call for proposals food & business global challenges programme

WOTRO Science for Global Development

Call for proposals

Food & Business Global Challenges Programme Scaling up Climate Smart Agriculture

2017 4th call

A collaboration between the Food & Business Knowledge Platform, the CGIAR Research

Program on Climate Change, Agriculture and Food Security (CCAFS) and NWO-WOTRO

Science for Global Development

The Hague, January 2017

Netherlands Organisation for Scientific Research

Contents

1 Introduction 1 1.1 Background 1 1.2 Available budget 1 1.3 Validity of the call for proposals 1

2 Aim 2 3 Guidelines for applicants 3

3.1 Who can apply 3 3.2 What can be applied for 3 3.3 When can applications be submitted 3 3.4 Preparing an application 3 3.5 Specific conditions 3 3.6 Submitting an application 4

4 Assessment procedure 6 4.1 Procedure 6 4.2 Criteria 7

5 Contact details and other information 8 5.1 Contact 8 5.2 Other information 8

6 Annexe(s) 9

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Chapter 1: Introduction / Food & Business Global Challenges Programme, 4th call

1 Introduction

1.1 Background

Food security is high on the international agenda. The food crisis is persistent and

increasing due to population growth and dietary shifts . This especially holds for

already marginal and resource-poor consumers. The situation calls for adequate

evidence-based policy responses, but also offers chances and challenges for the

private sector. Both local and international. There is an urgent and growing need

for new knowledge, contributing to new insights, policies and practices to meet

food and nutrition security challenges.

The Food & Business Global Challenges Programme (GCP) is a response to this need. This

research and innovation programme aims to generate research-based advanced

understanding of 1) emerging key issues in food security and their impact on regional and

local food security, and 2) the role of private sector development. It aspires to create new

knowledge and to synthesise and deepen existing but fragmented knowledge through

robust scientific research. GCP seeks to contribute to the development of new products,

practices and policies that improve food security in Low and Middle Income Countries

(LMICs1).

This call results from a collaboration between the Food & Business Knowledge Platform, the

CGIAR Research Program on Climate Change, Agriculture and Food Security (CCAFS) and

NWO-WOTRO Science for Global Development. It invites consortia of research institutes and

other organisations (both public and private2) in the Netherlands and in LMICs to submit

joint full proposals, preceded by a Letter of Intent, for Fast Track Research (FTR).

The food system perspective

Given the increasing interlinkage in issues relating to food security, GCP focuses on a

system approach (see box 1). The multi-dimensional problems and the complex

interdependencies within food chains and the drivers that shape them, demand systemic

solutions that take this interdependency into account. From the global perspective this

means looking at the effects of global markets on regional development and local food

security (e.g. price development, loss of jobs and subsistence farming), in order to improve

conditions and safeguard interests on regional and local level. This requires insights into the

characteristics of participants within the food system (such as female/male,

smallholders/commercial farmers and traders, consumers, NGOs, policy makers).

Interventions to improve food systems should take local and regional perspectives and

contexts, as well as the global context, into account. Local alignment is, however, essential

1 Low and Middle-income countries (LMIC) that qualify for receiving Official Development Assistance

(ODA), as defined by the OECD.

2 This includes any type of organisation that can be seen as an actor or stakeholder in food security

who has an interest in participating in research, both public: governmental (departments of line

ministries or local governments, extension services), and private: for-profit enterprises and related

support organisations, and other non-governmental organisations (registered NGOs, cooperatives,

unions, civil society organisations).

http://www.oecd.org/dac/stats/daclist.htm

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for achieving success.

In LMICs, next to increased supply, enhanced access to quality food is necessary for the

most vulnerable and resource-poor populations, such as children, (pregnant) women,

disabled people and the elderly. GCP is therefore centred around the question how

consumers can access quality food that is in accordance with their dietary wishes and

health needs, and the type of agriculture and trade that is needed to achieve this

sustainably. Differentiation of consumers is a prerequisite for answering this question and

adapting regional and local production and markets to specific needs.

Box 1: The food system

Research projects are expected to use a food system perspective on the level (e.g.

regional, national, local community) and with the aspects appropriate for the research.

Given the complexity of such systemic research the teams should be inter- and trans-

disciplinary in nature. This means that a wide range of disciplines as well as knowledge

from beyond the boundaries of the scientific community should be integrated.

Emphasis is expected on woman’s rights, economic participation and female

entrepreneurship. Investing in gender equality is not only the preferred mode of action in an

ethical sense, but also when it comes to development and economic effectiveness. GCP

expects projects to integrate a gender approach and to pay special attention to gender

mainstreaming. This entails recognising the different roles both women and men play and

acknowledging the complementarity of both, in order to obtain gender equality.

Policy context of GCP

Food & Business GCP is developed by the Ministry of Foreign Affairs of the Netherlands and

WOTRO Science for Global Development of the Netherlands Organisation for Scientific

Research (NWO-WOTRO). It is being informed and elaborated upon by the Food and

Business Knowledge Platform3, set up to further develop research agendas and to exchange

knowledge between various stakeholders. GCP aims to contribute to the Dutch food security

policy as expressed in the letter to parliament of November 20144, that focuses on all

dimensions of food security (people, planet, profit), with three main targets: 1) Eradicating

hunger and malnutrition; 2) Promoting inclusive and sustainable growth in the agricultural

sector; 3) Achieving ecologically sustainable food systems. GCP is positioned within the

Innovation Contracts of the Dutch Economic priority areas Agri&Food and Horticulture &

Propagation Materials, which also tune into the problems of food supply and food security in

LMICs and emphasise a systems approach.

The food system perspective considers food and nutrition to be the outcomes of

interactions between different elements of a system. GCP is interested in understanding

the drivers (from the global to the local level) that shape the transitions in the food system

that are necessary to improve food and nutrition availability, access, utilisation and

stability. The policy environment, with its related institutions, at international, regional,

national and local level, is a very relevant aspect of the food system. In addition, the

production and sharing of knowledge and information can influence the system as well,

ranging from skills, science & technology from various sources, including farmer/consumer

organisations, or through the funding of media and civil society organisations.

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This fourth GCP call is developed in collaboration with the CGIAR3 Research Program on

Climate Change, Agriculture and Food Security (CCAFS). It is considered a component in the

Netherlands–CGIAR partnership for the years 2017-2020, on which a Memorandum of

Understanding (MoU) between the government of the Netherlands and the CGIAR was signed

on 21 September 2015. The partnership goals described in the MoU are: to jointly enhance

International Agricultural Research (IAR) with a view to contributing to achieving the

Sustainable Development Goals; to optimise the effectiveness of Dutch IAR knowledge,

innovation and research capacities by enhancing leverage and strengthening linkages to the

CGIAR system; to answer to CGIAR’s interest in mobilising global partners for the best

science and for those along the research impact pathways towards development outcomes by

providing opportunities to engage Dutch partners with the relevant expertise.

1.2 Available budget

GCP is financed by the Dutch Ministry of Foreign Affairs and NWO-WOTRO Science for Global

Development. For this call for proposals the following funding is available:

1) GCP provides 2 million euro in funding for the full range of budget items;

2) CCAFS provides in-kind co-financing with an amount ranging between 1.6 and of 2.5

million euro (depending on the selection of CCAFS projects), for personnel costs as

well as cross-programme activities.

The funding for activities will become available during project execution. Please see section

3.2 for details on funding. Funding is reserved for eight FTR projects.

1.3 Validity of the call for proposals

This call for proposals is valid until the closing date 18 April 2017, 14:00 hours CET.

3 CGIAR is a global research partnership for a food-secure future. CGIAR science is dedicated to

reducing poverty, enhancing food and nutrition security, and improving natural resources and

ecosystem services. Its research is carried out by fifteen CGIAR centers in close collaboration with

hundreds of partners, including national and regional research institutes, civil society organisations,

academia, development organisations and the private sector.

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Chapter 2: Aim / Food & Business Global Challenges Programme, 4th call

2 Aim

2.1 Scaling up climate smart agriculture

In a meta-analysis of future impacts of climate change, in 70 per cent of studies declines in

crop yields by the 2030s are projected, with yield losses of 10-50 per cent in half the studies.

Even by 2030, we face a future in which both incremental and transformative adaptation

options must come into play. There is urgent need to marshal the science and expertise to

catalyse positive change towards Climate-Smart Agriculture (CSA) and the associated

climate-smart value chains and food systems. CSA is defined as agriculture that 1)

sustainably increases agricultural productivity and incomes, 2) adapts and builds resilience to

climate change, and 3) reduces and/or removes GHG emissions where possible. Proposals in

response to this call are expected to contribute to catalysing CSA.

The focus of this call has been identified by the Steering Committee of the Food & Business

Knowledge Platform in consultation with experts, including those from CCAFS. To facilitate

outcomes, proposed activities should be complementary to and reinforce existing (field)

research initiatives of CCAFS4. More information is provided in the annexes, which are an

integral part of the call and should be taken into account when writing a proposal.

The aim of this call is to contribute to business models, incentives and innovative finance for

scaling CSA5. An over-arching research question is: What is the mix of components (e.g.

finance, capacity building, business) and what are their characteristics that are needed to

effectively scale out CSA? Research is expected to develop context-specific knowledge on

what specific factors and conditions constitute a successful model for scaling CSA. Such a

model potentially interweaves four components: 1) financial products and services tailored to

the needs and conditions of smallholder farmers and SMEs; 2) competence building to

effectively use these products and services to invest in; 3) specific climate-smart and market-

based agricultural activities; and 4) an enabling policy environment. Research should be

demand- and context-driven to enable impact. CSA practices and technologies and incentives

for improvement and scaling should consider the specific context of smallholder producers

(which includes, e.g., risk avoidance; cash, labor and asset constraints; lack of information;

poor markets, etc.). Engagement with partners and stakeholders is crucial (see section

3.2.2).

2.2. Objectives

The objectives of this call are to develop:

1. New business models for Climate-Smart Agriculture (CSA) at local levels (e.g., new

approaches to feeding cows in dairy enterprises; bundling insurance with drought-

adapted varieties; achieving scale in production through producer organisations);

2. Explore innovative value-chain based incentive mechanisms for CSA adoption (e.g.

climate-smart value chain for coffee, certification approaches);

4 CCAFS activities are largely implemented in some 20 countries in five regions: West Africa, East Africa,

South Asia, South East Asia and Latin America. Research activities in CCAFS are implemented through

diverse partnerships, involving, amongst others, farmers, farming organisations, civil society groups,

national agencies, private sector players and CGIAR institutes.

5 See Annex 1: Cluster of Activities 2.4 in CCAFS Phase II proposal

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Chapter 2: Aim / Food & Business Global Challenges Programme, 4th call

3. Explore emerging innovative finance instruments that will support CSA scaling up

(e.g. blended finance involving climate/development and private finance; index-based

insurance as a means to reduce risk);

4. To improve the enabling conditions for scaling up (e.g. pinpointing capacity

development needs, removal of restrictive regulations, fostering strategies and

policies that incentivise adoption).

The rationale is that technical knowledge and availability of CSA technologies and practices are not

sufficient to achieve the ambitious goals of mass CSA adoption. Business models, and financial and

other incentives need to be understood and leveraged to boost adoption levels and deliver scaling

strategies that have the capacity to reach millions of farmers, including those that are marginalised.

Box 2. Business models

2.3 Focus areas

Field-based and context-specific knowledge is needed for understanding the impacts of

diverse technologies and practices on productivity, adaptation, mitigation, costs and benefits,

and farmer incomes. Knowledge is also needed on the finance and business models that can

drive adoption. A better understanding of the instruments for achieving impact at scale is

needed, including the enabling multi-level policy environments (sub-national to national),

private sector involvement, new Climate-Smart Agriculture (CSA) business models and novel

financing and incentive systems for CSA (including both climate- and development finance).

Research funded through this call is expected to contribute to knowledge on business models

and the kinds of business relationships needed to lead to major private sector investment in

making CSA happen across target geographies.

Research projects may focus on one or more of the following focus areas:

Business models at farm level for climate-smart technologies and practices where the

emphasis can be either adaptation and/or mitigation;

Business models for climate information services and advisories, that provide

incentives to farmers;

Innovative finance for climate-smart commodities and value chains, including index-

based insurance;

Financial instruments, such as payment for environmental services linked to CSA;

Any other incentives that improve and scale CSA, with the focus in this call being on

enabling the private sector.

‘Business model’ is interpreted in different ways, for example: 1) a financial model or a

conceptual model for scaling CSA; 2) a private sector business model showing how an

enterprise generates revenues, incurs costs and manages its risks. Proposals under this call can

take either approach.

The financial or conceptual model for scaling CSA includes issues such as: how private sector

parties (SMEs, farmers, banks, input suppliers etc.) can be triggered and assisted to invest in

CSA; how private sector investment in CSA can increase smallholder farmers’ access to CSA

technologies/practices; enabling factors supporting private sector parties to invest in CSA; how

public sector parties and NGOs can support private sector parties to enable investment in CSA

(e.g. capacity building, innovation platforms). For a private sector business model, the private

sector party may be any party interested in investing in CSA, e.g. farmers, a farmers’ producer

group, SMEs, traders, insurance agencies, banks, food companies.

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Chapter 3: Guidelines for applicants / Food & Business Global Challenges Programme, 4th call

3 Guidelines for applicants

3.1 Who can apply

Applications can be submitted by consortia of at least four different partners that include:

1. a Dutch research organisation, acting as the main applicant6;

2. an LMIC-based research organisation;

3. at least one other LMIC-based partner7;

4. a CCAFS project leader from a current CCAFS project8.

Additional partners, such as Dutch/LMIC private partners or partners from (other) LMICs or

high income countries, are welcomed and encouraged.

To enhance demand articulation, ownership and the effective uptake of results, all

consortium partners as well as relevant stakeholders are expected to be engaged in all

phases of the project execution, from its inception to sharing the (emerging) results.

Evidence of such active engagement will be an element in the assessment of project

proposals and may be demonstrated through references to involvement in project

preparation, as a project partner and links between the proposed research project and

ongoing projects of CCAFS, NGOs, private enterprises, and/or policy implementation. Each

project is expected to involve at least one MSc student in research execution registered at a

Dutch university.

3.2 What can be applied for

A maximum of 250,000 euro can be applied for per Fast Track Research (FTR) project, with

a duration of two to three years. FTR projects focus on short-term research and may consist

of exploratory research, policy oriented research or research with a more applied focus, but

should remain of an analytical nature. Each consortium can apply for one FTR project. This

call invites full proposals for FTR projects to be submitted, preceded by a Letter of Intent.

3.2.1 The following conditions apply for GCP funding requests

Please note that ‘the GCP grant budget’ refers to the requested funding from GCP, and ‘total

budget’ to the sum of the requested funding and the CCAFS co-funding.

Reimbursable costs

All participating organisations can reimburse costs that are directly attributable to the

6 Research organisations are institutions that:

- have as one of their main objectives to carry out independent research or provide higher education;

- have no profit motive other than that for the purposes of further research or higher education;

- whose researchers enjoy freedom of publication in the international academic literature.

7 As mentioned in the Introduction, this can relate to any public or private (for-profit and not for- profit)

8 See Annex 3 for brief description of current projects. CCAFS partners are co-funded from the

CCAFS budget. For identification of potential CCAFS partners, please see Section 4 ‘Assessment

Procedure’.

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project, of which a minimum of 50 per cent should be spend in LMIC. For determining the

amount of reimbursable costs per item, the legal regulations of the individuals’ employing

organisation is guiding. However, prescriptions are given for specific cost-items. The

reimbursable costs of (not-for profit) partners that are not from research institutes should

not exceed 20 per cent of the grant budget.

The following reimbursable cost categories are distinguished:

I. Personnel costs

- Personnel costs of PhD and postdoc researchers:

The maximum tariffs for the different categories in the Netherlands (postdoc,

PhD student) are based upon the NWO-VSNU contract and are subject to

change9. (See for reimbursements for MA/MSc students under III. below);

Alternatively, PhD and postdoc researchers from LMICs can be provided with

a net monthly living allowance. The living allowance is expected to cover all

personal costs, including housing, medical costs, insurances and travel to

and from work. The regulations of the main applicant’s institute should be

guiding for determining the amount of the living allowances;

For each (LMIC and Dutch) PhD or postdoc researcher, a bench fee of 5,000

euro is made available that is paid directly to the main applicant’s institute,

as a contribution to the personal costs in support of the research

conducted10;

- Salaries for personnel other than PhD or postdoc researchers, which should be

guided by the (not-for profit) organisations’ norms and legal regulations for the

country concerned. These salaries should not exceed the maximum gross

(before tax) fulltime monthly rates of 3,200 euro for support staff, 4,500 euro

for junior staff and 6,500 euro for senior staff11.

II. Knowledge sharing costs

Specific activities to enhance knowledge sharing among GCP as well as with CCAFS

projects, and with the Food & Business Knowledge Platform. This includes joint

trainings, workshops, communication activities: at least 5 per cent of the total

budget.

III. Knowledge, research and innovation costs

Up to a maximum of 20 per cent of the GCP grant budget:

- Travel expenses for consortium partners and accommodation costs of the

expenses incurred in short trips (<3 months) of team members directly

related to the project. Travel expenses for consortium partners are excluded

from the other categories and covered only via this category;

- Durables, consumables, assistance.

- For MA/MSc students only research costs are reimbursed.

9 The amount of funding depends on the duration of the appointment and on the time to be spent

on the project (minimum 1 and maximum 4 year and at least 0.5 fte appointment). On a fulltime

basis the amounts are (subject to change):

PhD researchers: 209,201 euro / 4 years

Postdoc researchers: 137,042 euro / 2 years

10 For example tuition, courses, a computer, congress visits, books, the publication of a thesis, etc.

11 Personnel of for-profit partners is excluded from payments of salaries from the requested GCP

budget.

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-

IV. Capacity development (excluding travel expenses for consortium partners)

Capacity development and training activities beyond the individual graduate,

post-graduate and doctoral levels, such as developing courses for stakeholders or

master students: between 3 and 10 per cent of the total budget.

V. Overhead costs (for the employing organisation(s)

Including office space, basic facilities, administrative and technical assistance,

consumables and depreciation costs) up to a maximum of 10 per cent of the GCP

grant budget.

VI. Communication costs

Activities organised by the consortium, such as workshops, development of

newsletters and media outlets, international events, etc. possibly including hiring

communication expertise: at least 3 per cent of the total budget.

VII. Monitoring & Evaluation

- Activities for the purpose of Monitoring & Evaluation, such as documenting

progress, consortium and stakeholder meetings to revisit the Theory of

Change and Impact Pathway, as well as attendance of the joint GCP4

midterm meeting: at least 3 percent of the total budget.

- A contribution of at least 6,000 euro for the final review consortium

workshop should be included in the proposal.

Co-funding

In-kind co-funding from CCAFS is a prerequisite: projects require co-funding through the

involvement of a CCAFS Project Leader12. Proposals should strive to achieve co-funding of at

least 250,000 euro, with the absolute minimum being 175,000 euro, the level is decided in

accordance with the CCAFS Project Leader. Additional co-funding by other types of partners

is encouraged.

Co-funding from other partners (private, LMIC public and/or international and LMIC

research organisations) is encouraged, either in kind or in cash. In kind co-funding

contributions may include materials, licenses or knowledge. Personnel costs may also be be

included as in kind co-funding, up to a maximum of 1,250 hours/fte/year with maximum

hourly rates: 116 euro for senior experts, and 81 euro for juniors. For such co-funding to be

admissible, the person involved should have essential expertise for the project that is not

available in the academic groups involved (see Annex 5 for further information).

3.2.2 General characteristics for GCP proposals

Consortia should make clear in the proposal how they will constitute and operationalise

activities and projects for the following facilities:

Co-creation in research and innovation

Proposals should be based on a thorough review of existing knowledge and should be

12 For further instructions on the involvement of CCAFS partners, please see Section 4 ‘Assessment

Procedure’.

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complementary to CCAFS research initiatives and reinforce these. Consortia need to be

inter- and transdisciplinary in nature and thus cross disciplinary boundaries and involve

scientific knowledge as well as knowledge from outside the scientific community. Added

value may be achieved by integrating and synthesising various sources of knowledge to

create ‘new’ knowledge and by creating sustainability through the development of long-term

knowledge relations.

To enable the collection of context-specific knowledge CCAFS has established many action

research sites where multiple partners interact with farmers and other stakeholders.

Knowledge will be co-created and will be shared with downstream partners to support them to

overcome barriers to investment and to facilitate further adoption outside of CCAFS action

sites to deliver Climate-Smart Agriculture (CSA) at scale. Truly scaled impacts can only be

achieved if viable financial and business models are identified which incentivise autonomous

adoption by farmers, and/or private sector actors to promote CSA as a component of

sustainable business.

Research Uptake / knowledge sharing

As development of research and innovation in private, governmental and civil society

sectors is basically a continuous and iterative process, a clear strategy for Research Uptake

needs to be provided:

- Stakeholder engagement: as in all GCP and CCAFS projects, end users should be early in

the research cycle, before any work is initiated. Depending on the focus of the project,

end users may be farmers and service providers (e.g. civil society organisations,

extension staff), diverse private sector parties and/or officials from Ministries. CCAFS

Regional Program Leaders facilitate partnerships with key partners that can help deliver

outcomes (e.g. policy makers, private sector). This is in addition to the necessary

linkages with key stakeholders identified by consortia, based on mapping exercises,

whom are engaged from the proposal development stage onwards. The proposal should

elaborate on the joint project formulation and the plans for joint execution;

- Capacity development: required capacities need to be identified in order to develop

activities directed at improving the capabilities of individuals, networks and institutes

to learn and innovate as well as to generate and build on knowledge;

- Communication: target groups, messages and means of communication need to be

identified to make knowledge and research results available and accessible for

stakeholders as well as the Food & Business Knowledge Platform.

Project activities must be well integrated. Output, outcome and impact should contribute to

clearly defined objectives as presented in a Research Impact Pathway, which should be

supported by a Theory of Change which includes the underlying assumptions and the food

system perspective.

3.2.3 Specific conditions for GCP proposals

Applications for must fulfil the NWO and WOTRO Regulations on Granting and all of the

formal criteria mentioned below in order to be admitted to the competition.

Eligible countries, alignment and linking to policy

Partner 2 and 3 in the consortium should be from (one of the) countries that are ranked as

LMICs (all categories) on the OECD/DAC list of ODA recipients. Projects should be rooted in

local demands. Applicants must provide a proper contextualisation of the proposed project

within the country or countries concerned and the relevant national, regional and/or global

policy frames.

Consortium and partners

The composition of the consortium should comply with the criteria provided in paragraph

3.1. The research institute employing the main applicant will take responsibility for the

http://www.nwo.nl/en/documents/nwo/legal/nwo-regulation-on-granting-may-2011

http://www.nwo.nl/en/documents/wotro/wotro-regulations

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secretarial duties, the day-to-day management and financial affairs of the project. The main

applicant represents the consortium and will act as the point of contact in dealings with

NWO-WOTRO. Development and execution of the application must be a collaborative effort

of the consortium members, with relevant stakeholders.

Consortium members will jointly steer the process of demand articulation, complementarity

and alignment with CCAFS activities, translate demands into relevant research questions,

coordinate research as well as activities to enhance the uptake of knowledge and insights,

in cooperation with CCAFS and the Food & Business Knowledge Platform. To safeguard

scientific rigour and academic independence, the research methodology and the process of

conducting the research will be managed by the research institutes involved.

Intellectual property rights and Consortium Agreement

NWO encourages and facilitates the transfer of research results to industrial and other

partner and will provide steering and will endorse contractual arrangements to be drawn up

by the consortium. With regard to ownership of results, such as on Intellectual Property

Rights (IPR), Confidentiality of Results and Knowledge transfer to Developing Countries, the

conditions and requirements as specified in the WOTRO Regulations apply. In addition,

submitting a proposal implies that the consortium agrees with the use for free of the

Results by the Kingdom of The Netherlands, should the occasion arise. The rights of Results

can only be transferred by its owner to a third party on the condition that this stipulation is

included.

Applications must be accompanied by a draft Consortium Agreement, in which the

consortium partners specify how the consortium will deal with the publication of results and

IPR, taking into account the conditions specified above The WOTRO Regulations provide the

conditions and requirements for the Consortium Agreement, a format for which is available.

Awarded projects must provide a signed Consortium Agreement before the project can

actually start.

Knowledge sharing with the Food & Business Knowledge Platform and CCAFS

GCP consortia are expected to participate in activities organised by NWO-WOTRO and the

Knowledge Platform. Knowledge exchange between awarded project teams and with

thematically related networks and CCAFS, and strengthening a learning culture in order to

stimulate national and international knowledge flows is crucial for enhancing impact.

Consortium members are expected to participate in activities for the exchange of

experiences - both challenges and best practices - and results with other GCP projects with

the Food & Business Knowledge Platform and its networks. This collaboration is essential

for the translation of results into policy and practice to influence the enabling environment

and to achieve impact beyond projects.

Each proposal should be closely linked to an ongoing CCAFS project, allowing consortia to

engage with available partners and leverage resources from CCAFS to deliver on research

results and outcomes. By being closely linked, GCP consortia will be:

Invited to the CCAFS project meetings to which they are linked;

Part of a bigger team, be it at national, regional or global levels; and thus able to

contribute to cross-project lessons. CCAFS will invite all GCP consortia to join with its

CCAFS Project Leaders and partners to develop cross-project products that can help

influence international and regional processes.

Monitoring & Evaluation

Awarded projects must contribute to advanced understanding of emerging key issues in

global and regional food security and their impact on local food security and the role of

private sector development. Each project should explicate how the project works towards the

realisation of the objectives of GCP by sketching a Research Impact Pathway. In the

framework of this fourth GCP call, this impact pathway should attune particularly to the

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relevant outputs and outcomes as specified in the generic Theory of Change for CCAFS (see

Annex 2).

While projects are expected to contribute to the generic Theory of Change, each will also

need to articulate its own specific Theory of Change for the particular issue and context

addressed by the project. Furthermore, applications should include a research impact

pathway, including indicators at output and outcome level. Between the deadline for the

Letters of Intent and the deadline for full proposals a training on this matter is organised for

the consortium coordinators.

Progress and outcome of the project will be monitored through an annual progress report at

the end of the first and, when applicable, second year. The project will be evaluated at the

end of the projects’ running time by self-assessment. This includes a workshop organised by

the consortium and a discussion of the results with stakeholders. The final report will be

based on a reflection on the project’s Theory of Change, Research Impact Pathway and its

indicators and the conclusions of the workshop.

Progress and final reports will be shared with the Food & Business Knowledge Platform and

CCAFS, and public summaries will be published. In collaboration with the Knowledge

Platform, NWO-WOTRO will organise a joint workshop for all the awarded projects in this

call, at the mid-term, and possibly a final international workshop. Consortia are expected

to actively participate in these workshops.

Evaluation GCP at large

NWO-WOTRO reserves the right to externally review projects financed within this GCP call

for proposals, as part of the Monitoring & Evaluation Framework for Food & Business

Research.

General NWO conditions

Open Access

All scientific publications resulting from research that is funded by grants derived from this

call for proposals are to be immediately (at the time of publication) freely accessible

worldwide (Open Access). There are several ways for researchers to publish Open Access. A

detailed explanation regarding Open Access can be found on www.nwo.nl/openscience-en.

Data management

Responsible data management is part of good research. NWO wants research data that

emerge from publicly funded research to become freely and sustainably available, as much as

possible, for reuse by other researchers. Furthermore NWO wants to raise awareness among

researchers about the importance of responsible data management. Proposals should

therefore satisfy the data management protocol of NWO. This protocol consists of two steps:

1. Data management section

The data management section is part of the research proposal. Researchers should answer

four questions about data management within their intended research project. Therefore

before the research starts the researcher will be asked to think about how the data collected

must be ordered and categorised so that it can be made freely available. Measures will often

need to be taken during the production and analysis of the data to make their later storage

and dissemination possible. Researchers can state which research data they consider to be

relevant for storage and reuse.

2. Data management plan

After a proposal has been awarded funding the researcher should elaborate the data

management section into a data management plan. The plan should be submitted to NWO via

ISAAC within a maximum of four months after the proposal has been awarded funding. NWO

http://www.nwo.nl/openscience-en

12


will approve the plan as quickly as possible. Approval of the data management plan by NWO

is a condition for disbursement of the funding. The plan can be adjusted during the research.

Please find further information about the data management protocol of NWO.

Nagoya Protocol

The Nagoya Protocol became effective on 12 October 2014 and ensures an honest and

reasonable distribution of benefits emerging from the use of genetic resources (Access and

Benefit Sharing; ABS). Researchers who make use of genetic sources from the Netherlands or

abroad for their research should familiarise themselves with the Nagoya Protocol

(www.absfocalpoint.nl). NWO assumes that researchers will take all necessary actions with

respect to the Nagoya Protocol.

3.3 When can applications be submitted

The deadline for the submission of proposals is 18 April 2017, 14:00 hours CET. However,

submitting a Letter of Intent (which has been developed in collaboration with a CCAFS Project

Leader) is mandatory, this must be received by the GCP secretariat before 28 March 2017,

14:00 hours CET. The entire assessment procedure takes about four months. For an overview

of the procedures, please see Section 4.1.

When you submit your application to ISAAC you will need to enter additional details online.

You should therefore start submitting your application at least one day before the deadline of

this call for proposals. Applications submitted after the deadline will not be taken into

consideration.

3.4 Preparing an application

Download the application form from the electronic application system ISAAC or from

NWO’s website (on the GCP grant page);

Complete the application form;

Save the application form as a pdf file and upload it in ISAAC;

Save the budget also in a separate Excel-file and upload it in ISAAC too.

For technical questions, please contact the ISAAC helpdesk (see section 5.1.2).

3.5 Submitting an application

An application can only be submitted to NWO via the online application system ISAAC.

Applications not submitted via ISAAC will not be taken into consideration.

The main applicant must submit the application via his/her own ISAAC account. If the

principal applicant does not have an ISAAC account yet, then this should be created at least

one day before the application is submitted to ensure that any registration problems can be

resolved on time. If the principal applicant already has an NWO-account, then he/she does

not need to create a new account to submit an application.

When submitting the application to ISAAC additional details will need to be entered online,

including the details of all consortium partners. Therefore, please start submitting the

application at least five days before the deadline of this call for proposals. Applications

submitted after the deadline will not be taken into consideration.

For technical questions please contact the ISAAC helpdesk, see Section 5.2.1.

http://www.nwo.nl/datamanagement

13

Chapter 4: Assessment procedure / Food & Business Global Challenges Programme, 4th call

4 Assessment procedure

4.1 Procedure

The first step in the assessment procedure is to determine the admissibility of the

application. This is done using the conditions stated in Chapter 3 of this call for proposals.

NWO gives all proposals a qualification. The applicant is informed of this qualification

when the decision about whether or not to award funding is announced. For further

information about the qualifications see www.nwo.nl/kwalificaties.

The NWO Code of Conduct on Conflicts of Interest applies to all persons and NWO staff

involved in the assessment and/or decision-making process.

19 January 2017 Call for proposals and application form online

10 February 2017 Pre-proposal meeting with CCAFS at the NWO offices

28 March 2017 Deadline for the submission of Letters of Intent

(developed in collaboration with CCAFS Project Leader)

18 April 2017 Deadline for the submission of full proposals

April – June 2017 Peer review procedure

Early to mid – July 2017 Receipt of reviews, opportunity for response

Early to mid – August 2017

Evaluation applications by IAC

Early September 2017 Decision by PC on awarding/ applicants notified

September 2017 Formal determination of budgets for awarded

projects, formal letter of approval

From 1 October 2017

(maximum three

months after award

letter)

Start of awarded projects

Description of procedure

A pre-proposal meeting with CCAFS, open to any interested potential applicant from the

Dutch knowledge community, will be organised. This serves to acquire understanding of the

research thrust of CCAFS, its Theory of Change, and its projects with which collaborations

can be fostered. Once the main applicant has developed an initial area of focus/idea (half

page of text) they should contact the CCAFS Program Management Unit via Bruce Campbell

([email protected]). Brief comments on relevance and interest in co-funding will be

made by CCAFS Regional Program Leaders and CCAFS Project Leaders13. A selected CCAFS

Project Leader will assist in the development of the Letter of Intent and accordingly the

proposal and establish contact and collaboration with end-users.

13 CCAFS Project Leaders will be consortium members and will need to spell out the level of

in-kind co-financing and as well as what the co-financing will provide (activities and

outputs). Should the main applicant need help in identifying an appropriate CCAFS Project

Leader, they can contact [email protected].

http://www.nwo.nl/kwalificaties.

mailto:[email protected]


14


Letters of Intent are mandatory and need to be submitted prior to the deadline for

applications. These Letters of Intent need to be developed together with the CCAFS

Project Leader and thus follow the approval of CCAFS of the initial idea and

identification of the Project Leader (see above). Peer reviewers are selected based on

the Letter of Intent.

Proposals are assessed by the International Advisory Committee (IAC) and are

prioritised accordingly, based upon the comments of peer reviewers and the response

of the consortia to these. The Programme Committee takes a final decision on funding,

based on the recommendations received from the IAC. The Programme Committee is in

the position to deviate from the advice of the IAC, when this is deemed necessary to

achieve a more balanced geographical and/or thematic spread of the selected

proposals. All applicants will be informed in writing about the result of the selection

procedure. Awarded projects should start no later than three months after the award

letter is sent.

Appeals Procedure

If a consortium objects to a decision taken by the Programme Committee, it can lodge a

complaint with the General Board of NWO through the NWO Appeals Committee. Any

written appeal against a decision taken by the Programme Committee must be lodged

within six weeks from the day on which the notice of this decision was sent.

Data management

The data management section in the application is not evaluated and hence not included in

the decision about whether or not to award funding. However both the referees and the

committee can issue advice with respect to the data management section. After a proposal

has been awarded funding the applicant should elaborate the data management section into

a data management plan. Applicants can make use of the advice from the referees and

committee when they write the data management plan. The project can start as soon as the

data management plan has been approved by NWO.

4.2 Criteria

All applications are evaluated according to a fixed set of criteria. Proposals are assigned a

qualification. The consortium is informed of this qualification when the decision about whether or not

to award funding is announced. ‘Scientific excellence’ and ‘relevance for innovation in development’

of the proposal are prerequisites for awarding. Only applications evaluated as excellent and very

good for both of these criteria are eligible for funding. ‘Quality of collaboration and capacity building’

is a third component in the review, only applications evaluated as good, very good or excellent for

this criterion are eligible for funding. Applications are ranked based on the following weighing of

criteria: ‘scientific quality’ and ‘relevance for innovation in development’ each determine 40 per cent

of the total score. ‘Quality of collaboration and capacity building’ determines 20 per cent.

Evaluation criteria for applications

I. Scientific quality

a. Potential to generate new knowledge and insights and complementarity to CCAFS and

other research programmes;

b. Adequacy of the research approach including the robustness of the conceptual

framework or experimental set-up, and the coherence of the hypotheses, research

questions and methods;

c. Quality and adequacy of integrating the food system perspective;

d. Feasibility of the research design;

e. Complementarity, range and level of integration of the interdisciplinary approach.

15


II. Relevance for innovation in development

a. Extent to which the research questions and the intended research results are

expected to contribute to the scaling of Climate Smart Agriculture;

b. Potential for contribution to the demand of end-users, such as farmers, service providers

(e.g. civil society organisations, extension staff), private sector parties and/or

government officials;

c. Extent to which the proposal is rooted in a transdisciplinary approach: adequacy

and complementarity of the various partners involved in relation to the issue at

stake;

d. Potential for long-term knowledge relations;

e. Quality and feasibility of the Theory of Change and research impact pathway with

indicators.

III. Quality of collaboration, capacity development and value for money:

a. Strength of partnership: experience of partners with the issue at stake and

embeddedness of CCAFS partner in consortium;

b. Extent to which the division of labour is clearly described and adequate;

c. Potential for improving the capabilities of individuals and institutes to learn and

innovate, the ability to share knowledge and create a supportive learning

environment;

d. Value for Money: adequacy of the budget.

16

Chapter 5: Contact details and other information / Food & Business Global Challenges Programme, 4th call

5 Contact details and other

information

5.1 Contact

5.1.1 Specific questions

For specific questions about Food & Business Global Challenges Programme and this

call for proposals please contact:

GCP Secretariat

E. [email protected]

T. +31 70 344 09 24

Postal address: Visiting address:

NWO-WOTRO NWO-WOTRO

P.O. Box 93120 Laan van Nieuw Oost Indië 300

2509 AC The Hague 2593 CE The Hague

The Netherlands The Netherlands

Website: www.nwo.nl/foodandbusiness

5.1.2 Technical questions about the electronic application system ISAAC

For technical questions about the use of ISAAC please contact the ISAAC helpdesk.

Please read the manual first before consulting the helpdesk. The ISAAC helpdesk can

be contacted from Monday to Friday between 10:00 and 17:00 hours CET on +31

(0)20 346 71 79. However, you can also submit your question by e-mail to

[email protected]. You will then receive an answer within two working days.


http://www.nwo.nl/foodandbusiness

17

Chapter 6 Annexe(s) / Food & Business Global Challenges Programme

6 Annexe(s)

P 18: Annex 1. CoA 2.4 Business models, incentives and innovative

finance for scaling Climate-Smart Agriculture (CSA)

P 20: Annex 2. CCAFS generic impact pathway and Theory of Change

P 24: Annex 3. CCAFS Projects

P 29: Annex 4. Instructions for applicants

P 33: Annex 5. Co-funding guidelines

18

Chapter 6: Annexe(s) / Food & Business Global Challenges Programme, 4th call

Annex 1. CoA 2.4 Business models, incentives and innovative finance for

scaling Climate-Smart Agriculture (CSA)

Introduction

CCAFS is made up of Four Flagships each with a number of ‘’Clusters of Activities’‘ (CoAs). The

topics in CoA 2.4 are the focus of the current Call. The text below is taken from the CCAFS Full

Proposal for Phase II (2017-2022). The full proposal and summary version are found here:

https://cgspace.cgiar.org/handle/10568/72804.

While this CoA is housed in Flagship 2 of CCAFS, the understanding and application of ‘’business

models, incentives and innovative finance’’ applies equally to other Flagships in CCAFS. Thus, in this

Call the focus is on the topics in CoA 2.4, but collaborations can be with any relevant projects in

CCAFS (i.e. from any Flagship).

Description

This Cluster of Activities (CoA) will develop new business models for CSA at local levels, explore

innovative value-chain based incentive mechanisms for CSA adoption, and explore emerging

innovative finance instruments that will support CSA scaling up. The rationale is that technical

knowledge and availability of CSA technologies and practices are not sufficient to achieve the

ambitious goals of mass CSA adoption of global and regional initiatives aligned to GACSA. Business

models, financial and other incentives need to be understood and leveraged to boost adoption levels

and deliver scale out strategies that have the capacity to reach millions of farmers, including those

that are marginalised. New business models can be explored that promote 1) scaling of promising

CSA technologies /practices (linked to a technology push approach to business development) or 2)

scaling of CSA (which is broader, allows for a value chain perspective and a demand driven approach

to business development).

CSA has opened new opportunities for novel financial instruments to promote agricultural technology

adoption, including from climate finance. This opens up questions about how new finance streams,

and value-chain innovations might be best harnessed to deliver benefits to smallholder farmers and

deliver on the outcomes of CSA.

Key research questions are: What motivates the private sector to take up and promote CSA? Which

business models work for whom and when to support scaling up? What is the potential of impact

investment to incentivise equitable adoption of CSA technologies and practices at local levels

through a value chain approach? Is certification of climate-smartness a viable and marketable

business model that delivers equitable benefits to farmers, and in so doing, promote adoption of

CSA technologies and practices? What other existing and innovative finance instruments exist (e.g.

payment for ecosystem services) that will provide incentives to farmers to access, adopt and

promote CSA practices and technologies, and what are their efficacy in reaching and positively

impacting on those most marginalised (including women and youth)? What risks arise from market

access for smallholder farmers and what are effective strategies to mitigate these risks?

This CoA is crucial to the CCAFS impact pathway in that it frames many of the strategies for scaling

up CSA in support of ambitious national, regional and global goals. Insights generated from this

research will inform CSA investment and increase the value for money of CSA investment by using

appropriate gender-sensitive incentive mechanisms for adoption. Research outputs include:

Synthesis of research on business models and approaches to business modelling across

different biophysical and socio-economic contexts to find out which models and

approaches are most useful for whom and under which conditions;

Establishment of public-private-partnerships with value chain actors to develop evidence

based certification schemes that facilitate entry points for CSA investment through

commodity chains;

Research on CSA certification feasibility in West Africa and Central America in coffee and

cocoa value chains, and in SE Asia in the rice sector;

https://cgspace.cgiar.org/handle/10568/72804

19


Research on the reach and efficacy of impact investment and other novel financial

instruments, including those originating from climate finance;

Awareness raising on and preparation for innovative climate funds at multiple levels. Examples of research questions in this CoA include:

What are the effective methods and/or processes to design a mix of components that

supports scaling up/out CSA?

How can inclusiveness be addressed in emerging approaches to scale up/out CSA?

What are the specific needs of smallholder farmers and SMEs with regard to incentives

such as financial and risk management instruments?

What are characteristics of financial and risk management instruments that successfully

support scaling up/out of CSA?

What are characteristics of a certification system (e.g. for coffee, cocoa, rice) that

successfully support scaling up/out of CSA?

What capacity building strategies are effective in supporting scaling up/out of CSA?

20


Annex 2. CCAFS generic impact pathway and Theory of Change

Introduction

CCAFS has a generic Theory of Change for the whole programme, and each of the four Flagships in

CCAFS has an Impact Pathway and associated Theory of Change. But, given CCAFS is a global

programme with multiple projects, these are at a very high level, and individual projects need to

develop their own theories of change. This document summarises the generic Theory of Change, and

gives an example of the impact pathway for one of the Flagships (Flagship 2). It is drawn from the

text in the full CCAFS proposal (see full proposal and summary version found here:

https://cgspace.cgiar.org/handle/10568/72804).

Description of the global Theory of Change (ToC)

CCAFS has committed with partners to globally ambitious targets for action in the face of climate

change. Our Theory of Change (ToC) for how large-scale CSA adoption might occur builds on the

theory presented by Lipper et al. (2014) for CSA, which proposes four areas for action: 1) building

evidence; 2) developing capacity of institutions and services; 3) coordinating climate and

agricultural policies; and 4) stable, strategic investment to reach scale. The CCAFS ToC focuses on

four areas of action (Figure 1):

1) Working with partners, especially implementing partners and local organisations, to build

field-based evidence (bottom left corner of Figure 1);

2) Working with partners, especially climate risk management service providers, to understand

how to strengthen institutions and services through better use of climate information

(top left corner of Figure 1);

3) Working with partners, particularly policy partners, to understand what works for

coordinated policy and governance (top right corner of Figure 1);

4) Working with partners, particularly the large agencies and companies driving

implementation, to understand what works for investment to reach scale (bottom right

corner of Figure 1).

Key assumptions relate to maintained political will and readiness to tackle challenges of future food

security under climate change and institutional capacity to meet these political aspirations. While

unintended outcomes have largely been serendipitous and positive under Phase I (e.g. additional

partners adding scale to outcomes, or unexpected results on gender differences leading to better

tailoring of ICT services), regular evaluation and update of the ToC is crucial.

In general, CCAFS posits that the selected Intermediate Development Outcomes will be achieved

through large-scale, equitable adoption of climate-smart practices, services and institutions, within

the context of agricultural development pathways that prioritise resilience-building and, where

appropriate, low emissions. One needs to drive, with partners, implementation of Climate-Smart

Agriculture (CSA) on the ground and simultaneously to foster policy and institutional change to

enable such implementation (black boxes in Figure 1). Partnerships – the ‘‘who’’ of the ToC shown in

rounded brackets for each action area in Figure 1 – are seen as crucial to the ‘’How’‘ of the ToC. The

‘’How’‘ also involves the way that CCAFS should operate. CCAFS has used internal learning to

develop ten principles about how CRP behaviours can enhance the likelihood and quality of

outcomes (Vermeulen and Campbell 2015). One of these is ‘Navigate towards specific points of

leverage’. We propose that an effective Agricultural Research for Development (AR4D) programme

inquiries into complexity and confronts wicked problems, but – rather than get lured into either

reductionist approaches or vast attempts to model complexity – uses ‘’best-bet’ prioritisation to

navigate towards a limited number of leverage points most likely to drive change. Another is

‘Allocate resources in three thirds – needs, research, capacity’. We propose that an effective AR4D

programme invests a third of resources in working with next users to build relationships and to

define their needs from research, a third on research per se (often with partners), and a third on

enhancing next users’ capacity so as to improve the uptake of the research. A further example of

one of the principles is ‘Tackle power and influence’. We propose that an effective AR4D programme

actively addresses gender and other power differences within deliberative approaches in which the

CRP participates. One important aspect of this approach is recognition of the power and influence of


21


the AR4D programme itself. In most cases science is only one among many influences on policy and

action, and scientific inputs are not given privilege on account of being more ‘objective’ or ‘factual’.

Capacity development is pivotal to the impact pathways of CCAFS as a whole and the individual

Flagships, providing the mechanisms whereby increasing abilities to demand, undertake and utilise

research lead to sustainable improvements in capacity to manage climate change. Thus the CCAFS

capacity development strategy addresses the full ToC, with particular emphasis on developing

capacity to generate policy-relevant knowledge on CSA and developing institutional capacity

particularly among boundary organisations to put knowledge into effective use. CCAFS also

understands knowledge management (including open access) and communications as central drivers

of change (shown as gears Figure 1).

CCAFS will not expect impact pathways to happen by themselves, as a natural outcome of high

quality scientific publications and other International Public Goods. Instead CCAFS will invest

seriously in working with partners to ensure that CGIAR research is fully embedded into

development cycles, and, vice versa, development embedded into research cycles.

Figure 1. CCAFS overall Theory of Change, showing the hypotheses for the four Flagship

Projects (FPs) and Gender and Social Inclusion (GSI). (SLOs = System Level Outcomes;

IDOs = Intermediate Development Outcomes)

Description of impact pathway and Theory of Change for Flagship Project 2 (FP2): Climate

Smart Technologies and Practices (for other Flagships see the CCAFS full proposal:

https://cgspace.cgiar.org/handle/10568/72804).

The impact pathway for Flagship Project 2 (FP2) is shown in Figure 2. The primary outcome for FP2

is to provide incentives (financial, technical and policy) to support six million farmers to adopt

climate-smart practices and technologies, which explicitly contribute to increased resilience to

climate shocks across a range of time-scales. This is to be achieved through engagement with key


22


donors, governments and local institutions to invest in projects and programs that incentivise

adoption. FP2 will produce and appropriately disseminate evidence and information to support these

investments, making the business case for the best-bet CSA options for target geographies and

beneficiaries.

In developing the FP2 ToC with partners, some key knowledge gaps were identified to achieve the

targets proposed, and the Clusters of Activities (CoAs) have been constructed around the knowledge

gaps. Research in Phase I and the Extension phase demonstrated that agricultural research has not

taken a CSA lens to evaluate the benefits, cost and trade-offs of a particular agricultural technology

or practice (also see Branca et al. 2011), with fewer than 1 per cent of studies examining all three

CSA pillars (Rosenstock et al. 2015).

Notably, in the context of developing economies where adaptation is a priority, little is known about

the mitigation effects of different adaptation strategies and vice versa (see e.g. Müller et al. 2015;

Lobell et al. 2013). Even less knowledge is available on targeted, gender-responsive impacts on

women's labour, gendered barriers to control of productive resources, and lack of access to

information services (Twyman et al. 2014; Jost et al. 2015) and cross-commodity CSA portfolios

(combinations of technologies, practices, and social/institutional innovations) at local levels. Greater

evidence is needed to guide investments in CSA options and provide actionable information that

addresses capacity gaps and facilitates scaled adoption of CSA portfolios to enhance food security in

a changing climate and contribute to long-term mitigation targets.

Evidence is needed on which practices and technologies generate CSA-related outcomes, where

these practices should be targeted, the costs involved and their expected co-benefits or dis-benefits

(including gender and labour aspects). This context-specific knowledge leads to local CSA adoption

in action research sites. Development of a field-based evidence base can then lead to better

understanding of instruments for achieving impact at scale, including enabling multi-level policy

environments (sub-national to national), private sector involvement, new CSA business models and

novel financing and incentive systems for CSA (including both climate- and development finance).

CCAFS will assess the evidence of what works where and why for farmers and their supporting

organisations and institutions (public, private and non‐governmental actors). This knowledge will be

shared with CCAFS downstream partners to support them to overcome barriers to investment and

further adoption outside of CCAFS action sites delivers CSA at scale.

Crucial components of the ToC include working with partners to deliver on outcomes, action research

grounded in local realities in partnership with downstream development actors, and building the

capacity of key actors in the impact pathways from high-level investment to local institutions (see

Section 2.2.1.10). Furthermore, the FP will make use of tailored communications tools and

approaches for engaging and informing next users, building on successes in Phase I. This includes

infographic-rich briefing materials, personal briefings with policy makers, media outreach at the

national and global level to share high-profile results, and user-friendly websites and platform such

as the CSA 101 guide. As per the FP2 ToC, achievement of the impact targets will largely be

achieved through ensuring that CCAFS science is incorporated into the programming of large CSA

investment programs and projects, hence downstream impact partners will be those with the

greatest ambition and scope for CSA-related programming. Truly scaled impacts for this FP can only

be achieved if viable business models are identified which incentivise autonomous adoption by

farmers, and/or private sector actors to promote CSA as a component of sustainable business.

Research under FP2 will contribute to knowledge on business models and the kinds of business

relationships needed to lead to major private sector investment in making CSA happen across target

geographies.

Several assumptions underline this ToC. The FP2 ToC assumes that CSA differs from ‘business-as-

usual’ approaches by emphasising the capacity to implement flexible, context-specific solutions,

supported by innovative policy and financing actions (Lipper et al. 2014). The ToC also assumes that

better information and evidence, packaged and communicated through appropriate channels, will

not only increase investment, but also increase the quality of that investment towards the delivery

23


of CSA related outcomes. This will be explored under CoA2.4. Additionally, this ToC assumes that

CSA practices and technologies will be attractive to young people, and have the potential for

gendered impacts above and beyond a ‘business as usual’ approach. This is by no means guaranteed

(e.g. when it requires increased labour inputs), hence the research will test this assumption through

CoA 2.1.

Figure 2. Impact Pathway for Flagship Project 2 (FP2) in CCAFS. There are multiple

outputs from each Cluster of Activities (CoA) which contribute to Sub-IDOs and

associated Flagship Outcomes. These Outcomes then contribute to IDOs and SLOs.

24


Annex 3. Listing of eligible CCAFS projects for the call

Note that in many cases the project title and summary have been edited to reduce the number of

words. Also shown is the Flagships in which the project is located, as well as the regions (LAM =

Latin America; EA = East Africa; WA = West Africa; SAs = South Asia; SEA = South East Asia; Glo =

Global). Projects have unique identifiers (e.g. 9, 11, 12 ….). The full details of each project are

available on this webpage (to search for a specific project, look for identifiers in the file title: P9,

P11, P12…..).

ID Project Title Project Summary Flag-ship

s

Regions

9

LivestockPlus: Supporting low

emissions development planning in the Latin

American cattle sector

Will enable development and implementation of Nationally Appropriate Mitigation Actions (NAMAs) for low emissions pasture development in the cattle sector in Costa Rica and

Colombia by providing technical support and critical information and guidelines necessary to identify the best

available mitigation options and support planning and

policies for the scaling up of NAMAs.

F3 LAM

11

Supporting technical options and innovative

PPP by linking sustainable beef cattle

production and landscape management

Will focus on the State of Para, Brazil. The project will 1) assess the strengths/weaknesses of the "Green

Municipality" to support low-carbon cattle ranching, 2) undertake assessments of the economic and technical

performance; 3) establish a monitoring system to analyze agriculture and landscape dynamics;

F3 LAM

12 Mitigation in livestock

systems and LED pathways

Integrates social and biophysical research, including

surveys, ethnography, spatial and mechanistic modeling, and targeted GHG measurements, to co-define with stakeholders landscape mitigation leverage points,

supportive social constructs, and national priorities in order to inform ongoing climate change policy processes in

Uganda, Tanzania, and Kenya,

F3 EA

13 East Africa NAMA for Dairy Development

with UNIQUE

Will support stakeholders in Kenya to design/pilot activities to reduce GHG emissions from dairy production through

implementation of a NAMA. The project will support the development of a NAMA proposal; provide analysis to

prioritize low-emissions dairy development options and effective business models, and support development of MRV

approaches

F3 EA

18

Landscape Approach to Climate Change

Mitigation in Agriculture (LACCMA)

Plan to assess the viability of an optimal landscape against the economic costs and benefits that could act as catalysts or constraints. Engagement with local stakeholders is an

integral part of the modeling component

F3 SEA

20

Piloting/upscaling an

underground approach for mitigating urban floods and improving rural water security in

South Asia

Catastrophic floods and groundwater depletion are addressed in trouble-spots of South Asia through an

approach termed ‘Underground Taming of Floods for Irrigation’ (UTFI). Outputs include a detailed proof of

concept with the opportunities for upscaling clearly defined through technical guidelines, business case development

and stakeholder engagement.

F2,F3 SAs

https://www.dropbox.com/sh/i794hci9krpxei3/AAC2Vum8fam_TrwWpW11-0raa?dl=0

25


21

Assessing incentives for scaling up mitigation at different stakeholder

levels: 'No-regret' mitigation strategies in

rice production

Will evaluate and highlight co-benefits of mitigation options and integrate AWD into a farming strategy. This approach will accelerate scaling up of mitigation by tackling different stakeholder levels, from farmers and extension services to

national policy makers.

F3 SEA

22 Improving nitrous oxide

estimates globally

Effective low-emission development policies depend on accurate, spatially-explicit estimates of GHG emissions. At

present, there is no fit-for-purpose scalable model to

estimate GHG emissions nor are there sufficient data available for adapting or designing suitable models for GHG

emissions in wheat- and maize-based cropping systems.

F3 Glo

25

Developing and targeting portfolios of

CSA practices for sustainable

intensification of vulnerable farming

systems in South Asia

Evidence of CSA practices (CSAPs) will be used for developing recommendation domains of CSAPs integrating

diversity of bio-physical, socio-economic and political factors. Recommendation domains of potentially adoptable and gender responsive CSAPs will be validated employing

key indicators

F2 SAs

28

Integrated agricultural technologies for

enhanced adaptive capacity and resilient livelihoods in climate-smart villages in SEA

This project will provide integrated climate-smart agriculture (CSA) options to enhance adaptive capacity in

CSVs. Key activitie include assessment and priority setting; participatory action research; Knowledge sharing and

networking

F2 SEA

34

Building resilient agro-sylvo-pastoral systems in West Africa through

participatory action research (BRAS-PAR).

Seeks to develop up-scalable technological and social innovations of climate-smart agriculture integrating crop-livestock-tree systems through improved understanding of farmer's perceptions and demands, by addressing barriers

to adoption taking into consideration gender and social differentiation.

F2 WA

41

Enhancing benefits of Remote Sensing Data

and Flood Hazard Modeling in Index-

based Flood Insurance (IBFI) in South Asia

Aims to integrate hi-tech modelling and satellite imagery

with other data to predetermine flood thresholds, which could trigger speedy payouts. Effective end-to-end solutions

will be developed in collaboration with a range of organizations and experts

F4 SAs

42

Tailored Agro-Climate Services and food

security information for better decision making

in Latin America

Will jointly develop and implement with national stakeholders, innovative approaches and tools based on local and scientific information for improving climate risk

management taking into account gender aspects, combining local data on agroclimatic information with

seasonal forecasts, and improving information formats and delivery to decision-makers/farmers

F4 LAM

43

Outscaling a citizen science approach to

test climate adaptation options on farms

Aims to outscale a novel “farmer citizen science” approach. In this approach, each farmer tries and ranks a small

number of technologies, characterizes local conditions with cheap, reliable weather sensors, and shares information by

mobile phone.

F2 LAM,

EA, SAs

46

CASCAID - Capacitating African Smallholders

with Climate Advisories and Insurance Development

Aims to capacitate African smallholders and other value

chain stakeholders with climate and yield advisories, index insurance and integrated climate services.

F4 WA

48

Enhancing adaptive capacity of

women/ethnic minority farmers through

improved agro-climate information in SEA

Will enhance the adaptive capacity of women and ethnic minoritiies to better anticipate and respond to risks and opportunities from climatic variability. Agricultural and meteorological service providers will work directly with

farmers, engaging them in meteorological observations and decision

F4 SEA

26


49

Surveillance and early warning systems for

climate sensitive diseases in Vietnam

and Laos

Will identify a portfolio of climate-based information systems that target important diseases and are used

successfully in other countries. Action research to adapt them for Vietnam/Laos and ensuring delivery through

partnerships.

F4 SEA

51

Develop Index insurance for drought-prone maize and bean-based farming systems to enhance adoption of

climate-adapted germplasm

Will develop and test in East Africa and Nigeria a scientifically-validated design of drought insurance bundled

with climate-adapted germplasm. Appropriate index insurance products will be developed with farmers, insurers,

re-insurers and seed companies..

F4 EA, WA

54

Climate-smart Villages in the Mekong Basin:

Defining an Innovative and Comprehensive

Approach for Catalyzing Roll-out of Adoption

Project will introduce innovations as integral parts of local farming systems – and not as stand-alone component

technologies. Features include: (i) comprehensive knowledge platform facilitating customized information access, (ii) ‘good practice’ guidelines and approach for

certification of CSA practices, (iii) road maps for CSA roll-out

F2 SEA

55

Generating evidence base for upscaling local

adaptation through Climate-Smart

Agriculture

Aims to deepen and build upon current knowledge base on

undertaking gender-sensitive community-based adaptation (CBA) and local-level CSA upscaling, through participatory action research (PAR) in two sites (Philippines & Vietnam). Will generate a portfolio of CSA technologies & practices that demonstrate evidences of multi-scalar development

outcomes

F2 SEA

56 Partnerships for scaling

climate-smart agriculture (P4S-CSA)

Formalizes new partnerships between national, regional and continental institutions to support the scaling of CSA

through co-development and application of analytically rigorous information, models and tools. The primary outcome will be more effective CSA programming,

increasing CSA adoption by farmers, and value for money in CSA investments by donors.

F2 EA, WA

57

Mainstreaming CSA practices in mixed

tree/food crop systems among smallholder

farmers in W Africa & Latin America

Seeks to test methods for scaling Climate Smart Agricultural (CSA) practices through (a) voluntary

certification schemes; and, (b) impact investments in producer organizations, using smallholder coffee and cocoa

systems

F2 LAM, WA

58

Putting climate into extension services:

Climate-Site-Specific Management Systems

(CSMS) for rice systems

We propose to develop a two-way Climate-Site-Specific

Management System (CSMS) that allows farmers in LAM to contribute with self-generated data on soil, crop

management and production in return for tailored, site-specific information on Climate-Smart Practices (CSP).

F2 LAM

66

Global policy support for biologically diverse,

climate resilient agriculture

The project will support implementation of international laws affecting the availability and use of genetic resources

for Climate-Smart Agriculture. Special emphasis will include focus on creating and supporting community seed banks to

conserve and use crop diversity for climate change adaption.

F1 LAM,EA,

WA, SAs

222

Production and use of biochar, compost and

lime as component of integrated soil fertility

management and sustainable land use

Overall goal is to improve food security and natural resource management in smallholder farming systems of

eastern Uganda by adapting and disseminating biochar, compost and lime technologies that contribute to enhancing

agronomic efficiencies and productivity of common bean and maize cropping

F3, F2

EA

224

FEED THE FUTURE INNOVATION LAB. FOR

CLIMATE RESILIENT COWPEA

Goal is to improve food availability and nutritional quality for smallholder producers in four countries (Burkina Faso,

Ghana, Nigeria, Senegal). 1) develop and validate new genetic marker-based selection methods for abiotic stress tolerance traits; and 2) apply the new selection methods

and tools to generate improved cowpea breeding lines with abiotic stress tolerance.

F2 WA

27


248 Incentives and

innovative finance for scaling CSA up and out

Looks at how tailored financial products and services in combination with competence building can support

smallholder farmers and SMEs to invest in CSA. Aims to develop context-specific knowledge on the factors and conditions which constitute an effective technical and

financial package to scale up CSA.

F2 LAM,EA, WA,SEA

, SAs

249 Sustainable

intensification of dairy

production in Indonesia

Action oriented project aiming to develop feasible low-emission strategies for Indonesian small-holder dairy farmers. Will develop new knowledge and customised

solutions for improved feeding, manure and animal management strategies at farm level and cooperative level.

F3 SEA

250

Bringing CSA practices to scale: assessing

their contributions to narrow nutrient and

yield gaps

Aims at substantially improving food productivity in SSA (Ethiopia, Kenya and/or Tanzania) without corresponding

increases in emissions of GHGs and nutrients to the environment. Will translate yield gaps into nutrient gaps. Aim at formulating promising smart options for managing

nutrient gaps, based on the 4Rs nutrient stewardship approach

F3 EA

251 Reducing food loss and

waste

Aim is to provide evidence for the mitigation of climate change that could be achieved by reducing FLW, the drivers

for FLW in supply chains important to mitigation, and

strategies for reducing FLW in ways that achieve a food- and nutrition- secure food system while also reducing

emissions.

F3 Glo

255

[Regional Program Leader] WA:

Regional/National synthesis, engagement

and support

In collaboration with local partners, CCAFS has in a participatory manner, used its CSV approach in testing and

validating several agricultural interventions. With the growing evidence of success, we also initiate the scaling-up

and adoption of proven CSA options by sustaining the national science-policy dialogue platforms for CSA.

F1,F2,F3,F

4 WA

258

Climate-smart rice technologies to

enhance resilience of

smallholder rice farmers in Burkina Faso

Adapt and evaluate climate-smart rice technologies in participatory processes with farmers and to facilitate large-

scale diffusion in Burkina Faso and elsewhere in West

Africa. Will target rainfed and irrigated rice-based farming systems in the lowland areas.

F2 WA

259

[Regional Program Leader] SA: Scaling

up/out Climate-Smart Agriculture

Technologies/Practices and Services

Aims to identify, test, evaluate and synthesise CSA technologies, practices and services across the agro-ecological zones of South Asia. Will primarily involve creating evidences using literature review, test and

evaluate CSA technologies in CSVs, simulation modelling, socio-economic surveys and synthesis of evidence.

F1, F2, F3, F4

SAs

262

[Regional Program Leader] LAM: Local to

National/Regional synthesis, engagement

and support

Aims to develop local to national and regional activities that guide CCAFS synthesis, engagement and support across the

regional portfolio. Local activities are related to the implementation of CSA technological packages, as well as implementation of strategies to engage at community level

through participatory approaches.

F1, F2, F3, F4

LAM

263

RPL EA: Regional and national engagement, synthesis and strategic

research

Will identify, test and evaluate a portfolio of crop, livestock, and sustainable land management CSA technologies,

practices and innovations across the CSVs in EA. Will also scale up and scale out successful CSA technologies and innovations, guided by business models that incorporate

local adaptation planning in the scaling up process.

F1, F2, F3, F4

EA

264

[Regional Program Leader] SEA:

Regional/National synthesis, engagement

and support

Aims to support CSA-related policies, programs, and initiatives in Southeast Asia through village, national, and

regional activities. Works with national government partners to integrate CCAFS-generated information and knowledge in national policies and strategies and co-

develop the R4D programs and activities that are aligned with national priorities.

F1, F2, F3, F4

SEA

28


265 [Flagship Leader] FP2: Engagement, synthesis

and support

FP2 will work with partners to test, evaluate, promote and scale up CSA technologies/practices and institutional approaches. This will be achieved by integrating and

applying the best and most promising

methods/tools/approaches for equitable local adaptation planning and governance, and developing innovative

incentives and mechanisms for scaling.

F2 LAM,

EA, WA,

SE, SAs

266

[Flagship Leader] FP4:

Engagement, synthesis and support

FP4 works with partners to develop climate information and advisory services that support farmers, weather-related

insurance that protects farmers and increases investments in CSA, food security early warning and safety net systems.

F4

LAM, EA, WA,

SEA, SAs


and support

FP3 will test the feasibility of reducing agricultural GHG emissions at large scales while ensuring food security in

developing countries. This project focuses on global syntheses and engagement.

F3

LAM, EA, SEA, SAs


and support

FP1 synthesis and supporting activities include activities led by the flagship such as the new Learning Platform on ex-

ante impact assessment and priority setting. Also supports a liaison role to initiate and implement synergies on policies

for CSA, between FP1 and the World Bank.

F1

LAM, EA, WA,

SEA, SAs

269

[Gender and Social Inclusion] GSI:

Engagement, synthesis

and support in Gender

Undertake research to inform, catalyse and target CSA solutions to women, youth and other vulnerable groups,

increase the control of disadvantaged groups over

productive assets and resources, and increase their participation in climate-relevant decision-making.

F1, F2, F3,

F4

LAM, EA, WA,

SEA,

SAs

274

Scenario-guided policy and investment

planning for food- and nutrition-secure futures under climate change

Aim to build on the first phase as follows: 1. More emphasis on engaging with CCAFS policy concerns

from a food systems/food and nutrition security perspective; 2. Using foresight as a mechanism for

inclusion of gender/youth issues; 3. Increased emphasis on integrating sub-national governance levels into national

policy making, and on implementation planning.

F1

LAM, EA, WA,

SEA, SAs

29


Annex 4. Instructions for applicants

The application form must be completed in English. For some items on the form, a maximum

number of words or pages is stated. Do not exceed this number and fill out the number of words.

Your application may be disqualified if you exceed the maximum number of words or pages

stated.

The application needs to be submitted through the ISAAC system, which can be accessed on the

NWO website. Please note that the electronic application must be submitted through the ISAAC

account of the main applicant. Please start submitting the application five days prior to the

deadline.

Filling out the application form

Explanatory notes to each question on the application form are provided below (the numbers refer

to the questions on the application form). A number of details presented in this section should also

be completed/copied in the application details for the ISAAC system. These are indicated on the

fact sheet.

1. Title

The project title must state the country or countries where the research will be carried out.

2. Project

Please indicate:

a. The selected CCAFS project that the focus area(s) of the proposal aligns with;

b. Project duration (expressed in months);

c. Main field of research. Please fill out the main field of research that corresponds to the

subject of your research proposal. Please follow the link provided in the form for an

overview of the NWO research fields. When applicable, other fields of research can be

included as well.

3. Composition of the consortium

Coordinator of the consortium (Main applicant);

Consortium members (Co-applicants).

At least four different partners as specified under Section 3.1 should be indicated, but additional

partners can be added to the consortium. Please copy and paste the tables in order to add other

consortium members, and provide all details requested.

4. Consortium and track record

4a Consortium: roles and added value

Please describe the role and added value of each of the consortium partners in terms of

experience, skills, know-how and expertise. If applicable, describe the consortium partners’ past

experience with joint activities.

4b Consortium: recent publications

Please provide maximum five key publications per consortium member.

4c CVs of consortium members

Please include CVs of all consortium members (max. 1 page each) in the Annex.

5. Summary of the project proposal

The summary should describe briefly, in no more than 150 words, the opportunity or problem

addressed, the main objective, knowledge gaps and approaches. Please note that the summary of

the proposal will be published on the website as such after approval.

30


6. Description of the project

Please consult the assessment criteria against which the proposal will be assessed (Section 4.2).

The description of the project should include the following aspects:

a. Background and rationale: analysis and contextualisation of the opportunity or problem

addressed;

b. Alignment with the selected CCAFS project: relation of the prpposed project and the

opportunity or problem it addresses with the selected CCAFS project(s), including

description of the type of scaling option(s) for CSA that is/are selected, the activities the

proposed project aligns with and how the expected results will add to the CCAFS project;

c. Objective: the project’s objective in terms of its contribution to the main aim of GCP with

reference to the relevant aspects of the food system;

d. Research questions and methods: knowledge gaps addressed, knowledge and research

questions, description of the interdisciplinary, transdisciplinary and integrative approach

and methods, major results expected;

e. Description of activities including timetable. Provide a detailed work plan and time

schedule for the entire project duration. Overall project and specific activities, e.g.

approaches for achieving the objectives, milestones concerning knowledge sharing,

learning and training, scientific and non-scientific output must be included. Assure cross

reference with the research impact pathway diagram and communication strategy;

f. Gender approach: please elaborate on the approach for mainstreaming gender,

recognising the different roles both women and men play and acknowledging the

complementarity of both, in order to obtain gender equality. Including gender expertise

may be crucial. Please note that including women in the consortium and aggregating

gender-specific data is not sufficient for mainstreaming gender in the research approach.

7. Research uptake / knowledge sharing

For the objectives see section 3.2

a. Stakeholder engagement: Include an initial mapping of relevant stakeholders and their

role in the project.

b. Capacity development: Describe the activities incorporated in the project with the

purpose of capacity development.

c. Communication with stakeholders and the F&B Knowledge Platform (including

communication strategies): Please describe how the consortium intends to engage with

stakeholders and with the F&B Knowledge Platform, for which the Platform Office is the

first point of entry. Describe the proposed activities and their timeline. Include in this

section a description of the planned communication activities, specifying target groups,

specific objectives, communication issues and products as well as means of

communication.

d. Please describe the approach for monitoring & evaluation of research efforts, thereby

including efforts for achieving uptake.

8. Theory of Change & Research Impact Pathway

Theory of Change

Please describe in narrative the relationship, logical flow and/or causalities between planned

activities, expected results (output), desired changes (outcome) and main objective (contribution

to impact). A context analysis that relates to the food system approach and the assumptions

underlying the Research Impact Pathway should be part of the Theory of Change, in relation to the

generic CCAFS Theory of Change.

Research Impact Pathway

Please complete a detailed impact pathway diagram (max. 2 pages). For impact specify how the

IP attributes to (one of) the foci of GCP.

31


Use the boxes provided to elaborate on:

I. Research objective: the main objective of the research project, in relation to the

objectives of the call;

II. Outputs: the most immediate results of the research project. Research outputs by

consortium members can be reckoned as falling under the direct span of control of

the IP, but does not stop there. Consortia are expected to go beyond output by

facilitating the potential for achieving outcomes. Research outcomes relate to;

III. Outcomes: The external use, adoption or influence of a project’s outputs that results in

behavioural change of partners and stakeholders needed to achieve the intended

impact. Indicate the changes that are expected at the level of the adopters;

IV. Impact: changes in economic, environmental and social conditions that the

project is working toward.

Approach for the baseline study

Applicants are required to present baseline data that are relevant for their project, based on

which the external evaluators can measure outcome and impact. This baseline data should

be on food security and private sector development, at the level of local, regional,

international and global flows, volumes, mechanisms and institutional arrangements. This

baseline should not take the form of primary data gathering, but should make use of

secondary data, such as data gathered by the embassies in the context of monitoring their

multi-annual strategic plans and of various aggregate data as provided by the FAO, WFP,

CGIAR, OECD and World Bank. Please elaborate on the selection of data, the sources and the

approach for collecting this data.

9. Budget overview

Please consult Section 3.2 of the call before completing this section. Note that the total budget

requested from GCP should not exceed 250,000 euro.

Please fill in the requested budget items. For some categories minimum conditions apply. Present

estimates for:

a. Total budget

Please provide a summary of the total budget by providing an overview of the totals from the

itemised detailed budget as requested below, and include the actual expenses incurred for the

joint proposal development.

b. Budget estimates

Personnel costs

List the total number of person years and appointments on a full time basis of postdoc and PhD

researchers to be affiliated and supported as a temporary employee at Dutch and LMIC-based

institutes, as well as the input of support, junior and senior staff.

Knowledge sharing (at least 5 per cent of the total budget):

Present an estimate of the total costs of the project for specific activities to enhance knowledge

sharing that do not require research: travelling, durables, consumables and assistance, including

an estimate of the costs of specific activities to enhance knowledge sharing among and with GCP

projects and with the Food & Business Knowledge Platform, such as attendance of the joint mid-

term workshop (with other projects of the Call for proposals) and for organising a master class.

Research costs (max 20 per cent of the requested grant budget)

Present estimations of the research costs per year and list the budget items according to the

following budget lines: travelling costs (including plane tickets for researcher and supervisor(s),

travel in the field/the Netherlands and costs of accommodation and travel for short visits);

durables (research equipment); consumables, research assistance and other costs.

32


Capacity development (between 3 and 10 per cent of the total budget)

Present an estimate of the total costs of the project for specific activities for learning and

training: travelling, durables & consumables, expertise needed and other costs.

Overhead (max 10 per cent of the requested grant budget)

Please specify overhead costs in LMICs, related to conducting activities under b, c and d. List the

budget items according to the following budget lines: office space, basic facilities, overheads,

depreciation costs; administrative assistance.

Communication (at least 3 per cent of the total budget)

Present an overview of the cost for communication according to travelling costs, durables

& consumables, expertise and other cost. This includes the cost of coordinating and integrating

the (scientific and other) participants’ contributions to the IP, costs of contributing to relevant

communication and network platforms and the costs of the dissemination and transfer of

knowledge. Please note that NWO does not reimburse costs of scientific publications.

Monitoring & Evaluation (at least at least 3 percent of the total budget for general M&E activities

and 6,000 euro for the Final Review workshop)

Present the costs related to activities for the purpose of Monitoring & Evaluation, such as

documenting progress, consortium and stakeholder meetings to revisit the Theory of Change

and Impact Pathway, as well as attendance of the joint GCP4 midterm meeting. Please also

specify the contributions for the Final Review workshop.

Amount and source of co-funding expected

Please include in the budget overview the sources, type and the approximate amount of co-

funding may be presented here, please be as specific as possible on the purposes of the co-

funding.

Please be as specific as possible on the type of in cash co-funding (e.g. ‘research costs’ is not

sufficiently specific, break this down to: travelling costs, durables, consumables, research

assistance and other costs). All relevant information as presented in the co- funding guarantees

should be represented in the budget overview. See also Annex 5 for further guidelines on co-

funding.

Note that co-funding guarantees in writing must be sent along with the application.

Annexes

Please attach:

Draft Consortium Agreement (the format is available on the website of NWO-WOTRO, all

deviations from the format need to be motivated), signatures are not yet required;

CVs (max. 1 page each) of the consortium members involved in the application;

Letter(s) of support of CCAFS and if applicable other co-funding partners, including

financial guarantees.

Signatures

The application must be signed by all members of the consortium as presented in section 3a.

Faxed, electronic or scanned signatures will be accepted.

33


Annex 5. Co-funding guidelines

Co-funding (cash or in-kind) by the consortium partners (not including Dutch academic or Dutch

public partners) is encouraged. However, co-funding may not exceed the amount provided by

NWO in the grant. After a project has been approved, an invoice will be sent to users who have

pledged a financial contribution. Once the funds have been received, they will be allocated to the

project. Co-funders are assumed to have an interest in the research results.

Personnel input and material contributions may be accepted as co-funding on the condition that

they are capitalised and that they form an integral part of the project. This should be made clear

in the description and planning/phasing of the research. Personnel costs can be included as in kind

co-funding, up to a maximum of 1,250 hours/fte/year with maximum hourly rates: 116 euro for

senior experts, and 81 euro for juniors. For such co-funding to be admissible, the person involved

should have essential expertise for the project that is not available in the academic groups

involved.

Material resources pledged must be presented at cost. Commercial rates will not be accepted. For

pledges of equipment, take previous depreciation and intensity of use into account. Pledges in the

form of supplies of services are possible only if the service can be itemised as an identifiable new

endeavour. The service should not already be available at the research institute or institutes

realising the research.

Applicants may wish to claim services already supplied (such as a database, software or plant

lines) as in-kind co-funding. Acceptance is not automatic in such cases, but dependant on NWO-

WOTROs approval. Further negotiations will take place to decide whether a specific value can be

determined for this supply of services.

Improper mixing of funding sources is not permitted: co-funding may in no instance originate

directly or indirectly from NWO, KNAW or from any other research institute that is eligible to

apply to NWO. Co-funding may neither originate from other Dutch governmental institutions.

The co-funding to be provided by partners must be confirmed in a letter of support, written in

English. This letter should contain explicit confirmation on the pledged financial or capitalised

material or personnel contribution. The amounts presented in letters of support should

correspond to the amounts put forward in the budget. Letters of support should be addressed to

the project leader, not to NWO-WOTRO. After the research proposal has been approved, the

partners will be asked for confirmation of the co-funding (‘confirmation of commitment by third

parties’) and, in relevant cases, further arrangements must be set out in an agreement.

The following are not permitted as in-kind contributions:

- Discounts on commercial rates;

- Costs relating to overheads and/or participation in GCP activities;

- Costs of services that are conditional. No conditions may be imposed on the co- funding.

Nor may the co-funding be contingent upon reaching a certain stage in the research plan

(e.g. go/no-go moment);

- Clinical trials, costs relating to the exploitation of the research results.

Published by:

Netherlands Organisation

for Scientific Research

Version: January 2017

Visiting address:

Laan van Nieuw Oost-Indië 300

2593 CE The Hague

The Netherlands

January 2017

call for proposals food & business global challenges programme

Documents