Grant Administration

GUIDING PRINCIPLES

1. The NRF grants will be administered to the successful researchers through their respective institutions. The Successful researchers’ institutions will be the Grant Administrative Authorities as it may be defined in Grant contracts from time to time.
2. The administration of funds will be guided by the following general guidelines: –
   • That the Grant will not be subject to any administrative costs, levies, or fees.
   • The Grant will be administered through the researchers’ host institutions;
   • The researchers and institutions shall spend the funds to undertake approved research activities and adhere to the work plans, all as set out in the approved research proposal without any amendments unless with written approval from Fund;
   • The Grant shall be released only after the grant contract is duly signed between the NRF, the researchers and their Host institution;
   • The initial funds’ disbursements will be based on the specific grant requirements and conditions spelt out in the contract.
   • Disbursement of subsequent project funds shall be approved subject to adequate performance/ progress of project implementation.
   • The researcher will be required to refund money in case of misappropriation and utilization of the fund for purposes not related to the approved project.
   • The researcher will be obligated to participate in site visits and conferences for monitoring and evaluation of the project activities and dissemination of the findings as NRF may deem necessary.

MONITORING PROJECT PERFORMANCE

1. The Fund will be responsible for undertaking performance monitoring and evaluation of the approved projects.
2. The Fund will develop a Monitoring and Evaluation framework to ensure efficiency and effectiveness.
3. Project grantees and Administrative Authorities will have full responsibility for the conduct of the project or activity supported under an NRF grant and for the results achieved.
4. The grantees shall ensure adherence to performance goals, time schedules or other requirements as appropriate to the project or the terms of the grant.
5. In order to carry out these responsibilities, each grantee organization shall agree to comply with the applicable NRF and Government of Kenya requirements for grants and to the prudent management of all expenditures and actions affecting the grant.
6. Documentation for each expenditure or action affecting the grant shall reflect appropriate organizational reviews or approvals, which should be made in advance of the action.
7. Notwithstanding these responsibilities, NRF, through authorized representatives, has the right, at all reasonable times, to make site visits to review project accomplishments, grantee management control systems and administration and management of the grant and to provide technical assistance as may be required.
8. If any site visit is made by the NRF on the premises of the grantee or a sub-awardee under a grant, the grantee shall provide all reasonable facilities and assistance for the safety and convenience of the NRF representatives.

CHANGES IN OBJECTIVES, METHODOLOGY OR SCOPE

1. Neither the phenomena under study objectives nor methodology of the funded project stated in the proposal or agreed modifications thereto should be changed without prior NRF approval.
2. Requests for such changes should be communicated to NRF for consideration and necessary approvals.
3. Prior NRF approval also is required for any change to the Facilities, Equipment, and Other Resources section of the approved proposal that would constitute a change in objective or scope.

SIGNIFICANT CHANGES, DELAYS OR EVENTS OF UNUSUAL INTEREST

1. In the event there are problems, delays or adverse conditions that will materially affect the ability to attain the objectives of the project or to meet such time schedules as may have been proposed, grantees should notify the NRF.
2. NRF should be informed of any events of unusual interest that occur during the course of the project and relevant reports submitted.

CHANGES IN GRANT BUDGET

1. If required in furtherance of the project, the grantee is authorized to transfer funds from one budget category to another for allowable expenditures in budget. Grantees shall however submit a report on the same during their periodic reporting.
2. Major changes (including those affecting the entire budget) based on the assessment of the Principal Investigator shall require prior approval by the NRF.
3. When a change requires NRF approval, written requests should clearly state which budget items, if any, are to be changed and by what amounts, and should explain the reasons for any changes.

TERMINATION OF AWARD

A research grant award may be terminated before the end of a project if:-

1. The Principal Researcher requests in writing that the award be terminated;
2. The Principal Researcher is unable to carry out the research as specified in the grant;
3. The Administrative Authority institution requests in writing that the award be terminated because of justifiable reasons;
4. The Principal Researcher fails to notify the NRF of any change in his/her affiliation with the department or institution on record at the time the award was made;
5. The Principal Researcher changes any aspect of the project from that which was originally approved by the NRF, including significant changes in the specific aims of the research studies, without prior notification and approval by the Board;
6. Reports of progress and recommendation for continuation from Administrative Authority are not received from the Principal Researcher within three (3) month of the end of each award year;
7. The Principal Researcher is found by a professional body or relevant authority organization to have committed professional misconduct or fraud.
8. Report of the Monitoring and Evaluation recommends.

PROGRESS PROJECT REPORTS

1. A progress report shall be submitted every twelve (12) months after the commencement of the research and in accordance with the Plan of Action approved for the research
2. All progress reports shall be submitted in soft copies or portal to be provided by NRF to the grantees on the grant contract
3. All the progress reports will be examined by the NRF Secretariat and will be used as a basis for monitoring and evaluation together with the proposal document.

FINAL PROJECT REPORTS

1. At the completion of the research, a final report using a template to be provided by the NRF will be used to submit final report.
2. For the final report to be accepted by the NRF, it must be endorsed by the Head of Institution (where applicable) before submission by the Principal Researcher to NRF.
3. The final report will include the following:
   • Full financial report;
   • List of all publications and other outputs arising from the award;
   • List of all trainees who have successfully completed their training under the award;
   • Major capacity building activities completed;
   • New networks formed;
   • Impact of the project on ST&I sector policies in Kenya/sub region; and
   • How any major activities are expected to continue beyond the current grant.

GRANT CLOSEOUT

1. Grants will be financially closed based on final costs reported on the Financial Report (FR) one full quarter after the expiration of the grant.
2. Grants will be administratively closed after receipt of the Final Project Report and after determination that any other administrative requirements in the grant have been met.
3. In the event a final audit has not been performed prior to the closeout of the grant, NRF reserves the right to recover appropriate amounts after fully considering the recommendations on disallowed costs resulting from the final audit.

CASH REFUNDS AND CREDITS TO NRF

1. Final Unobligated Balance -NRF will have a reversionary interest in the unobligated balance of an award upon expiration or completion of the award. Based on final payment amounts submitted by NRF and financial reports by recipients, the final unobligated balance will be computed by NRF and de-obligated from the award amount.
2. Erroneous Payments – Advances or reimbursements made in error shall be must be refunded to the Fund. Excess funds should be promptly refunded.

ANNUAL FINANCIAL REPORTS

1. A brief account of the expenses made for each research grant shall accompany every progress report as indicated in Section 6.5.1 above.
2. Also, at the end of each grant year, an annual financial report shall be submitted to the NRF.
3. Any unspent funds remaining at the end of each grant year may be carried over to the following grant year.

FINAL FINANCIAL REPORTS

1. A full account of all expenses made for a research project shall be due within 30 days of the termination of the grant.
2. Unexpended funds remaining at the end of the grant must be returned to the Fund if renewal request is not successful.
3. If renewal request is successful, the remaining funds from the previous grant will be applied to the first payment of the renewal grant using the prescribed forms.

CONTRACTUAL OBLIGATIONS AND FORCE MAJEURE

The relationship between the NRF and the grantee should be formally captured in a binding contract. This shall make provisions for:

CONTRACTUAL OBLIGATIONS

1. When a project proposal is approved, a binding contract will be signed by the Principal investigator, the host/participating institution and the NRF;
2. The host/participating institution will:
   • Administer the contract in an efficient manner and provide personnel, transport, equipment, financial resources, other facilities and services necessary for the project as indicated in the proposal;
   • Assist in monitoring the implementation of the project;
   • Refund funds relating to unsupported and/or ineligible expenditure; and
   • Refund unspent balance on completion of the project unless otherwise agreed with the NRF Secretariat
3. The principal investigator undertakes to:
   • Submit progress reports, annual reports (if applicable) and a project completion report;
   • Agree on the termination of the contract upon proven unsatisfactory performance;
   • Refund funds relating to unsupported and/or ineligible expenditure;
   • Refund unspent balance on completion of the project, unless otherwise agreed with the NRF Secretariat;
   • Keep the NRF Secretariat informed on any possible applications of research results and acknowledge the NRF in eventual publications;
4. The NRF reserves the right to terminate the contract if implementation of the project is not commenced within six months of the award of the research grant;
5. Upon completion of the project, the equipment purchased from grant funds will become the property of the host/participating institution, unless otherwise stated in the addendum to the agreement;
6. If in the opinion of the NRF, it appears desirable that a contract should be terminated for any reasons, the Fund may at any time inform the host/participating institution or the principal investigator (PI) of its decision by a written instruction to that effect.
7. The institution or PI will submit an account in writing which will state the amount claimed, taking into account all fees and costs properly incurred or committed by the institution of PI in relation to the contract which cannot be recovered, and taking into account outstanding advances.
8. All special conditions given in the addendum to the agreement will be part of the agreement and will be legally binding.