23-08-07 Project proposal instructions

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23-08-07 Project proposal instructions Powered By Docstoc
					                   Project proposal
                   Instructions for preparing a preliminary
                   proposal and full proposal
ACIAR project proposals are evaluated in two stages; the preliminary proposal and the full
proposal. The project framework developed in the proposal is carried forward into annual
reports and the final report.

Preliminary proposals should not exceed 12 pages. Full proposals should not exceed
25 pages (excluding budget and appendices). Proposals exceeding the recommended
length will be returned for editing.

This template should be used in conjunction with the Project Development Guidelines and
Project Budget Proforma (spreadsheet that calculates project budget including country
splits, collaborating organisations, etc).

The project proposal template is a blank Word file that contains the basic headings and
formatting styles for preparing the preliminary and full proposals for an ACIAR project.

These instructions describe what to consider in developing the content and how to use the
template formatting. All headings in the template must be addressed as required. You
may add headings at level 2-4 as required.
    Project proposal: Instructions for preparing a preliminary proposal and full proposal




    Summary of contents and number of pages in the project proposal
    Section      Heading                                                                    Preliminary          Full proposal
                                                                                            proposal
    1            Project outline                                                            1-2 pages            1-2 pages
    1.3          Project summary                                                            600 words            600 words
    2            Justification
    2.1          Partner country and Australian research and development                    max 1 page           max 2 pages
                 issues and priority
    2.2          Research and/or development strategy and relationship to                   max 1 page           max 3 pages
                 other ACIAR investments and other donor activities
    3            Objectives                                                                 max ½ page           max 1½ pages
    4            Planned impacts and adoption pathways
    4.1          Scientific impacts                                                         max ½ page           max 1 page
    4.2          Capacity impacts                                                           max ½ page           max 1 page
    4.3          Community impacts                                                          max 1 page           max 3 pages
    4.4          Communication and dissemination activities                                 max ½ page           max 1 page
    5            Operations
    5.1          Methodology                                                                max 1 page           max 3 pages
    5.2          Activities and outputs/milestones                                          max ½ page           complete tables
    5.3          Project personnel                                                          max ½ page           max 1-2 pages
    5.4          Intellectual property and other regulatory compliance                      max ½ page           complete IP form
    5.5          Travel table                                                               not applicable       complete tables
    6            Appendix A: Intellectual property register                                 complete questions   complete questions
    7            Appendix B: Budget                                                         complete tables      budget proforma
    8            Appendix C: Supporting documentation                                       desirable            as appropriate




1   Project outline
    project number                       Assigned by ACIAR
    project title                        Title should be descriptive and concise (max 257 characters)
    ACIAR program area
    proposal stage                       Preliminary or full
    commissioned organisation            The commissioned organisation is the lead organisation in Australia, or for
                                         multilateral projects, the lead International Agricultural Research Centre (IARC)
    project type                         Bilateral or multilateral; small, medium or large
    geographic region(s)                 Do not include Australia
    country(s)                           List overseas countries in which project activities will take place
    project duration
    proposed start date
    proposed finish date
    time to impact                       Projects are classified into three 'time to impact' categories depending on
                                         whether they are likely to have significant community impact within 5 years
                                         (category 1), 5–10 years (category 2) or >10 years (category 3)




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      Project proposal: Instructions for preparing a preliminary proposal and full proposal




1.1   Funding request
      For PRELIMINARY PROPOSALS provide annual estimates in the table.

      For FULL PROPOSALS complete the table using the six-monthly payments from the
      Budget spreadsheet.

      Give totals for each financial year and specify years in the form ‘200x–0y’.

      Note that for projects expected to commence on 1 January, funding for the first financial
      year will be for the first six months of the project.


1.2   Key contacts
      For PRELIMINARY and FULL PROPOSALS, list each collaborating institution receiving
      ACIAR funds. In some instances it may also be appropriate to list a key collaborator who
      is funded from other sources.

      One lead participant per institution is required. Copy sections as required, e.g. for multiple
      collaborating organisations. The title of the nominated person (e.g. Project Coordinator,
      Collaborating scientist) should reflect their role in the project.

      The Administrative Contact in the Commissioned Organisation should be a contact officer
      within the organisation who can assist with administrative details of the project including
      the provision of payment acquittals, reports and invoices.


1.3   Project summary
      For PRELIMINARY and FULL PROPOSALS, provide a project summary (maximum 600
      words). The summary is used for other purposes where readers do not have access to the
      full document, so should contain:
           Background statement (1–2 paragraphs) on the problem, the priority, the general aim
            of the proposed project and the proposed collaborators
           A statement of the specific objectives and expected outputs
           A summary of the likely community impacts (economic, social and environmental),
            and the likely time for those impacts to be achieved; adoption pathways and
            dissemination of project outputs; and significant capacity enhancements
           A paragraph on how the project will be undertaken, including methodology.


2     Justification

2.1   Partner-country and Australian research and development issues
      and priority
      For PRELIMINARY PROPOSALS (maximum 1 page) provide information on 'what' and
      'why'.

      For FULL PROPOSALS (maximum 2 pages) give a clear statement of the problem and
      its context by addressing the following matters
           the agricultural or natural resource problem or opportunity targeted by the project, and
            the potential beneficiaries of the project outputs

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      Project proposal: Instructions for preparing a preliminary proposal and full proposal




           the size and value of the production system involved, quantification of the cost of the
            problem, and/or the value of the new opportunity (a detailed assessment of planned
            economic impacts will be provided in section 4.1 – summarise the broader issues
            here)
           relevant community needs, aspirations, cultural practices and customs, including
            factors that might inhibit participation in the project or its benefits, such as insufficient
            training, limited literacy, lack of credit availability, labour shortages at key times and
            off-farm opportunities
           the researchable issue or development/extension priority
           the origin of project idea (meeting, visit, previous project, project review, etc.)
           alignment with priorities expressed in the ACIAR Annual Operational Plan for the
            partner country/ies, and/or with the IARC Strategic Plan, and for the Australian sector.
            Provide other justification if the project falls outside these priorities.


2.2   Research and/or development strategy and relationship to other
      ACIAR investments and other donor activities
      For PRELIMINARY PROPOSALS (maximum 1 page) outline proposed research or
      development/extension strategies:
           whether and why this is the most appropriate approach
           how the approach was developed
           whether the proposal builds upon previous projects.

      Comment: Please note that 'strategies' does not mean 'methodologies'. Tell us why you
      have chosen particular strategies over alternatives to address the problem. For instance,
      top-down vs bottom-up, systems vs component research, on-farm management vs
      regulation, vaccine development vs eradication, etc. The chosen methodology will be
      described in detail in Section 5.

      For FULL PROPOSALS (maximum 3 pages) address the following matters:
           The proposed research or development/extension strategies; why they are preferred
            over other possible approaches to address the problem; whether these strategies
            have been tried before.
           Knowledge underpinning the problem, particularly in the context of the proposed
            approach. This should include relevant work not yet published, for example
            knowledge arising from related ACIAR projects. Up to eight literature references may
            be included. In some circumstances, ACIAR may request that a fuller literature review
            on the subject be appended to the proposal.
           Proposed approaches to promoting adoption of project outputs, and strategies to
            overcome constraints to adoption (constraints could include issues such as insecure
            land tenure, common land use, conflicts of interest for people/agencies responsible
            for resource management, distorted market systems, multiple rights to resources,
            etc.).
           The balance between research, extension and capacity building (for example, training
            of researchers, enhancing infrastructure); why this balance is appropriate to the
            problem and country/ies involved; the probability of success; and factors that may
            reduce the chance of success.




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    Project proposal: Instructions for preparing a preliminary proposal and full proposal




         How the activities in this project interact and/or draw from existing, previous and
          proposed related projects on the problem, including previous or current ACIAR
          projects. If appropriate, append a list of related projects (agency, project number,
          project title), including projects supported by ACIAR, IARCs, Rural Industry Research
          and Development Corporations, AusAID, NGOs or other agencies in Australia or
          overseas. For development projects led by an NGO, briefly describe how the project
          activities will contribute to and be integrated with the existing longer term community
          development process of the commissioned NGO.
         Details of any planned direct or indirect co-funding.


3   Objectives
    For PRELIMINARY PROPOSALS (maximum ½ page), list the Objectives and Activities
    as dot-points.

    For FULL PROPOSALS (maximum 1½ pages), state the Objectives and subsidiary
    Activities. Outputs are addressed comprehensively in Section 5.2.

    ACIAR uses a hierarchy to describe the intended achievements in the general (Aim) and
    specific (objectives) senses, and how they are proposed to be accomplished (Activities).

    Aim: The statement of an aim, which might describe the longer term intended impacts,
    can usefully establish the framework for the project. An example is “The aim is to improve
    farmer profitability and reduce demands on river flow by developing regional regulations
    and on-farm practices for more efficient irrigation water use.”

    Objectives: Objectives are specific statements of intent that will ultimately be judged to
    have been achieved or not. In our example, an objective might be “To develop on-farm
    crop management practices for rice and wheat that reduce irrigation water use by at least
    30%.”

    Projects generally have several Objectives. In this example, another Objective would be
    associated with the ‘regional regulations’ aspect of the project. Where communication,
    dissemination and community participation is a significant aspect of the project, as would
    be likely for projects within the <5 years ‘time to adoption’ category (see Section 4.2
    below), this may be recognised by a separate Objective statement. The work to be done
    in Australia may or may not warrant a separate Objective, depending upon how closely
    aligned it is with that in the partner country/ies. If not, it may be useful to highlight it by
    listing it as a specific activity.

    Capacity building is a common theme for all ACIAR projects, but occasionally the lack of
    capacity per se becomes a significant justification for undertaking the project. In such
    cases a separate objective might be justified.

    In projects adopting a participatory development approach, specific monitoring,
    evaluation, documentation and reporting activities will usually be needed.




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      Project proposal: Instructions for preparing a preliminary proposal and full proposal




4     Planned impacts and adoption pathways
      ACIAR investments are intended to achieve impacts that are assessed from a community
      perspective, i.e. economic, social or environmental impacts, or in terms of capacity
      building or scientific impact. Greatest weight is given to economic impact. A full
      description of these impacts and the rationale for the emphasis on economic impact is
      provided in the Project Development Guidelines.

      Scientific and capacity building outputs are rarely the ‘drivers’ of ACIAR projects, but
      where this is the case, provide more information in the relevant sections to justify this
      emphasis.

      As indicated in the Project Development Guidelines, ACIAR has developed procedures to
      sharpen its focus on the achievement of impacts.

      Projects will be classified into three ‘time to impact’ categories depending on whether
      they are likely to have significant community impact within 5 years (Category 1), 5-10
      years (Category 2), or >10 years (Category 3) of project conclusion. As a yardstick, for the
      majority of projects the measurement of ‘significant community impact’ will be when the
      value of the impact exceeds the cost of achieving that impact by at least three-fold. You
      should indicate which category you consider appropriate for the project, using information
      in Appendix 1 of the Project Development Guidelines to support your judgment. That
      Appendix outlines characteristics of projects in each category and can be a useful tool
      when you are considering the target groups for your project outputs. Use the expected
      category as a guide to the level of detail to include in these sections.

      Adoption pathways: The purpose of Section 4.4 is to explain how the proposed
      dissemination and communication strategies are expected to lead to uptake and use of
      the project outputs and so deliver the planned impact.


4.1   Scientific impacts
      For PRELIMINARY PROPOSALS (maximum ½ page)
      For FULL PROPOSALS (maximum 1 page)

      Describe what novel scientific discovery might flow from the project and how that output
      would be applied post-project by other scientists beyond the immediate project team.


4.2   Capacity impacts
      For PRELIMINARY PROPOSALS (maximum ½ page)
      For FULL PROPOSALS (maximum 1 page)

      Document how the research and development capacity of the project participants and
      institutions in partner country/ies and Australia will be enhanced, and how increased
      capacity will be utilised and sustained after the project is completed.

      In most projects capacity-building initiatives are embedded within the array of activities
      and tasks. In these cases this section should be used to present these initiatives in a
      consolidated fashion. In some other projects, capacity building may have warranted a
      separate Objective, so the detail will be presented in Section 5.1. In such cases refer to
      that section.




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      Project proposal: Instructions for preparing a preliminary proposal and full proposal




4.3   Community impacts
      For PRELIMINARY PROPOSALS (maximum 1 page)
      For FULL PROPOSALS (maximum 3 pages)

4.3.1 Economic impacts
      Economic impacts are defined as changes in the financial status of the individual, family
      or group. Examples of economic impact would be farmer families having a higher
      disposable income as a consequence of:
      (i)   adopting a new crop variety;
      (ii) policy changes that opened up new markets;
      (iii) higher prices for market-oriented products; or
      (iv) more efficient use of resources.

      Provide an estimate of the expected economic impact of this project for the partner
      country/ies and Australia (where relevant), taking into consideration factors such as:
           the size of the particular sector or issue at the country and/or target region level
           significance of the research or development problem in terms of its effect on
            productivity, efficiency, trade, use of natural resources, etc
           the importance of the target commodity/issue to the wellbeing of the poor
           potential project-induced changes in such things as production through yield/quality
            increases or disease amelioration, post-harvest benefits, trade opportunities
           necessary changes in costs associated with achieving the benefits at the farm or
            wider level
           farm-level price changes due to changes in factors such as the quality, quantity or
            marketing efficiency of the commodity
           the adoption lag and the maximum adoption rate of the technology within and outside
            the target area.

      Comment:
      The precision of your estimate, and the weighting you give to these factors, will depend to
      a large degree on which ‘time to impact’ category the project fits.

      Projects with a long lead time to impact may only be able to define the industry/sector and
      economic impact in general terms, and might need to draw on data concerning the
      adoption patterns for similar technologies to estimate uptake rates. Economic impacts for
      projects with long lead times will need to be discounted over time.

      Projects that aim to deliver impacts in a shorter period will, by their very nature, be able to
      provide more precise estimates of economic impact because the target audience is likely
      to be well defined, the communication and dissemination strategies will be geared to
      achieve certain uptake rates, the on-farm response levels and any cost changes are likely
      to be known from previous studies, data may be available on changes in whole-farm
      profitability, and some market knowledge may be available.

      In the policy arena longer term projects might address a known or anticipated problem for
      which there is no obvious answer, while a shorter term project might address an
      immediate need from a policy/regulatory agency where appropriate answers are known,
      but need local adaptation. The potential economic impact of the latter should be easily
      and well defined, while the former might be less precise.



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      Project proposal: Instructions for preparing a preliminary proposal and full proposal




      Ultimately, your analysis should be consistent with other elements of the project proposal,
      including the collaborators, research strategy, and communication and dissemination
      procedures. Ensure that your assumptions and discussion are consistent with the ‘time to
      impact’ category you designate in Section 4.4.

      You should justify the various data used in the analysis, and also discuss any critical
      assumptions regarding important enabling conditions (e.g. input supplies, markets) that
      have been applied. Consideration can also be given to economic impact from spill-overs
      to other regions or countries not actively involved in the project where there is an obvious
      or clear pathway for that to occur.

4.3.2 Social impacts
      Outline the expected social benefit for the partner country/ies and Australia (where
      appropriate) from the project, including any significant equity, cultural, health, gender,
      religious, political, ethnic or demographic impacts. Include any possible negative social
      consequences - consider which sections of the community stand to benefit, and which
      may suffer negative effects.

      Be wary of overstating or assuming certain social benefits, particularly in circumstances
      where the proposal does not include documentation of these issues.

4.3.3 Environmental impacts
      If environmental impact is a significant focus of the project for the partner country/ies and
      Australia, provide an estimate of the anticipated impact. If the value of that impact has
      already been expressed in economic terms, you should describe here the environmental
      benefits in qualitative terms. Issues such as the likely direct positive and negative effects
      on the physical, chemical or biological environment where the technology is adopted or
      elsewhere (off-site externalities) should be considered. Such effects can arise through
      changes such as erosion, pesticide residues, nutrient pollution or biodiversity.

      Clarify the regulations applying to relevant environmental matters and the likelihood of
      compliance or steps to ensure compliance if these are seen as important issues that could
      constrain adoption and benefit flows.

      If there are potential spin-off environmental benefits from the project, do not overstate
      them, particularly in circumstances where the project does not include study and
      documentation of these issues.

      Document any potential negative environmental impacts. The Environment Protection and
      Biodiversity Conservation Act 1999 (EPBC Act) S160 requires ACIAR to seek formal
      assessment and approval from the Minister for the Environment and Water Resources on
      aid projects that are likely to have a significant environmental impact anywhere in the
      world. Consideration of negative environmental impacts should be in the context of the
      Department of Environment and Water Resources document Referral of Proposed Action,
      available at
      (http://www.environment.gov.au/epbc/assessmentsapprovals/referrals/form.html).


4.4   Communication and dissemination activities
      For PRELIMINARY PROPOSALS (maximum ½ page)
      For FULL PROPOSALS (maximum 1 page)

      Document the communication and dissemination strategies that will be used to promote
      adoption of project results in order to ultimately derive the economic and other impacts in


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Project proposal: Instructions for preparing a preliminary proposal and full proposal




the partner country/ies and/or Australia. Indicate which ‘time to impact’ category is being
targeted.

Comment:
The nature and scope of the communication and dissemination procedures outlined in this
section should closely align with the intended ‘time to impact’ category for the project. For
instance, projects in the <5 year category are likely to have features such as a hands-on
approach on-farm, involve significant participation of farmers, be based within a regulatory
agent’s office, be working with the private sector or a community-based development
agency, or be embedded in a policy development group. Projects with longer timeframes
will likely concentrate communication and dissemination activities on the next users of
project outputs. These may include farmer groups who need to be involved (or even lead)
the next phase of the work, regulatory agencies, NGOs, government agencies, or other
scientific groups.

Key issues that you may need to consider in this section are:
     Who are the critical users of information from the project? What are their preferred
      means of receiving information? Is this known and, if not, how do you intend to find
      out? Does the project have the appropriate skills to deliver information in a desirable
      fashion?
     What are the constraints to the adoption of project outputs and the means by which
      they will be addressed, by this project or other initiatives.
     What communication strategies do you need to put in place to ensure sustainability of
      effort upon completion of the project?
     If there are other agencies/institutions than those involved in the project that influence
      and/or are responsible for implementation of project outputs, how do you intend
      influencing or involving them?
     Do you intend to measure changes and/or benefits during the life of the project? If so,
      how will this influence ongoing communication and dissemination strategies?
     The project would usually include some specific communication and dissemination
      activities and outputs, including publications. What types of publications are
      envisaged?
     Do you intend producing scientific papers, making presentations at scientific forums
      and participating in workshops? What role will these activities play in the application
      of new knowledge and how will they contribute to the adoption of new technologies?




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      Project proposal: Instructions for preparing a preliminary proposal and full proposal




5     Operations
      The purpose of this section is:
           to indicate the methodology to be used, sufficient to justify the budget and time
            estimates
           to demonstrate the collaborative nature of the work.

      The major risks to successful achievement of objectives should also be considered, with
      attention to how they will be managed.

      There should be a good linkage between the detail provided in this section and that in the
      budget.


5.1   Methodology
      For PRELIMINARY PROPOSALS (maximum 1 page)
      For FULL PROPOSALS (maximum 3 pages)

      Following the order and terminology of the Objectives and Activities, provide details on:
           the methods to be adopted, noting that these, especially in the latter stages of the
            project, could be uncertain if they depend on earlier progress in the project or
            elsewhere; alternatives should be anticipated where possible, although without
            extensive detail. Sufficient detail is needed to demonstrate that the proposed problem
            solution is technically sound and to justify the budget
           resources needed and the geographic deployment of project activities. Methods
            relevant to capacity building should be described
           any co-funding arrangements or linkages with other projects, including description
            and distinction of the components of the work to be handled within other related
            projects
           specific details of the planned communication and dissemination activities to support
            the discussion in Section 4.4 and to justify expenditure.

      In large or complex projects, it may be useful to more systematically break down activities
      into sub-activities or tasks and plot them against a timeline (e.g. Gantt Chart), illustrating
      responsibilities for, and dependencies between, individual tasks.

      All planned project activities, including dissemination activities, are required to be covered
      in budget documentation.


5.2   Activities and outputs/milestones
      For PRELIMINARY PROPOSALS (maximum ½ page), list the outputs anticipated for
      each objective as dot points.

      For FULL PROPOSALS use the outputs and milestones table (see example below).

      This is a critical table, as it will be the point of reference in assessing project progress.
      Annual reports and final reports will be centred on reporting against clearly defined
      outputs and milestones. These should be ‘SMART’, i.e. specific, measurable, achievable,
      realistic and time-bound. This means including reference to due dates (no time ranges),
      quantification where possible, and an indication of who will be responsible for delivery.
      Depending on the size and complexity of the project, it is likely that 2-6 outputs or

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Project proposal: Instructions for preparing a preliminary proposal and full proposal




milestones will be required for each reporting year. As a guide, there should be at least
one output or milestone against each activity, but not necessarily in each year.

Columns in the table should address the Outputs, Risks/Assumptions and Applications of
each objective/activity. Issues to be considered under ‘Risks/Assumptions’ are those
beyond the project’s control that must be fulfilled for outputs to be realised. Where there is
a significant level of risk (e.g. travel to the project areas may be restricted by government
warnings, or negotiations concerning important IP have yet to be resolved), strategies for
managing these risks should be included in the Methodology section.

Activities: Each objective may be supported by a number of activities that are necessary
building blocks leading to the accomplishment of the objective. In this example they could
include “Adapt and parameterise the SWIM water balance model for soils in the western
Yellow River basin” and “Conduct field experiments with rice to measure the effects of
tillage methods on groundwater loss under flooded conditions.”

The following incomplete example describes the outputs from a project aiming to develop
regional regulations and on-farm practices for more efficient irrigation water use that lead
to improved farmer profitability and reduced demands on river flow. This will be attained
through a research strategy involving changes to farming practices and the development
of new regulations relating to water use.

Objective 1: To develop on-farm crop management practices for rice and wheat that
reduce irrigation water use by at least 30%
Activities                  Outputs/                       Due date of         Risks / assumptions         Applications of
                            milestones                     outputs /                                       outputs
                                                           milestones
Activity 1.1:               Documented data sets           Yr 1, m6            Existing data is            Use of model to
Adapt and                   used to parameterise                               accessible and              conduct scenario
parameterise the            the model (PC)                                     sufficiently reliable for   modelling to select
SWIM water balance                                                             use in model                best-bet soil-
model to select best                                                           parameterisation            management options
bet tillage options for                                                                                    for testing on-station
soils in the western                                                                                       (input to Activity 1.2 –
Yellow River Basin                                                                                         selection of best-bet
                                                                                                           trial treatments)
                            Updated SWIM model             Yr 1, m8            Model capable of
                            capable of predicting                              capturing key
                            hydrological behaviour                             hydrological
                            of five major soil types                           processes
                            representative of the
                            Yellow River Basin (A)
                            Scenario analysis              Yr1, m10
                            completed and best
                            tillage options selected
                            (A)
                            Four collaborators             Yr 1, m6            Collaborators can be
                            trained in the basic use                           identified who are
                            of the SWIM model (A,                              capable of using
                            PC)                                                SWIM and who will
                                                                               have time dedicated
                                                                               to use model




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      Project proposal: Instructions for preparing a preliminary proposal and full proposal




      Activity 1.2:               Possible best-bet              Yr1, m10                                       Selection of best-bet
      Conduct field               tillage options identified                                                    options for testing on-
      experiments with rice       (A, PC)                                                                       farm
      to measure the
      effects of tillage
      methods on
      groundwater loss
      under flooded
      conditions
                                  One rice field trial           Yr1, m12            Suitable on-station        Lead farmers
                                  established on each of                             sites available for all    selected for on-farm
                                  the five representative                            soil types; equipment      evaluation
                                  soils (PC)                                         available in China
                                                                                     capable of delivering
                                                                                     right tillage
                                                                                     treatments
                                  Yearly trial results           Yr2, m10            Seasonal conditions
                                  compiled and                   Yr3, m10            permit normal crop
                                  documented (A, PC)             Yr4, m10            growth

                                  Successful tillage             Yr3, m12
                                  options tested and             Yr4, m12
                                  communicated to
                                  farmers and extension
                                  agency staff (PC)
      PC = partner country, A = Australia

      Objective 2: To develop regulations for implementation by Local Government on
      the delivery and pricing of irrigation water
      Activities                  Outputs/                     Due date of          Risks / assumptions        Applications of
                                  Milestones                   outputs /                                       outputs
                                                               milestones
      Activity 2.1:               Survey schedule              Yr1, m6              The regulations are        Information fed into
      Conduct a survey of         developed, surveyors                              well documented and        drafting of
      current regulations at      trained and survey                                accessible.                recommended
      the Local                   conducted (A, PC)                                                            changes to regulatory
      Government level that                                                                                    framework
      apply to irrigation
      water.
                                  Survey results               Yr2, m3              Farmers and staff
                                  complied, analysed,                               from the regulatory
                                  and variability of                                agencies are willing
                                  regulations between                               to provide factual
                                  LG authorities                                    information.
                                  identified and
                                  documented (A)
      PC = partner country, A = Australia


5.3   Project personnel
      For PRELIMINARY PROPOSALS (maximum ½ page) only complete the first four
      columns of information for major project participants in Section 5.3.1.

      For FULL PROPOSALS (maximum 1-2 pages) provide the information in Sections 5.3.1-
      5.3.3.

5.3.1 List of participants involved in the project
      It is usual for the commissioned organisation and overseas institution to contribute to the
      salary of their respective project leaders (usually at least 20% of project leader’s time).



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      Project proposal: Instructions for preparing a preliminary proposal and full proposal




      In the partner country, it may be necessary to distinguish between an overall project
      leader and a ‘day-to-day’ project coordinator.

      Multiple funding may apply for some individuals, e.g. a person allocating 60% of their time
      to the project, with half funding by ACIAR (30% of annual salary) and half by their agency.

5.3.2 Description of the comparative advantage of the institutions involved
      Information you provide here is intended to answer the question “Are these the best
      institutions to address these problems?”

5.3.3 Summary details of the role of each participant involved
      Curricula vitae are required as an attachment for the senior participants in the project
      (max 1 page per person and usually only 3-4 people.) The description of the role of
      individuals within the project should be consistent with the time allocation.


5.4   Intellectual property and other regulatory compliance
      For PRELIMINARY PROPOSALS (maximum ½ page) indicate briefly whether there are
      likely to be significant IP issues, and how they will be addressed.

      For FULL PROPOSALS, provide a more comprehensive discussion as required.
      Appendix A must be completed and accompany the proposal.

      ACIAR, the commissioned organisation, and the collaborators must fulfil all relevant
      obligations under international arrangements on intellectual property (IP) and biological
      resources (for example, the Convention on Biological Diversity) to which Australia is a
      signatory.

      Intellectual property includes the actual or future legal ownership of techniques or
      information (via patent, materials transfer agreement or copyright) or living germplasm (via
      patent or plant variety rights or international treaty). ACIAR aims for equitable sharing of
      new IP between Australia and the partner countries, and between collaborators, and for
      the free flow of knowledge. In accordance with its mandate, ACIAR especially seeks ready
      access to new technologies arising from its projects for the benefit of poor farmers in
      partner countries. The full details of ACIAR’s policy on IP in projects it funds are at
      http://www.aciar.gov.au/web.nsf/doc/ACIA-5K32WH. Projects involving IARCs must also
      fulfil agreed IARC Intellectual Property policies, as determined in consultation with the
      IARC partner.

      In addition to IP matters, a project may have to comply with other legal requirements
      related to the research or development and technology. These include regulations for
      germplasm transfer, quarantine on plant, soil and animal movement, biosafety,
      recombinant DNA release, and animal rights. If any of these are relevant, details of
      compliance with applicable regulations should be outlined, and supported by a covering
      letter from the commissioned organisation. The final ACIAR agreements request the
      project's collaborating organisations to warrant that in carrying out the project they will
      comply with any such regulations.

      This clause must be completed. It is not sufficient to refer to Appendix A.




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      Project proposal: Instructions for preparing a preliminary proposal and full proposal




5.5   Travel table
      This section is only required for FULL PROPOSALS.

      The travel table provides details of planned international and domestic travel. The travel
      table forms the basis for calculating travel budgets and must correspond with the
      footnotes of each budget section in the Excel spreadsheet, for easy cross-checking.
           Quote the trip number from the Travel Table in the budget footnotes.
           A chronological listing of travel is preferred, including scheduled major project
            planning meetings and internal mid-project reviews.
           Country and organisation should be specified for each traveller.
           The timing of project coordination and reporting meetings should take into account
            the required annual reporting to ACIAR.
           Medium and large projects may require a final external project review before
            conclusion or soon thereafter, and five-year projects may need a mid-term external
            review before being approved to proceed to completion. Costs for project staff
            participating in these meetings or reviews should be included in the project budget
            (ACIAR only covers costs of its staff and any external reviewers). A review is often
            combined with an end-of-project workshop.

      (Parts A, B and C indicate the section under which the item is listed in the budget
      spreadsheet. Please ensure that this table and the travel footnotes in the budget
      spreadsheet are consistent, and that payments for travel are in the correct payment
      columns.)

      PART A Commissioned organisation or IARC
      Trip #    Person or position               Estimated date        From / to         Purpose               Duration
                                                 of travel                                                     (days)
      1         Project leader (name) (A)        Yr 1, m1              Sydney to         Project planning      4
                                                                       Beijing
      2         Etc.

      PART B Australian collaborating organisation/s
      Trip #    Person or position               Estimated date        From / to         Purpose               Duration
                                                 of travel                                                     (days)
      3         Project scientist,               Yr 1, m1              Brisbane to       Project planning &    25
                modelling (A)                                          Beijing           training
      4         Etc.

      PART C overseas partner organisation/s
      Trip #    Person or position               Estimated date        From / to         Purpose               Duration
                                                 of travel                                                     (days)
      5         Project scientists x 3           Yr 1, m8              Beijing to        Training, procedure   20
                (PC)                                                   Sydney            verification
      6         Project scientist,               Yr 2, m2              Lanzhou to        Policy development    14
                economist (PC)                                         Brisbane          training
      7         Leader and two scientists        Yr 3, m9              Beijing to        Workshop              7
                (PC)                                                   Sydney &
                                                                       Brisbane
      PC = partner country, A = Australia




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    Project proposal: Instructions for preparing a preliminary proposal and full proposal




6   Appendix A: Intellectual property register
    This section is only required for FULL PROPOSALS.

    ACIAR maintains a register of Intellectual Property developed either in ACIAR-funded
    projects or derived from prior IP, including that of third parties that may be required to
    enable the results of ACIAR-funded research to be applied. The register contains details
    of actual or future legal ownership of techniques or information (via patent or copyright) or
    germplasm, as identified in the IP proforma.

    The intent of ACIAR’s IP register is to ensure that developing-country partners have the
    ‘freedom to operate’ in order to utilise the outcomes of ACIAR-funded projects. The
    register (i) identifies constraints that will affect the application of the results of ACIAR
    projects especially by developing countries; (ii) provides triggers to address these
    constraints in project development (or, in certain cases, at a later stage agreed between
    the project participants and ACIAR); and (iii) ensures that the ownership of plant
    germplasm exchanged in projects is identified and tracked.

    In completing the IP proforma, the commissioned organisation has a responsibility to
    discuss its content with any Australian collaborating and overseas collaborating
    organisations and to provide those organisations with a copy of the appendix. ACIAR
    requires copies of all Materials (including germplasm) Transfer Agreements and certain
    other documentation (as specified in ACIAR’s Standard Conditions of Agreement, which
    also has important clauses relating to IP) before the project can commence.

    Any information that is classified Commercial-in-Confidence should be provided as a
    separately annexed document.

    Where deemed necessary, a separate agreement signed between collaborators and
    covering their understanding of access to and the sharing of background and new IP, will
    need to be seen and accepted by ACIAR before final approval of the project. This
    agreement comes under, but is separate from, the project agreement between ACIAR and
    the commissioned organisation.

    Examples of the major types of IP in projects in each program area include:
    Animal Sciences: germplasm (forages and sometimes livestock); diagnostics (target
    DNA/protein sequences and DNA and antibody probes and molecular markers); vaccines
    (methods of production, target sequences, expression systems); rumen microbes;
    processes used for livestock feed formulations and modifications; information systems;
    processing technologies.

    Crop Sciences: germplasm, transgenic crops (enabling technologies and marker genes),
    diagnostics (antibody- and DNA-based and molecular markers), fungal and other species
    with bio-control properties; insect and weed control techniques; information systems.

    Economics Programs: decision support systems for water allocation; CGE and other
    economic models; copyright in reports; confidential information on markets and marketing
    of particular commodities; databases (e.g. industry price and production data, GIS
    databases).

    Fisheries: genetic resources; new technologies for hatchery, grow-out and diet
    formulation; new technologies for disease management and production enhancement in
    aquaculture; diagnostic tests.




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Project proposal: Instructions for preparing a preliminary proposal and full proposal




Forestry: germplasm (especially of Australian trees); nursery and propagation
technologies; processing technologies for wood and non-wood forest products; bio-actives
from forestry products; molecular markers; diagnostic tests for diseases; bio-control
agents; models, databases and information systems.

Horticulture: germplasm; decision-support systems; analytical techniques (including
antibodies); bio-control methods; natural disease protectants; disinfestation technologies;
market information; product-processing technologies.

Land and Water Resources: equipment design for tillage and cropping beds; software
for managing irrigation systems; diagnostic keys for nutrient deficiencies; engineering
technology for wastewater management; decision support systems; crop simulation
models; remote sensing/GIS data sets and data sets for cropping systems simulation;
germplasm/fermentation/application technology for rhizobial inoculants and bio-fertilisers.




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    Project proposal: Instructions for preparing a preliminary proposal and full proposal




7   Appendix B: Budget
    For PRELIMINARY PROPOSALS use the tables in the template to provide an indication
    of the total funds required and distribution over financial years (1 July – 30 June). This
    information will help ACIAR judge how the planned expenditure matches the strategies
    outlined in the proposal.

    For FULL PROPOSALS use the ACIAR budget proforma and guidelines to provide a
    detailed budget.




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    Project proposal: Instructions for preparing a preliminary proposal and full proposal




8   Appendix C: Supporting documentation
    This section is only required for FULL PROPOSALS.

    The following information must be attached:

    Letters of support
    Letters of support from each national research institution and/or government planning
    agency of the partner country/ies, IARCs (if involved in the project) and the Australian
    institution/s should be attached if possible, although in some cases these are not
    obtainable until the proposal is approved by ACIAR. Letters of support should include a
    statement confirming that the project leader will be available for the percentage of his/her
    time indicated, and will not be absent from the project for significant times (usually greater
    than two months) during the project without prior agreement with ACIAR.

    Letters of approval
    Letters of approval for use of Genetically Modified Organisms, and/or experimental
    animals if relevant. Document procedures required in all countries where such
    experiments will be undertaken and attach copies of approvals obtained.

    Letters confirming compliance
    Any letters confirming compliance with regulations related to germplasm transfer,
    quarantine on plant, soil and animal movement, biosafety, recombinant DNA release,
    animal rights, etc as addressed in Section 5.4.

    Curricula vitae
    Short (max 1 page) curricula vitae (resumes, biodata) of the key project staff for the
    Australian commissioned organisation, collaborating organisations and the partner
    country/ies and IARCs (if involved in the project). CV for the leaders and key researchers
    from each collaborating institution would usually be sufficient. Publication lists need not be
    included.

    Privacy Statement
    (the Privacy Statement is also included in the Project Proposal Template)
    ACIAR, as a Commonwealth government agency, is required to comply with the eleven
    Information Privacy Principles as set out in Section 14 of the Privacy Act 1988
    (www.privacy.gov.au/publications/ipps.html). These are based on the 1980 OECD
    guidelines governing the protection of privacy and trans-border flows of personal data.

    The personal information provided in this project proposal, including CVs, is stored in hard
    copy and electronic format in ACIAR. The information is reproduced internally for the
    purpose of meetings to consider project proposals. It is reproduced for restricted external
    purposes as part of the contractual documentation exchanged with the commissioned
    organisation, collaborating institution(s) and partner-country government(s).

    Personal information (individuals’ contact details) is also stored in ACIAR’s project
    information system. ACIAR endeavours to keep this information as up to date as possible,
    with the assistance of the individuals whose details are recorded.

    The names and contact details of Project Leaders may be listed with project details on the
    ACIAR web site, provided to other databases and media in the context of briefings and
    publicity on the ACIAR project portfolio, and used for mailouts of ACIAR corporate
    publications.


                                                                                                18
Project proposal: Instructions for preparing a preliminary proposal and full proposal




ACIAR does not divulge any other personal information to third parties for any other
purpose.




                                                                                        19
Project proposal: Instructions for preparing a preliminary proposal and full proposal




ACIAR Template formatting styles
Enable macros
The ACIAR templates use macros. You will need to enable the macros when you create a
new document based on any of the templates.




ACIAR form
The ACIAR form appears when you open any of the ACIAR templates. The fields on the
form correspond to the title page. Once completed, the title page will become populated.




Tip: To access the form again, click the Show ACIAT form button from the ACIAR styles
toolbar.




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Project proposal: Instructions for preparing a preliminary proposal and full proposal




Formatting styles
You can only use the pre-defined styles when you prepare your ACIAR project
documentation.
The pre-defined ACIAR styles can be accessed using the following methods:
     Microsoft Word Formatting toolbar.
     ACIAR styles toolbar.

      Tip: If the toolbar is not visible, select View | Toolbars | ACIAR styles.
     Microsoft Word Styles and Formatting task pane on the right-hand side of the
      screen.
      Tip: If the task pane is not visible, click the Styles and Formatting             button on the
      Formatting toolbar.




                                                                                                   21
Project proposal: Instructions for preparing a preliminary proposal and full proposal




ACIAR styles
The ACIAR toolbar has been specifically created for you with all of the pre-defined styles.
Show ACIAR form               Displays the ACIAR form. See above.
Heading 1


                              9        Heading 1, auto-numbered
Heading 2

                              9.1         Heading 2, auto-numbered
Heading 3
                              9.1.1        Heading 3, auto-numbered
Heading 4
                              Heading 4
Heading 5
                              Heading 5
Normal                        Normal text Normal text Normal text Normal text Normal text Normal
                              text Normal text Normal text Normal text Normal text Normal text
Normal indent                      Normal indent text Normal indent text Normal indent text Normal
                                   indent text Normal indent text Normal indent text
Normal hang indent
                              Normal hang indent text Normal hang indent text Normal hang
                                 indent text Normal hang indent text Normal hang indent text
ACIAR bold                    Normal text
ACIAR italics                 Normal text
ACIAR subscript               subcript text
                              superscript text
ACIAR superscript
ACIAR bullet 1
                                    Bullet text 1
                                    Bullet text 1
ACIAR bullet 2
                                       Bullet text 2
                                       Bullet text 2
ACIAR numbered L1
                              1.     Numbered text level 1 (auto-numbered)
                              2.     Numbered text level 1 (auto-numbered)
ACIAR numbered L2
                                     1.     Numbered text level 2 (auto-numbered)
                                     2.     Numbered text level 2 (auto-numbered)




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Project proposal: Instructions for preparing a preliminary proposal and full proposal




ACIAR table formatting
The following pre-defined styles can be used to format tables.
Table text heading            Table heading
Table text left               Table text left
Table text right                                                                         Table text right
Table text centre                                                    Table text centre
Insert ACIAR table 1          Inserts the following pre-defined table:




Insert ACIAR table 2          Inserts the following pre-defined table:




Table caption                 Table caption

Table/Figure label
                              Table/Figure label

Examples of ACIAR tables
The following examples show the ACIAR tables and table formatting.

ACIAR table 1
Table heading
Table text left
           Table text right
    Table text centre

Table caption

ACIAR table 2
Table heading                   Table text left
                                            Table text right
                                     Table text centre

Table caption




                                                                                                      23

				
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