Guidelines for the Innovation Fund The Innovation Fund (IF) grant window will provide funding up to a maximum of US$ 250,000 for projects that require up to 24 months to complete. Application for IF funding above the maximum allocation shall be allowed by the PSC only when there is sufficient justification based on the activities to be undertaken. The IF aims to provide grants that develop, demonstrate, promote or adopt innovative practices that can influence policy or be expanded and integrated into regular practices with the addition of other funding sources. The list below provides some examples of activities or projects that can be supported under the IF. Table 1: Examples of Innovative Projects Improving Community Participation in Land Governance Community land use planning and participation in identification of areas for state land acquisition/recovery Community based legal aid to support women and ethnic minorities to secure and protect land rights Land documentation for community land titling and social enfranchisement Grassroots women s approaches in securing and protecting land rights Developing innovative and best practice models for responsible land based investments Adding value to small holder agricultural investment Attracting responsible land investments for local benefit and common resource management Integrating responsible land governance in corporate social responsibility strategies Potential tools to manage land access for investments Technologies to enable transparent and responsible land-based investments Community benefit sharing with investors and the state through private-community partnership Good practices model in mediating and resolving land disputes in large land-based investments Operationalizing and implementing a zero land grab policy in land based investments Developing Inclusive business models for large scale land based investments contract farming, joint ventures, cooperative farming production Securing investments through cooperative approaches Innovations in Land Administration and Management Systems Building capacity for paraprofessionals (paralegals and parasurveyors) to assist family farmers secure land rights Mobile technology and fit-for purpose applications to map, record and register land rights of family farmers Mekong Region Land Governance Project - Grants Facility Operations Manual 1
Incremental tenures Developing models and small pilots for collective land ownership and individual farm household leasing Establishing a public land monitoring system Establishing a land market monitoring system Developing models for cost efficient Land Purchase Program grants to finance purchase of small plots for small farmers for agricultural production Development of best practice models in land acquisition/recovery and fair compensation 3.1 Proposal and Readiness Requirement All IF grant proposals must identify a lead organization as either main proponent coproponent. Joint proposals are strongly encouraged and desired. The following are the basic submission requirements for the IF Grant Fund Application: - Letter expressing intent to apply for the IF Grant - IF Grant Capsule Proposal (See template in Attachment 8) - Proponents Commitment of Partnership and Accountability Undertaking - Lead Organization s Registration Documents (not necessary if the lead is a government agency or in circumstances where registration is difficult to obtain) The readiness requirements for the IF Grant Funding Proposal Proponents are the following: - Track record for managing and implementing projects; management of donor-assisted and land governance related projects preferred; - Demonstrated capacity to manage procurement - Demonstrated financial management capacity - Availability of staff to supervise and implement the proposed project - Ability to monitor and evaluate the project The MRLG will select the projects it will fund through a transparent and competitive process, as described below. Mekong Region Land Governance Project - Grants Facility Operations Manual 2
Submit IF Capsule Proposal Prepare Full Proposal (45 days) Screen and Shortlist Proposals (10 days) Communicate AC invitation to Applicant Provide Assistance in preparing full proposal if required Review and Endorse Full Proposal (10 days) Evaluate Shortlist and Select Proponents to be invited to submit full proposal (5 days) Evaluate and Approve Proposal (10 days) Comply with Conditions (10 days) Communicate PSC Conditions Approve with Conditions Review Compliance and endorse for Final Approval (5 days) Approve Proposal (5 days) Negotiate with Grantee on final Work and Financial Plan (10 days) Sign Agreement Prepare and Sign Standard Legal Agreement Implement Activity Release 1 st tranche of grant fund Applicant PIU AC PSC Mekong Region Land Governance Project - Grants Facility Operations Manual 3
3.2 Selection Process The selection process commences with an Annual Call for Proposals. The Call for Proposals shall be disseminated through e-mail distribution list, brochures, publication in the MRLG, SDC, GIZ, LEI, Gret and partners websites. The table below presents the tentative schedules for the call for proposals and the awards: Table 2: Tentative Schedules of Call for Proposal 1 Call for Proposals IF Launch and 1 st Call Tentative Call Month Awards Tentative Award Month Remarks March 2015 1 st Award August 2015 Projects to commence in September 2015 2 nd Call January 2016 2 nd Award June 2016 Projects to Commence in July 2016 Applicants with interesting propositions who do not have the capacity to prepare full proposals may be assisted by the PIU, or from a pool of local experts. Proposals should be received by the PIU in English. Assistance for translation can be provided from a pool of interpreters and translators who will be retained by the PIU. Orientation and training on the MRLG Grant Facility procedures and preparation of proposals and other documentation shall be provided to organizations and networks in CLMV who can potentially assist applicants interested in accessing the grants. 1. Interested organizations have 60 calendar days to respond to the call and submit their capsule proposals. Proposals submitted after the deadline set by the PIU will no longer be accepted for that round. 2. The PIU will screen the submissions within 10 days. Using a two-stage process the PIU shall prepare an initial shortlist of eligible submissions which shall be forwarded to the respective SDC and GIZ Country Office representatives for their review and comments within 15 days. The PIU shall finalize the shortlist with consideration to the comments received from the SDC and GIZ and endorse the shortlist to the Advisory Council (AC). The PIU shall make available all proposals it received should the AC and PSC be interested to review them and the reasons why any were not short-listed or endorsed. 3. The AC shall review the shortlist and will identify those proponents who will be invited to prepare a full proposal. The PIU will advise those applicants to prepare a full proposal and where required may assist the applicants in the preparation of their full proposal. The PIU shall also conduct field validations if deemed necessary. The applicants will be required to submit the full proposal within 30 calendar days from receipt of the invitation; 4. The PIU shall review the full proposals and present them, with recommendations, for evaluation and approval by the PSC; 1 Subject to change upon confirmation of commitment from the German Cooperation and donors budget cycle Mekong Region Land Governance Project - Grants Facility Operations Manual 4
5. Once the PSC decides on the final awards, the PIU shall enter into negotiations with the Grantees on the final project document, and work and financial plan. The PIU will mobilize technical assistance to provide support for the development of the final project document, and work and financial plan should this be required. Upon completion of the negotiations, the PIU shall issue a standard legal agreement and release the 1 st tranche of funds. The Grantee shall commence implementation within 30 days of receipt of the first tranche of funds. The proposals received by the PIU will be screened as follows: Stage 1: Review of documentary requirements. Only proposals assessed to comply with the required documentation will qualify for stage 2 screening. Stage 2: Technical evaluation of proposal. The proposal that qualifies for stage 2 screening will be evaluated using a pre-coded score card based on the criteria below. The total score will consist of sixty percent (60%) from the essential criteria and forty percent (40%) from the preferred criteria. 3.3 Selection Criteria Essential Criteria 1. Relevance of the proposed project to the goals, objectives and strategies of the MRLG Project and its strategic contribution towards achievement of project outcomes; 2. Strategic and innovative value of the proposed projects towards improving land governance in general and to promotion and protection of land tenure rights of family farmers/small landholders, women and ethnic minorities in particular; 3. Logic and clarity of the design (identification of clear and detailed activities, inputs, outputs and results; assessment of risks and mitigation; anticipated quantifiable improvements in land governance); 4. Technical, social, institutional and financial feasibility of the proposed project; 5. Readiness and appropriateness of the proponent organizations to undertake the proposed activity; 6. Use of strategic partnerships and collaborations to undertake the project including evidence of consultation with key stakeholders and project beneficiaries (and evidence of their support); 7. Strong and concrete manifestation of proponent s political and institutional commitment and accountability; Preferred Criteria 8. Strategic regional relevance or regional in scope and involving regional/cross-border cooperation in synergy with MRLG regional strategy; Mekong Region Land Governance Project - Grants Facility Operations Manual 5
9. Projects using multi-stakeholder and multi-level approach with mutually reinforcing policy level and ground or field related combination of activities 10. Willingness to commit own finances, human resources and equipment needed for project implementation; 11. Socially inclusive projects that mainstream women s development concerns as well as ethnic minority rights, interests and concerns; and 12. Value for money and cost effectiveness. 3.4 Funding Disbursement Procedures The following shall guide the utilization and releases of funds for the IF: 1. Fund releases for activities under the IF shall be done only after a standard legal agreement had been signed by the PIU and the Grantee. 2. The releases of the grant monies shall be guided by the schedule of payment indicated in the final activity proposal and grants agreement. Grant funds shall be released in up to four (4) tranches: - 1 st tranche - 20% upon signing of standard legal agreement - 2 nd tranche - 30% upon acceptance of Inception Report - 3 rd tranche - 40% upon acceptance of Mid Term Report - 4 th tranche - 10% upon acceptance of Final Completion Report 3. Before any succeeding tranches of money are released the grantee organization must submit a financial/liquidation report for previously released money. 2 2 A simple report of grant fund utilization or expenditure report will be required. The full liquidation is required as part of the completion report submission. Mekong Region Land Governance Project - Grants Facility Operations Manual 6