Mainstreaming Climate Change Risk Management in

Development (TA 7984 NEP)

Pilot Program for Climate Resilience

Climate Change Research Grant Program 2014

Guidelines for Submission of Project Concept Note

Nepal Academy of Science and Technology

28th May 2014

TA 7984 is executed by the Ministry of Science, Technology and Environment,

financed by the Climate Investment Fund and administered by ADB
Technical Assistance Services from ICEM, METCON, APTEC

Acronyms

ADB

Asian Development Bank

CSO

Civil Society Organization

CV

Curriculum Vitae

FPP

Full Project Proposal

NAST

Nepal Academy of Science and Technology

NGO

Non-Governmental Organization

PCN

Project Concept Note

PSC

Program Steering Committee

RGSC

Research Grant Selection Committee

VDC

Village Development Committee

This guideline comprises of:

1.

Background

2.

Target recipients of research

3.

Geographical coverage

4.

Focus thematic areas for research

5.

Time period for research

6.

Number of grants and fund allocation

7.

Financial considerations

8.

Eligibility criteria for applying research grants

9.

Submission and selection process

10.

Questions and updates

11.

Evaluation criteria

12.

Guidelines for preparation of a Project Concept Note

13.

Format for Project Concept Note (with contact details, project details, organization
profile, and research team composition)

14.

Format for Logical framework

15.

Format for submission of Curriculum vitae of Principal Researcher and research

team members; and

16.

Application Form

Applicants are suggested to read the guidelines before developing Project Concept Note

Background

The Nepal Academy of Science and Technology (NAST) in cooperation with the Asian Development
Bank and the Ministry of Science, Technology and Environment is implementing the Climate Change
Research Grant Program.. The aim of the Climate Change Research Grant Program is to develop
Nepals research base for contributing to climate change policy. The research must make a significant
contribution to climate science, knowledge about climate change in Nepal and/or development of
climate change policy. While researchers may use findings in a post-graduate thesis (preferably
doctoral), the grants are not intended to fund students to obtain their university degrees as a primary
goal. The research grantees must be experienced researchers and already practicing research.
Individual researchers must be residing in Nepal during the period of conducting the research in
order to receive a research grant.

Target recipients of research

The research grants will be made available to qualified Nepali individuals or organizations and will
focus on the following target groups:
1.
2.
3.
4.

National Research Institutions (except NAST1)

Academic Institutions (i.e. Universities, Colleges)
Civil Society Organizations (including NGOs)
Individual experienced2 researchers

Geographical coverage

Given the serious nature of emerging climate change impacts across the country, the research grants
will provide equal opportunities for national, regional and district based institutions and individual
researchers to access the research grant on a competitive basis. The research grants will seek to cover
the five development regions of Nepal.

Focus thematic areas for research

The focus thematic areas have been developed based on reviews of national climate change policy
documents and through consultation with key stakeholders addressing climate change issues. The list
of priority thematic areas is a guideline for the types of thematic areas that correspond to climate
change policy needs in Nepal. Other relevant topics may be considered. The Research Grant Selection
Committee will ultimately determine the relevance of the research project to climate change
adaptation and climate change policy development in Nepal.
Applicants must submit the PCN within the following thematic areas as listed in the table below:
A.

1
2

Water resources and Energy

1. Climate change impacts on hydrological/water cycle
and measures for adaptation
2. Water induced disasters
3. Drinking water sources, accessibility and quality
under project climate change impacts
4. Climate change impact on wetlands and ecological
services
5. Carbon sequestration in high altitude lake and
comparison with low attitude lake
6. Climate change impact and impact on watershed
services

B. Agriculture and Food Security

1. Adaptation in agricultural productivity and food security
2. Food scarcity under climate change scenarios and
adaptation strategies
3. Climate change impacts on livestock raising and
household economy
4. Animal husbandry - Climate change adaptation,
mitigation and improved livelihoods
5. Agricultural / seasonal calendar change and farmer
adaptation strategies
6. Crop variety and adaptation
7. Indigenous and traditional knowledge for livelihood
adaptation

Government departments and full-time government employees are not eligible to apply.
Individuals having previously published research articles or reports.

C.

Forests and Biodiversity

1. Climate induced vegetation shift and ecosystem
changes
2. Climate change and biodiversity species changes,
ecosystem vulnerability assessments; economic
valuation of
adaptation measures to promote
biodiversity
3. Important Plant Area (IPM) delineation, flora and
fauna inventory and documentation of status of
biodiversity/eco-systems as baselines for assessing
climate change impacts
4. Regeneration of selected species for climate
resilience
5. Climate change impact on habitat of key flag species
6. Climate change and forest fires

E.

Public Health
1. Climate change and diseases pattern (i.e.
Malaria/Japanese Encephalitis, cold and heat
injuries, etc.)
2. Climate change and disease outbreak (i.e. vectorbone/water borne infectious diseases)
3. Diseases in relation to climate change
4. Health related migration and displacement during
epidemic outbreak of diseases
5. Impact of climate change on disease (i.e.
Malaria/Japanese Encephalitis, cold and heat
injuries, etc.)
5.1 Climate change and disease outbreak (i.e.
vector-bone/water
borne
infectious
diseases)
5.2 Climate change and human health risks
Health related migration and displacement
during epidemic outbreak of diseases
6 Impact of climate change on Microbial diversity

D. Climate Induced Disasters

1. Assessments of climate change and disaster
vulnerable groups, their livelihoods and adaptation
priorities
2. Impact of climate change on disaster events floods,
landslides, sedimentation, mass wasting, Glacier
Lake Outburst Floods
3. Climate change damage and loss assessments in
specific
target
areas
and/or
developing
methodologies for assessing climate change damage
and losses
4. Differences of climate change impacts on productive
and reproductive work of women and men; priorities
in adaptation for gender equality
5. Climate change impact on tourism and tourismrelated livelihoods
6. Climate related changes in natural resources
consumption, and energy consumption patterns in
different eco-regions of Nepal
7. Impact of climate change on settlement patterns
(particularly housing)
8. Impact of climate change in human activities (i.e.
Grazing, harvesting, storing, trans-human activities)
9. Climate change and natural resources
F.

Urban Settlements and Infrastructure

1. Climate resilient infrastructure
2. Climate change and construction of infrastructure
(i.e. hydropower, irrigation, domestic water, road)
3. Micro and Macro Watershed Management for
climate resilience
4. Climate change, damage and loss

Note: The aim is to have applied/action research projects where research results contribute to evidence based policy - or
climate resilient development processes in Nepal.

Time period for research

The research period has been fixed to a maximum of 18 months from the date of contract signed by
Research Grantee. All reporting must be completed within 19 months.

Number of grants and fund allocation

The total budget available for grants is U$ 500,000. The maximum ceiling for institution/individual
grants has been capped at U$ 40,000 for large grants, and $20,000 for small grants. A minimum of 36
grants will be made as follows.
Grants Window
Medium/Large grants

Available Fund
(U$)

Ceiling Grants
(U$)

Minimum number of
Grants available

160,000

40,000

340,000

20,000

30

500,000

36

($ 25,000-40,000)
Small Grants
($ 10,000-20,000)
Total

Financial considerations

The Research Grant Program will not cover purchasing equipment and instruments. Only hiring of
equipment will be allowed. All the procurements process will be in line with NAST and ADB Guidelines.
Financial and administrative regulations must be taken into account in the management and
administration of projects. Compliance with the local laws essential for the project implementation is
the sole responsibility of the Principal Researcher and s/he is to be held responsible for the outcomes
resulting from non-compliance of local laws. NAST will assure that:
1.

The maximum and minimum values for project approved for this Research Grant Program are
US 40,000 and US 10,000 respectively whether it is a one, and/or one and half year project;

2.

Each project is to be covered by an Agreement between NAST and the Principal Researcher;

3.

No payment or advance will be made on a project until the Agreement has been signed;

4.

Project payments are in keeping with NAST - ADB Payments Policy;

5.

Research Grantee should submit PAN number and a Tax Exemption Certificate (if any) from the
respective Inland Revenue Office;

6.

Organizations registration should be renewed annually; and submit the renewable certificate;

7.

Research Grantee should submit annual financial statements to Inland Revenue Office also.

Eligibility criteria for applying research grants

Following are the criteria for being eligible to apply for small/large grants.
Criteria

Large
Small
grants* grants**
PCN/FPP PCN/FPP

Means of verification
(applicants must submit the
following documents)

Published organization
profile

1. The proposing organization must be

Nepali (registered with some status as a
Nepali organization)
a. National Research Institutions
b. Academic Institutions (i.e. Universities,
Colleges)
c. Civil Society Organizations (CSOs
including NGO
2. Individual experienced researchers
(Nepali citizens and residing in Nepal
while conducting the research)
3. The proposed principal researcher must
have prior experience in scientific or
social science research (at least 2 Years
of Research Experience and have
published)
4. Convincing financial capacity of the
proponent organization

Registration document

Documentary evidences
including the updated CV of
the principal researcher,
duly signed.

Financial management
system in place;

Financial reports

5. Fulfillment of other mandatory

requirement indicated in the Call

Application and supporting

documents

6. Proposal must be relevant to climate

change and preferably to one of the
thematic areas mentioned in manual in
line with NAPA focus themes

PCN/FPP

Endorsement by the prior

donor, Relevant reports of
the previously implemented
projects

7. The project must be innovative and

scaled up rather than repetition of past
research

*Large grants = $ 25,000-40,000; and **Small grants = $ 10,000-20,000

Submission and selection process

Selection of research grantee will be done in two stages. The first stage is submission of Project
Concept Note, which after being peer reviewed, will be evaluated by the Research Grant Selection
Committee (RGSC). PCNs with the highest score will be invited to participate in a workshop on
developing a Full Project Proposal (FPP). Grantees will submit the FPP to the Research Grant Program
Unit/NCCKMC for presentation to the RGSC. The latter submits FPP to peer reviewers for their
recommendations prior to making their evaluation. RGSC upon evaluating and preparing the final list
of grantees and amount of the award, provides the final list of grantees to the Program Steering
Committee (PSC) and the Asian Development Bank (ADB) for endorsement. After obtaining final
endorsement from ADB the RGPU prepares the grant contracts and NAST signs the contract with
grantees. NAST and its staff, the members of PSC, RGSC and Peer Reviewers are not eligible to receive
the grant.

This program is for quality of research output and is not a Master/PhD scholarship program.
10

Questions and updates

Any updates on the grant award process will be posted on the web site www.nast.org.np. If you would
like to receive updates by email please register by writing to ccrgp2014@gmail.com
Please submit any questions in writing to Program Manager at ccrgp2014@gmail.com by June 14
2014. Responses to all questions received will be posted on the web site www.nast.org.np and
circulated to registered applicants.

11

Evaluation criteria

The Research Grant Selection Committee will evaluate the PCN based on a set of scores for
determining the competitive merit of the PCN. One hundred percent weight has been allotted to
technical merit of PCN, whereas in the case of FPP 70% and 30% have been allotted to Technical, and
financial and administrative matters respectively.

12

Guidelines for preparation of a Project Concept Note

A Project Concept Note (PCN) is a brief of the project concept that includes the following:
Purpose
The purpose of the Project Concept Note is to:
(i)

Allow applicants to submit a proposal in summary form for preliminary assessment of the
concept without the need to prepare a full-fledged proposal that requires much effort, and;

(ii)

Allow NAST to manage peer review process so as to identify a short list of the concepts notes
that are worth pursuing to the level of full project proposals.

Preparation of PCN
(i)

The PCN is a short document that follows the specific guidelines given in the instructions and
needs to be carefully composed so that the proposed research design and results are clearly
explained.

(ii)

The PCN should be prepared according to the format given below and should include a
completed logical framework

(iii)

To maintain the anonymity during the review process the identity of the proponent, team
members or the organization should not be disclosed in the text other than the page assigned
for the contact details and organizational/individual profile.

(iv)

The PCN must be within one of the priority thematic areas mentioned in this document and
announced in the call.

(v)

For any cross-institution collaboration, along with the PCN, the applicants must produce a letter
of intent to partner for the research project that clearly states the roles of each partner.

(vi)

The PCN must be accompanied with the updated and signed Curriculum Vitae (CV) of the
Principal Researcher. The education and experience of the Principal Researcher must be
directly related to the proposed PCN.

(vii) The research team composition must be presented with the names of the experts (as described
in format for organization profile). The researchers CVs must be submitted as per the
guidelines.
(viii) A Principal Researcher cannot submit more than one PCN or be a member of more than one
research team in one call. Similarly, an expert cannot be a member of more than two teams in
one call.
(ix)

A Principal Researcher who is handling more than two uncompleted projects awarded by NAST
under different financing cannot submit a PCN.

Applicants must prepare and submit PCN in the format given below:

13

Format for Project Concept Note

Contact details
Project Title

The applicant should provide a title which concisely and accurately

describes the scope of the work

Principal Researcher

This is the person with overall responsibility for the application to

NAST and the implementation of the Project. (Please attach a CV of
Principal Researcher and other researchers, if any as per the guidelines
for submission of CV enclosed herewith)
6

Address
Telephone
Fax
e-mail

Contact details for the Principal Researcher

Collaborating organizations /partners with whom agreements have

been made prior to/during PCN submission. A letter of intent, which
Collaborator[s]/Partners
demonstrates the collaborators are an active part of the proposal
should be included with the PCN
Project details
Title of the project
Give the title of the project (Maximum 2 lines)
Title should be concise and accurate
Title describes the scope of work
NAST/Climate Change Research Thematic Area
Broad thematic areas defined in this manual
Project Location
Specify the region, districts and VDC(s)
Start date:

End date:

Beneficiaries
Number and type of beneficiaries
Total Cost
Estimated budget as per budget ceiling mentioned in this manual
Project Background (Maximum 200 words)
Brief, project background, importance of research
Project Justification (Maximum 300 words)
Real problems intended to address and analyze them to a researchable topic
Project Purpose (Maximum 200 words)
Measurable outcomes of the project,
Final accomplishment of the project
Implication of the project
Research and Development Design (Maximum 500 words)
Experimental design (for natural Sciences)
Survey design (for social sciences)
How will the research project be implemented?
Project Outputs (Maximum 200 words)
What will be the outputs of research work?
Major Assumptions
External conditions or factors over which the project does not have control but on which the
accomplishment of objective depends
Attach the project logical framework
Describe logical framework in table format
7

Organization Profile
Name of the organization
Type of the organization (Local, Regional,
National)
Contact Details (Address, telephone, fax, e-mail)
Registration date and serial number with
concerned organization
Date started to work
System of book keeping
Date of last renewable of the organization
Research Team Composition
Professionals
discipline

Name

14

Academic
Qualification

Years of
Experience

Remarks

Format for Logical framework

A four x four table for developing logical framework

Goal

Outcome

Indicators

Means of Verification

Output 1

Output 2

Output 3, etc.

Assumptions/Risks

15

Format for submission of Curriculum Vitae of Principal Researcher and research

team members

Principal Researcher and Research Team Members should submit their CVs in the following order:
NAME
DATE OF BIRTH
CITIZENSHIP
ACADEMIC QUALIFICATION

Nepali
Degree

University

Year

Major subjects

TRAININGS
LANGUAGES
ORGANIZATIONS INVOLVED (WITH EXPERIENCE)
PUBLICATIONS (list the pertinent to this project first)

Certification:
I, the undersigned, certify to the best of my knowledge that this CV correctly describes my
qualifications and my experience.
Date:
Signature

Day/Month/Year

ADDRESS
Municipality/VDC
District
Ward No.
City/Village
Street name, if applicable
House No.
Email
Landline
Mobile
The PCN detail formats are also available in paper form from the NASTs Research Grant Program Unit/NCCKMC.
Applicants may submit PCN electronically in ccrgp2014@gmail.com in signed PDF format. The submission
deadline is 27th June; those received after this date will not be entertained.
Research Grant Program Unit/NCCKMC
Nepal Academy of Science and Technology (NAST)
Khumaltar, Lalitpur, Tel: 5538781
Website: www.nast.org.np, and www.ncckmcnast.org.np

Mainstreaming Climate Change Risk Management in Development (TA 7984 NEP)

Pilot Program for Climate Resilience
CLIMATE CHANGE RESEARCH GRANT PROGRAM 2014

16

Application Form

To,

Date

Program Director
Research Grant Program Unit/NCCKMC
NAST/ADB Climate Change Research Grant Program
Nepal Academy of Science and Technology
Research Lab Building, Khumaltar

Re: Submission of Project Concept Note (PCN)

I am pleased to submit herewith the Project Concept Note entitled

.. for
your perusal. The PCN falls under thematic area.. I
have read the instruction and duly followed the formats while developing the PCN.
Thank you.
Yours Sincerely

Signature of Principal Researcher

Name of Principal Researcher

10