Asareca research management guidelines


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  • ASARECA Staff
  • Asareca research management guidelines

    2. 2. Introduction to the sub-grant funding mechanism • ASARECA addresses regional agric. researchable issues through regional collective action. • The grant system hence seeks to promote agricultural research of strategic importance and relevance to the ECA sub-region as prioritised by ASARECA stakeholders & documented in the strategic plan • Research is implemented in member NARS using the Ag. Innovations Systems (AIS) and VC approach. • The sub granting mechanism is demand driven, performance based, transparent, open and competitive • Regionality does not entail equal sharing of the resource basket but equity in access to ASARECA research results for all member NARS
    3. 3. Key Objectives of the Granting Mechanism • promote integration within the NARS and stimulate regional collaboration in research. • generate and disseminate knowledge and TIMPs to foster development in line with identified regional priorities • strengthen the NARS through stakeholder engagement and capacity building efforts; • Strengthen PPP at the national, regional and international level; • Strengthen linkages between stronger and weaker stakeholders • improve the quality of research as well as its relevance for the development of the sub-region. • strengthen ASARECA as a regional institution responsible for co- ordinating agricultural research in the sub-region.
    4. 4. Eligibility Criteria • Research proposals come from constituent members of NARS in any of the 11 ASARECA member countries. However, collaboration with international research centres and/or with institutions outside the sub- region is encouraged. • At least three ASARECA member countries. • At least four NARS organisations, variously located in the member countries (for compliance with above requirement) and agree to work in partnership on the proposed research. • Inclusion on the team of one or more organisations from the less resourced NARS [Bu, Er, ...] is compulsory. • Letters of firm intent to participate in the proposed research • Each partner commands at least 20% of the budget. Partnerships address ASARECA mandate
    5. 5. Allowable Costs • The grant system is not intended to provide funding for core or permanent salary costs, large capital items and investment in construction of buildings or research facilities, except where these are considered as essential direct costs of executing the research. Allowable costs include: • Short-term personnel dedicated to work on the project; • Travel, accommodation and per diem; • Project inputs including specialized equipment; • Required computer and/or telecommunications equipment; • Data collection and statistical analysis; • Local transportation; • Training, meetings and seminar costs; • Project management, including M&E; • Dissemination of research results, etc
    6. 6. Key Principles 1. Delivery – project design dramatically improves the delivery of ASARECA's sub-regional impact. 2. Broad partnerships to make full use of available specialised experience, expertise and competence. 3. Empowerment of end-users to participate in priority setting and implementation 4. Integration of Gender considerations at all levels 5. Planned Subsidiarity 6. Evidence based approach 7. Cost sharing 8. Explicit incorporation of sustainability criteria: 9. Institutional learning 10.Transparency
    7. 7. Governance and Administration of Grants • The ASARECA Grant System is governed through a two-level institutional framework. Under the overall oversight of the Board of Directors (BoD), the Programme Committee of the Board acts as the authorising body. The Programme Committee of the BoD approves all proposals except those that are less than US$1 million, where approval shall be granted by the Executive Director. • The grants system is administered and operated by ASARECA’s PMUs as the main entry point for external collaborators.
    8. 8. Granting Mechanisms • Two mechanisms apply  The Competitive Grants System  Direct commission (for special circumstances) • These mechanisms allow for support of scientific excellence and broadening of the partnerships available to implement a project in the sub-region.
    9. 9. The Competitive Grants System Call for Concept Notes Submission of Concept notes Review and selection of winning concept Institutional capacity assessment Preparation of final project documents Internal Review and approval InputsInputs ASARECA Strategic Plan & Operational Plan, Programme Strategies ASARECA Strategic Plan & Operational Plan, Programme Strategies Partners in ASARECA Constituent NARS Partners in ASARECA Constituent NARS Technical Review Team (External) Technical Review Team (External) Finance, Audit and Procurement Units Finance, Audit and Procurement Units Winning Team & PMUWinning Team & PMU Technical Review Team (Internal) Technical Review Team (Internal) ProcessProcess Delivery ChannelsDelivery Channels ASARECA website, partner websites, email and regional newspapers ASARECA website, partner websites, email and regional newspapers Email and hard copyEmail and hard copy Workshop/Meeting or online submissions Workshop/Meeting or online submissions Assessment forms & Institutional visits Assessment forms & Institutional visits WriteshopWriteshop Programme Management MtgProgramme Management Mtg
    10. 10. Direct Commissioning • Direct commissioning involves provision by ASARECA of research grants based on direct negotiations with a particular research provider • It is only done under the following special circumstances: 1. compelling urgency to address a certain researchable issue, which necessitates significant shortening of the project commissioning / contracting process to enable prompt/speedy action e.g. A food crisis, pandemic, etc 1. The provider must be the most capable, has capacity to mobilise regional teams quickly and can be contracted within available budgets.
    11. 11. Direct commissioning … 2. Where efficiency and effectiveness can be gained in implementation of a follow-up phase of a project. 1. The PMU must demonstrate impacts of the current phase and value added of proposed work and why it wasn’t considered earlier. 3. Where a research grant is small, i.e. has a value of not more than US$ 25,000 and competitive sub-grant award procedures would be considered uneconomical in relation to the small size or nature of the grant. 4. The sub-grant has to be awarded to the research organisation or individual researcher who, according to the best knowledge and judgement of ASARECA, is most capable to deliver the expected results
    12. 12. Timelines for CGS and DC Awards Process step CGS DC 1 Issue of call for preparation and submission of concept proposals (full project document for direct sub-grant award)- from date of publication 5 4 2 Administrative evaluation of submissions including institutional capacity assessment 1 N/A 3 Technical evaluation of submissions including institutional capacity assessment 3 2 4 Approval of winning proposals 3 2 5 Development of full project documents 2 N/A 6 Sub-grant award and contracting 2 2 Total time required (weeks) 16 10
    13. 13. Member Country Participation Country Total NARI research staff PhD holders in NARI MSc holders in NARI BSc holders in NARI Total sub- grants to country (US$) % of total ASARECA sub-grants Kenya 549 149 284 116 8,183,304 32.5 Uganda 270 67 123 77 5,070,583 20.1 Tanzania 294 53 165 76 4,841,459 19.2 Ethiopia 572 95 233 244 1,217,831 4.8 Rwanda 85 6 34 45 1,816,828 7.2 D.R.Congo 196 8 48 140 854,446 3.4 Burundi 68 2 49 17 992,729 3.9 Sudan 614 135 270 209 906,590 3.6 Madagascar 118 20 81 17 518,362 2.1 Eritrea 78 1 22 55 807,666 3.2 Total 25,209,798 100 Table 1. Research staffing in NARIs, and total research sub-grants advanced by ASARECA to NARs in the period from August 2009 to November 2012
    14. 14. Fig 1. Percentage of scientists responding to research calls, percentage who were PIs and percentage of successful responses from the different countries Fig 2. CGS Research Expenditure by Country in 2005 – 2007 (adopted from Mukiibi 2008) Member Country Participation
    15. 15. Challenges • Limited participation of some ASARECA Country NARS – factors vary but include limited capacity [PhDs], Language [ASARECA official language is English], limited incentive structure • Low “burn rate” due to procurement procedures, in-country policies on disbursements from HDQs to implementation centres
    16. 16. Thank You Merci pour votre attention