Introduction
 Eligibility
 Expected Approach
 The Project Cycle
 Environmental  Management
 Gender & Social Issues
 Australian Identity & Publicity

1. Introduction

These general guidelines contain sections on:

1. Eligibility

1. The Project Cycle
   
2. Environmental Management

• At the EOI Stage
• Full Project Proposals
• Field Monitoring and Reporting

5. Gender and Social Issue

• Stakeholder/Beneficiary Analysis
• Participation in Implementation
• Equal Opportunities to Participate in Project Activities

2. Eligibility

An EOI or full project proposal will only be accepted if it satisfies the following eligibility criteria covering eligible organisations, fields of study/funding eligibility, proposal format and submission of proposals.  There is provision for feedback of advice from the PMU and revision of proposals at full proposal stage 

2.1 Fields of study

The proposed project must be in the field of adaptive research/technology development and knowledge application in agriculture and/or rural development and must address Vietnam’s R& D priorities and the CARD Program Strategic Framework.   

Agriculture is defined to include agriculture, livestock, fisheries and forestry.  Agricultural knowledge refers to knowledge about the scientific, technical and economic aspects of production in these sectors while technologies refer to identifiable technical or management opportunities to change existing production methods.  Related rural enterprises are defined as including activities of government, private sector or non-government organisations or institutions involving the provision of inputs to or dealing with the products of agriculture, livestock, fisheries or forestry.

2.2 Eligible Organisations

Collaboration between an Australian and Vietnamese groups is a central tenant of CARD and strengthens the likelihood of each CARD activity achieving its development outcome.  Collaboration will also deliver additional and mutual benefits to both groups through better understanding, professional/academic development, or ongoing professional or business relationships.

 The eligibility criteria for both Australian and Vietnamese groups are designed to be inclusive in order to not either predict or restrict the potential associations and the additional benefits which may arise as the collaborating groups work to achieve their primary objective.  As CARD is working on development issues there is a real desire to see potential collaborators come from industry groups and agencies as well as government agricultural service agencies and academe.  The partner group may focus on any relevant issue be it production, sustainability, animal or plant health, regulation, market access, marketing chain, agribusiness, agricultural engineering, packaging, or food safety.  As shown in the selection criteria the activity proposed should show a direct and clear development outcome.

2.2.1 Vietnamese Institutions

The lead Vietnamese institution proposing the project must be recognised by MARD as a research, teaching institutions or a related rural enterprise.  Proponents are encouraged to note the potential role of the Extension Services in extending the benefits of project outcomes to smallholders.  This has been interpreted to mean that Vietnamese partners can include:

• MARD National and Regional Research Institutes

• Ministry of Fisheries Research Institutes

• Universities involved in agricultural/fisheries/environmental/natural resources, research and education.

• Provincial Departments of Agriculture and Development

• Established and recognised Vietnamese NGOs

• Rural enterprises such as inputs suppliers, processors and marketing agencies

2.2.2 Australian Institutions

The lead Australian (or New Zealand) institution must be:

• a higher education or Technical and Further Education (TAFE) institution registered with the Commonwealth Register of Institutions and Courses for Overseas Students (CRICOS); or

• a Commonwealth or State Government Department or Agency, a CSIRO Division, a Cooperative Research Centre or a research institution collaborating in ACIAR-supported activities; or

•  an institution which meets all other eligibility criteria and which AusAID considers to have comprehensively demonstrated that its proposal is consistent with the objectives and priorities of the CARD program.

This has been interpreted to mean that Australian and New Zealand partners’ eligibility is open to any institution be it private, NGO or public sector working to advance agricultural development and sustainability in Australia or internationally.  This will include:

• State departments

• Federal Government agencies,

• Universities and Cooperative Research Centres,

• Colleges of Advanced/Vocational Education (TAFE),

• Industry lead development groups or registered industry associations (eg Australian Flower Growers Association),

• Registered industry cooperatives,

• Professional societies or institutes (eg Australasia Pacific Extension Network),

• Non Government Organisations working primarily in Australia (eg Landcare),

• Australian or New Zealand NGOs with an international focus.

Note: All Vietnamese and Australian institutions that will participate in the project as funded must be named in the proposal. 

2.3 Funding Eligibility and Budget Guidelines

2.3.1 Project Value and Duration

The total project value in Round 3, the initial round of the new CARD Program will be from A$100,000 to A$250,000 per year.  These limits will be adjusted for later rounds to take into account inflation and implementation experience.  Approval for funding beyond the first year of multi-year projects can only be given in principle and is subject to budget allocations in future years. 

It is anticipated that most projects will have a 1- 2 year life.  With sound justification some projects may have a 3 year term.  Project extensions of up to six-months may be permitted under some circumstances but only when a submission justifying the extension is submitted to the AMC.  Collaborating institutions should notify the PMU of the likely need for an extension of time to complete the project as part of normal reporting or separate direct communication to the PMU.  The PMU/AMC would have the authority to approve these, covering the situation where some additional time is required because the results of a project have not been finalised.  In most circumstances it is not expected that extensions would require additional funds. 

2.3.2 Use of Funds for Training and Curricular Development

Any in-Australia training under CARD should be limited to a maximum of six months and should have defined learning outcomes closely supportive of the outputs of the CARD Project being implemented.   

Support for development of curriculum material as a knowledge product is encouraged.  However, any project that is likely to depend for success on achieving major revisions to national curricula will need to be referred to MOET at project selection to ensure support and coordination.

2.3.3 Ineligible Costs

A project  proposal will be ineligible if it seeks funds for:

• recurrent costs: unless there is a convincing plan to ensure that the Vietnamese collaborating institution(s) will be able to take over those recurrent costs within the life of the project;

• activities which duplicates those of other projects currently funded under other Australian Government programs or by other donors;

•  retrospective funding; or

• a focus primarily on the provision of equipment, freight or infrastructure (buildings).

2.3.4 Site Visits for Preparation of Project Proposals

For those proposals short-listed at EOI stage, funding assistance will be provided to allow for the Australian Team Leader to travel to Vietnam for on-site collaboration for up to two weeks.  Associated with this support is the provision of funds to support stakeholder/beneficiary baseline analysis.   The aim of this assistance is to facilitate the preparation of full proposals that more easily meet the eligibility criteria.  The Stakeholder beneficiary analysis should identify all primary and secondary beneficiaries and evaluate their current status in relation to the project objectives and planned outputs.  This analysis will be useful in developing project objective and output performance indicators and performance measures which will be reported against in progress reports and project completion reports.  

2.3.5 Budgets for Site Visits and Stakeholder/Beneficiary Analysis

Australian institutions planning site visits and stakeholder beneficiary analysis are required to prepare and submit a budget for these activities to the AMC.  The budget can include:

• International travel and daily subsistence allowance for the site visit and beneficiary analysis

• Direct costs of the beneficiary analysis (eg internal travel, materials, field allowances)

Proponents should refer to the Budget Guidelines contained in the section on Expressions Of Interest.  It is recommended that these budget guidelines be adhered to for site visits and full project proposal preparation. 

Australian staff time costs for the site visit and stakeholder beneficiary analysis cannot be included in the budget for site visits but can be included as a cost in full project proposal budgets.  Vietnamese staff costs can also be included as part of the Vietnamese institutions 15% contribution to total project costs. 

The AMC will advance Australian Institutions 100% of the agreed budget for site and beneficiary analyses.  No acquittal is required but institutions are reminded of the need to keep receipts for accountancy, taxation and audit purposes.

2.3.6 Cost Sharing and Component Cost Guidelines

Project Budgets have 5 cost components.

1. Personnel - including travel, accommodation and per diems

2. Equipment and Materials

3. Training - in Vietnam and abroad

4. Administration and Support - including financial audit, general administration fees, insurance, staff support costs, report preparation and office support costs.

5. Other Specified Costs

Australian Institutions are expected to contribute 25% of the total project cost[1].  This can be contributed from any or all of the cost components.  There are no restrictions on the proportion provided from each component as long as the 25% target for the total cost is met. 

 Vietnamese Institutions are expected to contribute 15% of the total project cost.   Most of this contribution is expected to come from personnel costs.  Vietnamese institutions must provide 100% of personnel costs as part of their 15% total contribution. 

 Component cost guidelines for budget preparation include:

• A maximum of 10 percent of total costs for project administration and support;

• A maximum of 40 percent of total costs for Australian staff fees;

• A minimum of 20 percent of the total Australian staff salary cost to be provided by the contracted Australian lead institution;

• A  maximum of 15 percent of total costs for Australian staff travel and per diem costs;

• A  minimum of 20 percent for training (including Study Tours and in-country training).

3. Expected Approach

The CARD Program provides a unique opportunity to accelerate change in Vietnam by participating as partners in a learning process that emphasises how to do things rather than what to do.  Within CARD this will best be achieved by:

• Increasing Vietnamese participation in problem identification, to better incorporate local knowledge in the search for solutions to rural development constraints that are increasingly technically, socially and politically complex;

• Continuing to build human capacity, particularly amongst younger scientists, through technology development based on applied research and participatory approaches involving smallholder beneficiaries whenever possible;

• Promoting education reform through improving the knowledge base as well as strong formal academic and institutional linkages, especially between senior academics.

Problem definition for each project is expected to include two elements. 

1. Explain the need to develop a specific agricultural technology, knowledge or education product to meet the needs of smallholder agriculture. 
2. Identify the need to build the capacity of the partner institutions to undertake such work.   

For full project proposals a capacity building analysis, would include an assessment of the capacity of the relevant unit(s) within the counterpart institution(s) to undertake the particular function which is the focus of the Project: i.e. what weaknesses in skills, equipment, resources, systems, procedures, knowledge, curricula, etc are constraining the implementing unit in carrying out that function?  Proposals should then include activities to address those capacity gaps in a deliberate way, together with outputs and monitoring indicators for assessing progress in addressing each of the gaps.  

CARD also has a component that addresses more generic research and research management skills.  An institution-wide Training Needs Analysis will be conducted for participating and non-participating institutions to identify these needs and training programs scheduled.

4. The Project Cycle

The project cycle consists of:

1. Advertisement and call for Expressions of Interest;

2. Submission of EOIs.  A maximum of 6 pages plus an indicative budget.  1 page capability statements of Vietnamese and Australian Institutions may be attached as an annex;

3. Evaluation, Short-listing and Invitations to prepare a full project proposal;

4. Project Proposal Preparation, Appraisal and Selection. 

5. Contract Negotiation with Australian Institutions

6. Project Implementation, Reporting and Monitoring and Evaluation.

Formats and templates for project proposals and reporting are available on the CARD Website.

5. Environmental Management

The CARD Program will operate within an environmentally sensitive sector and in environmentally sensitive locations and may have potentially negative environmental impacts.  In order to ensure sustainability of outcomes, all projects should be managed to either avoid or mitigate such impacts.  [AusAID is required to ensure its programs will have no significant negative environmental impacts under the Environment Protection and Biodiversity Conservation (EPBC) Act 1999 and in a Record of Understanding with the Minister for the Environment and Heritage with respect to the application of the EPBC Act to the Australian aid program].   

The Environmental Management System (EMS) at the Program level has three components:

1. A requirement for the preparation of a preliminary EIA at Expression of Interest stage and confirmation or revision of this EIA at full proposal stage.
2. Where applicable, preparation by the collaborating institutions of an Environmental Management Plan setting out management actions to be integrated into the work plan.
3. Monitoring of actions taken under EMPs, feedback to sub-contractors on adequacy of action taken and reporting on actions and outcomes under EMPs to the PCC.

5.1 Environmental Considerations at EOI Stage

Expressions of Interest include a requirement for an Environmental Impact Assessment (EIA). Potential negative environmental impacts can be direct or indirect.  The PMU and the AMC can provide guidance to Vietnamese and Australian institutions prior to submission of EOIs on the requirements for an EIA.  A particular requirement is the need to identify and report on whether there will be any negative environmental impacts from the proposed project, and if so, what those impacts will be.  Proponents should refer to the checklist (Section 4.1.1) reproduced from Guideline 4: Environmental Impact Assessment of AusAID’s Environmental Management Guide for Australia’s Aid Program. 

5.1.1  Environmental Checklist

Environmental impact assessment is concerned with identifying, predicting and evaluating the foreseeable environmental impacts, both beneficial and adverse, of development activities.  When assessing environmental impacts of CARD projects all relevant stakeholders should be consulted.  Based on the results of an EIA a list of environmental issues and potential impacts should be identified for the specific CARD project.  If the assessment indicates that there will be no negative environmental impact the EOI should state that the checklist evaluation indicates no negative environmental impact.
 

Additional Information

5.2        Environmental Considerations at the Project Proposal Stage

Proposals for funding will only be considered further if either:

• The PSC agrees that the EIA finding of no potentially negative environmental impacts is correct; or

•  The PSC agrees that the potential negative impacts can be avoided or mitigated, so that proceeding to a full proposal with the inclusion of an Environmental Management Plan (EMP) that sets out specified environmental management actions, is warranted. 

Where an EMP is considered warranted, proponents and their nominated Australian partner institutions should be directed to the main steps set out in Guideline 5 Environmental Management Plans of AusAID’s Environmental Management Guide for Australia’s Aid Program.

 Full project proposal proforma call for expansion of the EIA, confirmation that there are no likely negative environmental impacts, or inclusion of an EMP.    

CARD Projects will only be considered for funding if either

• It is agreed that the EIA of no potentially negative environmental impact is correct; or

• The potentially negative environmental impacts identified in the EIA are able to be managed by the specified environmental management actions as set out in the EMP. 

Where the PSC assesses that there are potentially negative environmental impacts that have either not been identified or cannot be avoided or mitigated through the EMP then the proposal is to be rejected.   

Project proposals that do not include an EIA and, if necessary, an EMP will be ruled ineligible for consideration by the PSC.

5.3 Field Monitoring and Reporting of Environmental Issues

The monitoring and evaluation framework and project site visits by the PMU includes a requirement to review the EIA and the EMP and the implementation of proposed management actions.  Reports from these monitoring activities will assess whether the EIA and/or the EMPs require revision.  These reports will include confirmation of any notification of Sub-contractors of emergence of unforeseen potentially negative environmental impacts in the project EIA and whether the revisions to the EMP will be sufficient to avoid or mitigate the effects.  Where monitoring visits assess that there are potentially negative environmental effects that have not been notified in revised EIAs by Sub-contractors, these effects are to be notified to the AMC and PMU.  Instances found of potentially negative environmental effects that are assessed as not able to be avoided or mitigated (including those included in revised EMPs) are to be notified to the AMC and PMU.

 The Six-Monthly and Annual Progress Reports include a specific requirement for the Sub-contractor to report against environmental impact performance measures identified in the EMP.  This reporting also includes a requirement to note any changes to the EIA to take into account the emergence of any unforeseen potentially negative environmental impacts and, if so, to bring forward an amendment to the EMP.  The reports from Sub-contractors on implementation of EMPs should outline the measures taken to reduce negative impacts and how and by whom the effectiveness of the measures taken has been assessed.

 Where the Sub-contractor judges that the unforeseen potentially negative environmental impact cannot be avoided or its effects mitigated through management then the Australian Team Leader of the project is to notify the AMC to this effect immediately.

 The PMU/AMC is required to bring forward for the attention of the PCC any instances arising of unforeseen potentially negative environmental impacts, particularly instances where sub-contractors notification or monitoring reports indicate that these impacts will not be able to avoided or mitigated through the management actions set out in the EMP.

6. Gender and Social Issues

6.1 The need for farm level stakeholder/beneficiary analysis in design implementation

The design and implementation of CARD Projects must take account of gender and ethnic minority equity including the respective roles of women and men in agriculture.  The process of feminisation of agriculture is likely to continue and women in agriculture are unlikely to have spare labour time.  At the same time it is women in agriculture who are increasingly more exposed to risks, for example from misuse or overuse of pesticides.  Project designs relating to cropping should consider carefully the likely impact not only on yield but also on the labour time and health of women.  

Interventions in rural areas need to ensure equality of development, particularly with respect to vulnerability and poverty reduction strategies.  Interventions that increase women’s income in the short run should not be excluded, however, even if benefits are likely to be shared or appropriated.   

Key considerations for project design include

• Female headed households may not always be poor: this depends on age, geographic location and prevailing social conditions in specific communities;

• Aggregated statistics often obscure gender differences, disaggregation of data to the household level and analysis of livelihood, divisions of labour responsibility and intra-household relations is important, particularly with project design;

• Participatory and stakeholder analysis must make provision for women’s voice to be heard within beneficiary communities;

• The vulnerability of agricultural female headed households, particularly women’s access to assets, credit and information must influence project design;

• Technology development must consider women’s control of income or assets, labour and time availability and access to information and supporting services;

• The incorporation of gender and livelihood analysis and stakeholder participation into research design will almost certainly require additional training amongst all participating scientists.

• Ethic minorities are amongst the poorest of the poor.  Consideration of affordability and the ability to access technology and knowledge based interventions should be considered.

To facilitate high quality full project proposals, the Program provides funding for Australian Team Leaders to collaborate on site to finalise full proposals.  It is envisaged that this support will enable some stakeholder/beneficiary analysis to be integrated into the design.

6.2 Participation in implementation

The requirement to ensure that the design of projects consider gender and social implications is matched by a specification for collaborating institutions to monitor and report on the action taken to ensure participation, where appropriate, of communities, particularly women  and ethnic minorities.  In some projects the link with smallholders may be indirect and the steps required may fall more in the area of ensuring widespread awareness of the generic benefits of technological advances, rather than requiring direct participation.

6.3  Equal opportunity within institutions to participate in project activities

Institutions are to actively strive for equality of opportunity to participate in CARD training activities, both at the project level and for the generic training to be provided at Program level.  It will not always be possible to achieve gender balance in participation but situations whereby access to study tours and training are assigned exclusively to males should become very much the exception.   The potential positive demonstration effect from assignment of professional women staff from the Australian lead institution should be considered.  Australian institutions need to take opportunities to nominate women staff whenever relevant.  In this case too the concept of numerical equality is not appropriate but neither is a passive or benign approach sufficient.  

Collaborating institutions should note that gender dis-aggregated reporting of CARD project training activities is required and that the gender of Australian staff involved in project implementation is to be noted.

 7.     Australian Identity and Publicity

All Australian Institutions are required to abide by AusAID’s media strategy for Vietnam.  At the project level this requires:

In Vietnam

• Erection of appropriate signage, particularly at local institutions applied research sites and venues for training;
• Formal launch, with press release and interview, of each CARD project selected for the first and subsequent rounds;
• Acknowledgement of all major items of equipment supplied as being provided with the support of the Australian Government. 
• Information on individual projects prepared in a format that will enable it to be posted on the CARD website, as well as the Australian Embassy website;
• Ongoing utilization of in-country media opportunities, including publicizing CARD activity achievements, through national and provincial media networks (TV, press and radio)
• Developing opportunities to disseminate CARD research outcomes including:

-      pursuing publicity opportunities with the main beneficiaries of the program, small-holder producers;

-      presentations at conferences and seminars;

-      strengthening other AusAID projects in Viet Nam through sharing research findings;

-      inviting in-country and regional study tours to project sites.

In Australia

• Profiles of projects and the institutions and people involved when specific project contracts are awarded to Australian institutions through appropriate media such as:

-         general media in the states of the local institutions;

-         specialist rural media, including ABC Country Hour, Bush Telegraph and Stateline, in the states of the successful institutions;

-         National Campus review;

-         specialist technical/scientific publications;

-         individual university magazines; and

-         ACIAR publications.

The lead Australian institution must provide sufficient notice to the PMU of any planned publicity events involving the project.  Organisations contracted to implement CARD projects will be required to submit a draft media release and talking points (if required) for all significant events (eg. project launch, workshops, milestones, joint reports etc).  All press releases should give due recognition to the Australian Government for funding the activity and be cleared through the PMU which will refer these releases to MARD and to AusAID Hanoi/HCMC as appropriate.