Call for Concept Notes

Collaborative Adaptation Research Initiative in Africa and Asia (CARIAA)

Date issued: February 19, 2013

Deadline: Concept notes must be received no later than April 4, 2013 at 11:59 pm Eastern Standard Time (Ottawa time)

Canada’s International Development Research Centre (IDRC) is pleased to announce a call for concept notes as

part of the Collaborative Adaptation Research Initiative in Africa and Asia (CARIAA) program. Funded by IDRC and

the United Kingdom’s Department for International Development (DFID), CARIAA’s goal is to develop robust

evidence to inform how to increase the resilience of vulnerable populations in climate change hot spots in Africa

and Asia. This document contains the following sections:

1. About IDRC and DFID ................................................................................................................................................. 2

2. Background and Rationale for CARIAA ...................................................................................................................... 2

3. Goal and Objectives of CARIAA ................................................................................................................................. 3

4. Thematic Focus and Priority Research Considerations of CARIAA ............................................................................ 3

5. Structure and Outputs of the CARIAA Program ......................................................................................................... 4

6. Funding, scope, and duration .................................................................................................................................... 8

7. Selection Process ....................................................................................................................................................... 9

8. Submission Process .................................................................................................................................................. 12

9. Eligibility Criteria ...................................................................................................................................................... 12

10. Evaluation Criteria ................................................................................................................................................. 13

11. Format and Requirements ..................................................................................................................................... 14

12. Communication of Results ..................................................................................................................................... 15

13. Permission for Use and Disclosure of Information ................................................................................................ 15

14. Country Clearance Requirements .......................................................................................................................... 15

15. IDRC Standard Grant Conditions ............................................................................................................................ 15

Annex 1: IDRC’s grant agreement terms and conditions ............................................................................................. 16

Annex 2: CARIAA Eligible Countries ............................................................................................................................. 17

Annex 3: Costed Work plan Templates ....................................................................................................................... 18

1. ABOUT IDRC AND DFID

About IDRC IDRC is a Crown corporation created in 1970 by the Parliament of Canada. IDRC builds the capacity

of people and institutions in developing countries to undertake the research that they identify as most urgent. It works with researchers as they confront contemporary challenges within their own countries and contribute to global advances in their fields. For more information, please consult the website at www.idrc.ca.

About DFID The Department for International Development (DFID) leads the UK government’s fight against

world poverty. Through its network of offices throughout the world, DFID works with governments of developing

countries, charities, nongovernment organizations, businesses and international organizations to eliminate global

poverty and its causes. DFID also responds to overseas emergencies. For more information, please consult the

website at www.dfid.gov.uk.

2. BACKGROUND AND RATIONALE FOR CARIAA

The Collaborative Adaptation Research Initiative in Africa and Asia (CARIAA) was launched in 2012 and is jointly

funded by Canada’s International Development Research Centre (IDRC) and the United Kingdom’s Department for

International Development (DFID). It is managed by IDRC from headquarters in Ottawa and two regional offices,

one in Nairobi, Kenya, and one in New Delhi, India, in consultation with DFID’s headquarters in the UK.

Over the last few years, scientific evidence has increasingly highlighted the sharp differences in vulnerability to the

impacts of climate change1 across regions and sub-groups of affected populations. In 2007, the Intergovernmental

Panel on Climate Change (IPCC) reported increasing evidence of greater vulnerability of specific groups such as the

poor, and increased evidence that low-latitude and less developed areas generally face greater risk, for example in

dry areas and mega-deltas.

Several developing countries where these conditions of vulnerability occur have started to plan for adaptation,

including through the development of National Adaptation Plans of Action under the United Nations Framework

Convention on Climate Change. Adaptation research has often also been conducted in those countries, generally

focusing on building the capacity for research (e.g. the Global Environmental Facility’s Assessments of Impacts and

Adaptation to Climate Change Project – 2001 to 2007), and on community level adaptation strategies (e.g. the

DFID/IDRC Climate Change Adaptation in Africa Program or CCAA - 2006 to 2012).

These programs and others have contributed to the creation of a new cadre of climate change adaptation

researchers. For example, CCAA included a fellowship program that supported more than 45 African researchers in

its initial phase. It also increased awareness amongst policy-makers in the countries most affected by climate

change. A systematic effort to understand what works and what does not in integrating considerations of a

changing climate within planning and development can now be undertaken. The results of such an endeavour

would meet the needs of those in a position to invest in adaptation strategies (e.g. national governments, donors,

development banks) by providing them with scientific evidence to inform the design of adaptation programs that

reach the most vulnerable and increase their resilience. CARIAA is designed to address some of those needs using a

consortium model as described in Section 5 of this document.

1

For clarifications on climate change terminology used, refer to IPCC definitions at the following link:

http://www.ipcc.ch/pdf/assessment-report/ar4/syr/ar4_syr_appendix.pdf.

3. GOAL AND OBJECTIVES OF CARIAA CARIAA’s goal is to develop robust evidence to inform how to increase the resilience of the poorest and most

vulnerable populations in climate change hot spots2 in Africa and Asia. This goal will require the pursuit of the

following objectives using integrative, policy-oriented and Southern-driven research:

Generate knowledge on:

Vulnerability - Develop a better understanding of the conditions leading to the vulnerability of the

livelihood systems of poor people to climate change under different socio-economic scenarios and climate

warming scenarios;

Adaptation approaches – Learn from adaptation approaches (and their potential co-benefits, including in

reducing greenhouse gases) in different regions and contexts using comparative analysis to obtain

evidence that informs adaptation measures, decisions and actions in climate change hot spots that

contribute to increasing resilience of the poor;

Factors/barriers of success - develop a better understanding of the factors/barriers of success for

sustainable adaptation measures.

Promote research uptake:

Policies and practices – Use of robust evidence generated at various scales to shape policies or practices

that help vulnerable populations or sectors adapt to climate change. Policy relevance of the research is

key;

Strengthen the cadre of researchers in this field:

Adaptation expertise - Further develop highly qualified personnel and establishe informal networks that

enhance problem-solving capacity in adaptation to climate change and resilience building.

As an overarching principle, the research will take into consideration the gender and economic dimensions of this

analysis.

4. THEMATIC FOCUS AND PRIORITY RESEARCH CONSIDERATIONS OF CARIAA To reach as many vulnerable poor people as possible, CARIAA will focus on the following three hot spots:

Semi-arid regions of Africa and part of South and Central Asia where a large number of people depend on

climate-sensitive livelihoods such as agriculture and pastoralism;

Deltas of South Asia and Africa supporting large populations whose livelihoods (e.g. agriculture and

fishing) and place of residence (e.g. urban floodplains, low-lying rural areas) are particularly vulnerable to

climate change; and

2 The eligible countries of the climate change hot spots identified in this program are listed in Annex 2.

Glacier and snowpack dependent river basins significantly affected by climate change, as for example in

the highly populated Himalayan floodplains where water quantity and quality is likely to be significantly

affected by climate change.

Within each hot spot, research will take as its starting point the livelihood systems of the poor and the problems

they face as a consequence of current climate variability and future climate change. Research will be conducted at

multiple levels, from a regional (e.g. analysis of gaps in various national and regional water policies to deal with

impacts of climate change) to a local basis (e.g. elements of vulnerability under different local conditions). This

cross-scalar approach allows taking into account the specific needs of vulnerable groups including the poor (e.g.

protection of their climate-sensitive livelihoods) and the dynamics and sometimes competing priorities and

considerations at different scales (e.g. sharing reduced water supplies between irrigation and domestic demand).

The scope of research will encompass adaptations to a changing climate, and measures to increase resilience to

climate shocks and trends, including current climate variability as well as future trends and evolutions.

Comparative analysis between study sites, regions and hot spots will contribute to broader generalizations of the

results. Economic analysis and consideration of the gendered dimensions of vulnerability and response measures

will also be included within and across the hot spots.

To increase the impact of the research within the hot spots, the research will be demand driven and will be

responsive to decision-makers in the eligible countries or regions. The research is expected to bring together

participants from a broad range of stakeholders and beneficiaries, including government and civil society entities,

such as those managing natural resources and poverty alleviation efforts, with researchers in the bio-physical

fields, and social and economic disciplines. By identifying elements such as current and future vulnerabilities, most

desirable planning horizons for adaptation, and barriers and conditions for success for specific adaptation

strategies, this initiative will inform investments in adaptation to climate change and increase resilience of poor

and vulnerable populations.

5. STRUCTURE AND OUTPUTS OF THE CARIAA PROGRAM Program Structure

The program includes the following bodies:

• an Executive Committee, which oversees the programmatic direction and strategy for CARIAA;

• an Advisory Committee on Science and Outreach, which is responsible for the peer review and scientific

evaluation of eligible consortium applications and for providing funding recommendations to the Executive

Committee;

• a program management unit or ‘CARIAA Team’, which provides day-to-day oversight and technical and

research leadership to the program as a whole. The CARIAA Team is a program unit within IDRC, based at

IDRC’s headquarters in Ottawa, with Program Officers located within IDRC’s regional offices in Nairobi and

New Delhi;

• three research consortia composed of 3-5 members each, who will devise and undertake research in the

three hot spots.

FIGURE 1: SCHEMATIC OF CARIAA STRUCTURE

The CARIAA program will support three research consortia, one for each hot spot. For the purposes of CARIAA, a

consortium is defined as a grouping of organizations (“members”) participating in the design and delivery of a

common research program on climate change adaptation focused on a specific vulnerability ‘hot spot’. Consortia

funded as part of CARIAA will be selected through this competitive process outlined in Section 7 below.

Each consortium will be collectively responsible to deliver their mandate including:

- Ensure that sufficient staff and management systems are in place to support the coordination functions

- Develop and implement a comprehensive and coherent program of research

- Include end users of the research from the very initial stages to allow them to provide their views on

priorities and ways to turn research into use and to facilitate uptake

- Interact with the global climate change community, notably through the publication of high quality

articles in peer-reviewed journals

- Monitor technical progress, performance, and research quality and make adjustments if required

- Manage the funding including making grants to other institutions (through competitive processes, sub-

contracts, etc.) as required

- Engage with other consortia and integrate results of cross-cutting work.

Consortia will be composed of 3 to 5 members, including one identified as the lead. Members will represent a

range of stakeholder and disciplinary perspectives (e.g. non-governmental or community based, academic, policy-

oriented, etc. with natural and social science expertise). Each consortium will be expected to have its own

governance mechanisms to implement the program’s activities and ensure accountability to the members’

institution. Although a lead organization will be named for each consortium, each member organization will enter

into a separate grant agreement with IDRC. The lead organization will be represented by a Principal Investigator.

The member organizations will each be represented by a Co-Investigator.

FIGURE 2: SCHEMATIC OF CONSORTIUM-LEVEL STRUCTURE (EXAMPLE WITH 3 MEMBERS)

Each consortium will also be expected to participate in cross-consortia coordination activities to ensure overall

consistency and coherence of the initiative. For example, to ensure methodological consistency, and to enable

comparative analyses and integration of research findings across the consortia, the CARIAA Team intends to

provide technical support on the development and application of climate information (including scenarios) at the

program level. Such support would include:

- The development of a set of broad scale (e.g., regional to national) climate scenarios based on outputs

from climate model experiments participating in the Fifth Phase of the Coupled Model Inter-comparison

Project (CMIP5) including analysis on trends of projected changes in core climate parameters and

associated uncertainties; and

- Ongoing technical guidance and advice on:

o the needs for climate information within specific research context;

o Methods and tools to derive specific climate information (ranging from qualitative description of

general direction of change in key climate variables to high-resolution, detailed climate model

outputs with probability attached etc.); and

o The characterisation of uncertainties associated with the climate information being used in the

assessments, and implications for adaptation planning and decision making.

Experts mobilized by the CARIAA Team at the program level through the life of the program will be working closely

with the consortia, through designated researchers within each consortium.

Box 1: Consortium Leadership and

Management

The lead organisation for each consortium will coordinate and submit regular technical reports to the CARIAA Team at intervals identified in the grant agreement. Each member organization will submit technical reports to the lead organisation who will in turn synthesize and ensure a coherent and adequate consortium report is submitted. Each member organization will submit individual financial reports to the CARIAA Team at intervals identified in the grant agreement.

The CARIAA Team, at its discretion, will also separately fund other work which supports and provides consistency

across the research activities of the three consortia. For example, the CARIAA Team might support background

work in common research themes including tools for integrating gender considerations, socio-economic analysis,

and private sector engagement.

Proponents are encouraged to identify areas within this cross-cutting work for which they would be well-placed to

provide additional cross-consortia leadership. 3

The CARIAA Team will also collaborate with the consortia on

programmatic functions that support the program as a whole, including communication, outreach and

engagement, knowledge management, and monitoring and evaluation.

Expected Program Outputs

The consortia will be expected to produce high quality outputs throughout the life of the program including:

Results of consultations with decision-makers on their needs for evidence

Evidence-based vulnerability summaries for each hot spot including an analysis of policies, practices, and

stakeholders

Relevant peer-reviewed articles in quality, open access journals (at least in the order of 50 across the 3

consortia)

Other knowledge products including workshop reports, presentations, guidance notes and policy briefs (in

the order of 300 – 400 across the three consortia)

Synthesis products on methodologies geared for practitioners or on learning about multi-sectoral, multi-

stakeholder processes and providing evidence to policy and program design and implementation for

publication in peer-reviewed journals.

Expected Outcomes/Results

By the end of the program it is expected that CARIAA will have:

Generated new knowledge through robust, interdisciplinary research which identifies what works and

what does not and why at multiple scales;

Promoted research uptake by engaging with policy and implementation processes;

Strengthened adaptation expertise by generating new ways of working through the consortium model

and its engagement with other stakeholders.

Expected Impact

The research outcomes supported by the program are expected to benefit a large number of poor people and their

livelihood in targeted developing countries by improving the basis of decision-making at sub-national and national

level on adaptation and resilience policy and practice. It will do this by strengthening the evidence base on what

works and what doesn’t and why, and by working to improve the uptake and use of research by decision makers in

developing countries and donor agencies. This is expected to result in better targeted, more appropriate, context

specific and effective programming and practice at national and sub-national levels. The outcomes will also inform

the increasingly substantial international and national adaptation funding now beginning to come on-stream.

3 This information is only indicative at this point, not to be budgeted for at the concept note stage.

The program approach recognises that some of the most vulnerable groups are the rural and urban poor (women

and men), children, the elderly, the disabled and minority groups, and outcomes are expected to benefit these

groups and in providing evidence to inform how to address the specific challenges faced by them in relation to

climate change. Researchers, and to a more limited extent research institutions in developing countries, are

expected to benefit from targeted capacity building provided through the program, including that related to policy

uptake and research into use. To a lesser extent, poor people will potentially benefit directly through pilot

interventions and any action research undertaken by the program. The program aims to lead to impacts as early

as possible.

6. FUNDING, SCOPE, AND DURATION As a result of the competitive process outlined in Section 7 below, grants of up to CAD 15M will be issued to each

selected consortium depending on the work and model of the selected proposals. Support to the consortia will be

provided until the end of the program in March 2019, with mechanisms to reward success along the way. IDRC’s

obligations herein are subject to sufficient funds being made available to IDRC by the Parliament of Canada and

DFID. The work will proceed in phases as described in Figure 3 below.

FIGURE 3: PHASES OF CARIAA ACTIVITIES (INDICATIVE TIMINGS ONLY)

Preliminary benchmarking studies (in the form of background literature reviews) are being conducted in parallel to

this call and will be made available prior to the inception phase. At the inception phase, focus will be on the more

detailed identification of vulnerability of poor people’s livelihood systems to climate change which will further

refine the benchmarking. Based on the results of this preliminary phase, researchable issues will be further

elaborated, and the next stages of research planned. The program concludes with cross-consortia synthesis work

supported in part by the CARIAA Team.

The geographic scope is outlined in the list of CARIAA eligible countries (see Annex 2), where research activities can

take place. Overall, decisions on where to conduct research should be driven by the potential to develop evidence

to inform policies and practices with most potential for overall impact on the livelihoods of poor people vulnerable

to climate change. Not all listed countries need to be part of the consortia work programs, but a regional and

interregional scope is encouraged. Including study sites from several countries is also encouraged, to assist

comparative analysis and to mitigate risks associated with single site studies. Applicants are also encouraged to

draw on experiences from outside of the hot spot regions; however CARIAA funding cannot be used for research

activities to be carried out outside of the eligible countries.

Funds will support activities such as:

- Scientific and policy research and communications

- Assessment studies

- Technology and knowledge transfer

- Peer-reviewed publications in open access journals (including publishing fees)

- Pilot interventions for testing adaptation options

- Data collection and analysis

- Data acquisition

- Conferences and workshops

- Community and policy dialogues

- Scholarships

- Exchange programs or internships

- Dissemination and outreach

- Trainings and preparation of training or course material.

7. SELECTION PROCESS This call is the first stage of three stages in the selection process for funding consortia (see Figure 4 below).

Stage 1: First cut list of concept notes

After pre-screening by the CARIAA Team based on the eligibility criteria, the Advisory Committee on Science and

Outreach will review the eligible concept notes and make recommendations to the Executive Committee on a first

cut of up to 20 concept notes (minimum of three per hot spot) based on the criteria outlined in Section 10.

Recommendations will also include, if applicable, a set of high level comments and/or changes that must be

addressed in order for the concept note to continue in the process. The Executive Committee will consider the

recommendations and make a final decision on the first cut list. The results will be communicated to the

successful proponents by the CARIAA Team.

Stage 2: Second cut list of concept notes

Proponents of the concept notes selected in the first cut will submit their revised concept notes. The CARIAA

Team will verify the revised concept notes and forward those that have adequately addressed the requested

comments and/or changes to the Executive Committee. The Executive Committee will reassess the concept notes

and make a decision on a second cut of up to 9 concept notes (minimum of two per hotspot) which will be invited

to develop a full proposal. The CARIAA Team will communicate the results to the successful proponents.

Proponents invited to submit revised concept notes will also be invited to apply for a proposal development grant.

Each proposal development grant will be of a maximum of CAD 80,000 to fund activities that support development

of a full proposal. The grant will be provided to one institution from within each consortium identified in the

concept note. The application will have to include a rationale for the activities to be supported by the grant. For

example, if one of the conditions specified by the Executive Committee is to recruit a new member that would

provide more field presence, the grant could cover travel to meet representatives from potential candidate

institutions. More details on how to apply and eligible activities will be provided to the proponents of the first cut

list of concept notes.

Stage 3: Selection of full proposals

The Advisory Committee on Science and Outreach will review full proposals using the evaluation criteria detailed in

Section 10 below and make recommendations to the Executive Committee. The Executive Committee will make a

final decision on the three successful proposals based on the evaluation criteria and risk assessments. Specific

timelines for this stage will be communicated at a later time to proponents invited to submit full proposals, but the

goal is to have the consortia set up and operational as early as possible in late 2013. See Figure 4 for an overview

of key stages, steps within each stage, and expected timing of each.

FIGURE 4: SUMMARY OF SELECTION PROCESS FOR RESEARCH CONSORTIA

Stage Step Timeline (all 2013)

Selection of of up to 20

concept notes

Mid February

April 4

Early May

Selection of up to 9

concept notes

Mid June

Selection of 3 Full Proposals

By mid-September

October

By the end of December

CARIAA provides detailed instructions for proposal development

and provides grants for proposal development

Recipients of proposal development grants prepare and submit full

proposals

Advisory Committee on Science and Outreach reviews and ranks

proposals according to evaluation criteria

Executive Committee makes final decision on recipients of 3 successful proposals

CARIAA Team provide grants to each member of the three

consortia

Call for concept notes opens

CARIAA Team processes and pre-screens concept notes according

to the eligibility criteria

Call for concept notes closes

Advisory Committee on Science and Outreach reviews and ranks

concept notes according the evaluation criteria

Executive Committee decides on a first cut of up to about 20 concept notes, at least 3 per hot spot, and adjustments required

to go to next step

CARIAA assesses revised concept notes and evaluates applications

for proposal development grants

Proponents of first cut list of concept notes make adjustments and submit revised concept notes along with an application for a

proposal development grant

Executive Committee makes final decision on recipients of up to

about 9 proposal development grants, at least 2 per hot spot.

8. SUBMISSION PROCESS Applications using the templates provided must be received no later than April 4, 2013 at 11:59pm

Eastern Standard Time (Ottawa time).

Applications must be submitted in English or French.

Applications received after the deadline will not be considered.

Applications received before the deadline and deemed by IDRC to be compliant with the requirements set out in this Call for Concept Notes will be evaluated in accordance with the process outlined herein. Documents must be submitted electronically using the templates provided, in PDF and/or Word and Excel formats. Documents must be submitted by the Principal Investigator by email to cariaa-call@idrc.ca. Applicants are requested to name their files as instructed below: Lead institution_Hotspot Name_Document Title_Language (EN or FR).pdf/doc/docx/xls/xlsx Ex.: InstitutionXYZ_Deltas_Declaration1_EN.pdf For the purpose of this submission, the hot spot name must be one of the following:

“SAR”, for Semi-Arid Regions

“Deltas”, for Deltas

“Basins”, for Glacier-fed river basins

Using the templates provided, the applications submitted must include the following:

The completed application template, which consists of

o The application checklist

o The concept note

o CVs of the Principal Investigator and other researchers from proposed member institutions, up to

a maximum of three CVs per member institution

o Any additional annexes

For each institution, a completed and signed Declaration of Eligibility and Institutional Endorsement

template

The completed costed work plan template, which includes

o The costed work plan for year one

o The costed work plan for the duration of the research

9. ELIGIBILITY CRITERIA Proponents must submit a declaration that they meet the criteria (items 1-7) below. The CARIAA Team will carry

out a verification of these criteria at later stages of the competition.

Each member of a CARIAA consortium must:

1. Be an organization with independent legal status, capable of contracting in its own name, is not an agency

or programme of the United Nations system. CGIAR centres may apply as third parties, contracted by a

member. An individual cannot be a member;

2. Be able to manage CARIAA funds pursuant to IDRC’s grant agreement terms and conditions (see sample in

Annex 1);

3. Not be affiliated with a political party;

4. Be committed to publishing research findings in the public domain in accordance with IDRC’s open access

policy.

Each consortium must:

5. Be composed of 3 to 5 members with a minimum of 2 members based4 in the eligible countries (See

Annex 2); 6. Agree to conduct work that will primarily benefit those located in the CARIAA eligible countries and to

conduct field work exclusively in these countries;

7. Have the capacity to issue and monitor sub-contracts and procure services as required by their work plan.

Only concept notes that meet the eligibility criteria above will be considered. IDRC reserves the right to consider

the risk of operation in a country as part of the eligibility criteria for members. IDRC reserves the right to cancel

the process at any time without prior notice and/or at its discretion to grant all or none of the awards under this

process.

10. EVALUATION CRITERIA These criteria apply to the selection of consortia concept notes and full proposals. Levels of detail required will be

proportional to the submission stage, with a general overview of these points expected at the concept note stage:

1. Potential for uptake and impact (25%)

Explanation of how the research would lead to impact. Clear strategy and capacity for engaging with policy

and practice in eligible countries to ensure the uptake of research results. Clear demonstration of how the

proposal responds to priority issues in eligible countries and is Southern driven.

2. Research excellence (25%)

Clear research focus, approach and methods which shows the potential for innovation and is carried out by a

research team with demonstrated capacity and track record. Capacity to use integrative approaches that cut

across regions and scales.

4 A member institution is considered to be based in the country in which it receives the grant from IDRC.

3. Relevance (20%)

Relevance of the proposed research to the policy context and the needs of the most vulnerable in the hot spot

as well as to broader needs in adaptation research and practice. An appropriate mix of actors at different

levels to tackle the problem.

4. Technical, administrative and co-management capabilities (15%)

Clearly defined responsibilities and approach to co-management, coordination, and oversight. Capacity to

carry out programmatic functions including knowledge sharing within the consortia and with stakeholders.

5. Feasibility and overall effectiveness (15%)

Overall coherence and integration of the partnership model. Realistic work plan and an appropriate

monitoring strategy. Explanation of how this research would represent good value for money, particularly the

relationship between the investment and the potential for impact on poor people.

11. FORMAT AND REQUIREMENTS Concept notes should be concise and presented in single-spaced, Arial 12- point font, with a maximum length of up

to 6 pages (not including abstract and annexes). The following elements are highly recommended:

Title

Abstract

Objectives

Research problem, justification and methodological approach

Theory of change, anticipated results and impact pathway Work plan including each member’s responsibilities in research and coordination Stakeholder engagement approach

Gender considerations

Communication and Dissemination

Identification of anticipated risks

Monitoring and evaluation

Value for money

Annexes

Overview of lead and member organizations and relevant experience in similar initiatives

Brief description on use of proposal development grant

12. COMMUNICATION OF RESULTS Results of the selection process (i.e. concept notes invited to make adjustments and apply for a proposal

development grant) will be communicated via email by May 5 to the Principal Investigator indicated in the concept

note. Consortia whose concept notes are not included as part of the above list will also be notified at this stage.

13. PERMISSION FOR USE AND DISCLOSURE OF INFORMATION By way of submitting an application under this competitive process, the applicant consents to the disclosure of the

documents submitted by the applicant to the reviewers involved in the selection process, both within IDRC and

externally. The applicant further consents to the disclosure, for each consortia member, of the name of the

applicant, the name of the Principal Investigator and the name of the proposed project, in any announcement of

selected proposals. All personal information collected by IDRC about grant, scholarship and fellowship applicants

is used to review applications, to administer and monitor awards, and to promote and support international

development research in Canada and in the regions where IDRC operates. Consistent with these purposes,

applicants should expect that information collected by IDRC may come to be used and disclosed in IDRC supported

activities.

14. COUNTRY CLEARANCE REQUIREMENTS IDRC has conducted general agreements for scientific and technical cooperation with a number of governments.

These agreements establish the framework for IDRC cooperation with that country by defining the rights and

obligations of both IDRC and the government. As such, the applicant institution may be required to obtain country

approval in accordance with these agreements prior to receiving funding from IDRC. In addition, each proposal will

be subject to IDRC’s risk management process which assesses the ability of IDRC to support programming in

proposed countries or territories taking into account Canadian law and IDRC’s knowledge of the research setting,

and ability to monitor activities.

15. IDRC STANDARD GRANT CONDITIONS Each member institution of consortia selected shall be required to sign the Centre’s standard grant agreement, as

amended by IDRC from time to time. A sample of IDRC grant agreement terms and conditions is available here:

http://www.idrc.ca/EN/Funding/Guides_and_Forms/Documents/MGC-Att-A-e.pdf.

ANNEX 1: IDRC’S GRANT AGREEMENT TERMS AND CONDITIONS

A sample of IDRC grant agreement terms and conditions is available here:

http://www.idrc.ca/EN/Funding/Guides_and_Forms/Documents/MGC-Att-A-e.pdf.

ANNEX 2: CARIAA ELIGIBLE COUNTRIES CARIAA supports collaborative research on three "hot spots" selected for their combination of significant

biophysical climate change impacts and high risks due to inhabitation by a large population whose adaptive

capacities are undermined by poverty. The following have been identified as countries where research can be

conducted under this program:

Afghanistan Angola Bangladesh Benin Bhutan Botswana Burkina Faso Cameroon Chad DR of the Congo Egypt Eritrea Ethiopia Gabon Ghana India Kenya Kyrgyzstan Lesotho Liberia Madagascar Malawi Mali

Mauritania Morocco Mozambique Namibia Nepal Niger Nigeria Pakistan Rwanda Sierra Leone Senegal South Africa South Sudan Sri Lanka Sudan Swaziland Tajikistan Tanzania Togo Uganda Zambia Zimbabwe

Each concept note or proposal will be subject to IDRC’s risk management process which assesses the ability of IDRC

to support programming in proposed countries or territories according to Canadian law, knowledge of the research

setting, and ability to monitor research activities. Therefore, IDRC reserves the right to reject applications

proposing research in the eligible countries, if the research location is deemed by IDRC to pose an unacceptable

risk.

ANNEX 3: COSTED WORK PLAN TEMPLATES Use the template available online and pictured below to submit completed Costed Work Plans for:

year one of the proposed consortium research, and

the full duration of the proposed consortium research.

Costed Work Plan Template – Year One

Concept Note Title:

Institution 1:

Institution 2:

Institution 3:

Institution 4:

Institution 5:

1 2 3 4 5

a. Member Level [describe proposed activities relating to category 1a]

[$] [$] [$] [$] [$] 0

b. Consortium Level [describe proposed activities relating to category 1b]

[$] [$] [$] [$] [$] 0

a. Policy Outreach and Engagement [describe proposed activities relating to category 2a]

[$] [$] [$] [$] [$] 0

b. Biophysical Research [describe proposed activities relating to category 2b]

[$] [$] [$] [$] [$] 0

c. Social Vulnerability and Resilience

Research

[describe proposed activities relating to category 2c]

[$] [$] [$] [$] [$] 0

d. Other Research [describe proposed activities relating to category 2d]

[$] [$] [$] [$] [$] 0

e. Research Integration within Hot Spot [describe proposed activities relating to category 2e]

[$] [$] [$] [$] [$] 0

f. Cross-Hot Spot Research Integration [describe proposed activities relating to category 2f]

[$] [$] [$] [$] [$] 0

0

[$]

0

[insert institution name here]

CARIAA Call for Concept Notes - Costed Work Plan Year One

Instructions: Fill in all grey fields. Refer to "Category Descriptions" at the end of this template for guidelines on what to include under each category.

[insert concept note title here]

[insert institution name here]

[insert institution name here]

CATEGORY DESCRIPTIONS:

1. Personnel: Refers to all activities and expenses related to management and coordination of the research and related activities, at the member level, and at the consortium level. This includes, but

not limited to, staff salaries, governance functions, committees, coordination of reporting, communications etc.

2. Research: Refers to all activities and expenses related to implementing the proposed program of work of the consortium. Descriptions and costing of research activities should be divided into the

following sub-categories:

a. Policy Outreach and Engagement: Examples include but are not limited to engaging policy makers and other key stakeholders by hosting and attending meetings/events, developing

communications and knowledge sharing strategies, producing communications products, fees for open access publications, etc.

b. Biophysical Research: Examples include but are not limited to purchasing or collecting biophysical data, purchasing software/equipment, etc.

c. Social Vulnerability and Resilience Research: Examples include but are not limited to travel and expenses related to conducting field work, convening stakeholder meetings, surveys, etc.

d. Other Research: Any other research activities that do not fit under categories a-c.

e. Research Integration within Hot Spot: Examples include meetings and strategies for the integration of research on 2a, b, and c, within the consortium.

f. Cross-Hot Spot Integration: Refers to all activities and expenses related to the consortium's contribution to CARIAA work on cross-hot spot themes, including but not limited to participating in

program-level work on climate scenarios, gender, economic analysis, etc.

[insert institution name here - where applicable]

[insert institution name here - where applicable]

Category Description of Activities

Amount by Institution Total Amount

1. Personnel

2. Research

SUB-TOTAL

INDIRECT COSTS

TOTAL YEAR ONE

Costed Work Plan Template – Duration of the Proposed Consortium Research

Concept Note Title:

Institution 1:

Institution 2:

Institution 3:

Institution 4:

Institution 5:

1 2 3 4 5

a. Member Level [describe proposed activities relating to category 1a]

[$] [$] [$] [$] [$] 0

b. Consortium Level [describe proposed activities relating to category 1b]

[$] [$] [$] [$] [$] 0

a. Policy Outreach and Engagement [describe proposed activities relating to category 2a]

[$] [$] [$] [$] [$] 0

b. Biophysical Research [describe proposed activities relating to category 2b]

[$] [$] [$] [$] [$] 0

c. Social Vulnerability and Resilience

Research

[describe proposed activities relating to category 2c]

[$] [$] [$] [$] [$] 0

d. Other Research [describe proposed activities relating to category 2d]

[$] [$] [$] [$] [$] 0

e. Research Integration within Hot Spot [describe proposed activities relating to category 2e]

[$] [$] [$] [$] [$] 0

f. Cross-Hot Spot Research Integration [describe proposed activities relating to category 2f]

[$] [$] [$] [$] [$] 0

0

[$]

0

CARIAA Call for Concept Notes - Costed Work Plan for the Duration of the Proposed Consortium Research

[insert concept note title here]

[insert institution name here - where applicable]

Category Description of Activities

Amount by Institution

[insert institution name here - where applicable]

[insert institution name here]

[insert institution name here]

[insert institution name here]

CATEGORY DESCRIPTIONS:

1. Personnel: Refers to all activities and expenses related to management and coordination of the research and related activities, at the member level, and at the consortium level. This includes, but

not limited to, staff salaries, governance functions, committees, coordination of reporting, communications etc.

2. Research: Refers to all activities and expenses related to implementing the proposed program of work of the consortium. Descriptions and costing of research activities should be divided into the

following sub-categories:

a. Policy Outreach and Engagement: Examples include but are not limited to engaging policy makers and other key stakeholders by hosting and attending meetings/events, developing

communications and knowledge sharing strategies, producing communications products, fees for open access publications, etc.

b. Biophysical Research: Examples include but are not limited to purchasing or collecting biophysical data, purchasing software/equipment, etc.

c. Social Vulnerability and Resilience Research: Examples include but are not limited to travel and expenses related to conducting field work, convening stakeholder meetings, surveys, etc.

d. Other Research: Any other research activities that do not fit under categories a-c.

e. Research Integration within Hot Spot: Examples include meetings and strategies for the integration of research on 2a, b, and c, within the consortium.

f. Cross-Hot Spot Integration: Refers to all activities and expenses related to the consortium's contribution to CARIAA work on cross-hot spot themes, including but not limited to participating in

program-level work on climate scenarios, gender, economic analysis, etc.

Instructions: Fill in all grey fields. Refer to "Category Descriptions" at the end of this template for guidelines on what to include under each category.

Total Amount

SUB-TOTAL

INDIRECT COSTS

TOTAL

2. Research

1. Personnel