Agricultural Research (Establishment and Management of the Zonal Competitive Agricultural Research and Development Fund) Regulation, 2004

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Date of promulgation: 

30 November 2004

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THE AGRICULTURAL RESEARCH (ESTABLISHMENT AND MANAGEMENT OF THE ZONAL COMPETITIVE AGRICULTURAL RESEARCH AND DEVELOPMENT FUND) REGULATION, 2004.
 
 
 
Regulation.
ARRANGEMENT OF REGULATIONS.
 
PART I—PRELIMINARY
 
1.    Short title
2.    Interpretation
 
PART II—ESTABLISHMENT AND MANAGEMENT OF THE FUND
 
3.    Establishment and objects of the fund
4.    Application of the Fund
5.    Division into agro-ecological zones
6.    Zonal competitive agricultural research and development committee
7.    Functions of a committee
8.    Secretariat  of  the  Zonal  Competitive  Agricultural  Research  and  Development
Fund
9.    Committee meetings
10. Decision of the committee
11. Remuneration of members
12. Power to co-opt
13. Disclosure of interest
Regulation.
 
14. Functions of the fund manager
15. Other officers and staff
16. Protection of members and staff from liability
 
PART III—MISCELLANEOUS
 
 
17. Funding duration
18. Calling of project proposal for funding
19. Proposal technical assessment committee
20. Financial year of the Fund
21. Estimates
22. Accounts
23. Audit
24. Annual reports
25. Annual meeting of stakeholders
26. Procedure for accessing the fund
27.   The Public Procurement and Disposal of Public Assets Act, 2003 and regulations made under it to apply where no provision is made.
 
The Agricultural Research (Establishment and Management of the Zonal
Competitive Agricultural Research and Development Fund) Regulation, 2004.
 
(Under section 36 of the National Agricultural Research Organisation Act, Cap 205).
 
IN  EXERCISE  of  the  powers  conferred  upon  the  Minister  by  section  36  of  the National Agricultural Research Organisation Act and on the recommendation of the Board, these Regulations are made this 1st day of December, 2004.
 
PART I—PRELIMINARY.
 
1.   Short title
These  Regulations  may  be  cited  as  the  Agricultural  Research  (Establishment and Management of the Zonal Competitive Agricultural Research and Development Fund) Regulation, 2004.
 
2.   Interpretation
In these Regulations, unless the context otherwise requires—
 
“Act” means the National Agricultural Research Organisation Act,; “agricultural research” means the furtherance, accumulation and improvement  of  knowledge  in  the  agricultural  and  related  sciences through original and other investigations and methods of a scientific or indigenous nature into the production, treatment or handling of an agricultural   product,   including   research   required   for   a   better understanding   of   the   process   involved   in   or   the   environment necessary  for  the  production  of  an  agricultural  product  with  the advancement of agriculture as its object;
 
“agricultural  research  service  provider”  means  any  person  whether  in  the public   or   private   sector   who   conducts   or   manages   agricultural research   in   accordance   with   the   Act;   and   includes   a   public agricultural   research   institute,   universities,   tertiary   institutions, farmers groups, civil society organisations, private sector organisations  and  any  other  entity  as  may  be  determined  by  the board;
 
“board” means the governing board of the National Agricultural Research Organisations;
 
“chairperson”  means  the  chairperson  of  a  Zonal  Competitive  Agricultural Research and Development Committee;
 
“committee”   means   a   Zonal   Competitive   Agricultural   Research   and Development  Committee established under regulation 5;
 
“Fund” means the Zonal Competitive Agricultural Research and Development Fund established by the board under regulation 3;
 
“Minister” means the Minister responsible for agriculture, animal industry and fisheries.
 
PART II—ESTABLISHMENT AND MANAGEMENT OF THE FUND.
 
3.   Establishment and objects of the fund
 
(1)  There  is  established  a  fund  to  be  known  as  the  Zonal  Competitive Agricultural Research and Development Fund. (2) The objects of the Fund are to—
 
(a) strengthen the national agricultural research system (NARS) through a better involvement of different stakeholders focusing on zonal issues;
 
(b)  promote  agricultural  research  partnerships  and  collaboration  between national and international, private and public institutions to maximise complementarities among different institutions, and disciplines in the conduct and management of agricultural research;
 
(c) make agricultural research more demand-driven by involving clients at the  grassroots  in  setting  priorities  and  financing,  executing  and evaluating agricultural research;
 
(d)  improve   agricultural   research  quality   and   innovation   by   selecting projects based on rigorous technical review of scientific merit, sound work plans and expected results to ensure relevance to different agro- ecological zones;
 
(e) increase total funding for agricultural research by mobilising funds from farmers, industry and other resources;
 
(f)  strengthen  the  contribution  of  universities  in  addressing  agricultural problems  of  zonal  importance  by  facilitating  the  participation  of faculty   members   and   post-graduate   students   in   demand-driven agricultural research projects;
 
(g)   speed   up   the   adoption   of   improved   agricultural   technologies   by providing   funding   for   scaling   up   of   promising   technologies   in partnership with the private sector; and
 
(h)  support  the  introduction  of  modern  technologies  and  innovative  ideas into the zonal agricultural research system.
 
(3) The moneys of the Fund shall consist of—
 
(a) moneys appropriated by Parliament;
(b) donations and grants from development partners;
(c) money given by the  board from its budget; and
 
(d)  donations,  gifts,  grants  and  loans  acceptable  to  the  Minister  and  the Minister responsible for finance.
 
(4)  The  moneys  of  the  Fund  shall  subject  to  section  40  of  the  Public Finance and Accountability Act, 2003 be deposited in a bank approved by the board and shall not be withdrawn except as authorised by the committee.
 
4.   Application of the Fund
 
The moneys of the fund shall be applied for—
 
(a) general provision of dependable and timely funds for zonal agricultural research priority setting in a specific agro-ecological zone;
(b)  helping   to   finance   the   provision   of   competitive   grants   for   zonal agricultural research activities;
(c) speed up the adoption of improved agricultural technologies by funding for scaling up of technologies in partnership with the private sector; and
(d)  support  the  introduction  of  modern  technologies  and  innovative  ideas into the zonal agricultural research system.
 
5.   Division into agro-ecological zones
For  the  purpose  of  the  operations  of  the  Zonal  Competitive  Agricultural Research and Development Fund, Uganda shall be divided into six zones—
 
(a)  The  North  Western  Region  agro-ecological  zone  consisting  of  the districts of Arua, Moyo, Yumbe, Adjumani and Nebbi;
(b)  The  Mid  Northern  Region  agro-ecological  zone  consisting  of  the districts of Gulu, Kitgum, Pader, Lira and Apac;
(c) The  Eastern  Region agro-ecological zone consisting of the districts of
Moroto, Nakapiripirit, Kapchorwa, Katakwi, Sironko, Mbale, Soroti, Kumi,  Tororo,  Pallisa,  Busia,  Mayuge,  Jinja,  Kamuli,  Iganga  and Bugiri, Kotido and Kaberamaido;
(d) The Central Region agro-ecological zone consisting of the districts of Mukono,   Wakiso,   Mpigi,   Masaka,   Kampala,   Luwero,   Mubende, Kiboga, Kalangala, Nakasongola and Kayunga;
(e)  The  South  Western  Region  agro-ecological  zone  consisting  of  the districts   of   Mbarara,   Ntugamo,   Bushenyi,   Kanungu,   Rukungiri, Kabale, Kasese, Kisoro, Ssembabule and Rakai;
(f) The Mid Western Region agro-ecological zone consisting of the districts of  Masindi,  Hoima,  Kibale,  Bundibugyo,  Kabarole,  Kamwenge  and Kyenjojo.
6.   Zonal competitive agricultural research and development committee
(1) There is established a committee for each agro-ecological zone to be known as the Zonal Competitive Agricultural Research and Development Committee.
 
(2)  The  Committee  for  each  agro-ecological  zone  shall  consist  of  the following persons—
 
(a) a representative of District Secretaries for production in the zone;
(b) a representative of District Chief Administrative Officers in the zone;
(c) a representative of District Directorates of Production in the zone;
(d) a representative of District NAADS Coordinators in the zone;
(e)  four  farmers’  representatives  nominated  by  the  District  Farmer’s  Fora and recognised farmers associations in a zone, at least two of whom shall be women);
(f) one private sector or agro-industry sector or agro industry associations representative operating in the zone;
(g) one NGO representative nominated by NGOs operating in the zone;
(h) two agricultural research scientists who could be from within or outside the zone of whom one shall be a woman; and
(i) zonal fund manager, ex officio.
 
(3)   A   member   of   the   Zonal   Competitive   Agricultural   Research   and Development Committee other than a Fund Manager shall hold office for two years and is eligible for reappointment for one more term.
 
(4)  The  board  shall  in  consultation  with  the  relevant  bodies  appoint  the members  of  a  committee  and  shall,  in  appointing  the  members  of  the  committee ensure that there is a balance of skills, experience and gender.
 
(5) Membership of the committee shall be on part time basis and members of the committee shall elect among their number a chairperson.
 
7.   Functions of a committee
The function of a committee is to—
 
(a) set zonal agricultural research priorities;
(b) approve zonal agricultural research plans and programmes;
(c) approve the specific agricultural research areas to be mentioned in the calls for proposals and to be given preference in funding;
(d) mobilise and allocate resources from district sources;
(e) ratify Competitive Grant Scheme accounts and annual report;
(f)   ensure   implementation   of   zonal   agricultural   research   plans   and programmes;
(g) follow up application of agricultural research results; and
(h) monitor the effectiveness and integrity of the grant-making process.
 
8.   Secretariat   of   the   Zonal   Competitive   Agricultural   Research   and
Development Fund
(1) There shall be a secretariat for the Zonal Competitive Agricultural Research and Development Fund in each agro-ecological zone which shall be responsible for the day to day operation of the fund in a particular zone.
 
(2)  The  secretariat  shall  be  composed  of  a  zonal  fund  manager  and  such other staff as a committee, with the approval of the board, determine to be necessary for the discharge of the functions of the Fund.
 
(3) The secretariat shall—
 
(a)  prepare  and  submit  budgets,  work  plans  and  annual  reports  of  the secretariat for committee approval;
 
(b) on behalf of the committee, organise stakeholder meetings for purpose of setting or updating zonal research priorities;
 
(c)  identify,  in  consultation  with  stakeholders,  priority  research  areas  for committee approval;
 
(d) disseminate information about the zonal competitive grant scheme and its Fund and publicise calls for proposals;
 
(e) receive and register applications and acknowledge receipts to applicants; (f) carry out administrative and technical pre-screening of the proposals to ensure   that   prescribed   format   for   Competitive   Grant   Scheme
application and procedures are adhered to;
 
(g) prepare and submit proposals for assessment by a technical committee;
 
(h) prepare and submit proposals for peer review;
 
(i) summarise assessors’ report for selection of proposals;
 
(j) communicate with applicants on the status of the processed proposals;
 
(k) prepare and sign contracts of supported proposals;
 
(l) disburse funds to grantees;
 
(m)  receive,  record  and  review  progress  and  final  reports  on  funded projects;
 
(n)   monitor   and   evaluate   projects   in   consultation   with   the   recipient organisations;
 
(o)  approve  minor  modifications  to  approved  projects  and  submit  major modifications for technical committee consideration;
(p)  stop  disbursements  when  warranted  by  failure  to  submit  reports  or adverse monitoring findings;
 
(q) organise  training  in  the  preparation of  proposals,  and  other  aspects  of the project cycle, as needed; and
 
(r) liase with stakeholders including potential new sources of funding; and
(s)  propose  changes  to  operational  manual  as  required  for  committee approval.
 
(4)   A   zonal   fund   manager   shall   be   appointed   by   the   board   on   the recommendation of a committee and his or her recruitment shall be on the basis of competitive selection.
 
9.   Committee meetings
(1) The committee shall meet four times a year at such place as the chairperson may determine for the discharge of its business.
 
(2) The quorum for a meeting of a committee is five members.
 
(3) Notice of a committee meeting shall be given in writing to each member at least fourteen working days before the day of the meeting.
 
(4) The chairperson shall preside at every meeting of the committee and in the absence of the chairperson, the member present shall elect one of their number to preside at that meeting.
 
(5) The person presiding at a meeting of the committee shall have a casting vote in addition to his or her deliberative use.
 
(6) Subject to this regulation, a committee may regulate its own procedure or any other matter relating to its meeting.
 
10.   Decision of the committee
(1) Every decision of the committee shall, as far as possible, be by consensus.
 
(2) Where on any matter consensus cannot be obtained, the matter shall be decided by a majority of votes of the members present and in case of an equality of votes,  the  person  presiding  shall  have  a  casting  vote  in  addition  to  his  or  her deliberate vote.
 
(3)  A  zonal  fund  manager  shall  cause  to  be  recorded  minutes  of  all proceedings of the committee.
 
(4)  A  zonal  fund  manager  shall  have  custody  of  the  minutes  of  the committee.
 
11.   Remuneration of members
The  members  of  a  committee  shall  be  paid  such  allowances  as  may  be determined by the board.
12.   Power to co-opt
(1) A committee may invite any person who, in the opinion of a committee, has expert knowledge concerning the functions of the committee, or who is likely to be of  assistance  to  a  committee  to  attend  and  take  part  in  the  proceedings  of  the committee.
 
(2) A person attending a meeting of a committee under this regulation may take part in any discussion at the meeting on which his or her advice is required, but shall not have any right to vote at that meeting.
 
13.   Disclosure of interest
(1) If a person is present at a meeting of a committee at which a matter is the subject of consideration and in which that person or his or her nominee or spouse is interested   in   a   private   capacity   he   or   she,   as   soon   as   practicable   after   the commencement   of   the   meeting   disclose   that   interest   and   shall   not   unless   a committee direct otherwise, take part in any consideration or discussion or question relating to the matter.
 
(2) A disclosure of interest made under this regulation shall be recorded in the minutes of the meeting at which it is made.
 
14.   Functions of the fund manager
(1)  A  zonal  fund  manager  is  responsible  for  the  day-to-day  operations  and administration of the Fund.
 
(2) Without prejudice to the generality of subregulation (1), a fund manager is responsible for—
 
(a) implementation of the policies and program of the Fund;
 
(b) the organisation and control of the staff of the Fund;
 
(c) identification and preparation of zonal competitive agricultural research activities;
 
(d) preparation, monitoring and control of the Fund’s operating budget;
(e)  participation  in  the  selection  and  supervision  of  agricultural  research service providers;
 
(f) awareness and sensitisation activities associated with the zonal program;
 
(g) preparation of progress reports to the committee;
 
(h) acting as secretary to the committee; and
 
(i) any other duties that may be assigned to him or her by the committee and the board.
 
(3) The zonal fund manager is in the performance of his or her functions, answerable to a committee.
 
(4) A fund manager shall cease to hold office if—
(a) he or she resigns;
 
(b) his or her contract expires;
 
(c)  has  financial  or  proprietary  interest  in  organisations  that  may  be benefiting   from  the   Fund   for   provision   of   agricultural  research services;
 
(d) he or she is removed from office by the board for— (i) misconduct or misbehavior;
(ii) inability to discharge the functions of his or her office arising out of physical or mental disability;
 
(iii) incompetence.
 
15.   Other officers and staff
(1)  The  board  may  appoint  other  officers  and  staff  of  the  Fund  as  may  be necessary for the effective performance of the functions of the Fund.
 
(2)  The  employees  appointed  under  this  section  shall  hold  office  on  such terms and conditions as may be specified in their instruments of appointment.
 
16.   Protection of members and staff from liability
(1) A member of a committee is not personally liable for an act done by him or her in good faith and without negligence for the purpose of carrying into effect the provisions of these Regulations.
 
(2)  An  employee  of  the  Fund  or  other  person  acting  on  behalf  of  a committee is not personally liable for any act done by him or her in good faith and without negligence for the purposes of carrying into effect the provisions of these Regulations.
 
PART III—MISCELLANEOUS.
 
17.   Funding duration
(1)  The  disbursement  of  funding  of  a  particular  agricultural  research  proposal from the Fund is for a period of three years except in an exceptional case where it can be extended for another two years.
 
(2) No project shall receive funding from the Fund for more than five years without  prior  evaluation  and  new  successful  submission  of  a  new  proposal  to  a committee.
 
(3) The board shall annually establish minimum and maximum funding for the zonal agricultural research competitive grant activities.
 
18.   Calling of project proposal for funding
A committee shall twice a year publish calling for project proposals for funding from the Fund by publishing in at least one publication of wide circulation to ensure competition.
 
19.   Proposal technical assessment committee
(1)  There  shall  be  a  sub-committee  appointed  by  the  committee  known  as  the technical committee.
 
(2)   The   technical   committee   shall   carry   out   technical   assessment   of agricultural research proposal.
 
(3) The technical committee consist of the following—
(a) one agricultural scientists nominated by the management committee of a zonal  agricultural  research  institute  located  in  the  agro-ecological zone;
 
(b)  an  eminent  agricultural  scientist  not  associated  to  any  of  the  public agricultural research institutes or universities;
 
(c) one person of integrity and who has experience of and proven capacity in agricultural extension service, business or administration;
 
(d)  two  other  persons  of  integrity  and  who  has  experience  of  and  proven capacity in agriculture, farming, agro-business or development; and
 
(e)  a  zonal  fund  manager  who  shall  act  as  secretary  to  the  technical committee.
 
(4) A member of the technical committee other than a fund manager shall hold office for three years and is eligible for re-appointment for one more term.
 
(5)  Members  of  the  technical  committee  shall  elect  a  chairperson  from among their nymbers.
 
(6)  The  technical  committee  shall  meet  twice  a  year  at  such  place  as  the chairperson may determine for the discharge or its business.
(7) The quorum for a meeting of the technical committee is three members. (8) Subject to the regulation, the technical committee may regulate its own
procedure or any other matter relating to its meeting.
 
20.   Financial year of the Fund
The financial year of the Fund shall be the twelve months beginning on 1st July of each year and ending on 30th June in the following calendar year.
 
21.   Estimates
(1)  A  fund  manager  shall,  not  later  than  three  months  before  the  end  of  each financial   year,   prepare   and   submit   to   a   committee   for   its   approval   and recommendation  to  the  board,  estimates  of  income  and  expenditure  for  the  next ensuing  financial  year,  and  may  at  any  time,  before  the  end  of  the  financial  year prepare and submit to a committee, any estimates supplementary to the estimates of the current financial year.
 
(2)  No  expenditure  shall  be  made  out  of  moneys  of  the  Fund  unless  that expenditure is part of the expenditure approved by the board under subsection (1).
 
22.   Accounts
(1)  The  zonal  fund  manager  shall  keep  proper  books  of  accounts  of  all  the income and expenditure of the Fund and proper records in relation to them in a form approved by the Auditor General.
 
(2) Subject to any directions given by the board, a committee shall cause to be prepared in respect of each financial year, a statement which shall comprise-
 
(a) a balance sheet and a statement of income and expenditure of the Fund in respect of that financial year; and
 
(b) any other information in respect of the financial affairs of the Fund as the board may require.
 
23.   Audit
(1) The accounts of the Fund shall, in respect of each financial year, be audited by the Auditor-General or by an auditor appointed by the Auditor General.
 
(2) The donors may appoint an auditor of their choice to audit the books of the Fund.
 
(3) The board shall ensure that within three months after the end of each financial year, the statement of accounts described in regulation 22 is submitted for auditing.
(4)  The  Auditor-General  or  an  auditor  appointed  by  the  Auditor  General
shall have access to all books of accounts, vouchers and other financial records of the Fund and is entitled to have any information and explanation required by him or her in relation to them as he or she may think fit.
 
(5)  The  Auditor-General  shall,  within  three  months  after  receipt  of  the statement of accounts under subregulation (3), audit the accounts and deliver to the committee a copy of the audited accounts together with his or her report on them, stating any matter which, in his or her opinion, should be brought to the attention of the board.
 
24.   Annual reports
(1) A committee shall within three months after the end of each financial year, submit to the board the annual status report and the audited accounts referred to in regulation 23(5) together with the Auditor General’s report on them.
(2) The board through the Minister shall, as soon as possible after receiving the reports referred to in subregulation (1) submit the reports to the Parliament.
 
25.   Annual meeting of stakeholders
(1) The board shall before the end of each financial year, convene a meeting to be attended by—
 
(a) members of the Committee;
 
(b) the Fund Managers;
 
(c) District Chairpersons;
 
(d) two representatives of agricultural research service providers from each zone;
 
(e) two representatives of the private sector from each zone;
 
(f) two representatives of the civil society from each zone; and
(g) two representatives of the farmers from each zone. (2) The purpose of the meeting shall be for the—
(a)   presentation   by   the   committees   of   the   annual   status   report   and discussion of conclusions, observations and recommendations relating to the reports;
 
(b) presentation by the committees of their preliminary reports concerning the financial status of the Fund; and
 
(c) determination  of  zonal  agricultural research priorities which addresses the farmer’s and other stakeholders demands, needs and opportunities.
 
26.   Procedure for accessing the fund
The  Fund  shall  be  managed  in  accordance  with  the  guidelines  set  out  in  the
Schedule to this Regulations.
 
27.   The Public Procurement and Disposal of Public Assets Act, 2003 and regulations made under it to apply where no provision is made.
In  respect  of  any  matter,  where  these  Regulations  have  not  expressly  or  by
necessary implication made provision for, the Public Procurement and Disposal of Public  Assets  Act,  2003  or  any  regulation  made  under  it  shall  apply  to  any  such matter.
 
 
 
 
SCHEDULE.
GUIDELINES.
 
1. FORMULATION AND SUBMISSION OF PROPOSALS
 
1.  Calls for research proposals
(1)  The  Fund  Secretariat  shall  advertise  calls  for  research  proposals  in  Uganda’s newspapers twice each year (i.e. January and July), copies of the call for proposals will be circulated widely, including to PARIs, Universities, selected Non-Governmental Organisations,  private  research  entities,  Industrial  organisations,  Farmer  or  Commodity associations, and the District Production Departments and NAADS Coordination offices.
 
(2) (a) The call for proposals shall also be posted on the Board website.
(b) Appendix 1 provides an indicative announcement for the call for proposals. (3) The Fund Secretariat should receive research proposal submissions in response
to the January and July calls by 30th   March and 30th   September, respectively, and only submissions received or postmarked by the deadlines are accepted.
 
(4) (a) Applicants will be informed of decisions by 30th June and 31st   December of the same year for January and July invitations, respectively.
 
(b) For January invitation, grants will be available from July  1st   of the same year, while grants for July invitations will be available from January 1st   of the following year.
 
2.  Eligibility
The applicant shall be—
 
(1) (a) resident in Uganda and where the applicant is non-residential of Uganda at least the principal investigator should be resident in Uganda;
 
(b)  a  person  qualified  to  undertake  the  proposed  agricultural  research  and development activity.
(2) (a)  For  agricultural  research,  the  applicant  should  demonstrate  capacity  to conduct  agricultural  research  and  deliver  the  stated  results  in  the  proposal, and  post-graduate  students,  should  be  closely  supervised  by  an  adequately qualified scientist.
 
(b)  in  the  case  of  development  activities,  indication  of  competence  should  be provided by the applicant.
 
(3)  The  applicant  shall  be  registered  with  the  board  as  an  agricultural  research service provider.
 
3.  Relevance
The  proposed  agricultural  research  or  development  activity  should  be  relevant  to  the development needs of the zone as indicated by—
(a) priority research areas for funding provided by the competitive grant scheme;
(b) a competitive grant scheme call for proposals on the topic in question; or in rare cases;
(c)  ex-ante  impact  assessments  that  score  high  economic  returns  to  clients  in  the zone.
 
4.  Proposal format
(a)   Applicants   must   read   the   relevant   portions   of   the   Zonal   Competitive   and Agricultural  Research  and  Development  Manual  and,  if  needed,  are  advised  to  seek clarification from the Fund Secretariat.
(b) Research proposals should be formulated and submitted according to the CGS
format provided in Appendix 2a.
(c) Specific Guidelines to assist proposal writers are given in Appendix 2b.
 
(d) Applications shall be prepared in english and typed.
 
(e) The quality of the document must be good enough to enable the Fund Secretariat to make copies.
(f) An electronic copy of the proposal shall also be required.
(g)  All  research  proposals  will  be  recorded,  filed,  and  treated  as  confidential documents by the Fund Secretariat.
 
5.  Institutional endorsement
 
(a) The appropriate senior administrators must endorse submissions by postgraduate students and staff members of research institutions.
(b) The endorsement must indicate that resources (other than those requested from the  CGS)  are  available  to  support  the  proposed  research  and  that  the proposed  activities  are  in  accordance  with  the  institution’s  policy   and priorities.
 
(c)  In  the  case  of  collaborative  agreements  or  large  proposals  with  several  sub- projects, several endorsements may be needed.
 
6.  Pre-proposals
(a) Before embarking on writing a full research proposal, applicants shall submit two- to five-page pre-proposals or expressions of interest.
 
(b)  A  small  working  group  operating  under  the  Secretariat  shall  review  the  pre- proposals  and  advise  applicants  on  their  prospects  for  receiving  funding  as well  as  on  some  of  the  main  points  applicants  should  consider  when developing their pre-proposals into full proposals.
 
(c) The format for pre-proposals is not prescribed and the feedback received from
Secretariat working group is not binding.
 
(d)  Except  under  exceptional  circumstances,  no  funding  will  be  provided  for  the purpose of developing proposals.
 
(e)   Pre-proposals   are   encouraged   and   reviewed   as   a   service   to   prospective applicants, with intent of improving proposals and reducing waste associated with  the  development  of  proposals  that  are  unlikely  to  be  funded  by  the scheme.
 
(f) The deadline for the pre-proposals shall be two months prior to the deadline of the full proposals.
(g)   The   Secretariat   working   group   shall   send   its   non-binding   feedback   to prospective applicants within ten working days following receipt of the pre- proposals.
 
7.  Pre-screening
(a)  The  Fund  Secretariat  will  screen  all  research  proposals  received  for  compliance with the prescribed procedures.
(b)  The  purpose  of  this  administrative  pre-screening  is  to  eliminate  from  further consideration proposals that:
* were not submitted by the due date;
* deviate significantly from the prescribed format;
* omit essential required information;
* do not include the required supporting documents; or
 
* request funding in excess of the maximum limit of CGS.
(c) The Secretariat shall perform administrative pre-screening within five working days after the due date.
(d)  The  decisions  by  the  Secretariat  during  administrative  pre-screening  shall  be reported  to  and  reviewed  by  the  proposal  assessment  technical  committee, which  may, if needed, reconsider these decisions and advise the secretariat on how to proceed in the future.
 
8.  Independent technical assessment
(a)  Proposals  that  pass  pre-screening  shall  be  sent  to  all  members  of  the  technical committee  and  at  least  two  peer  reviewers  who  are  specialists  in  the  subject  area  of  the proposal.
(b)  The  guidelines  for  assessors  are  given  in  Appendix  3a,  the  criteria  and  the weights  to  be  used  in  rating  proposals  of  various  types  are  tabulated  in Appendix  3b,  and  the  form  to  be  used  for  the  assessment  is  attached  as Appendix 3c.
(c)   The   Fund   Secretariat   shall   make   reasonable   efforts   (including   seeking replacement assessors when needed) to secure two independent assessments, but if this fails, technical committee shall make selections based solely on the members’ assessments.
(d) While the identity of the assessors shall be kept confidential by the Secretariat and  the  technical  committee,  the  content  of  the  assessments  and  especially substantive  comments  on  how  to  improve  the  proposed  research  shall  be made available to principal investigators.
 
9.  Selection of proposals
(a)   The   Secretariat   will   select   research   proposals   and   approve   grants   for   their implementation,   taking   into   consideration   assessment   reports   or   comments   from   the technical committee members and peer reviewers, as well as specific priorities mentioned in the call for proposals and general priorities approved by the committee.
 
(b) To assist the decision-making process of the peer reviewer on the proposals, the Secretariat will compile technical committee members’ and assessors’ ratings of proposals and compute rankings.
(c)  The  technical  committee  has  the  right  to  reject  highly  rated  proposals,  which have  appropriate  methods  but  little  relevance;  or  projects  with  relevant objectives but scientifically inappropriate design.
 
(d)  In  most  cases,  the  technical  committee  shall  accept  proposals,  reject  them entirely,  or  request  applicants  to  revise  their  proposals  for  re-submission during the next funding cycle.
(e) The technical committee shall not  cut budgets and rewrite proposals to fit the reduced resources.
 
(f) Good projects with inflated budgets shall be rejected and applicants notified of the reasons.
 
(g) Acceptance with a budget cut shall be used only rarely, typically in a situation where  the  proposed  research  has  several  components  and  the  proposal specifically   indicates   that   some   of   the   components   can   be   completed irrespective of whether the others are funded or not.
 
(h)  The  technical  committee  shall  justify  and  document  its  decisions,  especially those that significantly differ from the rankings based on ratings.
(j) The Secretariat shall inform applicants of the outcome of the selection process and, if so requested by applicants, explain the justifications used.
(k)   The   chairperson   of   the   technical   committee   shall   present   the   proposal assessment report to the committee for approval.
 
10.   Award and grant conditions
(a)  After  decisions  of  the  technical  committee  and  approval  by  the  committee,  the
Secretariat shall initiate contract procedure for proposals selected for support.
(b)  On  signature  by  all  parties,  a  formal  agreement  is  entered  into  by  the  parties, namely  the  zonal  fund  manager  (on  behalf  of  the  board),  the  principal investigator, and, if applicable, the institution.  A copy of the contract form is available in Annex 4.
 
11.   Cost coverage
(a)  Applicants  are  advised  to  take  great  care  in  developing  their  budget  as any unnecessary  expenditure,  particularly  for  travel  and  per  diem,  will  greatly  impede  the possibility of selection.
 
(b) Applicants shall take note of the following—
 
(i)  the  scheme  covers  only  direct  research  costs  and  professional  fees  for researchers, and does not support salaries or allowances, except in the cases listed below.
(ii) an overhead allowance of 8% and upto 15% of the total budget is payable to the grantee’s institution, department or organisation.
(iii)  stipends  to  support  post-graduate  students  are  permissible  and  no allowances can be paid for those who receive the stipends.
(iv)  faculty  members  who  co-ordinate  major  research  projects  and  involve post-graduate   students   can   be   paid   per   diem   allowances   for supervision.
(v) well justified travel costs, including costs of overseas travel, are tenable under the scheme.
 
12.   Financial responsi-bilities and procedures
(a)  The  administration  and  management  of  grants  shall  follow  procedures  of  the submitting institution.
 
(b) Authorised officers within the institution will authorise payments.
 
(c) The institutions will use their normal regulations and procedures for determining payments for travel, supplies, etc. except as they may not conflict with this regulations  and  procedures,  in  which  case  this  regulation  procedures  will apply.
(d)  Within  the  PARIs,  the  administration  and  management  of  grants  received  by PARI  scientists  will  follow  established  procedures  of  the  PARI  using  its accounting documents, although funds from CGS will be kept discrete from the other PARI accounts.
 
(e)  The  Director  of  the  PARI  will  authorise  payments,  on  acceptance  of  progress and annual reports.
 
(f)  For  self-employed  investigators  not  affiliated  with  the  universities,  research institutions,  credible  NGOs  and  private  companies,  the  grant  funds  will  be managed by the Fund Secretariat, which will be the institution of reference.
 
(g) Financial reporting shall be part of the reporting requirements and will follow the guidelines and format provided in the Appendix 5.
 
(h) The Finance Officer of the institution shall sign the expenditure reports, along with the principal investigator.
 
(i) The Fund Secretariat  will receive  all financial  documents from the institutions and individuals, check them for accuracy, and process payments.
 
13.   Disburse-ment and accounting for funds
(a)  Upon  receipt  of  the  completed  research  grant  forms  from  the  grantee,  the  Fund Manager  shall  authorise  the  release  of  70%  of  the  approved  first  year’s  budget  for  the implementation of the project.
 
(b) Grant disbursements will be made to the Head of the submitting institution, who will   in   turn   release   funds   to   the   principal   investigator   for   project implementation as and when necessary.
 
(c)  The  principal  investigator  shall  submit  a  statement  of  actual  expenditures  for each   three-month  period,   together   with   a   request   for   the   next   period, according to the project work plan and budget.
 
(d) After the initial advance, disbursements will be released only on acceptance of reports.
(e)  Failure  to  provide  a  satisfactory  account  of  expenditure  may  result  in  the immediate suspension or termination of CGS funding and the refund to the fund  of  any  funds  which,  in  the  opinion  of  committee,  have  not  been satisfactorily accounted for.
(f)  The  Fund  Secretariat  and  other  audit  teams  reserve  the  right  at  any  time  to inspect the financial details relating to CGS funded projects.
(g) Any equipment or material purchased from the fund shall become the property of the institution or department at the end of the project.
(h) In the case of development projects, the fund shall have a joint ownership with the grantee of any equipment or materials commercialised.
(i)  On  completion  of  the  project,  any  unspent  balance  from  fund  grant  must  be refunded to fund.
 
14.   Progress and final reports
(a) The principal investigator shall submit to the Fund Secretariat, progress report every three months from the date of commencement of the project.
 
(b) Upon completion of the project, a financial statement, two bound copies and an electronic copy of the final report shall be submitted to the Fund Secretariat.
 
(c) This report should cover the life of the project and stress achievements, results and likely impact.
(d) A list of publications should be appended.
(e) Post-graduate students should submit a copy of their thesis.
(f) All reports will be examined for completeness and will be reviewed for technical progress  and  achievements  against  the  milestones,  which  were  included  in the proposal and therefore form part of the contractual agreement.
(g)  Financial  expenditures  will  be  scrutinised  against  the  budget  and  projected expenditure plan and where necessary, the principal investigator or the Head of  submitting  institution  may  be  asked  to  clarify,  make  additions  and corrections.
(h) All reports should be prepared according to the format for presentation given in
Appendix 6.
 
(i) Copies of all progress and final reports should be given to the Head of submitting institution or department.
 
 
15.   Sanctions
(a) Progress reports are due 15 days after the end of each three-month period and if the progress report is not received within two weeks after the due date, the principal investigator or the head of submitting institution will be notified to suspend disbursement of funds until the report is received.
 
(b) The Fund Secretariat will not approve further disbursement of grant funds until the situation is satisfactorily remedied.
 
16.   Force majeure
(a) If performance of the contract by either party is delayed, hindered or prevented, or otherwise frustrated by reason of force majeure (civil commotion, fire, flood, action by any government or any event beyond the reasonable control of the party affected) then the party so affected will promptly notify the other party in writing, specifying the action of the force majeure and of the anticipated delay in the performance of the contract.
 
(b)  From  the  date  of  that  notification,  the  committee  may  at  its  discretion  either terminate  the  contract  immediately,  or  suspend  the  performance  of  the contract for a period not exceeding six months.
 
 
(c)  In  the  event  of  the  contract  being  terminated  by  reason  of  force  majeure,  the principal investigator or the head of submitting institution of the project will submit an account in writing to the Fund Secretariat.  Such an account should take  into  consideration  the  amount  claimed,  all  fees  and  costs  properly incurred or committed by the principal investigator or the head of submitting institution  in  relation  to  the  contract,  which  cannot  be  recovered,  and  any outstanding advances made.
(d)  If  payments  are  within  the  financial  limit,  and  not  subject  to  dispute,  the committee  will  pay  all  sums  due  and  outstanding  under  the  terms  of  the contract up to the date of termination.
 
17.   Monitoring and evaluation.
(a)  Routine  monitoring  of  research  projects  will  be  done  by  the  Secretariat  based  on progress  reports  submitted  by  the  principal  investigator  of  the  research  projects  and  the Secretariat shall also undertake spot-checks to ensure accountability.
 
(b) In addition, substantive monitoring and evaluation visits by scientists or experts knowledgeable  in  the  field  of  study  of  the  project  shall  be  undertaken periodically.
 
(c) During such visits, the following will be reviewed—
* Progress in the implementation of projects;
 
* Changes that can be made for those projects that appear to be in trouble;
 
*  Whether  the  reports  reflect  reality  and  to  gain  information  to  pass  on  to others as to how to conduct a successful project.
(d) Experts appointed by the committee shall review all progress and final reports.
 
18.   Fund indicative timetable.
The indicative timetable of the fund is provided in Appendix 7.
 
19.   Publication and Dissemination.
(a) The committee encourages grantees to publish their results in scientific journals and extension materials.
(b)  Publications  in  peer-reviewed  international  journals  and  advisory  services support  information  provide  important  support  for  researchers  seeking  new funding from the fund.
 
(c) Such publications should be submitted as part of a progress or final report where possible.
 
(d)  Financial  contribution  from  fund  be  acknowledged  in  publications  based  on research  supported  by  CGS  as  follows:-   This  research  was  supported  (in part) by (name of the zone) Competitive Agricultural Research.