Request for Applications to design, conduct and publish a study examining how cooperative policy, legal, and regulatory frameworks can help to optimize the development and performance of cooperatives

Cooperative Development Activity 4 (CD4)
RFA Number: 22-CD4-HQ-PROC-001
Issuance Date: May 6, 2022
Closing Date: June 3, 2022
Closing Time: 17.00 U.S. Central Time Zone

Request for Applications
Land O’Lakes Venture37 Cooperative Development Activity 4 (CD4)
How are cooperative policy, legal and regulatory frameworks facilitating or hindering the development and effectiveness of cooperatives?
Land O’Lakes Venture37 invites applications from qualified researchers from academic or private sector research institutions abroad to design, conduct and publish a study examining how cooperative policy, legal, and regulatory frameworks can help to optimize the development and performance of cooperatives.

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This request for applications is based on an open, competitive call for applications. If you decide to submit a research proposal (“application”), it must be submitted in accordance with the instructions herein and received no later than the date and time indicated.
Venture37 reserves the right to select and/or fund any or none of the applications submitted. If chosen, CD4 staff and our Research Advisory Committee Panel (composed of academics from the U.S., UK, Malawi, and Tanzania) will work closely with the chosen research team to finalize the study scope and logistics and facilitate peer review and publication.

Background
Land O’Lakes Venture37 is a 501(c)3 non-profit, assisting communities around the world to build economies by strengthening agriculture from farm-to-fork, helping businesses grow, and linking farmers to market. Our team is made up of nearly 350 employees who are committed to market-led approaches, and passionate about collaborating locally to create lasting inclusive economic growth. By unlocking the potential of agriculture for the last 36 years, the lives of more than 3 million people have been transformed through nearly 300 programs in more than 80 countries. Land O’Lakes International development implements projects that focus on dairy, livestock, and crop development.

Activity Background
Land O’Lakes Cooperative Development Program (CDP) has pursued the goal of increasing the performance of cooperative enterprises to improve the livelihoods of their members and contribute to building more inclusive and resilient communities. Over the past 6 years, Land O’Lakes has partnered with cooperatives in Ethiopia, Kenya, Malawi, Tanzania, Rwanda, and Uganda to help improve cooperative performance in response to evolving market conditions. Our recent work focused on partnering with cooperatives that have leveraged economies of scale through horizontal or vertical integration—working with each partner to improve operational management, organizational governance, and business decision-making.

The Cooperative Development Activity 4 (CD4) is now focused in three countries: Malawi, Rwanda, and Lebanon to work with primary cooperatives and apex organizations (unions and federations) and service providers. CD4 has 3 major components; 1) improving the cooperative enabling environment by strengthening apex organizations and the learning platform through which cooperative actors are engaged; 2) improving cooperative business performance by assessing organizations capacity and providing tailored technical assistance to strengthen these capacities; and 3) improving the development communities support for cooperatives by developing a locally-defined learning agenda to guide research, learning, and dissemination through local and global channels. CD4 is starting up work in Lebanon and is currently working with 12 primary cooperatives in Rwanda’s Bugesera, Gicubmi, and Rwamagana districts and 6 primary cooperatives in Malawi. There are four apex organizations in Rwanda and in Malawi.
Component 3 of the CD4 Activity improves the global development community’s support of cooperatives through the promotion of local research. Shortly after project launch, a qualitative baseline assessment was completed. This qualitative assessment included a workshop with the Cooperative sector stakeholders which compiled their concerns on the broad topic of Cooperative Development. These concerns resulted in the compilation and creation of a locally driven Learning Agenda – a list of priority questions to be answered through various research protocols and assessments. This RFA seeks responses from qualified research teams who will engage in answering one of the overarching questions: How are cooperative policy, legal and regulatory frameworks in Rwanda and Malawi facilitating or hindering the development and effectiveness of cooperatives and the cooperative enabling environment?

Scope Background
Rwanda: In Rwanda, the cooperative movement operates on a four-tier, federally mandated cooperative structure. Individuals can join a cooperative of their choosing, or they may choose to not join a cooperative at all. For each value chain (maize, dairy, horticulture, taxi, etc.) there is only one union per geographic district. Three or more primary cooperatives may join and form a cooperative union at the district level. This union is considered a secondary cooperative organization. Three or more unions may join and form a federation at the national level – referred to as the tertiary cooperative organization. There is one federation per value chain. The federation sits at the national level. Over these 3 tiers sits NCCR, the organization created by federal mandate to serve all cooperative bodies. The chart below illustrates how these different levels are linked. Only the organizations framed in orange are considered “apex” organizations.

The Government of Rwanda has made significant strides to support cooperatives. Under the Rwanda Ministry of Trade and Industry is the Rwandan Cooperative Agency (RCA) and Rwanda Institute of Cooperatives Entrepreneurship and Microfinance (RICEM). National cooperative policy encourages the transformation of tradition subsistence cooperatives to entrepreneurial cooperatives. The National Cooperative Confederation of Rwanda (NCCR) was established as an intermediary between cooperative organizations and the government.
Malawi: In Malawi, cooperative development is under the Ministry of Industry and Trade and Tourism. Cooperative policy in Malawi is outdated (released in 1997), but currently under review. The policy is less restrictive regarding cooperative organization and member organization structures, but it remains challenging to become registered as a cooperative. Most cooperatives are rural and agriculture-based in Malawi; of the registered cooperatives, less than 50% are active. There lacks a government-enforced cooperative structure, and there are no requirements to have a federation or union in place across any sector or district. Because of this, there are relatively few unions. Most farmer organizations and cooperatives obtain services (ranging from extension to business management trainings) from the Government through the Ministry of Agriculture or through donor funded programs.
Some cooperatives obtain services – directly or indirectly through donor funded programs – from organizations that are not structured as cooperatives. This in turn influences potential members to organically develop their cooperatives out of business desire and profit venture. When forming the cooperative, the approval process has high entry requirements for registration, creating a need for cooperatives to be well organization from the very beginning. Resources devoted and available to training associated with becoming official cooperatives is also scarce. Payment of fees to Apex organizations is collected yearly in most cases. The apexes sustain themselves primarily through donor funds and not fees from members; hence, they are not independently profitable. The Malawi Federation of Cooperative Organizations (MAFECO) is a newly established organization that does not have a sustainable business model nor a self-sufficient source of funding. It is working to establish itself as a credible national level apex organization serving all cooperatives in the country.

Considering the differing cooperative structures in both Rwanda and Malawi, applicants are invited to submit a proposal (with accompanying budget) that addresses all the research questions below:
a. What is the impact of rigid frameworks, driven by public policy/procedures, on cooperative development over time?
1.
o How does this impact revenue, governance, membership, etc.?
o How is this structure influenced by donors and/or external funding?
b. What is the impact of organic cooperative structure, like Malawi, that is supported by external donors or the private sector on cooperative development over time?
1.
o How does this impact revenue, governance, membership, etc.?
o How is this structure influenced by donors and/or external funding?
c. How must policy frameworks, support institutions, and international donors adapt over time to optimize development of a productive cooperative sector?

Desired Output: As a final deliverable, the chosen team will be tasked with producing a report and putting together a presentation to provide the following information:
1. Executive Summary (maximum of 3 pages)
o Provide summarized detail on landscape of cooperative sector structure in both countries
o Summarize key findings and necessary next steps for crucial development in the cooperative sector
o Ensure at least one data visualization within this section
o Should be able to be a stand-alone document
2. Introduction
• Knowledge questions:
o What is the impact of rigid frameworks, driven by public policy/procedures, on cooperative development over time?
o What is the impact of organic frameworks on cooperative development over time?
o How must policy frameworks adapt over time to optimize development of the cooperative sector?
• Literature review of the legal framework
3. Methodology
• Data collection: detailed methods for data collection
• Research limitations: identified constraints during the research and data collection process
4. National Cooperative Law (Rwanda and Malawi)
1.
o General context of the landscape
o Specific elements of the cooperative policy, legal, and regulatory framework
1. How are cooperatives defined? What are their objectives?
2. Establishment, cooperative membership, and governance
3. Financial structure, management, and other notable structural features
4. Constraints, limitations, and barriers to entry and long-term sustainability
5. Conclusion and Recommendations
• Based on the identified challenges within each country, provide recommendations to address barriers and constraints across Malawian and Rwandan cooperative frameworks
6. References
• Detailed list of citations which were used for research and can be disseminated to the broader audience for personal use and reference
7. Appendices- tools used for data collection such as questionnaires, checklists, etc.
Application Requirements
All interested applicants should submit research proposals with the following information:
1. Team or Individual Summary
• Profiles of the research team members
o Summary of the responsibilities of each team member. (NB: teams that include junior faculty members/ researchers and student researchers will be rated favorably)
o Plan for coordination across team
o Maximum of two (2) page CV for each member of research team
2. Research Proposal
1.
o Approach (10-page limit):
 Describe the overall strategy, methodology, sampling strategy, and analysis to be used to accomplish the specific aims of the project, including resource sharing plans, as appropriate.
 Provide a research timeline (sample below).
3. Budget Proposal
1.
o Provide a comprehensive budget inclusive of all costs, including direct and indirect costs, not to exceed USD 80,000.
 Budget shall include the following cost categories as applicable: Labor, Equipment, Supplies, Travel, Other Direct Costs, Contracts, Covid-19 Precautions, Editor for Final Deliverables, and Indirect/ Overhead. All logistics and any required participant expenses should also be included in the applicant budget.
Eligibility
Malawian, Rwandan, and international research teams are eligible to apply. Preference will be given to teams or individuals that have experience in both Malawi and Rwanda. Teams representing a mix of senior and junior researchers, as well as male and female researchers, will be considered favorably.

Evaluation Criteria
1. Strength of proposed research approach and scope (30%):
1. Extent to which the approach demonstrates understanding of the issues and priorities of the policy, legal, and regulatory framework in Rwanda and Malawi and presents a clear, detailed, and ambitious approach for achieving goals
2. Extent to which innovative approaches and lessons learned from previous approaches are identified and effectively included in the submission
3. Extent to which the applicant provides scientific or technical merit and feasibility of project strategy and implementation
2. Cost (20%)
1. Consideration of this budget will pay close attention to the inclusivity of all costs (i.e., indirect) and extensive knowledge of the financial landscape in accordance with proposal objectives.
3. Feasibility of methodological and empirical approach (20%)
4. Previous experience of proposed team or individual (previous publication record and experience with interdisciplinary teams) (30%)
Teams that do not submit a full application with all required materials will not be considered. Teams that do not agree to the Statement of Integrity in Research Standards will not be considered.

Responsible Research
All research should be conducted under the guidelines of do not harm. International organizations that apply may be required to apply for and receive IRB approval for the proposed research from the academic institution which they are affiliated. In Rwanda and Malawi, organizations must seek appropriate approval through the required government agencies (ex: Office of Statistics in Rwanda).

Sample Anticipated Timeline
Deliverable Proof of Completion Anticipated Completion Date
Application Submitted Complete Application June 3, 2022
Applicant Selected with potential requested edits to proposal Notification Sent by V37 June 27, 2022
Revised Proposal resubmitted to V37 Revised Proposal sent to V37 July 7, 2022
Inception Meeting to Review Design and Subaward July 25, 2022
Research team obtains Institutional Review Board Approval IRB approval, if required August 8, 2022
Inception Report Submitted Inception Report August 19, 2022
Data Collection Commences August 22, 2022
Data Collection Completed Raw Data Collected September 12, 2022
Data Analyzed and categorized into themes September 19, 2022
Report draft outline Outline September 26, 2022
Draft report Draft case studies and presentation submitted to V37 October 10, 2022
Comments from Advisors Received Comments returned to research team October 19, 2022
Final study report that incorporates comments from Advisors Polished case studies and presentation submitted November 21, 2022
Submit to Chief of Party for review Evidence of submission November 25, 2022
Dissemination of report through Cooperative Stakeholder Workshop Stakeholder Workshop December 16, 2022

Key Deliverables:
Deliverable Anticipated Completion Date
Inception Meeting July 25, 2022
Inception report and dissemination plan August 19, 2022
Draft submitted to review board October 10, 2022
Final Draft Submitted November 25, 2022
Cooperative Stakeholder Workshop December 16, 2022

Submission Requirements:
All applications should be submitted in PDF form to Land O’Lakes Venture37 by the closing date and time noted on page 1 of this RFA. Applications should be submitted electronically to Procurement.CDP@landolakes.com.
Questions:
Questions about this funding opportunity should be submitted no later than Monday, May 23, 2022. All questions received and answers will be shared will all applicants that have indicated interest. Responses to questions will be sent by close of businesses on Wednesday, May 27, 2022 US Central Standard Time. Indication of interest and questions about this opportunity should be sent to Procurement.CDP@landolakes.com.
Appendix 1: Statement of Integrity in Research
I, [insert name of Researcher], attest my research team will obtain the necessary Institutional Review Board (IRB) or equivalent approvals prior to commencing research. I understand research in Rwanda must obtain research visa from NISR. I understand research in Malawi must obtain approval from the National Committee on Research in the Social Sciences and Humanities or by any institution accredited by NCST.

In the execution of research conducted under this grant, I will ensure:
• Risks to participants are minimized by using procedures which are consistent with sound research design and which do not unnecessarily expose participants to risk.
• Risks to participants are reasonable in relation to anticipated benefits, if any, to participants and the importance of the knowledge that may reasonably be expected to result.
• Selection of participants is equitable, and particularly cognizant of special problems of research involving vulnerable populations.
• Informed consent will be sought from each prospective participant.
• Informed consent will be documented.
• The research plan will make adequate provision for monitoring the data collected to ensure the safety of participants.

I understand the importance of protecting personally identifiable information of research participants. I will treat all research data as confidential. I will work with the CD4 team to ensure the identity of each participant is dually protect and secured. I understand that no personally identifiable information may be included in any external facing document such as, but not limited to, working papers, presentations, peer reviewed papers or any other publications.
I will take responsibility and credit, including authorship credit, only for work I have performed or to which I have contributed. I understand these norms apply to grant proposals as well as to scientific publications.
I will ensure that principal authorship and other publication credits are based on the relative scientific, professional, and substantive contributions of the individuals involved, regardless of their status. In claiming or determining the ordering of authorship, I will seek to reflect accurately the contributions of main participants in the research and writing process.

If any research conducted under this grant is substantially derived from the student’s class papers, dissertation or thesis, such student shall be listed as principal author on any multiple-authored publication that substantially derives from such student work. Deviations from this practice require a written explanation provided to Venture37.
I understand, when engaging in participatory or community-engaged research, I am encouraged to engage in conversation with key research partners early and throughout the research process as to their desire for co-authorship and/or acknowledgements within published and other project materials (e.g., websites, presentations), to recognize contributions accurately and inclusively to research formulation, conduct, and interpretation.
I understand that I am required to acknowledge the contributions of the United States Agency for International Development, the Cooperative Development 4 Activity, and CD4 provided research mentors in the creation of any works under this grant.