project implementation guidelines (pig) · 2017. 9. 28. · 3.1.1 risk management ... annex 13:...

Project Implementation

Guidelines (PIG)

V2

Second Phase of the Finnish – Southern African Partnership Programme (BioFISA II) to Strengthen

NEPAD/SANBio Network

NEPAD Ministry for Foreign Affairs of Finland,

Department of Science and Technology of the Republic of South Africa

September 2017

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Table of Contents

Table of Contents ................................. ................................................................................................. ii

Key contact information for BioFISA II Programme Un it and SANBio Network............................ i ii

List of Annexes ................................... ................................................................................................. iv

Glossary of Terms ................................. ................................................................................................ v

List of Abbreviations ............................. .............................................................................................. ix

BioFISA II Project Management in a Nutshell ....... ............................................................................. x

Project Implementation Guidelines overview ........ ........................................................................... xi Review and distribution of Project Implementation G uidelines ......................................... ........ xi

1. Introduction ...................................... ............................................................................................. 1

2. Project Governance................................. ..................................................................................... 1 2.1 Management structure of project consortia ......... ............................................................ 1 2.2 Lead Partner’s Responsibilities ................... ...................................................................... 1 2.3 Project management committee ...................... .................................................................. 2

3. Project management ................................ .................................................................................... 3 3.1 Rationale for effective project management ........ ............................................................. 3

3.1.1 Risk Management ............................................................................................................. 3 3.1.2 Quality Management ......................................................................................................... 3 3.1.3 Configuration Management ............................................................................................... 3 3.1.4 Communication Management ........................................................................................... 4

3.2 Key team members in project execution and managemen t ............................................ 4

4. Management of Intellectual Property ............... .......................................................................... 5 4.1 Recommendations for projects to deal with Intellect ual Property in Seed and Flagship Projects ................................. ............................................................................................. 5

5. Financial Management .............................. ................................................................................... 6 5.1 Costs supported by the SANBio/BioFISA II Grant .... ....................................................... 6 5.2 Project disbursement procedures ................... .................................................................. 7 5.3 Project funding disbursed to Co-Partners .......... .............................................................. 8 5.4 Record keeping, monitoring and control for project finances ........................................ 8 5.5 Consequences for under-reporting, misuse and abuse of funds ................................. 10

6. Project Reporting ................................. ...................................................................................... 11 6.1 Frequency of reporting and reporting timelines .... ........................................................ 11 6.2 Monthly Highlight Report .......................... ........................................................................ 11 6.3 Milestone report (End Stage Report) ............... ................................................................ 11

6.3.1 Audit Report ..................................................................................................................... 12 6.4 Completion Reporting (End of project report) ...... .......................................................... 13

7. Procurement ....................................... ........................................................................................ 13 7.1 Procurement guidelines ............................ ........................................................................ 13 7.2 Procurement framework ............................. ...................................................................... 14 7.3 Contract negotiations and management .............. ........................................................... 14

8. Monitoring, Evaluation and Learning ............... ........................................................................ 15 8.1 Overview of Programme monitoring and measuring for results .................................. 15 8.2 Project and Programme Evaluation .................. ............................................................... 17 8.3 Incorporating MEL into Programme and Project learni ng and best practice .............. 17

9. Ethical guidelines to be followed for SANBio/BioFIS A II Projects ..................................... ... 17

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Key contact information for BioFISA II Programme Un it and SANBio Network

Physical address: BioFISA II Programme Unit CSIR Biosciences, Building 20, CSIR Meiring Naude Road Brummeria, Pretoria, South Africa 0184

Postal address: BioFISA II Programme Unit C/O CSIR Biosciences P O Box 395 PRETORIA 0001

Contact person Designation Email Office Phone Dr Ereck Chakauya SANBio Network

Manager [email protected]

0027 12 841 3837

Ms Zvikomborero Tangawamira

BioFISA II Programme Manager

[email protected] 0027 12 842 7334

Ms Marja-Reetta Paaso BioFISA Chief Technical Advisor


Mr Markku-Eemeli Pekonen BioFISA II Programme Officer


Ms Thiru Naidoo-Swettenham

BioFISA II Office Administrator/Manager


Mrs Nontobeko Zulu SANBio Network Secretary

[email protected]

0027 12 841 3808

Ms Nokwanda Ncube BioFISA II Finance Intern


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List of Annexes

Annex 1: Project Contract Template/ Grant agreement Annex 2: Memorandum of Agreement to form a Consortium Annex 3: Non-Disclosure Agreement Annex 4: Financial Administration Templates for Project Teams Annex 5: Invoice Template for Projects Annex 6: Disbursement request template Annex 7: BioFISA II Programme Results Framework Annex 8: Project Asset Register Annex 9: List of Reports Annex 10: Project Audit report guidelines Annex 11: Communications guidelines for projects Annex 12: MEL Project Reference Sheet Annex 13: Project Management and IP Annex 14: Technology Readiness Levels Annex 15: Risk register

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Glossary of Terms

Assignment of IP : Involves the selling of IP or ceding of ownership of IP to a party for a significant once off payment. There are no further obligations or further compensation from the recipient to the original IP creator/ or IP holder. Background IP: refers to IP which may be relevant to a particular project, held by a party when the project begins or developed outside of the scope of the project.

BioFISA Programme : The Finnish-Southern African Partnership Programme to strengthen the Southern African Network for Biosciences. The BioFISA Programme focuses on building a function and sustainable biosciences network for collaborative research and on capacity building through training including entrepreneurial skills.

BioFISA II Programme Unit (BPU) : The team who are tasked with management, implementation, coordination, monitoring and reporting of the BioFISA II Programme. The team consists of the Chief Technical Advisor, Programme Manager, Programme Officer, Office Administrator/Manager and the Programme Administration Intern. Project partners liaise with and report directly to the BPU. The BPU is responsible for overall monitoring of the projects funded by SANBio/BioFISA II, and in linking the project level monitoring with the programme level monitoring. The BPU works with the SANBio Secretariat and reports to the BioFISA II Steering committee.

BioFISA II Steering Committee : The Steering Committee for BioFISA II has representatives from New Partnership for Africa’s Development, Ministry for Foreign Affairs, Finland, and Department of Science and Technology, South Africa. The SANBio Network Manager is also a member of the SC. The BPU attends the SC but has no voting rights or decision making authority.

Co-Partner/s (CP): are part of the project consortium and report to the Lead Partner, but have joint accountability and responsibility for delivering project results

Commercialisation: Commercialisation is the process by which a new product or service is introduced into the general market. Commercialisation is broken into phases, from the initial introduction of the product through its mass production and adoption. It takes into account the production, distribution, marketing, sales and customer support required to achieve commercial success. As a strategy, commercialisation requires that a business develop a marketing plan, determine how the product will be supplied to the market and anticipate barriers to success. Council for Scientific and Industrial Research (CSIR): CSIR provides operational and management support to SANBio through the Biosciences Unit. The CSIR is the contracting partner for all BioFISA II funded projects. The CSIR hosts the SANBio Secretariat and is the regional SANBio Hub. CSIR provides in kind support to host the SANBio Secretariat. CSIR is responsible for disbursement of project funds.

Donors: refer the both financiers of BioFISA II: the Ministry for Foreign Affairs of Finland (MFA) and the Department of Science and Technology of the Republic of South Africa (DST) and the Member States that contribute to the Programme through projects implemented in their countries.

Foreground IP: refers to intellectual property developed during the course of a project.

Innovation: Innovation is the creation of new value and/or capturing value in a new way. The actions required to create new ideas, products and processes which when implemented lead to positive effective change. While invention requires creation of new ideas, processes and products, innovation involves one step further and requires implementation of the inventive act.

Intellectual Property Rights (IPRs): Refer to the protection afforded by the law to various forms of IP. IPRs are designed to stimulate innovative and creative activity, to encourage the dissemination of the outcomes of such activity and to promote economic and social development. Innovators and creators are typically rewarded with the exclusionary time –limited rights to control how their IP is used, and by whom, allowing them to recoup the investment they made in the development of the IP concerned. When these rights expire the IP enters into the public domain, allowing anyone to use it in the development of new knowledge and IP.

Invention: An invention can be defined as the conception or development of a product that is new or useful. A research outcome can be constituted as an invention if it meets some or all of the following criteria: it can be

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described as new, novel or unique; it is unusual or unexpected; it solves a significant problem; it is useful and meets a need; and it has commercial application and commercial value.

Lead Partner (LP) is the main responsible party of the consortium (of companies/organizations/institutions) which has submitted a successful project proposal and been selected for funding by SANBio/BioFISA II, and is the main contracting partner who has signed the contract agreement for the BioFISA II funded project with the CSIR. LP reports to the BioFISA II Programme Unit on behalf of the consortium and has overall accountability and responsibility for project implementation, monitoring and control and delivering project results.

License: A license is an agreement in terms of which an IP holder allows a third party to use that right, usually in return for some form of compensation. Licensed technologies must be properly defined in terms of relevant patents/patent applications/know-how and tangible property.

Material transfer agreements: This agreement governs the transfer of biological material between parties and states who may use the material, the purpose and uses of the material and who owns the IP (including modifications to basic biological material).

Memorandum of Agreement: This agreement records the underlying understanding between contracting parties in a binding document. It is a legally enforceable contract conferring rights and obligations to the contracting parties.

Memorandum of Agreement to form a Consortium: Collaboration between two or more parties on an agreed project or programme. The agreement includes the roles and responsibilities of each partner, funding, governance and decision making, IP ownership, management and benefit sharing.

Non-disclosure agreements (NDAs): Also referred to as secrecy or confidentiality agreements are used to facilitate discussions with potential collaborators, investors and licensees and may involve unilateral or mutual exchange of information. Each party undertakes to maintain the confidentiality of information received and to use it for a specified purpose.

Patent: Refers to IP such as inventions, including products, processes, compounds and devices, and are protected for 20 years from the date of filing.

Plant breeder’s rights: Refer to IP that is afforded to new plant varieties which have been created through breeding and genetic modification. Trees and vines are protected from 25 years from date of registration and all other eligible plants are protected for 20 years from date of registration.

Project consortium: The project consortium comprises the main implementing partners of the project or grant recipients consisting of the organisations representing the Lead Partner and Co-Partners.

Project Manager: Named by the Lead Partner, is responsible for project administration of the funds received and collation of reports etc. for submission to the BPU.

Project (implementing) team : This refers to the officers appointed by the organisations in the project consortium to carry out the day to day activities for the project. Each project team has at least the following core team members: Senior Scientist, Project Administrator/Coordinator and Business Expert. The project implementing team may consist of additional members from the Co-Partner and Lead Partner depending the needs and scale of the project and project timeline.

Project management committee: The main purpose of the project management committee is to ensure that there is accountability for project activities and project expenditure, ensure that adequate monitoring of the project and ensure that the team meets its goals, and undertakes steps to address any shortcomings in project progress and ensures that timeous and accurate progress reporting is made to BPU. The project management committee may also be tasked with developing new partnerships and engagements to take the project further – for example sourcing new funding partners or commercialisation partners.

Proof of concept: is also referred to as proof of principle and is a realization of a certain method or idea to demonstrate its feasibility, or a demonstration in principle, whose purpose is to verify that some concept or theory has the potential of being used. A proof of concept is usually small and may or may not be complete.

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Prototype: An early sample, model, or release of a product built to test a concept or process or to act as a thing to be replicated or learned from. It is a term used in a variety of contexts, including semantics, design, electronics, and software programming. Registered rights: Refer to industrial designs and features of appearance. Aesthetic designs have protection for 15 years from date of filing or release date and functional designs have protection of 10 years from date of filing or release date. Southern Africa Network for Biosciences (SANBio) : SANBio provides a shared research, development and innovation platform for working collaboratively to address some of Southern Africa’s key biosciences issues in health, nutrition and health-related intervention areas such as agriculture and environment. SANBio was established in 2005 under the New Partnership for Africa’s Development (NEPAD), as one of five networks established under the African Biosciences Initiative (ABI) to cover the SADC region. The Network is operated on a regional hub and nodes model, with the Hub at CSIR Biosciences and the six nodes in Malawi (1), Mauritius (1), Namibia (1), South Africa (1) and Zambia (2). Network operations are facilitated by the SANBio Hub which hosts the Secretariat on behalf of all the stakeholders. SANBio Secretariat : The SANBio Secretariat is hosted by the SANBio Hub at CSIR Biosciences. SANBio Secretariat is headed by a Network Manager and is responsible for the effective and efficient management of the Network, the delivery of its programmes and raising sufficient resources to achieve SANBio’s Vision and, in conjunction with the SANBio Steering Committee, provides a mechanism for independent review of Network proposals and progress. SANBio Nodes : Institutions selected by SANBio that focus on six thematic areas prioritised by SANBio. The Nodes were selected through an open competitive process.

SANBio Member States : The SANBio Member States refer to the 12 SADC countries that are eligible to participate in the SANBio Programme. The organisations in these countries including inter alia, research institutes, academic organisations, private companies, small medium and micro enterprises and non- governmental organisations are eligible to access funding from SANBio and BioFISA II Programme for their capacity building, networking and dissemination activities. The current SANBio Member States are Angola, Botswana, Madagascar, Malawi, Mauritius, Mozambique, Namibia, Lesotho, South Africa, Seychelles, Swaziland, Zambia, and Zimbabwe. Sub-contracts: An agreement that is in use where a principal contractor needs the services of another party in the delivery of a principal agreement or project deliverable. The agreement includes the scope of service and work to be performed, the management of IP and the payment for the service.

Team Leader : is responsible for overall management of the project including management of deliverables and milestones from Co-Partners and can be represented by anyone in the team from the consortium, preferably from the Lead Partner.

Technology demonstrator: is an example or an otherwise incomplete version of a conceivable product or future system, put together as proof of concept with the primary purpose of showcasing the possible applications, feasibility, performance and method of an idea for a new technology. They can be used as demonstrations to the investors, partners, and potential customers in order to convince them of the viability of the chosen approach, or to test them on users to assess the viability and versatility of a product or service. Technology transfer: is the process of transferring new knowledge and technology developed at a research institution or university to third parties who can realise value from them by making them available to the market and society, commercially and for social good. Technology readiness levels: Technology readiness levels are a method of estimating technology maturity ranging from TR 1 (basic principles observed) to TR 9 (actual system proven in operational environment).

Tender: Tender is defined as a written offer in prescribed or stipulated form in response to an invitation for provision of services, works or goods through price quotations, advertised competitive tendering process or proposal.

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Trademarks: Refer to words, phrases, symbol, logos and colours that distinguish goods and services used to distinguish a product or a commercial entity. Trade marks have validity for 10 years from date of filing, and are renewable indefinitely at 10 year intervals. Trade secrets: refers to confidential information and know-how which is kept secret. This is knowledge residing within an institution or a team and the type of protection afforded is indefinite.

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List of Abbreviations

ABI African Biosciences Initiative ARIPO African Regional Intellectual Property Organization AU African Union AWP Annual Work Plan BE Business Expert for the project BioFISA Finnish - Southern African Partnership Programme to strengthen the Southern

African Network for Biosciences BPU BioFISA II Programme Unit CfP Call for Proposal CSIR Council for Scientific & Industrial Research CTA BioFISA II Chief Technical Advisor DST The Department of Science and Technology of the Republic of South Africa EoI Expression of Interest ID Identity document IP Intellectual Property IPR Intellectual Property Rights ISO International Organisation for Standardisation LP Lead Partner MDS Milestone and Disbursement Schedule MEL Monitoring, Evaluation & Learning MFA Ministry for Foreign Affairs of Finland NDA Non-Disclosure Agreement NEPAD The New Partnership for Africa’s Development PA Project Administrator/Coordinator PIG Project Implementation Guidelines PM BioFISA II Programme Manager QA Quality Assurance R&D Research and Development RBM Results-based Management RFP Request for Proposal RFQ Request for Quote SADC Southern African Development Community SANBio Southern Africa Network for Biosciences SC Steering Committee SS Senior Scientist for the project STI Science, Technology and Innovation TA Technical Assistance ToR Terms of Reference VAT Value-added tax ZAR South African Rand

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BioFISA II Project Management in a Nutshell

The following steps are recommended for effective project management of the projects awarded Seed and Flagship Grants Activity Frequency / Timeline Team responsibility Document output/

Project control Work plan preparation and work plan review

Set-up a project management committee and select a Team Leader

At the start of the project All team members Work plan

Work plan preparation and finalisation

At proposal submission stage, during first month of project, incorporate any recommendations from evaluators and make any recommended changes from the BPU

Project team Work plan and milestone schedule

Project budget Submitted at proposal submission stage, may be revised at time of contract to incorporate any recommendations from evaluators and BPU

Project team Project budget

Defining project milestones and deliverables

At proposal stage, and may be revised before contracting

Project team Work plan and milestone schedule

Work plan progress review

Every six months as defined by the BPU, submit significant changes for BPU to approve

Team Leader and project management committee

Updated work plan, approved amendments from BPU if significant changes necessary

Financial administration and resource management Financial administration

Monthly recording of financial transactions on project using templates provided Detailed expenditure reports from organisations financial system

Project Administrator/Coordinator and Team Leader in Lead Partner, and responsible team member in Co-Partner

Monthly financial records for projects as input into end stage financial report

Human resource administration of key personnel on project team and other personnel

Monthly recording of timesheets on project using templates provided

All project team members in Lead and Co-Partners, Project Administrator/Coordinator and Team Leader

Monthly verified timesheets as input into financial report

Managing resources paid for additional specialist and technical services

Monthly recording of expenses related to specialist services

Project Administrator/Coordinator, Team Leader

Monthly verified timesheets, verified invoices from service providers

Audited financials When 75% of the project milestones have been achieved, corresponding to 75% of the utilisation of resources


Audited financial report

Project monitoring, reporting, milestone progress an d dis bursement Ongoing monitoring of projects progress report preparation based on progress towards milestones and deliverables

Progress reports to be prepared in order to communicate project progress and correlate with requests for disbursement


Progress report with narrative, financial and results

Developing a sustainability plan or exit strategy for project team

In the last six months of project duration, explore options for new partners, and refine the exit strategy for the consortium

Project team, Business expert and technical advisor or investment / technology transfer specialist

Sustainability plan or Exit strategy

Completion report At the end of the project (after 18 months for Seed and 24 months for Flagship projects)


Completion report

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Project Implementation Guidelines overview

The Project Implementation Guidelines is arranged as follows:

Section 1: Introduction to the Project Implementation Guidelines.

Section 2: Project governance. This section outlines the project governance structures, the role of the Lead and Co-Partners, recommendations for project steering committee and the level of accountability and responsibility for project implementation by the consortium partners.

Section 3: Project management: This section details project management and provides information on how the projects should run at a strategic level, and how the project should be implemented for the duration of the grant.

Section 4: Management of Intellectual Property. This section provides guidance on the commercialisation and technology transfer process and insight into how intellectual property created in the project should be shared by the consortium.

Section 5: Financial management. This section details the financial procedures to be implemented in the programme, detailing eligible and ineligible expenses and the financial disbursement procedures to be followed by the Lead Partner and the Co-Partners.

Section 6: Project Reporting: The requirements for project reporting are outlined in this section and include narrative and financial reports, and annual reports. The completion report requirements including the audit report are also included in this section.

Section 7: Procurement. This section provides guidance on the recommended procurement policies to be followed for procurement of goods and services and fixed assets for the programme.

Section 8: Monitoring, Evaluation & Learning (MEL). The MEL section provides the context for the results framework for the BioFISA II programme and guidance to the projects in terms of selection of indicators for projects.

Section 9: Ethical guidelines to be followed for SANBio/BioFISA II Projects. This section outlines some of the requirements projects should adhere to during the execution of projects especially in relation to ethical practice.

Review and distribution of Project Implementation G uidelines

These guidelines are to be used in alignment with the project contracts and final project proposals which form part of the main contract between CSIR (as the contracting authority on behalf of SANBio/BioFISA II) and the Lead Partner. In instances, where contents of the PIG are in conflict with the project contract, the contract shall be considered as the priority document. In addition, in case of any uncertainty regarding the contents of this PIG, clarifications and further guidance will be given by the SANBio/BioFISA II Programme Unit (BPU) upon request either via e-mail ([email protected]) or through the SANBio website (www.nepadsanbio.org). The PIG is updated and additional guidance added when considered necessary and therefore project teams need to make sure that they are always following the latest version of the document. All project teams will be informed of possible revisions of the PIG through email by the BPU. In addition, the latest version of the PIG will always be available on the SANBio website (https://nepadsanbio.org/press-room-media/document-library).

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1. Introduction

The Finnish-Southern Africa Partnership Programme (BioFISA Programme) is aimed at strengthening regional collaboration in biosciences research and innovation, with a purpose of supporting the implementation of the Southern African Network for Biosciences (SANBio) Business Plan 2013-2018. Since the inception of the BioFISA Programme in 2009, the Programme has been implemented as a support mechanism to the SANBio Network. Much of the funding support has been from the Ministry for Foreign Affairs of Finland (MFA) and the government of South Africa through the Department of Science and Technology (DST). Member States are also expected to contribute to the Programme by co-funding/supporting projects implemented in their countries. The BioFISA II Programme is the second phase of a Finnish-Southern African Partnership meant to strengthen the NEPAD-SANBio Network. BioFISA II commenced in April 2015 and will be implemented until February 2019. Funding under BioFISA II is aimed to support and strengthen biosciences research and development as well as human capacity development in the Southern African Development Community (SADC) region through the existing NEPAD-SANBio network and this documents will assist project teams in understanding what and how they should report on progress under the Seed and Flagship grant mechanism (Seed Grants of up to R1 million and Flagship Grants of up to R4.5 million). The Project Implementation Guidelines (PIG) is to be used by Project Implementing teams/ grant recipients of the Seed and Flagship Projects funded by The Finnish – Southern African Partnership Programme to Strengthen NEPAD/SANBio Network (BioFISA II) and its partners. The PIG is to be used as a reference for implementation by project teams and institutions hosting the BioFISA II funded Seed and Flagship projects. In addition to the appointed members of the multi-partner projects directly involved in project execution, the PIG is also to be utilised by administration staff responsible for finance, administration and communication in their respective organisations and support those individuals carrying out activities for the projects. The PIG was developed by the BioFISA II Programme Unit (BPU) to assist teams in implementing projects with specific reference to project management, financial management, monitoring and evaluation, reporting requirements, audit requirements, guidance on managing of intellectual property and the ethics requirements for projects.

2. Project Governance

2.1 Management structure of project consortia

Each project consortium comprises a Lead Partner (LP) and one or more Co-Partner(s).

2.2 Lead Partner’s Responsibilities

Lead Partner (LP) is responsible for implementing the project as agreed in the contract made with the CSIR. In more detail this responsibility towards SANBio/BioFISA II and co-funding partners covers the following:

� Acting as the main contact point from the consortium and ensuring that all relevant information is promptly provided to SANBio /BioFISA II;

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� Reporting the project progress to SANBio /BioFISA II according to the Milestone and Disbursement Schedule (MDS) attached to the project contract, or to an addendum if the contract has been exceeded;

� Submission of an updated MDS to SANBio/BioFISA II if there are changes in implementation that also affect the reporting. The work plan and MDS should always be prepared considering the realistic timing when the milestones are met;

� Submission of financial disbursement requests on behalf of the consortium; � Receiving funds from the CSIR and disbursing them according to the approved project plan to

the Co-Partners; � Collection of progress and financial reports from Co-Partners and compiling them into one

financial report to be submitted to the BPU; � Provides adequate project oversight and management to ensure that Co-Partners are familiar

with the SANBio/BioFISA II PIG and procedures to be followed for project implementation; � Is responsible for project monitoring and ensuring that the project is delivered on time, on

budget and as per agreed deliverables in the proposal; � Keeping proper archive records of all project matters including procurement, asset registering

and financial documentation including original receipts.

2.3 Project management committee

It is recommended the project establishes a management committee which is responsible for overall project governance and oversight in the consortium as per the PRINCE 2 guidelines. The main purpose of the project management committee is to ensure that there is accountability for project activities and project expenditure, ensure that adequate monitoring of the project is done and ensure that the team meets its milestones, and undertakes steps to address any shortcomings in project progress. The project management committee should consist of at least the Executive (who owns the project and has the overall responsibility for its implementation) and the Senior Supplier who represents the interests of those designing, developing, facilitating, procuring and implementing the project’s products. They are responsible for the quality of the products delivered by the supplier as well as the technical integrity of the project. The senior user who is responsible for specifying the needs of those who will use the products and should monitor that those needs are met in the products being developed. The general responsibilities of the management committee during implementation include:

• Approve the stage tolerance level changes; • Ensure that timeous and accurate progress reporting is made to BPU; • Changes affecting the project delivery schedules and outputs must be agreed by the project

committee before submission for approval to the BPU; • Communicate with stakeholders as defined in the project communication strategy; • Provide overall guidance and direction to the project, ensuring it remains viable and within

any specified constraints; • Ensure that risks are being tracked and managed as effectively as possible; • Approve and endorse all procurement; • Approve completed products.

At the end of the project implementation, the committee should:

• Provide assurance that all products have been delivered and acceptance criteria have been met;

• Authorise project closure and approve project closure reports and deliverables;

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• Authorise follow-on action recommendations and Lessons Reports to be distributed to stakeholders.

Decisions taken by the project management committee are binding and the committee should ensure that equal participation in project activities is achieved by all the consortium members, including shared responsibility and accountability for delivery of the project outputs amongst the consortium members. It is recommended that the project management committee be formed within the first month of the project approval. Project management committee meetings should be minuted and held at least every three months. Records of these minutes must be submitted to the BPU as part of the progress reporting. It is not necessary to have face to face meetings every quarter, but it is advised that the project partners should meet at least twice face to face during the project implementation period. The hosting of meetings for them to share project progress has to be in line with travel and accommodation guidelines proposed by the BPU – refer to section 5.4.

3. Project management

3.1 Rationale for effective project management

All projects funded by the BioFISA II Programme and its partners should be managed following the PRINCE 2 Methodology with a clear risk, quality, configuration and communication management strategy. The Programme is result oriented and therefore the achievement of a Milestone is linked to the results attained in the project. At each stage/milestone, funds disbursed should be managed as defined in the guidelines provided at application stage and in section 5, with respect to eligible and illegible costs. All deliverables must be met for each stage/milestone before disbursements are made for implementing the next project stage.

3.1.1 Risk Management Risks should be measured as High, Medium or Low based on the impact and likelihood of occurrence. The projects need to ensure that the risks identified during the proposal writing stage are well managed and mitigation measures in place are actively implemented and a risk register (attached) should be kept up to date at all times.

3.1.2 Quality Management The project teams should ensure that all documents and deliverables presented to the BPU are of high quality and as defined in the quality management strategy. Reporting templates for each end stage are provided as an annex to this report and these should always be signed off by the project management committee to ensure the quality of deliverables presented to the SC. This in essence is defined by the quality standards used in developing products, i.e. any ISO standards that should be followed, regulatory standards and procedures etc. Records should be kept together with clear responsibilities of the person(s) who ensure the quality that the quality standards are met.

3.1.3 Configuration Management All documents on the project including the reports submitted to the BPU must be stored on the shared Dropbox folder. The documents must be filed with the following filing sequence: date (DDMMYYYY), file name, and version number. The first page of each document produced must have a page that shows the changes made, who made then, when they were made (date) and the latest version number. With each version change, the file documents names must also be updated, mainly on the date and version number to reflect the periods when the document was modified.

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3.1.4 Communication Management Projects are required to communicate their progress to the BPU in monthly highlight reports and highlight meetings which are held on a monthly basis. These reports should contain information on what was achieved in the last month, what are the deviations and what is planned in the following month. Lessons must be logged in these highlight reports and an indication of the budget status given. Once the projects have completed a milestone in line with their approved plan, an end stage report must be submitted, see section 8 on the list of documents that must be submitted as part of the end stage report. Projects are also required to produce and end of project report once all the deliverables are completed and approved. On various occasions, project teams should report to other stakeholders and market their projects as widely as possible. When doing so, the projects must indicate the sponsorship for project implementation is from SANBio BioFISA II Programme and only the logos provided to the projects for this purpose must be used. These stakeholder engagements must be reported to the BioFISA II Programme in the highlight and end stage reports. Additional details on the tools to use for communicating are provided as Annex 11.

3.2 Key team members in project execution and manag ement

Each project team must have the following team members: � The Lead Innovator (Project Executive) � A Project Manager � A Business Expert

For each project, the three team members fulfilling these roles must be clearly defined and the names and CVs provided to the BPU at project inception. Each team member must have a clearly defined role and should any team member be replaced, the Programme requires that the role is fulfilled by someone with the same qualification and experience as the person being replaced. The project manager is responsible for reporting and liaison with the BPU and the project management committee. The business expert is responsible for developing and executing the business model defined for the commercialisation of the proposed services or product. The role of the lead innovator will vary depending on the type of invention/whether or not the team executing the project invented the products or not etc. However, for each project, this role must be made very clear as the lead innovator is ultimately responsible for the successful execution of the project. Projects can have larger teams, however within the team defined, these three roles should be included and defined. Signed timesheets for personnel on the project for the specific period must also accompany the financial reports. Annex 4 has a format for the timesheet to be completed by project team members. Timesheets have to be completed on a monthly basis by all team members who are working on the project. The Lead innovator/executive has to approve all timesheets or designate a representative from the consortium to approve timesheets on his/her behalf. All personnel working on the SANBio/BioFISA II projects will be expected to submit signed timesheets together with the other financial and narrative reports for the project for the end of each milestone (see Annex 4 for timesheet template).

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4. Management of Intellectual Property

4.1 Recommendations for projects to deal with Intel lectual Property in Seed and Flagship Projects

For the purpose of the SANBio/BioFISA II Seed and Flagship projects, the Foreground Intellectual Property (IP created during the project) belongs to the consortium who has been awarded funding for implementing the projects (as represented by the organisations and not the individual team members). Neither the donors of the BioFISA II programme nor the CSIR has vested rights in the IP of the grant funded projects. For the scope of the SANBio/BioFISA II funded Seed and Flagship Projects, the Background IP (IP created independently by the project consortium prior to project inception) vests in each partner in the consortium. Foreground IP created during the project has to be shared though an IPR agreement developed by the consortium. All partners are encouraged to define and provide their IPR agreements with their first report, if this has not been finalized at Full Project Proposal stage. It is critical that IP agreements are signed by all parties concerned and the agreements should relate to:

• IP brought by the partner at the inception of the project (Background IP - prior art, technology, experience/ patents etc.),

• IP co-discovered and contributed to during the project (Foreground IP), • IP created in a limited lifespan, post collaboration period (Postground IP), • Exploitation of IP during and at the end of the project, • Possible routes for commercialisation and technology transfer if applicable, • Use of proprietary know-how, manuals, handbooks, training materials especially in

capacity building and training.

In most universities and research institutes the IP created in the course of a researcher’s career belongs to the institution they work in rather than the researcher or investigator, thus it is important for project implementers to ensure that they have completed due diligence within their institutions and have commenced efforts to identify and secure IP before commencement of their projects in collaborative partnerships and consortia. Furthermore it is critical for project teams to ensure that third party service providers contracted by the consortium and implementing team sign non-disclosure agreements, specifically when contracted to test formulations, conduct technical validation of products or IP due diligence during the course of the project. It is recommended that due to the regional nature of the SANBio/BioFISA II projects, the IP laws of the particular country where the IP was created will govern the protection of the particular IP produced by the consortium partner. The African Regional Intellectual Property Organization (ARIPO) is an intergovernmental organization for cooperation among African states in patent and other intellectual property matters. ARIPO was established by the Lusaka Agreement of 1976. It has the capacity to hear applications for patents and registered trademarks in its Member States who are parties to the Harare (patents), Banjul (marks) and Arusha (plant varieties) protocols. Of the SANBio Member States, the following countries are members of ARIPO – Botswana, Lesotho, Malawi, Mozambique, Namibia, Swaziland, Zambia and Zimbabwe. For a detailed list of the IP laws in Southern African countries, please refer to http://www.adamsadams.com/index.php/africa/africaniplaw/. More details on IP protection are provided in Annex 13.

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5. Financial Management

5.1 Costs supported by the SANBio/BioFISA II Grant

SANBio/BioFISA II Flagship and Seed projects are in general supported on a 60/20/20 basis or 70/10/20 (for collaborative calls), where 60/70% of funding will be from SANBio/BioFISA II matched with 20/10% cash and 20% in-kind contributions from the Lead Partner and Co-partners. The project consortium may also contribute more than this minimum level requirement. The funds allocated to the Lead Partner on behalf of the project consortium are to be paid in South African Rand (ZAR) and paid by the CSIR on behalf of SANBio/BioFISA II. The 20/10% cash contribution should be provided in the form of a bank guarantee or bank statement upon contracting. The provision of in-kind goods or services during project implementation should be costed. Both (cash and in-kind contributions) amounts should be auditable. In-kind contributions should amount to at least 20% of the total eligible costs that will be incurred during project implementation. In-kind contributions of consortium members should be monitored during the course of project implementation and should be included in all financial reports.

a) Eligible Expenditure • Actual running costs incurred for the activities undertaken during project implementation; • Training required for the completion of the project; • Laboratory equipment (total value less than 5% of the grant contribution); • Third party services such as short term consultancies that provide a service or capability

that is not available among the project partners (max. 10%); • Catering costs (excluding alcoholic drinks) for training workshops • Consumables such as stationery; • Laboratory consumables, • Cost of scaling up or pre-commercialisation of the product; • Audit fees; • Traveling and accommodation costs – must be directly related to the execution of the

project in the most economical manner as defined by the Automobile Association rates for travel and a maximum of 4 stars for accommodation;

• Communication and dissemination costs; • Costs of non-permanent staff/students (e.g. Postdocs, MSc and PhD) working on the

project. The costs claimed shall not exceed 30%1 of the overall grant received. Please note that researchers who are on the host institution’s payroll as permanent staff members may not claim salary reimbursement from this grant.

• Maximum of 5 % of the estimated direct eligible costs can reserved as a contingency and can only be used for eligible costs

b) In-kind costs In-kind costs provided by the consortium partners (Lead and Co-Partners) include:

• Specialised equipment/facilities owned by the applicants; • Office and laboratory space including utilities; • Salaries of the institutions permanent personnel directly involved in the project, calculated

in line with the amount of time spent only on the project – this includes technical, research and administrative support;

• Laboratory consumables and reagents;

1 If a grant amount of R4.5 million is requested, up to R1 350 000 can be used to cover the costs of non-permanent staff/students who are working on the project

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• International and local travel, insurance, accommodation, per diems and subsistence allowance for project personnel;

• Overhead and administration costs for administering the grant; • Pilot or scale up facilities in partner’s organisations.

c) Ineligible Expenditure • Expenditure that is not based on the approved project plan or project and financing decisions

issued for the project or which have not been agreed on with the financing authority in project negotiations

• Debts and debt service charges (interest); • Provisions for losses or potential future liabilities; • Costs declared by the beneficiary(ies) and financed by another funding agency or projects

receiving a grant from SANBio; • Purchases of land or buildings and refurbishments, vehicles, equipment, computers • Laboratory equipment in excess of 5 % of the grant contribution; • Tuition fees of staff members; • Long term accommodation for project team members; • Fees related to customs clearance; • Maintenance costs of equipment; • Purchase of office furniture; • Entertainment costs and gifts; • Currency exchange losses; • Grant amount received cannot be used for salary costs of the permanent personnel of

institutions (refer to section on “In-kind costs” above); • Overhead costs such as office space, general administration costs (refer to section on “In-

kind costs” above); • Management fee; • Membership of societies, journal subscriptions etc.

5.2 Project disbursement procedures

The Milestone and Disbursement Schedule is defined and an annex to the Grant Agreement. The Lead Partner is responsible for submission of the requisite disbursement requests accompanied by invoices and supporting documents. The first instalment of 20% of the approved grant will be disbursed, if all the requirements have been fulfilled. The following documents should be submitted with the grant agreement for the first invoice to be paid

� Bank guarantee or the project bank account statement with the 20% cash contribution from partners;

� Pro-forma invoice (only for the 20 % advance payment); and � Work plan and budget for the first milestone.

For disbursement of subsequent instalments the Lead Partner submits the following documents:

� Invoice for the milestone; � End-stage report for milestones completed to date, detailed fund utilisation of the grant and

in-kind and cash contributions from partners have to be documented. These reports must include all the documented/tangible deliverables and annexes;

� Work plan and budget for the subsequent milestones. As the disbursements are milestone (results) based, the project management committee has the option to choose how the Lead Partner acting on behalf of the consortium will request the subsequent milestone payments over the duration of the project.

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The final request for between 10 to 25% of the grant should be accompanied by:

� Invoice for the milestone; � Project completion report with detailed narrative and financial report for the whole project

duration, detailed fund utilisation of the grant and in-kind and cash contributions from partners have to be documented;

� Auditors report and the letter from the auditor with an opinion. The Lead Partner must be registered as suppliers on the National Treasury website and then on the CSIR Supplier Registration system, visit (www.csd.gov.za). The funds allocated to the project team is expressed in ZAR and paid by the CSIR. For each disbursement, the Lead Partner will have to present an invoice addressed to the CSIR (see Annex 5). Each request for disbursement shall be submitted with:

• Progress report covering the agreed reporting period with the narrative description of the results/milestones achieved for specific period,

• Detailed financial report indicating expenses incurred in relation to the grant received for each project partner, and in-kind and cash contributions from partners (refer to Section 6.3). All financial reports must include a summary list of costs including copies of legally acceptable invoices and vouchers, in relation to the invoiced items. Originals will be retained with the Lead Partner and Co-Partner for audit purposes.

• The financial request for future planned activities in line with project deliverables must indicate the nature of expense and the partner receiving the funding.

A sample of an invoice to be submitted to the CSIR is available in Annex 5. The payment request shall be prepared by the LP, signed by the authorized person and sent to the SANBio/BioFISA II offices in hard copy. Unless the project implementing partners inform the BPU of any delays in receiving the disbursed funds, the assumption will be that the projects have received the funds in a timely manner.

5.3 Project funding disbursed to Co-Partners

The CSIR will only make payments to the Lead Partner and it is the responsibility of the Lead Partner to provide funding from the grant to the Co-Partners who are also carrying out project implementation. The Lead Partner should obtain the necessary National Treasury/Reserve bank approvals for funds and material transfers across the borders. The Lead Partner should also account for all the funds and materials and goods transferred to their partners and report on them together with their own expenditure. All Co-Partners should adhere to and follow the financial guidelines and procurement guidelines as stated in this PIG.

5.4 Record keeping, monitoring and control for proj ect finances

It is imperative that the project team be able to account for all financial transactions carried out in the course of project implementation. In financial reporting the following instructions have to be followed:

a) All expenditures related to the Project, regardless of the source of funds, from Lead Partner, consortium members, other funder or SANBio/BioFISA II, have to be reported;

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b) Only eligible expenses can be reimbursed/funded by SANBio/BioFISA II (the list of eligible expenses is shown in Section 5.1);

c) Each receipt received for any transaction has to be attached to a voucher detailing the expense, category of expense, cost incurred and the transaction amount in local currency (and in South African Rand) and the project milestone number if applicable;

d) On a monthly basis, the project team member responsible for financial administration, or the Project Administrator/Coordinator has to update the list of vouchers which relate to project expenses – this will be an input into the financial report; it is preferable that a list of vouchers for each month be recorded;

e) Supporting documents for all reported expenditure need to be attached including travel claims, receipts from suppliers, receipts and invoices from service providers, timesheets, proof of payments by electronic funds transfer;

f) All invoices paid with SANBio/BioFISA II funds are stamped with a “Paid by SANBio/BioFISA II ” stamp;

g) For remuneration paid by the Lead Partner and Co-Partner/s, the payment is supported by a receipt by the employee;

h) All personnel working on the project have to record timesheets, irrespective of whether they are paid by the Grant or the cash contribution from consortia, or funded by in-kind support from the partners; timesheets have to record actual time spent on project activities, meetings and planning of project; timesheets have to be completed on a monthly basis and have to be approved by the Team Leader or the project responsible person in the Co-Partner institution;

i) If an expense has been split between SANBio/BioFISA II and another funding party, the voucher has to state the breakdown of the funds;

j) When reporting on expenditure, the project should use the spot rate on the date of transaction;

k) All travel related expenses, need to include a list of the travel expenses including flights costs (copy of e-ticket), local transport (valid receipt), shuttle costs (valid receipt), visa costs (valid receipt), accommodation costs (valid receipt). Please note the Grant may not be used for subsistence costs. Copies of the boarding pass and passport of the traveller and the motivation and approval for the trip must be kept in the project records;

l) Regional and international travel by flights must be directly related to the execution of the project in the most economical manner. Accommodation thresholds should be limited to reasonable four star facilities;

m) All local travel (if part of the in kind contribution) have to include a copy of the logbook, valid receipts for fuel, traveller details and motivation and approval of the trip;

n) All expenses related to direct costs must be accompanied by receipts; o) All expenses related to indirect costs (e.g. laboratory space) must be stated in a cost estimate

prepared by the financial officer in the institution and signed by the appropriate authority with the organisation stamp;

p) All the original receipts must be marked with the statement “Paid with funds of SANBio/BioFISA II” and must clearly indicate the name of the project partner. All purchases through internet will have to be endorsed by a formal VAT/payment receipt otherwise the expense will not be covered. In case a service has been provided by a third party that cannot submit a receipt (for example in case of in-kind contribution), the person will have to sign a receipt by the amount of the service and enclose a copy of his/her ID card;

q) Project funds should be deposited in an interest bearing account, and any interest accrued on the funds shall be used for purposes related to the project, upon written approval of SANBio/BioFISA II or as otherwise directed in writing by the BPU. Any unspent funds together with accrued interest, shall be returned to SANBio/BioFISA II within 30 (thirty) days of the completion date, or may be used by the Recipient for such purposes as directed by SANBio/BioFISA II in writing;.

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r) For public institutions such as universities and research institutions, the project must open a separate vote/cost centre where all transactions on the project should be done;

s) Any funds, including interest, which has already been disbursed but has not been fully utilised by the end of the project shall be paid back to SANBio/BioFISA II in full.

VAT or levies cannot be paid from the grants awarded by the BioFISA II Programme. The following is an illustration of how each project should treat for VAT on income and VAT on expenses:

1. South African VAT registered company a. Income:

i. Submit an invoice to the CSIR for the requested grant amount including VAT. However, VAT cannot be allocated to the projects.

b. Expenses: i. Only expenses without VAT allocated to the project; ii. VAT amount on the expense should be paid and claimed from the company

VAT account. Therefore, no VAT expense should be allocated to the projects. 2. South African Non-VAT registered company

a. Income: i. Submit an invoice to the CSIR for the requested grant amount excluding VAT

(without any VAT). b. Expenses:

i. Only expenses without VAT allocated to the project; ii. VAT amount on the expense should be paid from the company and projects

should use their cash contribution or other cash amounts to pay for this VAT. The VAT amount should never be paid from the BioFISA II grant amount.

3. International VAT registered company a. Income:

i. Submit an invoice to the CSIR for the requested grant amount only b. Expenses:

i. Only expenses without VAT allocated to the project; ii. VAT amount on the expense should be paid and claimed from the company

VAT account. Therefore, no VAT expense should be allocated to the projects. 4. International Non-VAT registered company

a. Income: i. Submit an invoice to the CSIR for the requested grant amount including only.

b. Expenses: i. Only expenses excluding the VAT amount should be allocated to the project; ii. VAT amount on the expense should be paid from the company and projects

should use their cash contribution or other cash amounts to pay for this VAT. The VAT amount should never be paid from the BioFISA II grant amount.

The LPs are responsible for following the applicable VAT regulation in the country or countries where the project or the LP is located and choose to deduct or apply for refunding of VAT for project related expenses, if this is possible.

5.5 Consequences for under-reporting, misuse and ab use of funds

As the SANBio/BioFISA II Programme funds are allocated from donor funds from taxpayers in South Africa and Finland, it is imperative that the programme finances be used judiciously. There is a no tolerance attitude towards corruption. Besides bribery, corruption may take the form of misuse of power for a trusted position, misuse of financial and other resources, deceptive recording of their use or under-reporting of funds. The Programme expects to be informed accurately and in a timely fashion of each case of potential corruption by sending an official letter to the BPU. Besides regulations on

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reporting, monitoring and auditing there are a number of guidelines that are recommended to be used to ensure that the funds are used judiciously and reported accurately. If there is infringement of any of the financial regulations, the CSIR acting on behalf of the SANBio/BioFISA II may request repayment of all funds or lodge a suit for compensation of all funds issued to grantees. Should projects under report or deliver substandard work, the Programme reserves the right to terminate the grant agreement and consequently stop funding the project.

6. Project Reporting

6.1 Frequency of reporting and reporting timelines

Projects report their progress to the SANBio/BioFISA II Programme Unit according to the Milestone and Disbursement Schedule. The following reports must be submitted to the BPU:

• Monthly highlight reports • Financial Administration report • Milestone reports (End stage reports) • Completion reports - End of project reports • Exception reports

When implementing partners send reports to the BPU, it is important to ensure that all the required documentation is submitted. The LPs should ensure that the report is as detailed and clear as possible and that a third person can verify the calculations and reconcile the figures in the financial report with the related vouchers without any difficulties. The invoices submitted to CSIR for payment must include supporting documents including list of vouchers and records of all financial transactions related to the project. It is vital that the financial report for the project can be verified by the financial records and supporting documents of all transactions undertaken on the project with a direct link to the income source, either from the Grant or partner cash and in-kind contributions. All transactions made must be converted to South African Rand (ZAR) based on the spot rate from the date the money was received from the CSIR/BioFISA II Programme. The final payment and last instalment of the grant, amounting to 10-25% of the grant funding provided by SANBio/BioFISA II, will only be paid against the approval of the Project Completion Report (see Section 6.4) and verification that the SANBio/BioFISA II Programme Unit has received an audit report on the project from a certified auditor as described in the Section 6.3.1. The form provided is used for financial reporting. An audit report has to be attached to the financial report. Yearly internal audits should be conducted and one final external audit should be conducted toward the end of the project. Full reporting templates are available in Annex 9.

6.2 Monthly Highlight Report

A monthly highlight report must be submitted by the project manager on a date specified by the BPU and before the monthly highlight meeting between the BPU and the project manager. A template for the monthly highlight report has been provided in Annex 9.

6.3 Milestone report (End Stage Report)

At the end of each Milestone, the following documents must be submitted • Invoice for the milestone • End stage report - Technical progress report • End stage report – Financial report • Annexes to the report

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• All project expenses incurred by the Lead Partner and Co-Partners need to be recorded by

project teams. • Project costs related to in-kind contributions and related to costs covered by the partners for

local travel etc. need to be included in the financial reports. Vouchers for reporting travel expenses are included in Annex 4.

6.3.1 Audit Report The Lead Partner on behalf of the project consortium is responsible for providing a final independent audit for the use of the SANBio/BioFISA II funds including the co-funding provided by the implementing partners (cash and costed in-kind contributions). Project Audit Guidelines are provided as Annex 10. The project audits have to be performed by a legally authorized and certified audit firm and will have to present the firm’s findings, risks and recommendations on the following aspects:

(i) Financial statements and documents verifications, to ensure that:

a) there is an acceptable endorsement document for each expense; b) all expenses have been made according to the project budget; c) budgetary deviations and reallocations are in line with these current guidelines and other instructions given by the SANBio/BioFISA II Programme Unit, furthermore clearly indicated and justified; d) all expenses are supported by appropriate original receipts and invoices as proofs of payment; e) expenses reimbursed by or charged to SANBio/BioFISA II do not include VAT that the LP can, or reasonable could, reclaim; f) all the original invoices, receipts or any other voucher issued to the partners’ name are stamped with the statement “Paid with funds of SANBio/BioFISA II”; and g) expenditure is within reasonable range of costs benchmarked against rates specified in the full project proposal document , market prices and/or other acceptable industry or Government rates.

(ii) Performance assessment, to ensure that:

a) the analysis of quantifiable project outputs is based on indicators specified in the full project proposal document; b) the quality of workmanship and adherence to installation and safety standards follow acceptable best practices in the country or the region of implementation as defined in the full project proposal document; c) the performance of technologies installed reaches the level(s) defined in the full project proposal document; and d) the final project beneficiaries are reasonably satisfied with the use of the equipment installed or services delivered from the project.

(iii) Sustainability assessment, to ensure that:

a) project activities can continue beyond SANBio/BioFISA II funding as envisioned per the full project proposal document; and b) there are adequate maintenance arrangements in place for long term operations of implemented systems.

The Audit Report shall also include verification of assets of the project and it needs to show explicit approval for the handling of the received grant funds and contributed funds. The report will have to be sealed and signed by the auditor including his/her name with certification number and submitted to

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the SANBio/BioFISA II Programme Unit. If the audit is performed by an audit firm that is not internationally well known, the documents proofing the authorization and certification of the audit firm have to be sent to the SANBio/BioFISA II Programme Unit with the audit report. For efficiency it is recommended that the Lead Partner collect all documentation for the audit from Co-Partners and complete one audit for the project. The Lead Partner must ensure that the cost estimate for the audit is included in the approved project budget and the supporting documents regarding the real expenditure are included in the settlement for the last disbursement of the project.

6.4 Completion Reporting (End of project report)

The following documents must be submitted at project closure • End Project report including financial report • Project Audit report • Project Asset Register / Inventory List

7. Procurement

7.1 Procurement guidelines

It is of utmost importance that consortium partners and project teams maintain open and transparent processes in securing goods and services for the completion of projects. The project consortium is required to make all procurement in accordance with the following procurement guidelines as proposed in this section, and in line with local procurement rules of the implementing organisations. As a general rule, the lowest price forms the selection criterion in competitive tendering. A favourable price in terms of overall economy can also be applied. Dividing contracts into parts in order to keep the contract value below any threshold mentioned below is strictly forbidden. For the purposes of procurement the following definitions are relevant:

� Services: relate to either goods or services that have to be procured from outside the organisation;

� Consultancy: refers to specialised services that may be provided by an expert or specialist in that field.

� Tender: Tender is defined as a written offer in prescribed or stipulated form in response to an invitation for provision of services, works or goods through price quotations, advertised competitive tendering process or proposal.

� Proposal: A proposal is a prescribed form of invitation used by the organisation to inform prospective suppliers (bidders) of the requirements needed for the provision of services, works or goods. This is mainly applicable to consultancy or specialist services or non-standardised goods or services that may be required. A Request for Proposal (RFP) includes drafting a Terms of Reference (ToR) with a specific description of the type of good or service required, the period or timeline of the service, the minimum requirements in terms of experience of the firm, the experience of the team, the type of service or goods required and the proposal requirements and evaluation criteria. The RFP is then advertised and the proposals or tenderers are assessed firstly for technical scope and then on price

� Price quotations: Price quotations are regarded as tenders and must always be written for all purchase orders of more than R10 000 (unless stricter guidelines apply). A request for price quotations (RFQ) process is followed where only pricing is required for standardized goods and/or services making each supplier quote comparable. For all other competitive bids a RFP must be issued, which involves a technical and price comparison.

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7.2 Procurement framework

Table 1 provides a recommendation on of the procurement procedure required for applicable thresholds. Table 1: Procurement Framework for Projects Estimated Order value

Procurement Procedure

General Purchases of goods and services

< R10k • Minimum of one quotation required via email

R10k <= R30k • Minimum of three formal written quotes required • Quote must be attached to requisition

> R30k • Minimum request for proposals (RFP) / tendering process must be followed. • Price quotations are obtained for standardised goods and/or services making each supplier quote comparable. For other competitive bids, a request for proposal (RFP) must be issued. • A weighted matrix must be used to select a winning bid. Appropriate procurement points system must be used for the selection of the supplier. • Records of procurement process followed must be attached to the requisition

Purchases via Supply Contract

• Where there is an existing supply contract for specific items with a Preferred or Approved Supplier, partners may purchase as required and stipulated in the contract. • For any additional goods and/or services, not covered by the supply contract, the process for general purchases for goods and/or services must be followed

Purchases from a Sole Supplier (not recommended but only applicable in exceptional circumstances)

• Where there is clear and objective evidence that goods and/or services can only be supplied by a single supplier, the delegated authority may approve procurement from the identified supplier for that specific goods and/or services within a stipulated period. • Objective evidence may include a letter from the original manufacturer, indicating sole rights for distribution or proof that a competitive open bidding process resulted in only one response. • Signed sole supplier form must be attached to the requisition.

7.3 Contract negotiations and management

All contract negotiations must be conducted in an open, fair and transparent manner. Where applicable, project teams must comply with the procurement rules of their organisations and their national treasury regulations and if no such rules are in place or if the rules are less strict than what has been defined above, then the default is for the projects to use the procurement guidelines defined above.

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8. Monitoring, Evaluation and Learning

8.1 Overview of Programme monitoring and measuring for results

The BioFISA II Programme has implemented the Results Based Management (RBM) Approach, in which the focus is on results of what has been achieved in terms of outcomes and impact. In the BioFISA II Programme, indicators have been defined at the Programme purpose level, at Outcome and Output level with a baseline and defined targets over the duration of the programme from 2015-2019. From these, project indicators were derived (Table 2). The project indicators should be reported in the BioFISA II Programme bi-annual and annual reports as part of the monitoring, evaluation and learning system. A reference sheet on how each of these indicators are to be measured is attached as Annex 12. For reference purposes only, the RBM for the BioFISA II programme is provided in Annex 7. For effective reporting, it is essential that there is a direct link between the project level indicators and the programme level indicators and results. Project Partners should also report on any other indicators they achieved outside from the ones listed in Table 2.

Table 2: BioFISA II Project level indicators

Programme purpose

/outcome/output

Indicator

ref.

Project-related Indicator Unit

Project

target

Provide relevant details

here about the expected

result

Programme purpose

To support the

implementation of

the SANBio Business

Plan 2013-2018

PP1 Expected number of

health/nutrition products or

services that will be brought to

bankability.

Number

PP2 Expected number of products /

services brought to bankability for

which the collaboration is led by a

female PI

Number

PP3 Expected revenue streams from the


services to be brought to

bankability.

Euros/year

Outcome 1

Functional and

sustainable SANBio

network in place

-

Output 1.1

Increased awareness

and perceived

importance of SANBio

in the region and

internationally

OPI 1.1.4 Expected number of public

engagements (such as articles or

participation in conferences)

where project will be presented /

discussed

Number

Outcome 2

Human capacity

strengthened in areas

of the biosciences

innovation value

chain that will result

in more end-user

impact and innovation

-

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Output 2.2

Gender

mainstreaming

actively addressed to

increase the number

of women in

biosciences

OPI 2.2.2 Is the proposed project team led by

a female PI

1 = Yes,

0 = No

Outcome 3

Sustainable funding

structures and

instruments in place

to support SANBio

activities

OCI 3.2 Expected number of


services for which prototyping will

be completed.

Number

OCI 3.3 Expected number of articles to be

published based on lessons learnt

from project

Number

OCI 3.4 Expected number of partnerships

to be developed for product

commercialisation

Number

OPI 3.2

Seed and flagship

projects result in

measurable

development impact

and marketable

products

OPI 3.2.2 Number of countries actively

involved in project development

Number

Which countries?

1. Angola Enter “1” if

involved

2. Botswana Id.

3. Lesotho Id.

4. Malawi Id.

5. Mauritius Id.

6. Mozambique Id.

7. Namibia Id.

8. Seychelles Id.

9. South Africa Id.

10. Swaziland Id.

11. Zambia Id.

12. Zimbabwe Id.

Other countries: Id.

13. Id.

14. Id.

OPI 3.2.3 Amount of co-funding (to be)

secured for project

Euro

Disaggregate by source(s) of co-

funding:

(i) Member States Euro

(ii) International donors (ODA) Euro

(iii) Private sector Euro

(iv) Other (provide details in Detail

column)

Euro

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In addition to self-monitoring of projects by the project management committee and the project team members, the BPU will have monthly meetings with the project manager, and conduct at least 3 scheduled reviews with an external panel of experts on projects during implementation phase. The BPU will at the end of the project conduct a visit to the project site to ensure that projects are on schedule and are achieving their set targets. Monitoring of the projects during implementation will be synchronized to all/some of the milestone payments of the project. Continual monitoring of projects is essential for project management and to ensure that original goals are on track. In addition to the oversight role played by the BPU, projects have the opportunity to modify their work plans and activities based on feedback from the BPU and other external specialists contracted by the BPU.

8.2 Project and Programme Evaluation

Evaluation provides independent assessments of in order to learn lessons to improve development cooperation, and to ensure accountability. The programme integrates the evaluation of results in the MEL systems through adaptive management. The BioFISA II Programme is subject to a Mid-Term evaluation during the second or third year of implementation and projects will be visited by an independent evaluation team. Projects may be required to provide feedback during this process.

8.3 Incorporating MEL into Programme and Project le arning and best practice

In addition to the evaluation aspect, there is an element of learning both within project teams from the mutual collaborative efforts in the project, during project management committee meetings, monitoring visits by the BPU, and the independent external evaluation. The feedback and response is incorporated into project and programme learning and implementation. Often the objective views of an external team highlight issues that are sometimes overlooked by both the project team and programme unit due to their familiarity with the project and regular engagement with the project. As such, peer to peer learning is encouraged to promote regional networking and knowledge sharing, the BPU will be hosting an annual regional event in which project partners and implementers will have the opportunity to share their project outputs and also have an opportunity to network and learn from others.

9. Ethical guidelines to be followed for SANBio/Bio FISA II Projects

In the field of Biosciences where activities relate directly to human health, animal health and nutrition, all project partners have a responsibility to act ethically, either in the sourcing of biotic and abiotic material, genetic material, pathogens, cultivars, biovars, personal information etc. and to ensure that the rights of both the populations being sampled or the populations being tested during trials are not adversely affected. Many entities in the Biosciences arena conform to ethical guidelines because of legal compliance and not for the primary purpose of behaving ethically and of being answerable to stakeholders. It is strongly recommended that all projects look at the guidelines relevant for their organisations’ ethics policies and ensure that all project consortium partners comply with them. Should these not be available, the partners should immediately inform the BPU in order to obtain standard guidelines.

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Some of the issues to consider are: • Ensuring that the ethics is in mission statements and codes of conduct when working in areas

that have significant ethical consequences or may adversely affect the outcome of the project, product or market;

• Conduct a review of processes to be included in projects and ensure that ethical guidelines are followed if applicable;

• If expertise is not available in-house then attempts must be made to secure the services of an ethics expert if this is deemed applicable within the scope of the project;

• Ensure that research proposals with ethical implications are evaluated by a research ethics committee;

• Ensure that due diligence is conducted before research with potential ethical implications is initiated;

• Ensure that research activities undertaken by the partners respect the rights, dignity, safety, privacy and health of human and animal research subjects;

• Ensure that if an ethics committee is constituted, it functions according to National Guidelines if they are applicable;

• Biological and health data is increasingly seen as a valuable national resource. Advances in data science mean it is becoming easier and cheaper to collect, link and use data, but these developments have put pressure on conventional governance approaches. Respect for people’s privacy should be at the centre of any data initiative.

project implementation guidelines (pig) · 2017. 9. 28. · 3.1.1 risk management ... annex 13:...

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