This Request for Proposals (RFP) closed on April 15, 2009 and the applicants have been notified of the receipt of their applications. We are not accepting any more proposals.

CAPRi aims to promote comparative research on the role played by collective action and property rights institutions for poverty reduction with particular reference to the management of natural resource systems in developing countries. The program builds on CGIAR research on these topics, in the CGIAR centers and in Systemwide Programs. The Collective Action and Property Rights Program is not intended to replace or redefine the numerous current existing projects in these areas, but rather to complement and extend ongoing efforts, promote new research where gaps are identified, and forge new linkages between Centers and non-CGIAR partners.

CAPRi-funded research is intended to contribute to policies and practices that reduce rural poverty by analyzing and disseminating knowledge on the ways that collective action and property rights institutions influence the livelihood of the rural poor as well as the efficiency, equity and sustainability of natural resource use.

Ensuring that the poor have access to the natural resources vital for their livelihoods is important to CAPRi’s overall goal of contributing to poverty reduction. The topic of securing access cross-cuts several of the past research projects sponsored by CAPRi and provides a potential to provide further insight into each of CAPRi’s priority research themes.

Several major global and local dynamics, such as climate change, trends in global economy, and demographic shifts, are affecting the livelihoods of the poor in the developing world. These and other changes present new challenges to the resource-dependent communities. In 2008 CAPRi became involved in several initiatives to explore the effects of climate change on the rights to resources of the poor (see http://www.capri.cgiar.org/wks_0508.asp and http://www.capri.cgiar.org/wks_1008.asp). However, since the overall goal of CAPRi calls for a broader focus on natural resources and the institutions of collective action and property rights, the topic of Securing Access to Resources fits with most of CAPRi’s core themes and explores the effects of other challenges besides climate change on the livelihoods of the poor.

In this call for proposals we are interested in new research that explores both the threats that the poor face in accessing and benefitting from natural resources and the approaches used to counter these threats that are based on the institutions of collective action and property rights.

Under threats, CAPRi understands the following issues as representative of the current major challenges (other major threats can also be considered):

• High-value uses of resources such as biofuel crop production, mining, large plantations for cash crops;
• Formalization of property rights that disregard customary rights held by the poor;
• Conflicts, both resource-related and geopolitical;
• Demographic shifts;
• Global climate change;
• Gender inequality in access to and benefits from resources.

There are various mechanisms that can be used to counter these threats. The following responses are based on changes in the institutions of property rights:

• Alternative forms of recognition of property rights;
• Developing a framework for free, prior, informed consent (FPIC) and strengthening of the negotiating capacity of the poor, including indigenous groups;
• Promoting equitable access for women and other disadvantaged groups (ethnic minorities, etc).

On the collective action side, approaches may include:

• Strengthening local institutions;
• Collective enterprise development;
• Institutions of collective action as a basis for local resilience.

Further research on these threats and resolution mechanisms would show how the institutions of collective action and property rights can be used to deal with current challenges experienced by the resource-dependent communities and provide alternative policy approaches to deal with these challenges. Through this call, we invite proposals to further investigate these issues.

The objectives of sponsoring empirical research through the CAPRi program are to:

1. Demonstrate the importance of collective action and property rights issues for the CGIAR's mandate, and mobilize attention and resources for collective action and property rights research within the CGIAR, partner institutions in developing countries, and policymakers at all levels;
2. Build or strengthen capacity to do such research in the CGIAR and partner institutions in developing countries.

The main objective of this call for proposals is to develop policy-relevant findings on the threats that the poor face in accessing resources vital for their livelihoods and the approaches they currently use or can potentially use to secure access to these resources based on the institutions of collective action and property rights. The proposed research should aim to develop and disseminate best practices for methodologies to investigate the challenges to access to natural resources and how these challenges can be countered with mechanisms based on the institutions of collective action and property rights.

Proposals should address at least one of the following topics:

• Threats that the poor face in accessing vital natural resources, which have implications for collective action and property rights: Many challenges rising out of new global trends are limiting or preventing the poor from accessing and benefitting from natural resources. As outlined above, these threats range from climatic distresses to demographic changes to emerging economic trends. Research proposals could investigate the nature of these challenges and their effect on the institutions that are important for the livelihoods of the poor, such as the rights to access and benefit from resources, and the ability to organize and the effectiveness of groups and networks in fulfilling their objectives.
• Approaches to counter threats to resource access that are based on property rights institutions: As outlined above, the institutions of property rights can be used in various ways to ensure that the poor have a secure access to natural resources. While the threats to access may undermine the rights to resources, there are new and innovative ways that are being used by organizations working to help the poor to overcome these threats. Research on this topic could investigate these new mechanisms adopted to secure the property rights of the poor as well as investigate alternative forms of recognition of rights that would enable the poor to effectively deal with emerging resource-related challenges. In this context, property rights may become both the objective (i.e. secure access) and the means to achieving the objective (innovative ways to re-define property rights). Special attention could be given to the examination of how these approaches can be applied to women, and whether new policy and programmatic instruments could be developed to secure access to resources for women.
• Approaches to secure access to resources that are rooted in collective action: Similarly to the institutions of property rights, collective action institutions of the poor offer numerous innovative and creative solutions to the increasing threats on their resources. CAPRi’s previous work has shown that groups and networks of the poor play a vital role in supporting and enhancing their livelihoods. Research under this topic could investigate the applicability of collective action to securing access to resources in the face of new challenges and how the groups and networks adapt to their new roles and functions to fulfill these new objectives. As with property rights, the role of collective action in securing access to resources for women can be examined under this topic. Another possible research question applicable both to this topic and the one above is the link between collective action and property rights in the context of new global challenges and the adaptability of both institutions to deal with the emerging resource-related threats.

Research sponsored under this RFP is expected to build on current research in the CGIAR, such as either a) projects that already address the issues of collective action or property rights issues in natural resources or b) other ongoing research that has identified the relevance of collective action and property rights in the face of emerging threats to resource access, but has not yet been able to devote research to the topic of this RFP.

CAPRi would provide up to $150,000 per project. It is expected that funds from CAPRi would be supplemented from another source (Center core or another donor). Individual projects can last for one to 2.5 years, but would receive a maximum of $150,000 from CAPRi over the duration of the project. Any CGIAR center, in partnership with national research institutions, may submit proposals for these funds.

Selected projects would be required to submit at least one paper to the CAPRi Working Paper series, and to contribute actively in the discussions on overcoming threats and securing access to resources, through email exchanges, and by participating in an international workshop[1]. All projects will be required to submit 2 financial and narrative progress reports annually: a short summary report on the first 6 months of the year in August each year, and a more detailed annual report in February of the following year. The final narrative and financial report is due no later than two months after the grant period. Three copies of all publications and papers from the project should be provided to the CAPRi Coordinator.

Support for this research and the overall CAPRi program is provided by the governments of Norway and Italy, and the World Bank.

1. Investigates the threats that the poor face in accessing resources and approaches used to secure this access as outlined in this RFP.
2. Proposes the application of appropriate research methodology, which might include a mix of quantitative and qualitative methods ensuring overall quality of proposed research;
3. Includes strong involvement of national research partners (including a letter of intent to participate from at least one research institution and/or NGO in the country of research);
4. Addresses critical policy issue, potential importance of findings for CGIAR mandate;
5. Outlines explicit plans for outreach and fostering broad impact (e.g. fostering cooperation with critical actors in the policy arena, including government, NGOs and civil society);
6. Links to other research of the CGIAR center (e.g. brings collective action and/or property rights issues into other studies that the center has in its Medium Term Plan);
7. Aims to build or strengthen capacity to do social science research in the CGIAR and partner institutions in developing countries.

Proposals will be reviewed according to these criteria by an independent Proposal Review Panel. The review panel will give its recommendations on the proposals to the CAPRi Executive Committee, which will make the final selection, based on the review panel’s recommendations. In case proposals are of similar quality, preference will be given to those centers that have not received a previous CAPRi research grant.

Any CGIAR center who is a member of the CAPRi Program may apply, in collaboration with at least one partner organization (research institute or NGO) in the country or countries of research. Other collaborating partners based in industrialized countries may also be included. Collaborative proposals from more than one CGIAR center are encouraged, but collaboration with other CGIAR centers is not a substitute for national partners in the countries of research. National institutes in developing countries may initiate the research project, but substantial involvement of a CGIAR center is required, and the proposal must be submitted by the CGIAR center. Funds will be remitted to the CGIAR institution, and they are responsible for accounting and deliverables. A draft contract can be shared with applying CGIAR centers upon request.

Applying research teams are requested to keep the liaison from the submitting center informed, [2] to allow centers to coordinate their submissions. A CGIAR center can submit more than one proposal, provided that all submissions are endorsed by that center.

April 15, 2009:   Proposals due. This RFP is closed.

April 16, 2009:   Opening of proposals, forwarding to external review panel.

May 11, 2009:   Executive Committee awards the Grants.

May 15, 2009:   Announcement of research awards.

Questions

Any questions regarding this RFP should be directed to:

Ruth Meinzen-Dick (r.meinzen-dick[at]cgiar.org); or
Helen Markelova (h.markelova[at]cgiar.org, phone: +1-202-862-5664)

Potential applicants are encouraged to contact Ruth or Helen to indicate their interest, and ask any questions, in order to make sure the proposals submitted are as strong as possible.

Appeals

Applicants can appeal to the decision of the Executive Committee by May 29, 2009 by contacting one of following Executive Committee members indicating the reason for the appeal:

Juan-Camilo Cardenas, Universidad de los Andes, Colombia: jccarden[at]uniandes.edu.co; or

Nontokozo Nemarundwe, University of Zimbabwe and PhytoTrade Africa, Zimbabwe: nonto[at]phytotradeafrica.com