Danish Ministry of Foreign Affairs Consultative Research Committee for Development Research (FFU) Denmark - Vietnam Research Cooperation Programme (RCP) 2013 Application Guide for Project Proposal

Contents: Page 1. Background ............................................................................................................................. 1 2. Guide to the Completion of the Application Forms ............................................................... 2 3. Preparation of Budget Appendices ......................................................................................... 4 4. Preparation of the Project Document ...................................................................................... 7 5. Assessment Criteria ................................................................................................................ 7 6. Submission Formats ............................................................................................................... 9 7. Signatures ............................................................................................................................. 10 8. Submission of Applications .................................................................................................. 10 9. Next Steps ............................................................................................................................. 11

1. Background The Danish Ministry of Foreign Affairs (MFA) provides grants for development research activities as part of Denmark’s international development cooperation. While the Danish MFA is responsible for the political and strategic aspects of the support to development research the administration of the support is outsourced to Danida Fellowship Centre (DFC). The Consultative Research Committee for Development Research (FFU) is appointed by the Danish Minister for Development Cooperation and, in cooperation with the Danish Council for Strategic Research, responsible for ensuring the strategic use of the funds designated for development research. In 2008 the MFA introduced the Pilot1 Research Cooperation Programme (PRCP) with Vietnam and Tanzania with the aim of strengthening 1) the research capacity in these countries, and 2) the long-term cooperation between Danish institutions and institutions in the two countries. Succeeding the initial three years of the PRCP Vietnam has in 2011 entered into a new phase of the Research Cooperation Programme (RCP). The new phase of the research collaboration continues with the focus on the theme “Climate Change, including Applied Technology”. The budget for the three-year programme is expected to be DKK 45 million, i.e. DKK 15 million yearly.

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The term “pilot” refers to the introduction of a new demand driven approach to development research.

RCP Vietnam 2013, Application Guide for Project Proposals, page 1

In the following the term “applicant” refers to the main applicant researcher (the person responsible for the project) and the responsible institution in Vietnam, while the term “Danish research partners” refers to the participating Danish researchers and institutions. 2. Guide to the Completion of the Application Forms The application consists of the following: 1) The Application Form H; 2) Project Document; 3) Budget including Budget Notes; 4) Other appendixes (Gantt chart, CVs, Letters of Cooperation, etc.); See paragraph 6 for details and submission formats. The table below provides specific guidance to completing the Application Form H. All boxes of the Application Form must be completed. Simply providing short references to the project document will not be accepted. Remember that the form represents the brief presentation of the project to be used for quick referral when the application is being processed. The Application Form must thus be brief and to the point while the project document provides the details of the project proposal. When planning the project and setting up the budgets please also confer with the current General Conditions for Pilot Research Cooperation projects. Application Form References 1: Project

Guidance Notes State the project title and the keywords that best describe the research activities you are applying for.

State the expected duration of the project, from month-year to month-year (normally three years duration of the RCP projects). Starting date of the project can at the earliest be first quarter of 2014. 2-3: Contact information State contact information of the main applicant and of the applicant institution. The main applicant must be identical with the person responsible for the project if granted. It is important that the title and the academic qualifications of the main applicant are stated. The main applicant researcher must hold a PhD or equivalent qualifications at the time of submitting the application. The PhD degree must be documented in the CV or through other attached documents, or it must be documented that the main applicant researcher is at least at Assistant Professor or Associate Professor level.

4: Danish Research Partners

Please ensure that the e-mail address given in the Application Form is correct as it will be used for further correspondence unless otherwise explicitly indicated. State contact information of the Danish partner institution and the main Danish researcher. In the case two Danish institutions are selected as research partners both should be stated (4.1 and 4.2) as well as one main Danish researcher from each institution.

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5: Funding

State the budget for the project including expenses for the Danish research partners. The budget items indicated in the Application Form must be supported by budget appendices using the budget form for RCP projects. More information on the budget appendices can be found below under paragraph 3. The amount applied for should be stated in DKK. The amount must be identical to the amount stated on the budget forms. The total budget should not exceed DKK 5 mill. Please ensure that the administration fee of the applicant institution does not exceed the maximum of 3% in Vietnam and 44% overhead of Danish expenses. It must be explicitly stated how the total amount is separated between the applicant institution and the Danish research partners. The budget details must be stated in the budget forms separated between the budget form for the applicant institution and the budget form for Danish research partners.

6: Project description 7: Researchers

The applicant must state the relations with possible other FFU grants and whether they have been approved or applied funding from other sources, for the same project, or applications in preparation for submission to alternative grant providers. Describe the project in summary, background, objectives, outputs, etc. The scientific value of the project should come out clearly. State all researchers participating (both Vietnamese and Danish researchers) in the project, including name, position and institution – also those participating researchers not remunerated by the project (7.2). CVs of all researchers participating in the project must be attached the application. The number of researchers remunerated by the project should normally not exceed six (6) researchers from each institution involved in the project. PhD students must, if possible be enrolled at a university in Vietnam or in the region. If enrolment in Denmark is the only option, this must be documented and carried out as a “sandwich” programme, with studies and guidance at the Danish research partners and fieldwork at their own institution. Enrolment of MSc students in Denmark can only be accepted in exceptional cases. It is accepted if a PhD candidate integrated into the project is not identified at the time of the application, provided that the selection procedure is thoroughly described. The stay in Denmark for PhD students from Vietnam must be supported and administered according to the terms of the Danida Fellowships, link http://www.dfcentre.dk/?Research_Projects:Research_Fellows

8: Role of research partners 9: Scientific Quality

10: Relevance

11: Effect/ Impact

For each researcher involved in on-going FFU grants please describe the time allocation per year per project. Describe the Danish research partners’ scientific competencies and contributions to the research as well as reflections on the Danish research partners’ contribution to research capacity building. The scientific quality is evaluated on the basis of the application’s originality, how it situates itself within current research, and the expected achievements from an international standard. See paragraph 5 for more details on how the quality criterion is assessed. In the evaluation of the relevance of the applications it is considered, whether the research topic is relevant to the theme of the Call, to Vietnam and to the priorities of the Danish development cooperation. See paragraph 5 for more details on how the relevance criterion is assessed. The potential effect of the research is evaluated on the basis of the potential effect to the relevant public and private users, including how the research is expected to be communicated to the intended public and private users. See paragraph 5 for more details on how the impact criterion is assessed.

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12: Research Permits

State whether there is any ethical issues affiliated with the project and if there is a need for research permit, and in the case a permit is needed, when and from which authority it will be obtained, and that it will be obtained before the start of the relevant activities. If research permit is already obtained it should be attached to the application.

3. Preparation of Budget Appendices As a basis for the preparation of the application, the applicant and Danish research partners are expected to draw up a budget which, to the best of their knowledge, ensures that sufficient resources are allocated to implementing the project. It will not be possible to apply for supplementary funds within the project period and all costs should be covered by the grant. Funding cannot be granted to cover costs already incurred. The total budget should not exceed DKK 5 mill. The Budget Form for RCP projects must specify each calendar year and the number of project months within the calendar year stated. Separate Budget Sheets must be submitted for the expenses at each institution involved in the project and all expenses of these forms must be summed up in the final form. The sheet for Overseas Flights must be completed and budget notes specifying budget items must be attached. All amounts must be in DKK with a note stating which exchange rate is used. The project expenses must be exclusive of VAT, if the institution is otherwise able to claim VAT refund. The budget may include the following:  Salaries and emoluments;  Taximeter/educational grants;  Expenses for trips abroad and fieldwork, etc. in accordance with the levels adhered to at the respective institutions;  Research equipment and materials;  Publication, dissemination and communication;  Administration fees (up to 3% in Vietnam and up to 44% overhead of Danish expenses);  Expenses for external audit. In the case of research collaboration that involves private companies and research institutions, the latter are expected to contribute financially to the project. This must appear under section 5.7 in the Application Form. Comments to the Budget Lines: Salaries and emoluments: All issues concerning the budgeting and administration of salaries are the joint responsibilities of responsible institution in Vietnam and the Danish research partners. They must ensure that the basis of budgeting for salaries and fees during the project period is the current collective agreement between the state and research staff. Salaries of researchers and other staff should follow the regulations of research institutions of Vietnam. EU/UN cost norms can be applied. Emoluments of PhD students included in the project must equally follow the tariffs for PhD students in Vietnam. It is the responsibility of the responsible Vietnamese institution to ensure that salaries in the budget are based on gross salaries, and do not include double payments or payment on consultancy terms.

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The salaries stated in the budget must correspond with the effective working time for each researcher. The salary budget must take into account additional allowances, holiday allowances, labour market pension schemes, pension contributions, salary increases triggered by labour market agreement and seniority, etc. The number of researchers should normally not exceed six (6) researchers from each institution involved in the project. Taximeter/educational fees: For PhD studies the budget may include educational fees. If PhD educations are included in the project, enrolled in Vietnam or in the region, and follow a “sandwich” approach with study stays in Denmark, then the educational fee may be divided between the institutions upon agreement. Maximum three semesters of study stay in Denmark, and maximum three return flights, can be accepted for PhD students following a “sandwich” approach. Enrolment of MSc students in Denmark can only be accepted in exceptional cases. Expenses for trips abroad and fieldwork: The responsible Vietnamese institution must ensure that expenses are budgeted in accordance with the current applicable tariff regulations for official business travel, including daily allowances and hotel expenses. The cheapest fare should be applied and bonus point earned on these flights cannot be used for private purposes. Budgeted travel must be justified and directly related to project activities. The table for planned travel, which is part of the budget form, must correspond with the travel expenses. If the travelling researcher is not covered by the state self-insurance or similar, an amount for health insurance per month for trips of duration of three months or longer may be included. Equipment and materials: All purchases must be in accordance with international and national procurement regulations. The budget items for research equipment must include the expenditure of acquiring necessary equipment, apparatus, literature, IT equipment and possibly the acquisition of a project vehicle. The latter will be granted only in exceptional cases. The foreseen profit from sold items such as research equipment and/or project vehicle must be entered into the budget. The total budget share for purchase of equipment and materials should not exceed 25% of the total budget. If the budget includes an amount exceeding DKK 300,000 for acquisition or hire of apparatus/materials, the original quotation from at least two suppliers must be enclosed. Insurance of the equipment is the responsibility of the responsible Vietnamese institution. Publication, dissemination and communication (up to 10% of the total budget): Under this budget item, expenditure for ongoing, current or subsequent dissemination and publication of the findings of the research project may be entered, for instance through:  Printing of a manuscript;  Minor publications for local dissemination;  Production of materials for dissemination through a web site and other electronic media;  Participation in conferences if the applicant delivers a poster or paper presentation;  Holding of workshops and seminars;  Alternative forms of dissemination. RCP Vietnam 2013, Application Guide for Project Proposals, page 5

Overhead/administration expenses: Grants to the responsible institution in Vietnam can maximum include an overhead contribution of 3%. The part of the grant administered by Danish government institutions and other Danish institutions subject to the rules regarding grant-funded research activities in the Danish Ministry of Finance's Budget Guidelines (Budgetvejledning) are to include an overhead contribution of 44% of the direct expenditure. Direct expenditure is defined as expenses directly attributable to the project. Grants to other publicly owned Danish institutions (e.g. hospitals) must include an administrative contribution of max. 3.1% of all the direct costs. Grants to Danish Technological Service Institutes must include overhead contribution of max. 20%. The following general administration costs are considered to fall under the overhead contribution:  Recurrent office expenses (lease of premises, cleaning, stationery, transport, electricity and water, administrative staff and other general recurrent expenses);  Expenses related to staff that are carrying out general administrative tasks as budget- and accounting tasks;  General management and coordination involvement in the cooperation;  The institute director’s involvement in the cooperation. No additional funds can be allocated to the administration of the project apart from the overhead contribution. Study periods in Denmark for PhD students from Vietnam: The current guidelines for the Fellowship Programme supported by Danida are to be applied for study periods in Denmark of PhD students from Vietnam, including use of the Danida Fellowship Centre’s administrative services in arranging the practical details of the stay, see link http://www.dfcentre.dk/?Research_Projects:Research_Fellows. The budget figures for 2013 are as follows:  Accommodation at the DFC hostel – DKK 1,100 per week.  Allowances – DKK 1,700 per week  Air ticket – budget figure of DKK 10,000 per trip, the actual expenses will be invoiced.  Residence permit (over 90 days stay) – DKK 1,670 (for each renewal – also for extensions)  DFC’s administration (incl. insurances, visa, counselling, social and cultural activities, etc.) – NIL DFC’s administrative services for stays in Denmark of other researchers (non-PhD students) are optional. Budget figures for 2013 are as follows:     

Accommodation at the DFC hostel – DKK 225 per night. Allowances – DKK 1,700 per week. Air ticket – budget figure of DKK 10,000 per trip, the actual expenses will be invoiced. Residence permit (over 90 days stay) – DKK 3,165 for senior researchers and DKK 1,670 for PhD students (for each renewal – also for extensions) DFC’s administration – In addition to the above budget figures, DFC charges an administration fee of DKK 6,000 (incl. VAT) per arrival.

Allow for an annual increase of app. 2.5% on all the budget figures. RCP Vietnam 2013, Application Guide for Project Proposals, page 6

The expenses incurred by DFC (Budget Line 8) are not subject to overhead. External Audit: The annual accounts for all projects must be audited by an external chartered accountant. The amounts to be included annually for audit are maximum DKK 30,000 including audit of accounts for both the responsible Vietnamese institution and the Danish research partners. Audit of the Danish research partners annual accounts is only required if the Danish institution is not subject to audit by the National Audit Office of Denmark. Audit of the final accounts is compulsive for both the Vietnamese and the Danish research partners, disregardless whether the Danish partner is audited by the National Audit Office of Denmark. A maximum of DKK 50,000 can be included for final audit. 4. Preparation of the Project Document The application must include a project description of maximum 10 A4 pages. The project description should contain the following aspects mentioned below, and depending on the project the level of detail may differ: 1. Information on the project's objective and hypotheses, including a description of its relevance; 2. Main activities and outputs; 3. Description of methodology and research plan, including capacity building; 4. Status of existing knowledge in the field (state-of-the-art); 5. Role of Danish research partners in terms of competencies and contributions; 6. Results from previously conducted research within the theme and how the proposal may assist in providing new knowledge in the field; 7. Details of the applicant's qualifications and previous contributions to the field; 8. Project organization; 9. Risks and assumptions; 10. Information on how the project's findings are to be made publicly disseminated and communicated; 11. Description of any ethical aspects. 5. Assessment Criteria In the assessment of the project proposal applications, the three criteria for strategic quality – i.e. scientific quality, relevance, and effect of the research – are weighted equally. The assessment in relation to the scientific quality of the proposed project will comprise the following elements:      

The originality and innovativeness of the hypotheses or research issues argued by situating the research in relation to existing research in the area; Innovative use of the theories applied and the research method employed argued by situating the research in relation to existing research in the area; Publications; Scientific competence possessed by the principal investigators and other key team members; Managerial competence possessed by the principal investigator and the establishment of a competent management structure for the activities (including timetable, milestones, resources and risk and contingency plans); Assessment of whether the method of research is well-suited to the investigation of the issue in question;

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Incorporation of a sufficient body of expertise on the issues to be addressed, including relevant interdisciplinary expertise;

The assessment in relation to the relevance of the project will comprise the following elements:  Relevance of the activities in relation to the theme of the Call;  Relevance of the project in relation to development problems and national priorities of Vietnam;  Relevance of the project in relation to overall objectives and priorities of Danish development cooperation;  The contribution of the proposed project to the advancement of postgraduate education and research training;  Involvement of all relevant stakeholders, including a good cooperation between researchers based inVietnamese institutions and researchers from Denmark. The assessment in relation to the potential effect of the proposed project will comprise the following elements:    

The potential contribution of the proposed project to contribute to the alleviation of poverty Vietnam; Dissemination of the results of the funded research activities to all relevant stakeholders including the public in a concise, comprehensible and meaningful way; The quality and future sustainability and use of the research capacity strengthening; The involvement of private and public sector actors in the project preparation and implementation.

In addition to the three assessment criteria, project proposals application should:  Be clear, focused and stringent;  Not be too ambitious, given resources available;  Address clearly identified research problem areas;  Constitute a research project rather than being a consultancy or development project;  Have an element of applied research clearly featured;  Include substantive elements of research capacity strengthening;  Outline a clear dissemination plan for research results and how research may influence policy;  Be novel in objective and scope, in providing new knowledge, capacity and innovative results Emphasize analytical rather than descriptive and instrumentally directed research;,  Ensure well-defined management, coordination and collaborative structures of the project.

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Milestone

Gantt chart A Gantt chart should be included in the project proposal application. A Gantt chart shows the time schedule per work package as shown below.

Overall objective: Immediate objectives with outputs

Months M M M M M M M M Activities that will produce the expected output

Result/ indicator of achievement

Expected Researchers time of involvement completion (persons and number of man months)

1 Objective 1.1 Output 1.2 Output 1.N Output 2 Objective 2.1 Output 2.2 Output 2.N Output N Objective N.1 Output N.N Output

A Gantt chart is a project management tool. It can be used to present a project’s work plan and time schedule and is thus an important tool for providing an overview of project phases, feasibility and resource allocation. 6. Submission Formats All researchers involved in the project should take part in the elaboration of the application. The application must include the documents as stated in Application Form H, all in English. The full application, i.e. the Application Form and all appendixes must be submitted as one compiled PDF file. In addition, the Application Form must be submitted as a directly readable Word file and the budget forms must be submitted as Excel files as data will be copied and entered into the DFC database. All boxes of the Application Form must be completed using Times New Roman, font 12. Simply providing short references to the project document in the boxes will not be accepted. The documents (appendices) to be included are:  Project document in Times New Roman, font 12 (max.10 A4 pages);  The Budget Form containing budget notes, quotes and travel overview;  Gantt chart;

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Comments

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CVs of all researchers involved in the project. At the front of the appendix a list of the CVs in the order in which they appear. Maximum 2 A4 pages for the main applicant, plus a list of most important publications within the last 5 years. CVs of maximum 1 A4 page for other participating researchers; Letters of cooperation from all institutions involved in the project confirming interest in the cooperation; Other attachments: research permits and authorisations, ethical approvals, etc. These may also be submitted later, but before the start of the project.

The documents must be kept within the stated maximum length. Only the above-listed appendices and documents will be accepted. The applicant undertakes to notify DFC in the event of any subsequent material changes affecting the information submitted, including the amount of financing for the project or fraction thereof awarded by other sources. 7. Signatures The Application Form must be signed by the main applicant and the responsible Vietnamese institution as well as the Danish research partners (from institutions named in 4.1 and 4.2 of Application Form H). By their signature, each institution involved in the project confirms that the project in question can be carried out for the amount applied for. With its signature, the responsible Vietnamese institution confirms its intention to administer the grant within the stated financial frameworks, and accepts to be responsible for the fulfillment of the stated objectives. The signature at the Application Form applies to and covers the Application Form as well as the Budget Form and other appendices. The responsible Vietnamese institution thus acknowledges that it:  Has approved the budget and that it is in accordance with the respective tariffs and regulations of the institutions involved in the project;  Will ensure that the grant will be used exclusively for approved objectives, activities, and budget items;  Will ensure that the research will be carried out in accordance with current conventions and regulations, and confirms that the institutions involved have the necessary administrative capacity to secure a responsible and adequate administration of the allocated funds. It is compulsory that a partnership agreement is entered with the Danish research partners early in the project, committing all institutions involved in the project to assist in fulfilling the conditions of the grant. With detailed commitments and expectations from all partners, the agreement will constitute a tool for the practical administration of the project. The signature page must be scanned and attached to the application. 8. Submission of Applications The signed Application Form with appendices must be submitted electronically to DFC using e-mail [email protected] named “RCP project proposal”, no later than November 8, 2013. The full application, i.e. the Application Form and all appendixes must be submitted as one compiled PDF file. In addition the Application Form must be submitted as a directly readable Word file and the budget forms must be submitted as Excel files.

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9. Next Steps The Consultative Research Committee for Development Research will review the project proposals early December 2013 and applicants will be informed of the decision of the Danish MFA soon thereafter. Subject to approval of the project by the Danish MFA, DFC will draw up a Letter of Commitment, containing conditions, if any, which is to serve as an agreement. Funded projects will be assigned a file number, which is subsequently to be used by the grant holder in all communication concerning the project.

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