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MINISTRY OF AGRICULTURE,LIVESTOCK, FISHERIES AND IRRIGATIONSTATE DEPARTMENT FOR CROPS DEVELOPMENT

Collaborative Research

Grants Manual

Capitol Hill Towers, Cathedral RoadP. O. Box 8073 00200, NAIROBI

Tel: +254 020 [email protected]

Website: www.kcsap.go.ke


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Version 1 2018

KENYA CLIMATE SMART AGRICULTURE PROJECT (KCSAP)


COLLABORATIVE RESEARCH GRANTS MANUAL

VERSION 1

2018

KCSAP Kenya Climate-Smart Agriculture Project

© MoALF&I

Kenya Climate-Smart Agriculture Project (KCSAP) Capitol Hill Towers, Cathedral RoadP.O Box 8073 00200NairobiTel: +254 020 2715466Email: [email protected]


i Collaborative Research Grants Manual | 2018

FOREWORD

The overall performance of Kenyan agriculture has been highly volatile during the last two decades with negative growth being experienced in nine years between 1980 and 2012. The principal source of this volatility is largely the extreme weather events, which have tended to increase in frequency and intensity with time due to climate change. About 98 percent of agriculture in Kenya is rain-fed and extremely vulnerable to increasing temperatures and droughts. Average annual temperatures in the country rose by 1°C between 1960 and 2003 and by 1.5°C in the Arid and Semi-Arid Lands (ASALs). Projections to 2030 show mean annual temperatures increasing again by 1.0–1.5°C. This is expected to significantly affecting water availability and soil quality; thus, worsening the effects of the increasing frequency and intensity of the droughts. Changes in rainfall patterns and temperatures could alter growing seasons and the spectrum of sustainable agricultural activities. Most global climate models project severe and adverse consequences for crops and livestock as a result of the climate change.

To address this challenge, a World Bank (IDA)/Government of Kenya (GoK) project namely; the Kenya Climate-Smart Agriculture Project (KCSAP) focusing on triple wins, i.e. (i) sustainably increasing agricultural productivity and incomes, (ii) adapting and building resilience to climate change, and (iii) reducing and/or removing greenhouse gas (GHG) emissions, was developed. The Project is expected to contribute to a range of higher-level objectives of the country to meet rising food demand in the country to attain the Sustainable Development Goals (SDGs) and contribute significantly to the Agricultural Sector Development Strategy (ASDS) and the Kenya Vision 2030. Key among these objectives is ending poverty and hunger, and combating climate change and its impacts.

The KCSAP has five components namely; Component 1 - Up scaling Climate-Smart Agricultural (CSA) practices, Component 2 - Strengthening CSA agricultural research and seed systems, Component 3 - Supporting agro-weather, market, climate, and advisory services, Component 4 - project coordination and management, and Component 5 - contingency emergency response. The Project’s investments will focus primarily on (i) improving water/soil management, especially within smallholder maize systems in the marginal rainfall zone; specifically, in smallholder mixed crop-livestock, crop-livestock-

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Collaborative Research Grants Manual | 2018

tree (agro-silvo-pastoral) production systems and in crop forest (agro-forestry) production systems; (ii) promoting sustainable, community‐driven rangeland management and improved access to quality livestock services in ASALs; specifically, in pastoral/extensive livestock production systems; (iii) supporting the generation and dissemination of improved agricultural technologies, innovations and management practices (TIMPs) and building sustainable seed systems; and, (iv) enhancing access to quality agro-weather, climate, advisory, and market information services among farmers/herders for improved decision making.

The Project’s Component 2 will support development, validation, and adoption of context specific climate smart agriculture (CSA) TIMPs to target beneficiaries under Components 1 and 3; and also, development of sustainable seed production and distribution systems. To ensure this process is undertaken effectively, KCSAP has established a Competitive Grants System (CGS). The KCSAP CGS is designed to achieve efficiency, synergies and cost-effectiveness by applying interdisciplinary, multi-institutional and holistic collaborative research incorporating Agricultural Product Value Chains (APVCs) approach and Public-Private-Partnership (PPP) strategy. The CSA TIMPs Research and Development (R&D) will focus on six thematic areas with each of the thematic areas having a number of sub-themes and broad activities around which the ‘Research Calls’ will be developed. The six thematic areas include; climate smart crops, livestock & aquaculture, socio-economic research, sustainable land, water and agro-forestry and sustainable bio-energy.

The Collaborative Research Grants Manual (CRGM) is the main document that will guide the implementation of KAPAP-CGS Collaborative Research Grants. The manual provides guidelines on approach to collaborative research, organization and management structures, management of the CGS collaborative research grants, and project monitoring, evaluation and reporting.

I sincerely hope that this manual will provide the necessary guidelines to support the implantation of the collaborative projects; and, deliver the context specific CSA TIMPs.

Francis K. Muthami

National Project Coordinator- KCS

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ACKNOWLEDGEMENT The Kenya Climate Smart Agriculture Project (KCSAP) research grants manual was prepared through highly consultative and participatory process spearheaded by the KCSAP National Coordination Unit. The Public and Private sector institutions participated in the process with representatives from both the national and county governments. In particular, KCSAP wishes to acknowledge participation by KALRO, KMFRI, MoALF, Kenya Meteorological Department (KMD), other public Institutions among them KEPHIS and KAGRIC; Ago-Industries, producer/farmer organizations including the Kenya National Federation of Farmers (KENAFF), Seed Trade Association of Kenya (STAK) and Kenya Seed Company Ltd; Universities lead by Egerton University and the Council of Governors.

The KCSAP sincerely acknowledges the participation and appreciates the substantial contribution made by the technical experts from these institutions that made this publication possible (listed below).. We also wish to thank the Government of Kenya and World Bank for the financial and technical backstopping without which the finalization of this manual would not have been possible.

Compiled by: - Dr. Edwin C. Ikitoo & Dr. Foustine WanderaContributors:

KCSAP NPCU: - Mr. Francis K. Muthami, Dr. Edwin C. Ikitoo, Mr. John Nginyangi, - Ms. Florence Odweso , Dr. Gilbert M. Muthee, Ms. Jane Ngugi - Mr. James Singi , Mr. Albert Bengi , Mr. Christopher Onsarigo

KALRO: - Dr. Foustine Wandera, Dr. Jane Wamuongo, Dr. David KamauKMFRI - Dr. Jonathan MungutiEGERTON UNIVERSITY

- Prof. Eric Cheruiyot

EAAPP: - Dr. John Indetie

Edited by: - Dr. Edwin Caleb Ikitoo & Ms Josephine Mogere

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TABLE OF CONTENTS

1.1.1 FOREWORD .................................................................................................................. i

1.1.2 FIGURES...................................................................................................................... ix

ACRONYMS ................................................................................................................................x

CHAPTER ONE ............................................................................................................... 1

1 INTRODUCTION ..................................................................................................1

1.1 Background ............................................................................................................ 1

1.1.1 Role of Agricultural Sector ..................................................................................... 1

1.1.2 Growth Trends in Agricultural Sector .................................................................... 1

1.1.3 Climate change and Risks in Agricultural Production ........................................... 1

1.2 The Kenya Climate Smart Agriculture Project ...................................................... 15

1.2.1 Definition of Climate Smart Agriculture ................................................................. 15

1.2.2 The Project Design ................................................................................................. 15

1.2.3 The Project Components and Financing ................................................................ 16

CHAPTER TWO ................................................................................................................ 17

2 THE KCSAP COMPETITIVE GRANTS SYSTEM .......................................................17

2.1 Collaborative Research Grants ............................................................................... 17

2.2 Policy Statements ................................................................................................... 17

2.2.1 Collaboration and Partnerships ............................................................................. 17

2.2.2 Agricultural Product Value Chains Approach ........................................................ 17

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2.2.3 Public Private Partnership ..................................................................................... 18

2.2.4 Food and Nutrition Security ................................................................................... 18

2.2.5 Poverty Alleviation ................................................................................................. 18

2.2.6 Incorporation of Environmental and Social safeguard .......................................... 18

2.2.7 Gender and Youth Concerns ................................................................................... 18

2.3 Objectives of KCSAP CGS .................................................................................... 18

2.3.1 Main Objective ........................................................................................................ 18

2.3.2 Specific Objectives .................................................................................................. 19

2.3.3 Thematic Areas of Research Focus ......................................................................... 19

3 RESEARCH APPROACH..............................................................................................8

3.1 Overview ................................................................................................................. 8

3.2 Identification of Existing TIMPs ..............................................................................9

3.3 Adaptive Research .................................................................................................. 10

3.4 Applied Research ................................................................................................... 11

4 ORGANIZATION AND MANAGEMENT OF GRANTS ..........................................13

4.1 Organizational Structure......................................................................................... 13

4.2 Legal and Administrative Arrangements ................................................................ 15

4.2.1 Official Notification of Project Approval ............................................................... 15

4.2.2 Pre- Implementation Requirements ....................................................................... 16

4.2.3 Signing of Grant Agreement .................................................................................. 16

4.2.4 Responsibilities ....................................................................................................... 16

4.2.5 Flow of Funds Arrangements ................................................................................. 17

4.2.6 Technical Support for Project Development and Administration .......................... 19

4.2.7 Reporting Requirements and Procedures ............................................................... 19

4.3 Finance and Procurement ....................................................................................... 20

4.3.1 Financial Administration ........................................................................................ 20

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4.3.2 Procurement and Management of Assets ................................................................ 23

CHAPTER FIVE ...................................................................................................................26

5 MANAGEMENT OF THE RESEARCH GRANTS .....................................................26

5.1 Policy Objectives .................................................................................................... 26

5.2 Policy Statement ..................................................................................................... 26

5.3 Eligibility ................................................................................................................ 27

5.4 The Collaborative Research Grant Development and Award Process ................... 27

5.5 Call for Concept Notes ........................................................................................... 28

5.6 Review of Concept Notes ....................................................................................... 29

5.7 Development, Submission and Review of Full Proposals ..................................... 30

5.7.1 Development of Full Proposals .............................................................................. 30

5.7.2 Submission of Full Proposals ................................................................................. 31

5.7.3 Review and Approval of Full Proposals ................................................................. 31

5.8 Commissioning of the Research Projects ............................................................... 31

6 PROJECT MONITORING, EVALUATION AND REPORTING ...............................33

6.1 Purpose ................................................................................................................... 33

6.2 Strategic Importance .............................................................................................. 33

6.3 Responsibility for Monitoring and Evaluation ....................................................... 34

6.3.1 Routine Monitoring & Evaluation of KCSAP CGS Collaborative Research Projects ...................................................................................................34

6.3.2 National Mandate ................................................................................................... 34

6.3.3 Process Monitoring ................................................................................................. 34

6.3.4 Funds for Monitoring and Evaluation .................................................................... 35

6.4 Reporting ................................................................................................................ 35

6.4.1 Overview ................................................................................................................. 35

6.4.2 Progress Reports ..................................................................................................... 35

vii Collaborative Research Grants Manual | 2018

6.5 Mid-Term Report .................................................................................................... 36

6.6 Feedback ................................................................................................................. 36

6.7 End of Project Report ............................................................................................. 76

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7 APPENDICES .........................................................................................................38

APPENDIX 1: Priority Thematic Research Areas of Focus....................................... 38

APPENDIX 2: Terms of Reference for KCSAP CGS Research Grant Management Committee .......................................................................................................... 40

APPENDIX 3: Terms of Reference for KALRO -KCSAP Coordination Office ............. 43

APPENDIX 4: Contract Agreement between KALRO and Grantee.......................... 45

APPENDIX 5: Financial Reporting and Application Forms. ....................................52

APPENDIX 6: Summary Work Plan and Budget for Research Consortia ................ 55

APPENDIX 7: KCSAP COLLABORATIVE RESEARCH GRANTS - FORM A1: FORMAT FOR PREPARATION OF CONCEPT NOTES* .................................................................. 55

APPENDIX 8: Criteria for Pre-Screening of Concept Notes ................................... 57

A: Concept Note Part culars ...............................................................................57

APPENDIX 9: Terms of Reference for Peer Reviewers ....................................... 58

APPENDIX 10: Criteria for Review of Concept Notes .........................................60

APPENDIX 11: KCSAP COLLABORATIVE RESEARCH GRANTS - FORM A2: FORMAT FOR PREPARATION OF FULL PROPOSALS* ......................................................... 64

Appendix 12: The Logical Framework ................................................................. 66

APPENDIX 13: ESMF Sub-Projects Screening Checklist ...................................... 68

APPENDIX 14: Environmental and Social Issues in the Collaborative Project Reporting Format ............................................................................................... 71

APPENDIX 15: Criteria for Full Proposal Review ............................................... 72

APPENDIX 16: Schedules and Detailed Formats for Reporting. ......................... 75

APPENDIX 17: Monitoring & Evaluation Formats ................................................77

ix Collaborative Research Grants Manual | 2018

FIGURESFigure 1. KCSAP CGS Management Structure for the Collaborative Research ...... 15

Figure. 2: A schematic presentation of the research call and commissioning process ……………………………………………………………….

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Figure. 3: Schedule and timelines to be followed in proposal development …… 32

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ACRONYMSAEZ Agro-Ecological Zone

APVC Agriculture Product Value Chain

ASAL Arid and Semi-Arid Land

CEO Chief Executive Officer

CGS Competitive Grant System

CI Collaborating Institution

CKS Communication and Knowledge Sharing

CN Concept Notes

CPCP Concept Note Commissioning Process

CPCUs County Project Coordinating Units

CRGMC Collaborative Research Grant Management Committee

CSA Climate Smart Agriculture

CTDs County Technical Departments

CV Curriculum Vitae

DPSM Department of Public Service Management

ERP Enterprise Resource Planning

ESMF Environmental and Social Management Framework

FAO Food and Agriculture Organization

FMM ……………………………..

FMR Financial Management Report

FPs Full Proposals

GDP Gross Domestic Product

GFS Government Finance System

GHG Green House Gas

GIS Geographical Information System

GoK Government of Kenya

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HIV/AIDS Human Immuno-Deficiency Virus/Acquired Immuno-deficiency Syndrome

ICT Information Communication Technology

IDR Interdisciplinary Research

IFRS International Financial Reporting Standards

IP Intellectual Property

KALRO Kenya Agricultural and Livestock Research Organization

KAPAP Kenya Agricultural Productivity and Agri-business Project

KCSAP Kenya Climate Smart Agriculture

KEFRI Kenya Forestry Research Institute

KENAFF Kenya National Farmers Federation

KEPHIS Kenya Plant Health Inspectorate Services

KES Kenya Shilling

KIRDI Kenya Industrial Research and Development Institute

KMD Kenya Meteorological Department

KMFRI Kenya Marine and Fisheries Research Institute

KPIs Key performance indicators

LI Lead Institution

M&E Monitoring and Evaluation

MOALF Ministry of Agriculture Livestock and Fisheries

MOV Means of verification

MTR Mid Term Review

NARS National Agricultural Research System

NARS National Agricultural Research System

NEMA National Environmental Management Authority

NGO Non-Governmental Organization

NPCU National Project Coordinating Unit

NPSC National Project Steering Committee

NRM Natural Resource Management

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NTAC National Technical Advisory Committee

OVIs Objectively verifiable indicators

PDO Project Development Objective

PI Principal Investigator

PMIS Project Management Information System

PPP Public Private Partnership

QQT Quantity, Quality and Time

R&D Research and Development

RF Results Framework

RGMC Research Grants Management Committee

SDGs Sustainable Development Goals

SLM Sustainable Land Management

SOE Statement of Expenditure

SRA Strategy for Revitalization of Agriculture

TIMPs Technologies, Innovations and Management Practices

ToRs Terms of Reference

VAT Value Added Tax

VCs Value Chains

1 Collaborative Research Grants Manual | 2018

CHAPTER ONE

1 INTRODUCTION

1.1 The Kenya Climate Smart Agriculture Project

1.1.1 Definition of Climate Smart Agriculture

1. The FAO defines Climate Smart Agriculture (CSA) as “an approach that helps to guideactions needed to transform and re-orient agricultural systems to effectively supportdevelopment and ensure food security in a changing climate”.

1.1.1 The Project Design

2. To address the challenges of climate change, an appropriate strategic framework forresponding to and reducing adverse effects of the climate change, is required. The KenyaClimate Smart Agriculture Project (KCSAP) was designed and developed to address thesechallenges. The KCSAP Project Development Objective (PDO) is “to increase agriculturalproductivity and build resilience to climate change risks in the targeted smallholderfarming and pastoral communities in Kenya, and in the event of an Eligible Crisis orEmergency, to provide immediate and effective response.”

3. The Project aims to achieve this goal through the a triple win strategy (a) sustainablyincrease productivity, (b) enhance resilience of agricultural systems and (c) increaseefficiency of use of resources among them energy, water and land while reducing emissionsof GHG as a co-benefit.

These three key PDO outcomes, i.e. triple-wins, will be achieved by:

(i) Improving water/soil management, especially within smallholder maize systems in the marginal rainfall zones - specifically, in smallholder mixed crop-livestock production systems, crop-livestock-tree (agro-silvo-pastoral) production systems and in crop - forest (agro-forestry) production systems;

(ii) Promoting sustainable, community‐driven rangeland management and improved

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access to quality livestock services in ASALs—specifically, in pastoral/extensive livestock production systems;

(iii) Supporting the generation and dissemination of improved agricultural Technology, Innovation, Management Practices (TIMPs) and building sustainable seed systems.

4. The interventions will be conducted in the 24 project counties comprising six Arid, nineSemi-Arid and nine Medium-to-High Rainfall counties, as outlined in Table 1 below. Directbeneficiaries of the project are estimated at about 521,500 households, which includesmallholder farmers, agro-pastoralists, and pastoralists. The main beneficiary categoriesinclude Common Interest Groups (CIGs,) Vulnerable and Marginalized Groups (VMGs,)PPPs including Producer Organizations (POs); as well as, recipients of grants and beneficiariesof landscape-level investments implemented by counties. Overall, 163,350 beneficiariesrepresent households organized into about 4,950 CIGs, while 18,150 beneficiaries representhouseholds organized into about 1,100 VMGs.

Table 1: KCSAP Operational Counties

No Arid Counties No Semi-Arid Counties No Non-ASAL Counties

1 Marsabit 1 West Pokot 1 Busia

2 Isiolo 2 Baringo 2 Siaya

3 Tana River 3 Laikipia 3 Nyandarua

4 Garissa 4 Nyeri 4 Bomet

5 Wajir 5 Tharaka Nithi 5 Kericho

6 Mandera 6 Lamu 6 Kakamega

7 TaitaTaveta 7 UasinGishu

8 Kajiado 8 Elgeyo Marakwet

9 Machakos 9 Kisumu

1.1.1 The Project Components and Financing

5. The project comprises five components namely: 1. Up scaling climate-smart agricultural


practices, 2. Strengthening climate smart agricultural research and seed systems, 3. Supporting agro-weather, market, climate and advisory services, 4. Project coordination and management and, 5. Contingency emergency response.

6. The project is co-financed by the Government of Kenya (GoK) and World Bank (WB)through the International Development Association (IDA) credit facility for a period of fiveyears (2018 – 2022). The total project cost is estimated at US$279.7 million, of which theIDA will finance US$250 million under an Investment Project Financing (IPF) instrument.The total project cost include GoK counterpart funds equivalent to US$15.9 million, theCounty Governments’ contribution of US$ 8.3 million and the Beneficiary contributionsequivalent to US$ 5.5 million. Thus, total contribution by the GoK is US$ 29.7.

7. The Project’s Component 2 will support development, validation, and adoption of contextspecific CSA TIMPs; and, also development of sustainable seed production and distributionsystems. The component has three sub-components namely; (a) Sub-Component 2.1:Supporting climate-smart agricultural research and innovations, (b) Sub-Component2.2: Building competitive and sustainable seed systems and (c) Sub-Component 2.3:Strengthening technical and institutional capacity. The three sub-components will befinanced at US$ 30.9, 16.0 and 6.8 million respectively.

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CHAPTER TWO

2 THE KCSAP COMPETITIVE GRANTS SYSTEM

2.1 Collaborative Research Grants

8. The KCSAP Competitive Grant System (CGS) is established drawing from experiences andlessons learned from two previous major projects that supported research, i.e. the KenyaAgricultural Productivity and Agribusiness Project (KAPAP), research component and theEast African Agricultural Productivity Project (EAAPP). The projects provided Collaborative Research Grants (CRGs) that supported the implementation of agricultural research throughthe NARS framework lead by the Kenya Agricultural Research Organization (KALRO).The research activities supported by KCSAP through the CRGs will generate climate smartagriculture (CSA) Technologies, Innovations and Management Practices (TIMPs) forapplication in the 24 target project counties. The CRGs will be financed under KCSAP’sComponent 2, Sub-Component 2.1. The grants, administered under the project’s CGS, willbe awarded to deserving Research Consortia, whose proposals will have been pre-qualified,evaluated and approved for funding. The CRGs will be used for development, validationand dissemination of context specific CSA TIMPs. Proposals developed for the CRGs awardshall be agricultural product value chain (APVC) based, market-oriented, demand-drivenand cost-effective. The proposals shall be developed around the project’s identified thematicand sub-thematic areas as outlined in Appendix 1.

2.2 Policy Statements

2.2.1 Collaboration and Partnerships

9. The KCSAP - CGS is designed to achieve efficiency, synergies and cost-effectivenessby applying interdisciplinary, multi-institutional and holistic collaborative researchincorporating the Agricultural Product Value Chains (APVCs) approach and Public-Private-Partnership (PPP) strategy.


2.2.2 Agricultural Product Value Chains Approach

10. The APVC approach is important for agricultural research priority setting and proposaldevelopment because it allows research constraints and gaps to be identified along the entireAPVC. That way, it is possible to rank the constraints and/or gaps in order of importance,for immediate intervention of the most limiting research constraints/gaps. The CSA TIMPsdeveloped through this process of research agenda prioritization/setting, ensures efficiencyat all levels of the APVC, i.e. process, function and production; thus, resulting in greaterpotential for global market penetration of products

2.2.3 Public Private Partnership

11. Public Private Partnership (PPP) is embraced to provide appropriate platform andenvironment for fast-tracking the generation of CSA TIMPs, which have market orientationand/or perspective with potential for agribusiness development.

2.2.4 Food and Nutrition Security

12. The KCSAP CGS will put special emphasis and encourage diversification and adoptionof crop varieties and animal/fish breeds that are adaptable to a wide range of harshenvironmental conditions or Agro-ecological Zones, in terms of tolerance to heat and waterstress; and, in terms of bio-physical conditions including disease and pest tolerance andtolerance to saline/sodic and acidic soils.

2.2.5 Poverty Alleviation

13. Suitable TIMPs for high priority APVCs in each target county will be identified, validatedand disseminated for adoption by the most vulnerable communities. The collaborativeresearch proposals will be developed and implemented to address context specific researchgaps; and in all cases, consideration will be made of how pro-poor the proposals were interms of addressing resilience, job creation and sustainability issues.

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2.2.6 Incorporation of Environmental and Social safeguard

14. Application of sustainable management approaches that avoid or minimize negativeenvironmental and social impacts will be supported; and, ESMF guidelines for ES impactassessment will be applied to determine the nature of impact the project will have andinterventions for mitigation.

2.2.7 Gender and Youth Concerns

Due consideration shall be given to gender and youth concerns. Analysis of gender and youth status shall be conducted to establish vulnerability and potential for accessing resource base. Youth will be given special consideration on communication, markets and market linkages opportunities including among others, warehousing and transport, seed and trees/tree nurseries.

2.3 Objectives of KCSAP CGS

2.3.1 Main Objective

15. To support implementation of adaptive and applied collaborative research for development,validation and dissemination of market demand-driven context specific CSA TIMPs totarget beneficiaries in the 24 counties under the project’s Components 1 and 3.

2.3.2 Specific Objectives

16. The specific objectives are as follows:

i To identify and prioritize CSA TIMPs in the NARS and at county level; and, prepare appropriate technical training materials and modules.

ii To provide technical Training of Trainers (ToTs) at county level in order to facilitate further training at community level and dissemination/adoption of the context-specific CSA TIMPs in the counties.


iii To develop and promote CSA TIMPs on crops, livestock and aquaculture, socio-economics, land/water and agro-forestry and sustainable bio-energy for target county communities through implementation of adaptive and collaborative research.

iv To develop and implement NARS coordination framework and mechanisms, enhance research linkages and collaboration, and strengthen the knowledge management systems.

v To increase efficiency, create synergies and ensure cost-effectiveness in CSA TIMPs development by enhancing collaboration and networking, and promotion of innovation platforms for PPP.

vi To integrate environmental, social and gender perspectives in all adaptive and collaborative research projects.

2.3.3 Thematic Areas of Research Focus

17. The CSA TIMPs Research and Development (R&D) will focus on six thematic areas witheach of the thematic areas having a number of sub-themes and broad activities around whichthe ‘Research Calls’ will be developed as outlined below and elaborated in Appendix 1.

i. Climate smart crops;

ii. Climate smart livestock and aquaculture;

iii. Socio-economic research on CSA;

iv. Sustainable land, water and agro-forestry;

v. Sustainable bio-energy, including charcoal value chain, and

vi. Management of risks and uncertainties in CSA (agricultural risk transfer instruments).

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CHAPTER THREE

3 RESEARCH APPROACH

3.1 Overview

2.2 In the APVC approach, the research focus shifts from single commodity research to diversified and differentiated agricultural products research, with emphasis on increased value-addition to prioritized APVCs for the target communities. The focus is also, on promotion of new products that fit target market demands. The research relevance to KCSAP’s triple wins of increasing productivity, resilience and reduction of green-house gas emissions, always remains the guiding principle to the development and implementation of research projects.

18. The KCSAP CGS will use the ‘Collaborative Research Model’ (CRM) as its main vehiclefor research projects’ development and implementation. The model will apply the APVCapproach as its primary tool for research priority setting and planning; and PPP, as the basisfor establishing its research consortia. The APVC approach and inclusion of PPP underpina major paradigm shift in agricultural Research and Development’ (R&D) towards holistic,multi-disciplinary, multi-stakeholder and multi-institutional approach. This approach creates a platform for transformation that encompasses a plurality of actors for demand driven,efficient and cost effective research. This platform provides an enabling environment forresearch to address client market needs, targeting efficiency and value addition for synergies,increased accountability and impact.

19. Besides the CSA TIMPs identified for direct up scaling, the KCSAP CGS will conduct twotypes of research to develop new CSA TIMPs, as outlined below:

i. Adaptive research for validating and refining on-shelf CSA TIMPs for up scalingunder Component 1, and,

ii. Applied research for developing new TIMPs that will address gaps in existingknowledge.


3.2 Identification of Existing TIMPs

20. Existing CSA TIMPs categorization for validation and up scaling will be based on threemajor production systems as indicate in three project opportunity windows based on broadecological zoning including; (a) smallholder mixed crop-livestock system with averageannual rainfall of more than 1,000 mm, i.e. high-rainfall zones or non-ASAL areas. In theseareas, the focus will primarily be on food crops mainly maize, industrial and horticulturalcrops and dairy production, (b) crop-livestock-tree production (agro-silvo-pastoral) system,with average annual rainfall of 750–1,000 mm, i.e. medium rainfall zones or semi-aridareas. In these areas, the focus will be on integration of livestock and crops, soil and waterconservation, and production of drought-tolerant and early maturing crops. Where water isavailable, irrigation will be priority, and (c) pastoral/extensive livestock production system,which is most common in areas where average annual rainfall is 200–750 mm (low-rainfallzones or arid areas) - agro-pastoral and pastoral production systems.

21. Available TIMPs will be identified based on three major focal sub-sector categories namelycrops, livestock and aquaculture. All proposed research thematic areas fall under the threecategories. Identified TIMPs for CSA crops will focus mainly on food crops primarilycereals and legumes, horticultural crops namely fruits, vegetables, flowers, and aromatic/medicinal plants. Industrial crops will include nuts, fibres and oil crops.. The livestockTIMPs will include both ruminants and non-ruminants. The ruminants will focus is on dairyand meats; Cattle, shoats (sheep and goats) and camels.. In non-ruminants, the focus willbe on poultry mainly, chicken, and pigs. Other related thematic areas include animal health,aquaculture and natural resource management (NRM).

22. Research teams will join the CPCU and other stakeholder teams at county level in activitiesinvolving identification of high priority value chains and context specific TIMPs as follows:

i. Community Resource Assessment: Various approaches including ParticipatoryRural Appraisal (PRA) and Broad-based Survey (BBS) will be used. The assessmentwill inform on key value chains, status of land use and management, climate risksand vulnerability. However, more importantly for the researchers, existing TIMPsand gaps will be identified.

ii. Value Chain Prioritization: Each community will be required to prioritize at least

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three APVCs for the project implementation. The three will be drawn from; (a) natural resources, (b) horticulture (fruit, nuts and vegetables), (c) grain (legumes and cereals), (d) meats, (e) dairy and aquaculture. Emphasis will be put on the triple wins, i.e. productivity, resilience and reduction in GHG emissions.

23. Based on the information gathered at county level from the CIDPs/identification missions,baseline surveys and the inventory of CSA TIMPs in the NARS, the CSA TIMPs will bedisaggregated into categories for (a) direct up scaling and (b) validation before up scaling.Consequently, activities for the CSA TIMPs category for direct up scaling and proposals forthe CSA TIMPs category for validation, will be developed..

3.3 Adaptive Research

24. ‘Adaptive Research’ in the KCSAP context, is research undertaken to enhance productivityand/or solve problems under ‘on-farm’ conditions. TIMPs exist within KALRO, agriculturaluniversities and other NARS institutions, developed by scientists in these institutions,which can respond to CSA needs of the country. A considerable number of these TIMPswith the CSA potential that have been fully tested and validated will be directly up scaledfor adoption. However, some of these TIMPs require further testing, prior to their up scalingfor adoption in the target project counties. These will undergo validation trial before upscaling and adoption.

25. Individual scientists, who played key roles in the development of the CSA TIMPs, arebest suited to spearhead their testing and validation. However, the testing and validationactivities, require concerted effort of multi-institutional and inter-disciplinary teams, fordevelopment of complementary technologies, value addition and market studies requiredto optimize performance. This testing and validation will be undertaken by competitivelyidentified Research Consortia.

26. KALRO under the auspices of the Research Grants Management Committee (RGMC);and, with support of the NPCU, will make research calls for ‘Concept Notes (CNs)for collaborative research to test and validate CSA TIMPs for application on identifiedhigh priority value chains and cross-cutting thematic areas. The CNs will be preparedby Research Consortia made up of multi-institutional and inter-disciplinary teams fromKALRO, agricultural universities, NARS institutions, agro-based industries and other


stakeholders. The research calls will be advertised through the local media (daily news papers) and relevant institutional websites (KCSAP, KALRO, MoALF&I and KENAFF). The scientists who played key roles in development of the CSA TIMPs, around which the research call are made, will be part of the core membership of the Research Consortia.

27. The calls for CNs will be made around identified TIMPs for validation to address gaps/requirements of the high priority value chains in the target counties. Submitted CNs will bepre-reviewed, short listed and reviewed by scientific teams of experts. Successful CNs willbe developed into Full Proposals (FPs) through a proposal writing and development processinvolving various write-shops consisting of pooled groups/teams from different scientificdisciplines and institutions, finally resulting in the Research Consortia, for fully developedand approved project proposals. Requirements for the proposal development process areas detailed in the next chapters below. The FPs will be implemented as part of the TIMPsvalidation trials. The validation trials will be conducted in relevant Agro-Ecological-Zones(AEZs) and soil environments. Validated TIMPs will be recommended and promoted for upscaling and adoption in the appropriate target counties AEZs.

3.4 Applied Research

28. Applied research is search for new Knowledge, Technologies and Innovations within thelimits of existing scientific knowledge set by basic research. This type of research is gearedtowards resolving specific problems. The processes of identification of research constraints/gaps in high priority VCs at county level, setting of the research agenda and formulatingproposals for development of new TIMPs, will in principle be participatory, competitiveand collaborative. Identification of research constraints will be done using three approachesas outlined below:

i. The First Approach: This will consist of county value chains identification missions.The missions will comprise of NARS research teams, KCSAP Component 1 staff atcounty level, representatives of beneficiary communities and other stakeholders.The missions will in a participatory manner analyze the prioritized value chains forconstraints, opportunities and research gaps.

ii. The Second Approach: This will be identification of constraints during implementationof the adaptive research and dissemination of existing TIMPs in the counties. The

12



Research-Extension Liaison Officer seconded to each participating county will be responsible for relaying emerging research needs/gaps to relevant research institutions.

iii. The third approach: This will involve surveillance for emerging constraints/gaps dueto changing climatic conditions, for example the recent weather changes resulting inMaize Lethal Necrosis Disease (MLND).


CHAPTER FOUR

4 ORGANIZATION AND MANAGEMENT OF GRANTS

4.1 Organizational Structure

4.1.1 Organization of KCSAP

29. The KCSAP organization involves a three-tier institutional arrangement, i.e. national,county and community level implementation structures. At the first-tier, the National ProjectSteering Committee (NPSC) will be established, which will be the supreme body of theproject responsible for providing oversight, policy guidance and approval of the project’sbudgets. The NPSC will be supported by the National Technical Advisory Committee(NTAC), which will provide technical advice to the NPSC on overall implementationof the project; and, will also approve the national and county level project investments;and, the CSA research proposals. Also constituted at national level, is the National ProjectCoordinating Unit (NPCU) which will undertake the overall day-to-day management of theproject implementation.

30. At County and community level, the management will incorporate County Project SteeringCommittee (CPSC), will be the main body providing oversight for the project at that level.It will be supported by the County Technical Advisory Committee (CTAC). Also constitutedat county level, is the County Project Coordinating Unit (CPCU). The CPCU will beresponsible for the day to day implementation of the county level project activities. Thecounty level committees, i.e. CPSC and CTAC, will be supported by various CommunityDriven Development Committees (CDDCs), at sub-county and community levels.

31. The KCSAP CGS collaborative research projects’ activities will be managed at national levelbecause of the national mandate of the NARS institutions; in particular, KALRO, which isgiven the lead role for agricultural research under the Kenya Agricultural and LivestockResearch ACT No. 17 of 2013. These research activities will be linked to the needs ofComponent 1 and 3. The research-extension linkage will be enhanced by the appointmentof Research-Extension Liaison Officers (RELOs) to the County Project Coordination Units(CPCUs). The Research Grants Management Committee (RGMC) will be established tooversee review of concept notes (CNs), development of full proposals (FPs) and assure

14



quality of the project proposals during both the development and implementation stages. The RGMC will also perform an advisory role to the NTAC and NPCU.

4.1.2 Research Grants Management Committee

32. Composition of the RGMC: The RGMC will comprise of 18 members from relevantministries, state departments and institutions that carry out CSA activities. The complete listcomprises: (1) KCSAP Research Coordinator (NPCU), (2) State Department of Agriculture(MoALF), (3) State Department of Livestock (MoALF), (4) State Department of Fisheriesand Blue Economy (MoALF) , (5) Crop Systems Division (KALRO), (6) LivestockSystems Division (KALRO), (7) Natural Resource Management and Environment Division(KALRO), (8) Socio-Economic Division (KALRO), (9) KIRDI, (10) KMFRI, (11) NationalMuseums of Kenya, (12) NEMA, (13) KENAFF, (14) KMD, (15 &16) two representativesfrom Universities, (17) KEFRI, and (18) KEPHIS. Half of the RGMC members plus onewill constitute a quorum. The RGMC may co-opt additional members as may be deemednecessary.

33. Terms of Reference for the RGMC: The salient feature of the RGMC ToRs include (i)Providing criteria for screening concept notes (CN) and full proposals (FPs), (ii) Makingcalls for concept notes (CNs), (iii) Receiving and screening CNs and FPs, (iv) Notifyingapplicants on the status of the CNs and FPs, (v) Constituting panels of reviewers, (vi)Receiving and facilitating review of CNs and FPs and rationalizing their budgets, (vii)Making recommendations to the NTAC, and (viii) Resolving conflicts, monitoring &evaluation (M&E) and terminating non-performing projects. Detailed Terms of Reference(ToR) for the RGMC are given in Appendix 2; and, the committee’s linkage to the nationalmanagement structures indicated in Figure 1 below.


1

National Technical Adv. CommitteeApproval of Proposals and Work-plans, and

Fund allocation to thematic areas

Res. Grant Management Committee

Proposals review and Approval

Communicate Decisions of RGMC & Disburse

Funds

Proposal Review

Advisory to NTAC

Receive CN, Full

Proposals &

Reports

Quality Assurance

KCSAP KALRO Coordinating Office

Review of project proposals (CNs and FPs)Panel of peer reviewers

Research Teams

CNs Screening, Proposal Review, notification & induction

Policy

Technical oversight

Oversight

OUTPUTS

National Project Steering Committee

Proposal Review

Convene RGMC

meetings together

with Chair RGMC

Preparation of Research Calls

Constitute a Panel of Reviewers

Screen Concept Notes

M & ENPCU *

Figure 1: The RGMC linkage to the national project management structures

4.1.3 KALRO-KCSAP Coordination Office

34. KALRO has the mandate to lead the implementation of both adaptive and applied researchactivities to be conducted by the NARS and the CSA TIMPs transfer and adoption. Toachieve that objective a KALRO-KCSAP Coordination Office shall be established, with aKALRO-KCSAP Project Coordinator assigned the duties of coordinating the project withinKALRO and other NARS institutions. The ToR for the KALRO-KCSAP CoordinationOffice is given in Appendix 3.

4.2 Legal and Administrative Arrangements

4.2.1 Official Notification of Project Approval

35. Following the research project proposal approved for commissioning, KALRO shall preparea formal letter of notification of Project Approval and Project Implementation Contract withthe executing institution. The letter shall ask the executing institution or Grantee to sign a‘Contract Agreement’ between KALRO and Grantee as detailed in Appendix 4. The ‘Contract

16



Agreement’ serves as the legal document binding KALRO and the executing institution to stipulated responsibilities of the respective parties. The responsibilities include obligations of the executing agency, annual work plans and budgets, reporting requirements, applicable disbursements and project audits. Any conflict between contracting parties shall be resolved as stipulated in the Contract.

4.2.2 Pre- Implementation Requirements

36. After commissioning of the CRGs, two main procedural steps shall be taken as pre-requisiterequirements towards the implementation of the project(s). The steps are as listed below:

i. Signing of Contract Agreement(s) between KALRO and Lead Institutions (LIs);and, and the LI(S) and Collaborating Institution (CIs).

ii. Request(s) for disbursement of initial two quarters (6 months) funds to KALROimmediately following the signing of the Contract Agreements between KALROand the LI(s); and LI(s) and CI(s).

4.2.3 Signing of Grant Agreement

37. The projects approval and contracting processes shall be conducted in accountable andtransparent manner. The implementation ‘Contract Agreements’of the approved CRGsshall be signed between KALRO as the Granter and the Lead Institutions (LIs) as theGrantees. Subsequently, the LIs shall sign similar ‘Contract Agreements’ with each of theCollaborating Institution (CI) of their respective ‘Research Consortia’.

4.2.4 Responsibilities

38. KALRO as the Granter, will oversee the collaborative projects implementation in accordance with the provisions of the mutually agreed and signed ‘Contract Agreement(s)’ betweenKALRO and the LIs, through comprehensive M&E programmes involving desk reviews ofprogress reports and onsight field visits/missions to verify progress.

39. The LI(s) will take responsibility for the overall implementation of the project(s) including;provision of scientifc leadership, coordination, general adminstration, and financial


management of the project.

40. The CI(s) will take responsibility for research implementation of their respective CRG(s)component activities, delivery of their respective CRG(s) expected outputs and accountability of associated financial management.

41. All collaborative Research Consortia institutions, i.e LI(s) and CI(s), will participate inplanning, implementation and accounting for projet finances; and, delivery of expectedproject(s) outputs. The CI(s) will submit annual work plans and budget (AWP&B), technicalprogress report(s) (TPRs) and financial interim reports (IFRs) to KALRO through LI(s) inaccordance with agreed time schedules and other provisions in the Contract Agreement(s).

42. The KCSAP-NPCU and KALRO will ensure that the projects finances are audited inaccordance with the GoK/World Bank requirements provided for in the KCSAP FinanceManagement Manual (FMM). However, the Principal Investigator(s) (PI) and LI(s) willfacilitate and ensure proper audit of project accounts and submission of the audit reports toKALRO/KCSAP-NPCU.

43. The LI(s) or CI(s) will maintain their respective original financial accounting documents insafe custody for at least five years or such period as is required by law; and, facilitate auditsas and when required.

4.2.5 Flow of Funds Arrangements

44. The KCSAP project funds will flow from the financial partner, i.e. World Bank, to the GoKNational Treasury, who is the government’s financial signatory. Subsequent downward flowof the funds will be made through two Designated Accounts (DAs). The DA1 accountwill handle funds destined for county activities; while, the DA2 account will handle fundsdestined for national activities. Both accounts shall be opened by the National Treasury atthe Central Bank of Kenya (CBK) or any other financial institution acceptable to the WorldBank/IDA.

45. The MoA&I, which is the project’s implementing agency, will open a Project Account (PA)at the CBK or any other financial institution acceptable to the World Bank/IDA, for receipt

18



of project payments from DA2; and, disbursement of the funds to the executing agencies. The project funds shall be disbursed to the KCSAP account at the CBK or any other financial institution acceptable to the World Bank/IDA.

46. KALRO, one of the national executing agencies, will open Segregated Project Account(SPA) at the CBK or any other financial institution acceptable to the World Bank/IDA, tofacilitate receipt of World Bank/IDA proceeds from the PA managed by MoA&I’s; and, fordisbursement of the same funds to approved LI(s)/CI(S) project activities.

47. Similarly, all LIs and CIs will open designated project accounts in acceptable commercialbanks for receipt and discharge of the project activity funds. The funds disbursement tothe LIs and CIs shall be made according to approved work plan and budgets; and, theimplementation schedules per the agreement(s) between KALRO and the LIs/CIs. Furtherdetails on flow of funds requirements, may be obtained from the KCSAP Finance andProcurement Manual.

48. A diagrammatic presentation of the general flow of funds from the National Treasury’s DA2to the Implementing Agency, i.e. MoA&I’s Project Account, and subsequently to executinginstitution, i.e. KALRO and the LIs/CIs, is depicted in Figure 2 below.

Figure 2: Diagrammatic Presentation of Flow of KCSAP Funds from DA2 at National Treasury to Executing Agency

The National Treasury

Ministry of Agriculture and Irrigation

KCSAP - National Project Coordination Unit

KALRO

Lead Institutions/and Collaborators


4.2.6 Technical Support for Project Development and Administration

49. The Principal Investigators (PIs) will directly be responsible for providing scientific andtechnical support to their respective Research Consortia/collaborators on project proposalsdevelopment, articulation of expected outputs/outcomes, preparation of AWP&B, andimplementation of their respective research project(s).

50. KALRO under the auspices of the RGMC and backstopped by KCSAP-NPCU, will provideguidance in proposal development and ensure high quality standards and integrity indevelopment and implementation of the research project(s).

51. The KCSAP-NPCU, KALRO and the RGMC will ensure high standards of performanceof the research projects to ensure achievement of expected outputs and outcomes throughrigorous M&E exercises; and where necessary, recommend appropriate revisions of theexpected outputs/outcomes, their respective budgetary allocations and mode of operation.

4.2.7 Reporting Requirements and Procedures

52. The KCSAP-NPCU in close consultation with the Principal/Chief Accountant, MoA&Ishall submit quarterly Interim Financial Reports (IFRs) to the World Bank not later than 45days, after the end of the due quarter. Because KCSAP has adopted State of Expenditure(SoE) method of disbursement, the IFRs will be used mainly for monitoring and financialreporting rather than as the means of initiating disbursements from IDA.

53. To facilitate this process KALRO will prepare and submit its consolidated quarterly IFRsand SoEs to KCSAP-NPCU within 30 days, after the end of the due quarter. The formatsfor the IFR and SoE reporting are provided in the KCSAP Financial Management Manual.

54. Financial (IFRs/SoEs) and technical reports (TPRs) from all the CIs shall be forward toKALRO through their respective PI(s)/LI(s). The PI(s) shall review their CIs reports andensure quality and compliance to approved formats of reporting, before preparing andsubmitting their respective Research Consortia’s consolidated reports to KALRO. TheIFRs/SoEs and TPRs from the LI(s) shall be submitted to KALRO within 10 days, afterthe end of the due quarter. The PI(s) and CI(s) are advised to commence preparation and

20



amalgamation of their individual project(s) quarterly reports within the first half of the last month of the due quarter. This will ensure all required information for the quarterly reports is entered in the reports, within the first week after end the due quarter.

4.3 Finance and Procurement

4.3.1 Financial Administration

4.3.1.1 Objective

55. The objective of establishing a financial management system for KCSAP CGS is to ensuresound stewardship of public funds entrusted to the project for the development of CSATIMPs by the GoK and the financing partner.

4.3.1.2 Accounting Requirements and Procedures

56. All funds approved and disbursed for KCSAP CSA collaborative research project(s) willbe administered and accounted for in accordance with the GoK and World Bank financialand procurement guidelines. The financial and procurement guideline are provided for inthe KCSAP Financial and Procurement Manuals and other relevant government documents/circulars including the Public Financial Management (PFM) regulations. KCSAP recognizesthe accounting systems approved for funds management in public and quasi-governmentinstitutions/organizations. Thus, KCSAP shall allow Research Consortia or collaboratinginstitutions to use their respective accounting systems provided that such systems meet theGoK financial standards and the WB requirements. However, KCSAP upholds internationallyaccepted standards of sound financial management, i.e. International Financial ReportingStandards (IFRS). In that regard, all collaborating institutions shall be expected to upholdsimilar standards of financial management. Nevertheless, where conflict may arise betweenGoK/World Bank accounting requirements and those of collaborating institutions, the GoK/World Bank requirements shall prevail.

57. Following the signing of the Contract Agreement(s), the PI(s)/LI(s) will make requestto KALRO through formal signed letter(s) from their respective institutional authorities,for the initial funds disbursement. The request(s) will be accompanied by briefs of their


respective projects’ status as summarized in Appendix 5 Sub-Sections 5.1 and 5.2. Following expenditure of the 1st Quarter funds and all subsequent Quarters funds expenditure, Sub-Section 6.3 will be completed as part of the Interim Financial Report (IFR), to facilitate surrender of the funds. Sub-Section 6.4 will be completed at the end of every Financial Year (FY), to reflect the status of funds held by the Research Consortia, since commencement of the project.

58. Proper accounting of project funds will be made by ensuring that proper budgetary andaccounting procedures are followed; and that appropriate financial controls are enforcedthrough regular M&E and audit exercises.

4.3.1.3 Work Planning and Budgeting

59. The KCSAP-CRGs are not intended to provide funding for core institutional programmeactivities or large capital item costs such as investment for construction of buildings, research facilities or payment of permanent salary. The grants are activity based and are aimed atdeveloping, validating and disseminating context specific CSA TIMPs, resulting in tangibleoutputs, outcomes and impact in the 24 target project counties. However, necessary; andwith strong justification, costs of project specific specialized equipment and ITC facilitiescould be financed alongside remunerations for short-term personnel fully dedicated toproject work. The CRGs will cover research project’s activities costs proportionately, asindicated in Table 1, below.

Table 1: Expenditure Allocation for Key Activities in a CSA Research Project

No Item Per Cent Cost (Range)

1.0 Overhead costs …………………………………..……..……… 5 - 10

2.0 Facilities refurbishment and up grading ……………………….. 5 - 10

3.0 Trans-port operating (fuels, lubricants & other services) ……… 10 - 15

4.0 Subsistence Allowance (per diem and related allowances) ……. 15 - 20

5.0 Project operations (inputs, bench fees, field and laboratory personnel costs, data analysis and processing and, printing and publications … 30 – 50*

6.0 Conferences …………………………………………………… 5

TOTAL 54 - 78

NB: * Under no circumstances shall the operational cost be allowed to fall below 30%

22



4.3.1.4 Work Planning and Budgetary Requirements

60. Project Annual Work Plans and Budgets (AWP&B) will be prepared in line with existingGoK financial procedures and fiscal planning schedules. The AWP&B, which shall beactivity based, will be summarized into project Components and Categories to ensurecompliance with the GoK/World Bank financing agreement requirements. All AWP&B line items shall be summarized under the GoK GFS codes, to ensure compliance with the GoKregulations.

61. The KCSA-NPCU shall be responsible for developing national AWP&Ps by consolidatingKALRO, KMD and county AWP&Ps; and, seek their review and approval by the NTACand the NPSC, respectively. The consolidated AWP&P shall be submitted to the MoA&I forfurther consolidation into the MoA&I’s Budget and forwarded to the National Treasury forinclusion in the GoK’s National Budget.

62. Approved project proposals for commissioning shall have detailed sub-activity and summary budgets with indicative log frame and activity schedule (Gantt chart). Subsequently,AWP&B for every Project Year (PY) shall be prepared in line with GoK Fiscal Year (FY)for inclusion in the GoK printed estimates. The PI(s) will oversee the preparation of theirResearch Consortia’s AWP&B. A summary of the AWP&B for each Research Consortiawill be made using the summary template given in Appendix 6.

63. The KCSAP-NPCU/KALRO shall prepare and constantly review an indicate summary of theresearch activities and budget covering the project period.

4.3.1.5 Reimbursement of Funds

64. The Research Consortia’s CI(s) will account for funds disbursed to them using the SoEsystem and surrender the funds through the PI(s)/LI(s). The PI(s)/LI(s) will also account fortheir own funds disbursement using the SoE system. Further, the PI(s)/LI(s) will prepareand forward their respective Research Consortia’s consolidated account returns to KALRO.The KALRO-KCSAP Coordination Office will examine the account returns; and on beingsatisfied with the content, forward the returns to the MoA&I for re-imbursement, throughthe KCSAP-NPCU.


65. The funds will be disbursed on quarterly basis for planned activities as per indicated budgetsbased on requests from the PI(s)/LI(s). However, initial funds will be disbursed to cover twoquarter, i.e. 6 months, to allow for one quarter rolling fund.

66. Reimbursement of CRGs advance will be made for; (i) funds well spend in line with plannedactivities and (ii) expenditure properly accounted for and surrendered using the SoE systemwith attachment of verification documents including; bank statement reflecting initial creditand current balance and bank reconciliation statement.

67. Ineligible expenditure shall be refunded to the World Bank/IDA, before further disbursementfrom the Bank can be made.

4.3.1.6 Auditing

68. The KCSAP CGS collaborative research project funds shall be subject to both internal andexternal auditing. The auditing shall be done in line with the GoK/World Bank financialcontrol guidelines, KCSAP FMM and the applicable PFM regulations. The KCSA-NPCUshall prepare annual financial statements and submit the same for external auditing no laterthan three months after the end of each fiscal year. The formats for the annual financialstatements have been agreed between the MoA&I and the World Bank. External auditingwill be conducted by Office of the Auditor General (OAG); and, the audit report andmanagement letter submitted to the World Bank no later than six months after the end ofeach fiscal year.

69. The KALRO internal audit system shall carry out routine audits of the Research Consortiaexpenditures, and report their findings to the KALRO Management for necessary (corrective)action.

4.3.2 Procurement and Management of Assets

4.3.2.1 Necessary Conditions for Efficient Procurement Performance

70. According to the Public Procurement Assets and Disposal Act (PPADA) of 2015 the mainobjectives of public procurement are; (a) to maximize economy and efficiency, (b) topromote fair competition, (c) to promote integrity and (d) to increase transparency and

24



accountability.

71. Procurement is a shared function that requires inputs from a multiplicity of actors fromwithin and outside the procuring entity; hence need for; (a) strong teamwork and clarity ofroles of different actors in the procurement, (b) thorough understanding of project scope andactivities, (c) strong procurement capacity and (d) realistic procurement plans.

4.3.2.2 Project Procurement Policy

72. Procurement Process: The process of procurement of goods and services is a collectiveresponsibility of; (a) the World Bank, (b) the National Treasury, (c) the State Department ofAgriculture, (d) the KCSAP NPCU, (e) the Executing Agencies (KALRO & KMD), and (f)County Steering Committees, CPCUs &Value Chain Members.

73. Eligibility of Goods: All goods qualify except those blacklisted by the National Environmental Protection Agency and those spelt out in the World Bank Guidelines.

74. Eligibility of Suppliers, Contractors and Consultants: All qualify except those; (a) debarredfrom participating and awarding of public contracts, (b) firms and individuals who have nolegal capacity to enter into a contract, (c) firms and individuals who are bankrupt, insolventor under receivership or are in the process of being wound up, and (d) with conflict ofinterest.

4.3.2.3 Legal Framework and Management

75. Legal Framework: The Project’s procurement will be guided by the World Bank procurement provisions as indicated in the KCSAP Financial and Procurement Manual and other Bankguidelines and the Government of Kenya procurement regulations and guidelines providedin relevant Government manuals and circulars. All KCSAP CRGs beneficiaries will berequired to access and maintain the relevant procurement documents for reference duringprocurement, after signing the Grant Agreements.

76. Procurement Plan: This document will; (a) define the work to be carried out, (b) the costestimates of the proposed contract, and (c) the procurement methods to be followed. It will


also lay out a logical sequence of the dates for completing key processing steps.

77. Administration of Procurement: To ensure proper administration of the procurementprocess and implementation of contracts, the eligibility and qualifications procedures mustbe undertaken strictly in line with the procurement provisions by the Government of Kenyaand the World Bank.

78. Procurement Management: This involves comprehensive record keeping, maintenance ofseparate files for each contract, maintenance of complete history of procurement proceedingsand contract agreements and safe custody of records for any future reference.

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CHAPTER FIVE

5 MANAGEMENT OF THE RESEARCH GRANTS

5.1 Policy Objectives

79. 5.1.1 - To identify appropriate context specific promising CSA TIMPs for direct up scaling/adoption to upgrade performance of prioritized value chains by increasing their productivityand resilience, in the target communities of the 24 project counties.

80. 5.1.2 - To develop, validate, and disseminate context-specific CSA TIMPs using adaptiveresearch methodologies for delivery of the PDO’s triple-wins, i.e. productivity, adaptationand mitigation where feasible, to the target communities in the 24 project counties.

81. 5.1.3 - To identify research constraints and/or gaps in priority value chains in the targetcommunities in the 24 project counties and develop CSA TIMPs using applied researchmethodologies to deliver the PDO’s triple wins.

82. 5.1.4 - To focus research priorities on community driven soil and water management insmallholder mixed crop-livestock and crop-livestock-tree production systems mainly mid-high potential and pastoral areas.

5.2 Policy Statement

83. 5.2.1 – Purpose: To develop, validate and disseminate value chain based demand drivenCSA TIMPs for improvement of soil and water management, especially within smallholdermaize based mixed crop-livestock and/or mixed crop-livestock-tree production systems,and promote sustainable, community‐driven rangeland management systems, includingaccess to improved quality of livestock services as appropriate, in the 24 project counties.

84. 5.2.2 – Relevance: The research proposals must be in line with the identified priority thematicresearch areas of focus outlined in Appendix 1 and should be demand driven and addressquality requirements and consumer preferences. The proposal should also be scientifically


credible, capable of achieving synergies and cost-effective.

5.3 Eligibility

85. All public and private research and development institutions, universities, producerorganizations, agro-processors, consumers, NGOs and individuals are legible to participateprovided; they are capable of conducting collaborative research with two or more partnersin any of the prioritized APVCs and project thematic areas that address context specificCSA TIMPs needs of the target communities.

86. The Principal Investigator (PI) applying for the grant must be a Kenyan and member ofNARS, with the age of 62 and below. Further, the PI must have (i) a minimum academicqualification of a Masters degree in the area of study relevant to the proposed thematicareas, (ii) have working experience in research of not less than five years and published atleast one paper in a reputable journal, two scientific conference papers or three technicalreports and (iii) a track record of his/her experience in the proposed area.

87. Any scientist meeting the criteria above is eligible to be PI irrespective of gender, religiousor ethnic background. However, he or she must provide documentary evidence of being ateam player and demonstrate leadership capability.

5.4 The Collaborative Research Grant Development and Award Process

88. Figures 2 and 3 below depict the research call and project commissioning process. Successfulapplicants for grants are selected competitively, to a fixed schedule with applicationsconforming to agreed formats, criteria and priorities. Funding limits are set in each call for

28



proposals. Projects may receive funding for up to THREE years.

2

Review & Selection of Concept

Notes by RGMC

Notification of the PIs by KCSAP

KALRO Coordinating office

Submission ofConcept Notes

Preparation and Advertisement

of Research Calls

Full Proposals rejected

Implementation

End

Concept Notes rejected

Submission ofFull Proposals

RGMC review of

Full Proposals

Funds releasedfor Projects

Full ProposalsApproval by NTAC

Unsatisfactory

EndAppropriate sanctions applied Uptake by

end-usersDevelopment

CompletionSatisfactorySatis. Monitoring

& Evaluation

Concept Notes

Accepted

Full Proposals Accepted

Figure. 2: A schematic presentation of the research call and commissioning process

5.5 Call for Concept Notes

5.5.1 Research Call Advertisement

89. An advert soliciting proposals to be considered for funding by the KCSAP CompetitiveGrant System (CGS) will be placed in the popular local news media, mainly in widelycirculated newspapers, Project websites and other related institutional websites, and wouldalso be circulated electronically to institutions and networks with potential interest.

90. The Research Call will have information on: (i) Thematic/Sub-thematic areas for the Call;(ii) call profiles nested to the appropriate national objective; (iii) eligibility as state in 4.3above; and, (iv) format and guidelines for preparation and submission of concept notesincluding deadlines and mode of submission (electronic and by post) as indicated on Form


A1- Format for Preparation of Concept Notes in Appendix 7.

5.5.2 Guidelines for Preparation and Submission of Concept Notes

91. Standard formats and guidelines for preparation of research Concept Notes (CNs) areprovided in Appendix 8. These formats and guidelines should be adherence to strictly; and,the Research Consortia preparing the CNs should be truly multi-institutional and inter-disciplinary embracing the Agricultural Product Value Chain (APVC) approach and Public-Private-Partnership (PPP) as their main vehicles for development, validation and deliveryof TIMPs. The CNs should indicate definite research interventions and target beneficiariesat all levels of the APVC continuum. Further, the conceived proposals should take intoaccount the following; (i) potential contribution to the CSA triple wins, (ii) expectedoutputs tenable within the project timeframe of three years, (iii) market and agribusinessdevelopment orientation, (iv) cross-cutting, i.e. gender, social-cultural, environmental andHIV/AIDS issues, (v) potential for pro-poor growth, (vi) sustainability and (vii) potentialimpact and/or value for money. Collaborative research CNs shall be developed for bothguided adaptive research process and open competitive applied research process.

92. A summary of guidelines for the preparation of CNs and information on procedures and duedates for submission of the CNs, shall be advertized in popular local news media. However,information on all aspects of the requirements for preparation of the CNs including detailedguidelines, formats and value chains/thematic areas of focus; and, instructions on completionand submission of the CNs of any given call, shall be posted at KCSAP, MoALF&I, KALROand other relevant Websites.

93. All Research Consortia submitting CNs shall be required to attach their relevant credentialsto the CNs; and, submit the CNs through the LIs.

5.6 Review of Concept Notes

5.6.1 Pre-screening of Concept Notes

94. All CNs shall be received at the KALRO-KCSAP Coordinating Office by the set deadlineand re-screened based on guidelines given in Appendix 8 before full screening of shortlisted

30



CNs is undertaken by reviewers.

5.6.2 Peer Review of Concept Notes

95. The CRGMC shall be convened within one week after the submission deadline, to initiatethe CNs screening process. The CNs shall be subjected to peer-reviewers appointed underthe ‘Terms of Reference for Peer Reviewers’ given in Appendix 9; and, screened based onthe criteria detailed in Appendix 10. The screening process shall take one week and CNsmeeting basic proposal requirements will be developed in full project proposals.

5.7 Development, Submission and Review of Full Proposals

5.7.1 Development of Full Proposals

96. Principal Investigators (PIs) and collaborators of the selected CNs will be invited to developfull proposals (FPs) to be submitted within one month from the date of notification. Variouswrite-shops will be conducted to support the development of the full project proposals.Guidelines for the development of FPs are given in Appendix 11.

97. When developing FPs, PIs and their multi-institutional and inter-disciplinary collaborativeteams shall embrace the APVC approach; and, to identify appropriate research interventionsand well defined beneficiary groups at all levels of along the APVC continuum. The fullproposals will take into account the following basic considerations:

i. Potential contribution to the CSA triple wins;

ii. Expected outputs tenable within the given timeframe of 3 years;

iii. Market and agribusiness development orientation;

iv. Cross-cutting issues including gender, natural resource management and HIVAIDS;

v. Potential for pro-poor growth, sustainability, and impact including value for money;

vi. Scientific merit in the study design, model and analytical tools used.

98. The proposals shall be developed along the logical framework rationale given in Appendix


12. This includes goal, purpose, inputs and outputs/outcome on one hand; and, objectivelyverifiable indicators, means of verification and important assumptions on the other hand.

99. All KCSAP CGS Collaborative Research Full Proposals will be required to comply with theEnvironmental and Social Management Framework (ESMF) requirements provided for in the ESMFSub-Projects Screening Checklist attached in Appendix 13. Further, the Reporting Format onEnvironmental and Social Issues in the collaborative research projects is given in Appendix14. All requirements must be met before project approval and implementation.

5.7.2 Submission of Full Proposals

100. The PIs shall submit FPs through the heads of Lead Institutions to the KALRO-KCSAP Coordinating Office within the set deadline for review and approval within one month following induction of the selected research teams on preparation of FPs. The proposals shall be accompanied by official letters of submission and relevant credentials of participating PIs and their respective collaborators.

5.7.3 Review and Approval of Full Proposals

101. A meeting of the CRGMC shall be convened to constitute a panel of reviewers and initiate the review process within one week after the submission deadline. The review shall be based on the criteria elaborated in Appendix 15. The reviewing process shall not exceed two weeks. After completion of the review process, the CRGMC shall convene within one week to consolidate all reviewers’ comments and rationalize budgets of the winning proposals. The PIs may be required to revise their respective proposals in accordance with the reviewers’ comments and provisions of budgetary ceilings; and, re-submit the revised proposals within two weeks.

102. Reviewed and accepted FPs by the CRGMC shall be forwarded to the NTAC for final approval. PIs of the approved FPs shall be notified within a week after approval, and invited for an inception workshop prior to implementation of the projects.

5.8 Commissioning of the Research Projects

103. The step-wise time frame, for development of project proposals commencing with the research call up to the commissioning and implementation is schematically outlined in

32



Figure 3. The entire process is expected to take no more than 6 months.

Figure. 3: Schedule and timelines to be followed in proposal development

Note: The 2 days for the induction of successful CNs research teams to develop FPs and the 1 month development and submission of FPs includes 7 days of training on the development of FPs.

Development and announcement of Research Call

Preparation and submission of Concept Notes (CNs)

Screening and merging (where applicable) of CNs for compliance with specified criteria and

rejection of non-compliant CNs

Notification of the PIs on the status of the CNs

Induction of research teams of selected CNs to develop Full Proposals (FP)

Review of FPs by RGMC/NTAC and approval/acceptance

by PSC

Development and submission of Full Proposals (FPs)

1 week

2 weeks

3 Days after selection

2 Days

1 month

7 weeks

2 weeks

RGMC

RGMC

KCSAP KALRO Coord. Office

KALRO & NPCU

Research Teams

Research Teams

RGMC/NTAC

Time Frame

Main Actors

COMMISSIONING OF RESEARCH PROJECTS

Development of Collaborative Research and determination of CGS projects portfolio


CHAPTER SIX

6 PROJECT MONITORING, EVALUATION AND REPORTING

6.1 Purpose

104. The Monitoring and Evaluation (M&E) process of KCSAP CGS Collaborative Research Projects, which includes field visits and reporting on progress of the projects’ performance, provides a tool for measuring the effectiveness of the projects’ implementation. It allows the management to monitor how efficiently the projects may be performing in the execution of planned activities; and also, in evaluating their effectiveness in fast-tracking the realization of expected outputs and outcomes. Further, it enables timely acquisition of information required to determine necessary adjustments and changes in the implementation of the Project activities; and hence, application adaptive management approaches and enhancement/promotion of organizational learning.

6.2 Strategic Importance

105. Monitoring is important and critical for KCSAP CGS Collaborative Research Projects in providing data and information required to check progress on implementation of planned activities, assess their performance and relevance; and, their impact. The projects’ evaluation, which is an assessment of projects activities at a point in time, often in regard to the factors that determines their worth, value or quality, will also, be undertaken at defined points in time during the implementation of the projects. This may objectively be undertaken, just before the official KCSAP/World Bank Mid-term Review Mission and again before the official end of Project KCSAP/World Bank evaluation. However, internal on-going evaluation, which is a continuing process to provide feedback information to management for corrective action, will be undertaken on more regular basis.

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6.3 Responsibility for Monitoring and Evaluation

6.3.1 Routine Monitoring & Evaluation of KCSAP CGS Collaborative Research Projects

106. Routine M&E activities for KCSAP CGS Collaborative Research Projects will be organized/coordinated by KALRO-KCSAP Coordination Office and backstopped by the KCSA-NPCU/RGMC. The CPCUs and CTACs will form part of the M&E missions in their respective counties. The routine M&E activities will be bi-annual; and, will be funded internally by KALRO’s M&E budgetary provisions. After completion of the M&E exercises, the RGMC will make detailed progress/status reports to the NTAC.

6.3.2 National Mandate

107. The overall mandate and responsibility for KCSAP M&E is vested in the Component 4 of KCSAP, which is responsible for the Project’s Coordination and Management. The Project’s Component 4 will support overall project supervision and oversight activities by the NTAC and the NPSC. Under this component, a web-based Project Management Information System (PMIS) will be established to capture, store, retrieve and process data collected and/or derived from national, county, and community level activities and any other sources; and generate relevant information. The component will also verify inputs, outputs and effects or impacts of the project activities over time. National M&E missions for KCSAP CGS Collaborative Research Projects will be organized by the NPCU with support of KALRO and undertaken jointly by the NPCU, KALRO and the RGMC. However, where need for intervention may be observed, special M&E missions, will be mounted.

6.3.3 Process Monitoring

108. The role of continuous M&E of the KCSAP Collaborative Research Projects shall be vested in the PIs using standard data collection instruments as per the projects implementation plan. However, human capacity for the M&E shall be built by the KCSAP-NPCU/KALRO.


6.3.4 Funds for Monitoring and Evaluation

109. Each project proposal will be required to incorporate adequate funds in their budgets for the internal M&E activities, to ensure effective M&E based on the key performance indicators as spelt out in the projects logical framework.

6.4 Reporting

6.4.1 Overview

110. Researchers are required to prepare reports of their research results and papers for publication, which may be used by TIMPs users, other scientists, development practitioners and policy makers. To achieve this, regular, i.e. quarterly and annual, meetings of the project teams with their collaborators will be convened to review progress. Information obtained from the review meetings will be used in preparation of reports and other relevant publications.

6.4.2 Progress Reports

111. The PIs and LIs on behalf of their ‘Research Consortia’ will prepare and submit to KALRO - KCSAP Coordination Office consolidated progress reports within 15 days after the due period on quarterly and annual basis.

112. The reports shall be prepared to indicate accomplished activities, mile-stones and outputs as provided for in the reporting schedules and detailed formats for reporting and guidelines given in Appendix 16. The ‘Appendix 17a: KCSAP CGS FORM C1: The KCSAP CGS Reporting Schedules’ provides the reporting schedules on quarterly and annual basis throughout the project period. The Appendix 17b: KCSAP CGS FORM C2: Format for KCSAP CGS Progress/Annual Report, on the other hand, summarizes the required report in a precise manner. PIs shall compile consolidated quarterly reports from all their respective collaborators, detailing progress in the implementation of planned activities supported under the KCSAP CGS to KALRO and subsequently the NPCU, in accordance with the formats stipulated above. Quarterly reports shall describe the activities carried out during the reporting period and results obtained in relation to specific output indicators developed as



part of the M&E plan. The Appendix 17 provides the M&E Formats; Form 17a being on data capture and Form 17b on M&E reporting.

113. The NPCU/KALRO will then synthesize all the progress quarterly reports received from PIs and submit to the NTAC/World Bank highlighting progress of activities, achievement of outputs and outcomes as per the approved Results Framework. Further, the NPCU/RGMC will also identify any significant constraints or issues that might impede long-term success or up-scaling and adoption, and initiate follow-up actions stemming from such reviews as directed by the NTAC. The quarterly reports shall be consolidated at the end of the project year to form annual reports.

6.5 Mid-Term Report

114. A major review of the KCSAP CGS Collaborative Research Projects will be undertaken just prior to KCSAP Project Mid-Term review. Changes in the projects’ implementation plans and budgets for the remaining project period may be recommended and effected as deemed necessary. Such changes in the project implementation plans and budgets that affect the results framework shall approved by the NTAC.

6.6 Feedback

115. In response to project progress and completion reports, the NPCU and KALRO-KCSAP Coordination office will provide regular feedback to project PIs and/or implementing agencies, especially where there is need for corrective measures.

37 Collaborative Reseach Grants Manual | 2018


6.7 End of Project Report

116. At the end of the project, a Project Final Report will be prepared for each collaborative research project and consolidated by the KALRO-KCSAP Coordinating Office. The NPCU will prepare the final end of project M&E report, which will include the most significant features such as the principal results, outcomes and (expected) impacts of the project; and, recommendations resulting from the project.

117. The RGMC will evaluate the results of the funded research projects at the end of the project execution period. This will be accomplished primarily based on the Project Final Report, which will indicate the degree to which the outputs have been delivered. In addition, RGMC will monitor the contribution of the funded projects towards the strategic objectives and outputs of KCSAP. Periodic evaluations will be undertaken to provide KALRO-KCSAP with a means to check on those results reported by grant recipients and serve as a mechanism to collect independent information and for results verification.

REFERENCES

Blench, R. (2001). ‘You can’t go home again’ Pastoralism in the new millenium. London, UK. Overseas Development Institute.

Trautmann, W. (1985). The impact of the agrarian revolution on nomadism of the Algerian steppe. Nomadic Peoples (17), 23-33.



APPENDICESAPPENDIX 1: Priority Thematic Research Areas of Focus

No Themes Sub-Themes

1 Climate smart crops

Conducting a location-specific mapping of germplasm-related needs for improved targeting

Developing, validating, and promoting best-fit germplasm technologies at farmer level through participatory approaches and on farm trials

Strengthening surveillance of plant pest, weeds and diseases, and promoting climate smart TIMPs related to crop health

Enhancing the acquisition, characterization, conservation and utilization of germ-plasm to support CSA

Developing, validating and optimizing post-harvest technologies to meet quality and food safety standards, and minimizing post-harvest losses

2Climate smart livestock and aquaculture

Testing and adapting forage varieties tolerant to both biotic and abiotic stresses resulting from climate change

Conserving and upgrading local livestock, aquaculture genetic resources, matching different livestock/aquaculture germplasm to environment to enhance their productivity and adaptation to climatic variability

Formulating rations using fortified feeds, feeding strategies and feed safety

Promoting TIMPs that increase honey productivity and improve bee ecosystem management

Fine-tuning crop-livestock-aquaculture integration TIMPs for efficient nutrient cycling, water use and feed production

Reviewing the existing systems of disease and pest surveillance with a view to strengthening the development, validation, and promotion of appropriate control measures for priority/emerging livestock/aquaculture diseasesEvaluating and supporting uptake of aquaculture systems that increase productivity, reduce disease losses, and integrate sustainable water and land use practices

Developing and promoting fish-crop integration TIMPs



Promoting post-harvest conservation, value addition and storage of forages, crop residues, livestock and fish products

3 Socio-economic research

Undertake baseline studies of various CSA technologies (climate smart NRM, crop, livestock and aquaculture TIMPs) to be developed with strong support from the thematic areas scientistsEx-ante analyses to provide strategic socio-economic support during the participatory R&D and delivery of CSA TIMPs for crops, livestock, aquaculture and NRM

Market research to provide market information for development of CSA TIMPs

Policy research and advocacy by producing policy briefs and convening policy workshops/forums

Establishment and maintenance of an M&E system for CSA TIMPs related to crops, livestock and NRM research, and the development of seed systems

4Sustainable land, water and agro forestry

Identification of grassroots institutions for strengthening collective action to upscale SLM practices in 24 counties

Assessment and promotion of land and water TIMPs (including integrated soil fertility management approaches) in selected ASAL counties

Development and assessment of strategies for the rehabilitation of arid and semi-arid rangelands

Development and promotion of simple mechanization technologies (e.g., rippers and planters) for CSA in target counties

Introduction and evaluation of agroforestry tree species suitable for soil health restoration and livestock feed in selected ASAL countiesAssessment of rangeland species dynamics (including invasive species) in response to climate variability and management practices and development of appropriate interventionsDetermination of the carbon sequestration capacity of grassland, planted forages and crops and their effects on climate variables

5 Sustainable bio-energy

Identifying and validating the existing types and prototypes of simple low-cost bio-digesters, and promoting the most appropriate innovations

Developing and promoting efficient technologies for conversion of agricultural waste into useful forms of energy



Introducing, evaluating and promoting improved kilns and ‘jikos’ for the production and use of charcoal to reduce biomass consumption

Developing VCs that produce biofuel/biodiesel and other sources of renewable energy, including charcoal

6Managing risk and uncertainty in CSA

Identification of production, market and environment risks in CSA. Development of crop/livestock/aquaculture weather modeling

APPENDIX 2: Terms of Reference for KCSAP CGS Research Grant Management Committee

The Research Grant Management Committee (RGMC) will be appointed by the NPCU/NTAC; and of the committee membership will be for the project period. The KCSAP Research and Seed Systems Coordinator will be the Secretary and KALRO-KCSAP Coordinator will be the ex-officio alternate Secretary, to the RGMC. Appointment of the RGMC Chairperson will be made by the NPCU and ratified by the NTAC.

Qualification for Membership

An RGMC member should be outstanding and respectable, from both the research supply and utility sides of the spectrum.

An individual member’s skills should cover at least one of the following areas;



i Bio-physical - Crops, livestock, fisheries, lands, water, Biotechnology and genetic Resources Management, and agro ecology, with experience in the application of production enhancing technologies across commodities and factors.

ii Social - Social development, gender, social anthropology, etc.

iii Economic - Value adding processing and post-harvest handling, analysis of markets, product chains and policy, marketing and trade.

iv Environmental Sciences.

v Meteorology and Climate Science

vi Environmental Conservation

vii Fisheries and Marine Science

The RGMC members should be resourceful senior scientists with a career in background in national agricultural research and development. They should hold or should have held higher positions in relevant research institutions, university faculties/schools of agriculture or related scientific institutions. Also, suitably qualified and resourceful retirees from the private sector and relevant NGOs that focused primarily on agriculture, natural resources management and rural development, may be considered.

Candidates for the RGMC position have scientific and electronic connectivity; and, specifically, the members should be:

i. Respected and well recognized persons in the scientific domain;

ii. Progressive, fair, and impartial;

iii. Strong in leadership and managerial skills;

iv. Strong in interpersonal communication and conflict resolution skills;

v. Interested and willingness to work on KCSAP CGS RGMC activities and be champion of use of CSA technologies and innovations.

vi. Nationally or internationally exposed to agricultural research and/or have direct experience in agricultural research.

Responsibilities of the RGMC Members



• Define policy guidelines for management of the KCSAP CGS;

• Ensure final selection of KCSAP CGS proposed projects, according to agreed criteria;

• Ensure the quality of financed projects;

• Analyze periodical reports of the financed projects, and suggest remedies or ways to improve them, if needed;

• Adjudicate complaints and disputes concerning project implementation.

• Designing a technical knowledge management system to ensure that the Designing a technical knowledge management system to ensure that the KCSAPCGS contributes to the national agricultural innovation system while complementing other efforts. The system should focus on uptake-promotion andscaling up of good practices so that they become an integral part of development strategies targeting the capacity to access both existing and new knowledge.What is needed is a results framework that effectively links project outputs to higher level national agricultural objectives.

• Designing the research Calls which trigger proposal writing.

• Technical evaluation of proposals and submitting recommendations to the PSC

• Supporting the KCSAP CGS management team in the technical oversight monitoring and evaluation of commissioned projects.

• Forming and supervising ad-hoc subcommittees to assist in dealing with specialized matters that contribute to the national agricultural innovation systemwhile complementing other efforts.

• The KCSAP KALRO Coordinator will be ex officio secretary of the RGMC.

Training

There will be no structured training requirements for RGMC members; KCSAP Coordination Office however, will organize a KCSAP CGS “familiarization workshop” for RGMC members.


APPENDIX 3: Terms of Reference for KALRO -KCSAP Coordination Office

The KALRO-KCSAP Coordination Office will consist of appropriate expertise to conduct the functions of the office and may require assistants with knowledge in ICT, personnel, and accounts.

Requirements

The Coordination Office is fully responsible for all activities regarding coordination, implementation and supervision of the KCSAP CGS.

Responsibilities

The KALRO-KCSAP Coordination Office will be responsible for the following:

44



i. Managing the KCSAP CGS including the coordination of annual work plan and budgetspreparation.

ii. Consolidation of information concerning key performance indicators (KPIs) of the KCSAPCGS projects.

iii. Monitoring and evaluation of KCSAP CGS projects in respect to the status of implementationand achievement of the key performance indicators.

iv. Consolidation of progress reports from KCSAP Research Consortia for Coordination office’stransmission to the NPCU/MoALF as agreed in the MoALF-KALRO MoU. Also, prepare anyother reports reasonably requested by RGMC.

v. Take part in the KCSAP M&E Missions that periodically evaluate the status of implementationof the entire KCSAP CGS project portfolio; and, make recommendations on quality control andnecessary improvements.

vi. Technical coordination, establishing and managing the Peer reviewer’s database for assessingthe technical quality of the applied research subprojects, and helping in achieving them.

vii. Ensuring field monitoring of each technical and financial progress report, by checking upon:i) progress report expenditures eligibility; ii) the setting up categories of expenditures andframing of expenditures in these categories for each CGS-financed sub-project; iii) enforcing the instructions in the CGS Operation Manual

viii. Fulfilling the legal requirements, according to the government’s financial policies in force.

ix. Procurement and administering the goods and equipment at the KCSAP CGS CoordinationOffice; conducting studies on cost-recovery; conducting impact studies; contracting servicesand civil works.

x. Facilitating the preparation and forecast of KCSAP CGS costs and expenditures, accordingto the cost information available in the KCSAP Project Documents, taking account of Kenyan legislation;

xi. Ensuring the implementation of the KCSAP CGS, ensuring sustainability, according to theKCSAP implementation plan

xii. Ensuring a working relationship with the subproject beneficiaries;

xiii. Preparing reports and forwarding them to the appropriate bodies, as established by NationalProject Steering Committee (NPSC);

xiv. Compiling quarterly and yearly reports for KCSAP CGS activities and submitting the sameto all relevant authorities, and ensuring the fulfillment of the activities in compliance with theworking deadlines established;

xv. Ensuring the registration and administration of capital assets and equipmentReporting

The KALRO – KCSAP Coordination Office will prepare and forward progress reports on implementation status of the KCSAP CGS projects to the MoALF though the NPCU as required, using the agreed format.


APPENDIX 4: Contract Agreement between KALRO and GranteeGrant Agreement for: --------------------------------------------------------------------------------------

Grant Agreement No: --------------------------------------------------------------------------------------

KCSAP Project Ref Number: -----------------------------------------------------------------------------

Total Grant Amount: KES: --------------------------------------------------------------------------------

This Grant Agreement is made Between: The Kenya Climate Smart Agriculture Project – KALRO Situated at:

Kaptagat Road, LoreshoP.O. Box 57811 – 00200, NairobiTel: +254 722-206-988Email: [email protected]

Hereinafter referred to as “KCSAP - KALRO”

And (1) ---------------------------------------------------------------------------------- (Institution/Organization)

P.O. Box ---------------------------------------------------------------------

for implementation by

(a) -------------------------------------------------------------------------- (Principal Investigator)(b) -------------------------------------------------------------------------- (Research Scientist)(c) -------------------------------------------------------------------------- (Research Scientist)(n) ---------------------------------------------------------------------- (n - Research Scientist)

(2) -------------------------------------------------------------------- (Institution/Organization)

P.O. Box --------------------------------------------------------


(a) -------------------------------------------------------------------------- (Research Scientist)(b) -------------------------------------------------------------------------- (Research Scientist)(c) -------------------------------------------------------------------------- (Research Scientist)

(n) ----------------------------------------------------------------------- (n - Research Scientist)

(3) -------------------------------------------------------------------- (Institution/Organization)

P.O. Box ----------------------------------------------------



(a) -------------------------------------------------------------------------- (Research Scientist)(b) -------------------------------------------------------------------------- (Research Scientist)(c) -------------------------------------------------------------------------- (Research Scientist)

(n) --------------------------------- --------------------------------------- (n - Research Scientist)Hereinafter all together referred to as “the Grantees” and individually as “the Grantee”

PREAMBLEWHEREAS

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A. KALRO has received research funds under the Kenya Climate Smart Agriculture Project (KCSAP) facilitated through a Credit from the World Bank to Government of Kenya, acting as administrator of the research funds provided through the Ministry of Agriculture Livestock and Fisheries, under terms and conditions set forth in a Memorandum of Understanding between the Ministry of Agriculture Livestock and Fisheries and KALRO, signed on --------------------------------; AND pursuant to the Memorandum of Understanding and KCSAP Financing Agreement, part of the proceeds of the research funds may be granted to eligible entities in furtherance of KCSAP’s Project Development Objective for specific research projects along the identified Thematic/sub-thematic Areas;

B. The Grantees propose to carry out a research project in furtherance of the KCSAP Project Development Objective (PDO), as further described in Annex I to this Agreement (the Project), and have requested financial assistance from KALRO from the research funds in carrying out of such project;

C. The Project to be undertaken by the Grantees has been prepared, approved and commissioned in line with the KCSAP Grant funding guidelines and procedures;

THEREFORE;

In accordance with the terms and conditions of the Memorandum of Understanding and KCSAP Financing Agreement, KALRO and the Grantees hereby enter into this Grant Agreement, whereby the Grantees agree to implement the project and KALRO agrees to make funds available to the Grantees out of the proceeds of the KCSAP research funds in accordance with the terms and conditions stipulated below:

Article I Components of the Grant Agreement

The following form part of this Agreement:-

• Annex I Project Specifications (proposal)

• Annex II Letters of Commitment from the Grantee(s)

• Annex III Banking Information Form

Article II Purpose of the Grant

The purpose of this Grant is to assist in financing the project and facilitate the achievement by the Grantees of the objectives of the project, all as set out in the Project Specifications (Proposal) attached as in Annex I


Article III Responsibilities of the Grantees

Each Grantee shall;

(A) (i) Carry out its project with due diligence and efficiency and in accordance with sound technical, economic, financial, managerial, environmental and social standards and practices satisfactory to the KCSAP. This may include, if an, environmental management plan required pursuant to the Environmental safeguard, prepared in connection with the KCSAP Project Appraisal Document setting the policy framework, standards, processes, and institutional arrangement. This shall be applied to screen and assess potential adverse environmental and social impacts associated with the project, including sub-projects and (ii) provide promptly as needed, the resources required for the purpose;

(B) Procure the goods and services to be financed out of the Grant in accordance with the provisions of the KCSAP research funds and Financing Agreement, and ensure that the goods and services shall be used exclusively in the carrying out of the Project;

(C) Maintain policies and procedures adequate to enable it monitor and evaluate in accordance with indicators stated in the project specifications Annex I, progress of the project and achievement of its objectives of contributing to KCSAP PDO;

(D) (i) Maintain a financial management system and prepare financial statements in accordance with consistently applied accounting standards acceptable to KALRO (in line with GOK and World Bank procedures), both in a manner adequate to reflect the operations, resources and expenditures related to the project; and (ii) at the KALRO’s request , have such financial statements audited by independent auditors acceptable to KALRO (in line with internationally accepted procedures), in accordance with consistently applied auditing standards acceptable to KALRO, and promptly furnish the statements as so audited to KALRO;

(E) Enable KALRO to inspect the project, its operation and any relevant records and documents; and

(F) Prepare and furnish to KALRO all such information and reports as KALRO shall reasonably request relating to the foregoing.

Article IV Period of the Grant Agreement

This Grant Agreement will be effective from the date of signing of this Grant Agreement and will be expected to run up to --------------- unless terminated earlier or extended by mutual written agreement of the parties.

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Article V Amount of the Grant Agreement and payment terms

(A) KALRO shall make available a financial contribution amounting to Kenya Shillings ------------------------- [Amount in words] as per the expenditure budget listed in project specifications Annex I. The amount is the total sum of the Grant allocated to individual grantees as follows;

i) KES ……………………Institution…………………………………….

ii) KES ……………………Institution…………………………….………

iii) KES ……………………Institution…………………………………….

iv) KES ……………………Institution…………………………………….

(B) The above grant amount shall be paid in KES in quarterly installments upon signing of Grant Agreement. The sum stipulated in (A) above represents the maximum amount to be paid by KALRO to the Grantees for all services and activities to be carried out in the period stated above.

(C) KALRO shall make payments by bank transfer to the Grantees bank accounts details of which are provided by the Grantees in Banking Information Form attached as Annex III.

(D) Disbursement of funds by KALRO to Grantees is and shall be subject to the same being received from the KCSAP Secretariat as the case may be.

Article VI Technical and financial reporting:

(a) The PI(s)/LI(s) shall submit to KALRO-KCSAP Coordinating Office, Inception, Quarterly, Annual and Final technical reports not later than;

i) 7 days after the project inception for Inception Report

ii) 10 days after end of every third month for Quarterly Report

iii) 21 days after end of every year for and Annual Reports

iv) 30 days after end of Project duration for Final Report.

(b) Quarterly Interim Financial Reports (IFRs) and Technical Progress Reports (TPRs), will be submitted by each Grantee or Research Collaborator to the PI of Lead Institution, who will consolidate the individual reports into one project report, on behalf of the Research Consortium. The PI will then submit the consolidated report to the KALRO-KCSAP Coordinating Office not later than 10 days after the end of each quarter. The report will strictly follow standard reporting formats developed for the KCSAP CGS Collaborative Projects’ reporting. All financial accountabilities will always include ‘Summary Expenditure Statements’ signed by the PI, certified by the ‘Authorized Finance Officer’ and proved by the ‘Chief Executive Office’ or his/her ‘Appointed Representative’.

(c) The KALRO-KCSAP Coordinating Office, shall submit to the MoALF consolidated

(d) The reporting currency for financial reports is in KES.

(e) (-------------------------Implementing Institute) shall be the technical lead institution in the execution of the Project and shall coordinate the implementation of all Project activities and reporting.


Article VI Key project personnel and responsibilities

(a) ---------------, ---------------------- and --------------------- shall be the principal implementers of the Project activities at -------------------, ----------------------------, and ---------------------- respectively and shall be responsible for implementation and reporting of all Project activities for which -------------------------, ---------------------------- and --------------------------- have been funded.

(b) The -------------------------- of -------------------and ------------------------------------and ------------------------------------ shall designate in writing, names of the Principal Investigator or Co-investigators, as the case may be, and; Financial and Administrative Officers for this project. The names and specimen signatures to Project Account shall officially be provided by the Grantees.

Article VII Settlement of disputes

Any disputes arising out of the interpretation or execution of this Grant Agreement, KALRO and the concerned collaborating institution(s) will take all possible steps to mutually resolve. In the event of disputes between parties that cannot be settled amicably, the KCSAP National Technical Advisory Committee shall arbitrate in the manner it deems fit.

Article VIII Termination and suspension of the Grant Agreement

(a) This Grant Agreement may be terminated in whole or in part at any time before the date of completion, if it is determined that the collaborating institution(s) has/have failed to comply with the conditions of the Grant Agreement, KALRO shall promptly notify collaborating Institution(s) in writing of the termination and reasons for the termination, together with effective date.

(a) This Grant Agreement may also be terminated in whole or in part when both parties agree that the continuation of the project would not produce beneficial results commensurate with the further expenditure of funds. The parties shall agree upon the termination conditions, including the effective date and, in the case of partial terminations, the portion to be terminated. The collaborating institution(s) shall not incur new obligations for the terminated portion after the effective date, and shall cancel as many outstanding obligations as possible.

(b) This Grant Agreement will automatically terminate where the extension of Credit by the World Bank under KCSAP is stopped.

Article IX Intellectual property

All rights, titles and interests in intellectual properties based on this grant agreement (including copyright, trade mark, patent, computer programs and data base rights) produced by …………….. (Grantee 1) and ……………………… (Grantee 2) or their personnel in conjunction with KALRO or its personnel shall be assigned jointly and severally to them. Intellectual property based on works outside this sub-agreement shall remain with each party, and no rights thereto are provided in this grant agreement.

Article X Assurances & Certifications

------------------------ and ------------------------- hereby expressly certify to KALRO that neither will provide material support or resources from this Grant Agreement to any individual or entity that it knows, or has reason to know, is an individual or entity that advocates, plans, sponsors, engages in, or has engaged in terrorist activity.

-------------------------, --------------------------, the Project PI/Co-PI, or any designated responsible person to the project shall neither offer a third person nor seek, accept or get promised directly or indirectly for him/herself or for another party any gift or benefit which will or may be construed as an illegal or corrupt practice.

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Article XI Indemnification

a) ------------------------- and -------------------------- shall, to the extent of their abilitiesand under internationally applicable laws, indemnify, defend and save harmlessKALRO for any and all loss, damage, claims, actions and suits whatsoever includingall costs, expenses, and attorney’s fees incurred by ----------------------- and ------------------------------------- in connection therewith that arises out of ----------------------- and ---------------------------- or their staff negligence or other legal wrong-doing inany way or connected with activities under this Grant Agreement.

b) --------------------------- and -------------------------- agree to give KALRO immediatenotice of any claim, action or suit in any way connected with activities under thisGrant Agreement.

c) ------------------------ and ----------------------- agree to maintain normal insurancecoverage or make adequate provisions of insurance to safeguard from any accidentsand/or losses to project staff and properties financed by this grant fund during thecourse of this Grant Agreement.

Article XII Customs and Taxes

----------------------- and ---------------------------- shall ensure that the Grant funds shall not be used for the payment of customs duties, import or other duties or taxes levied in connection with the overseas procurement of goods and services for the project or the execution, delivery or registration of this Grant Agreement if required under the law of any country in which this Agreement is to be implemented.

Article XIII Privileges and Immunities

The personnel undertaking and responsible for effecting the project activities related to this Agreement, whether employed by either ---------------------------------- or -------------------------- or not, shall neither be entitled to any privileges, immunities, compensation or reimbursement nor shall they be allowed to incur any commitments or expenses on behalf of KALRO.

Article XIV Partial Invalidity

If any provision of this Grant Agreement or the application thereof to any person or circumstance, shall to any extent be invalid or enforceable, the remainder of the Grant Agreement or the application of such provision to persons or circumstances other than those to which it is invalid or an enforceable shall be unaffected thereby and each provision of the Grant Agreement shall be valid and enforceable to the fullest extent permitted by law.

Article XV Compliance with Laws

-------------------------- and ---------------------------- agree to comply with all laws, statutes, regulations, rulings or enactments of any governmental authority that are applicable at all the project places of work.

Article XVI Amendments

Any amendment to this Agreement shall be effected only on the basis of written mutual consent by the Parties. All mutually agreed upon changes to this Grant Agreement shall be processed by the Director General, KALRO.


Article XVII Sub-Agreements with Other Recipients

a) Grants to other (3rd party) recipients shall be made only with responsible recipientswho possess the potential ability to perform successfully under the terms andconditions of the Grant Agreement. Consideration shall be given to such matters asintegrity, record of past performance, financial and technical resources, or accessibilityto other necessary resources. Grants shall not be made to firms or individuals who donot meet these criteria, and who do not have exemption for custom duties and taxes.

b) All sub-agreements with other (3rd party) recipients shall at a minimum containprovisions to define a sound and complete agreement in addition to those that arespecifically required by any other provisions in this Grant Agreement.

Appendix XVIII Date of Effectiveness of the Grant Agreement

This Grant Agreement shall come into effect on the date all the signatories have signed the Agreement.

IN WITNESS THEREOF, KALRO and the Grantees the parties hereto have executed this sub-grant agreement by signing for and have executed this Grant Agreement by affixing their signatures below:

AUTHORIZED SIGNATURES

For KALRO

Name:

Title:

Date:

For: (Collaborating Institution)

Name:

Title:

Date:

For: : (Collaborating Institution)

Name:

Title:

Date:

For the Grantee

Name:

Title:

Date:

52



APPENDIX 5: Financial Reporting and Application Forms.Sub-Section 5.1: Summary Financial Quarterly Report.1.0 Project Title:2.0 Lead Organization:Leader / Principle Investigator:

KCSAP CGS Ref: Phase: Duration: Start Date:

Reporting period/time: From: ………………………..…….. To: ………………………………….….**Analysis of actual against budgeted expenditure for the quarter.

In less than 150 words, give a summary of actual expenses against budget for the reporting quarter. Particular attention should be paid to linkage between expenditure and planned activities vis-à-vis actual actitual activities undertaken and expected outputs/outcomes. In event of any divergences from planned activities, state the degree of divergence; and, give reasons why. Details of capital expenditures in the quarter:

Provide details of any capital expenditures and identification marks for capital equipment bought by the project funds. Sub-Section 5.2: Disbursement and Reimbursement Formants for Expected Quarter Expenditure

This is used to present the expected expenditure for the quarter that funds are being applied for. It is based on the agreed work plans and approved budgets for the project.

Project Reference No:Project Title:Project Year : Fiscal Year:Quarter period covered by expenditureFrom: To:Description Estimated expenditureActivity 1Activity 2Activity …nOverheads

Total:Sub-Section 6.3: Financial Part of the Quarterly Report: Interim Financial Report An Interim Financial Report (IFR) must be submitted to the KCSAP-NPCU as a requirement before reimbursement of any collaborative research project funds. Thus, the format below should be followed to provide the minimum information required for reimbursement.KAPAP REF: PHASE: DURATION: START DATE:

Reporting period/time: From: ………………………..…….. To: ………………………………….….

Analysis of actual against budgeted expenditure for the quarter.

In less than 150 words, give the summary of actual expenses against budget for the reporting quarter, pay particular attention to linking expenditure to the actual work that was done. In case of divergence from the budget attach detailed schedule and notes to explain material divergences.

Details of capital expenditures in the quarter.

Please provide details of any capital expenditures and the identification marks for capital equipment bought by the project funds Details of cash received and bank balances as at end of the quarter.

Clearly specify what amounts are available for the project as at end of the quarter. (Attach copy of bank reconciliations where possible).


Item DescriptionAmount (Ksh.) Initial Bank

StatementFinal Bank Statement RemarksInitial

AmountFinal Amount

1 Disbursement to the Lead Organization

Attach bank credit statement

Attach final bank balance statement (as at date of surrender)

2

Disbursement from the Lead Organization to collaborator 1



3

Disbursement from the Lead Organization to collaborator 2



4

Disbursement from the Lead Organization to collaborator 1+n



SIGNATURE: ……………………………………………………………….. DATE: ………………………………………….

Principal Investigator

SIGNATURE: ………………………………………………………….…….. DATE: ……………………..……………….

Project Accountant

IGNATURE: ………………………………………………….…………….. DATE: ……………………….……………….

Authorizing OfficerSection 5.4: The Current Status of Finances Held with the ProjectShows the current status of finances held with the project, and is a summary of money received and expenditure during the previous quarter.Quarter period covered by this summaryFrom: To:Description

1Total Budget

2Budget Released

3Proposed Budget

4Balance Forward

5Funds received

6Other income

7ExpenditureActivity 1Activity 2Activity …nSub totalOverheadContingencyTotal8Current Balance

54



1 Total Approved Budget

2 Expenditure up to previous quarter

3 Proposed budgets for this quarter

4 The balance brought forward from the previous quarter

5Funds received from KCSAP for the quarter

6Other income received or generated by the project during the quarter

7 Actual receipted expenditure incurred 8[Balance forward + Funds Received + Other Income] – Expenditure


APPENDIX 6: Summary Work Plan and Budget for Research Consortia

ACTIVITYRESPONSIBLE

INSTITUTION

YEAR/QUARTER BUDGET

(KES)Q1 Q2 Q3 Q4

Main Activity 1Sub-activity 1Sub-activity 2Sub-activity 3Sub-activity …n

Main Activity 2Sub-activity 1Sub-activity 2Sub-activity 3Sub-activity …n

Main Activity 3Sub-activity 1Sub-activity 2Sub-activity 3

Sub-activity …n

APPENDIX 7: KCSAP COLLABORATIVE RESEARCH GRANTS - FORM A1: FORMAT FOR PREPARATION OF CONCEPT NOTES*

SECTION 1: RESEARCH CALL PARTICULARS

1.0 KCSAP RESEARCH CALL REFERENCE NUMBER:

2.0 KCSAP RESEARCH CALL CATEGORY TITLE /SUIT:

SECTION 2: LEAD INSTITUTION PARTICULARS

3.0 LEAD INSTITUTION:

4.0 Principle Investigator:5.0 Mailing Address:6.0 Telephone Number:7.0 Fax:8.0 E-Mail Address:

SECTION 3: COLLABORATING INSTITUTIONS PARTICULARS

9.0 1. Collaborator (s) - NARS (Name of collaborator, institution & mailing details)

10.0 2. Collaborator (s) - CGIAR “

11.0 3. Collaborator (s) – Agro-Industry “

12.0 4. Collaborator (s) –Farmer / ProducerOrganization “

56



SECTION 4: PROJECT PARTICULARS13.0 PROJECT TITLE: (Proposed title should be appropriate, concise

and accurate; and, clearly describe the scope of the work (Maximum – 17 Words).

14.0 Sub-Sector Research Area:17.0 Value Chain:18.0 Location (Area)19.0 Duration in Years:20.0 Total Cost of the Project (KES):21.0 Date of Submission22.0 Name/Designation of Authorised Signatory

Approving Submission of CN:

SECTION 5: FOR OFFICIAL USE ONLY23.0 Concept Note File Number:24.0 Date of Dispatch of Hard Copy25.0 Date of Dispatch of E-Copy26.0 Date of Receipt of Hard Copy

SECTION 6: PROJECT NARRATIVE27.0 Background (Maximum – One Page**)28.0 Problem Statement and Justification (Maximum 200 words)29.0 Collaboration And Partnerships (Maximum 100 words)30.0 Goal and Objectives (Maximum 100 words)31.0 Expected Outputs and Outcome (Maximum 150 words)32.0 Beneficiaries of the Outputs/Outcomes (Maximum 150 words)33.0 Research Plan and Methodology (Maximum 500 words)34.0 Major Assumptions and Risks (Maximum 100 words)

35.0 ACTIVITY BASED BUDGET(Realistic and based on guidelines for the activity based budgeting)

COST

ITEM PER UNIT

(KES)

TOTAL

(KES)

* The sizes of boxes in this version of the form have been reduced for presentation purposes. Hard copiesof the original version may be obtained from the KALRO-KCSAP Coordination Office and electronicversion may be downloaded from KALRO Website http://www.kalro.org or any other associated web-site as indicated in this manual.

** Document will be written in Theme Font ‘Times New Roman – 12’.


APPENDIX 8: Criteria for Pre-Screening of Concept Notes

5.14.1 A: Concept Note Particulars01 KCSAP Research Call Reference Number: .....................................................................................

02 KCSAP Research Call Category Title /Suit: ...................................................................................

03 Concept Note’s Unique Identification Number: ………………………………………………….

04 Proposed Project Title: …………………………………………………………………………..

05 Proposed Total Project Budget: KES ……………………………………………………………

Official Use OnlyB: Screening for the Concept Note’s Responsiveness to the Call06 Is the title within thematic area? £ yes £ no07 Does the CN address the stated KCSAP CGS priorities for the Call? £ yes £ no08 Are the objectives consistent with the APVC approach? £ yes £ no09 Does the proposal demonstrate appropriate APVC stakeholder /

institutional collaboration? £ yes £ no10 Are the outputs consistent with the stated objectives? £ yes £ no11 Will the activities deliver the expected outputs? £ yes £ no12 Is the budget within the prescribed ceiling/limits? £ yes £ no13 Is the CN prepared using the standard format?

£ yes £ no14. Word Count per text box section of the Concept Note

Section 3: 500 wordsSection 4: 1 pageSection 5: 250 wordsSection 6: 400 wordsSection 7: 500 wordsSection 8: 400 wordsSection 9: 600 wordsSection 10: 400 wordsSection 15: 2 pages

C: Endorsement Details

14Are the commitment letters endorsed by participating institution’s CEO / departmental head? £ yes £ no

15 Is the proposal signed by the Principal Investigator & Collaborators? £ yes £ no

D: Clearance16 Is the CN cleared for peer review? £ yes £ no17 Name of Reviewer: ……………………………………………………………………………

19 Signature of the KCSAP – KALRO Coordination Office Head ………………………………

20 Date: …………………………………………………………………………………………..

NB: Response to all the listed items should be YES for the proposal to go to the next stage

58



APPENDIX 9: Terms of Reference for Peer Reviewers

An effective KCSAP CGS requires a well-performing team of reviewers made up of professional scientists and development workers with the full range of experience of the research subject matter being given priority by the KCSAP CGS funding during a particular Call. The role of the panel of reviewers will be to provide a technical support arm to the KCSAP coordinating office in work concerning agricultural research commissioned under the KCSAP CGS and any other related work as requested and agreed with the KCSAP Coordinating Office.

Membership

To be a member of the panel of reviewers, individual skills will cover one of the following skills areas:

• Bio-physical - crops, livestock, fisheries, lands (soils, water, Biotechnology and genetic resourcemanagement, and agro ecology with experience in the application of production enhancingtechnologies across commodities and factors.

• Social (social development, gender, social anthropology, etc).

• Economic (value adding, processing and post-harvest handling, analysis of markets, productchains and policy, marketing and trade)

• Meteorology and Climate Science

• Environmental Sciences

In meeting this responsibility, all reviewers must comply with the procedures for review that this manual stipulates for CNs and FPs including inter alia preparation of review reports according to the review specifications, format and procedures applying to the KCSAP CGS at that time. Failure to comply with such stipulations would compromise the KCSAP CGS principles and objectives and could therefore necessitate exclusion of a report from the review assessment process.

Members of the panel of reviewers must not breach the confidentiality of the review process. Specifically, a member of the panel must not seek advice from other sources regarding specific details in a CN or FP.

If there are circumstances that prevent a panel member from forming an objective opinion on the quality and standard of a specific CN or FP; e.g. because of “conflict of interest”, this circumstance must be discussed with the KCSAP/KALRO Coordination Office who would then have the responsibility for dealing with this.

Responsibilities during the CPCP

Acting under the guidance of the KCSAP/KALRO Coordination Office, the Panel of reviewers will review the CNs and Full Proposals (FPs) that are submitted as part of the competitive stages of the Concept and Proposal Commissioning Process (CPCP) for a particular research call.

Qualification and Experience

A proposed reviewer will be well-qualified in one of the three specified skills areas referred to above and have several working years’ experience in application of these skills. In addition, a proposed panel member, should:


i. Know the national agricultural sector and the policies applying to the sector well.

ii. Have experience in handling technical matters beyond their own skills specialization in order tomake an integrated evaluation of the research that is proposed and of the research design for itsimplementation.

iii. Preferably, be a person who is very unlikely to be involved with teams/persons who are responding to the KCSAP CGS research calls in order to have objectivity in the review work for the sub-projects and the management of commissioned projects.

iv. Have access to relatively well assured electronic connectivity services including the capacity tohandle electronic transmission of files.

60



5.16 APPENDIX 10: Criteria for Review of Concept NotesSECTION 1: RESEARCH CALL PARTICULARS

1.0 KCSAP RESEARCH CALL REFERENCE NUMBER:

2.0 KCSAP RESEARCH CALL CATEGORY TITLE /SUIT:



4.0 Principle Investigator:

5.0 Mailing Address:

6.0 Telephone Number:7.0 Fax:8.0 E-Mail Address:

SECTION 3: COLLABORATING INSTITUTIONS PARTICULARS

9.0 2. Collaborator (s) - NARS (Name of collaborator, institution & mailing details)

10.0 2. Collaborator (s) - CGIAR “

11.0 3. Collaborator (s) – Agro-Industry “

12.0 4. Collaborator (s) –Farmer / ProducerOrganization “

SECTION 4: PROJECT PARTICULARS

13.0

PROJECT TITLE: (Title should be appropriate, concise and accurate; and, should clearly describe the scope of the work (Maximum – 17 Words).

14.0 Sub-Sector Research Area:17.0 Value Chain:18.0 Location (Area)

19.0 Duration in Years:

20.0 Total Cost of the Project (KES):



NO MAIN CRITERIA SUB CRITERIA MAXIMUM SCORE %

ACTUAL SCORE % AVERAGE SCOREREVIEWER

1REVIEWER

2REVIEWER

31 Background (Total

Score – 12%) a. Does the proposed project highlight how it contributes

to the national economy?3

b. Is a brief review of previous work undertaken in the sector mentioned?

4

c. Have the most binding constraints and opportunities been mentioned?

2

d. Have sufficient technical and scientific information been captured?

3

2 Problem statement and Justification (Rationale) (Total Score – 18%)

a. Is the project’s potential to lead to KCSAP triple wins of increased productivity, resilience and reduction of GHG emission demonstrated?

2

b. Are the indicators provided for measuring sustainable economic impact realistic?

2

c. Gender mainstreaming and vulnerable groups addressed

2

d. Has sufficient evidence of linkage of research to market; and how weak linkages are to be addressed, been provided for?

3

e. Are the approaches given to address the identified problems and constraints innovative?

3

f. Is a brief analysis on the published research findings in technical economic social and gender provided?

3

d. Is the approach innovative in targeting technologies in technology transfer and positive economic impacts?

3

3 Collaboration and Partnerships (Total Score – 15%)

a. Does the project clearly demonstrate effective collaboration and partnerships?

8

b. Do the skills mix and roles of collaborators contribute to proposed research emphasis on PPP indicated?

10





1REVIEWER

2REVIEWER

34 Goal and Objectives

(Total Score – 5%)a. Is the stated goal relevant to the vision 2030 and ASDS? 4

b. Are the objectives linked to the KAPAP purpose/goal? 2

5 Expected outputs and Outcomes (Total Score – 8% )

a. Are the expected research outputs described? 2

b. Does each output address a specific objective? 4

c. Does it describe the potential beneficiaries? 2

d. Is the potential uptake pathways for up scaling and out scaling the proposed outputs indicated?

4

6 Beneficiaries of the outputs and outcomes (Total Score – 5%)

a. Is the target group(s) clearly indicated? 2

b. Are the accruing benefits described? 6

7 Research Plan/Methodology (Total Score – 22%)

a. Is there a brief description of how the project will be implemented

2

b. Is the involvement of beneficiaries in design and implementation of the project apparent?

4

b. Are activities to be undertaken and how data will be taken and analyzed indicated?

2

c. Are innovative approaches and methods to be used to achieve the desired outputs indicated?

4

d. Are the activities to accomplish each output sequential necessary and sufficient?

4

g. Is there a an indicative summary of planned products, (studies, surveys, results of experimentation, developmental applicable methods , decision tools etc )?

4

h. Is there a brief description of the design of the survey / study, experiment and communication strategy provided?

4





1REVIEWER

2REVIEWER

3i. Are details of location of specific components of the

research including possible attention to environmental, social, gender issues included?

4

j. Is there a holistic approach involving participatory research methods and technology uptake pathways?

2

k. Is there a clear monitoring and evaluation plan presented indicating necessary and sufficient milestones to track the attainment of each activity?

4

l. Is the communication and knowledge sharing pathways well articulated?

4

m. Is a sustainable exit strategy adequately indicated 6

8 Major assumptions (5) a. Are risks and assumptions articulated? 3

b. Are measures in place to mitigate against risks and assumptions in place?

2

9 Logical framework (Total Score – 5%)

a. Is there a Logical framework table? 4

b. Are results stated in a sequential order in which they will be derived?

2

c. Are the monitor-able indicators presented? 4

10 Budget (Total Score – 5%)

a. Is an itemized budget summary provided? 5

Total 100

64



APPENDIX 11: KCSAP COLLABORATIVE RESEARCH GRANTS - FORM A2: FORMAT FOR PREPARATION OF FULL PROPOSALS*

SECTION 1: RESEARCH PROPOSAL PARTICULARS1.1 KCSAP RESEARCH PROPOSAL

REFERENCE NUMBER:1.2 RESEARCH PROPOSAL CATEGORY:



2.2 Principle Investigator:Name Age* Higher degree No of publications

2.3 Mailing Address:2.4 Telephone Number:2.5 Fax:2.6 E-Mail Address:

SECTION 3: COLLABORATING INSTITUTIONS PARTICULARS3.1 Collaborator (s) – NARS

Name Age Higher degree Host Institution3.2 Collaborator (s) – CGIAR

Name Age Higher degree Host Institution

3.3Collaborator (s) – Agro-Industry

Name Age Qualification/Experience Host Institution3.4 Collaborator (s) –Farmer / Producer Organization

Name Age Qualification/Experience Host InstitutionSECTION 4: PROJECT PARTICULARS

4.1 THE PROJECT TITLE: (Not more than 15 words)4.2 KCSAP Thematic/Sub-Thematic Area: (Ref: Appendixes 1)4.3 Value Chain:4.4 Location (Area)4.5 Duration in Years: - (Not more than 3 Years)

Date of Commencement: Expected Date of Completion: Total Duration in Months:4.6 Total Cost of the Project (KES):4.7 Date of Submission

4.8Name and Designation of Authorised Signatory Approving Submission of Concept Note

SECTION 5: PROJECT BODY NARRATIVE5.1 Executive Summary*** ((Maximum – 100 Words)5.2 Background (Maximum – One Page)5.3 Problem Statement And Justification (Maximum – 200 Words)5.4 Goal And Objectives (Maximum – 100 Words)5.5 Expected Outputs And Outcome (Maximum – 150 Words)5.65.7

Collaboration and Partnerships (Maximum – 100 Words)Participating Institution Contact Person (s) Major role(s)

5.8 Beneficiaries of the Outputs and Outcomes (Maximum – 150 Words)

5.9 Research Plan/ Methodology (Maximum – 500 Words)5.10 Major Assumptions And Risks (Maximum – 100 Words)


5.11

Logical Framework - (In Sequence Of How Results Will Be Derived)

Narrative summaryObjectively verifiable indicators

Means of verificationImportant

assumptionsGoalPurpose

Output 1

Activities 1,2, --nMilestones, 1,2, --n Responsible Institution

Output 2


--- Output n


5.12Overall SummaryActivity BudgetDetailed Budge

* Read carefully the guidelines on general instructions and advice pertaining to specific questions before filling the application form. The form may not be modified from its original format

** The principle investigator should be below 63 years old *** Note: Font type Times New Roman, font size 12 and line spacing 1.5, 3 pages maximum.



Appendix 12: The Logical Framework

NARRATIVE SUMMARY

Objectively Verifiable Indicators (Success Measures) Means of Verification Important Assumptions

Measurements to verify to what extent the objectives at each level are achieved, expressed in terms of quantity, quality and time (QQT)

The specific sources of information from which it would be possible to verify the indicators at each objective level

External conditions (outside the control of the project) that must hold true for the upper level objective to be achieved

Goal/Objectives:

Higher level objective or longer - term impact of the project on national or development

What is the big pictureor strategic / programme objectives.

Why is the project important

Goal Measures

Insert OVIs which would be monitored during impact assessment to judge if the project has made significant contribution to the goal

What conditions will exist when thegoal is achieved.

How shall we be assured?

How to Verify

Describe where data/information for the assessment will be obtained. These should be independent of the project

How shall we monitor progresstowards our goal?

What is our source of data?

To reach Goal and Beyond

How might external factors(competition, political, industrial, technical and others) affect the goal.

What other projects contribute to ourgoal.

What else must we assume?

Purpose:

Measurable near-term impact of the project that is the final accomplishment of the project

What behavior or systemschange do we want?

Why are we producing theseoutcomes?

Once we produce the outcomes,what will be different?

Purpose Measures

The development of these OVIs is critical for linking the project’s stated objective (purpose) with the proposed research outputs. The OVIs should be slightly outside the control of the project, but attainable if the outputs are achieved, as planned.

What conditions will exist when thepurpose is achieved.

When the project is successful, howshall we know?

How to Verify

Formulate MoVs which draw mainly on sources of information that are not under the control of the project (i.e., are that external to the project).

How shall we monitor progresstowards our purpose?

What is the source of our data?

To Achieve Purpose

In case the purpose is ATTAINED, what other conditions must be in place for effective contribution to the GOAL?

What external conditions are necessaryto achieve our purpose?

What other projects, tasks and eventcontribute to our purpose?

What else must we assure?



Outputs/Outcomes

These are results or deliverables of the project that the project manager can guarantee.

What Results must the Teamcreate, deliver or make happenby managing the activities?

What Deliverables / Processesmust the Team manage toachieve our purpose?

What ‘critical Set’ ofOutcomes is required to reachour purpose?

Outputs/Outcomes Measures

For Each output, specify measure that will be used to prove that the Outputs have been produced.

How can we describe each outcomein advance in terms of:• Quality – how good must it be?• Quantity – How much?• Time – By when?• Customer – for/with/to whom?• Cost – What resources?

How to Verify

Formulate MoVs which draw mainly on sources of information that are under the control of the project.

How shall we monitor progresstowards our outputs?

What is the source of our data?

To Produce Outputs/Outcomes

If all outputs are produced, as planned, what other conditions must be in place for the purpose/outcomes to be attained?

What other projects, tasks or people arenecessary to produce outcomes?

What, and who must we influence,monitor or coordinate with?

What else must we assure?

Inputs

Activities: For each output, specify the activities that are required to deliver such output

What are the main action stepsfor each outcome?

Who is responsible for eachactivity?

Schedule

When must each activity start andfinish.

What resources are required foreach activity?

How to Verify

How shall we monitor the statusof each Activity?

How shall we measure theresource utilization?

To obtain Resources and Manage Activities

What else is necessary to obtainresources and implement activities?

Pre-conditions must be met before theproject can proceed?

Milestones: List milestones including dates that show progressive in implementation of the project and completion of each activity. There will be at least one Milestone per activity. If an activity runs over an extended period then there may be two or more Milestones for that activity. What other conditions must be in place for the output to be produced?

Budget: Prepare an activity based budget based on the objectives, planned activities and expected outputs/outcome

68



APPENDIX 13: ESMF Sub-Projects Screening Checklist(Sub-projects screening process1 by benefiting communities/Collaborators/Agencies) Section A: Background informationKCSAP Research Project Ref. No: ………………………………………………………………………

……………………KCSAP Project Title: ………………………………………………………………………

……………………Name of Researcher/Monitoring Officer:

……………………………………………………………………………………………

Research Institution: ……………………………………………………………………………………………

Postal Address: ……………………………………………………………………………………………

Contact Person ……………………………………………………………………………………………

Cell Phone Number: ……………………………………………………………………………………………

Sub-Project Location: ……………………………………………………………………………………………

Approximate Size of Land (Area Ha ) available for the Sub-Project:

……………………………………………………………………………………………

Objectives of the Sub-Project: ……………………………………………………………………………………………

Activities: ……………………………………………………………………………………………

Estimated Cost (KShs.): ……………………………………………………………………………………………

Project Duration (Years): ……………………………………………………………………………………………

Section B: Environmental IssuesWill the sub-project; Yes No01 Create a risk of increased soil erosion?02 Create a risk of increased deforestation?03 Create a risk of increasing any other soil degradation ?04 Affect soil salinity and alkalinity?05 Divert the water resource from its natural course/location?06 Cause pollution of aquatic ecosystems by sedimentation and agro-chemicals, oil

spillage, effluents, etc?07 Introduce exotic plants or animals?08 Involve drainage of wetlands or other permanently flooded areas?09 Cause poor water drainage and increase the risk of water-related diseases such as

malaria?10 Reduce the quantity of water for the downstream users?11 Result in the lowering of groundwater level or depletion of groundwater?12 Create waste that could adversely affect local soils, vegetation, rivers and streams

or groundwater?13 Reduce various types of livestock production? 14 Affect any watershed?15 Focus on Biomass/Bio-fuel energy generation?If the answers to any of the above is ‘yes’, please include an EMP with sub-project application.

Section C: Socio-Economic IssuesWill the sub-project; Yes No16 Displace people from their current settlement?17 Interfere with the normal health and safety of the worker/employee?18 Reduce the employment opportunities for the surrounding communities? 19 Reduce settlement (no further area allocated to settlements)?20 Reduce income for the local communities?21 Increase insecurity due to introduction of the project? 22 Increase exposure of the community to HIV/AIDS?23 Induce conflict?24 Have machinery and/or equipment installed for value addition?25 Introduce new practices and habits?26 Lead to child delinquency (school drop-outs, child abuse, child labour, etc?


27 Lead to gender disparity?28 Lead to poor diets?29 Lead to social evils (drug abuse, excessive alcohol consumption, crime, etc)?

Section D: Natural HabitatsWill the sub-project; Yes No30 Be located within or near environmentally sensitive areas (e.g. intact natural forests,

mangroves, wetlands) or threatened species?31 Adversely affect environmentally sensitive areas or critical habitats – wetlands,

woodlots, natural forests, rivers, etc)?32 Affect the indigenous biodiversity (Flora and fauna)? 33 Cause any loss or degradation of any natural habitats, either directly (through project

works) or indirectly?34 Affect the aesthetic quality of the landscape?35 Reduce people’s access to the pasture, water, public services or other resources that

they depend on? 36 Increase human-wildlife conflicts?37 Use irrigation system in its implementation?If the answers to any of the above is ‘yes’, please include an EMP with sub-project application.

Section E: Pesticides and Agricultural ChemicalsWill the sub-project; Yes No38 Involve the use of pesticides or other agricultural chemicals, or increase existing

use?39 Cause contamination of watercourses by chemicals and pesticides?40 Cause contamination of soil by agrochemicals and pesticides?41 Experience effluent and/or emissions discharge?42 Export produce? Involve annual inspections of the producers and unannounced

inspections?43 Require scheduled chemical applications?44 Require chemical application even to areas distant away from the focus?45 Require chemical application to be done by vulnerable group (pregnant mothers,

chemically allergic persons, elderly, etc)?If the answer to the above is ‘yes’, please consult the IPM that has been prepared for the project.

Section F: Indigenous PeoplesAre there; Yes No46 Indigenous peoples living within the boundaries of, or near the project?47 Members of these indigenous peoples in the area who could benefit from the project?48 Indigenous peoples livelihoods to be affected by the sub project?

If the answer to any of the above is ‘yes’, please consult the IPPF that has been prepared for the project.

Section G: Land Acquisition and Access to ResourcesWill the sub-project: Yes No49 Require that land (public or private) be acquired (temporarily or permanently) for its

development?50 Use land that is currently occupied or regularly used for productive purposes (e.g.

gardening, farming, pasture, fishing locations, forests)51 Displace individuals, families or businesses?52 Result in temporary or permanent loss of crops, fruit trees and pasture land ?53 Adversely affect small communal cultural property such as funeral and burial sites, or

sacred groves?54 Result in involuntary restriction of access by people to legally designated parks and

protected areas?55 Be on monoculture cropping?If the answer to any of the above is ‘yes’, please consult the mitigation measures in the ESMF, and if needed prepare a (Resettlement Action Plan) RAP.

Section H: Proposed action(i) Summarize the above: (ii) Guidance All the above answers are ‘No’ * If all the above answers are ‘No’, there is no need for

further action; There is at least one ‘Yes’ * If there is at least one ‘Yes’, please describe your

recommended course of action (see below). (iii) Recommended Course of ActionIf there is at least one ‘Yes’, which course of action do you recommend?

70



RSUs and DEOs will provide detailed guidance on mitigation measures as outlined in the ESMF; and

Specific advice is required from DEOs, Lead Scientist and RSUs regarding sub-project specific EA(s) and also in the following area(s)

[type here]

All sub-project applications/proposals MUST include a completed ESMF checklist. The KAPAP-RSU and DEC will review the sub-project applications/proposals and the DEOs will sign off;

The proposals will then be submitted to KAPAP-Secretariat for clearance for implementation through RSUs for community-based subprojects or Principal Investigator in case of Competitive research grants.Expert Advice The Government of Kenya through the Department of Monuments and Sites of the National Museums of Kenya can assist in identifying and, mapping of monuments and archaeological sites; and

Sub-project specific EAs, if recommended, must be carried out by experts registered with NEMA and be followed by monitoring and review. During the process of conducting an EA the proponent shall seek views of persons who may be affected by the sub-project. The WB policy set out in OP 4.01 requires consultation of sub-project affected groups and disclosure of EA’s conclusions. In seeking views of the public after the approval of the sub-project, the proponent shall avail the draft EA report at a public place accessible to project-affected groups and local NGOs.

Completed by: [type here]

Name: [type here]

Position / Community: [type here]

Date:[type here]Field Appraisal Officer (DEO): [type here]Signature:Date:Project Category Characteristics

AFull and extensive EIA needed- irreversible environmental impacts; impacts not easy to pick or isolate and mitigation cost expensive; EMP design not easily done; Must have the EIA done and future annual EAs instituted

B Site specific environmental impacts envisaged; mitigation measures easy to pick, not costly and EMP design readily done; need an EIA and future EAs

C Have minimal or occasionally NO adverse environmental impacts; exempted from further environmental processes save environmental audits


APPENDIX 14: Environmental and Social Issues in the Collaborative Project Reporting Format

(To be reported once per year)Reporting layout

01 Title

02 Introduction

03 Acronyms

04 Objectives

05 Research /community subprojects approved

06 Key environmental and social issues identified from research/community subproject screening

07 Mitiation actions undertaken

08 Capacity building programs implemented (training sessions held, venues, and attendance and training modules)

09 Results of EIAs and other safeguard management plans

10 Collaboration with NGOs, Farmers, SPs, Government Implementing agencies and research institutions

11 Conclusions (Is KAPAP contributing to sustainable land use and community development?) Explain.

12 Lessons learnt/case studies/researchable areas

Recommendations that can be implemented for research/community subprojects (deemed necessary for next year).

1 Screening of Collaborative Research Projects (See Appendix 14)

The screening process at the research level will be guided by the Principal Investigator using the checklist provided

for in ESMF – KCSAP and in which both the communities and researchers will have been thoroughly trained on. The

screening will show whether a project does or does not have potential significant environmental and social impacts. The

screening will also classify collaborative research projects as: A, B or C. Category A – Not to be financed by KCSAP

because it requires a full EIA and mitigation measures are not site-specific and are too expensive to isolate and mitigate;

Category B – limited EIAs and E As done. Environmental impacts are site-specific and mitigation measures easy to pick

and mitigate; Category C - are collaborative research projects to be exempted from the EIS because they will have no

or minimal environmental impacts. In case of where EIAs are to be done, the beneficiaries must be ready to comply and

meet NEMA regulations, set standards and regulations. The EIAs reports will be reviewed regularly and shared.

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APPENDIX 15: Criteria for Full Proposal Review

Screening Full Proposals to Determine Responsiveness to the Call 1.1 KCSAP RESEARCH PROPOSAL

REFERENCE NUMBER:1.2 KCSAP Thematic ref No:1.3 RESEARCH Project title:



2.2 Principle Investigator:

2.3 Mailing Address:2.4 Telephone Number:2.5 Fax:2.6 E-Mail Address:Proposed Total Project Budget: KES

All items should be YES3.1 Addresses stated KCSAP -KALRO CGS priorities for the Call £ yes £ no3.2 Demonstrates appropriate APVC stakeholder collaboration £ yes £ no3.3 Commitment letters endorsed by participating institution’s CEO/

Departmental /immediate heads £ yes £ no

3.4 Signature of the Principal Investigator and collaborators £ yes £ no3.5 Prepared using the Standard CN format £ yes £ no3.6 Cleared for review £ yes £ no

Other observations:4.1 Name of Reviewer:4.2 Signature of Reviewer:4.3 Signature of the KCSAP –KALRO Coordination Office Head:4.4 Date:



NO MAIN CRITERIA SUB CRITERIA MAXIMUM

SCORE %

ACTUAL SCORE % AVERAGE SCOREREVIEWER 1 REVIEWER 2 REVIEWER 3

1 Background (Total Score – 12%)

a Does the proposed project highlight how it contributes to the national economy?

3

b Is a brief review of previous work undertaken in the sector mentioned?

4

c Have the most binding constraints and opportunities been mentioned?

2

d Have sufficient technical and scientific information been captured?

3

2 Problem statement and Justification ( R a t i o n a l e ) (Total Score – 18%)

e Is the project’s potential to lead to KCSAP triple wins of increased productivity, resilience and reduction of GHG emission demonstrated?

2

f Are the indicators provided for measuring sustainable economic impact realistic?

2

g Gender mainstreaming and vulnerable groups addressed

2

h Has sufficient evidence of linkage of research to market; and how weak linkages are to be addressed, been provided for?

3

i Are the approaches given to address the identified problems and constraints innovative?

3

j Is a brief analysis on the published research findings in technical economic social and gender provided?

3

k Is the approach innovative in targeting technologies in technology transfer and positive economic impacts?

3

3 Collaboration and Partnerships (Total Score – 15%)

a. Does the project clearly demonstrate effectivecollaboration and partnerships?

8



NO MAIN CRITERIA SUB CRITERIA MAXIMUM

SCORE %

ACTUAL SCORE % AVERAGE SCOREREVIEWER 1 REVIEWER 2 REVIEWER 3

b. Do the skills mix and roles of collaboratorscontribute to proposed research emphasis on PPPindicated?

7

4 Goal and Objectives (Total Score – 5%)

a. Is the stated goal relevant to the vision 2030 andASDS?

3

b. Are the objectives linked to the KAPAP purpose/goal?

2

5 Expected outputs and Outcomes (Total Score – 8% )

a. Are the expected research outputs described? 2

b. Does each output address a specificobjective?

2

c. Does it describe the potential beneficiaries? 2d. Is the potential uptake pathways for up scaling and

out scaling the proposed outputs indicated?2

6 Beneficiaries of the outputs and outcomes (Total Score – 5%)

a. Is the target group(s) clearly indicated? 2b. Are the accruing benefits described? 3

7 Research Plan/Methodology (Total Score – 22%)

c. Is there a brief description of how the project willbe implemented

2

d. Is the involvement of beneficiaries in design andimplementation of the project apparent?

e. Are activities to be undertaken and how data will betaken and analyzed indicated?

2

f. Are innovative approaches and methods to be usedto achieve the desired outputs indicated?

2

g. Are the activities to accomplish each outputsequential necessary and sufficient?

2

h. Is there a an indicative summary of plannedproducts, (studies, surveys, results ofexperimentation, developmental applicablemethods, decision tools etc)?

2


APPENDIX 16: Schedules and Detailed Formats for Reporting.

Appendix 17A: KCSAP CGS FORM C1: The KCSAP CGS Reporting Schedules.For each quarter, two reports will be submitted to the KALRO, a technical progress report and a financial report. Both reports cover the previous three month period. The deadlines for reports to reach the KS office are given in the agreement document signed between KALRO and the Lead Institute. An example of such timetable for a three year project is given below:

Three Year Project:

Date of Commencement: …………..……… Date of Completion: …………………..

TYPE OF REPORT/

YEAR & QUARTERQUARTERY REPORTS ANNUAL REPORTS COMPLETION REPORT

Year 1 Quarter 1 (Date)Year 1 Quarter 2 (Date)Year 1 Quarter 3 (Date)Year 1 Quarter 4 (Date)Year 2 Quarter 1 (Date) (Date) (AR* 1)Year 2 Quarter 2 (Date)Year 2 Quarter 3 (Date)Year 2 Quarter 4 (Date)Year 3 Quarter 1 (Date) (Date) (AR* 2)Year 3 Quarter 2 (Date)Year 3 Quarter 3 (Date)Year 3 Quarter 4 (Date)Year 4 Quarter 1 (Date) (AR* 3) (Date)APPENDIX 17B: KCSAP CGS FORM C2: Format for KCSAP CGS Progress/Annual Report.Project Title:KCSAP Reference Number: Phase: Duration: Start Date:

Lead Institution:

Principal Investigator:Address:Fax:E-Mail:Telephone/Mobile: Collaborators:1.2.3.--------------n.

Background: In less than 100 words give the background to the project such that a reader will understand the history and justification without reverting to other project documents.

Objectives: State the project objectives so that the progress reported can be put into context.Expected Output 1

Activity 1: Achievement 1 Progress Against Output OVIs Achieved In The Quarter: # Describe any of the OVIs at the Output level which were achieved during the reporting period.

Activity 2: Achievement 2

Progress Against Milestones Planned To Be Achieved In The Quarter: # This is the most important part of the quarterly report and it should compare what was planned for the quarter vs what was actually achieved. There should also be a short discussion of any problems encountered.

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Constraints: Clearly state what constraints were encountered during the quarter.Way Forward: Milestones Planned To Be Achieved In The Next Quarter: # Clearly specify what milestones will

be pursued in the following quarter.


APPENDIX 17: Monitoring & Evaluation Formats

Form 17.1: Data Capture

Project title………………………………….…………………………………………….…….Principal Investigator……………………………………………………………..……………Reporting Period (Year, Quarter)………………………………….………..………….……Date of Reporting………………………………..………………………..……..……….……Planned Output…………………………………………………………..…………………….

Output indicator……………………………………………………………………………….

No Activity P l a n n e d milestones

A c h i e v e d milestones

Remarks

1 1.1 1.11.2 1.21.3 1.3

2 2.1 2.12.2 2.22.3 2.3

n n.1 n.1n.2 n.2n.3 n.3

Procurement MonitoringPlanned ProcurementGoods (KES)Services (KES)

Achieved ProcurementGoods (KES)Service (KES)

Remarks

Financial Monitoring

CGS allocated funds for the entire activity (KES)

CGS spent funds for the entire activity(KES)

Form 17.2: Monitoring & Evaluation Reporting

Project Title ……………………………………………………….Principal Investigator ………………………………………………………………….

Reporting Period (Year, Quarter)

…………………………………………………………………..

Date of Reporting ………………………………………………………………….

Report Details

i. Brief Introduction

ii Planned Outputs

a. What outputs were expected in the reporting period? Both theactivities and the performance indicators will be detailed and taken into consideration.

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ii. Project achievements

a. Compare the actual level of project implementation in respect with the planned one.

iii. Tangible outputs (e.g. technologies)

iv. Non-tangible outputs (e.g. publications made directly as a result of project activities). Remarks on deviations from what was planned and proposed ways of resolving the problems

a Give an explanation regarding unaccomplished or partially accomplished activities. Indicate the way in which CGS may assist in a better implementation of the project.

b

i. Progress towards outcome mapping

iv Planned activity and output targets in the next quarter

v Financial report (with the actual data from the reported period)

Conclusions

Report received by……… Date……………………………………………………………………..


Collaborative Research

Grants Manual

Capital Hill Towers, Cathedral RoadP. O. Box 8073 00200, NAIROBI

Tel: +254 020 [email protected]



Collaborative Research Grants Manual 2018Version 1 2018


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