IntroductionProject DescriptionProject Indicators Project Management: Budgets, Planning, Procurement & FinancesAnnexes
Introduction

1.2 Background and Context

Uganda seeks accelerated economic growth and improved social well-being, and its national development strategy centers on transforming the economy, and becoming a middle-income country as quickly as possible.

Scientific and technological capacity, embodied in knowledge and well-trained human resources, can help transform economies; it can enhance productivity and make social sectors more effective. Some positive evidence suggests that economic transformation is beginning in Uganda. The formal sector of the economy is expanding rapidly, and real investment is rising sharply. However, the scientific and technological capacity needed for Uganda to reach its full economic potential is not yet available. Continued economic progress will require more and better use of knowledge and more and better qualified human resources for science and technology (S&T). The Millennium Science Initiative seeks to address this lack by improving national S&T capacity.

S&T capacity is formed mostly in the national education system. Education coverage in Uganda is expanding tremendously, with close to a quadrupling of enrolment at primary and tertiary levels in less than a decade. However, at the tertiary level, most new students have gone into arts rather than sciences. This is partly because of the weak S&T foundation in the country and the fact that the arts and humanities do not require the same investment in equipment as do the sciences. Tertiary science and engineering students are approximately 10% of total enrolment. This is far below the international average of about 40% enrollment in science and engineering. To be competitive, Uganda seeks to come much closer to international standards for S&T enrollment.

With respect to S&T, the training system has major weaknesses:

· Very few science degree programs exist; enrolment in basic sciences is miniscule. Laboratories are generally scarce, under-equipped and obsolete.
· Very limited funding for capital or recurrent expenses for S&T training exists; almost all research funding comes from external (donor) sources, making it unsustainable and difficult to ensure a national research for development-driven agenda.

· Despite the burgeoning enrolment, very little systematic attention is being given to the development of domestic graduate education. Fewer than 500 professors in the entire country have Ph.D.’s, and fewer than 10 new Ph.D.’s are awarded annually in sciences and engineering.
· Fee policies and lack of adequate S&T infrastructure encourage expansion of arts, humanities
undergraduate programs, resulting in dwindling intake for S&T courses and a general lack of interest
and focus on S&T.

· The universities and the general tertiary system, either public or private, lack strategies to improve
conditions for research.

Uganda has adopted a strategic vision for tertiary education that serves the country’s future aspirations. Current policies, first promoted by the National Council for Higher Education (UNCHE) call for exposure to science for all university students, improved research and technological infrastructure, and strong quality assurance mechanisms. Beginning in 2005/06, seventy percent of the 4000 students sponsored by government have been in the sciences and other disciplines viewed to be critical to national development.

Problems with development of S&T capacity can be found at all levels of education. Secondary-level science education is constrained by lack of laboratories and equipment, obsolete curriculum, and inadequate supply of trained science teachers. These poor conditions, along with disincentives built into the “A” level examinations and university admissions process have led to a widespread “science avoidance” tendency that runs counter to the country’s long term human resource needs.

Development of indigenous capacity in science and technology has become practically imperative for every country, no matter how small. Science provides the innovations that raise living standards and drive economic development and export growth. When local science communities can apply modern research to local challenges, they are better positioned to take significant steps toward addressing their countries’ economic, agricultural, environmental, health, and social needs.

Given the support and participation of Government, the Millennium Science Initiative (MSI) can promote positive economic transformation and improvement in key sectors—education, health, agriculture, energy, water and sanitation—for the Ugandan society. The application of science can stimulate the economy through new innovations in such areas as agricultural production, industry, communications, and health care. Most powerfully, local products and innovations can lead to technological breakthroughs and the birth of vigorous new companies to market them. Thus, the support of projects tailored around the development agenda in the MSI offers the Government of Uganda (GoU) an invaluable opportunity to invest in those science and technology initiatives that are innately relevant to national development.

In the private sector, recent analyses suggest low technology use constrains competitiveness. Firms that manage knowledge and technology best are growing fastest. Analytical and anecdotal evidence points to strong employment growth for engineers and others with technological skills. However, in general the labor market still views tertiary graduates as too theoretical, and lacking in concrete skills required for current business challenges.

In agriculture, national development plans call for higher value-addition, more agro-processing opportunities, and a continued diversification of exports. This puts new and greater demands on research and extension services, which are being reformed to be more responsive to clients’ (farmers) needs. Research and extension services are being reformed. But the long-term success of these reforms will require a growing critical mass of qualified researchers and extension workers contracted to solve problems with the latest and best technological solutions.

The health sector has established a research tradition and reputation for success under difficult conditions based on, inter alia, two decades of complementary research and service provision linked to international funding for HIV/AIDS research. Needs in the field still far outstrip resources available, but the quality of care and its coverage have been positively influenced by the centers of research excellence that have provided intellectual leadership to guide policy under difficult conditions.

Success in S&T policy formulation and implementation has been uneven. The Uganda National Council of Science and Technology (UNCST) had some notable success in establishing review systems and processes for bio-safety and the ethical conduct of research. Overall, however, plans for sector development have not been backed by resources or by a critical mass of organized scientific leadership advocating for change. Progress has tended to be slow and ad hoc, often driven by donor priorities.

In this context, the Government of Uganda (GoU) is seeking to build a strong national science and technology system. In the long run, this will mean replacing disproportionate dependence on external funding with domestic policies and investments that guide knowledge and training institutions, stimulate the production of human resources and research, and insure the constructive use of this output. The creation of a national science system will be a cornerstone of efforts to greatly strengthen the “culture of science” in Uganda.

The Uganda MSI is an important step toward the creation of this stronger national science and technology system. It will provide resources for the expansion of high-quality research and training at both graduate and undergraduate levels; it will emphasize the use of research outputs in the private sector and for social progress; and it will also sponsor activities to strengthen science and technology policy-making and implementation. MSI investments will help the country’s universities and research institutes produce more and better-prepared graduates in S&T, and produce more and high-quality research. It will also help firms make better use of S&T knowledge and skills.

Around the world, competitive funding mechanisms for S&T have proven the best way to: (i) increase the amount and quality of human resources trained at undergraduate through Ph.D levels; (ii) assure quality and relevance of research and training; (iii) create linkages to the needs of the private sector; (iv) strengthen ties to global knowledge through greater North/South and South/South collaboration. In several countries, the World Bank has co-financed such funding mechanisms under the Millennium Science Initiative. Uganda’s MSI project will be co-financed by the World Bank.

The competitive nature of the MSI grants will assure that grants are awarded to the most productive research groups working on the most relevant topics. Other built-in accountability measures provide further incentives for research quality. Grant award criteria also emphasize the importance of linking research to graduate training, so that the output is increased human resources as well as new knowledge. Recipients would use the grants to turn their existing facilities into small, flexible, centers of research excellence for their particular domains.

Effective grant funding mechanisms rely on peer-review selection processes, in which scientific peers judge both the quality of the proposal and its relevance to national needs. Such mechanisms also have the flexibility to spread investment funds to pursue different goals. For example, some grants will be targeted to meet the short- and medium-term goals of providing more engineers and well-trained technicians to the labor market by funding infrastructure and personnel for undergraduate programs in these areas. Other monies will fund longer-term goals of developing a strong, broad science research and training system that can provide Ph.D. training domestically. The MSI will also provide specific funds to strengthen researchers’ collaboration with the private sector.

Uganda’s public resources are limited and its needs are great. It must build its science and technology system in a way that is most cost-effective and owned by the country. The MSI is devised as a competitive and transparent mechanism to fund researchers involved in training to serve as a core around which the long-term policy and investment goals for the sector may be shaped.

The MSI will seek to increase the quantity, quality, and relevance of scientific and technological skills and knowledge available for economic and social purposes. Increases in quantity will help the private sector upgrade its technological capabilities as part of improving its productivity and competitiveness. Improved quantity, quality, and relevance of S&T skills in the private sector will allow firms to be more aware of technology options (both domestic and foreign), enabling more cost-effective selection of technology. Similar advantages will be gained by public sector entities in the production and provision of social services. Mutually-beneficial partnerships between the private sector and research institutions can create a cycle of continuous technological upgrading over the long term.

MSI will help increase the pool of highly qualified persons to serve as professors, lecturers, instructors, and technicians for public and private institutions. Uganda’s university-age population is expanding rapidly: total population is expected to double over the next two decades with only a small percentage of this cohort specializing in S&T. At the same time, tertiary enrollment as a percentage of the relevant age group is increasing markedly; it is now four times larger than it was a little more than a decade ago. In short, a higher percentage of an expanding age group will seek tertiary education. As a group, these students will need to gain a balanced mixture of arts, social sciences (including business and management), natural sciences, engineering, and other technological skills. The MSI project seeks to increase both the number of qualified graduates who go directly into private sector employment, and the number of those who become science educators (at all levels) to train this expanding cohort of young Ugandans.

While the majority of the MSI investments will be aimed at the tertiary education system and its interface with the productive sector, several outreach activities will be aimed at improving public understanding of and appreciation for science. The MSI project will harness the intellectual resources of the country’s practicing researchers and university professors to promote a positive image for science, which is a necessary condition for improved science at any educational level.

1.2 Basic Project Description

The Millennium Science Initiative consists of two project components, each with various subcomponents and activities. The MSI is administered by the UNCST.

1.2.1 Component One

The MSI Funding Facility provides competitively-awarded grants through three different windows, each dedicated to a specific purpose.

Window A funds research groups led by senior researchers or emerging investigators to conduct relevant, high-quality scientific and technological research closely connected to graduate training.

Window B funds the creation of undergraduate programs in basic science and engineering at licensed public and private institutions and/or the rehabilitation and upgrading of existing degree programs in basic science and engineering. For both Windows A and B, grants are of a sufficient size to allow researchers to acquire the equipment and other inputs needed to conduct training and research at the highest levels of quality.

Window C will support private sector cooperation. It will support: (i) grants for “Technology Platforms” through which firms and researchers define collaborative agendas for solving problems of direct interest to industry, and then pursue solutions collaboratively; and (ii) formal firm-based internships for students in science, engineering, and business administration, allowing interns the opportunity to gain exposure to the “real life problems” facing the private sector. activities

1.2.2 Component Two

Component two will support an Outreach Program, plus institutional strengthening, monitoring and evaluation, and policy studies.

The Outreach Program is designed to change negative perceptions that keep Ugandans from pursuing careers in science. A program of school visits by top scientists and researchers, including those associated with the MSI, will seek to provide more positive and accurate information on science to students who are getting ready to make career decisions. Also, a “National Science Week” will focus attention in the classroom, the media, national laboratories, industry, and civil society on the importance, the value, and the promise implicit in a strong national science and technology system.

Component Two will also strengthen S&T institutions, especially the UNCST and the Uganda Industrial Research Institute (UIRI). UNCST has the overall responsibility for MSI coordination and implementation, as well as for science policy nationally. The new challenges for S&T require a strong and capable institution. Similarly, for the UIRI to be a demand-led institute based on a critical mass of qualified staff and state-of-the-art facilities, it needs considerable strengthening as well. Institutional strengthening at UIRI will focus upon articulating links to industry, rehabilitating pilot plants and analytical laboratory facilities.

Monitoring and evaluation of both the MSI’s specific goals, and overall progress in the S&T sector, will also be a part of Component Two. As more reliable data becomes available, Component Two will sponsor studies in key areas of policy. UNCST will implement the project. UNCST permanent employees will support the management and administration of the Project.

1.3 Vision and Mission of the Uganda MSI Project

The Vision underlying the MSI is of a vibrant, prosperous and S&T-led Uganda. The Mission is to build capacity in and mobilize the population to embrace S&T so as to enhance economic transformation, prosperity, and human development by 2015.

1.4 Objectives of the Uganda MSI Project

The project’s Development Objective is for Ugandan universities and research institutes to produce more and better qualified science and engineering graduates, and higher quality and more relevant research, and for firms to utilize these outputs to improve productivity for the sake of enhancing S&T-led growth.

Increases to the amount of human resources trained through the MSI will be measured by increases in: (i) the number of university science and engineering programs, (ii) enrollment in these programs, (iii) graduates in science and engineering, and (iv) labor market utilization of these graduates. Improvements in quality will be measured through independent review panels and growth in total publications and publication citation impact analysis as well as increased collaboration with advanced regional and international research partners and firms. Improved relevance shall be indicated by increased labor market utilization of S&T skills and greater use of technology and skills to improve commercial product- and process-improvements, and similar improvements in PEAP priority areas of public concern (i.e. health, agriculture, infrastructure, energy, etc).

The project will:

a. build experience within the GoU for managing a national science funding facility according to international best practice.

b. help make it possible for Uganda to achieve, within 10 years time, the targets of the National Council for Higher Education of one-third of tertiary enrollment in S&T disciplines, with all tertiary students getting exposure to some science.1

c. train an increasing percentage of the national S&T workforce domestically in programs that produce qualified Bachelors, Masters, and Ph.D.’s in areas of relevance.

d. increase the private sector absorption of both people and knowledge, creating greater competitiveness and new areas of comparative advantage.

e. support strengthening of institutions and policies for the continuous development and deepening of S&T capacity in Uganda.

The one-third figure applies to all tertiary enrollments, whether public or private, fee paying or sponsored. The 70% of scholarships to be devoted to key economic areas, including S&T, applies only to students on Government-sponsored scholarships. These objectives will be accomplished by conducting high quality research in S&T, training young scientists, forging regional and international collaborative research linkages, creating a culture of mutually-beneficial interaction between scientists, engineers, and technologists with firms, fortifying critical institutions for S&T growth (e.g., UNCST and UIRI), and disseminating new scientific knowledge through programs of education and outreach.

1.5 Project Operating Principles

The MSI Funding Facility will be implemented according to international best-practice rules for competitive allocation of research resources. Its design has been guided by, and its implementation will adhere to the following principles:
a. Transparency and rule–bound operating procedures. Project rules and procedures will be widely and readily disseminated, and information on the MSI will routinely be made available publicly in a timely manner.

b. Merit-based selection. Grants will be chosen according to clearly defined criteria, disseminated ex-ante to all potential grant proponents. Selection will rely on the use of qualified scientific peers for grant proposal review. Substantive feedback on proposals will be provided to all proponents.

c. Human capital formation closely connected to research. Funded research must involve training, especially in ways that promote the long-term development of high quality domestic graduate and undergraduate science and technology degree programs.

d. Relevance to national needs. Relevance to national needs, including for improved fundamental science, shall be a principle selection criteria.

e. Avoidance of Conflict-of-Interest. Members of the Technical Committee and other decision-makers will not decide on issues in which they have a material interest in the outcome. Members of the UNCST Executive Committee, the Technical Committee, and the UNCST Secretariat are not eligible to compete for or participate in MSI Funding Facility grant activities.

f. Safe and Ethical Research. Funded research teams and other participants will adhere to appropriate project-specific and national guidelines on safe and ethical conduct of research.

g. Accountability. All sponsored MSI participants will be accountable for scientific and technological results, progress toward activity objectives, and use of resources. Regular reporting following the pre-determined formats described in this manual is mandatory for all MSI participants.

h. Confidentiality. All those involved in the review and/or administration of the MSI will respect appropriate guidelines for confidentiality of proposals and related information.

i. Promotion of Public Understanding of Science and Technology. The MSI will promote widespread understanding of and appreciation for the potential for science and technology to contribute significantly to national and individual development.

j. Strengthening of Institutions and Sustainability. The MSI will seek to strengthen the institutions involved in its implementation in preparation for an eventual transition from a collaboratively funded project to a nationally-funded science system.

2.1 Organizational and Administrative Structure

The UNCST is the main project implementing agency. It will have the overall responsibility for project coordination and implementation. Administrative structure within the UNCST will administer MSI grants and manage the related outreach and policy activities. Three tiers of management and administration, each with explicit roles and responsibilities detailed below, constitute the MSI’s governance structure: the UNCST Executive Committee, the Technical Committee (TC), and the UNCST Secretariati. The UNCST Secretariat will be staffed by UNCST employees. The institutional structure is depicted below.

Fig. 1. Administrative Structure for MSI Project Implementation

2.1.1 The UNCST Executive Committee
The Executive Committee of the UNCST will play an oversight role in the MSI as described here.

Responsibilities: The function of the Executive Committee is to oversee the implementation of the MSI project in accordance with project documents and provide policy guidance for the MSI project. The Executive Committee articulates the national priorities and Government policies in S&T and communicates these to the Technical Committee. The Technical Committee will then write the Calls for Proposals (CFPs) based on these priorities, subsequently submitting the CFPs to the EC for clearance. Executive Committee shall review project annual reports and forward these with comments to MOFPED and the World Bank. The Executive Committee will confirm that implementation is proceeding according to agreed procedures defined in project documents.

2.1.2 The Technical Committee

a. Responsibilities: The functions of the Technical Committee are:

i. prepare the Calls-for-Proposals (CfP) for the MSI grants in consultation with the UNCST Executive Committee2 as provided for in the MSI Project Implementation Plan (PIP);

ii. review initial project proposals and short list finalist for each grant category;

iii. identify competent peer reviewers for full proposals, with assistance from the UNCST Secretariat;

iv. select the best proposals for grant awards in accordance with the criteria elaborated in the MSI Project Implementation Plan;

v. review progress reports and other outputs of MSI grants activities toward their stated research, capacity building, networking, and outreach objectives and targets;

vi. review a consolidated annual report of MSI grants compiled by the UNCST Secretariat based on annual program reports from the research teams and other project participants and forward the report with comments to the UNCST Executive Committee; and

vii. facilitate international and national networking goals consistent with MSI Project objectives as appropriate;

In carrying out the above functions, the TC shall foment a culture of scientific integrity and promote

2 Note: In the design and stakeholder consultation phases of MSI, the lack of resources for modern equipment and other physical investments was repeatedly cited as a major weakness of the Ugandan national S&T system. [It was also noted that investments are most productive when awarded to the most highly-competitive, top quality research groups.] To respond to this need, the MSI Funding Facility will emphasize, inter alia, areas of research investigation that require significant equipment and other physical investments. It will not be limited only to these areas. For these reasons, the CFP proposals may emphasize interest in the basic sciences (biology, chemistry, mathematics, and physics), engineering, biotechnology and bio-safety; information and communication technology; indigenous knowledge and technologies; energy technologies (renewable and non-renewable); material science/construction technologies; water science and natural resource management technologies; post-harvest/value addition; manufacturing/industrial/innovation technologies.

b. Composition: The Technical Committee (TC) will consist of 8 distinguished scientists of international stature. Four of these will be Ugandans, and four will be non-Ugandans. Two non-Ugandan alternates will be asked to participate when primary non-Ugandan members are not available. The Committee will appoint one of the Ugandan members as a Committee Chair/Convener. Technical Committee members will have an appropriate diversity of backgrounds, with balanced representation of scientific, technological, and entrepreneurial areas. At the same time, all TC members will have sufficient expertise in S&T to be able to make informed judgments on the scientific and technical merits of projects, in conjunction with the opinion of expert peer reviewers.

c. Length and Conditions of Service. Technical Committee members will serve for the duration of the project. One (each) Ugandan and non-Ugandan alternate member may be chosen, to serve when principal members are unavailable. The TC Chairperson will serve as the liaison to the Executive Committee.

d. Technical Committee Interaction with Project Supervision. The UNCST Executive Secretary and the World Bank Task Team Leader have responsibilities for insuring the project is carried out in accordance with the legal agreement between the Government of Uganda and the World Bank. Toward this end, the Executive Secretary of the UNCST and the World Bank Task Team Leader may, with the non-objection of the Chair of the Technical Committee, attend Technical Committee meetings as observers, and provide relevant information on project implementation procedures as requested by the TC. Neither may vote nor offer any opinions regarding the technical merit of individual proposals. Otherwise, TC meetings will be closed, the confidentiality of proposals respected, and only TC members will have input into Committee deliberations on ranking or selection of proposals.

2.1.3 The UNCST Secretariat

UNCST will implement the project. The Executive Secretary (ES) of the UNCST will have the overall responsibility for project implementation. The ES will interact with the Executive Committee and the Technical Committee on project matters, and will oversee the UNCST Secretariat. Members of the Executive Committee, the Technical Committee and the UNCST Secretariat will not be eligible to participate in MSI grant activities as project beneficiaries. Former members of the Executive Committee will be eligible to participate in MSI activities 30 days after their terms end.

2.1.4 Two Rounds of MSI Funding Facility Competition

The MSI Funding Facility will have two grant-awarding competitions during the project. The initial round will take place within one year of the project being declared “Effective.” (Effectiveness is the last step in the project’s formal approval process). Through Window A, this first round will be expected to award grants to 2-3 Senior Research Team and 4-5 emerging research teams. An appropriate number of grants under Windows B and C for the first round shall be determined at the discretion of the Technical Committee, based on their judgment of the quality of the final proposals.

One year later, a second round of funding will take place, duplicating the first round in all aspects. The importance of the two rounds is that it provides proponents whose projects were not funded in Round One with an opportunity to reflect on the feedback they received, improve their proposals, and submit them a second time for reconsideration. Round Two will be open to new proposals not submitted in round one. After the second round, it is expected that all available resources will have been allocated. After roughly two and a half years of implementation and after the two rounds of grant-awarding are completed, the project will undergo its Mid-term Review. If the MSI is making suitable progress toward its development objectives, other development partners may be invited to participate in the Mid-term Review. These development partners may wish to contribute resources to the Government that could be used for funding subsequent rounds of MSI grant-awarding competition.

2.1.5 Selection Processes and Eligibility Criteria

The selection and administration procedures have been designed according to international best practice, and include: (a) timely ex-ante dissemination of rules and guidelines for competing for resources to all potential project proponents; (b) transparent, fair and merit-based competition for resources; (c) resource allocation based on independent review of proposals by scientific peers of international standing; (d) concentration of resources for the most qualified researchers; and (e) maximum administrative efficiency for provision and use of resources by principal investigators.

2.2 MSI Funding Activities

2.2.1 Component One: Research Grants

2.2.1.1 Window A: Grant funding for Research Teams

a. Window A Modes:

Window A funding will be awarded to research teams in two modes.

Mode 1: Grants to Senior Research Teams. Grants will be made to approximately 4 to 5 Senior Research Teams for an initial term of three years. A consequential mid-term review of each grant will be conducted after 18 months, and progress towards the grants’ objectives will need to be demonstrated at that time for continuation of funding. After the grants conclude, Senior Research Teams in good standing will not be excluded from resubmitting new proposals for competitive consideration based on the availability of funding.
Senior Research Teams will consist of one principle investigator (PI), at least one senior researcher, and/or an equal number of junior researchers, and at least six postgraduate or graduate students (at least two of whom would be expected to be Ph.D. candidates). The Principal investigator will be a researcher of established reputation in his or her particular field, with demonstrated capacity to lead research teams and obtain high quality scientific and managerial results. Senior investigators will have sufficient expertise in their fields, with established reputations for research results and experience in the formation of human resources and postgraduate training of students.
Grants amounts for Senior Research Team Grants will be in the range of USD $500,000 to USD $800,000 equivalent over the three year period. Budgets must be fully justified (see Guidelines for Grant Proposals) and commensurate with the research activities proposed. In general, it is expected that roughly half of the grants awarded shall be used for equipment expenditure and half for recurrent expenditures, although this will vary with the needs of the individual research programs. However, for any individual grant, no more than 65% of resources can be spent on equipment.

Mode 2: Grants for Research Teams. Grants will be made to 8 to 10 Research Teams for a term of three years. A consequential mid-term review of each grant will be conducted after 18 months, and progress toward the grant objectives will need to be demonstrated at that time for continuation of funding. After the grant implementation period concludes, Research Teams in good standing will not be excluded from competing for continued funding, yet neither will they be given any special consideration in the selection process.
Research Teams will consist of one Principal Investigator, plus at least one associated junior or senior researchers, and at least three postgraduate students. Lead Researchers must demonstrate capacity to train postgraduate students in research. The PI of each Research Team is expected to have the potential to evolve into a researcher of the stature of a Senior Research Team Leader.

Grant amounts for Research Team Grants will be in the range of USD $100,000 to USD $250,000 equivalent over the three year period. Budgets must be fully justified (see Guidelines for Grant Proposals) and commensurate with the research activities proposed. In general, it is expected that roughly half of the grant will be for equipment expenditure and half for recurrent expenditures, although this will vary with the needs of the individual research programs. However, for any individual grant, no more than 65% of resources can be spent on equipment.

For both Senior Research Teams and Research Teams, all team members will be expected to be fully engaged in research activities and the research program. They are expected to devote a high percentage of their time to these activities, and to routinely be physically present at the research site. Individuals who will not be so engaged in carrying out research should be listed on the proposals as advisors to the team, not as team members.

b. Eligibility and Selection

Research teams meeting the criteria above are encouraged to apply. Research Teams may be based at Ugandan licensed universities or Ugandan public or private research foundations (such as NARO Institutes, the Joint Clinical Research Center, the Ugandan Virus Research Institute, etc.). However, proponents not at or formally connected to a degree-granting institution will have to establish formal linkages for training as part of completing the full proposals. Individuals from the private sector may be incorporated into research teams as warranted and at the discretion of the PI. Likewise, individuals without formal academic credentials or institutional affiliations may be included in grant proposals where justified (for example, artisans in technological projects aimed at improving their productivity). Individuals may be included as part of only one proposal and may not be part of any other applications to that Window. Non-Ugandan Research Teams are not eligible; Ugandan firms may not apply to Window A.

Full proposals must be accompanied by letters of endorsement from the Research Teams’ host institutions. Endorsements should state that the host institution is willing to assume all responsibilities stipulated in this manual. In general, these responsibilities will include: (i) provision of physical space, and upgrading of buildings as necessary for installation of equipment; (ii) agreement to maintain researchers as faculty or employees and not to subtract resources from their programs; (iii) agreement to have financial management capacity and procurement capacity reviewed by UNCST prior to finalization of the grant contract; (iv) if capacity is deemed sufficient, agreement to provide grant administration services in compliance of the requirements of this manual, in return to a standard overhead charge, not to exceed 5% of grant totals; (v) if capacity is not deemed sufficient, agreement to allow the UNCST Secretariat to provide procurement and financial management services for the grant. The UNCST Secretariat and the World Bank will determine the adequacy of these arrangements prior to finalization of the research grant contracts. In cases where institutional arrangements for grant administration are not adequate, the host institution must agree to the arrangements determined between the UNCST Secretariat and the grantee, and agree to provide all necessary information and/or access to project documentation to the UNCST Secretariat and the World Bank.

c. A Two Stage Grant Application and Selection Process

The UNCST will publish and widely disseminate the Call for Proposals (CFP) produced by the Technical Committee. The CFP will specify the rules and procedures for the competition, based on the stipulations in this manual, including dates, selection criteria, a scoring system, and application procedures.

Prior to the initiation of the competition, the UNCST Secretariat will make various types of technical assistance available to those who may wish to improve their grant proposal writing capacity and/or gain a deeper understanding about the proper completion of MSI proposals. This technical assistance program will be known as the Better Research Program, and additional details on it will be forthcoming from UNCST.

Initial grant proposals will be completed by all proponents, using the standard format contained in Annex Two of this manual. Initial Proposals will consist of a short (3-5 pages) application giving the basic relevant details of the proposed research, including goals, literature review of related relevant research, team members, human resources development, relevance, expected outputs, indicative budgets, etc. Proposals that are not complete may be returned to proponents for completion if submitted prior to the deadline. After the deadline, no changes may be made to any proposals. Proposals which are incomplete at the time of the deadline will not be forwarded to the Technical Committee.

Completed proposals will be forwarded to the Technical Committee members, who will review proposals individually and deliberate collectively to rank the proposals according to a system of Excellent, Very Good, Good, Fair, or Poor. The TC will determine the shortlist based on these rankings. Short-listed proponents will be notified and invited to develop full proposals for submission. Unsuccessful proponents will be notified in writing of: (i) the ranking given to their proposal; (ii) the total number of proposals in their category; (iii) the distribution of rankings of these proposals; (iv) the cut-off point for the shortlist; and (vi) any major comments from the TC on the substance of the proposal. To the extent possible, comments will focus on how the proposals might be improved. Unsuccessful proponents from Round One will be encouraged to improve their proposals for re-submission in Round Two.

d. Selection Criteria for Grants from Window A

Grants will be selected using the following criteria:

• Scientific and/or Technological Quality of the Proposed Research. This will include the extent to which, in the judgment of the peer reviewers and the Technical Committee, the research activities proposed in any given field address important scientific and technological questions, are at or near the forefront of research in that specific discipline, build on a superior understanding of previous research findings as determined by the TC, and are scientifically achievable.

• Relevance. This includes both near-term relevance to national and local needs and long-term relevance to improving S&T capacity in the country. Improvement of capacity in the basic sciences is considered relevant to project objectives. Other relevancy criteria will include the extent to which research outputs (both human resources and knowledge) can be used by the private sector or for improved social service delivery.

• Human Resource Development Activities. To be judged by assessing the extent to which the proposal will significantly increase the quantity and efficiency with which human resources are developed for S&T in Uganda. The incremental numbers of postgraduate students will be a key indicator for this criterion as will the ability to upgrade existing Masters programs to full Ph.D. research programs.

• Track Record of the PI and Senior Researchers. To be judged by previous research output, publication track record in international peer reviewed journals, awards and recognition, and formation of human resource development.

• Budgets Commensurate with Proposed Work. Budgets in all full proposals will have to be justified in detail. For instance, the proposal will need to detail each piece of equipment costing more than US$ 10,000 equivalent, state its purpose in the research program, and describe its proposed use. Similarly, budget guidelines provided in this manual must be used for all expenditure categories. Proposals for which budgets are not fully justified or which are not commensurate with the research proposed will not be funded.

• Ancillary Categories. These following characteristics will be considered “strongly encouraged but not mandatory,” including: (a) local partnerships, especially between more established and less established research institutions and teams; (b) international partnerships, including links to excellent institutions in the region and globally that are involved in similar or complementary research activities [note: with the exception of visiting professors and other specific expenditure categories enumerated in the Operations Manual, no funds from MSI grants may be used to fund external research partners] (c) multi-disciplinary research and research teams—encouraged where appropriate to further the overall goals of the research; (d) regional diversity and the creation of research capacity in areas in which such strength does not currently exist in the country; (e) sharing of equipment and infrastructure—when possible and desirable, proposals may include ways in which equipment acquired under the grant can be made available for researchers and activities not directly involved in the Research Team;

e. Evaluation Process for Full Proposal and “Portfolio Criteria”

Short listed proponents will be given time and access to modest resources (not to exceed USD 5000, managed by the UNCST Secretariat) to develop their initial proposals into Full Proposals. At this stage proponents will be required to furnish letters of support from their host institutions. They will also need to justify budgets in detail, according to the expenditure guidelines in this manual. Full Proposals should contain CVs of all proposed team members. They should also describe in much more detail the content of the proposed research program.

At the time of short-listing, the TC will identify three ad hoc peer reviewers to review each proposal. The peer reviewers will be recognized experts in the subject areas of the given proposal. Peer reviewers may review more than one proposal and shall be encouraged to submit extensive written comments on the proposals, in addition to assigning each a rank.

At the time of final grant selection, the TC members will be physically present in Uganda. TC members may conduct site visits to the laboratories of finalists or have the finalists make presentations on the proposals and reply to questions.

Peer reviewers and the Technical Committee members will rank each proposal with the same qualitative grading system of “Excellent; Very Good; Good; Fair; Poor” used for ranking initial proposals. In addition, the Technical Committee may assign weights to different scoring categories. The final ranking system will be explained in its entirety in the Call for Proposals.

The Technical Committee will be charged with selecting a portfolio of funded projects which, as a whole, serve the purposes of the project and the country and are likely to have the largest total impact. This could mean that if several proposals from the same discipline (biology, for example) score highest for scientific quality, the committee may only choose the top one or two, and then choose other projects with better scores on relevance or other criteria.

As part of this “portfolio” approach, all proposals must include a full disclosure of all other current areas of research support for all listed scientists, and all pending applications. The TC will consider two aspects of “other funding” in its decision process. On the one hand, existence of other funding validates ability and adds to the researchers’ ability to work on a sustainable basis. On the other hand, the MSI grants will not be most effective if they provide resources to those teams that are already well funded from other sources—that is, if there is higher added value in funding other teams. Therefore, consideration of the marginal impact of additional funding will form part of overall decision-making for selection of grantees. Failure to disclose all funding sources will make an application void, or be grounds for ex-post cancellation of awarded grants.

The TC will select the grant winners. It will send these names, along with a report on its deliberations to the UNCST Executive Committee. The UNCST Executive Committee will verify that project procedures have been observed, and, if so, the grant selection process will be concluded and winners will be notified in writing. If the UNCST Executive Committee determines procedures have not been observed, it will discuss this with the TC and request that appropriate measures be taken. The UNCST Executive Committee will not offer opinions on the substance of the decisions, nor suggest any alterations to the TC’s decisions on grounds of substance, rather, only on matters of procedure.

f. Reporting and accountability requirements

Grantees will be required to report to the UNCST, the TC, the World Bank and the public in the following ways, inter alia:

• Provide detailed financial management and procurement reporting and financial statements as described in Annex One of this manual.

• Provide annual reports to UNCST on the physical progress of the research program or other activities toward their approved goals and objectives.

• Periodically meet with, exchange views, and provide access to project activities and documentation to the UNCST, the TC, visiting project evaluators, and the World Bank.

In addition, and perhaps most importantly, grant recipients will be expected to participate in activities involving the Ugandan public at large. This may involve presenting their findings to interested group (as organized by UNCST), or participating in the Outreach Program by making visits to secondary schools, briefing government officials or members of the university community on their work, and other such events of this nature.

g. Other Issues

For the period of the grant, equipment purchased with grant resources will be under the sole control of the PI and grant-recipient. It will be housed at the PI’s host institution, but the PI will be the sole authority for all decisions regarding its use and who may access it. This is necessary to insure that the equipment serves the purposes of producing the intended results of the research program. The PI may, at her or his discretion, allow others to use the equipment for legitimate research purposes, provided this does not interfere with the ability of the research team to carry out their obligations under the grant. At the conclusion of the grant implementation period, the equipment will remain in the same physical setting so long as the PI and the research team are still substantially in tact and active. However, at this point, the PI will no longer have the exclusive rights to its use. Rather, its use will be governed by normal policies of the host institution.

In the event the PI can no longer continue as head of the research team or there are substantial changes to the compositions of the research team (such as illness or death of a member), the host institution will inform the UNCST immediately. The host institution will be given a reasonable period (three months approximately) to propose a substitute for the PI, with equivalent qualifications. If the Technical Committee approves the proposed individual, grant implementation may continue. The Technical Committee may reject the proposal and give the institution a short period (maximum six months) to find a suitable substitute for the PI, who may come from outside of the host institution. If no suitable candidate can be found, the grant will be cancelled or modified in accordance with the recommendation of the Technical Committee.

If the PI wishes to change institutions or changes institutions, it is incumbent on her or him to inform the UNCST of this situation. If the research team will remain substantially in tact and the objectives of the research program are not jeopardized by the move, the TC will approve the continuation of grant implementation, including physical transfer of the equipment to the PI’s new institution (so long as the host institution meets the MSI eligibility criteria). If the move will cause significant disruption to the research team or prevent the team from achieving the goals on the basis of which the grant was approved, the TC may recommend cancellation of the grant.

PIs are expected to include a budget for maintenance in their grant proposals and to use these earmarked grant funds to keep equipment in working order at all times. PI’s should plan carefully for maintenance, as the MSI will not make additional funds for maintenance available to grantees outside the grants.

2.2.1.2 Window B: Upgrading or Creation of Undergraduate Programs in Science and Engineering
This subcomponent of the MSI will fund the upgrading or creation of undergraduate programs in the basic sciences and engineering at licensed public and private universities. It seeks to fund a total of 4-6 degree programs: upgrading of 2-3 existing programs and the creation of 2-3 new programs. It is expected that for both upgrading and creation, at least one program will be in the basic sciences, one in technology, and one “open” or not pre-determined. It is also expected that creation of new programs will be at private as well as public universities. All four public universities plus all chartered and licensed private universities will be invited to submit proposals for participation in Window B.

The competition and grant award process for Window B grants shall be similar to that for Window A in most respects. The competition for Window B grants will be announced as part of a simultaneous set of CFPs. It will involve initial proposals, creation of a shortlist of finalists by the Technical Committee, written reviews of final proposals by ad hoc peer reviewers, and selection of grantees by the Technical Committee.

The time periods for submission of Initial Proposals will be at least 60 days for both Window A and B and 60 days for submission of finalized full proposals following the announcement of finalists. There are however, small differences between Window A and B procedures. Window B finalist will be given access to more resources in this 60 day period to improve their proposals (not to exceed USD 10,000 equivalent, managed by the UNCST Secretariat). Also, Window B proposals will be reviewed according to the selection criteria of Window A proposals (with due consideration to the differences in programs for training versus research) as well as the additional criteria listed below.

a. Contents of Window B Proposals

Successful proposals will make clear the purpose and intended audience of the program and will have four components: (i) plans for development of curricula to internationally-accepted levels of quality (which also encourages innovation and new approaches to instruction); (ii) laboratory and infrastructure development plans, fully commensurate with and integrated into proposed curricula; (iii) staffing plans—including for the contracting of new full-time staff, as well as visiting professors; and, (iv) with respect to student demand, student recruitment and development plans, which may include incentives to attract students into science disciplines, and remedial activities for students who lack appropriate preparation.

Programs should lead to a recognized first degree, but may also include activities to expose non-science majors to science as part of the breadth requirements suggested by the Uganda National Council for Higher Education. In this regard, the MSI would fund bridging courses to allow students with inadequate S&T exposure to catch up and pursue new fields. Additionally, it would provide incentives to top science undergraduate students (such as provision of laptop computers or other necessary equipment). Curricula could emphasize training for entrepreneurial/business skills along with mastery of science content.

Where applicable, proposals might include common or shared S&T infrastructure and facilities as part of the outreach activities envisaged to foster greater access to S&T teaching and learning facilities.

b. Selection Process

Projects in this category will also undergo a competitive peer review process initiated by a letter of invitation to compete. The letter and CFP emitted by the Technical Committee will specify the steps and dates for each part of the process.

As a first step, institutions wishing to compete will submit Initial Proposals according to the template in this manual. The Technical Committee will select a short-list of finalists who will have 60 days to develop Full Proposals. Finalists will be given technical assistance and access to a small budget (managed by UNCST Secretariat) to assist in the development of Full Proposals.

c. Selection Criteria

The main selection criteria will be the perceived ability for the applying institutions to upgrade or create a degree program and other educational opportunities of the highest possible quality in the sciences and/or engineering disciplines. Full Proposals will be reviewed with respect to: (i) the scientific and/or technological quality of the proposed program of education and training; (ii) the relevance of the proposed program to national needs; (iii) the ability of the program to develop significant quantities of high quality human resources; (iv) the track records and professional expertise of the individuals to be involved; (v) the extent to which the budget is commensurate with the needs of the program; and (vi) the ancillary categories first described above.

In addition, successful proposals will be selected to the extent they have the following:

• Plans for development of curricula to internationally-accepted levels of quality, which also encourage innovation and new approaches to instruction

• Laboratory and infrastructure development plans, fully commensurate with and integrated into proposed curricula

• Staffing plans—including for the contracting of new full-time staff as well as visiting professors, and for the eventual assumption of incremental staff costs by the institutions at the end of the grant period [Note: salary contracts for staff will be structured in such a way that institutions gradually assume a greater percentage of these costs as the grant progresses]

• Student recruitment and development plans, which may include incentives to attract students into science disciplines and remedial activities for students who lack appropriate preparation

d. Timetable for Implementation

Where grants are sponsoring the creation of wholly new programs, it is recognized that the implementing institutions will not be able to jump from having no programs to having full-fledged degree programs in a short period of time. Successful proposals will have recognized this and built in an adequate transitional plan. Grant-receiving institutions will then implement this transition period of 1-2 years in which to make the degree programs fully operational. Intermediate activities would build up to this full implementation phase.

Where grants are sponsoring the upgrading of existing institutions, the transitions will be shorter. Upgrading should take place as quickly as feasible, without causing undesirable disruptions in the programs. Successful proposals will describe the transition to full implementation.

2.2.1.3 Window C: Private Sector Cooperation

The main goal of activities under this Window is to give firms greater access to technology and skills and link academia and industry. These linkages are expected, to promote growth and accelerate the transition to a more science-and-technology driven economy with a critical mass of well-trained scientists and engineers focused on the needs of industry.

Private sector cooperation will be organized around research topics defined by and useful to the private sector. Window C will support: (i) grants for “Technology Platforms” through which firms and researchers eventually define collaborative agendas for solving problems of direct interest to industry, and then pursue solutions collaboratively; and (ii) formal firm-based internships for students in science, engineering, and business administration, allowing interns the opportunity to gain exposure to the “real life problems” facing the private sector.

Technology Platforms will be forums that seek: (i) to define a set of technological problems facing firms to which research or consultation could provide solutions; (ii) to identify and evaluate technologies that exist and are used outside of Uganda and could profitably be transferred for use domestically, and (ii) to work together, in a possibly different configuration, to carry out collaboratively the research and development issues identified. A Platform usually consists of multiple firms, or in exceptional cases of one firm, and one or more university/research institute partners. In Mode I, funds will finance both the cooperative evaluation of technologies and the definition of shared R&D problems confronting the partners participating in the Platform. In Mode II, Mode I grantees will be eligible to apply for funding to carry out the R&D agenda developed in Mode I as a collaboration between firms and university/research institute partners.

Examples of the kind of targeted, specific, technology-related challenges firms and firm-led teams could identify and evaluate in Mode I platforms and further investigate in Mode 2 platforms might include:

• A floriculture firm working with agricultural scientists and other researchers to evaluate the potential for new plant varieties to be profitably grown and exported from Uganda

• A food processing firm seeking to know if new process control or refrigeration technologies could be profitably employed in their production lines

• A services firm considering investments in information technology seeking to understand the options available outside of Uganda

• A medical testing laboratory seeking to know if they might profitably expand the number and ranges of testing services offered by investing in new equipment

• Under what conditions could aquaculture be commercially viable and environmentally sustainable in Uganda?

• What are the commercial possibilities for processing of starch from plantains?

• Can the quality of construction materials used in Uganda be improved and costs lowered?

• Can transportation firms improve their productivity and profitability by investing in computer-based management of their vehicles and routes?

• How could Ugandan agricultural products be certified as organic and would doing so raise their market value?

The internships are based on formal agreements between a firm and one or more universities in which the number of training places, level of training, assistance and supervision by company and university staff, as well as involvement of company staff in focusing the university curriculum is specified in the CFP and in contracts that will entered into in advance of program commencement.

As the MSI’s focus on the institutional strengthening of the Uganda Industrial Research Institute underscores that institution’s pivotal role in promoting the importance of technology for industrialization and the need for strong linkages between R&D and firms, UIRI is to play an active role in promoting and facilitating the Technology Platforms. However, the UIRI itself cannot be among the formal applicants for Window C funding. Its expertise must be made available to all Platforms for preparing proposals, for providing ‘headquarter’ facilities if necessary, and as needed during the implementation phase. With respect to the latter, only costs incurred by UIRI in the implementation of R&D activities of Mode 2 Platforms, and identified beforehand in the proposal, will be eligible costs.

Funding in this Window will also be accessed through a peer-reviewed, competitive grant process, although one that is modified to take into account the special characteristics of the Technology Platforms and the Internship Programs. A Subcommittee of the Technical Committee will review and select proposals and activities to be funded under Window C. The Subcommittee will consist of three of the eight TC members—including at least one Ugandan and one non-Ugandan. Sub-committee members will be chosen by the TC for, inter alia, their experience with academic-industry linkages, commercialization of research, and other relevant expertise.

The Subcommittee will be responsible to draft an open, continuous, or “standing” CFP for Window C, so that proposals can be received on an on-going basis to respond to the needs of the private sector for rapidity. The CFP will make explicit the goals, selection process and criteria, contracting and implementation procedures, and accountability and monitoring procedures for both sets of activities under Window C.

The CFP will specify that all proposals shall be sent to the UNCST Secretariat for forwarding to the Window C Subcommittee. UIRI is allowed to receive a copy of all proposals. The UNCST Secretariat will acknowledge receipt of the proposals in writing to the proponents. As and when appropriate, the Subcommittee will identify one Ugandan and one non-Ugandan peer reviewer per proposal for written opinions within 10 working days of receiving the proposal from the UNCST Secretariat. In addition the Executive Director of the UIRI will be given the opportunity, which he may or may not use, to provide his comments on each proposal to the Subcommittee. The Subcommittee will deliberate on the proposals and the peer reviews and UIRI opinions to the extent they have come in, virtually on a two-monthly basis, so that maximally three months will lapse between submission and approval.

Unlike Windows A and B for which proposals must be accepted or rejected as they are received and may not be conditionally accepted after the closing of the call, for Window C the Subcommittee may return a proposal to the proponents with suggested improvements or conditions that, if met, would make it eligible for funding.

a. Technology Platforms: Mode 1

In Mode 1, up to $50,000 will be made available to have firms and university/research institute partners define together technological problems facing firms, to conduct searches for and evaluate available technologies and to propose, if appropriate further research and development work. In exceptional cases a Platform may consist of one firm and one university/research institute partner. With an emphasis on technology scanning, the monies elicited by eligible, winning Platforms through Mode 1 can be used to: (1) crystallize understanding of the specific technology-related challenge facing the firms, (2) conduct a local, national, and international search for and technical evaluation of available technologies to respond to this challenge, (3) conduct an initial business-planning exercise to get a reasonable idea of the cost-effectiveness and market potential of transferring/adapting/importing/applying any identified technological solution, and (4) prepare an R&D proposal to develop/adapt/modify the identified technological solution in partnership with other firms, university research staff or research institute affiliates.

Mode 1 seeks to respond quickly to the needs of industry to understand what types of technology can reasonably be expected to lead to increased profitability and growth for a given firm. As such, each proposal must evaluate qualitatively and quantitatively the technology under consideration as a potential tool for increased productivity, revenue and profitability, and result in specific recommendations for the adoption or adaptation of available technologies, and for any R&D necessary in that case, or against such adoption.

To achieve this end, a project would consider a range of issues that bear on the profitable use of new technologies including, but not limited to, its ability to reduce costs, increase outputs, improve quality, meet currently unmet market demands, and/or create profitable new products. Each project must combine the technical assessment of identified technologies’ capabilities with an initial financial assessment of cost-impact, and an initial market assessment of increased business opportunities. Therefore, it is expected that teams would contain specialists in particular technologies, along with specialists in finance and marketing.

Teams of researchers at universities or research institutes (students and/or staff), along with scientists, engineers, or managers from firms and companies will develop proposals jointly. To be eligible, all proposals must have the substantial involvement of at least one active firm (a “going concern”) whose technical or management staff dedicate significant time to the proposal.

All proposals must be submitted using the standard Grant Application Form based on Annex Two.

b. Technology Platforms: Mode 2

The aim of Mode 2 activities is to construct solutions to those technological challenges identified in Mode 1 by having strengthened partnerships between firms, scientists and engineers from universities and/or research institutes, carrying out R&D and possibly engineering activities. At the conclusion of Mode 2, concrete innovative products, technological modifications, and augmentation of services or production processes should be ready for acceptance by firms thereby commencing a new business development trajectory.

Only those teams that successfully elicited Mode 1 funding are eligible to participate in Mode 2. Eligible teams will likely include the same team membership of firms, university and research staff partners participating in Mode 1. Proposals may be augmented by the addition of groups of companies and private-sector associations, or universities and research institutes backed by such private-sector organizations. Proposals that do not include both significant participation of private sector partners and clear demonstration of the importance to firms of the problems identified for technological amelioration will not be funded.

Grant amounts of up to US$ 150,000 will be made available to fund a range of activities including: (1) the clarification and further definition of the firm’s problems and focused, short-term analyses and feasibility studies that shed light on the potential solutions to the problems, (2) research and other activities such as technological development and adaptation, and (3) analysis needed to confirm the cost-effectiveness of these solutions, bring them into practice, or advance knowledge about them so as to make their use by industry more feasible.

Most of those firm-based problems identified for both Mode 1 and Mode 2 support would address specific obstacles to discrete business challenges facing firms. However, some eligible teams might focus on issues of concern to firms across an industry or even from several industries, such as embedded software technologies, energy efficiency technologies, mechanical engineering technologies, packaging technologies, or food processing technologies.

Proponents will submit standard Grant Application Forms based on Annex Two. The MSI UNCST Secretariat shall verify the completeness of the information in these forms before forwarding them to the Window C Subcommittee of the Technical Committee. The Subcommittee will submit them for peer review and decide on funding on the basis of an assessment of the adequacy and potential success of the proposed platforms.

The costs associated with purchasing and employing the technologies involved will have to be borne by the firms themselves, possibly assisted by financial support from the Technology Acquisition Fund under Component 2 of the World Bank’s Second Private Sector Competitiveness Project. Eligible expenses under this Technology Acquisition Fund include procurement of patents or manufacturing rights, procurement of prototypes or new quality control equipment and staff training to conform to international standards.

c. Technology Internships

A second set of Window C activities is also oriented around bridging the academia-private sector divide in Uganda. Through a Technology Internship program, grants will be made available to support structural agreements between companies and one or more universities to increase the level of practical training for students in science and technology, their work orientation, the private-sector relevance of the curriculum, and the links between university staff and participating firms. Diploma-granting vocational and technical training institutes will also be considered for inclusion in the internship agreements.

Internship program proposals may be designed by staff of companies, university faculties, or by groups of students. The agreements which will be part of the proposals will describe the mutual obligations to which the partners will comply. These will include at least the number of training places the company will make available, the level and content of the training to be provided–the duration of which can vary from 3 months to 9 months, the assistance (e.g. 1 day per week) to be received from company and teaching-institute staff, feed-back mechanisms, and the links to be built between companies and teaching-institute staff. Following their training period, participating Interns will be required to submit proposals to improve a particular aspect of the companies’ operations. These proposals must have a firm supervisor and may have a university supervisor as well.

It is expected that companies will invest some money of their own to finance the Technology Internship program, but this will be complimented by fixed levels of support for the training positions they make available and for the assistance of company staff (e.g. on the basis of 20% of staff time).

The Internship Program will include an annual conference with the faculty from relevant disciplines from which Technology Interns are drawn, the participating (receiving) firms, and the Interns themselves. This annual conference will provide a forum to discuss such issues as: (1) preparedness of Interns to contribute to firm-level demands, (2) perceived relevance and adequacy of Interns’ training and study at their universities to needs of firms, and (3) ideas for strengthening and broadening the Technology Intern program.

Success of the Intern program will be assessed based on firms’ commitments to offering Interns jobs following their experience with the program.

The UNCST Secretariat will develop a detailed internship program manual.

2.2.1.4 Technical Assistance for Grant Proponents and Research Managers: The Better Research Program
The MSI Funding Facility will include a large program of technical assistance for grant proponents and research managers. Researchers, professors, entrepreneurs, managers, and administrators will have access to workshops and consulting services on relevant topics designed to elevate the quality of their grant writing skills and research management abilities.

For researchers and those interested in applying for research grants, a comprehensive technical assistance program will focus on ways to improve:

• Research problem formulation

• Research program design

• Collaboration with scientific, technological, and private sector partners

• Grant proposal writing (both for MSI grants and in general)

• Management of research

• Publication and dissemination of research results

• Commercial potential of research outputs (intellectual property issues).

This suite of technical assistance activities will also help researchers identify other potential sources of funding as alternatives to the MSI Funding Facility.

For professors, Vice Chancellors, and others involved in undergraduate and graduate training, technical assistance will focus on planning for upgrading or creation of new degree programs in S&T disciplines, issues of remedial training for students in the sciences, and reviews of best practice and incentives for improving education quality in sciences and engineering.

MSI Proponents will be the primary target audience for this technical assistance, but to the extent feasible, programs will also provide activities and services for other researchers and stakeholders who may not participate in MSI, but who wish to improve their capacities in these areas.

2.2.2 Component Two: Outreach, Institutional Strengthening and Policy Activities

2.2.2.1 Outreach Program

Public understanding of science, technology, and their role in national development appears to be comparatively low in Uganda. Many Ugandans view science and technology issues as abstruse and irrelevant to their lives and well-being. Communication links between scientists, policymakers, and the general public have traditionally been weak. With some notable exceptions, science and engineering careers have not been seen as financially or professionally rewarding, despite reasonable evidence to the contrary. The S&T community generally has not been successful in communicating the importance of science to national development nor the potential opportunities for career and personal fulfillment that can come through science and technology.

As a result, and coupled with lack of investments, the Uganda public and especially school children have an inadequate understanding of science and its role in society; it is often viewed as both very difficult as a subject area and irrelevant to personal, social, or economic progress. Until recently, the debates—and follow-on actions—on science policy have lacked coherence and depth. The MSI will address this problem through a series of outreach and special activities.
The MSI Outreach Program will sponsor activities to improve public understanding of and appreciation for science. The principal activities of the Outreach Program will be: (i) a series of structured schools visits by scientists, technologists, engineers, and S&T-related entrepreneurs;
(ii) an annual National Science Week program during which various kinds of social marketing and awareness raising on science and technology issues will take place including the announcement of the winners of the MSI Funding Facility competitions in years one and two;
(iii) a public information campaign for the MSI designed to clearly communicate to all stakeholders the objectives and content of the program, and especially the opportunities available through it.

a. The School Visits Program

UNCST will contract a firm specializing in marketing and public relations to organize and administer the School Visits Program. This firm will include individuals with specialized expertise in the public understanding of science and/or science education. The firm will develop a set of activities for short (half-day) visits to secondary schools throughout Uganda for the purpose of raising students’ awareness and understanding of science and technology issues.

The visits will be designed especially to enhance the role and standing of local science teachers, not to supplant it. The visits will be videotaped or otherwise visually recorded by the firm. The recordings will be archived and serve as a database for understanding students’ attitudes towards science and technology. At periodic intervals, the UNCST will update the content of the Visits Program based on the recorded findings. organization.

b. National Science Week

National Science Week will be composed of a series of events for and by the science, technology, and entrepreneurial community to highlight the role of science in national development and Uganda’s progress toward increasing its national science and technology capacity. The format for National Science Week will be flexible and UNCST will engage a firm to help with planning and organization.

c. Public Information Campaign

The success of the MSI depends upon key stakeholders’ timely access to complete information about the project. Researchers, firms, students, and others throughout Uganda need to know what the project is and how they can take advantage of the opportunities it affords. UNCST may engage a firm to assist in this task. In addition to the dissemination of the projects’ documentation (including this manual), specialized public information materials will be developed and disseminated. These activities will also relate closely to those under the M&E subcomponent to develop and maintain accurate databases with contact information for potential beneficiaries and stakeholders. For example, the database of firms that may wish to apply for Technology Platforms or create Technology Internship Programs would facilitate direct mailing campaigns to make information available and for surveys that solicit monitoring and evaluation data from firms on their use of technology and science skills.

2.2.2.2 Institutional Strengthening Activities

The project will strengthen selected S&T-related agencies, in particular the UNCST and the UIRI. For the UNSCT, the implementation of the MSI is a major catalyst in its transformation toward a focused organization that puts at center stage the promotion of practical ways for S&T to contribute to private sector growth and attainment of the PEAP objectives. The UIRI has been given the mandate to play the leading role in strengthening the technology base of primary sector, manufacturing, and service industries. Restructuring and strengthening of both institutions is described in greater depth below.

a. Uganda National Council for Science and Technology

This subcomponent will provide support and technical assistance for the restructuring and strengthening of the UNCST with the goal that it shall become more focused on deliverable outputs and policy implementation as a result of these efforts. In May 2005 the Government announced its intention to restructure the UNCST to improve its effectiveness. An institutional assessment of the UNCST conducted in July 2005 described the Council’s current core activity as the formulation of broad policies for science and technology. This has led to the creation of various policy frameworks that have, unfortunately, not received budgetary commitment or institutional follow through.

In line with the recommendations of the institution’s assessment, the restructuring and strengthening of UNCST will concentrate on:

• Focusing UNCST’s activities on a reduced number of high priority areas

• Increasing the emphasis on implementing programs, notably the MSI

• Reorganizing its structure and management

• Adopting strengthened internal mechanisms

• Upgrading skill levels and administrative procedures

• Providing for a modern and efficient working environment

The planned reforms are captured in six areas of concentration, each with specific annual work plans and outputs.

First, the increased emphasis on implementation will ensure professional implementation of the MSI.

The UNCST Secretariat’s structure will be revamped to allow it to exercise effective control over the new focus areas. The new Secretariat will be reorganized into two divisions: one for policy and one for operations. The policy division shall be responsible for:

• Annual analysis of S&T activities and expenditure

• S&T human capital development reports

• Policy recommendations for S&T in economic and industrial development

• Advice to government on occasional/ad-hoc S&T topics (with UNAS)

The policy division will have responsibility for numerous sectoral monitoring and evaluation
activities done in conjunction with project monitoring.
The operations division will be responsible for:

• Support to research through competitive funding mechanisms (including the MSI)

• Safety and ethics regulation and compliance (including Bio-Safety) services

The operations division will house the Research Funding Unit. Over time, the MSI Funding Facility and the UNCST Secretariat will transition from donor-financed entities to a domestically-financed national science funding system.

The strengthening of internal mechanisms will result in deliverables such as more formal and transparent procedures between the Council, the Executive Committee, the Executive Secretary and UNCST staff, formalized through such accomplishments as the adoption of 5-year Corporate Plans to be used as frameworks for planning and budgeting.

b. Uganda Industrial Research Institute

The Uganda Industrial Research Institute has the official mandate to be the focal point for technological development of the industrial sector (including the primary sector and the services industries sector) in Uganda. It will also administer the Innovation and Industrialization Fund.

• serve as a demand-led institute

• stress partnerships with industry, universities, research institutes and relevant government agencies

• employ a critical mass of qualified staff

• maintain state-of-the-art technical facilities

• support central and decentralized incubation and business development facilities

UIRI will work in close cooperation with the other agencies that perform complementary functions for Uganda’s industrial development. The Uganda Investment Authority, which is one of these, has recently been given the new role to hold and develop industrial land and parks to fulfill its objective of encouraging foreign investment. Other relevant partnering agencies include the National Bureau of Standards, which is responsible for setting, monitoring and enforcing standards and for raising awareness of the importance of standards in quality assurance, and the Uganda Export Promotion Board.

To achieve UIRI’s long-term vision requires considerable institutional strengthening. New functions such as facilitating technology transfer, technology evaluation and assessment, innovation and applied research, offering broader incubation services, advisory and consultancy services, as well as providing deeper insight into the position of the Ugandan industrial sector, its technical needs, and also in technical and market opportunities each challenge UIRI’s current capability. To substantially augment current capability in these areas, MSI support will concentrate on:

• Links to industry, priority setting, technology/industry resource centre. The MSI will facilitate UIRI’s ability to undertake the systematic development of links to industry as well as needs identification and consequent priority setting. A study to collect baseline information on the status and current needs of the industrial sector (technologies in use, major outputs, manpower and skills levels, unfulfilled needs, supplier chains, etc.) is vital to kick-start this MSI subcomponent. The resource center will develop and maintain for use by industry, investors, policy makers, planners and research organizations a well catalogued database of information about industry, including relevant expertise and research results and projects in academia and research institutes. Access to relevant international data will also be developed.

• Pilot plants, laboratories, engineering workshops. There is a need for rehabilitation and strengthening of pilot plants and analytical laboratory facilities. Industrial demand dictates priority to be given to the dairy and fruit juice processing industry. Establishing engineering workshops is paramount when creating facilities for technology development as the priority for technology development is the introduction of improved manufacturing technology.

• Technology Development Centre. Building up a technology development centre that will provide consultancy services and advise on innovations and applied research, instrumentation, design and engineering, technology assessment and transfer, and is located within a short geographic distance of extended analytical laboratories constitutes another dimension of UIRI institutional strengthening via the MSI.

• Incubation services. Strengthening its incubation services which at present are concentrated on largely decentralized support for ICT business development is a high priority for UIRI institutional strengthening. The UIRI has demonstrated its capacity in this area by acquiring internationally competitive support in this area.

• General purpose infrastructure. Strengthening the ICT and office infrastructure at UIRI is also entailed in MSI support under this subcomponent.

Table 1: MSI 5-Year Budget

IDA Q4870-UG

5 Year Project Budget

(in US Dollars)

Activity

Disbusmt

Project Components and Activities

TOTAL

Code

category

(000)

Part 1

Component 1: Millenium Science Initiative (MSI) Fund

C1.1.0

1(a)

A. Grants to Research Teams

5,750

C1.2.0

1(b)

B.Upgrading existing & creating new undergraduate programs

7,500

C1.3.0

1(c )

C. University-Industry Cooperative Platforms Sub-Total 1. Millenium Science Initiative (MSI) Fund

1,600

14,850

C2.1.0 C2.2.0 C2.2.13 C2.2 14. C2.3.0 C2.4.0

Part 2 2 (a) 2 (b) 2 (b) 2 (b) 2 (c), 2(d)

Component 2: Outreach and Institutional Strengthening School Visits, National Science Week and Public Awareness Institutional Strengthening of UNCST Technical Committee Monitoring and Evaluation/Policy Studies Institutional Strengthening of UIRI and Rehabilitation Operational costs

1,700
2,375
650
780
4,607
4,888

C2.5.0

5

Unallocated

3,500

Subtotal 2. Outreach and Institutional Strengthening Total Project Costs

18,500

33,350

IDA will finance 100% of most project investment costs. The majority of project counterpart contributions will be in-kind. Incremental recurrent costs would be primarily borne by the Government through additional staff needed at the UNCST and in conjunction with the overall strengthening of UNCST, and through costs of additional staff at public universities hired in conjunction with expanded research, graduate training, and undergraduate science and engineering grants provided under Windows A & B of Component One of the project.

Estimated operating costs amount to about 4.5% of overall project costs. It has been determined that the financing of these would be shared by the Government and IDA, with the Government providing approximately 35% and IDA 65%. These amounts and cost sharing arrangements will not pose a threat to project sustainability. The IDA credit will not pay salaries or any related salary expenses for civil servants. The IDA credit will pay up to 100% for the costs of goods and equipment, minor works, consultant services, and training.

2.2.2.3 Monitoring and Evaluation, Policy Studies and Remedial Training Pilots

Comprehensive Monitoring and Evaluation activities will establish whether and to what extent the MSI Program accomplishes the Project Development Objective as stated in section 1.4 above. It is thus necessary to measure whether more and better qualified science and engineering students are educated through the MSI, whether higher quality and more relevant research is carried out, and whether firms utilize science and engineering graduates as well as research results to improve productivity. Due to the paucity of statistical data on Uganda’s S&T sector, the Monitoring and Evaluation subcomponent of the MSI will address the wider issue of establishing a better basis for information gathering and data assessment on the sector more generally. In particular, a broad set of baseline data will be collected to provide the appropriate perspective for the MSI efforts. Enriching the statistical data, a series of more in-depth studies will also be commissioned that will provide universities and other institutes of higher education, research organizations, industry, and Government agencies with relevant policy information and statistical resources to deepen national understanding of Uganda’s S&T system. A series of specific policy studies, including pilots to test possible technological solutions and measures, will constitute part of the support entailed in this subcomponent as well.

Five indicators, for each of which targets are formulated, will be used to measure accomplishment of the Project Development Objectives. By the close of the project, the following achievements will be measurable. The first concerns the size or number of researchers and research groups in the country and their productivity, which should double by the end of the MSI Project. In key disciplines 50 % more science, technology, and engineering undergraduates and graduate students will be in the pipeline. The firms that take part in the Technology Platforms should employ more S&T talent and use more technology. To demonstrate the effect of the strengthening of UNCST and UIRI, client surveys will demonstrate satisfaction with the services these organizations offer. Similarly, surveys among students and, to some extent, the population in general demonstrate more positive attitudes towards careers in science and technology.

The quantitative data on the evolution and the performance of the various components of the MSI Financing Facility will be collected both in separate surveys and as part of the regular annual reporting of the participating teams, universities, institutes, and firms. In addition, twice during the duration of the MSI project an international panel of 3-5 distinguished scientists will conduct highly qualitative reviews, including site visits, of the Research Teams and the undergraduate programs in science and engineering. They will provide substantive inputs in the deliberations of the Technical Committee.

The second subcomponent concerns policy studies and pilot projects for remedial training. As data become available, more in-depth policy studies become feasible. Performing these will constitute a core element of the Monitoring and Evaluation Plan.

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

Top

The Uganda National Council for Science & Technology Publication. All Rights Reserved.
Comments for this publication may be sent to the Executive Secretary
Please state your name and country.

3.1.1 PDO Indicator 1
What: Size/number and productivity (measured by publications, patent applications, and number of students trained) of researchers and research groups doubles; This indicator should demonstrate the extent to which research in Uganda is increasing while showing whether the research produced by Ugandans is resulting in new technologies, via patents and partnerships with technology-developers.
How: Establish a baseline number of researchers active in science and technology in Uganda by conducting one or more surveys annually to elicit the following information:

a. In what field is the researcher active?

b. With what institution is the researcher affiliated

c. List of patents, publications, and citations*

d. List of institutional partnerships and affiliations (private sector firms, universities, research institutes)

e. Number of postgraduate students supervised/Number of theses supervised
f. Number of colleagues (FT, PT, PIs, junior researchers, by discipline)

Number and nature of partnerships with private sector firms by discipline Information should be gathered through a combination of email, phone and in-person interviews. When: The survey shall be repeated annually to monitor indicators and measure progress. The elicited survey data shall be presented in a narrative and tabular format and submitted to the

Technical Committee and the UNCST Secretariat.
Who: Likely candidates for performance of the annual researcher survey include UNCST,
UNCHE, or others

Outstanding Issues:

a. Number and nature of surveys as well as data and cost estimates

b. An authoritative source that lists science and engineering disciplines must be selected to use in determining eligible programs for inclusion (sources might include either NSF or OECD)

c. Citations: It is very rare that researchers themselves calculate and track the frequency of their research cited in others’ publications. The ISI is the authoritative source internationally that provides such data at the aggregate national level. It may be considered useful for the purposes of tracking progress on PDO Indicator 1 if access to the ISI Public Citation and Impact Analysis is procured

d. A determination of counting FTEs versus research staff totals will need to be made

3.1.2 PDO Indicator 2
What: Pipeline of science, technology, and engineering undergraduates and postgraduates increases by 50% in key disciplines; This indicator should demonstrate the extent to which both undergraduate and postgraduate study in science, technology and engineering is increasing. In particular, attention will be given to those disciplines of most critical importance to national development goals (e.g., agriculture sciences, mechanical and electrical engineering, chemistry, biology, soil science, etc.). The following indicators form the core of that information required to measure the size and impact of Uganda’s S&T training system.

How: Establish a baseline number of enrollees and graduates in science, engineering, and technology-related programs in Uganda by conducting one or more surveys annually to elicit the following information:

a. Number of S&T enrollees

b. Number of S&T graduates (at BS, MS, and Ph.D. level) annually

c. Number of active researchers per discipline (FT, PT, PIs, and junior researchers, by discipline)

d. Number of patents annually by discipline

e. Number of publications and citations* per discipline

f. Number and nature of partnerships with private sector firms by discipline

Information should be gathered through a combination of email, phone and in-person interviews.
When: The survey shall be repeated annually to monitor indicators and measure progress. The elicited survey data shall be presented in a narrative and tabular format and submitted to the Technical Committee and the UNCST Secretariat.
Who: Likely candidates for performance of the annual university survey include the UNCHE and UNCST

Outstanding Issues:

a. Number and nature of surveys as well as data and cost estimates

b. An authoritative source that lists science and engineering disciplines must be selected to use in determining eligible science, technology, and engineering disciplines for inclusion (sources might include either NSF or OECD)

c. A determination of those key disciplines for targeted monitoring shall be made by the Technical Committee on Appraisal

3.1.3 PDO Indicator 3
What: Firms active in technology development/evaluation employ more S&T talent and profitably use more technology; This indicator should serve as a measure of firms’ technology use in Uganda, allowing for measurement of growth from one year to the next. Also, this indicator allows for tracking of firms’ inclusion of science, technology and engineering-focused students involved in the Technology Internship program as well as ascertaining the degree to which internship participants indeed serve as conduits for technological learning and linkage creation between academia and industry.

How: Establish a baseline number of firms productively using technology and making productive use of the internship program by conducting one or more surveys annually to elicit the following information:

a. Principle technology constraints facing the firm

b. In what ways does the firm draw on relevant research created by universities and public research institutes?

c. In what S&T areas does the firm face the most severe human resources constraints?

d. Has the internship program helped relieve this shortage?

e. Has the proportion of staff with S&T training increased over the past year?

f. In what areas has involvement in the MSI begun to help ameliorate technology-related constraints?

g. How has interaction with universities/research institutes changed?

h. Has the firm engaged non-firm partners in developing research agendas of use to the firm (i.e., to help the firm make better products or more efficient processes)?

i. Has the firm’s use of technology changed or increased?

Using the RPED data as a starting point, the consultant(s) hired to conduct these surveys should rely heavily on in-person contact with the sample firms through email, phone and in-person interviews

When: The survey shall be repeated annually to monitor indicators and measure progress. The elicited survey data shall be presented in a narrative and tabular format and submitted to the Technical Committee and the UNCST Secretariat.

Who: Appropriate candidates will be identified through the proper CFP process
Outstanding Issues:

Number and nature of surveys as well as data and cost estimates

3.1.4 PDO Indicator 4
What: Survey of clients reveals that UNCST and UIRI provide effective services; This indicator should serve as a measure of both the UNCST’s and the UIRI’s migration toward becoming more impacting, effective, and efficient. The project includes components to restructure UNCST and UIRI to better carry out their mandates and serve their clients. This indicator should allow for an assessment toward that objective. An array of pointed questions should be included in the survey and those listed constitute a mere first cut at a survey.

How: Establish an understanding of clients’ satisfaction with UNCST/UIRI services by conducting one or more surveys to elicit the following information:

a. Has UNCST/UIRI provided your institution with all of the necessary services implied in its mandate?

b. Are there any areas in which UNCST/UIRI has come up short in providing the services that you feel it should?

c. How would you rate your satisfaction with UNCST/UIRI?

d. Do you have any areas for improvement and strengthening you would wish UNCST/UIRI to take up?

When: Baseline data will be drawn in year 1 so that follow-on data may allow for comparison and appreciation of progress. The elicited survey data shall be presented in a narrative and tabular format and submitted to the Technical Committee and the UNCST Secretariat.

Who: Appropriate candidates to perform the survey/study will be identified through the proper CFP process. Targeted constituencies to be interviewed for survey data include:

a. Firms, public research institutes (for UIRI)

b. Parliamentary Committee on S&T, Office of the President, District Governments, Ministries, Government Agencies involved in S&T (for UNCST)

Outstanding Issues:

Number and nature of surveys as well as data and cost estimates

3.1.5 PDO Indicator 5
What: Positive impressions of careers in science and technology increase; this indicator is designed to ascertain whether more Ugandan A-level students will plan careers in S&T fields as a result of the various MSI activities. This indicator should benchmark students’ attitudes and eagerness toward pursuing careers in S&T and allow for tracking changes in this regard. An array of pointed questions should be included in the survey and those listed constitute just a few of those to include in the final survey.

How: Establish an understanding of students’ enthusiasm for, fear of, and willingness to explore careers in science, technology and engineering by conducting one or more surveys to elicit the following information:

a. How attractive does a career in science and technology sound to you?

b. Do you have many examples of friends or family succeeding in science- and technology-related careers?

c. Do your S&T studies seem adequate to prepare you for a happy and successful career?

d. In relation to your other studies, how difficult does your science coursework seem to you?

e. Who is your favorite scientist?

f. How easy/difficult would you rate S&T studies?

g. What are your reasons for (not) choosing to pursue a degree in S&T?

When: Baseline data will be drawn in year 1 so that follow-on data may allow for comparison and appreciation of progress. The elicited survey data shall be presented in a narrative and tabular format and submitted to the Technical Committee and the UNCST Secretariat.

Who: Appropriate candidates to perform the survey/study will be identified through the proper CFP process. Targeted constituencies to be interviewed for survey data include:

a. Students enrolled in science, technology, and engineering programs

b. Students graduating from science, technology, and engineering programs

c. Secondary school students

Outstanding Issues:

Number and nature of surveys as well as data and cost estimates

Table 2. Summary of MSI Project Indicators

PDO

Project Outcome Indicators

Use of Project Outcome Information

Universities and research institutes produce more and better qualified S&T graduates and generate and transfer higher quality and more relevant research.

Firms productively utilize more trained human resources and more technology (generated and/or transferred).

PDO Indicator 1: Size/number and productivity (measured by publications, patent applications, and number of students trained) of researchers and research groups doubles
PDO Indicator 2: Pipeline of science, technology, and engineering undergraduates and postgraduates increases by 50% in key disciplines
PDO Indicator 3: Firms active in technology development/evaluation employ more S&T talent and use more technology
PDO Indicator 4: Survey of clients shows that UNCST and UIRI provide effective services
PDO Indicator 5: More Ugandan A-level students plan careers in S&T fields as positive impressions of careers in science and technology increase

Data from these indicators will be provided to the MSI Executive Committee. They will help to confirm whether the PDO is on track to being achieved. PDO Indicators 1-5 are aimed at measuring program impacts
YR1: Assure that transparent processes have led to effective allocation of research, training, and linkage resources
YR 2-3: Assure that physical and organizational inputs are leading toward expected subproject goals
YR 4-5: Measure the extent of the change in system performance and assess option for consolidating S&T funding and innovation system

Intermediate Outcomes

Intermediate Outcome Indicators

Use of Intermediate Outcome Monitoring

PDO

Project Outcome Indicators

Use of Project Outcome Information

Intermediate Result A: MSI Funding Facility established, grantees selected through transparent, merited based competition.

Indicator A1: MSI Technical Committee seated; call for proposals issued
Indicator A2: Ratio of applicants to fundable proposals 3:1 or greater for Windows A & B
Indicator A3: 10% of top 50 technologically-active firms in the process of establishing internship programs and participating in the Technology Platforms
Indicator A4: UIRI completes service demand assessment

YR 1- 1.5: Data from these indicators consolidated into an annual report from the MSI Technical Committee and the UNCST Secretariat to the Executive Committee.

Report puts MSI progress within the context of progress on related policy areas, using sectoral data gathered by the UNCST, the UNCHE, and the UIRI.

Sectoral and program report disseminated to stakeholders in S&T-related Ministries and agencies

Intermediate Result B: Senior Research Teams (SRTs) and Research Teams (RTs) fully staffed, equipped and operational; undergraduate programs admitting students; Technology Platform activities lead to transfer of specific technologies and to follow on research by firms and partners.

Indicator B1: Assessment of research progress by independent visiting teams reveals research and training goals on track in 80% of SRTs and RTs. Postgraduate theses topics identified Indicator B2: New Undergraduate programs admitting students for full-time study; Upgraded undergraduate programs expand enrollment and implement revised curricula Indicator B3: Technology Platform activities lead to acquisition of new technology in some participating firms. Technology Platforms result in increases in cooperative research. 15% of basic science and engineering students participating in internship programs

YR 2-3: As project approaches midterm review, independent assessments determine whether project inputs are fully employed in ways that are likely to lead to outcomes and impacts.

MSI Technical Committee makes recommendation for restructuring of any grants where implementation delays imperil ability to achieve outcomes.

Intermediate Result C:

Research results leading to planned publications; students progressing towards undergraduate and postgraduate degrees; firms demonstrate greater technology use as a result of participation in the MSI; firms hire interns upon graduation.

Indicator C1: Publications, patent applications, and postgraduate theses in draft, submission dates identified

Indicator C2: New program enrollment at 70% of capacity; independent assessment rates curricula at internationally-acceptable levels of

quality

Indicator C3: Cost-effectiveness of acquired technologies/new processes and products is measured via increases in revenue; 15% of internship participants receive employment offers from participating firms upon graduation.

Indicator C4: UIRI generating fees for technological services offered to firms

YR 4-5

Preliminary measurement of impact in program and sectoral reports forms the basis of dialogue on the size and format of follow on funding/replenishment of the MSI Funding Facility and linkage programs .

4.1 Introduction

The Financing Agreement between the World Bank and the Government of Uganda stipulates that the resources for the MSI, as with all World Bank-financed projects, may only be used for the specific purposes of the project as outlined in the project documents, and must be used with due consideration for economy and efficiency. As the implementing agency, the UNCST has the primary responsibility to assure overall compliance with this stipulation. The World Bank has the responsibility of supervising the project for the purposes of determining that it is meeting its objectives and complying with all relevant rules and procedures.

Project management requires careful ex-ante planning to assure that funds are being dedicated to the purposes of the project at the appropriate time. The project will use a system of Annual Work Plans and Budgets (AWP/B) to accomplish this end. The UNCST will produce and Annual Work Plan and Budget for each fiscal year or portion of a fiscal year for which the project is active. The AWP\B shall be submitted to the Bank for no objection. The UNCST’s AWP/B will incorporate sub AWP/B’s produced by other implementing partners, such as the UIRI and grant recipients.

Under the MSI, work planning, budget planning, and procurement planning will be integrated so as to be consistent and mutually-supporting. The “physical goals” for project progress will determine the activities to be carried out in a given period. These activities will be budgeted for, and due attention will be given to procuring all goods, works, services, and consultants’ services in accordance with the relevant procedures. UNCST senior management initiates this process by planning for the physical goals for the upcoming period. Financial management and procurement staff contribute to and carry out the planning and the execution of the plans according to the procedures and regulations described here, and in ancillary documents such as the UNCST Financial Management Manual. The cluster of activities involved will be referred to as Work Planning, Budgeting, Financial Management, and Procurement Processes, or WPBFMP.

4.2 Central and decentralised responsibilities for Work Planning, Budgeting, Financial Management, and Procurement
The UNCST has overall responsibility for WPBFMP activities, either for those activities it carries out directly, or in consolidating and assuring the quality, consistency, and compliance of WBPFMP activities carried out by UIRI and by grant recipients.

UNCST will verify the capacity for these two functions at the host institution through standardized financial management and procurement capacity assessments. If it is found to be adequate, the host institution will carry out the functions. If the host institution is determined by UNCST not to have the capacity, the central financial management and procurement unit at the UNCST will carry out the function for the grantee. In the text below, the party responsible for financial management and procurement, whether host institution or UNCST, will be referred to below as the “grant administrator.” Host institutions must have adequate capacity in both financial management and procurement in order to administer grants; the functions will not be split between institutions. In certain circumstances, the UNCST may make training and capacity building available to institutions so they can acquire the capacity needed to administer grants. In cases where the host institution is the grant administrator, the institution will open up an account in its name and the name of the project. UNCST will make a deposit into this account equal to the expenditures for a six month period. The grant administrator will carry out procurement and financial administration in accordance with the AWP, and furnish quarterly reports to the UNCST. Upon receipt of reports and verification of correct use of funds, the UNCST will make a deposit into the account for the next six month period.

4.3 Work Planning, Budgeting, Financial Management, and Procurement Processes

The WPBFMP processes will be carried out at different levels and by different actors. The responsibilities of UNCST, UIRI, and other grant administrators are described below:

4.3.1 WPBFMP for overall Project activities and for activities carried out by UNCST.

The project has an overall budget for its implementation period. This budget is contained in Table 1 above. Each year, when the AWP/B is submitted, the overall budget will be updated to include the actual versus planned expenditures to date. If there is need for the UNCST to propose any changes to the project’s overall budget, based on implementation experience, it may submit these along with the detailed rationale for the proposed changes for the Bank’s no objection, along with the AWP/B for the upcoming year.

The project has a Procurement Plan. The Plan is included in this PIP as Annex Five. The Procurement Plan is consistent with and supports the plans for physical progress of the project. Each year, when the AWP/B is submitted, the Procurement Plan will be updated to include the actual versus planned dates for all procurement processes undertaken. If there is need for the UNCST to propose any changes or additions to the Procurement Plan, based on evolving needs of the project, it may submit these along with the detailed rationale for the proposed changes for the Bank’s no objection, along with the AWP/B for the upcoming year.

The Financing Agreement requires the UNCST to furnish the Bank with Interim Financial Reports (IFRs) every 90 days. For the sake of consistency and simplicity, the IFRs will have the same format as the AWP/Bs. The main difference between the AWP/Bs and the IFRs are: (i) the AWP/Bs are ex-ante, and state the planned expenditures, etc., while the IFRs are ex-post, and state the planned, actual, and variances, and; (ii) the AWP/B is produced and submitted to the Bank annually, while the IFRs are produced and submitted to the Bank quarterly.

For both AWP/Bs and IFRs, the format is the same. There are four main sections [The template for the AWP/B’s and IFRs is attached as Annex Six]. These are:

a. Discussion of Project Physical Progress. This is a narrative section which explains either what the project intends to do (as AWP/B) or what it has done (as IFR). This section is organized by project components subcomponent and should contain one or two short sentences describing either the main goals (as AWP/B) or main accomplishments (as IFR) for the period. In describing activities as IFRs, this section should also provide a narrative explanation of any significant variations between planned and actual expenditures that were recorded in the other sections of the IFR.

b. Sources and Uses of Funds. Describes what resources are expected to become available to the project during the period (as AWP/B) or what has become available (as IFR).

c. Uses of Funds by Project Activity. Provides in-depth, micro-level information on either planned expenditure (as AWP/B) or actual expenditures and variances (as IFR). It requires line item reporting at various “levels of analysis”, supporting schedules and comparison of actual versus planned expenditures. The Projected Cash Withdrawals and Projected Cash Forecast shall be determined by an analysis of the Special Account Statement.

d. Output Monitoring Report—Contract Management

This includes narratives on progress with procurement and contract expenditures on goods, works and services as well as administrative issues such staff turnover affecting procurement as outline below:

i. Contract Expenditure Report—Consultant Services. Provides details of the progress of all active consulting contracts. This should note the extent to which work has been accomplished, whether work is on schedule (and if not, why), what payments have been made, and what the expected outputs and payments are for the upcoming period.

ii. Contract Expenditure Report—Goods, Works, Services. Provides details of the progress of all active contracts for goods, works and services. This should note the extent to which work has been accomplished, whether work is on schedule (and if not, why), what payments have been made, and what the expected outputs and payments are for the upcoming period.

iii. Procurement Process Monitoring (Consultants Services). Provides details on the progress of all processes underway for selection of consultants, including the dates when various aspects of the processes were completed, and when upcoming processes are expected to be completed. This uses the same format of the Procurement Plan, but may also have a narrative section appended.

v. Procurement Process Monitoring (Goods, Works, and Services). Provides details on the progress of all processes underway for procurement of goods, works, and services including the dates when various aspects of the processes were completed, and when upcoming processes are expected to be completed. This uses the same format of the Procurement Plan, but may also have a narrative section appended.

iv. Procurement Staffing and Issues: This section notes any changes to staff (staff leaving or new staff joining), any capacity issues (training received) or any major issues that have arisen during the period, which should be brought to the attention of the World Bank.

The specific responsibility for the provision of Financial Management Services for the project will fall on the Head of Finance and Accounts at the UNCST Secretariat. This includes (i) ensuring the timely provision of necessary finances for the project; (ii) management and documentation of all funds; (iii) accounting for project funds; (iv) preparing quarterly Interim Financial Reports; (iv) preparing project management information; (v) providing financial technical advice; and (vi) preparing annual budgets; as required by Government, management, IDA and other stakeholders.

The UNCST Financial Management System (FMS) is compliant with and capable of generating financial tables of the quarterly Interim Financial Reports (IFRs) directly from the UNCST computerized accounting system. The system has been integrated into the overall UNCST chart of accounts . – including quarterly and annual – financial reports formats on the operations of the Project.

The FMS will produce, as a minimum, the following financial statements and financial summaries:

· Quarterly project Interim Financial Reports according to the template in Annex Seven and containing the relevant information specified in subsection 4.2.1 above.

· Monthly World Bank Special Account Reconciliation Statements backed up with bank and

· loan statements and quarterly and six month eligible disbursement analysis with actual

· compared to budget in the required IFR format.

· Annual Financial statements for audit, for all Project Accounts.

The Project will maintain Bank Accounts as follows: (i) A Special Account for loan disbursements, reconciled monthly to bank and IDA credit statements; and (ii) a UNCST Project Account; (iii) UIRI Project account (iv) Grantees accounts which will be maintained in accordance with the terms of their grant agreements. The Project will follow the Interim Financial Reporting system of disbursement procedures as outlined in the World Bank’s Disbursement Handbook.

An external audit firm will be selected and appointed to undertake the Annual Financial and Procurement audit of the Project activities. The Terms of Reference for the auditors and the Method of Selection will be agreed between and approved by the UNCST, IDA and the Auditor General of Uganda. In addition, the World Bank and PPDA may independently carry out routine procurement audits as and when necessary in accordance with their mandated procurement functions.

As part of the FMS assessment, the UNCST Financial Management Manual was reviewed by IDA. The recommendations from the review have been adopted. The UNCST Financial Management Manual governs financial management practices for the project, unless these are found to be in conflict with World Bank requirements. The Financial Management Manual describes all financial management and accounting processes and procedures in detail. Nonetheless, some practices which are of particular relevance to the project are highlighted here:

• All transactions will have appropriate documentation. Documentation relevant to the project will be maintained by UNCST and kept until at least two years after the close of project.

• The project does not pay salaries or salary supplements or sitting allowances to UNCST and UIRI staff. All payments made to UNCST and UIRI staff for operational expenses will be consistent with the guidelines and must have clear justification under the project.

• The UNCST shall maintain the agreed proper limits for eligible expenses that are consistent with Government of Uganda guidelines and acceptable to the World Bank.

• Receipts of authorized operational expenses shall note the specific activity for which the reimbursement was made. Staff will use UNCST vehicles for all official business. However, fuel reimbursements will be made to staff in accordance with agreed par values where it is noted that no official vehicle was available.

Grant recipients and all who receive resources or other benefits from the project have the responsibility to account for the use of resources and the substantial output of the activities in accordance with project rules. Beneficiaries will account to UNCST, and, occasionally, to the World Bank as part of its supervision of the project.

When UNCST has notified the successful proponents that they have been chosen as grantees, it will begin the process of drawing up grant contracts for grant activities. These contracts will make all mutual responsibilities explicit. The UNCST Secretariat will ensure that the project’s financial and administrative activities are fully in compliance with World Bank policies for financial management, disbursement, and/or procurement; appropriate training and technical assistance may be provided by the UNCST Secretariat where required.

4.3.2 WPBFMP for the Subcomponent for Institutional Strengthening at UIRI

The UIRI shall undertake financial management and procurement responsibilities under the MSI in accordance with financial management principles and procurement guidelines and procedures set forth in this manual. Each year the UIRI shall prepare an AWP/B and submit these through the UIRI Executive Director to the UNCST in order for the UNCST to prepare a consolidated AWP/B as described in subsection 4.2.1 above. The AWP/B should be supported by a procurement plan.

If there is need to propose any changes to the UIRI component of the procurement plan or budget based on evolving needs of the project, UIRI may submit these along with the detailed rationale for the proposed changes to the UNCST, which shall in turn propose the changes to the Bank for no objection, along with the consolidated AWP/B for the upcoming year. The UIRI AWP/B shall contain the following sections:

a. Progress and achievements during the last 12 months period

b. Physical Goals for the next 12 month period

c. Projected Expenditures by month over the next 12 months

d. Procurement Plan stating the procurement methods to be used to acquire all works, goods, and services including consulting services over the next 12 months.

The UIRI shall promptly prepare quarterly IFRs following the same format used by the UNCST, and shall submit these to UNCST in a timely manner. The Internal Audit office of the UNCST may carry out from time to time financial and procurement audits of UIRI project activities, in addition to the annual Financial and Procurement Audit to be carried by an independent audit consultant.

4.3.3 WPBFMP for other MSI Grants Administrators

The other Grant Administrators shall undertake financial management and procurement responsibilities under the MSI in accordance with financial management principles and procurement guidelines and procedures set forth in this manual. Responsibilities rest with the combination of the grant recipient (the PI of the Research Team or the Faculty responsible for the new programme) and the financial management and procurement administration of their institution.

All Full Proposals will contain detailed budgets, and these will be reviewed as part of the selection of grant recipients. Once winning grant recipients are selected, the budgets contained in their Full Proposals will form the basis of the grant contract with the grantee (their institution) and of all future grant administration planning.

The budgets from the Full Proposals will be incorporated into the grant contracts as these are drawn up. Once contracts are signed, grant recipients assisted by the financial management and procurement administration of their institutions will begin producing specific Annual Work Plans (AWP) based on the general budget. Annual Work Plans will have four components:

a. Progress and achievements during the last 12 months period

b. Physical Goals for the next 12 month period

c. Projected Expenditures by month over the next 12 months

d. Procurement Plan stating the procurement methods to be used to acquire all works, goods, and services including consulting services over the next 12 months.

The UNCST Secretariat will provide guidance to grantees and grant recipients with respect to these requirements. Annual Work Plans must be approved by the UNCST before grant disbursements can begin.

The Procurement Plan of the AWP will provide details on the major and minor equipment to be acquired, and the operating costs to be incurred. Purchases, payments, financial management and accounting will be done in accordance with the procedures outlined in this manual, plus any additional or updated procedures issued by the UNCST Secretariat.

4.4 Procurement

Overall responsibility for the delivery of Procurement Services under the project will be vested with the UNCST Executive Secretary. The day-to-day responsibilities for procurement will fall on the Head of the Procurement and Disposal Unit (PDU) of the UNCST. The UNCST Executive Secretary will delegate some procurement functions to the UIRI and grantees. These shall be spelt out in the sub project agreements between UNCST as provided for in the MSI Project Agreement. Initially, for a period specified, a Procurement Consultant will assist in building procurement capacity within the UNCST and UIRI.

The scope of responsibilities of the PDU includes first the following coordinating functions:

a. Establishment of an effective procurement service within the project in light of (i) the diversity of assignments; (ii) the need for quality assurance; and (iii) the number of transactions required to coincide with the preparation of annual work plans prior to start of each financial year.

b. Managing the procurement programme of the project for goods, works and services in accordance with Government of Uganda and World Bank regulations.

c. Providing technical support and guidance to beneficiaries in all aspects of procurement of Works, Goods and Services.

d. Monitoring procurement in implementing beneficiaries to ascertain compliance with IDA and GoU procurement regulations.

e. Ensuring that any Procurement Agent that may be contracted and other consultants execute their actions in accordance with the contracts.

f. Updating as appropriate and in consultation with UIRI and the other grant administrators, as well as the World Bank, the Project Procurement Plan.

In addition, PDU is responsible for the following functions when it concerns UNCST’s own or centrally managed procurements. The procurement units at UIRI and the other grant administrators will have similar responsibilities for their own decentralized procurements.

a. Preparation of bidding documents for Works, Goods and related supplies and request for proposals for services including consultant services; and wherever necessary, assisting the relevant user departments with the preparation of the terms of reference and specifications.

b. Implementing the bid evaluation process and thereafter preparation of bid evaluations report for submission to the relevant authorities for approval.

c. Assisting Contract Managers in managing contracts after signature.

d. Wherever necessary, visiting construction sites and participating in site meetings with all parties concerned, and assessing progress by reviewing performance certificates for completed Works tasks so as to recommend appropriateness for settlement of due payments.

e. Attending to all audit queries on procurement.

f. Ensuring proper maintenance of records of each procurement process for the provision of Works, Goods and Services.

g. Implementing the procurement processing, monitoring and reporting system and taking a lead in the preparation of quarterly reports on the status of procurement activities in the project including regular update of the procurement plan.

h. Initiating the settlement of disputes with contractors / suppliers and follow up on shortages and defective supplies/services/works that are in breach of contract provisions.

i. Attending to procurement enquiries and complaints by prospective bidders and/or bidders

j. Liaising with supervising consultants to prepare progress reports on Civil Works.

4.4.1 Procurement Principles and Methods

Procurement administration will be carried out within the general framework of the Public Procurement and Disposal of Public Assets Act (PPDA), 2003 and its attendant Regulations and Guidelines. These recognize and give precedence to international agreements, including the Project and Financing Agreements for the MSI Project. In particular, all procurement of goods and works financed by the World Bank funds, will be carried out in accordance with the Bank’s Guidelines for Procurement under IBRD Loans and IDA Credits dated May 2004 (the Guidelines) and the Bank’s Guidelines for Selection and Employment of Consultants by World Bank Borrowers dated May 2004.

Procurement of Works: Works contracts to be procured under the Project would include: remodeling of existing laboratories and office space; rehabilitation and augmentation of pilot plants and a resource centre for the UIRI; and remodeling of the new UNCST home at Ntinda, Kampala. Procurement will be done using the Bank’s Standard Bidding Documents (SBD) for all International Competitive Bidding (ICB) and National Competitive Bidding (NCB) agreed with or satisfactory to the Bank. Use of the “prequalified list” of civil works contractors from Contracts Committees of Government Ministries, Departments and Agencies will be allowed under the Shopping Procedures provided quotations are solicited to ensure that at least three quotations from qualified contractors are obtained, opened at the same time for analysis, and the contract awarded to the lowest evaluated bidder.

Procurement of Goods: Goods procured under the Project would include: motor vehicles; laboratory, workshop and office equipment; supplies; text books and didactic materials; furniture and IT equipments. The Bank’s Standard Bidding Documents (SBDs) will be used for all procurements done using the ICB, Limited International Bidding (LIB) and NCB and Shopping methods. Framework contracts for common small value supplies e.g. pipette tips, test tubes, gloves, etc, will be procured through annual framework contracts so as to enable implementing agencies to place orders for urgently needed supplies at short notice, at a competitive price. Pooled procurement will be utilized at UNCST under the Grant scheme for common user items or procurements delegated by Grantees.

Procurement of Non-Consultancy Services: Non-consulting services would include provision of services for printing and publishing, “social marketing” of science and workshop facilities; and events management. Procurement of non-consulting services will be done by using the sample SBD for Non-Consultancy Services for all ICB and NCB or other documents agreed with and satisfactory to the Bank, but for Shopping the S PPDA SBD for Non-Consultancy Services will be used. UNCST will conduct pooled procurement of common user services.

ICB contracts estimated to cost above US$250,000 equivalent for Works and US$150,000 equivalent per contract for goods and all direct contracting will be subject to prior review by the Bank.

Selection of Consultants: Consultant firms or Individual Consultants will be selected to provide Technical Assistance to the proponents of research proposals and Managers of research Grants. Consultants will also be used to organize and facilitate workshops and scientific conferences, to set up technology resource and development centres, to set up research and industrial information systems, to provide specialist financial, procurement and project management services, to assist in curriculum development, to perform financial audit of the project accounts, to monitor and evaluate the outputs and impacts, to assess the progress in meeting Project Development Objectives at Mid- Term Review, and to provide engineering consultancy services for remodeling and/or construction of laboratories and for policy studies. When UNCST, UIRI or other grant administrators need to deploy interns, they will be hired as individual consultants using deployment systems satisfactory to the bank.

4.4.2 Project Procurement Planning

The basic planning, i.e. identification of needs / requirements and cost estimation will be the responsibility of the user departments at UNCST, UIRI and the grant recipients. The Heads of the PDUs at UNCST, UIRI and the grant recipients’ institutions will be responsible for preparing their institutional procurement plans which shall clearly distinguish the items to be funded by the MSI project, and submit the MSI specific components to the UNCST. The UNCST PDU shall then review and consolidate the plans into a single MSI project procurement plan, aggregating the needs where possible and feasible, determining the appropriate methods and forms of contract for procurement, developing procurement timelines for each procurement, ensuring its consistency with the basic procurement assumptions for the project and presentation of the consolidated plan to the Bank in the required standard format.

4.4.3 Review and Update of Procurement Plan

A detailed procurement plan has been made to which the Bank has given a no objection (refer to Annex Five).

4.4.4 Procurement Requisitioning and Processing

The User Departments will be responsible for initiating procurements by preparing Terms of Reference / Specifications / Description of Services. This will be followed by them filling or causing the filling of the standard requisitioning forms in compliance with the requirements of the PPDA. The requisition shall be endorsed by the Accounting Officer of the UNCST, UIRI and the other grant administrators to confirm that the procurement has been budgeted for and that the funds are available. The completed form will then be transmitted to the PDU for processing.

The head of the respective PDUs will be responsible for the preparation of the appropriate solicitation documents and presenting them together with the requisitions to the Contracts Committee of the relevant institution for approval. Following the approval of the solicitation documents, the head of the PDU will manage the invitation of bids / proposals, their receipt and opening, evaluation and presentation of evaluation reports to the Contracts Committee. All procurements actions with the exception of micro-procurements (as defined in the PPDA) guidelines will be subject to review by the Contracts Committee.

4.4.5 Review by and Communication with the Bank

When required to as indicated in the approved Procurement Plan, the heads of the PDUs, will be responsible for preparing the necessary documentation for submission to the Bank under the signature of the Accounting Officer of the respective institution. Each such communication will have a unique reference number that associates it with the implementing institution (UNCST, UIRI and the other grant administrators) and the specific procurement being undertaken.

4.4.6 Contract Award

The awarding of contracts is vested in the Contracts Committee. The Contracts Committee will exercise this authority on the recommendation of the ad hoc Evaluation Committees (composed according to relevant PPDA guidelines) subject to it being satisfied that the procurement has been carried out in accordance with the requirements of the PPDA and the World Bank guidelines as applicable.

4.4.7 Contract Management

Contract management will be the responsibility of the User departments. They will manage the contracts to ensure that delivery of the contracted goods / works / services are delivered in accordance with the terms and conditions of the contract. They will be assisted in carrying out their contract management responsibilities by the PDU, which will monitor the performance of the contract.

4.5 General Summary of Financial Management and Accounting Procedures for MSI Grants
Each PI will be responsible to work with the appropriate grant administrator to account fully for the use of all grant funds, including appropriate record-keeping and maintenance of documents. PIs and their associated grant administrators will be required to furnish this information at regular intervals to the UNCST, which in turn will furnish consolidated information to the Government of Uganda and the World Bank.

The AWP’s will contain Projected Expenditures for the year disaggregated by line items. The line items will allow for the recording of specific transactions.

For the management of purchases of minor equipment and the payment of recurrent costs, the grant administrator will open an account in the name of the project (and the host institution, when it is managing the funds). In general, only the PI and the grant administrator will have access to these funds. The account will not be used for any other purposes than to retain and disburse money for grant activities, and no other funds will be deposited therein at any time.

An initial deposit—based on the AWP—will be made into the grant account to cover the expenses for the first six months of the year. The grant administrator will furnish quarterly reports to UNCST, in the format that the UNCST specifies. Upon receipt of satisfactory accounting for the expenditure for the first quarter of the year, the remaining funds will be deposited for the second 6-month period. At the conclusion of the second 6-month period, accounting for the full year will be submitted, along with the proposed budget for the following year, and the process will repeat itself.

All recurrent costs for salaries will be paid monthly by check. Those receiving checks will sign a receipt or voucher, which state not only the name of the individual but the purpose of the payment.

All payments for purchases of minor equipment and supplies will also be made by check, subsequent to the issuance of a purchase order at the conclusion of the procurement process. The required documentation for verification that procurement procedures have been followed will be retained and filed with the check number to verify payment. Project account statements and physical progress reports will be furnished to UNCST quarterly. Satisfactory reports must be received by the UNCST Secretariat before the next tranche of grant funding can be released.

The financial accounts for the grant will contain, inter alia, the following information.

i. A brief (one-page max.) Summary of Physical Progress. This will give broad detail on the physical implementation of the project [e.g., laboratory renovation completed, two mass spectrometers acquired, visiting professor relocated to Uganda and began work, etc.].

ii. A Summarized Statement of Sources and Uses of Funds. This statement will detail resources received during the period, summarize payments made in major categories, and reconcile opening and closing balances for all accounts.

iii. Statements of Use of Funds by Activity. This statement will detail all payments and transactions made during the period.

iv. Procurement Progress Report. This statement will provide detail on the progress of all on-going and planned procurement procedures.

In addition, the annual report shall provide this information in summarized form, plus a Management Assertion that Bank funds have been expended in accordance with the intended purposes as specified in the relevant World Bank legal agreement.

Indicative formats of these statements will be developed in accordance with IDA requirements by Credit Effectiveness.

4.6 Consulting Fees for PI’s and Researchers in Grant Agreements

Stakeholder consultations prior to the design of the MSI highlighted the fact that many qualified individuals at universities and other institutes do not pursue research because they must pursue paid consulting assignments to survive financially. Uganda has an interest in increasing the productivity of its researchers, and in seeing they do not become so distracted with consulting that they are unable to fulfill their core responsibilities as educators and researchers. Therefore, where specific conditions of employment do not prohibit consulting, the grant budgets may include payments to researchers to make it possible for them to concentrate their efforts on the research and teaching. The rationale is to concentrate the time of the researchers in their areas of proven expertise, rather than to have them drawn in various directions by the need to pursue unrelated consulting work.

In general, the project recognizes that it is critical for Principal Investigators to be, in many ways, full-time managers of their research programs. Often this is not possible because these same individuals have to do large amounts of consulting work, to the detriment of the time needed to devote to research.

The MSI will therefore include an option for the PIs of approved grants to receive a payment in exchange for devoting their time fully to the goals of the research. All PI’s will be encouraged to devote themselves “full-time” (not including their teaching responsibilities) to their research programs. Those that agree to forgo other remunerative consulting will receive a payment that will bring their total gross income (normal institutional salary, and existing supplements, plus the MSI payment) into the range of US$ 5,000 equivalent per month. To be eligible for this supplement, PIs must agree to do no other consulting or remunerative work during the project implementation period.

Senior Research Scientists will be offered similar arrangements to bring their total monthly income (normal institutional salary, existing supplements, plus MSI supplement) into the range of US$ 3,000 equivalent, under the same conditions as PI’s. Junior Research Scientists will qualify for supplements bringing their income into the US$ 2,000 per month equivalent. The exact definition of each category of researcher is contained in the Operational Manual.

Senior Research Scientists are defined as Ph.D. holders with full-time institutional appointments and at least seven years of full professional experience in their fields. Junior Research Scientists are defined as Ph.D. holders with full-time institutional appointments in their field of expertise.

Postgraduate students will receive scholarship support at normal institutional rates, plus a roughly 35% premium to recognize the additional expectations for participating in the highly competitive projects of the MSI.

This option is only open to individuals whose terms of employment allow them to carry out remunerative consulting work in addition to their principal responsibilities. The policy applies only to Grant holders under Windows A and B. Civil servants are not eligible to receive remuneration under the MSI.

All consulting fees and other salaries will be determined according to normal World Bank procedures.

Tab 3 content