Grant Procedures Manual Working Document

Transcription

1 Blue Action Fund Grant Procedures Manual Version May 29, 2017 i

2 Blue Action Fund Grant Procedures Manual Working Document This Grant Procedures Manual for the Blue Action Fund sets out the key operating policies and procedures for each step of the grant making process. Furthermore, it shall describe the key procedural guidelines for the grant receiving NGOs with regards to project implementation and monitoring. The aim is to ensure a standard approach for each project and adhere to policies that safeguard Blue Action Fund s projects and comply with donor requirements. The Manual is a work in process document that will be regularly reviewed and amended to reflect new requirements and best practices. NGO users are invited to offer feedback on the appropriateness and usability of the policies, procedures and forms. The current version of the Manual focuses on the project selection process. Policies for project implementation will be added at a later stage. The Grant Procedures Manual has been compiled by Blue Action Fund with support from joyn-coop ( i

3 Content 1 About Blue Action Fund Blue Action Fund thematic areas and role Blue Action Fund governance and major stakeholders Blue Action funding eligibility requirements Competitive Grant making procedure Formulation of strategy & focus area Specification of selection criteria (project & organisational capacities) and public grant call Preparation of concept notes Evaluation (project and organisations) & short list of concept notes Elaboration of full proposal Evaluation Final selection and approval Contracting and disbursement Implementation, monitoring and evaluation of the projects... 6 Annexes... 7 Annex 1: Blue Action Fund - BMZ Programme Results Matrix... 7 Annex 2: Eligible and ineligible measures... 9 Annex 3: Environmental and Social Safeguard Requirements Annex 4: Concept note template Annex 5: Full proposal template Annex 6: Annexes to the full proposal template List of Figures Figure 1: Blue Action Fund organisational set-up... 2 Figure 2: Grant-making cycle and responsibilities... 4 ii

4 List of Abbreviations/Definitions Blue Action BMZ CCRF EBSA EHS ESIA EUR E&S FAO FC FPIC IBAT IFC ILO INGO IUCN KfW MSC MPA NGO ODA PS RMV SDG SMART UN VAT VGGT VGSSF WB OP Blue Action Fund German Federal Ministry of Economic Cooperation and Development Code of Conduct for Responsible Fisheries Ecologically or Biologically Significant Area Environmental, Health and Safety Environmental and Social Impact Assessment Euro Environmental and Social Food and Agriculture Organisation of the United Nations Financial Cooperation Free Prior and Informed Consent Integrated Biodiversity Assessment Tool International Finance Cooperation International Labour Organisation International NGO International Union for the Conservation of Nature KfW Development Bank Marine Stewardship Council Marine Protected Area Non-governmental Organisation Official Development Assistance Performance Standards Reporting, Monitoring and Verification Sustainable Development Goal Specific, Measurable, Achievable, Relevant, Time-bound United Nations Value added tax Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests in the context of National Food Security Voluntary Guidelines for Securing Sustainable Small Scale Fisheries World Bank Operating Procedures iii

5 1 About Blue Action Fund Although our oceans are of immense value presently only three percent are protected. To respond to that deficiency the German Federal Ministry of Economic Cooperation and Development (BMZ) has developed a 10 Point Action Plan for Marine Conservation, and in cooperation with KfW Development Bank founded the Blue Action Fund. It supports national and international non-governmental organisations in their efforts to conserve oceans and coastlines, by promoting 1) the safeguarding of marine biodiversity: creating new protected areas and improving the management of existing ones; and 2) the sustainable use of marine biodiversity: in fisheries, aquaculture and tourism. The Fund will concentrate on the partner regions for German development cooperation. Interested organisations may submit their proposals in response to public calls directly to the Blue Action Fund. The fund reviews them and ensures especially that they are consistent with national and international protection strategies. They also must support the UN Convention on Biodiversity and the Agenda The fund is a non-profit foundation established under German law with a start-up capital of EUR 24 million. The fund aims to grow in the coming years and gradually broaden its scope so that it becomes an international player in marine protection. 1.1 Blue Action Fund thematic areas and role Blue Action s overall goal is to contribute to reducing the dramatic loss of marine biodiversity and stabilising incomes in coastal fishing communities. It is dedicated to supporting marine protected areas and the most sensitive coastal waters of Africa, Latin America and Asia. Blue Action will therefore address four thematic areas: 1. Contribute to the establishment and development of sustainably managed marine protected areas (MPAs) and sustainable use zones; 2. Support coastal livelihoods that depend on marine resources through sustainable investments in value additive marine biodiversity utilisation; 3. Contribute to evidence based knowledge exchange on MPA development, community engagement, monitoring and surveillance at all levels; 4. Development of instruments, knowledge and cooperation to promote sustainable financing of marine protection from private, public and non-governmental sources. Blue Action plans to work through a programme of grants to NGOs working (typically in partnerships with various local actors) on marine/coastal conservation. Blue Action is hence primarily a grant-maker. It complements existing conservation initiatives through the provision of grants to organisations that will be responsible for financial and technical implementation of the grant programmes. In addition to its role as a grant maker, Blue Action s roles are to be: a fundraiser through the promotion of co-funding approaches with NGOs, beneficiaries and governments as well as through liaison with the private sector and likeminded financial partners to engage with the Blue Action Fund; an information broker and a learning mechanism based on rigorous monitoring and effective knowledge communication. 1

6 1.2 Blue Action Fund governance and major stakeholders As the Blue Action is set up as a non-profit foundation entrusted with public money, its organisational set-up follows principles of good governance, effective control rights and efficiency. Figure 1: Blue Action Fund organisational set-up Blue Action Fund Supervisory Board (BMZ, KfW) supports during project selection Service Provider: IUCN nominates, controls Management Board Implementing Implementing partners Implementing partners Grantees: international partners & regional NGOs Competitive selection; NGOs implement projects Several stakeholders are relevant to the grant-making programme: Blue Action Fund Boards: The two constituent bodies of Blue Action are the Supervisory Board consisting of delegates of BMZ and KfW and the Management Board. The Supervisory Board reviews the Management Board recommendations and makes the final decision on funding awards. The Management Board with its Executive Director is responsible for the general representation and administration of the Blue Action and the implementation of its grantmaking programme. Blue Action Fund Service Providers: The Management Board uses the services of a consultant or similar service providers to support the project selection and the implementation with regards to monitoring. The service provider on project selection is the International Union for the Conservation of Nature (IUCN) with the following functions: 1) Review of the concept notes and advise on pre-selection; 2) Answering questions during the full proposal development process; 3) Review of full proposals and due diligence of the participating NGOs; 4) Assisting the development of grant agreements. Blue Action Fund Grantees: International or regional NGOs take the role of executing agencies of the individual grant projects. They are invited to participate in the selection process. Once selected for the grant programme, they take the responsibility to implement the programme according to the mutually agreed project requirements. The NGOs are to act as contracting partner for the implementation of the grant and are thus responsible and accountable for the proper delivery of funds and/or services, the financial and administrative management of the projects and for reporting to Blue Action and its donors as well as for monitoring. For more information on Blue Action s organisational structure and the roles of our management and supervisory boards, please refer to our website ( 2

7 2 Blue Action funding eligibility requirements Blue Action funding is geared towards the conservation of networks of globally significant marine protected areas and their sustainable use zones. In line with this ambitious goal, Blue Action eligibility requirements concern the project content ( what ), project approach ( how ) and the implementing organisation ( who ). Applicants should consider carefully if they fulfil the criteria and have the capacity to offer and implement projects of this nature. What: projects that Have an integrated approach and contribute to marine protection as well as poverty reduction/sustainable use etc.; Support areas with significant biodiversity, such as ecologically or biologically significant areas (EBSAs), Hope Spots or other internationally recognized classification systems for marine biodiversity; Are realized in an area (including buffer zones) that has the potential to get formal recognition as an MPA (including through community designation and management) during the lifetime of the project or has such recognition already; Contribute to the BMZ Programme Results Matrix (see Annex 1); Contribute to fulfilling SDG 14 and Aichi target 11 and the BMZ 10 Point Plan for Marine Protection and Sustainable Fisheries; Go beyond protecting a single MPA and will have an impact on MPA systems or promote regional approaches, are of particular interest for Blue Action Fund (however, no minimum requirement); Fulfil additional call-specific criteria and priorities announced with each call. How: projects that Show a quick impact (within the project cycle); Are tested in the region and are scalable; Have a focus on investment (see Annex 2 for typical eligible and ineligible measures); Demonstrate cooperation with relevant governmental organisations if possible and civil society; 1 Are located in the marine waters (territorial waters and/or exclusive economic zones) of ODA countries;. Contemplate a Blue Action contribution of Euro 1-4 million depending on the call; Have a duration of three to five years; Demonstrate a sound implementation concept. Who: international and regional NGOs that Have experience in the region and with the project type proposed; Have a sufficiently large annual budget at country-level (higher than 2 times the proposed project size); Have sufficient implementing capacity, necessary safeguards especially with regard to Environment and Social Safeguards (see Annex 3) and networks to allow for professional and timely project implementation; Are willing to cooperate with local partners. Also, Blue Action will welcome applications from consortia of international and regional NGOs that demonstrate clearly the task sharing and the synergies between the applicants; Are willing to contribute at least 25% of the project budget from their own resources 2 and not from other external donor funding. An own contribution greater than the required 25% will be considered positively. 1 The project must have the endorsement of the appropriate authority/authorized body of the country or region. A signed letter of consent with the project indicating such endorsement and the agreed cooperation and co-funding modalities must be presented latest at full proposal stage. 2 Own contributions include cash and in kind contributions from HQ and regional / local offices such as e.g. direct financial cofunding and/or no-cost contributions through human resources seconded to the project and/or no-cost provision of operational facilities such as office/vehicles etc. They can for instance be provided also by local offices, through private donations or sponsoring. 3

8 Should the project concern a country affected by conflicts (list of concerned countries to be made available by Blue Action Fund upon request) the required own contribution is reduced to 10%. Co-financing arrangements with clearly defined investment packages for Blue Action and for other donors funding are positively evaluated. 3 Competitive Grant making procedure Blue Action s grant-making process is based in principle on an open call for proposals procedure. 3 As more fully described below, each call for proposals may set a strategic and geographic focus that will need to be considered in addition to the general requirements of this Manual. The grant-making procedure involves the following steps (see figure below). Figure 2: Grant-making cycle and responsibilities 3.1 Formulation of strategy & focus area Each call for proposals has a focus area. In order to prepare the Supervisory Board s decision on strategy and focus area, the Management Board will undertake the following steps: 1) Identify and prioritize the strategy of a call a. Review Blue Action s vision and mission b. Consult with the members of the Supervisory Board c. Take account of expert advice, including that of a Blue Action Fund advisory council if established 3 Except for some pilot projects to be launched in

9 d. Review trends and development in the conservation world 2) Present the strategy and focus area for approval to the Supervisory Board The Supervisory Board equally determines the budget foreseen for the call. 3.2 Specification of selection criteria (project & organisational capacities) and public grant call The strategy and focus areas of a particular call for proposals may be further defined in the call document. The Management Board will publicly announce each call by publishing the call document. It is published on Blue Action s website as well as on relevant websites for conservation NGOs. Reference is made to this Grant Procedures Manual and if applicable - to the specific thematic focus and criteria relevant for each call. 3.3 Preparation of concept notes International and regional NGOs can submit concept notes using the concept note template (Annex 4) until the deadline specified in the call document. They will have at least four weeks from the announcement of the call to do so. During the concept note development, NGOs can submit questions to the Service Provider, answers to which are sent to all parties who have expressed interest. 3.4 Evaluation (project and organisations) & short list of concept notes Projects and participating organisations are evaluated by the Management Board with the help of IUCN using standardized evaluation tools. Projects are first screened for basic eligibility and subsequently evaluated. The service provider takes a maximum of four (4) weeks to evaluate the proposals and present their findings to the Management Board. Within a further four (4) week period, the Management Board prepares a shortlist of projects for approval by the Supervisory Board. So long as the Management Board judges that there are sufficient projects that qualify, the Management Board shortlist shall have a total budget volume that is at least a third higher than the budget for each call. Upon Supervisory Board decision on which projects to pursue, the Management Board shall inform all organisations of their respective results. 3.5 Elaboration of full proposal Shortlisted projects are asked to elaborate full proposals using the annotated template in Annex 5. Here, also environment and social issues must be addressed in line with respective national legislation and the applicable international standards. Also, at this point in time, the project must have the endorsement of the appropriate authority/authorized body of the country or region and a signed letter of consent with the project indicating such endorsement and the agreed cooperation and co-funding modalities must be presented. In addition, at this stage, NGOs will need to answer questions regarding their procedures and procurement guidelines using the templates in Annex 6. The timeframe for elaborating the full proposals is six (6) weeks. During the elaboration process, the service provider is available to answer questions. 3.6 Evaluation The projects will finally be evaluated by the Management Board with support of the Service Provider. The evaluation includes a) the enhanced assessment of the partner structure and particularly of the NGOs with regard to their suitability and capability to implement the project as well as b) the assessment of the project concept and mechanisms as laid out in the proposal. For the enhanced due diligence assessment of individual projects, the Service Provider may realize on-site appraisals for which the NGOs will need to allocated sufficient time. 3.7 Final selection and approval The Management Board assisted by the Service Provider presents the projects for selection and decision-making to 5

10 the Supervisory Board. Supported by the Management Board s recommendations, the Supervisory Board takes the funding decision. 3.8 Contracting and disbursement The Management Board will contract the implementing partner using a standard format contract. The full proposal may serve as an attachment to the contract. Contracting partner can either be the partner s global office or the country office. The Service Provider assists in the finalisation of the contract. Final changes (due to changing circumstances) need to be approved by the Management Board. 4 Implementation, monitoring and evaluation of the projects Working progress. 6

11 Annexes Annex 1: Blue Action Fund - BMZ Programme Results Matrix Summary Programme objective (Impact) Networks of globally significant marine protected areas and their sustainable use zones are conserved. Module objective (Outcome) Through the Blue Action Fund as a co-funding instrument NGOs improve the management of globally significant marine protected areas and their sustainable use zones in close cooperation with relevant stakeholders Success indicators Indicator Name / Description: 90% of the areas of selected habitat under a protection status (marine protected area or sustainable use zones) maintained or improved by 2025 By 2025 the fish biomass of selected marine umbrella species (e.g. Grazers / Groupers and Wrasses / Cetaceans / See Turtles), in selected areas is maintained or improved By 2025 livelihood conditions and food security of beneficiaries of Blue Action Fund grant programs according to their selfevaluation improved By % of the households affected by a project funded through the Blue Action Fund have a positive attitude towards protection of marine biodiversity Indicator Name / Description: By 2020 at least 80% of measures planned in existing management plans are implemented By 2020 all protected areas and sustainable use zones receiving Blue Action Fund, report twice a year against their performance monitoring frameworks. At least 50% of grant funding is directly allocated to habitat and species protection Amount of funding acquired for covering the management costs of protected areas and use zones from co-funding governments, NGOs, the private sector and donors increased By 2025 at least 10 new provisions to reduce key direct threats to marine biodiversity are integrated into relevant investment programs, management plans and regulations on national, regional and municipal level By 2025 at least 80% of the area of sustainable use zones and protected zones is demarcated At least 3 innovative and low cost monitoring or surveillance techniques to prevent illegal fishing / use of unsustainable practices are successfully adopted in the majority of projects funded through Blue Action Fund Community members participate in surveillance and report illegal activities Number of small-scale enterprises and private-sector community cooperation based on sustainable use of marine biodiversity and/or engaged in a MSC certification process increased Community members participate in planning and implementing sustainable use zones and marine protected areas Sources of Verification Assumptions / Risks Assumptions / Risks regarding programme objective: Marine protection is a strategic priority on the political agenda of partner countries NGOs dispose of sufficient expertise for the effective implementation of projects Partner countries are willing and able to provide sufficient human and financial resources Regional and international fishery regulations are conducive and implemented for sustainable fish resources Governments are capable and willing to sanction noncompliance with regulatory frameworks for biodiversity protection and sustainable fishery Ecosystems of marine protected areas are damaged through external effects Resource extraction in areas beyond the national jurisdiction of countries negatively affects biodiversity in MPAs Crisis induced migration of people negatively affects coastlines and oceans 7

12 Outputs 1. Blue Action Fund is operational and established concerning international good practice and according to internationally recognized instruments. 2. Resources and capacities for the management of marine protected areas and sustainable use zones are improved. 3, Blue Action Fund contributes to the development and updating of best practice monitoring and surveillance frameworks for protected area networks and sustainable use of marine biodiversity 4. Blue Action Fund contributes to the demarcation of new protected areas Output Indicators Output 1) Number of grant programmes supported Output 1) Number and size of marine protected areas and sustainable use zones that acquire a recognized protection status (national and/or international level) and belong to a MPA network Output 1) By 2017 networking events and publications are organized at least monthly through Blue Action Fund in cooperation with the media (print, TV, radio, social media) Output 2) By % of marine protected areas and sustainable use zones funded through Blue Action Fund do dispose of the following planning documents: o Updated management plans o Multi-year budgets o Patrolling plans o Communication plans o Monitoring plans Output 2) By 2020 NGOs facilitated the elaboration of harmonized species and habitat monitoring and protection plans for selected marine protected area networks and/or mainstream marine protected areas and sustainable use zones into marine spatial plans Output 2) Number of workshops facilitated at regional level to ensure data and knowledge exchange Output 3) By 2017 the NGOs participating in Blue Action Fund will have agreed on a harmonized monitoring framework including data collection and analysis guidelines Output 3) Number of innovative monitoring and protection techniques successfully tested Output 3) Number of awareness campaigns and trainings implemented to translate national regulations and legal frameworks into practice for local key stakeholders (fishermen, communities, coastal police) Output 4) Demarcation of designated protected areas and sustainable use zones is documented in relevant legal form Progress Reports Assumptions / Risks regarding outputs: The German government is willing and able to invest into marine protection in developing countries through Blue Action Fund Target countries/governments are willing to cooperate crossborder on marine protection Other donors/projects/businesses are interested to co-fund the strategic objectives of the Blue Action Fund 8

13 Annex 2: Eligible and ineligible measures The following table presents eligible measures as well as examples. Eligible measures Equipment Infrastructure Mapping Planning & Advisory services Training Workshops Co-funding of operation & maintenance costs Hard- and software for monitoring and information management Reporting, monitoring and verification Examples Procurement of boats for surveillance, surveillance equipment Park administration buildings or visitor facilities, rehabilitation of mangroves, coral reefs, sea grass beds, community-based infrastructure to support value chain upgrading of fishery resources, etc., Establishment, development of MPAs, sustainable use zones and community access rights MPA and MPA network Development Plans, business plans, tourism development plans and their implementation. Elaboration and support to implement business models for propoor livelihood diversification based on sustainable marine biodiversity use Support to implement management plans, investment programmes, monitoring agreements on local, national and transboundary level Communication, sensitisation, awareness creation and multi-stakeholder coordination, peer reviews Temporary support for operating costs such as salary supplements for MPA personnel, operating and maintenance costs of facilities and equipment, but only if sustainable impact can be demonstrated. Development and testing of low-cost monitoring and surveillance approaches Costs for sound reporting, monitoring and verification (RMV) as well as required consultancy services may be included in the grant programmes proposals. The following will not be considered appropriate for funding through Blue Action: Import duties. Import duties, if part of the contract value, shall be stated separately in the contracts for the goods and services, and in the invoices; Capacity development independent from infrastructure or equipment management or the implementation of MPAs and sustainable use zones, e.g. measures such as capacity building for national and regional coordinating structures; Infrastructure, equipment and training for national and regional organisations unless there is a direct linkage with establishment, surveillance, protection, monitoring or sustainability or of MPAs; Research other than for the establishment of baselines or pilots for innovation testing; Education and acquisition of formal qualifications in marine protection and management; Measures for the promotion of commercial value chains based on marine biodiversity unless they directly contribute to improved sustainable use or protection of a specific MPA or a network of MPA s; Global/regional interventions on commercial and non-commercial trade barriers and quota to protect specific species through application of international conventions; If, however, one of the above-mentioned measures is considered indispensable for the project the applicant shall propose it with due justification. 9

14 Annex 3: Environmental and Social Safeguard Requirements All projects supported by KfW have to comply with KfW s Sustainability Guideline 4 and with the Guidelines on Incorporating Human Rights Standards and Principles, Including Gender, in Programme Proposals for Bilateral German Technical and Financial Cooperation (BMZ) 5. KfW Sustainability Guideline requires that all applicable national environmental, occupational health & safety and social laws and regulations as well as International Law including conventions and treaties adopted by the respective host country of the Project and applicable to the Project must be respected. In addition, compliance with International Environmental and Social Safeguards is required: IFC Environmental and Social Performance Standards (2012); in addition, for Projects with an open programme structure, WB OP 4.01 (2013: Environmental and Social Management Framework); World Bank Group s Environmental and Health (EHS) and Safety Guidelines including: o o General EHS Guidelines Industry sector specific EHS Guidelines (if applicable) For resettlement aspects the UN Basic Principles and Guidelines on Development-based Evictions and Displacement, namely 42, 49, 52, 54 and 60, have to be complied with (in addition to national legislation and IFC Performance Standard (PS) 5/World Bank Operating Procedure (WB OP) 4.12) For displacement impacts due to the establishment/management of protected areas (loss/limitation of access to natural resources), WB OP 4.12 ( 8 and Annex A 26, Process Framework) has to be applied ILO Core Labour Standards In addition, especially the following IFC Performance Standards and FAO Guidelines may be relevant for the Projects and shall be taken into account: Indigenous People, Free Prior and Informed Consent (FPIC) It is the Proponent s responsibility to assess at the very outset of a Project if indigenous communities are present in the wider project area. Careful probing of on-site communities' qualification will be undertaken, in order to establish if IFC Performance Standard (PS) 7 (Indigenous Peoples) ought to be triggered. In case IFC PS 7 is triggered, the principle of free, prior and informed consent (FPIC) has to be applied by the Proponent. In line with IFC PS 7, FPIC refers to the process whereby an affected community of indigenous peoples arrives at a decision in accordance with their legal provisions, cultural traditions and practices. The FPIC process should produce a clear endorsement or rejection of the proposed project and a statement of accompanying mitigating measures and/or benefit-sharing agreements. As such, it is the main instrument ensuring to the NGO and to the Blue Action Fund that at the project level, the indigenous peoples priorities for economic, social and cultural development and environmental protection are promoted, informed by their traditional cultures, knowledge and practices, and the implementation of their inherent right to self-determination. FPIC is expected to be established through good faith negotiation between the NGO and the participating indigenous communities and to be fully documented as a mutually accepted process between the parties, carrying evidence of agreement between them as the outcome of the negotiations and clearly outlining benefit- and risk-sharing provisions

15 Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests in the context of National Food Security (FAO 2012) In addition, Projects will respect the Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests in the Context of National Food Security (FAO 2012) known as the VGGT. The VGGT promote secure tenure rights and equitable access to land, fisheries and forests as a means of eradicating hunger and poverty, supporting sustainable development and enhancing the environment. The VGGT promote responsible governance of tenure of land, fisheries and forests, with respect to all forms of tenure: public, private, communal, indigenous, customary, and informal. Code of Conduct for Responsible Fisheries (FAO 1995) Furthermore, Projects will respect the Code of Conduct for Responsible Fisheries (FAO 1995) known as the CCRF. The CCRF sets out principles and international standards of behaviour for responsible practices with a view to ensuring the effective conservation, management and development of living aquatic resources, with due respect for the ecosystem and biodiversity. It recognizes the nutritional, economic, social, environmental and cultural importance of fisheries and the interests of all stakeholders of the fishing and aquaculture industries. The CCRF takes into account the biological characteristics of the resources and their environment and the interests of consumers and other users. Voluntary Guidelines for Securing Sustainable Small-Scale Fisheries in the Context of Food Security and Poverty Eradication (FAO 2015) Finally, Projects will respect the Voluntary Guidelines for Securing Sustainable Small-Scale Fisheries (FAO 2015) known as VGSSF. These were developed to provide complementary guidance with respect to small-scale fisheries in support of the overall principles and provisions of the CCRF. Accordingly, the Guidelines are intended to support the visibility, recognition and enhancement of the already important role of small-scale fisheries and to contribute to global and national efforts towards the eradication of hunger and poverty. The Guidelines support responsible fisheries and sustainable social and economic development for the benefit of current and future generations, with an emphasis on small-scale fishers and fish workers and related activities and including vulnerable and marginalized people, promoting a human rights-based approach. The application of the Standards listed above shall correspond to the nature of the proposed project, to the environmental and social risks that are identified and to the anticipated environmental and social impacts. The requirements regarding the application are as follows throughout the Grant making procedure: 1. Preparation of Concept Notes The NGO shall undertake an initial E&S risk screening with reference to available geographical information and technical data (using tools such as IBAT, Google Earth and other relevant digital information sources and, if available own field data/information from consultations). Based on the results of initial screening, the NGO shall outline further steps within project preparation in the context of environmental and social risk and impact management (i.e. relevant national legal requirements (national ESIA process) and steps to be undertaken in order to comply with the Applicable Standards as listed above. The NGO shall submit information regarding his own practices/policies/guidelines for E&S management of Projects, e.g. E&S Policy, Environmental and Social Management Standards/Guidelines/Processes), Stakeholder Engagement Framework, examples from Projects implemented, etc. 2. Elaboration of Full Proposal The NGO shall submit an Environmental and Social Scoping Report, identifying the key environmental and social issues of the proposed Project and how these will be addressed within further project development, in line with national legislation and the Applicable Standards as listed above. The Scoping Report will contain a corresponding work plan and terms of reference for any future environmental and social studies/activities to be undertaken prior to the implementation of the Project. The Scoping Report will also contain an initial Stakeholder Analysis and an outline of a Stakeholder Engagement Plan (including indication if IFC PS 7 will be triggered by the Project). 11

16 3. Contracting As part of the Contract, the Project Proposal will be amended with all environmental and social documentation as required by national legislation (including any approvals/time bound action plan for obtaining approvals). E&S documentation will also be in line with the Applicable Standards as listed above. Overall, E&S documentation shall be commensurate to the nature of the proposed project, to the environmental and social risks identified and impacts anticipated. 12

17 Annex 4: Concept note template 1 Project summary Project summary Project Title Implementing organisation Country(ies) of implementation Project start and end Proposed project location Total volume (EUR) Location reference (georeferenced if available, administrative location) MPA reference (Name, administrative location, georeferenced if available) Blue Action funding volume (EUR) Specific focus on Blue Action thematic areas Main proposed measures 2 Your organisation (1 page max.) In case of a consortium, please fill in this table for each partner. Your organisation Name of organisation Start of operations in the proposed country(ies) Total staff of the organisation Number and location of offices in the country(ies) Staff number in the proposed country(ies) (national / international) thereof based in the project region (national / international) Annual budget in EUR for each proposed country(ies) for each of the last three years thereof implemented in the project region for each of the last three years Please list key staff with relevant expertise showing: Name, years of relevant professional experience, number of years with the organisation, type of contract How is financial management regulated? Do you have a document detailing regulations regarding financial management? Is your country office internally audited? How frequently are such audits carried out? Does your organisation have an Environ- total no. of staff: % staff in non-oda countries: % staff in ODA countries: % of administrative staff: 13

18 mental and Social Policy and/or provisions/guidelines/standards for environmental and social management of projects including Stakeholder Engagement Plans? Contact Person Website Name: Telephone: Mobile: 3 Project concept 3.1 Problem analysis (max. 1.5 pages) Problem statement Please refer to a specific Marine Protected Area / Marine Area with potential for protection / use zone and describe their relevance for biodiversity and ecosystems functions. What are the local challenges that you want to address with the project? What are main drivers of these challenges? What are the opportunities you want to seize with the project? What are the enabling factors that need to be promoted? Relevance of the location for biodiversity protection Briefly justify the local, regional and global significance of the location How does effective protection and management of this location contribute to improved ecosystem processes and biodiversity protection of other (potential) MPAs and/or sustainable use zones and/or locally managed marine areas? Strategic relevance Please summarize how the project contributes to fulfilling SDG 14, Aichi target 11 and the BMZ 10 Point Plan for Marine Protection and Sustainable Fisheries; 3.2 Project concept (max. 4 pages) Project objectives (max. 0.5 pages) Planned activities and investment measures (max. 1 page) Implementation modality (max 0.5 pages) Governmental partner structures (max 0.5 pages) Community engagement (max. 0.5 pages) Initial Environmental and Social Risk Screening What is the objective of your project and how does it contribute to mitigating the abovementioned core problems? How will the expected outputs/results of your project improve the sustainable management of marine biodiversity? How will this impact on key species and habitat? How will this impact livelihood conditions and food security? How is the project contributing to the outcomes and expected outputs of the overall Blue Action programme (see Blue Action Fund results matrix in Annex 1) Please describe the planned activities and investment measures (inputs) that will be funded through your project. Will you hire new staff to implement the project? Which measures do you propose to implement with own staff? Which ones will be implemented by a contractor? Will you partner with local NGOs? If yes: please indicate names and internet addresses and specify their respective roles and responsibilities within project design. Please describe partners, institutions and people, which are involved in the project. What will be their role and responsibilities, which activities will they have to provide? How have you ensured /will you ensure the necessary government support to make the creation of an MPA successful? What is your approach to engage communities to participate in the project? Using tools such as IBAT, Google Earth and other relevant digital information sources and, if available own field data/information from consultations, what are E&S risks? Based on this screening, what are further steps within the project preparation and impact management in order to comply with the Applicable Standards as listed in Annex 3. 14

19 Sustainability (max. 0.5 pages) How will the project ensure the maintenance of created infrastructure? What is the proposed way forward to secure operations after the end of the project? Pilot project (max. 0.5 pages) In which project have the activities proposed here been successfully piloted? How does the proposed project build on this experience? 3.3 Overall costs, financing and project duration (max. 0.5 pages) Please fill in the following cost- and financing table # Line 1 Direct Cost Investment (Infrastructure and 1.1 related technical studies, equipment, mapping etc.) Training, awareness raising, community engagement, advisory 1.2 services, topping-up of MPA-staff salaries 1.3 Project staff 1.4 Operating cost of project 2 Support Cost 2.1 Support staff 2.2 Indirect operating cost 3 HQ administration cost Total Cost Total costs (million EUR) Grant (million EUR) Financing Own Contribution by NGO Co-financing (million EUR) Items 2 and 3 need to be limited to 15% of overall budget. Lower indirect cost will be positively evaluated. Please indicate when the project will start and finish and how the main project phases will be scheduled (inception, implementation and exit). 15

20 4 Experience Please use the following table to summarize up to five projects your organisation implemented within the last five years relevant to the project at hand. In particular, it should become apparent how much infrastructure/equipment/investment measures have been implemented with the project (e.g. rough budget share). In case of a consortium, please fill in this table for each partner. Name of project Start and end date Donor Country, specific location and MPA Budget (million EUR) Activities relevant for the proposed intervention (max. 100 words per project) 16

21 Annex 5: Full proposal template 1 Project summary (½ page) Please provide a brief description of the following information : Objective of the proposed project Target group and beneficiaries Geographic target region Core problems and related causes Planned activities of the project Estimated costs 2 Problem analysis (1-1½ pages: Please describe the starting situation in the country of implementation/target region, concentrating on problems and potentials and the project context as a reference scenario: Please refer to a specific Marine Protected Area / Marine Area with potential for protection / use zone and describe their relevance for biodiversity and ecosystems functions. What are the local challenges that you want to address with the project? What are main drivers of these challenges? What are the opportunities you want to seize with the project? What are the enabling factors that need to be promoted? What is at stake if there is no project? How will the challenges affect biodiversity, ecosystem services and livelihoods in the medium and long term? Which opportunities will be foregone? How do you evaluate the technical, financial and organisational feasibility of your project to sustainably reduce drivers of challenges and enhance enabling factors of opportunities? 3 Project description Please provide as precisely as possible information on the following 3.1 Objectives and impact (½ -1 pages) What is the objective of your project and how does it contribute to mitigating the above-mentioned core problems? How will the expected outputs/results of your project improve the sustainable management of marine biodiversity? How will this impact on key species, habitat and livelihoods? Which contribution will you thereby make with your project to the programme objective of the Blue Action Fund BMZ funded programme (see the Blue Action Fund BMZ Programme Results Matrix attached in Annex 1) Which contribution will you make to relevant strategies and policies of the partner country(ies) What are the key performance indicators of the programme and how will they be tracked and reported? Please define them in accordance with the BMZ Programme Results Matrix (see Annex 1) 3.2 Target group and other beneficiaries (½ -1 pages) Who are the actors benefitting from the project? Please describe as concrete as possible in terms of name of location, administrative designation (which district, county, province etc.), area, administrative location, number of households. Who are the intermediaries that will have to cooperate with the project? How would you assess the capacities of the beneficiaries and the intermediaries for marine protection and sustainable management of marine biodiversity? How do marine biodiversity resources contribute to household income and livelihoods of the beneficiary group? To which extent do communities depend on marine resources for their livelihoods and to which extent do they have the potential for alternative income? What are the positive and negative effects of the project on the target group? 17

22 Which future changes do you expect for the target groups through the project? How does the project contribute to gender equality? Which environmental and social safeguards will apply? (based on your elaborations in the Environmental and Social Scoping Report, Annex D to this template) 3.3 Project executing agency (1 page) Project Management Plan: How do you divide the responsibilities for implementation within your organisation(s)? Which entities will be involved in the project and how? Describe briefly all procedures and structures as well as specific roles for each individual in the implementation of the project and indicate where challenges might arise. Key Team: Which staff member are part of the core team? Who will be responsible for the project? Who are the team's key experts? Consortium (if applicable): How do you divide the roles between the two organisations? Who will be the leader of the consortium? What is the contractual bases for cooperation? How will you ensure close cooperation and coordination? Please also highlight the differences between your two organisations and how complementary they are. If you work with local NGO partners: who are they and what are their responsibilities? What relevant experience do they have? How do you evaluate their organisational capacities? Do they require support through the project? 3.4 Governmental partner structures (½ -1 pages) Please describe partners, institutions and people, which are involved in the project. What will be their role and responsibilities, which activities will they have to provide? How do you assess their capacities? Will they need support through the project in order to participate in the project activities? Will they be able to contribute co-funding? Which options are there to strengthen responsibilities of governmental authorities in order to ensure sustainability of the project measures beyond the end of project? The project must have the endorsement of the appropriate authority/authorized body of the country or region. A signed letter of consent with the project indicating such endorsement and the agreed cooperation and co-funding modalities must be presented latest at full proposal stage. 3.5 Planned activities and outputs (1 page) Please describe the planned activities and investment measures (inputs) that will be funded through your project. Please outline your methodological approach/theory of change: What do you want to achieve with the funded activities and measures? Who should use them for what purpose and how will this address the core problems that you described in section 2? Please describe expected specific outputs/results (services, products) of the project and indicate on how these outputs contribute to the outcome/objective of the project. How will these achievements contribute to the programme objective of the BMZ funded Blue Action Fund programme (see Results Matrix attached) 3.6 Implementation concept (1½ -2 pages) Please describe in this section the process of implementing the measures and explain the guiding principles for major decisions that you will make during implementation. It is recommended to structure the section according to the intended outcomes and to describe the necessary steps for the implementation of each major activity. To this end, please address the following questions separately for each component: How do you ensure that relevant institutions and groups are involved in planning and implementation? What is the role of the municipalities / local administrations in the implementation of the project (selection of projects, supervision of works, operation and maintenance, etc.)? What role do local development plans play? How will local NGOs be selected and which role will they have in the project? How do you ensure adequate technical preparation of infrastructure construction (technical preparatory studies, definition of technical details tender documents, timetable of construction steps, etc.)? Are you planning to prepare these documents yourself or with the support of a design office? How do you ensure adequate technical supervision when external contractors implement the construction works? Who is responsible and how often will the sites be inspected in the construction phase? 18

23 How do you ensure the social and environmental sustainability of the project? How will you ensure that national guidelines are adhered to? How will the FAO Code of Conduct for Responsible Fisheries (CCRF) und the FAO Voluntary Guidelines for Small Scale Fisheries (VGSSF) and other relevant E&S policies and safeguards (see Annexe 2) be taken into account? How will you assess what effects measures might have and which mitigation measures are appropriate? Describe how the KfW guidelines can be ensured ( (please summarized based on your elaborations in the Environmental and Social Scoping Report, Annex D to this template) Which tendering and contracting procedures are envisaged for each major component / activity? Can you ensure sufficient competition (for advisory or construction services, deliveries)? 3.7 Monitoring (½ -1 pages) Please indicate which measures the project will take in order to (1) monitor project progress and output, (2) establish baselines, (3) monitor project outcome and (4) guarantee the monitoring of project impact. How will you ensure the replication of good practices and dissemination of project experiences? 3.8 Operation, maintenance and sustainability (1-1½ pages) Please provide details on the exit strategy of the project, i.e. how sustainable operations of all assets created and processes initiated by/under the project will be ensured upon completion of the project, e.g how and by whom the will project measures be continued after the end of the project and who will fund them. If applicable: are the main project partners financially viable? If applicable: how is local capacity built in the context of the project to be retained in the local community? For infrastructure: how will be maintenance be funded? Are spare parts available? Please indicate a concept for low cost monitoring of impact indicator that is sustainable after the end of the project 3.9 Partners and linkages with other relevant projects (½ -1 pages) Please indicate possible synergies and links to other relevant projects and sectors, including of German and international cooperation and the existing contacts with German and international cooperation. Please indicate with which partners it would be practical and beneficial to work together more closely. Describe delineation to and coordination with measures financed from other external sources 3.10 Cost, financing and project duration (½ -1 pages) Please give the total costs for the project and indicate the planned financing of the costs through Blue Action grant and through other sources, as far as already known. A more detailed budget should be provided by help of Annex B. Cost Financing # Line 1 Direct Cost Total costs (Million EUR) Grant (Million EUR) Own contribution by NGO (Million EUR) Contribution by target group Co-financing by other donors if applicable (Million EUR) 1.1 Output Output Output Project staff 1.5 Operating cost of project 2 Support Cost 2.1 Support staff 2.2 Indirect operating cost 3 HQ administration cost Total 19