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APPLICATION GUIDELINES AND FORMS THIS DOCUMENT IS DESIGNED TO ASSIST APPLICANTS IN PREPARING A DRAFT PROPOSAL AND AN APPLICATION FOR THE MATCHED SMALL GRANTS PROGRAM. A COMMITTEE OF REPRESENTATIVES FROM EACH OF THE CASPIAN LITTORAL STATES, THE CASPIAN ENVIRONMENT PROGRAMME COORDINATION UNIT, THE EUROPEAN UNION/TACIS PROGRAMME AND THE WORLD BANK WILL SELECT THE BEST PROPOSALS FOR GRANT FUNDING. THE DEADLINE FOR SUBMISSION OF DRAFT PROPOSALS FOR THE THIRD ROUND IS JANUARY 20, 2003. THE DEADLINE FOR SUBMISSION OF FINAL APPLICATIONS IS FEBRUARY 21, 2003. ONLY APPLICATIONS MADE ACCORDING TO THESE GUIDELINES WILL BE ELIGIBLE FOR SELECTION. DESCRIPTION OF THE MATCHED SMALL GRANTS PROGRAM The Matched Small Grants Program (MSGP) is an element of the Caspian Environment Program (CEP), a regional initiative to promote the sustainable development and management of the Caspian environment, a major and unique ecosystem under threat from pollution and loss of biodiversity. PURPOSE OF THE PROGRAM The purpose of the MSGP is to advance small-scale investment or pilot projects to address urgent environmental problems in the Caspian region. With this program small-scale priority projects can be implemented quickly, in order to take curative or preventive actions; the MSGP also helps to develop capacity for further actions to improve the Caspian environment. ELIGIBILITY The Matched Small Grants Program operates in the five Caspian littoral states: Azerbaijan, Iran, Kazakhstan, Russia and Turkmenistan. The Caspian region is defined as the sea, the coastal regions and 100 km inland from the shores of the sea, and the major tributaries up to the first major hydrotechnical construction. The following types of organizations are eligible to apply for the MSGP:
The Applicant organization must be legally registered in one of the Caspian countries. A copy of this registration must be attached in Annex IV as part of the application packet along with document confirming that the applicant is a legal entity that is authorized under national law to enter into international agreements. Partnerships between two countries and/or cooperation among different types of organizations is encouraged. However, one lead organization must be designated as fully responsible for the project implementation. The grant agreement must be written in the name of the lead organization, which will serve as the grant recipient for the Matched Small Grants Program with responsibility for all reporting. TYPES OF PROJECTS Under the MSGP, small-scale investment or pilot projects that produce tangible, practical results will be financed. Preference will be given to those projects that address transboundary environmental issues and make tangible environmental improvements, create substantial innovation in solution of environmental problems in the Caspian region and/or demonstrate a solution that can be readily replicated at other locations in the region. Projects should help to address priority problems identified in the Transboundary Diagnostic Analysis (TDA) and National Caspian Action Plans (NCAPs) and Strategic Action Plan (SAP). Information about these documents is available from the MSGP staff at the PCU, and on the CEP website. Projects eligible under the program may address the following areas identified as priorities in the SAP and TDA, or may address Caspian national priorities identified in the NCAPs.
The Matched Small Grants Program focuses on investment projects and does NOT support the following activities: research; monitoring; formal academic training; ongoing institutional core support; scholarships and fellowships; study programs; or individuals applying on their own behalf, including for travel or studies. MATCHING AND AWARD AMOUNT Grants may range from US$ 10,000 up to US$ 100,000. At least 100% matching of the grant amount is mandatory; total project budgets therefore range from US$ 20,000 to US$ 200,000 or more, if the applicant identifies additional resources. Up to half of the matching may be in the form of in-kind contributions. Matching funds may come from the applicant or from a partner, whose name must be shown under the box "partner" of the cover sheet. If the funds come from the applicant organization, then appropriate proof should be provided in the form of bank statements, accounting reports or other financial documentation. If the funds come from a partner organization, then the lead organization must have written verification from the partner regarding availability the funds for the project. (Verification of matching funds must be attached in Annex V of the application.) DURATION OF THE PROJECT The Award Agreement must be signed and the project must begin within three months of the award notification. The project duration shall be no longer than 12 months. The project must be completed, including all reporting, by June 2004. SELECTION CRITERIA Applications will be evaluated based on the following criteria.
CONDITIONS Each grantee must attend a one-day Grantee Orientation, where the Grant Agreement is reviewed, grantees introduce their projects to one another, and MSGP staff explain the procurement, financial management and reporting procedures. Cost of attending the Grantee Orientation (travel and lodging) should be included in the budget of the application. The Grantee Orientation will be held in Baku. Grantees should therefore budget an amount sufficient to cover the necessary travel and lodging for the participation of a project representative in the Grantee Orientation. The Matched Small Grants Program generally does not fund activities undertaken prior to the date of the signed Grant Agreement (except for travel costs to attend the Grantee Orientation). The grantee is responsible paying all taxes incurred for the project in accordance with the relevant policies and regulations in his/her country. MSGP will assist, where possible, in obtaining tax exemption status for grantee, but final responsibility lies with the grantee. The MSGP grant may not be used to pay taxes, though applicants may include taxes in their matching contribution. Any publications issued by the grantee as a result of the grant, such as articles, studies, manuals, newsletters, or brochures must acknowledge the support of the Matched Small Grants Program and the Caspian Environment Program. Equipment acquired for execution of the project may remain with the grantee upon completion of the project. The grantee owns all intellectual property created under a Matched Small Grants Award, however, the World Bank has the non-exclusive right to use and reproduce the intellectual property at no cost. The Matched Small Grants Program reserves the right to publish and distribute descriptive information and lessons learned from any of the projects implemented under the Program. An organization currently working on a project funded partly by a Matched Small Grant cannot apply for another Matched Small Grant before the final report of the first project has been submitted and accepted by the Matched Small Grants Program.
GRANT PAYMENT AND REPORTING REQUIREMENTS Matched Small Grants will be disbursed in USD to a legal bank account of the grantee that is established solely for the MSGP project. All budgets and financial reports should be made in USD, with conversion for costs in local currency. All Matched Small Grant recipients shall prepare progress and final reports. Reporting forms and procedures are provided in the "MSGP Reporting Guidelines (November 2002)" will be made available to grantees prior to the Grantee Orientation. The Reporting Guidelines may be also requested at any time from the MSGP Administration. Grantees must maintain in their project records copies of all invoices and receipts for expenditures on salaries, equipment, travel, hotels, rent, service providers, printing and reproduction, as well as for any other expense exceeding USD25. Matched Small Grants will be paid in a minimum of three installments, to include a maximum initial disbursement of 15% and a minimum final disbursement of 20%. For grants less than USD25K, three disbursements are usually adequate. For grants of USD25-49K, four disbursements or more will be made. For grants USD50K or more, at least 5 disbursements are required. Standard installments are as follows:
The purchase of goods, works and services must follow the procurement guidelines described in the "Manual for Conducting Very Small-Value Procurement Under World Bank/IDA Small Grants, Loans and Credits." The Procurement Manual is available on request from the MSGP Administrator or the MSGP web page at http://www.caspianenvironment.org/msgp. Reporting according to the procurement guidelines is obligatory. If the guidelines are not followed, or reporting does not clearly reflect compliance with them, the expenditure in question may be disallowed. The grantee may make budget changes of up to 20% with any budget line, providing there is no change to the overall budget. For line item changes of over 20%, the grantee must request and receive MSGP Administrator's agreement prior to making the change. The grantee must maintain full financial records, including all original receipts and invoices for at least three years following the completion of the project. Matched Small Grants Program staff and World Bank representatives (including consultants authorized by the World Bank) have the right to inspect the MSGP project records and monitor the project performance at any time.
THE MATCHED SMALL GRANTS PROGRAM APPLICATION - Prospective grantees will fill out a full Matched Small Grants Program application, which consists of the following documents:
- Applicants are highly encouraged (but not required) to submit a draft proposal to the MSGP staff for review and guidance before preparation of the final proposal. The draft proposal includes:
MSGP staff will evaluate the quality and feasibility of the proposed projects and advise prospective applicants on revisions recommended to improve their proposals prior to submission of the final applications. An electronic version of the draft proposal in English and Russian (for applicants from NIS) and in English (for applicants from Iran) should be sent to the MSGP office not later than January 20, 2003. One hard copy original of the full application must be received by the Matched Small Grants Program staff by February 21, 2003. In addition, the applicant must send an electronic version of the application to the MSGP office at the email address provided below. The applicant is responsible for the timely delivery of the project proposal and may call or email or fax to confirm receipt. The hard copy of the application should be mailed or hand delivered to the address of the MSGP in Baku:
The full application should be made in the format provided, following the sequence mentioned above. Please do NOT bind together the application, because the Matched Small Grant Program staff will need to make copies for the Evaluation Committee. Incomplete applications will not be considered. Additional materials not specified in the list above will be discarded, in order to ensure the comparability of the applications. The full application must be prepared in English by all applicants. Applicants from Azerbaijan, Kazakhstan, Russia and Turkmenistan should submit the application in both English and Russian. Only copies of legal registration and other official documents of the applicant may be submitted in the original language. Applicants are responsible for the quality of their translations. Poor quality translations may not receive proper consideration during evaluation.
GUIDELINES FOR NARRATIVE DESCRIPTION In the narrative description the applicant explains why the project is important, how it will help to solve one or more environmental problems, where the project will take place, and who will undertake what actions. The narrative description needs to explain how the work will be organized to produce a successful project with concrete results. The narrative part of the application should be no longer than 5 pages, with character size of 12 points and minimal line spacing of 1.5. The document must be clear and concise. The narrative description includes the following seven main topics: Title of the project – 2 sentences Background and problem statement – 0.5 page Goal and objectives – 0.25 page Proposed project activities – 2 pages Expected results – 0.5 page Deliverables and indicators for success – 0.75 page Sustainability and/or follow up of the project – 0.75
page Refer to the Selection Criteria while preparing your application.
MATCHED SMALL GRANTS PROGRAM COVER PAGE The cover page is the first page of your full application. It should be filled out clearly, so that the MSGP has complete contact information. Do not fill out the gray box marked: "To be filled out by MSGP staff."
MATCHED SMALL GRANTS PROGRAM SUMMARY AND DEATAILED BUDGET TABLE The Matched Small Grants Program Budget Summary is designed to give a clear summary of the budget by showing the breakdown of the part financed by the Matched Small Grant, and the part financed by the applicant as in-kind and cash resources. If an additional, third (or fourth) funding source is to be used, these amounts should also be identified. The budget for the Matched Small Grants Program must be filled in completely, showing all figures in USD. In the Budget Table list completely all expenses related to the proposed project. All activities must be broken down into costs matching the budget line items provided in the Budget Table. The subtotals for each section of the budget table correspond to each line of the Budget Summary. For your understanding, a sample Detailed Budget and a sample Budget Summary are attached. Applicants may adjust the blank Detailed Budget and Budget Summary Forms by adding lines and pages as necessary, in the format provided. In the budget, show the unit of measurement for each expected cost (for example a trip), how many of these units you need (for example one to Baku for the Grantee Orientation), the price per unit (for example 280 USD plane ticket) and the total (280*1 in this example). After the column for 'Total' you find columns specifying the source of funds for each line item. Under the Matched Small Grants Program, a maximum of 50% of the total project budget can be financed with a MSGP grant. The other 50% of the project must be financed by the grantee. A maximum of 25% of the total project costs can be supplied by in-kind donations. The remaining 25% of the total project cost must be provided in cash by the applicant organization(s). The matching funds and the in-kind contributions can be made to any line item in the budget. For each line item, show the source of funds (whether from the grant, matching funds, or in-kind contribution, or a combination of these sources). Additional funding from a third party may also be included, but is not required. In-kind contributions are the applicant's allocations of human and material resources, estimated in terms of their costs. In-kind contributions include work time (dedicated to the project), facilities, supplies, and other goods and services directly benefiting the project activities. Existing office equipment such as computers, printers, fax machines, cannot be included as in-kind contributions. For all in-kind contributions, specify their exact nature and estimate their worth in accordance with current market rates for rental or purchase of the items or services. The value of volunteer services can be estimated by the going market rates for that type of labor. All matching and in-kind contributions must be clearly documented in Annex V of the application. The documents must establish both the possession of funds as well as the willingness of the applicant organization to contribute them. Verification of matching funds may be in the form of letters, bank statements, accounting documents, or other. In-kind may be verified by payroll statements, copies of inventory documents, rental agreements, etc. Applicants should contact MSGP staff before application deadline with any questions or concerns regarding documentation of matching. Competitive procurement of goods, works and services is required. The relevant procedures for competitive procurement are given in 'Manual for Conducting Very Small-Value Procurement Under World Bank/IDA Small Grants, Loans and Credits' that is available on the MSGP webpage (http://www.caspianenvironment.org/msgp) or by request from the MSGP office. The Budget Summary and the Detailed Budget form Annex II of your application.
CLARIFICATION OF BUDGET LINE ITEMS 1. GOODS This category is for equipment or supplies to be purchased and utilized directly by the applicant organization during the course of the project. 1.1. Equipment Specify the type of equipment/technology that you intend to purchase and the estimated cost. Equipment or environmental technology includes any essential and tangible property that costs more than 100 USD and has a useful life of more than one year. (Software is "equipment" if it costs more than 100 USD). The equipment must be a separate and complete item to be used during project implementation and for project purposes. Please keep in mind that any equipment purchased for the project must follow the procurement rules, as described in the 'Manual for Conducting Very Small-Value Procurement Under World Bank/IDA Small Grants, Loans and Credits'. The cost of shipping and customs duties for equipment should be included in this line item. 1.2. Supplies Specify the type of supplies you plan to buy and the estimated costs. Provide breakdown by types of supplies, listing specific items necessary. Project supplies are consumables used during project implementation costing less than 100 USD a piece; these could be chemicals, spare parts, plastic waste bins, etc. 1.3. Printing and Reproduction Specify all costs you intend to make for printing and reproduction at an outside copy-service, or instead indicate how much you will spend per month on an outside copy service. Specify all publications you intend to make and estimate their costs per copy. 2. WORKS (e.g., construction, site preparation) Contracted labor of subcontractors, equipment arranged by contracts, and supplies procured by contractors should be shown here.
3. SERVICES These can be specialist professional, translation, computer, or other services where contracted outside the organization. When using the item 'other services' please specify which services these will be. A standard unit for services is the workday, but if in your case it is a workweek or month, you can use that as well.
4. OPERATING COSTS 4.1. Employment Costs/Salaries These are human labor costs from the applicant's own organization used for implementation of the project. Also include cost of labor required for reporting. As a unit for calculation of salary cost, you may use a day, week or month. Estimate the amount of time required for each position. Specify the name of the person (if known) who will do the job and the position. Daily or monthly pay rates must be reasonable for the site of the project. Verification of average salary for the past year for each known person should be provided in Annex V. Where it is still unknown who will be hired, specify a salary that is within the range of current market rates for such a position. 4.2 Travel Include information on destination, means of transportation and the number of travelers. For every trip all items must be filled in. If per diem is included, indicate the number of days and the rates used. Standard units are provided in the Detailed Budget Table. The first item to be entered is the travel for the Grantee Orientation. Depending on your point of origin this means one plane ticket in the range of 100-400 USD, 1 or 2 nights lodging at 50 USD per night. 4.3 Rent The Matched Small Grants Program accepts rent of your office or project facility as an in-kind contribution, but the costs for rent given in the budget must be reasonable in relation to the size of the project and the time you and your staff spend on the project. For example, an office of 10 rooms would be excessive for a project that requires only 4 staff. To deal with this, the applicant can make an in-kind contribution of part of the rent, specifying the percentage of total monthly rent and attaching a copy of the rental agreement in Annex V. Rent for a meeting room or conference room must be specified under this budget line as well. Office rent should be calculated using the month as the standard unit. A meeting room should be calculated per day. 4.4 Communication Costs Specify the estimated monthly costs for telecommunication (phone and fax), courier service, postage and electronic communication for the project. 4.5 Office Supplies and Maintenance Specify the type of office supplies you plan to buy and the estimated costs. Provide breakdown by types of supplies and maintenance, listing specific items necessary. Office supplies include: paper, pencils, toner cartridges, floppy disks, etc. as well as any software costing less than 100 USD. 4.6 Transportation Charges Specify the estimated expenses for ground transportation that may include cost of project staff local transportation to and from the project site, collection and transfer of project materials (if not included under works), etc. 4.7 Other Costs Specify any other direct costs you intend to make, which do not fit under any of the other budget line items mentioned above. All items in the "other" category should be clearly explained. "Miscellaneous expenditures" will not be admitted as a suitable budget line item.
MATCHED SMALL GRANTS PROGRAM WORKPLAN FORMAT Attached at Annex III is a blank MSGP Work Plan, which you should adjust for your grant amount, number of tasks, and actual work schedule. The work plan specifies all key activities you are planning for your project, as well as when you plan to do that activity. The MSGP Work Plan Format provides a time frame of maximum 14 months. However, please keep in mind that all project activities, including final reporting should be completed by June 2004. In order to give a clear overview of all activities, divide your project into phases, for example a start-up phase in which you begin the project, implementation phase(s) in which the main work is being done and an evaluation phase in which you evaluate the outcomes of the project and prepare the final reports. It is important that your list of activities and/or tasks shows step-by-step what you are planning to do during all phases of your project. Phases should correspond to the deliverables and disbursement of grant funds, and should be adequately explained in the narrative section of the application. The first activity for all grantees will be participation in the Grantee Orientation. The Grantee Orientation is planned for March 2003 and will be held in Baku. The exact date will be announced when grant recipients are notified. Fill out the work plan by marking an 'X' where certain activities and/or tasks will be completed and specifying the name of the activity or task that you have described in the narrative portion of the application. The MSGP Work Plan is Annex III of your full application.
MATCHED SMALL GRANTS PROGRAM PROCUREMENT, FINANCIAL MANAGEMENT AND LEGAL ISSUES Please fill in Annex 1 (Assessment of Beneficiary's Capacity to Conduct Procurement, Financial Management and Overview of Legal Status). The information you provide on this form will demonstrate your organization's legal status and ability to manage the grant funds in accordance with the Grant Agreement. Definitions: Procurement for goods includes equipment, supplies, software, publication costs. Procurement for works includes labor, rental equipment, supplies and other expenditures needed to carry out physical construction or other physical activity (e.g., site preparation, planting trees, digging canals, building structures). Procurement for services includes consultants (individuals or firms) contracted to provide professional services under the project. Operating Costs include labor from the recipient's own organization, travel, rent, communication costs, etc. (see explanation under Budget line description, above). For further information about the MSGP Procurement guidelines, please visit the MSGP webpage: http://www.caspianenvironment.org/msgp or request a copy from the MSGP office.
ASSISTANCE For assistance please do not hesitate to contact the MSGP staff. Mr. Kamran Abdullayev and Ms. Ayada Iskandarova are available to assist you with your project application. You can email them at: Kabdullayev@caspian.in-baku.com and/or Aiskenderova@caspian.in-baku.com or phone/fax to the MSGP office in Baku: Phone: (99412) 97-17-85, 93-80-03/Fax: (99412) 97-17-86. Applicants are also encouraged to contact the World Bank Local Lead Consultants (LLCs) for advice and information about the grant program and National Focal Points (NFPs) or PDF National Implementation Coordinators for information about Caspian Environment Programme (CEP) World Bank Local Lead Consultants
National Focal Points and PDF National Implementation Coordinators/PDF Implementation Coordination Assistants:
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