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Guidelines for Application for PROFOR Funding

Profor is a multi-donor trust fund supported by:

This document is a product of the PROFOR Secretariat. It does not necessarily reflect the views of PROFOR’s
donors.
Table of Contents

I. About PROFOR.............................................................................................3
Overview of the Four Thematic Focal Areas ............................................................3
Donors and Advisory Board.....................................................................................4
Project Portfolio .......................................................................................................4
II. Activity Cycle and Criteria for Eligibility ...................................................5
The Application Process ..........................................................................................5
Criteria for PROFOR Engagement ..........................................................................5
Establishment of Agreement and Disbursement of Funds .......................................7
III. ANNEX 1 – Activity Concept Note Form ...................................................8
IV. ANNEX 2 – Activity Reporting Form .......................................................11

Program on Forests (PROFOR) 1818 H Street NW, Washington DC, 20433 email: profor@worldbank.org
World Bank tel: +1 (202)-458-4822 Fax: +1 (202)-522-1142 http://www.profor.info
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I. About PROFOR

PROFOR is a multi-donor partnership formed to pursue a shared goal of enhancing forests’
contribution to poverty alleviation and sustainable development through improved knowledge and
approaches for sustainable forest management (SFM). To this end, PROFOR encourages the
transition to a more socially and environmentally sustainable forest sector supported by sound
forest policy and institutions that take a holistic approach to forest management. To this end,
PROFOR generates knowledge on topics critical to four key thematic areas: forests’ contribution
to the livelihoods of the rural poor, forest governance, innovative financing for SFM, and cross-
sectoral cooperation. PROFOR is hosted at the World Bank within the Sustainable Development
Network (SDN). Through partnerships, PROFOR forms a flexible network with governments,
international organizations, leading policy research institutions, and non-governmental
organizations working toward the common goal of a sustainable forest sector.

Overview of the Four Thematic Focal Areas
PROFOR’s work is guided by four broad thematic focal areas. Each year, PROFOR selects a few
topics critical to these themes upon which to focus its work.

A livelihoods approach to poverty reduction
Meeting subsistence needs, reducing vulnerability, overall poverty reduction, and increased
participation in market activities are all important in the approach taken in this area. A livelihoods
approach seeks to identify the main contributions that forests can make to the livelihoods of the
poor, including subsistence products from forests that complement what can be produced from
the household farm, income from employment in public or industrial forestry or forest product
processing, and household or small-scale activities in the informal sector. Through data collection
and the development of analytical tools, PROFOR aims to contribute to a better understanding of
forests as a source of livelihoods and to develop awareness of potential adverse impacts some
policies or initiatives may have on forest livelihoods.

Promoting good forest governance
Forest governance encompasses topics relating to how forest resources are managed, ranging
from how decisions about forest use are made and who is involved in the decision-making
process, to the enforcement of forest laws and policy on the ground. PROFOR aims to enhance
accountability in the forest sector and to align government, private sector and civil society
interests and responsibilities to establish more equitable forest use decision-making practices. It
seeks to facilitate improved forest sector governance and reform through analysis and sharing
experiences to inform such processes and by providing opportunities for dialogue among
stakeholders. Through data collection and analytical research on governance and forest law
enforcement challenges, PROFOR aims to improve understanding of this complex and highly
political issue, and to identify tactics and tools to address corruption and forest crimes.

Innovative approaches to financing SFM
Creating a sustainable forest sector requires innovation in both the practice and financing of
forest management. A particular area of interest is reform of market structures to make
sustainable forestry more profitable than unsustainable forest exploitation. This will involve
assessment of potential forest revenue generation from both traditional and innovative financing
options, including the restructuring of existing economic and fiscal instruments, and the
development of markets and mechanisms to capture the environmental services provided by
forests, such as carbon sequestration, biodiversity conservation and watershed protection. It will
require investigation of what is needed to encourage governments to adopt policies that create
enabling conditions for investment in SFM, and for the private sector to engage such investments.
Program on Forests (PROFOR) 1818 H Street NW, Washington DC, 20433 email: profor@worldbank.org
World Bank tel: +1 (202)-466-2424 Fax: +1 (202)-522-1142 http://www.profor.info

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Guidelines for Funding

Through stakeholder consultations, PROFOR supports dialogue to resolve conflicting interests in
forest markets and to create opportunities for private sector-community partnerships that
encourage equitable distribution of benefits.

Cross-sectoral cooperation
Sustainable forest management practices and goals are sometimes influenced by shifts in
macroeconomic policy or activities in other sectors such as agriculture, energy, mining, and
transportation. Through support to national forest programs or similar multi-sectoral participatory
and analytical processes, PROFOR works to identify cross-sectoral policies that support the goal
of sustainable forest management. Additionally, PROFOR contributes to the development of
mechanisms for management of macroeconomic policy changes so as to mitigate the potentially
adverse impacts and maximize positive forest outcomes.

Knowledge and tools for a sustainable forest sector
PROFOR activities build experience and generate knowledge in the four thematic areas through
a combination of research and analytical work, project support, and knowledge and learning
events. The type of product that result from PROFOR activities include toolkits, case studies and
synthesis reports, policy recommendations and publications.

Donors and Advisory Board

PROFOR is funded by the governments of Finland, Japan, Switzerland, the United Kingdom and
the European Union. An Advisory Board provides strategic guidance to PROFOR and helps to set
the annual priority topics to guide development of the PROFOR portfolio. The Advisory Board
holds one formal meeting each year, maintaining an active role through correspondence and
informal meetings in the interim.

Project Portfolio
PROFOR’s portfolio is diverse, comprising activities related to the four thematic areas at the
international, regional or country level. Projects are demand-driven by governments and other
stakeholders, and to the greatest extent possible take the form of multi-partner, larger-scale
initiatives rather than stand-alone activities. PROFOR gives special emphasis to projects with
high potential for lesson learning and significant gains in knowledge that are transferable and
relevant to a wide range of situations. The complete criteria are in Section II below.

Program on Forests (PROFOR) 1818 H Street NW, Washington DC, 20433 email: profor@worldbank.org
World Bank tel: +1 (202)-458-4822 Fax: +1 (202)-522-1142 http://www.profor.info
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Guidelines for Funding

II. Activity Cycle and Criteria for Eligibility

The Application Process
PROFOR will have two “windows” for submitting applications: (i) request for proposals on priority
topics (RFP) and (ii) rapid response. The RFP will be focused on priority topics associated with
the four thematic areas of PROFOR. At present, the timing for the RFPs is on a periodic basis,
with at least one request per calendar year. Rapid response proposals are accepted on a flexible
basis for very special instances where there is a unique opportunity to contribute to an urgent
forest sector policy matter(s), typically through targeted analytical work.

Independent of the proposal submission “window”, interested entities should complete a concept
note for a proposed activity (Annex 1), including an activity schedule and detailed budget, and
submit it to the PROFOR Secretariat. The concept notes are screened by the PROFOR
Secretariat to verify that the criteria (see below) for funding are fulfilled. The proposals are then
circulated to issue area experts for feedback. Subsequently, qualifying activities are assessed by
a quantitative evaluation methodology to determine and document which activities will be funded
based on highest relevance to PROFOR’s objectives and resources available.

The completed concept note should be submitted to:

PROFOR Secretariat
The World Bank
1818 H Street NW, MC5-514
Washington DC, 20433
USA
Tel: +1-(202)-458-4822
Fax: +1-(202)-522-1142
E-mail: adavisgillet@worldbank.org

Criteria for PROFOR Engagement
In order to be eligible for PROFOR funding, any activity must meet the criteria set out in Table 1
below. In short, these criteria assure that an activity meets PROFOR’s strategic objectives, is
relevant to one or more of the priority topics and/or thematic areas outlined above, and fits into
PROFOR’s funding envelope and timeframe.

Table 1: Criteria for PROFOR engagement
Criteria Components
Relevance to Clear relevance to one or more of the four thematic focus areas:
PROFOR’s thematic
• Potential of the activity to contribute to economic development and
areas and objectives
livelihoods of forest dependent households and communities (especially
regarding extreme poverty and indigenous groups)
• Potential to address governance-related issues and challenges in the
forest sector that seriously limit the sector’s contribution to broader
sustainable development objectives and strategies (e.g. decentralization,

Program on Forests (PROFOR) 1818 H Street NW, Washington DC, 20433 email: profor@worldbank.org
World Bank tel: +1 (202)-458-4822 Fax: +1 (202)-522-1142 http://www.profor.info
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Guidelines for Funding

major conflicts of interests between various actors, accountability
problems)
• Potential to improve internal revenue generation and attract
investment in improved forest management
• Potential to contribute towards cross sectoral and macroeconomic
development objectives and strategies through forests
Feasibility, • Concept is unambiguous, with a clear focus and an attainable
significance and objective
sustainability of the
• Indication of the initiative’s sustainability (follow-up strategy, fund
work
leveraging, integration, likelihood of upscaling, etc.)
Reputation and • Applicant organization is a recognized / legitimized entity in the
capacity of applicant development community or by the host country(s)
organization
• A high degree of confidence that the initiative’s proponent will deliver
on the outputs and outcomes described in the concept note
Strong national/ • Strong capacity and willingness of the involved country(s) to promote
international demand exchange of experiences in forest related regional or sub-regional fora for
and political will for direct
partnership with
• Sufficient political commitment to address/engage in a constructive
PROFOR (for
dialogue on the issues and constraints identified as key for PROFOR
proposals with
engagement
country or region
specific elements) • Willingness to initiate necessary policy reviews and strategic planning
processes focused on identified issues
• Willingness to set up appropriate structures and mechanisms for
stakeholder participation (e.g. consultative mechanisms, participatory
planning processes, conflict resolution mechanisms etc.) in analysis and
dialogue on the issues
• Willingness to share information at national and international levels
• Integration within identified national forest program (nfp) activities
and country priorities
• Priority given to the PROFOR thematic issues in the nfp
process/sectoral policies/sectoral plans and programs
Relevance to donor • Compatibility with donor priorities and, where relevant, developing
priorities possible synergies and leverage from linking PROFOR activities to donor
programs in-country
Relevance to • Activities which complement on-going economic policy and country
broader World Bank dialogue, and major structural adjustment or programmatic operations
country programs, to which may impact on the forest sector or be influenced by potential
take advantage of developments in forests
access, leverage
• (and/or) Activities which complement on-going or planned forest
and synergies which
sector lending or forest related issues-based lending, IFC activities, other
will result from such
activities of the Bank’s Global Partnership Programme, and/or major GEF
coordination

Program on Forests (PROFOR) 1818 H Street NW, Washington DC, 20433 email: profor@worldbank.org
World Bank tel: +1 (202)-458-4822 Fax: +1 (202)-522-1142 http://www.profor.info
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Guidelines for Funding

funding
• (and/or) Activities which complement major on-going or planned
investments in other sectors which may impact on the forest sector (e.g.
mining, dams, roads, agricultural/rural development)
Potential for: (i) • Clear definition of problems where analytical work will have high
significant gains in likelihood of success in producing improved performance in the four
knowledge, (ii) high thematic areas
applicability to a
• Interest in promoting and facilitating a broad-based dialogue with all
wide range of
important groups of governmental and civil society stakeholders, and in
situations, and (iii)
special efforts to support the participation of marginalized groups (e.g. the
high potential for
rural poor)
effective
dissemination • Ability to generate tangible outcomes or results (analytical work,
policy papers, tools etc.)
Scale of impact of • Plan for effective dissemination of results
suggested activity on
• Potential for influencing broad/global policy dialogue
forest conservation
and development • Potential for significant poverty reduction
outcomes
• Potential for forest sector and/or forest governance reforms
developed to be implemented in support of broader sustainable
development goals
• Potential for leveraging new and innovative SFM financing
• Potential of suggested activities to protect or enhance key local and
global environmental services or values through nfp processes
Funding (including • Description of counterpart funds and / or expected significant
other funding leveraging of counterpart or donor funds
sources) and
• Proposal stays within the indicative PROFOR funding levels (to not
detailed timeframe
exceed 150,000 USD) and the implementation schedule coincides with
an operating timeframe of typically less than two years

Establishment of Agreement and Disbursement of Funds

For approved activities, a contractual agreement is established between the World Bank as
PROFOR’s host institution and the implementing entity. The contract specifies a schedule for
funds disbursement linked to product delivery. Recipients of PROFOR funds are required to
submit periodic reports on the status of implementation of activities. A format for reporting every
six months is provided in Annex 2.

Program on Forests (PROFOR) 1818 H Street NW, Washington DC, 20433 email: profor@worldbank.org
World Bank tel: +1 (202)-458-4822 Fax: +1 (202)-522-1142 http://www.profor.info
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III. ANNEX 1 – Activity Concept Note Form

Activity Concept Note Form

Activity title: (insert name of activity)
Instructions: The concept note must not exceed 2500 words. Additional materials may be
annexed.

Date prepared:
1. Geographical focus
(specific country, specific region or global)
2. Objective
(200 words)
3. Background and issues to be addressed
(1-2 paragraphs on relevant background and problem statement)
4. Relevance to PROFOR thematic areas
(Clearly state relevance to one or more PROFOR thematic areas: livelihoods, governance,
financing SFM, and/or cross-sectoral cooperation)
5. Activity and outputs
(3-4 paragraphs describing how activity will be implemented and expected outputs)
6. Activity timeline, key milestones and indicators for progress

Activities Duration: ______________________

Months (in the Form of a Bar Chart)
Activities 1 2 3 4 5 6 7 8 9 1 1 12 Number of Months
0 1 …

Subtotal (1)

Subtotal (2)

Subtotal (3)

Subtotal (4)
Reports Due :
(flag on month timeline)

Key Milestones :
(Please list with month expected)

(also see Table 3-Estimated Disbursement Schedule in Budget section below.)

Program on Forests (PROFOR) 1818 H Street NW, Washington DC, 20433 email: profor@worldbank.org
World Bank tel: +1 (202)-458-4822 Fax: +1 (202)-522-1142 http://www.profor.info
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7. Expected outcomes and impacts
(3-4 paragraphs describing expected outcomes from the activity, including impacts on the ground,
follow-up strategy, likelihood for up-scaling and integration into policy processes, and indicators for
assessing impact)
8. Expected knowledge generation
(1-2 paragraphs on the knowledge management and dissemination strategy)
9. World Bank, PROFOR Donor, national policy or other project activities supported by this proposal
(For proposals with country or region specific elements, list the ongoing national processes or
projects that this activity would support, and its relevance to broader World Bank or donor country
programs. For global activities, list the relevance to donor and country priorities that this activity
supports.)
10. Assumptions and Risks
(List any political, economic or other assumptions underpinning this activity, and outline any risks or
opportunites that could cause difficulties in implementation or changes in timeline).
11. Activity proponent(s)
(List individuals proposing the activity and who will be responsible for preparing scope of work,
supervising implementation and reporting. Include title and full contact information.)
12. The proponent’s comparative advantage in implementing this activity
13. Agreed-on collaborators and partners
(List collaborators/partners in the activity.)
14. Total budget
(Specify total budget, counterpart funds, funds requested from PROFOR and any leveraging of
other funding sources, as well as detailed budget and disbursement schedule)

Table 1: Funding Overview
PROFOR Funding $
Other sources (disaggregated by source) $
Total $

Table 2: Detailed Budget (Please read the Notes below before completing this section)
Sub-Activity 1 Description:
Other sources’
Total no. PROFOR’s
Unit rate Estimated contribution
Items units (e.g., contribution
(USD) costs (USD) (USD) (please
person days) (USD)
specify source)
Staff Expenses (specify):
Staff time
Consultant Fees: International
Consultant Fees: Local
WB Staff time (if relevant)

Travel (unit = no. of round trips)
Per Diem/Subsistence

Other Expenses (Specify):
Capital investment costs
Publications
Dissemination
Workshops
….
SUB-TOTAL ACTIVITY 1 [table continues below]

Program on Forests (PROFOR) 1818 H Street NW, Washington DC, 20433 email: profor@worldbank.org
World Bank tel: +1 (202)-458-4822 Fax: +1 (202)-522-1142 http://www.profor.info
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Sub-Activity 2 Description:
Other sources’
Total no. PROFOR’s
Unit rate Estimated contribution
Items units (e.g., contribution
(USD) costs (USD) (USD) (please
person days) (USD)
specify source)
Staff Expenses (specify):
Staff time
Consultant Fees: International
Consultant Fees: Local
WB Staff time (if relevant)

Travel (unit = no. of round trips)
Per Diem/Subsistence

Other Expenses (Specify):
Capital investment costs
Publications
Dissemination
Workshops
….
SUB-TOTAL ACTIVITY 2
TOTAL AMOUNT

Notes for Completing Budget Table:
• Please provide figures by sub-activity.
• Please insert as many rows as needed to accommodate all grant activities.
• Please insert as many columns as needed to accommodate all sources of funding other than PROFOR.
• Staff expenses should be disaggregated by staff time, consultants (distinguishing international and national
consultants), and when relevant WB Staff;
• When specifying consulting fees please provide unit rate as USD per days and total number of units as the duration of
the assignment (total number of days);
• Travel and per diem/subsistence costs should be broken down by national/international consultant;
• When expenses include workshop costs please provide the lump sum cost per workshop. In a footnote, please provide
the projected duration of the workshop (number of days) and number of participants and experts involved

TABLE 3: Estimated Disbursement Schedule

Estimated Disbursement Schedule1/

Total Amount requested from PROFOR:
Months from Milestones: 1 2 3 4 5 …
inception of
activity(ies)2/:

Footnotes:
1/ This disbursement schedule should be linked to the milestones specified in the concept note
2/ Please specify the months from inception when milestones will be achieved
IMPORTANT PROFOR TFs can be extended only once based on concrete justification and satisfactory
implementation status.

Program on Forests (PROFOR) 1818 H Street NW, Washington DC, 20433 email: profor@worldbank.org
World Bank tel: +1 (202)-458-4822 Fax: +1 (202)-522-1142 http://www.profor.info
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IV. ANNEX 2 – Activity Reporting Form

Activity Reporting Form

ACTIVITY: (insert name of activity)
Project code: (insert PROFOR assigned project code)
Instructions: The outcome brief is limited to 1000 words pages, and should relate directly to
Activity Concept Note. Additional materials may be annexed.

Date prepared:
1. Geographical focus
(specific country, specific region or global)
2. Objective
(specify the original objective and if any aspect of the objective has changed)
3. Activity and output: progress to date
(3-4 paragraphs describing how activity is being implemented and any initial outputs)
4. Findings (either preliminary or final)
(1-2 paragraphs describing preliminary or final findings of activity)
5. Impacts
(2-3 paragraphs describing any outcomes, and progress in mainstreaming or linking the activity
with ongoing World Bank, PROFOR donors, or project activities and/or processes)
6. Progress against milestones and indicators
(specify the original milestones and indicators and briefly describe progress against these and -
explain any delays and/or lack of progress against indicators)
7. Opportunities and/or obstacles/issues related to implementation of activity
(1-2 paragraphs summarizing any opportunities and/or challenges that have affected
implementation of the activity. Please refer back to assumptions/risks of Activity Concept Note)
8. Changes to original activity time schedule
(Present original activity time schedule, and any changes and justifications for these changes.
Please note that satisfactory implementation status and a concrete justification that describes how
obstacles holding up the process have been/will be overcome is necessary for approval of
proposed changes).

Months (in the Form of a Bar Chart)
Activities 1 2 3 4 5 6 7 8 9 10 11 12… Number of Months
Activity 1:
(intended) Subtotal (1)
(actual)
Activity 2: Subtotal (2)
(intended)
(actual)
Etc.
9. Next steps
(1-2 paragraphs describing proposed next steps, including follow-up activities and opportunities)

Program on Forests (PROFOR) 1818 H Street NW, Washington DC, 20433 email: profor@worldbank.org
World Bank tel: +1 (202)-458-4822 Fax: +1 (202)-522-1142 http://www.profor.info
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10. Replication potential
(1-2 paragraphs exploring replication potential within the same country, region or globally, or in
other sectors)

11. Budget
Table 1: Funding Overview
PROFOR Funding $
Other sources (list) $
TOTAL $
PROFOR Funds used to date $
Total Funds used to date $

Table 2: Detailed Disbursement
Specify calendar PROFOR funds used to date Co-Financing funds
year (by cost category and year) used to date (aggregate)
Year 1 (i.e., 2008)
Staff Expenses (specify):
Staff time
Consultant Fees:
International
Consultant Fees: Local
WB Staff time (if relevant)
Travel and Per Diem/
Subsistence
Other Expenses (Specify):
Capital investment costs
Publications
Dissemination
Workshops
….
Subtotal
Year 2 (specify)
Staff Expenses (specify):
Staff time
Consultant Fees:
International
Consultant Fees: Local
WB Staff time (if relevant)
Travel and Per
Diem/Subsistence
Other Expenses (Specify):
Capital investment costs
Publications
Dissemination
Workshops
….
Subtotal
Etc…
TOTAL

Program on Forests (PROFOR) 1818 H Street NW, Washington DC, 20433 email: profor@worldbank.org
World Bank tel: +1 (202)-458-4822 Fax: +1 (202)-522-1142 http://www.profor.info
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