Call for Proposals

Pilot Projects Guidelines

How to apply

August 2010

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Table of contents

Background .............................................................................................................................. 3

Support mechanism ............................................................................................................... 3

Eligibility requirements ........................................................................................................ 3

Proposal funding limits ......................................................................................................... 5

Proposal submission .............................................................................................................. 5

Deadlines for submission...................................................................................................... 5

Scoring and selection process............................................................................................. 5

Proposal format ...................................................................................................................... 9

Part I. Project summary ............................................................................................... 9

Part II. Project description ........................................................................................ 12

Part III. Creating an enabling environment for FLEGT Action Plan ................. 13

Part IV. Budget and budget description ................................................................. 14

Table 1: Evaluation criteria and scoring .................................................................. 6

Figure 1: Selection process for Calls for Proposals ............................................... 8

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Background Illegal logging poses a serious challenge to the establishment and maintenance of efficient markets and sustainable logging practices in a global economy that is increasingly seeking assurances regarding the legal and sustainable production of wood and wood products. Illegal behaviour in the logging sector results in lost government revenue, missed industry development opportunities, and increased environmental damage and social problems. In 2003, the European Commission adopted the Forest Law Enforcement, Governance and Trade (FLEGT) Action Plan1 with the ultimate goal of encouraging sustainable management of forests. Ensuring the legality of forest operations is considered a vital first step. The plan focuses on governance reforms and capacity building to ensure that the timber exported to the European Union (EU) comes only from legal sources. The ACP-FLEGT Support Programme is a four-year programme implemented by FAO and providing technical and financial resources to African, Caribbean and Pacific (ACP) countries to support the development of an enabling environment for the implementation of the FLEGT Action Plan elements.

Support mechanism Twice a year, the programme will announce a call for proposals targeting ACP country stakeholder groups seeking assistance in implementing FLEGT-related pilot projects. Pilot project proposals target small to medium-sized initiatives that improve law enforcement, governance or trade activities in ACP countries. Pilot projects should remove bottlenecks or test systems that add value to the implementation of FLEGT processes. Programme support to each pilot project is limited to a maximum of 100 000 EUR, or approximately US$135 000. Proponents must be prepared to provide a financial or in-kind contribution in addition to the requested amount and equal to at least 20 percent of that amount. Projects should be for one year or less in duration. The estimated total funding available for this call for proposals is 1.5 million EUR, or US$2.0 million.

Eligibility requirements The following general requirements must be met to be eligible for support through the programme:

1 see http://ec.europa.eu/environment/forests/flegt.htm

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1. The proponent is currently registered in an ACP country (in the case of regional proposals the proponent should be registered in at least one of the countries represented in the regional proposal).

2. The proponent is a government institution, civil society organization2 or private

sector organization3. 3. The proposal directly addresses elements of the FLEGT Action Plan and addresses

issues from at least one of the nine recommended thematic areas (see the programme Website).

4. Civil society and private sector organizations submitting proposals must provide

names of reference people from the government forestry agency who are familiar with the project proposal. These references are used to verify that the government is aware of the proposal and that the proposed project has been discussed within the national forestry development context.

5. The proposal is complete and follows the required format (see format section of

the guidelines).

6. The proposal is within the grant financial parameters: a. the requested grant is under the maximum limit of 100 000 EUR (or 135,000

USD); and b. the proponent’s contribution, financial or in-kind, is at least 20 percent of

the requested grant. While not a requirement for eligibility, countries are strongly encouraged to develop projects through an existing national-level multi-stakeholder process to ensure consistency with national priorities and broad ownership of the proposal by stakeholders. The programme can support the development of such national multi-stakeholder processes if stakeholder groups request assistance. ATTENTION: Civil society organizations and private sector organizations planning to submit pilot project proposals are encouraged to provide a “letter of endorsement” from the Head of Forestry as a demonstration of local ownership and consistency with national FLEGT policy and strategies. The letter of endorsement is not an obligation for eligibility. The letter of endorsement is to encourage proponents to work through and consult with local stakeholder fora and government institutions to develop proposals that support nationally driven FLEGT processes. Please refer to the ACP-FLEGT programme website (www.fao.org/forestry/acp-flegt) for more information on recommended thematic areas and pilot project currently funded through the programme.

2 For the purpose of this guideline a civil society organization is defined as a not-for-profit organization that pursues an issue(s) and values defined by its members or constituency and that contributes to the common good or public interest. 3 For the purpose of these guidelines a private sector organization is defined as a not-for-profit grouping, union or association of private sector businesses or individuals working toward a common interest that is aligned with the public interest.

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Funding limits A limit of 2 pilot projects and 1 technical assistance project per country has been established for each call for proposals. If aggregate project funding in a country exceeds 680,000 Euro, the country will be limited to 1 project in the subsequent call for proposals. Please see the “Projects” page of the programme website for all projects funded per country.

Proposal submission All proposals must be signed by the proponent and submitted in English, French, Spanish or Portuguese to the fax number or e-mail address below. E-mail proposals should be submitted with a scanned copy of the signature page. Proponents will receive written notice confirming receipt and registration of the proposal shortly after the submission deadline.

Submit proposals via fax or e-mail to:

Robert Simpson Programme Manager ACP-FLEGT Support Programme FAO of the United Nations Viale delle Terme di Caracalla 00153 Rome, Italy

Fax number: +39 06 570 55514 E-mail: acp-flegt-call-for-proposals@fao.org

Deadline for submission The proposal submission deadline is Friday, 22 October 2010 before 1700h GMT +1.

Scoring and selection process All pilot project and technical assistance proposals submitted to the programme will be evaluated according to the following process. If any component of the proposal is found to be inconsistent with the processes and format established in the guideline for calls for proposals, the proposal may be rejected. Step 1. Screening for eligibility All incoming proposals will be registered by the Project Management Unit (PMU), and screened against the eligibility criteria defined in the guideline for calls for proposals. Proposals that meet the eligibility criteria will be reviewed by the Expert Panel.

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Step 2. Proposal evaluation and scoring The PMU will send the eligible proposals to members of the Expert Panel for individual evaluation and scoring. Each proposal must be evaluated by at least two members of the Expert Panel. The Expert Panel will score proposals based on the selection criteria and scoring in Table 1.

Table 1: Evaluation criteria and scoring

Evaluation criteria Max.

possible points

Points received

Comments

1. Adequate scale: the budget requested should be realistic and consistent with the planned actions

20 points

2. Consistency with and relevance for forest sector priorities and/or national forest programmes/poverty reduction strategies/national forest policies or other sector strategies that address FLEGT issues; and, if applicable, consistency with priority themes established by the Steering Committee

15 points

3. Appropriateness of proposed strategy: the implementation strategy in the proposal should reflect a logical process to achieve the expected results.

15 points

4. Innovation and catalytic character: projects should include innovative, potentially mainstreamed/replicable approaches, or contribute to programmes with these characteristics

10 points

5. Sustainable outcomes: activities should complement/contribute to successful implementation of an existing or ongoing national programme

10 points

6. Stakeholder participation: projects should involve relevant stakeholders and provide opportunities for stakeholder participation

10 points

7. Lesson learning: proposals should contribute to wider dissemination of ideas, lessons learned and best practices, with specific opportunities for feedback to stakeholders

10 points

8. Partnership: collaborative efforts are preferred over single organization activities

10 points

TOTAL POINTS 100 points

A maximum of 100 points are available for the eight criteria. A total of 70 points and a minimum of 50% of available points in each criterion are required to be eligible for funding.

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If there are more proposals with scores of at least 70 points than can be funded in the current funding cycle, the Expert Panel will provide a hierarchy of scores and a list of proposals they recommend for funding. If a proposal scores less than 70, but the proposal idea merits further development, the Expert Panel can recommend to the PMU that the proponent be given the opportunity to revise the proposal and resubmit it in the next cycle. The Expert Panel will prepare an evaluation report summarizing the results of the evaluation process. Step 3. Review by the Executive Committee The FAO Executive Committee will review the proposals recommended by the Expert Panel in the evaluation report. The Executive Committee may comment or request clarifications and will take into account thematic and regional balance among the six ACP regions4 when approving proposals. Based on its review, the Executive Committee may modify the final report before approval. Step 4. Checking for duplication The list of proposals approved by the Executive Committee will be forwarded for review by other FLEGT support institutions, to reduce the risk of duplicate funding. Step 5: Steering Committee endorsement The PMU will forward the finalized report to the Steering Committee for review and final endorsement. Before endorsement, the Steering Committee may request clarification, present alternative perspectives or seek additional information from the PMU. After endorsement by the Steering Committee, the PMU will inform all the proponents of the evaluation results. The PMU will initiate contractual arrangements with the proponents of selected projects.

4 Caribbean, Pacific, West Africa, Central Africa, Southern Africa, and Eastern Africa.

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Figure 1: Selection process for Calls for Proposals

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Proposal format Proposals should be no more than ten pages, formatted on A4 paper and written in Times New Roman size 12 font. Additional relevant information may be submitted in annexes for reference. Part I. Project summary (cover page) 1.1 Project title: The title of the project. 1.2 Project proponent:

Organization name: Office address: City and postal code: Country: Mailing address (if different from the office address): Email address: Office phone number: Cell phone number: Fax number: Website (if available):

Check the box that designates the type of organization:

Government institution Civil society organization Private sector organization

1.3 Contact person:

Point of contact name: Title: Email address: Office phone number: Cell phone number:

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1.4 Thematic area addressed: Review the nine thematic areas on the ACP-FLEGT Support Programme website and list the one thematic area that best describes the objectives of the proposal. 1.5 Government references or letter of endorsement: Civil society and private sector organization must provide either a letter of Endorsement from the Head of Forestry or at least two references of government forestry agency personnel familiar with the proposal. Each reference should include the person’s name, title, address, e-mail and telephone number. Check the box as appropriate.5

Letter of Endorsement References Not applicable

If providing references, please include the following contact information of the references:

Name: Title: Phone number: Email address:

1.6 Funding summary:

Total (in US$) Requested funds: Proponent contribution: TOTAL PROJECT COST: Identify the total project cost, total amount of funds requested from FAO and the total amount that will be provided through the proponent contribution (express monetary values in US$). 1.7 Organizational background (1/2 page): Please provide background information about the institution, including its mission statement, institutional objectives, number of employees, financial management capacity, work history highlights and current projects.

5 Proponents from government agencies are not required to provide references and should check the not applicable box.

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1.8 Declaration and signature: All information contained in this proposal is true and accurate to the best of my knowledge. This proposal is not currently and has not been previously funded by another institution. Date_________________Signature__________________________________________ (Signature and name of project proponent)

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Part II. Project description 2.1 Project context and problem statement (maximum 1 page): Please describe the problem that the project will address, as well as the context and factors that perpetuate the problem. Confine the description to relevant forest-related policy, legislation, law enforcement, economic and social issues. 2.2 Objective: The objective should be a single statement identifying the desired outcome of the project. The objective should contribute to resolution of the stated problem and should be feasible given the resources available to implement pilot projects. 2.3 Project outputs, activities and work plan (maximum 1 page): List the project outputs that will be accomplished using project resources. Each project output should be described in one sentence, supported by key activities. Satisfactory completion of all the activities should result in achievement of the outputs. The completion of all outputs should create the enabling conditions for successful achievement of the project objective. Please include a short indicative project work plan in the proposal. The proposal will be partially scored on the feasibility of accomplishing outputs based on the time frame and budget available for pilot projects. Example work plan format6

Months after project signature Activity description

1 2 3 4 5 6 7 8 9 10 11 12 Output 1 Activity 1 x Activity 2 x Activity 3 x Output 2 Activity 1 x Activity 2 x Activity 3 x Output 3 Activity 1 x x x Activity 2 x x x Activity 3 x x x

6 The example work plan is designed as only a guide to project proponents. The numbers of outputs and activities are variable, depending on the project. No preference will be granted to projects with more or fewer outputs or activities in the work plan.

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2.4 Define project deliverables:

Define and list the deliverables that will be produced through the activities completed with resources provided through this project. For example: completed study or report, maps, research document, or workshop report. 2.5 Methodology/approach (maximum 2 pages): Describe how the project activities will be implemented, who will be involved and who will carry out the actions. The methodology should also describe any interrelations among activities, chains of events or seasonal issues that could affect the project implementation timetable. If applicable, the methodology should identify the roles of forest-dependent populations, gender issues, or consistencies with national and regional forest and poverty alleviation policies. Include in an annex any charts, organizational diagrams or other visual tools required to understand the methodology. Part III. Creating an enabling environment for FLEGT Action Plan implementation (maximum 2 pages) 3.1 Consistency with forest sector priorities/national forest programmes and FLEGT Action Plan elements: Please describe how the project will support implementation of FLEGT Action Plan elements through one or more of the following:

1. increasing the effectiveness of stakeholder(s) in implementing FLEGT-related initiatives;

2. strengthening local, national or regional capacity to implement FLEGT-related initiatives;

3. developing and supporting greater understanding of FLEGT-related issues; 4. supporting activities complementary to current FLEGT related programmes funded

through the ACP-FLEGT Support Programme or other FLEGT programme; 5. other support towards implementation of forest sector/national forest programmes

and/or the FLEGT Action Plan. 3.2 Partnerships: Identify and describe any partnerships with relevant actors that are being established or strengthened through the project. In particular, identify and describe clearly any opportunities for promoting collaboration among government, the private sector and civil society. 3.3 Innovation and catalytic character: Describe any innovations or opportunities for mainstreaming or replication at the national or regional level that will be developed through the project.

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3.4 Sustainable outcomes: Describe how the project will complement and/or contribute to the successful implementation of existing or ongoing national programmes. 3.5 Sharing of outcomes and lessons learned: Sharing lessons learned with ACP country stakeholders is an ACP-FLEGT Support Programme priority. Describe briefly how outcomes and lessons learned will be recorded, made available and shared by the proponent. Part IV. Budget and budget description (maximum 2 pages)

BUDGET PROPOSAL

Funding (US$) Budget Line

Cost per unit

(US$)

Number of units

FAO Proponent TOTAL (US$)

1. Human resources expenses

Permanent personnel

Temporary personnel

2. Travel

Transport

DSA – Per diem

3. Equipment

Expendable

Non-expendable

Premises (office and associated costs)

Maintenance and repair of equipment

4. Construction

5. Contracts

6. Operational expenses

7. Workshops/training

Facilitation

DSA – Per diem (Days, rate, number of participants)

Travel costs (number of travellers, cost per traveller)

Housing costs (if applicable)

Meeting room

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Detail all other costs associated with the event.

8. Information management

BUDGET TOTAL

Budget description Please make all budget submissions in US$. All projects require an additional contribution of at least 20 percent of the total requested funds, through either co-financing or in-kind funding. In-kind contributions can include use of vehicles, fuel, infrastructure, office services, staff time or other resources, and should be expressed in monetary values. 1. Human resources expenses: Funds used to pay the permanent or temporary staff working on the project should be identified under human resources expenses. 2. Travel: All expected travel expenses and related costs, such as transportation, hotel accommodation and daily subsistence allowances, should be totalled under this item. Describe the frequency and nature of the proposed travel related to project implementation. Daily subsistence allowances should be consistent with national averages and reasonable for the project’s scope of work. 3. Equipment: List all the equipment needed for project implementation and its total cost. Please use the following definitions of expendable and non-expendable equipment:

Expendable – stationery, supplies or equipment valued at less than US$500 and with a useful life of one year or less.

Non-expendable – equipment valued at US$500 or more and with a useful life typically of more than one year, e.g. computer equipment. Please justify the need for non-expendable equipment.

The programme can not support the purchase of expendable items such as vehicles, photo copiers or other items that require a large percentage of the overall budget. 4. Construction: If applicable, please describe any construction costs that will be incurred during the project and the relevance to successful completion of the project objective. 5. Contracts: Present a detailed budget of any contracts established with companies or organizations for service under the project. Contracts with consultants should be under human resources expenses and not in this section. 6. Operational expenses: List and detail any operational expenses that will be incurred during the project.

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7. Workshops/training: List and detail a budget for any workshops or training that will occur during the project. Include the number of participants, number of day, facilitation fees per day, DSA or Per Diem per day per person, and all other costs associated with the event. 8. Information management: Any expenses incurred in developing communication tools (posters, brochures, websites or other printed material), outreach actions or sharing of lessons learned from the project should be totalled in this budget item.