Foreign Exchange Act

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Act 5 Foreign Exchange Act 2004

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* THE FOREIGN EXCHANGE ACT, 2004.

An Act to" amend and consolidate the law relating to foreign exchange in Uganda; to .provide for the exchange of foreign currencies in Uganda and the making -of international payments and transfers of foreign exchange; and for other related and incidental matters.

Date of Assent: 13th November, 2004. X

Date of commencement: 13th November; 2004. •«-

Be it enacted by Parliament as follows- "

Act 5 Foreign Exchange Act 2004

A.Ct 5 Foreign Exchange Act 2004 (5) The Bank of Uganda may issue or renew a licence issued under subsection (2) to a person to engage in the business of buying and selling bank notes, coins and traveller's cheques in foreign currency or such activities as may be specified by the Bank of Uganda. (6) A licence issued or renewed under this section shall expire one year after the date of issue unless the licence has been renewed, extended, or revoked by the Bank of Uganda. (7) In considering an application for the renewal of r licence, the Bank of Uganda may, subject-to such conditions oi restrictions as the Bank of Uganda considers appropriate, extend the period of application of the licence holder's existing licence for a period not more than three months so as to permit the licence holder to take such action as the Bank of Uganda considers necessary to enable the licence holder to comply with this Act and the . regulations, permissions, instructions and directions issued under this Act.

Act 5 Foreign Exchange Act 2004

Act 5 Foreign Excha ,e Act 2004

banknotes, coins, travellers cheques and securities The Bank of Uganda may, by regulations, impose restrictions on the importation into or exportation from Uganda of banknotes, coins, traveller's cheques and securities denominated in the currency of Uganda or in foreign currency.

Act 5 Foreign Exchange Act 2004 (4) Where the Bank of Uganda has reason to believe that an offence is about to be or has been committed, the Bank of Uganda may require a bank to obtain the permission of the Bank of Uganda before executing any payment" referred to in subsection (2), and the permission shall be granted solely on the basis of a determination by the Bank of Uganda that the payment is consistent with the laws of Uganda. (5) The Bank of Uganda may, by statutory instrument, make - ~ regulations prescribing information to be provided to the Bank of Uganda by a person licensed to carry out foreign exchange Business or foreign exchange transfers, residents and non residents in connection with the conclusion of any transaction involving foreign currency, the maintenance of bank accounts in Uganda or outside Uganda, and the settling of any payment by a resident or non-resident.

Act 5 Foreign Exchange Act 2004 (3) Where a person is convicted foi failing to give information or produce any document when required to do so under this section, the court may make an order requiring the offender, within such period as may be specified in the order, to comply with the requirement to give the information or to produce the document.

^(1) If court is satisfied by information given under oath by a person authorised by the Bank of Uganda to act for the purpose of tras section, either- j (a) that an offence under this Act has been or is being

t t K L o v u U ttK A K t j committed and that evidence of the commission of j the offence is to be found at any premises specified J in the information, or in any vehicle, vessel, or I aircraft so specified; or t • (b) that any document which dught to have been produced j under section 11 and has not been produced is to be ; found at any premises or in any vehicle, vessel or aircraft referred to in paragraph (a), the court may issue a search warrant authorising a police officer, together with any other person named in the warrant and any other police officers, to enter the premises specified in the information or any premises upon which the vehicle, vessel or aircraft specified may be, at any time within one month from the date of the warrant, and to search the premises, or the vehicle, vessel or aircraft.

Act 5 Foreign, Exchange Act (2) A person authorised by a warrant issued under subset (1) to search any premises- or any vehicle, vessel or u.: may- (a) search any person who is found in, or who authorised person has reasonable grounc believe has recently left or is about to enter. ± premises or that vehicle, vessel or aircraft: ar.^

Act 5 Foreign Exchange Act 200-

Act 5 Foreign Exchange Act 2004 (2) For the purposes of subsection (1), any person to whom any powers of the Bank of Uganda under this Act are delegated or on whom any functions are conferred by or under this ^.ct, including a police officer, shall be deemed to be a prescribed authority for the purposes of the definition of that expression in section 3 of this Act. (3) For purposes of subsection (1) proceedings shall be deemed not to have been finally deter^ained so long as there is pending an appeal in the matter; and'an appeal in that matter '*^11 be deemed to be pending during the ordinary time within which an appeal may be lodged, and if an appeal is-duly lodged, it shall be deemed to be pending until it is decided or withdrawn. (4) The powers conferred by this section in relation to any property shall be in addition to, and not in derogation from, any powers otherwise exercisable in relation to that property.

No person in Uganda shall, with intent to evade any provision of this Act- (a) destroy, mutilate, deface or remove any document; (b) make any declaration which is false in any material particular; (c) in furnishing any information for any of the purposes of this Act. make any statement which he or she knows to be false in a material particular, or reckless!) make any statement which is false in a matenai particular. (d) counterfeit or in any way falsify any document or knowingly use a document which is counterfeit or false: or (e) obstruct any person in the exercise of any powers conferred upon him or her by or under this Act.

Ct 5 Foreign Exchange Act 2004 Act 5

(1> Any person who- ' (l)The regulations (a) engages in the business of dealing in foreign exchange □revisions 3 without,a licence issued under section 5 ; (2) Rez (b) contravenes any restriction imposed under section 5 ; any contra* (c) contravenes any restriction imposed under section 8 ;

.9. Minister's power to amend Schedule. * The Minister may, with the approval of the Cabinet, by statutory instrument, amend the Schedule to this Act.

Act 5 Foreign Exchange Act 2004

This Act shall take precedence over all other existing legislation relating to foreign exchange and any contradiction in any other law is modified to the extent of the contradiction.

Act 5 Foreign Exchange Act 2004 SCHEDULE.

CURRENCY POINT.

Sections 3 , 19 .

A c-_~encx point is equivalent to twenty thousand shillings.

Cross References

Companies Act. Cap. 110. Financial InsLnrticns Act, Act No. 2 of 2004.

STATUTORY INSTRUMENTS SUPPLEMENT No. 41 3rd December, 2004

STATUTORY INSTRUMENTS SUPPLEMENT to The Uganda Gazette No. 64 Volume X( 'I 'll dated 3rd December, 2004. Printed by UPPC, Entebbe, by Order of the Government.

STATUTORY INSTRUMENTS 2004 No. 93. The External Trade (Importation Licence)(No. 6) Order, 2004. (Under section 5 of the External Trade Act, Cap. 88). In exercise of the powers conferred upon the Minister responsible for tourism,trade and industry by section 5 of the External Trade Act, this Order is made this 1st day of December, 2004.

This Order may be cited as the External Trade (Importation Licence)(No. 6) Order, 2004.

PROF. EDWARD B. RUGUMAYO, Minister of Tourism, Trade and Industry.

STATUTORY INSTRUMENTS SUPPLEMENT No. 41 3rd December, 2004

STATUTORY INSTRUMENTS SUPPLEMENT to The Uganda Gazette No. 64 Volume XCVII dated 3rd December. 2004. Printed by UPPC, Entebbe, by Order of the Government.

STATUTORY INSTRUMENTS 2004 No. 94. The External Trade (Importation Licence)(No. 7) Order, 2004. (Under section 5 of the External Trade Act, Cap. 88). In exercise of the powers conferred upon the Minister responsible for tourism, trade and industry by section 5 of the External Trade Act, this Order is made this 1st day of December, 2004.

This Order may be cited as the External Trade (Importation Licence)(No. 7) Order, 2004.

PROF. EDWARD B. RUGUMAYO, Minister of Tourism, Trade and Industry.

STATUTORY INSTRUMENTS SUPPLEMENT No. 41 3rd December, 2004

STATUTORY INSTRUMENTS SUPPLEMENT to The Uganda Gazette No. 64 Volume XCVII dated 3rd December, 2004: Printed by UPPC, Entebbe, by Order of the Government.

STATUTORY INSTRUMENTS

2004 No. 95.

The Stamps (Exemption from Stamp Duty) Instrument, 2004. (Under section 10 of the Stamps Act, Cap. 172). In exercise of the powers conferred on the Minister responsible for finance by section 10 of the Stamps Act, this cap. 172. Order is made this 3rd day of September, 2003.

the Stamps (Exemption from citation Stamp Duty) Instrument, 2004. *

section 3 of the Act on the increase of share capital of Britania of stamp duty Allied Industries Ltd from one million shillings to eight billion shillings is remitted.

/ ,P. V A.^7

GERALD M. SSENDAULA, Minister of Finance, Planning and Economic Development.

STATUTORY INSTRUMENTS SUPPLEMENT No. 41 3rd December, 2004

STATUTORY INSTRUMENTS SUPPLEMENT to The Uganda Gazette No. 64 Volume XCVII dated 3rd December, 2004 Printed by UPPC, Entebbe, by Order of the Government.

STATUTORY INSTRUMENTS

2004 No. 96. THE AGRICULTURAL RESEARCH (ESTABLISHMENT AND MANAGEMENT OF THE ZCfNAL COMPETITIVE AGRICULTURAL RESEARCH AND DEVELOPMENT FUND) REGULATION, 2004.

n . ARRANGEMENT OF REGULATIONS Regulation.

committee •

and Development Fund

Regulation.

Public Assets Act, 2003 and regulations made under it to apply where no provision is made STATUTORY INSTRUMENTS. 2004 No. 96. The Agricultural Research (Establishment and Management of the Zonal Competitive Agricultural Research and Development Fund) Regulation, 2004. (Under section 36 of the National Agricultural Research Organisation Act, Cap 205).

In exercise of the powers conferred upon the Minister by section 36 of the National Agricultural Research Organisation Act and on the recommendation of the Board, these Regulations are made this 1st day of December, 2004.

Regulations may be cited as the Agricultural Shorty Research (Establishment and Management of the Zonal Competitive Agricultural Research and Development Fund) Regulation, 2004.

requires- pretauon

"Act" means the National Agricultural Research Organisation Act,;

"agricultural research" means the furtherance, accumulation and improvement of knowledge in the agricultural and related sciences through original and other investigations and methods of a scientific or indigenous nature into the production, treatment or handling of an agricultural product, including research required for a better understanding of the process involved in or the environment necessary for the production of an agricultural product with the advancement of agriculture as its object;

"agricultural research service provider" means any person whether in the public or private sector who conducts or manages agricultural research in accordance with the Act; and includes a public agricultural research institute, universities, tertiary institutions, farmers groups, civil society organisations, private sector organisations and any other entity as may be determined by the board;

"board" means the governing board of the National' Agricultural Research Organisations;

"chairperson" means the chairperson of a Zonal Competitive Agricultural Research and Development Committee;

"committee" means a Zonal Competitive Agricultural Research and Development Committee established under regulation 5;

"Fund" means the Zonal Competitive Agricultural Research and Development Fund established by the board under regulation 3;

"Minister" means the Minister responsible for agriculture, animal industry and fisheries.

ecological zone to be known as the Zonal Competitive competitive agricultural Agricultural Research and Development Committee. research and development committee (2) The Committee lor each agro-ecological zone shall consist of the following persons-

Functions of 7. The function of a committee is toa committee (a) set zonal agricultural research priorities;

There shall be a secretariat for the Zonal Secretariat of the Zonal Competitive Agricultural Research and Development Fund in Competitive each agro-ecological zone which shall be responsible for the Agricultural Research and day to day operation of the fund in a particular zone. Develop ment Fund (2) The secretariat shall be composed of a zonal fund manager and such other staff as a committee, with the approval of the board, determine to be necessary for the discharge of the functions of the Fund.

The committee shall meet four times a year at Committee meetings such place as the chairperson may determine for the discharge of it$ business (2) The quorum for a meeting of a committee is five members.

shall, as far as Decision of the possible, be by consensus. committee

allowances as may be determined by the board. ation of members

Power to 12. (1) A committee may invite any person who, in the co-opt opinion of a committee, has expert knowledge concerning the functions of the committee, or who is likely to be of assistance to a committee to attend and take part in the proceedings of the committee.

Disclosure 13. (1) If a person is present at a meeting of a committed of interest at which a matter is the subject of consideration and in which' that person or his or her nominee or spouse is interested in a - private capacity he or she, as soon as practicable after the commencement of the meeting disclose that interest and shall not unless a committee direct otherwise, take part in any consideration or discussion or question relating to the matter.

Factions of 14. (1) A zonal fund manager is responsible for the daythe Fund Manager to-day operations and administration of the Fund.

The board may appoint other officers and staff of Other officers and the Fund as may be necessary for the effective performance of staff the functions of the Fund.

Protection of members

A member of a committee is not personally liable and staff for an act done by him or her in good faith and without from liability negligence for the purpose of carrying into effect the provisions of these Regulations.

shall be the twelve Financial months beginning on 1st July of each year and ending on 30th p^dof lhe June in the following calendar year Estimates

A fund manager shall, not later than three months before the end of each financial year, prepare and submit to a committee for its approval and recommendation to the board, estimates of income and expenditure for the next ensuing financial year, and may at any time, before the end of the financial year prepare and submit to a committee, any estimates supplementary to the estimates of the current financial year (2) No expenditure shall be made out of moneys of the Fund unless that expenditure is part of the expenditure approved by the board under subsection (1). M

Accounts 22. (1) The zonal fund manager shall keep proper books of accounts of all the income and expenditure of the Fund and proper records in relation to them in a form approved by the Auditor General.

Audit 23. (1) The accounts of the Fund shall, in respect of ea^J financial year, be audited by the Auditor-General or by an auditor appointed by the Auditor General.

A committee shall within three months after the Annual reports end of each financial year, submit to the board the annual status report and the audited accounts referred to in regulation 23(5) together with the Auditor General's report on them.

The board shall before the end of each financial Annual meeting of year, convene a meeting to be attended by- stakeholders

Procedure 26. The Fund shall be managed in accordance with the for accessing guidelines set out in the Schedule to this Regulations. the fund

The Public 27. In respect of any matter, where these Regulations Procuremen have not expressly or by necessary implication made provision t and Disposal of for, the Public Procurement and Disposal of Public Assets Act, Public Assets Act, 2003 or any regulation made under it shall apply to any such 2003 to matter. apply where no provision is made

SCHEDULE. LlBRAltl

GUIDELINES.

calls for research Cails for proposals in Uganda's newspapers twice each year (i.e. January and July), copies of the call for proposals will be circulated widely, including to PARIs, Universities, selected ^Non-Governmental Organisations, private research entities, Industrial organisations, farmer or Commodity associations, and the District Production Departments and NAADS Coordination offices (2) (a) The call for proposals shall also be posted on the Board website.

Proposal 4. (a) Applicants must read the relevant portions of the Zonal format Competitive and Agricultural Research and Development Manual and, if needed, are.advised to seek clarification from the Fund Secretariat. (b) Research proposals should be formulated and submitted according to the CGS format provided in Appendix 2a. (c) Specific Guidelines to assist proposal writers are given in Appendix 2b. (d) Applications shall be prepared in english and typed. (e) The quality of the document must be good enough to enable the Fund Secretariat to make copies. (f) An electronic copy of the proposal shall also be required. (g) All research proposals will be recorded, filed, and treated as confidential documents by the Fund Secretariat. Institutional 5: (a) The appropriate senior administrators must endorse endorsement submissions by postgraduate students and staff members of research institutions.

full research proposal, Pre proposals ' applicants shall submit two- to five-page pre-proposals or ^^expressions of interest.

all research proposals Pre screening received for compliance with the prescribed procedures.

Selection of 9. (a} The Secretariat will select research proposals and proposals approve grants for their implementation, taking into consideration assessment reports or comments from the technical committee

members and peer reviewers, as well as specific priorities mentioned in the call for proposals and general priorities approved by the committee. (b) To assist the decision-making process of the peer reviewer on the proposals, the Secretariat will compile technical committee members' and assessors' ratings of proposals and compute rankings. (c) The technical committee has the right to reject highly rated proposals, which have appropriate methods but little relevance; or projects with relevant objectives but scientifically inappropriate design. (d) In most cases, the technical committee shall accept proposals, reject them entirely, or request applicants to revise their proposals for re-submission during the next funding cycle. (e) The technical committee shall not cut budgets and rewrite proposals to fit the reduced resources. (f) Good projects with inflated budgets shall be rejected and applicants notified of the reasons. (g) Acceptance with a budget cut shall be used only rarely, typically in a situation where the proposed research has several components and the proposal specifically indicates that some of the components can be completed irrespective of whether the others are funded or not. (h) The technical committee shall justify and document its decisions, especially those that significantly differ from the rankings based on ratings. (j) The Secretariat shall inform applicants of the outcome of the selection process and, if so requested by applicants, explain the justifications used. The chairperson of the technical committee shall present the proposal assessment report to the committee for approval.

committee and approval Award and grant by the committee, the Secretariat shall initiate contract procedure conditions for proposals selected for support.

' 703

Cost 11. (a) Applicants are advised to take great care in developing coverage their budget as any unnecessary expenditure, particularly for travel and per diem, will greatly impede the possibility of selection. (b) Applicants shall take note of the following-

Financial 12. (fl) The administration and management of grants shalr responsi bilities and follow procedures of the submitting institution. procedures (b) Authorised officers within the institution will authorise payments.

research grant forms from Disburse the grantee, the Fund Manager shall authorise the release of 70% of the ment and accounting approved first year's budget for the implementation of the project. for funds

. (b) Grant disbursements will be made to the Head of the * submitting institution, who will in turn release funds to the principal investigator for project implementation as and when necessary. (c) The principal investigator shall submit a statement of actual expenditures for each three-month period, together with a request for the next period, according to the project work plan and budget.

Progress 14. (a) The principal investigator shall submit to the Fund and final Secretariat, progress report every three months from the date of reports commencement of the project. (b) Upon completion of the project, a financial statement, two bound copies and an electronic copy of the final report shall be submitted to the Fund Secretariat. (c) This report should cover the life of the project and stress achievements, results and likely impact. (d) A list of publications should be appended. (e) Post-graduate students should submit a copy of their thesj^ (J) All reports will be examined for completeness and will be reviewed for technical progress and achievements against the milestones, which were included in the proposal and therefore form part of the contractual agreement. (g) Financial expenditures will be scrutinised against the budget and projected expenditure plan and where necessary, the principal investigator or the Head of submitting institution may be asked to clarify, make additions and corrections.

days after the end of each Sanctions zee-month period and if the progress report is not received within two weeks after the due date, the principal investigator or the head of submitting institution will be notified to suspend disbursement of funds until the report is received.

by either party is delayed, Force majeure hindered or prevented, or otherwise frustrated by reason of force majeure (civil commotion, fire, flood, action by any government or any event beyond the reasonable control of the party affected) then the party so affected will promptly notify the other party in writing, specifying the action of the force majeure and of the anticipated delay in the performance of the contract.

J (c) During such visits, the following will be reviewed- * Progress in the implementation of projects; a * Changes that can be made for those projects that appear to be in trouble; * Whether the reports reflect reality and to gain information to pass on to others as to how to conduct a successful project. (d) Experts appointed by the committee shall review all progress and final reports. Fund 18. The indicative timetable of the fund is provided in indicative timetable. Appendix 7.

Publication 19. (a) The committee encourages grantees to publish their and Dissemina results in scientific journals and extension materials. tion. (b) Publications in peer-reviewed international journals anA advisory services support information provide important support for researchers seeking new » funding from the fund. (c) Such publications should be submitted as part of a progress or final report where possible. (d) Financial contribution from fund be acknowledged in publications based on research supported by CGS as follows:- This research was supported (in part) by (name of the zone) Competitive Agricultural Research.

APPENDIX f

Indicative call for proposals

Agricultural Research Grant Award (Period and Year)

The (name of zone) Zonal Competitive Agricultural Research and Development Fund operated by the National Agricultural Research Organisation of Uganda invites research and development proposals for . consideration for the Agricultural Research Grant Award (period and ^^ear).

The objective of the scheme is to promote research with substantial benefits to farmers and other end-users either direcdy or through contributions to clearly identified research activities. The scheme is also open to pilot activities that develop research results into commercial products or demonstrate the potential of improved technologies. In (period and year), proposals are especially called from the following areas:

• Area 1 • Area 2 • Area 3

The scheme gives preference to concerted efforts to develop solutions to priority problems, with clear articulation on who the clients are and how the results will be disseminated to them or used by downstream research. ^Scientists (including post-graduate students) are encouraged to form •multidisciplinary teams and to develop proposals in consultation with end-users.

Before devoting significant resources to develop proposals, applicants are encouraged to write short pre-proposals to get feedback on their prospects of getting support. The closing date for the pre-proposals is February 01 and August 01 each year.

The format for the research grant application, guidelines for proposals and pre-proposals and the evaluation criteria used to assess proposals can be obtained from:

Closing date of grant applications: March 30th (January invitation) or September 30th (July invitation).

APPENDIX 2A

Format for Grant Application

A. TITLE PAGE i. Title ii. Principal investigator. iii. Submitting institution iv. Signature of principal investigator

EXECUTIVE SUMMARY

I. Project description - (maximum of one page) II. Justification HL Purpose of the study IV. Objective V. Expected outputs VI. Innovative aspects VII. Partnership approach VIII. Plans for technology transfer/dissemination of results IX. Anticipated benefits and their distribution

C. CV of principle investigator(s)

APPENDIX 2B

Format for Full Proposal A. TITLE PAGE v. Title vi. Principal investigator and amount (%) of time to be spent on this project vii. Submitting institution viii. Investigator ix. Budget amount (Total Figure only) x. Names, qualified and expected time commitments ((^^ of all involved x>. Signature of Principle Investigator xii. Authorising Signature (Dean of Faculty/Director of Institute/NGO/Company) D. EXECUTIVE SUMMARY x. Project Description - (maximum of one page) xi. Justification xii. Innovative Aspects xiii. Partnership Approach xiv. Plans for technology transfer/dissemination of results xv. Anticipated benefits and their distribution

E. DETAILED PROJECT PROPOSAL i. Background and justification Incuding Literature 'Review status of the project, if part of on-going project, e.tc ' ii. Detailed project description including objectives expected outputs iii. Workplan (phases etc.) ? iv. Detailed Budget including other sources of funding v. Monitoring Benchmarks, key indicators and monitoring scheme vi. References cited. (Bibliography)

F. CV OF INVESTIGATOR (S) CV of Principle Investigator and other collaborators

APPENDIX 2C

Guidelines for preparing full research proposals The following guidelines are to be used in preparing research proposals

A. TITLE PAGE i. Title Keep the title of the project short and simple (maximum of 120 characters). The title should clearly reflect the objectives of the proposed project.

ii. Principal investigator Provide your name, qualifications (degrees/diplomas), and the amount of time to be spent on the proposed project.

iii. Submitting institution Provide the name and address of your institution.

iv. Investigators Provide information of investigators indicating principal co investigator, institutional affiliation, qualification, responsibility and expected time commitments (%) under the proposed project.

v. Budget amount Provide total figure only

vi. Signature of principal investigator The principal investigator should append his/her signature to the research proposal before submission

vii. Authorising signature (Dean of Faculty/Director of Institute/NGO/Company) The Head of submitting institution is the authorising signatory and should endorse the research proposal before submission.

B. EXECUTIVE SUMMARY The summary should be sufficiently informative and should cover information given in the background, justification, objectives and research plan.

I. Project description This should give a brief description of the project (max. length one page).

II. Justification This should provide a summary of why the proposed project should be undertaken.

III. Innovative aspects Provide information on new ways, if any, of addressing identified problem(s) of the proposed research project or, new findings from the proposed project, which will help address the identified problem.

IV. Partnership approach Partners (local and international) to be roped in for the implementation of the project and possible benefits, if any, to be derived thereof.

V. Plans for technology transfer ordissemination of results A well laid-out plan of how technology or research results to be generated will be transferred to end-users.

VI. Anticipated benefits and their distribution Provide information on the benefits to be derived from the execution of the project and how they would be distributed among participating scientists and institutions as well as end-users.

C. DETAILED PROJECT PROPOSAL

I. Background and justification As background to research, provide literature review of key findings and theories relevant to the proposed study, explaining how the proposed study builds on past work in the country. This should be limited to two pages.

Rationale should be limited to one page and cover the following points:-

What is the scope and nature of the problem that is to be researched? Why is the problem important, particularly in a development context, and in the context of priorities established for the award of grants under the fund. How does the problem to be researched lend itself to resolution through proposed research?

II. Objectives and expected outputs Present the general (long-term) and specific (short-term) objectives and expected outcomes of the proposed project. The specific objectives should respond to the identified problems and should be directly related to the activities proposed in the project description. List what the research activities would seek to achieve in terms of the special focus areas (priorities) identified for the CGS.

III. Detailed project description This is the heart of the proposal. It should be written in full details and should be directed to specialists in the field. The following should be included.

description of activities to be carried out to meet the stated objectives; description of how each component of the project would be undertaken and what methodologies would be used; criteria for choosing project sites, if a survey is part of the project, gitfe details of procedures and questions to be asked (attach questionnaire); schedule or chart showing the phasing of activities, identifying collaborating researchers and institutions and the contributions or comparative advantage they bring; describe what next steps would be when the work is completed i.e. how would follow-up work or research be done and what would be the likely funding needs and sources.

IV. Work plan The detailed work plan should give activities to be undertaken on a monthly basis and unit cost or rates. Disbursement of funds will be done according to the detailed work plan.

V. Detailed budget The budget should give all cost detailed in the work plan according to the specified items. The budget items must be relevant to the proposal research plan and should be justified in the research plan. The following should be observed with regard to budget items.

These should cover only modest costs for short-term expertise and skills requirements such as Research assistants, technicians, graduate students and casuals. The fund does not pay salaries, wages and allowances (medical, house, travel, etc) of investigators.

a. Local travel costs should include only costs for the implementation of the project (for sample collection, field visits, etc). The need for travel costs should be explained in the research plan. Travel costs to conferences, scientific meetings, etc, should not be included under this item.

b. The need for international travel should be adequately justified in the research plan, while specific travel costs (airfare, accommodation, etc) should be included in the^ detailed work plan.

Equipment (not exceeding US$3,000) if necessary should be justified in the research plan. Specification and description of each item and its estimated cost should be included in the work plan.

Categories of expendable supplies (fertilisers, feed, drugs, reagents, glassware, solvents, etc.) should be listed in the work plan and a cost estimate for each category should be given.

i. Communication charges Communication costs (for mailing, telephone calls, fax, etc) should be within reasonable limits and be related to the implementation of the project.

ii. Literature List categories of literature (books, journals reprint, abstract reviews, etc.) and give a cost estimate for each category.

iii. Printing or Publication Printing or publication costs include costs of preparing and printing project reports and costs of publication (in scientific journals) of papers arising from project results. Costs should be specified in the work plan.

iv. Seminars or Workshops Seminars, workshops and conferences to be attended or organised locally should be relevant to the project and explained in the research plan. Specific costs of these items should be included in the work plan. Travel costs for international workshops and conferences relevant to the project should be included in international travel.

v. Maintenance of equipment or facilities Estimated maintenance costs should be included in the work plan for each equipment or facility required for the implementation of the project.

vi. Contingencies The contingency item is included to take care of adjustments in the budget due to inflation and other unforeseen factors. Use of contingency funds has to be justified.

vii Overheads For the administration of the project, the participating institution will receive 5% -15% of the grant amount.

viii. Sources of funding Give information on other sources of funding (national or international) including pending applications for funding for the proposed research project.

VI. Monitoring A description of key indicators, benchmarks and other monitoring tools against which the progress or achievements of the activities and- the project can be evaluated. Attach a project logframe or results framework.

VII. Reference cited Give reference to literature you have cited on the subject.

c. CV of PRINCIPAL INVESTIGATOR Provide curriculum vitae of the principal investigator.

APPENDIX 3A

Form and instructions for proposal pre-screening

Title of research project: ....................................................................... Reference No............................................................................................ Name of proposer: ................................................................................... Name of reviewer:.................................................................................. No. Criteria Standard Check

Eligibility Yes No Clear indication Name of registered institution or

responsible scientist Minimum of postal address and

in Uganda

Letter of If researchers are employed by an

and consent letter (s) authorising them to participate in team and accepted by scientist CVs of CVs should contain photocopies of

attached names of three referees

the study to the call

Budget limit Is the application within the set budget limit x Copy of the Is the electronic copy of the proposal proposal provided Comments

Accepted/Rejected

APPENDIX 3B

Criteria and weights for proposal rating Title of research project: ...................................................................... Reference No: ......................................................................................... Name of proposer : .................................................................................. Name of Reviewer:.................................................................................. Score General Max Actual

Demonstration that proposers understand the issues and that Interpretation of terms

of reference the research opportunity in & relevant way.

Monitoring indicators 7 terms of quantity, quality and time

Sub-total General 15

Technical appraisal Scientific merit and Based on good scientific research

Appropriateness of the Methodology should be suitable in

the task

Likely achievement of Proposals should not be objectives within the unrealistically ambitious in terms of

indicated

Availability and suitability Facilities need to be appropriate for of the necessary research the research to be carried out. Where facilities facilities have to be hired, written

confirmation of their availability is required.

hazardous procedures minimise any harmful bi-products or and ethical deleterious effects on the 4 considerations environment

Sub-total Technical Apprisal 30

Score Social and InstitutionalAppraisal Max Actual Poverty focus Research should be undertaken for

Deepening Research should be conducted in decentralisation conjunction with farmers

organisations at decentralised levels of administration Targeting market Proposal should show the link to

improved product Gender focus and Proposals should be designed to gender-responsiveness ensure a fair opportunity for women

research Quality and diversity of Participatory processes followed, participation multi-disciplinarity, diversity and

of agreements and consensus, etc. Sustainable natural Research should not result in any resource management long term reduction in the

resources Capacity development Proposal should include provision

research experience Sub-total Social and Institutional Appraisal 27 Economic Appraisal Expected economic Research outputs should benefit a benefits large number of farmers. Benefits

increase in farm incomes Proposal is cost- Low cost research techniques are

High level of benefits Ratio of benefits to costs should be relative to costs high. Thus high cost proposals can

benefits

Sub-total Economic appraisal 16

Communications Appraisal

Assessment of Proposal should include plans to communication needs assess communication needs of

results Provision to develop Proposal and budget need to provide appropriate materials for production of communication

beneficiaries Provision for Proposal and budget need to provide dissemination informa for programme of dissemination of

partners Sub-total Communications appraisal 12 Total Appraisal APPENDIX 3C Instructions to evaluators

on the criteria explained in the attached table (Appendix 3b), in light of the overall objectives of the scheme and the specific priorities for the current funding cycle as explained in the attached call for proposals and the attached extract from this Guidelines. Please record your ratings and comments using the rating form.

the members of the proposed research team is your close relative or friend or a student whose *you work supervise or if you or your family has a direct or indirect financial stake in the proposed research, or if you have a significant adversarial or competitive relationship with any of the team members you are considered to have a strong conflict of interest. If you have a strong conflict of interest with certain applicants you should not rate their proposals and are not eligible to be paid if you do. (You can still express an opinion on the proposal, but this shall not be presented to the committee as an independent review). If you know that you have a strong conflict of interest or are not sure whether you do, you should immediately contact the Fund Secretariat. In unclear cases, the Fund Manager shall determine whether an unacceptable conflict of interest exists. Minor conflicts of interest should be disclosed. The technical Sub committee will review the Fund Manager's decisions and consider the disclosed conflicts together with the assessments.

assessors in advance to check whether they are available, free of conflicts of interest, sufficiently familiar with the topic to express their opinion, and interested in the assignments. If, for any reason, you find that you cannot or should not perform the task, you should immediately contact the Fund Secretariat.

Secretariat is authorised to pay full assessment fees only to those assessors who submit (or mail-as indicated by the postmark) their assessments by the due date. Assessors who submit their assessments within five working days after the due date shall be paid a reduced fee. No fees shall be paid for reports delayed by more than five days. Instead, the Fund Secretariat is required to seek replacement assessors.

APPENDIX 4 Research Contract

RESEARCH AND DEVELOPMENT COMMITTEE (ZCARDF) has approved a Grant in the amount of

_ ________________________ to the___________________ __

(hereinafter called the grantee) to enable him/her/it to undertake the research project entitled:

2, The Grant is subject to sufficient funds being made available to ZCARDF by the National Agricultural Research Organisation, Local Governments, stakeholder beneficiaries and Development Partners during the full term of the Project.

described in the attached proposal, dated______ and signed by______________ as the principal investigator and ______________________ as the appropriate administrator. The proposal and associated budget are part of this contract. Unless otherwise agreed in writing by the Fund Secretariat, the grant shall be used only to cover the costs included in the budget to implement the activities outlined in the proposal.

SIGNATURES

APPENDIX 5A

Format for quality progress reporting

if any and their institutions

|£). Objective of project and expected outputs/results

4- Note: If it is a completion report, it should also in addition to the above parameters, include the following:

technologies) generated or verified.

planning.

A4. Lessons from project implementation that are relevant for * future projects.

publications have emanated from the project so far

APPENDIX 5B

Format for Quarterly Progress Report

A: Project details

B: Implementation relative to plan

Descrip Planned Actual Planned Actual Quantitative Indicators No. tion of Start Start Finish Finish Quantity Activity Date Date Date Date Units Planned Actual 1

2

3

C: Expenditure report Justified Cumulative Budget Expenditure Item Expenditure in expenditure Budget Balance Item Description this period previous todate (Ush) (USh) (Ush) periods (Ush) (Ush)

Appendix 5C

Format for Quarterly Financing report

Principal Investigator: Project Title: Contract No. Participating (host) institutions

A. Expenditure report Item Month- Month- Month-

(Add rows as necessary for additional items) Total

B. Previous advance Shillings_____________________________ C. Balance (previous advance minus total expenditure)_______ D. Request for additional advance to cover the following three months: Month Month Month

Total additional advance (Shillings) E. Total advance requested (total additional advance less balance) F. Signatures: Signed:. Signed:

(Principle investigator) Title: Date:________________ Date:

APPENDIX 5D

Format for the Annual Report

The purpose of the Annual Report is to summarize significant scientific results from the previous 12 months work. Managerial issues that have arisen should also be described. Any significant changes in the project should be described. The outline for the report is as follows:

Title Page Table of contents Executive Summary

The Executive Summary should be typed double - spaced on a separate page; no longer than on page. Describe purpose of the project. Briefly describe the findings over previous year, and explain how these findings contribute to the project objectives. Clearly describe the nature of collaboration and postgraduate training activities during the year.

The Executive Summary is extremely important. It is the section of the report, which contributors to the NCARF abd policy makers use to assess the impact of NCARF - supported research projects. Write the Executive Summary so that the content is clear and concise.

Research Objectives

Provide a brief statement of project objectives. Do not include unnecessary background, history or literature review.

Research Achievements

Focus on the extent to which progress has been made in achieving the project's objectives since the time of the last Annual Report. Use Performance Indicators to compare and monitor progress against original plans. If results have been published, provide reprints as attachments. Describe any products or procedures that have been patented.

Project Impact

Are results from the project being *used? If so, how? If not, what are the anticipated uses? If so, describe revision.

Administrative or Management Issues

Describe any project administrative or management issues that have arisen since the last progress report.

Budget

Describe and justify major changes (10% or more in budget terms) to budget. Provide details as to all budgetary contributions to the project. Compare with the original plan and highlight any significant issues. Provide a detailed budget using the following format (as for the detailed work-plan) for the coming 12 months or remaining duration of the project. Required inputs and unit Month and activity Estimated cost costs/rates Month Etc. Sub-totals

Collaboration and Publications

Briefly describe collaborative activities, indicating who was involved, and when and where the activities occurred. Describe anticipated activities in the next quarter, and list project publications that have appeared since the last report.

Fund Management Secretariat Actions

Indicate how the Fund Management Secretariat can assist in promoting project implementation and productivity.

APPENDIX 5E

Format for Annual Financial Report

Principal Investigator: Project Title: Contract No. Participating (host) institution:

A. Expenditure report

Item Quarter 1 Quarter 2 Quarter 3 Quarter 4

(Add rows as necessary for additional items) Total B. Previous advance Shillings C. Balance (previous advance minus total expenditure) D. Request for additional advance to cover the following year:

Quarter 1____ Quarter 2___ Quarter 3_______ Quarter 4___ Total additional requested (total additional advance less balance) E. Total advance requested (total additional advance less balance)

F. Signatures: Signed:__________________ Signed:_______________ (Principle Investigator) Title:__________________ Date:______________________ Date:________________

APPENDIX 51

Format for End of Project Report

Institutions

Note: If it is a completion report, it should also in addition to the above parameters, include the following:

technologies) generated or verified

Planning

future projects

Publications have emanated from the project so far

APPENDIX 5G

Format for End of Project Financial Report

Principle Investigator: Project Title: Contract No. Participating (host) institution:

A. Expenditure report Item Year 1 Year 2 Year 3 L Wages/fees/allowances

Total

B. Total advance Shillings____________________________

C, Balance (total advance minus total expenditure)________

D. Signatures:

Signed:_______ __________ _ Signed:_______________

(Principle Investigator) Title:_________________

Date:__________ ___________ Date:________________

APPENDIX 6

Indicative Timetable Call for proposals advertised July 05 Jan 05 Closing date for pre-proposals Aug 01 Feb 01 RGMC-WG feedback on pre-proposals Aug 15 Feb 15 Closing date for proposals Sept 30 Mar 30 Pre-screening ends; proposals to assessors Oct 10 April 10 Assessments due Oct 30 April 30 Substitute assessors, info to technical committee Nov 20 May 20 nembers RGMC meeting Dec 10 < June 10 Approval letters sent Dec 15 June 15 Due date for acceptance/modified proposals Dec 31 June 30 First instalment of funds sent Jan 01 July 01

DR. ISRAEL KIBIRIGE SEBUNYA, Minister of State for Agriculture currently holding the portfolio of the Minister of Agriculture, Animal Industry and Fisheries