MANUEL SUR LE FONDS
COMPETITIF
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CONTENTS
1. Introduction
1.1. Context
1.2. Justification
1.3. Objectives of this Manual
2. Objectives of the fund
3. Organs and procedure for managing the fund
3.1. Management organs of the fund
3.1.1. CORAF/WECARD annual General Assembly
3.1.2. CORAF/WECARD Executive Committee (CORAF/WECARD -EC)
3.1.3. CORAF/WECARD Executive Secretariat (CORAF/WECARD -ES)
3.1.4. Scientific and Technical Committee ( STC) / Proposals Assessment Committee
4. Implementation procedure>
4.1. Call for proposals
4.1.1. Definition of the themes for the call for proposals
4.1.2. Dossier of the call for proposal
4.2. Criteria for assessing proposals
4.2.1. General criteria
4.2.2. Technical criteria
4.2.3. Financial criteria
4.3. Proposal assessments and selection procedure
4.3.1. Various steps of the call for proposal
4.3.2. Implementation schedule
4.4. Preparation and establishment of contracts
4.4.1. Specification of the contracting parties responsabilities
4.4.2. Method for the disbursement granted funds >
4.4.3. Force majeure
4.4.4. Reports
4.5. Follow-up assessment method
5. Financial sources
6. Cooperation with other funds
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Introduction
1.1. Context
Despite considerable public funding of African agriculture for its development over the past three decades following independence, its productivity and competitiveness has remained weak. As declared by most political leaders in the continent, African agriculture has failed to take up the challenge of ensuring food security and serving as the engine for economic development.. .
One of the main reasons for this weakness in the West and Central African (WCA) sub-region is the non-existence and/or the poor use of knowledge and technologies generated from research, whose funding has also not been sustainable. However, over the last two decades, efforts have been made to promote a more productive research in the countries of the sub-region.
At the national level. Most countries in the sub-region implemented major reforms in the agricultural sector by restructuring their agricultural services and adopting methods to promote the private sector and producers’ organizations in particular. Strategic plans with sustainable funding mechanisms were also developed for research. Despite efforts made by some countries, the research sector remains generally in a precarious situation.
At the WCA sub-region level. In order to accomplished its coordination mission and to strengthen the institutional capacity of the NARS, CORAF/WECARD: I) conducted a preliminary review of its framework for action in 1998; II) redefined its cooperation priorities through a strategic plan in 1999; III) implemented regional programs for research; IV) initiated, in collaboration with the SPAAR, the AfDB and the World bank, some reflections on sustainable funding of agricultural research in West and Central Africa, by creating a regional fund for research. The participants involved in these reflections, which were held in 1998 in Abidjan, included the Ministers of Agriculture, of Scientific Research and of Finance from various countries in the sub-region. One of the conclusions of these meetings was the creation of a national research fund in each country in preparation for the regional fund.
Today, it is worth noting that some countries such as Benin, Ivory Coast and Senegal are more or less involved in the process of creating a national fund for research. The CORAF/WECARD, at the end of its institutional review in 1999, started implementing the regional fund for research initiative by launching an incentive, small grants fund in 2001 supported with funds from the French Cooperation. CORAF/WECARD also signed a contract with the European Union in 2000, within the framework of the PARAO programme, which includes a competitive fund. Other donors have since shown some interest in reinforcing this fund.
At the continental level
Similar experiences are being repeated in the Eastern and Southern Africa by ASARECA and SADC-SRCU. In order to encourage research efforts in these three Sub-Saharan African sub-regions, the European commission, on the basis of regional priorities, granted some money to each of the sub-regional organizations, which was to be dedicated to the competitive research fund. Other financial partners have also shown some interest in this financing mechanism. A meeting was held in June 2002 in Brussels between the three SROs³, FARA and donors, to specify some basic rules for implementing the competitive funds. The idea was to create only one fund in each SRO that could be sustained by various funding sources.
The present competitive fund’s manual is largely an offshoot of the conclusions of the Brussels’ 07 June 2002 meeting, and draws lessons from the experiences of the European commission and the Sub-Saharan African states.
1.2. Justification
The determination of CORAF/WECARD to implement a regional competitive fund is aimed at responding to the need to create and diversify scientific and financial partnership, promote demand-oriented research that addresses regional priorities and improve the scientific quality of research activities.
For historical reasons, the European Commission and the French Co-operation have been the main financial partners of CORAF/WECARD, up to the end of the 1990s. These partners funded both CORAF/WECARD operations and research programmes. During that period, research programmes were mostly donor-driven, and partnerships were mainly North-South.
Institutional reforms and the definition of priorities by CORAF/WECARD constitute a solid basis for balanced partnerships in the sub-region. This is demonstrated by the focus made on the sub-regional priorities and on widening the scope of scientific and financial partnerships. The competitive fund mechanism is a tool aimed at achieving this goal. It will promote sub-regional co-operation, be focused only on the sub-regional priorities and broaden partnerships. It will also simplify funding procedures in the sense that only one fund will exist and all financial partners will be expected to contribute this fund regardless of the amount they are contributing.
A clear definition of the organs of the competitive fund, its management procedures, and the role expected of each participant, the institutionalisation of the principles of contracting and auditing, constitute favourable transparent mechanisms for attracting more funds from potentially new donors.
The funding mechanism of the CORAF/WECARD operational units (networks, base-centers, researcher poles) that existed before the strategic planning favourably addressed relevant federated research themes, viewed by the scientific community as beneficial to the sub-region. It, however, did not fully meet the needs of users. The CORAF/WECARD regional fund will improve on the relevance of activities by introducing criteria for the assessment of proposals. This will encourage demand-driven research and a greater participation of the beneficiaries of research results.
Finally, the approach to be used in the call for proposals on a competitive basis will require some meticulous preparation of research projects aimed at ensuring scientific excellence.
1.3- Objectives of this manual
The objectives of the present manual are to:
ensure the best conditions to administer the fund by providing the maximum elements required for the fund’s management and by defining the responsibilities of the various persons charged with its management and of the contracting parties;
facilitate access to the fund’s beneficiaries by making information available on how to respond to calls for proposals, eligibility and assessment criteria, and how to mobilize allocated funds;
ensure transparent management and facilitate the assessment of the fund and external audit.
2. Objectives of the fund
The West and Central African sub-regional competitive fund, created as a sustainable financing mechanism, aims at realising the research and co-operation priorities defined by CORAF/WECARD. Its general objective is to promote research for agricultural development in the sub-region through effective and sustainable financial contributions.
The specific objectives of the fund are to:
· strengthen sub-regional and inter-institutional cooperation between countries in the WCA sub-region, and if need be, with other countries in the other sub-regions of African;
· increase the contact between research scientists and users of results, thus promoting demand driven research;
· promote a new type of research partnership between the various components of NARS (NARIs, universities, producers organisations, private sector, NGOs, Extension services) and with IARCs and, led by Centres (international or regional) and focused on the priorities of the sub-region.
The fund will also:
· promote national efforts with respect to research funding;
· promote the strengthening of weaker components of the national agricultural research and development system by building relationships with stronger elements of the system, and with the international and regional centres;
· increase the capacity of the components of NARS of the sub-region with respect to the preparation of high quality scientific proposals.
3. Organs and procedures for managing the fund
The effectiveness of the competitive fund and the realisation of the laid-down objectives largely depend on the management and implementation procedures by the various organs.
CORAF/WECARD, through its decision-making organ, the general assembly, and its management arm, the executive committee, the scientific and technical committee and the secretariat have the full responsibility of managing the fund. This will ensure the strategic relevance of research proposals and reduce management costs.
3.1 Management organs of the fund
3.1.1 CORAF/WECARD Annual General Assembly
The legitimacy of the fund is conferred by the General Assembly (GA), which decides on its major orientations. It is responsible for approving management documents of the fund, for launching the process of identifying new constraints and formulating new regional priorities in consultation with development partners. It decides on the selection of projects to be funded with respect to the proposal calls. The Assembly General, based on recommendations of the Executive Committee, also decides on the priority themes for proposal calls.
3.1.2 CORAF/WECARD Executive Committee (EC)
The EC of CORAF/WECARD is the organ that makes recommendations to the GA with respect to management.
Therefore it:
proposes the research themes for proposal calls to the GA;
proposes a list of selected proposals to be funded to the GA;
authorizes the ES to launch calls for proposals;
appoints three additional experts from the sub-region, who will be associated with members of the STC to form the proposal assessment committee (PAC). These additional persons will be nominated from the NGO professional group, Farmers’ Organisation and the private sector;
report to the GA and to donors on the operations of the fund;
ensure that permanent contact is maintained with donors, regional and sub regional organizations (AU, UEMOA, CEDEAO, CEMAC), thus ensuring sustainability of the fund.
3.1.3 CORAF/WECARD Executive Secretariat (ES)
The responsibilities of the Executive Secretariat are as follows:
administrative management of the fund, which comprises making calls for proposal, organizing proposal assessments, reception of applications , notification of the results on selected projects, etc.;
financial management of the fund, which includes allocating resources, receiving and treating financial reports, organizing audits, notifying beneficiaries on the state of their contracts, as and when necessary, etc.;
creating and maintaining a data bank of the assessment results of all funded projects ;
reporting to the Executive Committee on the operations of the fund.
3.1.4. Scientific and Technical Committee (STC)/Proposals Assessment Committee (PAC)
The STC is an organ of the Executive Committee. With respect to the competitive fund, it will play the following roles:
assessment of proposals - the eight members of the STC and the three additional experts to be appointed by the EC will constitute the Proposal Assessment Committee (PAC). The PAC will work in panels comprising three persons; they will be responsible for assessing the eligible proposals. The committee will draw up a list of proposals categorized according to their order of merit and present it to the EC.
monitoring of projects - it will analyse annual scientific reports and organize ex-post assessments of projects.
4. Implementation procedure
The CORAF/WECARD competitive fund will be implemented through a call for research proposals to be made annually in the West and Central African sub-region by the Executive Secretariat. Calls will be placed on the CORAF/WECARD website www.coraf.org and the Coraf Action newsletter. The sub-regional stakeholders will be informed about the call for proposals. The calls will be disseminated as widely as possible and by all appropriate means.
4.1 Call for proposals
4.1.1 Definition of the themes for the call for proposals
The strategic planning process of CORAF/WECARD has led to the establishment of the sub-regional research priorities. However, these priorities remain vast in comparison with the possibilities for funding. Each call for proposals will therefore specify eligible themes. The definition of themes for a call will be made after due consultations with the various partners in order to better address needs. Only the themes stated in the call for proposals will be eligible for that call. The EC of CORAF/WECARD, in collaboration with the Scientific and Technical Committee, is responsible for defining the themes, which will be subsequently approved by the GA.
4.1.2 Dossier of the call for proposals
This dossier contains:
The text of the call for proposals:
It is obligatory that the text contain the following:
The priority research themes selected by the GA - these will be the only ones eligible in the call for proposals.
The opening and closing dates (day and hour) of the call - the call could also include a provisional calendar for various operations up to the date of signing the funding contracts.
Modalities for the submission of proposals - the language in which the proposal could be submitted (French or English), the form (paper) and the communication method (by registered courier, post or by hand).;
Place of the proposal’s reception
Proposals assessment criteria
List of compulsory documents, which constitute the proposal*
* The CORAF/WECARD competitive fund manual
* The guide for the preparation of proposals (documents to be filled-out in order to prepare a proposal and information on the proposal assessment
* A model of contracts with a form for fund requisition.
4.2. Criteria for assessing proposals
Three levels of criteria will be taken into account in the assessment of proposals submitted to the CORAF/WECARD competitive fund. These are the general eligibility, technical and financial criteria.
4.2.1 General criteria
a) Compliance with CORAF/WECARD strategic plan.
The proposal should compulsorily be in conformity with the priority themes contained in the CORAF/WECARD strategic plan and with the themes identified in the call for proposals.
b) Participation of inter-institutional partners
Each proposal should clearly show the involvement of the requisite partners, both at the preparation stage and in the execution plan. In addition to the international or regional centre, the proposal should compulsorily include at least three types of different actors namely; research institutes, NGO, Farmers’ Organisation, private sector, universities thus forming a consortium. The consortium must be led by an international or regional centre operating in the West and Central African sub-region. Other than international and or regional centre partner establishments in the consortium must be from at least three countries of the sub-region. ARIs researchers may also be part of the consortium if deemed necessary. However, only actors of international or regional centres operating in West and Central Africa are eligible as consortium leaders or coordinators. Proposals that seek to strengthen communities emerging from armed conflicts shall be given special consideration.
c) Identification of the coordinator and the project’s consortium
The proposals should clearly specify the entity that will serve as the project coordinator and the various partners involved in the project. The contents of the proposal should include an identification form with names and institutions of all the participants. It should also specify the expertise and experience of each actor. Failure to provide this information renders the proposal ineligible.
d) Implementation period of the project and funding level.
The implementation period of projects that will be submitted to CORAF/WECARD competitive fund will be of a minimum of 2 years and a maximum of 3 years.
The amount of money granted for each project will depend on the nature of the project and the number of partners. This amount will be a minimum of 50 000 euros and a maximum of 300 000 euros.
e) Partners’ commitment
The objective of the project includes promoting, through regional co-operation, implementation of agricultural development activities by teams at the national level. The proposals should, therefore, clearly indicate the human, financial and material resources that will be provided by the various teams involved in the project. The proposal should include contracts signed by each of the participants, indicating the resources mobilised.
f) Compliance with the rules for projects presentation
Proposals should comply with stipulated procedure as indicated in the call for proposals and the competitive fund manual. Leaving out any of the steps will render the proposal ineligible.
4.2.2. Technical criteria
All proposals that satisfy the eligibility criteria will then be subjected to assessment based on the technical criteria. This assessment is aimed at determining the relevance and general workability of the proposed project. The criteria used are regrouped into the following areas:
a) Technical and scientific quality
The proposal’s objectives should clearly show how they address the priority defined in the call for proposals. It should present an innovative and coherent strategy. The statement of the problem should show how the project addresses the users’ need. The project hypotheses should be clearly defined and their verification method should be rationally planned. The scheduling of activities should be realistic and the indicators for the result and their potential impact should be clearly specified. Teams should indicate their level of knowledge on the subject by citing a succinct and relevant bibliography. The project proposal should also highlight how results are to be used.
b) Dissemination and promotion of results
Proposals should clearly explain what steps are envisaged to disseminate and promote results obtained during the project.
c) Quality of partnership
Besides the number of partners, the quality of the consortium will be assessed. The following aspects will be evaluated:
- the participatory procedure used during the preparation of the project;
- the composition of the consortium with emphasis on the diversity of the components;
- the complementarities and the level of interaction between various components of the consortium.
d) Financial and institutional management capacity
The management capacity of the various teams will be assessed. This will concern:
I) the intrinsic capacity of the teams (training, experience in the specified research area ),
II) the coordinator’s ability to manage a project (technical, administrative and financial management), to lead a team of the project’s dimension and to maintain an international/regional centre trans-national and inter-institutional cooperation.
e) Financial, social and economic impact
The social assessment will focus on the potential impact of the project on employment, income generation and generally on how to improve the welfare of target groups. The project should encourage a large participation of the various actors and should pay particular attention to gender. The project should also mention the potential negative impacts on other non-target groups. Expected results of the projects should also indicate how the project would contribute to increase in productivity, improvement of quantity and quality of production, and to economic development in the sub-region. The possibility of self-dissemination and adoption of technologies will weigh heavily in favour of the project.
f) Environmental impact
The implementation of the project and application of expected results should neither be detrimental to the environment nor in particular to the preservation of natural resources. Projects should, therefore, compulsorily be equipped with a reliable indicator of its impact on the environment.
4.2.3. Financial criteria
The budget should be clearly presented. Its amount should be justified in connection with actions envisaged in the proposal.
The budget should mention the amount being requested from CORAF/WECARD as well as that being provided by the various actors.
The eligible expenses are those related to the direct costs of the research activities. These include:
· Temporary labour
· Travelling expenses within the sub-region (transport and perdiem); only local carriers may be used.
· Documentation, laboratory analysis, biometric analysis expenses, and other services provided by another institution;
· Agricultural inputs and small agricultural equipment;
· Expenses for trainings, meetings and workshops;
· Expenses for the maintenance of equipment and infrastructure being used for the project;
· Expenses for disseminating and promoting research results (workshops, publications etc).
It is important to specify that the funds will neither be used to cover the recurrent operational costs of host institutions and salaries of research scientists, nor will it cover cost for heavy investments such as in vehicles, construction, etc.
4.3. Proposal assessment and selection procedure
All proposals received before the closing date submission will be assessed.
The ES will ensure that all proposals meet the required criteria. Failure to satisfy any of the criteria renders the proposal ineligible for assessment. Each of the eligible proposals will be analyzed individually by at least three evaluators appointed by the PAC. They will eventually constitute a panel that will write a report providing comments on marks scored over 100 points. The scoring will be based on the following six criteria:
- Relevance (over 25 points; a mark inferior to 13/25 automatically eliminates the proposal)
- Scientific and technical quality (over 25 points)
- Impact (over 15 points)
- Partnership (over 20 points)
- Management (over 10 points)
- Budget (over 5 points)
The panel reports will subsequently be analysed by the PAC and ranked. The PAC will present a draft list of the ranked projects to the Executive committee for scrutiny. The EC will then submit the list of proposals to the General Assembly. The GA will then select the best proposals to be financed according to the total resources allocated to the call.
The ES is charged with negotiating with the coordinator of the selected proposals for the preparation and signing of the project execution contract. It is authorised to sign the contract with the coordinator of the project.
For the first call, the GA has full authority to define the themes of the call and select proposals that will be funded. The call will be open for four months.
4.3.1 Various steps of the call for proposals
4.3.2. Implementing Schedule
4.4. Preparation and establishment of contracts
As mentioned earlier, the ES is responsible for the negotiation and signature of contracts. The constituent elements for such contracts include:
· The subject of the contract;
· The expected output of the contract such as progress reports (technical and financial),final reports, publications, training implemented, workshops for disseminating the results to users of technology, etc;
· Duration of the contract;
· Amount allocated to each associated partner in the contract;
· Intellectual property rights over results;
· Disbursement date of the funds;
· CORAF/WECARD responsibilities (timely disbursement of funds…);
· The responsibilities of the coordinator and other beneficiaries of the fund with particular reference to the production of technical and financial reports;
· The host institution’s specific responsibilities (provision of infrastructures and equipment, transparent management of allocated funds);
· Information on penalties including suspension of funding, cancellation of contracts and ineligibility for the next calls; penalties will be levied on defaulting beneficiaries according to the gravity of the case, except for cases related to force majeure.
It is important to stress on some of the elements in the contract as mentioned above with particular reference to the responsibilities of the contracting parties, disbursement of funds, exceptional circumstances and reports.
4.4.1. Specification of the contracting parties responsibilities
The contract will be signed by the CORAF/WECARD Executive Secretary, the project coordinator and the head of the coordinator’s institution. They have the full responsibility to ensure proper management of the project. Proof of efficient management will ensure greater participation of financial partners, thus creating a truly sustainable funding mechanism.
· The ES of CORAF/WECARD is responsible for ensuring the timely disbursement of funds, which is vital for the normal execution of the project. He should exploit the project reports in order to ensure regular monitoring of the project. He is also responsible for requisitioning project assessment and external auditing,
· The project coordinator is responsible for managing the project. In his capacity as project leader, he should be in permanent contact with the other members of the consortium in order to:
o ensure a proper and timely implementation of the research’s operations,
o collect the necessary information to produce technical and financial reports.
He should take the necessary measures to facilitate project auditing and assessment. He is also responsible for producing the progress and final reports.
· The head of the coordinator’s institution will provide a written agreement to put existing means at the project’s disposal and ensure its proper operations. He is particularly responsible for:
· mobilising the funds granted for the project;
· mobilising matching funds ;
· ensuring proper financial management of the project;
· ensuring that funds are allocated to associated institutions;
· ensuring the production of financial reports, in collaboration with the coordinator.
The relationship between the co-ordinator’s institution and the other partner institutions could be defined in a contract based on the elements listed in the afore-mentioned contract.
4.4.2. Method for the disbursing granted funds
The funds will be disbursed according to the disbursement schedule specified in the research proposal. With the exception of the first and the last months, the disbursed amounts will cover successive periods of 6 months of activities. After signing the contract, the institution’s signatory to the contract will submit to the ES of CORAF/WECARD, a request for the total cost of equipment and nine months of the project’s operations. This will constitute the initial advance. Six months after the first request, a second request will be submitted along with the financial report of these first six months of activities, with documentary evidence of the use of the advanced funds. This procedure will allow projects to save a three-month working capital thereby reducing the difficulties associated with delays encountered in the transfer and justification of funds, and which could be detrimental to the adequate execution of the project. The last disbursement that corresponds to three months of activities will be made only after the submission of the final report. This process could be interrupted on the basis of the audit report and/or mid-term assessment report or in a clear case of unsatisfactory implementation of the contract. The ES is authorized to make this decision.
4.4.3. Force majeure
Force majeure cases are problems beyond the control of the beneficiary institutions. They include such problems as wars, natural calamities, fire etc., which could be detrimental to the implementation of the project. These may lead to suspension of the funding, but should not create a situation of ineligibility for subsequent calls.
4.4.4. Reports
The principal contracting party should acknowledge receipt of the initial funds released by the ES of CORAF/WECARD. The date on which the ES will release the first advance is considered as the starting date for the activities of the project. Three types of reports are expected to show good management of the project. These are the initial report on r project take-off, the progress report and the final report.
· The initial report on project take-off
The initial report will be submitted to the ES of CORAF/WECARD by the project coordinator within three months of the disbursement of the initial funding. This report will describe the conditions of the project take-off.
· Progress reports
The progress reports allow constant monitoring of the implementation of the project. The project coordinator will submit them to the ES of CORAF/WECARD on a six-monthly basis. This report should be endorsed by the institution’s signatory to the contract. This report should have a technical component written by the coordinator that is based on information supplied by the various teams in the consortium, and a financial component written by the manager of the contracting institution in collaboration with the coordinator. The clarity of the financial report constitutes the condition for further disbursement of funds for the next six months.
· Final report
The final report will deal with the implementation of the whole project and its budget. The coordinator is responsible for producing this report, which should be submitted to the ES of CORAF/WECARD, the latest a month after the end of the implementation period as scheduled in the projects document. In all three types of report, the coordinator should establish a schedule indicating the dates for reception of project report inputs from partner institutions to facilitate submission of project reports within stipulated deadlines.
4.5. Follow-up assessment method
CORAF/WECARD needs to monitor the fund’s efficiency by assessing the projects.
Each proposal should indicate a monitoring and assessment schedule with the requisite budget that should not exceed 7 % of the proposal’s total amount. This monitoring and assessment will include carrying out some analysis and case studies in order to assess the level of project realisation with reference to with the indicators that are mentioned in the proposal.
CORAF/WECARD will assess the results of the research project at the end of the project. This assessment will be done based on the analysis of the final report, which would normally give some indications on the realisation of the objectives. CORAF/WECARD could use the services of independent consultants in the external assessment of the projects.
All the project assessment results will be stored in a data bank managed by the ES as indicated in the implementation measures for the fund. This data bank will eventually be useful in assessing the institutional capacity of CORAF/WECARD to administer this fund. It will also be useful as a source of information on research and on technology transfer in the sub-region.
5. Financial sources
The CF of CORAF/WECARD will benefit from a modest take-off funding from the European commission and the African Development Bank. It will, however, remain fully open to all multilateral and bilateral donors whose objectives are agricultural development and poverty alleviation in the WCA sub region. Moreover, , CORAF/WECARD in its capacity as an agricultural research and development cooperation organ, is logically a tool serving regional entities such as UEMOA, ECOWAS, CEMAC and AU, with respect to the implementation of its policy on agricultural development. These entities, countries of the sub-region, and the private sector’s are, therefore, expected to contribute to this fund. The CORAF/WECARD Executive Committee and Secretariat should be involved in the mobilization of financial resources for the CP.
6. Cooperation with other funds
It is desirable and recommended that the CORAF/WECARD regional fund fully cooperates with other existing funds, either by sharing experiences or serving as an intermediary for other funds whenever necessary. This cooperation could be extended to especially the various national funds, International Funds for Science (IFS), the European Union’s INCO-DEV fund, the regional funds such as the Latin American funds FONTAGRO, the National funds from the sub-regional or with those from the other sub-regions such as the Kenyan fund. With respect to the relations with the national funds from the sub-region, CORAF/WECARD will define a mechanism, which facilitates the development of interactions and synergies between the different funds.