Breast cancer kills. But statistics prove that regular check-ups catch most breast



cancer in the early stages, reducing the likelihood of death. Hence, a program to encourage preventive check-ups will reduce the risk of death due to breast cancer." Avoid overstatement and overly emotional appeals.

Third, decide if you want to put your project forward as a model. This approach could expand the base of potential funders. But serving as a model works only for certain types of projects. Don't try to make this argument if it doesn't really fit. Funders may well expect your agency to follow through with a replication plan if you present your project as a model.

If the decision about a model is affirmative, you should document how the problem you are addressing occurs in other communities. Be sure to explain how your solution could be a solution for others as well.

Fourth, determine whether it is reasonable to portray the need as acute. You are asking the funder to pay more attention to your proposal because either the problem you address is worse than others or the solution you propose makes more sense than others. Here is an example of a balanced but weighty statement: "Drug abuse is a national problem. Each day, children all over the country die from drug overdose. In the South Bronx the problem is worse. More children die here than any place else. It is an epidemic. Hence, our drug prevention program is needed more in the South Bronx than in any other part of the city."

Fifth, decide whether you can demonstrate that your program addresses the need differently or better than other projects that preceded it. It is often difficult to describe the need for your project without being critical of the competition. But you must be careful to do so. Being critical of other nonprofits will not be well received by the funder. It may cause the funder to look more carefully at your own project to see why you felt you had to build your case by demeaning others. The funder may have invested in these other projects or may begin to consider them, now that you have brought them to the funder's attention.

If possible, you should make it clear that you are cognizant of, and on good terms with, others doing work in your field. Keep in mind that today's funders are very interested in collaboration. They may even ask why you are not collaborating with those you view as key competitors. So at the least you need to describe how your work complements, but does not duplicate, the work of others.

Sixth, avoid circular reasoning. In circular reasoning, you present the absence of

your solution as the actual problem. Then your solution is offered as the way to solve the problem. For example, the circular reasoning for building a community swimming pool might go like this: "The problem is that we have no pool in our community. Building a pool will solve the problem." A more persuasive case would cite what a pool has meant to a neighboring community, permitting it to offer recreation, exercise, and physical therapy programs. The statement might refer to a survey that underscores the target audience's planned usage of the facility and conclude with the connection between the proposed usage and potential benefits to enhance life in the community for audiences the funder cares about.

The statement of need does not have to be long and involved. Short, concise information captures the reader's attention.

The Project Description

This section of your proposal should have five subsections: objectives, methods, staffing/administration, evaluation, and sustainability. Together, objectives and



methods dictate staffing and administrative requirements. They then become the focus of the evaluation to assess the results of the project. The project's sustainability flows directly from its success, hence its ability to attract other support. Taken together, the five subsections present an interlocking picture of the total project.

Objectives Objectives are the measurable outcomes of the program. They define your methods. Your objectives must be tangible, specific, concrete, measurable, and achievable in a specified time period. Grantseekers often confuse objectives with goals, which are conceptual and more abstract. For the purpose of illustration, here is the goal of a project with a subsidiary objective:

Goal: Our after-school program will help children read better.

Objective: Our after-school remedial education program will assist 50 children in improving their reading scores by one grade level as demonstrated by standardized reading tests administered after participating in the program for six months.

The goal in this case is abstract: improving reading, while the objective is much more specific. It is achievable in the short term (six months) and measurable (improving 50 children's reading scores by one grade level).

With competition for dollars so great, well-articulated objectives are increasingly critical to a proposal's success.

Using a different example, there are at least four types of objectives:

1. Behavioral - A human action is anticipated.

Example: Fifty of the 70 children participating will learn to swim.

2. Performance - A specific time frame within which a behavior will occur, at an expected proficiency level, is expected.

Example: Fifty of the 70 children will learn to swim within six months and will pass a basic swimming proficiency test administered by a Red Cross-certified lifeguard.

3. Process - The manner in which something occurs is an end in itself.

Example: We will document the teaching methods utilized, identifying those with the greatest success.

4. Product - A tangible item results.

Example: A manual will be created to be used in teaching swimming to this age and proficiency group in the future.

In any given proposal, you will find yourself setting forth one or more of these types of objectives, depending on the nature of your project. Be certain to present the objectives very clearly. Make sure that they do not become lost in verbiage and that they stand out on the page. You might, for example, use numbers, bullets, or indentations to denote the objectives in the text. Above all, be realistic in setting objectives. Don't promise what you can't deliver. Remember, the funder will want to be told in the final report that the project actually accomplished these objectives.

Methods

By means of the objectives, you have explained to the funder what will be achieved by the project. The methods section describes the specific activities that will take



place to achieve the objectives. It might be helpful to divide our discussion of methods into the following: how, when, and why.

How: This is the detailed description of what will occur from the time the project begins until it is completed. Your methods should match the previously stated objectives.

When: The methods section should present the order and timing for the tasks. It might make sense to provide a timetable so that the grants decision-maker does not have to map out the sequencing on his or her own. The timetable tells the reader "when" and provides another summary of the project that supports the rest of the methods section.

Why: You may need to defend your chosen methods, especially if they are new or unorthodox. Why will the planned work most effectively lead to the outcomes you anticipate? You can answer this question in a number of ways, including using expert testimony and examples of other projects that work.

The methods section enables the reader to visualize the implementation of the project. It should convince the reader that your agency knows what it is doing, thereby establishing its credibility.

Staffing/Administration

In describing the methods, you will have mentioned staffing for the project. You now need to devote a few sentences to discussing the number of staff, their qualifications, and specific assignments. Details about individual staff members involved in the project can be included either as part of this section or in the appendix, depending on the length and importance of this information.

"Staffing" may refer to volunteers or to consultants, as well as to paid staff. Most proposal writers do not develop staffing sections for projects that are primarily volunteer run. Describing tasks that volunteers will undertake, however, can be most helpful to the proposal reader. Such information underscores the value added by the volunteers as well as the cost-effectiveness of the project.

For a project with paid staff, be certain to describe which staff will work full time and which will work part time on the project. Identify staff already employed by your nonprofit and those to be recruited specifically for the project. How will you free up the time of an already fully deployed individual?

Salary and project costs are affected by the qualifications of the staff. Delineate the practical experience you require for key staff, as well as level of expertise and educational background. If an individual has already been selected to direct the program, summarize his or her credentials and include a brief biographical sketch in the appendix. A strong project director can help influence a grant decision.

Describe for the reader your plans for administering the project. This is especially important in a large operation, if more than one agency is collaborating on the project, or if you are using a fiscal agent. It needs to be crystal clear who is responsible for financial management, project outcomes, and reporting.

Evaluation

An evaluation plan should not be considered only after the project is over; it should be built into the project. Including an evaluation plan in your proposal indicates that you take your objectives seriously and want to know how well you have achieved them. Evaluation is also a sound management tool. Like strategic



planning, it helps a nonprofit refine and improve its program. An evaluation can often be the best means for others to learn from your experience in conducting the project.

There are several types of formal evaluation. One measures the product; others analyze the process and/or strategies you've adopted. Most seek to determine the impact on the audiences you serve and the measurable outcomes of your grant project. Either or both might be appropriate to your project. The approach you choose will depend on the nature of the project and its objectives. Whatever form your evaluation takes, you will need to describe the manner in which evaluation information will be collected and how the data will be analyzed.

Most sound evaluation plans include both qualitative and quantitative data. You

should also present your plan for how the evaluation and its results will be reported and the audience to which it will be directed. For example, it might be used internally or be shared with the funder, or it might deserve a wider audience. A funder might even have an opinion about the scope of this dissemination. Many funders also have suggestions about who should conduct the evaluation, whether it be your own program staff or outside consultants. Some funders allow for the inclusion of the cost of evaluation as part of the project budget.

Sustainability

A clear message from grantmakers today is that grantseekers will be expected to demonstrate in very concrete ways the long-term financial viability of the project to be funded and of the nonprofit organization itself.

It stands to reason that most grantmakers will not want to take on a permanent funding commitment to a particular agency. Rather, funders will want you to prove either that your project is finite (with start-up and ending dates); or that it is capacity-building (that it will contribute to the future self-sufficiency of your agency and/or enable it to expand services that might generate revenue); or that it will make your organization attractive to other funders in the future. Evidence of fiscal sustainability is a highly sought-after characteristic of the successful grant proposal.

It behooves you to be very specific about current and projected funding streams, both earned income and fundraising, and about the base of financial support for your nonprofit. Here is an area where it is important to have backup figures and

prognostications at the ready, in case a prospective funder asks for these, even though you are unlikely to include this information in the actual grant proposal. Some grantmakers, of course, will want to know who else will be receiving a copy of this same proposal. You should not be shy about sharing this information with the funder.

The Budget

The budget for your proposal may be as simple as a one-page statement of projected revenue and expenses. Or your proposal may require a more complex presentation, perhaps including a page on projected support and notes explaining various items of expense or of revenue.

Expense Budget

As you prepare to assemble the budget, go back through the proposal narrative and make a list of all personnel and nonpersonnel items related to the operation of the project. Be sure that you list not only new costs that will be incurred if the project



is funded but also any ongoing expenses for items that will be allocated to the project. Then get the relevant costs from the person in your agency who is responsible for keeping the books. You may need to estimate the proportions of your agency's ongoing expenses that should be charged to the project and any new costs, such as salaries for project personnel not yet hired. Put the costs you have identified next to each item on your list.

Your list of budget items and the calculations you have done to arrive at a dollar figure for each item should be summarized on worksheets. You should keep these to remind yourself how the numbers were derived. These worksheets can be useful as you continue to develop the proposal and discuss it with funders; they are also a valuable tool for monitoring the project once it is under way and for reporting after completion of the grant.



A portion of a worksheet for a year-long project might look like this:

Item Description

Cost

Executive director

Supervision 10% of salary = $10,000

25% benefits = $ 2,500

Project director

Hired in month one

11 months at $35,000 = $32,083

25% benefits = $ 8,025

Tutors

12 working 10 hours per week for three months

12 x 10 x 13 x $ 4.50 = $ 7,020

Office space

Requires 25% of current space

25% x $20,000 = $ 5,000

Overhead 20% of project cost

20% x $64,628 = $12,926

With your worksheets in hand, you are ready to prepare the expense budget. For most projects, costs should be grouped into subcategories, selected to reflect the critical areas of expense. All significant costs should be broken out within the subcategories, but small ones can be combined on one line. You might divide your expense budget into personnel and nonpersonnel costs; your personnel subcategories might include salaries, benefits, and consultants. Subcategories under nonpersonnel costs might include travel, equipment, and printing, for example, with a dollar figure attached to each line. Overhead, or indirect costs, is important to include because projects do not exist in isolation. Funders may have policies regarding the percentage of overhead they will allow in a project budget, if they allow it at all.

Support and Revenue and Statement

For the typical project, no support and revenue statement is necessary. The expense budget represents the amount of grant support required. But if grant support has already been awarded to the project, or if you expect project activities to generate income, a support and revenue statement is the place to provide this information.

In itemizing grant support, make note of any earmarked grants; this will suggest how new grants may be allocated. The total grant support already committed should then be deducted from the "Total Expenses" line on the expense budget to give you the "Amount to Be Raised" or the "Balance Requested."

Any earned income anticipated should be estimated on the support and revenue statement. For instance, if you expect 50 people to attend your performance on each of the four nights, it is given at $10 a ticket, and if you hope that 20 of them will buy the $5 souvenir book each night, you would show two lines of income,



"Ticket Sales" at $2,000 and "Souvenir Book Sales" at $400. As with the expense budget, you should keep backup worksheets for the support and revenue statement to remind yourself of the assumptions you have made.

Budget Narrative

A narrative portion of the budget is used to explain any unusual line items in the budget and is not always needed. If costs are straightforward and the numbers tell the story clearly, explanations are redundant.

If you decide a budget narrative is needed, you can structure it in one of two ways. You can create "Notes to the Budget," with footnote-style numbers on the line items in the budget keyed to numbered explanations. If an extensive or more general explanation is required, you can structure the budget narrative as straight text.

Remember though, the basic narrative about the project and your organization belongs elsewhere in the proposal, not in the budget narrative.

Organizational Information

Normally a resume of your nonprofit organization should come at the end of your proposal. Your natural inclination may be to put this information up front in the document. But it is usually better to sell the need for your project and then your agency's ability to carry it out.

It is not necessary to overwhelm the reader with facts about your organization. This information can be conveyed easily by attaching a brochure or other prepared statement. In two pages or less, tell the reader when your nonprofit came into existence; state its mission, being certain to demonstrate how the subject of the proposal fits within or extends that mission; and describe the organization's structure, programs, leadership, and special expertise.

Discuss the size of the board, how board members are recruited, and their level of participation. Give the reader a feel for the makeup of the board. (You should include the full board list in an appendix.) If your agency is composed of volunteers or has an active volunteer group, describe the function that the volunteers perform. Provide details on the staff, including the numbers of full and part-time staff, and their levels of expertise.

Describe the kinds of activities in which your staff engage. Explain briefly the assistance you provide. Describe the audience you serve, any special or unusual needs they face, and why they rely on your agency. Cite the number of people who are reached through your programs.

Tying all of the information about your nonprofit together, cite your agency's expertise, especially as it relates to the subject of your proposal.

Letter Proposal

Sometimes the scale of the project might suggest a small-scale letter format proposal, or the type of request might not require all of the proposal components or the components in the sequence recommended here. The guidelines and policies of individual funders will be your ultimate guide. Many funders today state that they prefer a brief letter proposal; others require that you complete an application form. In any case, you will want to refer to the basic proposal components as provided here to be sure that you have not omitted an element that will support your case.

As noted, the scale of the project will often determine whether it requires a letter or the longer proposal format. For example, a request to purchase a $1,000 fax



machine for your agency simply does not lend itself to a lengthy narrative. A small contribution to your agency's annual operating budget, particularly if it is a renewal of past support, might also warrant a letter rather than a full-scale proposal.

What are the elements of a letter request? For the most part, they should follow the format of a full proposal, except with regard to length. The letter should be no more than three pages. You will need to call upon your writing skills because it can be very hard to get all of the necessary details into a concise, well-articulated letter.

As to the flow of information, follow these steps while keeping in mind that you are writing a letter to another person. It should not be as formal in style as a longer proposal would be. It may be necessary to change the sequence of the text to

achieve the correct tone and the right flow of information.

Here are the components of a good letter proposal:

Ask for the gift: The letter should begin with a reference to your prior contact with the funder, if any. State why you are writing and how much funding is required from the particular foundation.

Describe the need: In a very abbreviated manner, tell the funder why there is a need for this project, piece of equipment, etc.

Explain what you will do: Just as you would in a fuller proposal, provide enough detail to pique the funder's interest. Describe precisely what will take place as a result of the grant.

Provide agency data: Help the funder know a bit more about your organization by including your mission statement, brief description of programs offered, number of people served, and staff, volunteer, and board data, if appropriate.

Include appropriate budget data: Even a letter request may have a budget that is a half-page long. Decide if this information should be incorporated into the letter or in a separate attachment. Whichever course you choose, be sure to indicate the total cost of the project. Discuss future funding only if the absence of this information will raise questions.

Close: As with the longer proposal, a letter proposal needs a strong concluding statement. Offer to provide more details or meet with the funder.

Attach any additional information required: The funder may need much of the same information to back up a small request as a large one: a board list, a copy of your IRS determination letter, financial documentation, and brief resumes of key staff.

It may take as much thought and data gathering to write a good letter request as it does to prepare a full proposal (and sometimes even more). Don't assume that because it is only a letter, it isn't a time-consuming and challenging task. Every document you put in front of a funder says something about your agency. Each step you take with a funder should build a relationship for the future.

Conclusion

Every proposal should have a concluding paragraph or two. This is a good place to call attention to the future, after the grant is completed. If appropriate, you should outline some of the follow-up activities that might be undertaken to begin to



prepare your funder for your next request. Alternatively, you should state how the project might carry on without further grant support.

This section is also the place to make a final appeal for your project. Briefly reiterate what your nonprofit wants to do and why it is important. Underscore why your agency needs funding to accomplish it. Don't be afraid at this stage to use a bit of emotion to solidify your case.

What Happens Next?

Submitting your proposal is nowhere near the end of your involvement in the grantseeking process. Grant review procedures vary widely, and the decision-making process can take anywhere from a few weeks to six months or more. During the review process, the funder may ask for additional information either

directly from you or from outside consultants or professional references. Invariably, this is a difficult time for the grantseeker. You need to be patient but persistent. Some grantmakers outline their review procedures in annual reports or application guidelines. If you are unclear about the process, don't hesitate to ask.

If your hard work results in a grant, take a few moments to acknowledge the funder's support with a letter of thanks. You also need to find out whether the funder has specific forms, procedures, and deadlines for reporting on the progress of your project. Clarifying your responsibilities as a grantee at the outset, particularly with respect to financial reporting, will prevent misunderstandings and more serious problems later.

Nor is rejection necessarily the end of the process. If you're unsure why your proposal was turned down, ask. Did the funder need additional information? Would they be interested in considering the proposal at a future date? Now might also be the time to begin cultivation of a prospective funder. Put them on your mailing list so that they can become further acquainted with your organization. Remember, there's always next year.

Source: http://foundationcenter.org/getstarted/tutorials/shortcourse/components.html

Used with permission (on file at [email protected])

http://foundationcenter.org/getstarted/tutorials/shortcourse/components.html




Handout # 8 Tips for Writing an Effective Grant Proposal

1. Contact the potential funder in advance of submission; develop a relationship with the funder and seek specific advice about your project. 2. Review successful applications (and their project descriptions) to look for effective ways proposal writers have conveyed their ideas; adapt these strategies to fit the purpose and direction of your project. Carefully read them and the funding agency's requests for applications, RFPs, and/or grant solicitations to get a sense of the language used. 3. Develop relationships with mentors who can advise you and serve as consultants on your project. 4. Write clearly. Use a consistent paragraph structure that puts a topic sentence at the start of each paragraph. Be sure that each individual sentence conveys a single main idea. Keep sentences short, clear, and simple. Keep paragraphs short, clear, and simple. 5. Use logical headings and subheadings and a numbering system that ties together different sections so that the reviewer can skip around your proposal or application. 6. Use figures, images, and tables to depict your thinking and approach. Include statements that emphasize the benefits or significance of the figure to your proposal. 7. Make it visually appealing: use line spaces between paragraphs; do not make margins too narrow. Keep paragraphs manageable—five to eight paragraphs per page is ideal. Provide ample "white space" and avoid dense blocks of text and awkward text wrapping. Use bullets. 8. Employ the feature-benefit model: "sell" your proposal by stressing the benefits of each feature. Include a "significance" paragraph at the end of each major section. Stress how the project addresses the mission of the funding agency: who or what

community will benefit if your proposal is funded. 9. Ask for feedback early and often in the preparation and writing processes. 10. Allow enough time. Assume that it will take several months to fully develop your project idea, research potential funders, get feedback from others about your concept, write the proposal, and have others review the narrative. Give yourself time to step away from the writing for a few days or a week so you can take a fresh look. 11. Know the requirements and goals of potential funders. Research potential funding sources and be sure that your project meets the priorities and interests of the funder. Know the amount of grant funding that you will need, and make sure the amount of your request is commensurate with the funder's resources and grant history. Some funders prefer or require that you have multiple sources of funds for



a project. Be sure you have the necessary approvals and a plan in place if matching funds are required. 12. Make sure your project meets the funder‘s requirements. Some funders have restrictions on the types of projects and organizations they will and will not support. Many funders have geographic or entity restrictions. Some will only fund capital projects while others exclude capital. Others specify research, equipment, start-up costs, or collaborations. 13. Be aware of application deadlines and decision dates. 14. Be 100% compliant. Most foundations and government agencies publish detailed application instructions on their web sites. Follow them carefully. Assume that the first review of your application will be a simple check to make sure it is complete, that all questions have been answered and that all required attachments are included. If your proposal does not pass this initial assessment, some funders may decline your request outright, without reviewing the merits of your project.



Handout #9

Group Activity:

Identify and Present Potential ―Grant Funded‖ Projects or Programmes

Types of Programs/Projects Funders May be Interested in:

New or expanded markets for natural resource products

Promotion of value-added industries

Promotion of regional tourism

Promotion of cooperative or joint venture opportunities

Quality job creation

Establishing or strengthening local groups to address resources-related issues

Providing leadership development training

Providing organizational capacity building training

Providing technical assistance to develop and implement locally-identified resource conservation and/or development projects such as:

Pollution reduction/prevention

Habitat protection

Soil and ground water conservation, trail development

Wetlands and coastal preservation

Flood mitigation Use the ―Prospect Worksheet‖ that follows.

The Foundation Center‘s

Prospect Worksheet—Institutional Funders

© The Foundation Center—Used with Permission

PROSPECT WORKSHEET

Date:

Basic Information

Name

Address

Contact Person

Financial Data

Total Assets

Total Grants Paid

Grant Ranges/Amount Needed

Period of



Funding/Project

Is Funder a Good Match?

Funder Your Organization

Subject Focus (list in order of importance)

1. 1.

2. 2.

3. 3.

Geographic Limits

Type(s) of Support

Population(s) Served

Type(s) of Recipients

People (Officers, Donors, Trustees, Staff)

Application Information

Does the funder have printed guidelines/application forms?

Initial Approach (letter of inquiry, formal proposal)

Deadline(s)

Board Meeting Date(s)

Sources of Above Information

990-PF -- Year: Requested Received

Annual Report -- Year: Requested Received

Directories/grant indexes

Grantmaker Web site

Notes:

Follow-up:



Group Project

What other areas might you consider ―grant funding‖ eligible?

Discuss this at your table and list three or four other possible projects/programmes.

Explain one idea and approach in more detail (create talking points)

Have one of your group present your funding idea to the group)



Handout #10

Proposal Writing Simplified for NGOs in Developing Countries

Used with permission from Funds for NGOs (www.fundsforngos.org )

© Funds for NGOs

Proposal Writing Simplified for NGOs in Developing Countries

A Short Guide

Prepared by: fundsforngos.org

Copyright Notice All Right Reserved © fundsforngos No part of this publication may be reproduced or transmitted in any form by any means, electronic, mechanical, photocopying or otherwise, without the prior written permission of fundsforngos.org.

1. Introduction to Proposal Writing

A proposal is an essential marketing document that helps cultivate an initial professional relationship between an organization and a donor over a project to be implemented. The proposal outlines the plan of the implementing organization about the project, giving extensive information about the intention, for implementing it, the ways to manage it and the results to be delivered from it. A proposal is a very important document. In some cases, a concept note precedes a proposal, briefing the basic facts of the project idea. However, the project idea faces a considerable challenge when it has to be presented in a framework. The proposal has a framework that establishes ideas formally for a clear understanding of the project for the donor. Besides, unless the ideas are not documented in writing, they do not exist. Hence, a proposal facilitates appropriate words for the conception of an idea. Proposals have recently become more sophisticated. This reflects the increased competitiveness and larger resources existing in the NGO sector. The trend of inviting proposals for contracting development programs began with the allotment of substantial resources for development that triggered off the mushrooming of NGOs around the world. Enormous opportunities existing in the sector have led to the trend of making proposal writing a profession. Proposal writing poses many challenges, especially for small and unskilled NGOs. Here, we discuss some basic and necessary information required for developing a proposal.

Why is it important to write a Proposal?

Because without a proposal, there is no understanding of whatever…

A donor believes more in a written document…

Helps planning activities and making budgets…

Reflects the competitiveness of several NGOs seeking limited resources…

2. The Problems we face in writing Proposals

http://www.fundsforngos.org/



Before we start learning about proposal writing, it will serve our purpose if we outline the exact difficulties we face working on the proposal. The following are the common problems we face while trying to write a proposal:

Confused about the format? There are as many proposal formats as there are a number of donors and each donor as a different format. Although the basic information requested by various donors is generally the same, yet we often encounter snags that make the entire process confusing. Planning problems? Although a good idea exists, yet when we try to plan it out extensively, we face many unexpected challenges. Fear of proposal rejections? No matter how much of an expert we are in writing proposals, the underlying fear of proposal rejection hovers over us while writing it. Tight deadlines? This is perhaps the most universal problem for all proposal writers. For some reason or the other, we are expected to complete working proposals under very tight deadlines. Solicited and unsolicited proposal? Solicited and unsolicited proposals are quite confusing. Many NGOs work hard and submit proposals to donors, but soon they get a letter saying that they had never asked them to send. 3. Before Writing a Proposal Before we start writing a proposal, it is important for us to do some research. No matter how small or big the project is some kind of references to existing literature or data should be made. Usually, it is expected that the NGO has enough information at hand about the problem or the project before writing the proposal. Yet, NGOs have to gather all related information about the issue they are working on and the sit down to write the proposal. In some cases, donors sponsor pre-

proposal research so that organizations have enough evidence, both at field and in literature, before developing the actual proposal. But not many NGOs are lucky enough to avail such an opportunity. While planning the proposal, it is ideally believed that all stakeholders have been consulted or involved in the process. There are generally three main categories of stakeholders involved in the process of writing the proposal. They are: 1. The Proposing Organization/s or the Proponent: This could be just one NGO or a group of NGOs applying for the project to the donor. 2. The Community: The most important stakeholder for whom the project is conceived. Community members or beneficiaries or the target group has to be involved in the proposal planning process so that the project reflects strong qualities of participation and community ownership.



3. The Donor Agency: Wherever possible, it will be useful to take inputs from the donor. In formal invitations for proposals, the donor may discourage any contact with the proposing organizations. However, in other situations where donor has requested for a one-to-one proposal, it will be a good idea to have several meetings with this stakeholder and note down information carefully. It will also help researching donor priorities while conceiving the proposal idea. It will also be a useful activity to go through the following information about the donor:

Aid priorities and issues of the donor

The donor‘s country strategy paper (if any)

Proposal Guidelines

Previously funded projects and programs

4. Writing about the Organization

New individuals working on proposals in a particular NGO may face problems in writing about organizational background. They prefer to just copy previous information into this particular section of the proposal. However, this information may be sometimes outdated. You may have forgotten to add an important NGO activity. Besides, many times, there are facts about our organizations which we ourselves are unaware of. We do quite a lot of research on the beneficiaries and the donor agency while writing the proposal, but we hardly see the necessity of researching our own organization to present the best picture of our institution to the donor. To ensure that there is thorough knowledge about the organization in the proposal, it is important not only to copy information from previous documents, but also carry out discussions with colleagues about the project. The SWOT tool comes handy here when we sit with our colleagues and find out the Strengths, Weaknesses, Opportunities and Threats of the organization. Once this framework is ready, it will be quite easy for us to write the proposal and answer the sharp

questions of any proposal format. SWOT

Strengths

Weaknesses

Opportunities

Threats

5. The Actual Proposal A general format of the proposal consists of the following parts: Problem Statement Project Rationale or Justification



Project Goal & Objectives Strategies & Activities Results: Impact, Outputs & Outcomes Budget

This basic format of a proposal has expanded covering many concepts and issues, confronting project funding and project implementation. As new experiences are gathered by donors in project implementation and funding processes, new explanations are sought from the applicant through the proposal.

6. Problem Statement or Project Rationale in a Proposal The Problem Statement/Project Rationale gives an explanation about the issue that is being addressed by the project and why it needs to be addressed. It also argues in favor of implementing the project in the proposed area in the existing conditions. It is very critical that we give evidence to what we are writing in this section of the proposal. Evidence can be in form of other research, existing literature or data collected by the organization itself. The following are some important points that need to be remembered while developing the Problem Statement/Project Rationale: Some common information we use in this section includes:

Problem Statement/Project Rationale is a brief analysis or summary of the problems identified relating to the project or issue to be addressed by the project.

It has to be precise and point-to-point basis.

Use of quotes, live examples, references, research data and press articles would be very helpful.

It has to be very specific to donor issues and priorities.

Giving references to other NGOs, Governmental work in the area working against the same problem would be very useful.

Country, region, area details (location in region, government, population etc);

Poverty information, including information on the state of the economy, Employment/unemployment;

Gender issues;

HIV/AIDS situation;

Health and education

Sometimes, we may find difficulties in writing the exact problem we intend to address in the proposed project. It happens this way that the problem we are mentioning in the proposal is not a problem at all, but is actually an effect of another problem. For example, suppose there is high child mortality rate in our project area and we wish to put up a proposal on it, we cannot mention this as a problem because this is an effect of a problem, while the problem is something else. In this case, it could be the prevalence of diarrhea that is leading to high child mortality. So the problem here is ―the prevalence of diarrhea‖ and not ―high child mortality rate.‖



It is also necessary to mention the cause of the problem because it is an integral part of the project implementation. In this scenario, the cause of the problem for the prevalence of diarrhea could be the ―poor knowledge of the community about proper hygiene and sanitation.‖ Effect ProblemCause The relationship between the three (Effect, Problem and Cause) has to be outlined in the Problem Statement of the proposal. If we have an issue, it will be a good exercise to go a step back and forth to find out its cause and effect relationship. The best way to understand the cause of an issue is to ask ―Why‖ continuously. This will help reveal the cause of the problem. A problem can have many causes and effects. ―The Why of Why‖

Projects evolve out of identified problems

It is the problem that comes before a project

The secret of solving a problem is proper identification of the problem. This requires a thorough investigation.

A problem does not happen in isolation. It goes hand in hand with cause and effect.

There is a relationship between cause and effect. They are linked by the problem.

A way to analyze a problem is through analyzing the root causes and its effects.

State the problem as effectively and precisely as possible

Refer to any research data that is available, including publications, reports, newspapers, etc.

Give a narration of community perception with quotes.

Check back how well it matches with the donor guidelines or issues.

Give thorough background information about the region, community and resources available.

Explain the organizational strength and capacity in countering this problem and achieving long-term results.

8. Project Goal

A project goal is a very general, high-level and long-term objective of the project. It is different from project objectives because the latter are very specific and have to be addressed alone by the project. But a goal cannot be achieved by the project on its own since there will be other forces like the Government and other agencies as well working to achieve it. It is a major benchmark to compare work between different projects. Usually there is one project goal only and it can be reflected in the title of the project also. It should ideally support the overall policy of the government or the donor agency. Example:

―Providing housing facilities to earthquake-affected victims‖ – This cannot be a project goal, but can be a general objective .



―Reducing the impact of natural disaster over communities belonging to the hilly region‖ – This can be a project goal, as you are contributing to the problem in addition to other efforts.

A Project Goal is:

Very general, high-level and long-term

A project cannot achieve the entire goal on its own

A major benchmark to compare work between different projects

Usually there is one project goal only

It can be reflected in the title of the project

Supports the overall policy of the government or the donor agency

9. Project Objectives

Project Objectives should be:

SMART: Specific, Measurable, Achievable, Relevant and Time-bound.

Project objectives are the specific objectives for which the project works to achieve them within a stipulated time. They should directly address the problem mentioned in the Problem Statement. They should be specific: the more specific it is the better to design activities, indicators and the Logical Framework Analysis. Specific objectives also help address the problem stated and convince the donor easily. Tips:

Think about what success means for your project and how you would show that success

Refer to the results you expect from the project

Describe the focus population and the desired change among the population

Include the location and time period for each objective

Reflect the intended changes in systemic conditions or behaviors that must be achieved to accomplish the goal/strategic objective

Objectives should have measurable indicators which show what, when, and how conditions, behaviors, and practices will change

Objectives must be verifiable at some point during the execution of the project

A good objective can be:

―To increase the income-level of women farmers from 5% to 15% in the district.‖

Some Relevant Words to be used while writing Objectives

Decrease…

Increase…

Strengthen…

Improve…

Enhance…

Some Inappropriate words not to be used while writing Objectives



Train

Provide

Produce

Establish

Create

10. Strategies and Activities

Proposals are required to outline how the objectives of the project would be achieved. Here, it will be necessary to mention the Strategies and the Activities to be implemented in

the project. There is lot of difference between strategies and activities. Strategies are broad concepts under which activities are placed. Strategies in a project can include:

Capacity-building/ awareness raising

Organizational development

Research & Development

Advocacy

Victim Support Strategy

Micro-finance and CBO development Strategy

Participatory Infrastructure Development Strategy Activities can include:

Training workshops, street shows, rallies

Staff selection, staff training

Baseline, PRA, FGD

Conferences, meetings, articles, publications

Establishing shelter homes, counseling, legal support

Forming SHGs and cooperatives

Building irrigation tanks, demo plots etc

To develop activities:

Refer back to the lessons learned from previous projects.

Identify best practices from other agencies/ projects/sources.

Activities as identified by the communities

Develop activities by listing numbers, so that they can referred back to easily

Leave space for unplanned activities that can be added later during project implementation

11. Performance Indicators and Risks & Assumptions

Performance Indicators

A Performance Indicator is a measure of the result. It gives a sense of what has been or what is to be achieved. For example, the number of households keeping their surroundings clean and hygienic or the number of women participating in



training programs. There are two types of indicators, namely, ―Process Indicators‖ and ―Results Indicators.‖ Process indicators define the indicators for a process or an activity like „number of women participating in the training on gender development‖ and Results Indicators refer to the indicators that indicate the result achieved from the implementing the activity like „number of women aware about gender rights.‖ Risks & Assumptions Risks and Assumptions are part of the concept based on the principle that we have less and less control of the project results as we go down and down implementing the project. For example, ―Government policies/ officials are supportive of the project activities‖ or ―ongoing peace and stability may get hampered by sporadic violence.. .‖ Performance Indicators Risks & Assumptions An indicator is a measure of the result. It gives a sense of what has been or what is to be achieved. Example: ―the number of households keeping their surroundings clean and hygienic or the number of women participating in training programs.‖ ―Process Indicators & Results Indicators‖ These are part of the concept based on the principle that we have less and less control of the project results as we go down and down implementing the project. Example: ―Government policies/officials are supportive of the project activities and ongoing peace and stability may get hampered by sporadic violence.‖ 12. Project Results Results are changes that we expect to take place after implementing the project activities. The results are generally positive experiences undergone by the beneficiaries. Results are divided into three types:

1. Outputs 2. Outcomes 3. Impact

Outputs are immediate results that we achieve soon after the completion the project or any specific project activity. For example, if a training on human rights is carried out in a project, the output or the immediate result of it is ―a greater understanding of human rights amongst the participants.‖ The outcomes are results that have been or that are to be achieved after a period of time, but not immediate. In the above example, it could that ―the participants have gone further to communities to inform them about human rights or carrying out policy advocacy in favor of human rights.‖ The impact is the longer-term result that has happened because of the activities undertaken in the project.



The impact in the example given above could be ―policies are framed by the Government to protect the human rights of the people.‖ Monitoring and Evaluation Although it is the responsibility of the donor to carry out monitoring and evaluation of the project, it usually seeks the plan from the implementing NGO about it. Monitoring and evaluation enables constant check on the activities and helps review the progress made at every step. Monitoring should be the integral part of project implementation; in fact, there should be an internal mechanism to monitor the results, risks, assumptions and performance regularly through meetings and submission reports. The Management Information Systems (MIS) is often used as a mechanism to undertake monitoring. The baseline information is critical to the monitoring process. Involving external entities such as donors, government people, consultants etc in monitoring would give a good opportunity to collect feedback, provide exposure to the work and explore new options. Evaluation is carried out by an external agency during the mid-term or end of the project. 13. Budget and Proposal Packaging Budget The budget has to be itemized as clearly as possible, presented in the required format. It should be in line with the activities set in the project. It will be an additional advantage to mention contribution from other sources such as the community or other donors. Contribution made by the proposing organization should also be mentioned. It there is any recurring income from the project activities, it needs to be clearly given in the budget section. Proposal Packaging When the proposal writing is complete, it is important to ensure that the packaging has been done properly before submitting it to the donor. Below are some important points to be kept in mind while packaging the proposal.

The Title Page should have Project title, name of the donor agency and name, logo & contact info of the NGO.

There should be a Table of Contents

There should be one page for explaining acronyms

There should be a Project Summary- not more than one page, narrating goal, objectives, results and activities.

Provide an overview of the organization

Ensure that page numbering, header & footer are complete.

While writing use active sentences more.

Keep in mind the limit for the total number of pages for the proposal.

Attach appendices, if necessary

Give Bibliography and references.

The proposal should be signed and sealed.

Covering letter is essential

Handout/Worksheet Package Responding to RFPs Writing...

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