Asareca research management guidelines

ASARECA’S RESEARCH GRANT SYSTEM

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

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.

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

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

Key Principles1. 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

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.

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.

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 UnitsFinance, 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

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.

Direct commissioning …

2. Where efficiency and effectiveness can be gained in implementation of a follow-up phase of a project.

2. 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

Timelines for CGS and DC AwardsProcess 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

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 32.5Uganda 270 67 123 77 5,070,583 20.1Tanzania 294 53 165 76 4,841,459 19.2Ethiopia 572 95 233 244 1,217,831 4.8Rwanda 85 6 34 45 1,816,828 7.2D.R.Congo 196 8 48 140 854,446 3.4Burundi 68 2 49 17 992,729 3.9Sudan 614 135 270 209 906,590 3.6Madagascar 118 20 81 17 518,362 2.1Eritrea 78 1 22 55 807,666 3.2Total 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

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

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

Thank You

Merci pour votre attention