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June, 2008

Science and Technology Education Post-Basic (STEP-B) Project

Project Implementation Manual

Abuja-Nigeria

June 2007

This version is based on the Mach 2007 version. Significant changes have been suggested using Word’s Track Changes feature.

1. Introduction 12 STEPB Project Vision and Desired Impact 13. STEPB Project Development Objective (PDO) 24. STEPB Project Description 25. Detailed STEPB Project Description 4

Component 1 - Quality Enhancement and Innovation Fund (QEIF). 4Component 2 - Supporting the emergence of centers of excellence 6Component 3 - Supporting sector-wide initiatives 8

6. Rationale for STEPB Project structure 107. STEPB Project duration and sustainability 118. Project Operating Principles 119. Procedures for Processing Grant Proposals 12

Component 1 12Component 2 19Component 3 20

10 Implementation Structure 2111. Financial Management and Financial Reporting Requirements 2512. Procurement 2513. Disbursement 2614. Environmental Impact and Risk Minimization 2615. Supervision of the STEPB Project 2616. Monitoring and evaluation 2617. Intellectual Property Rights 2818. Amendment of the PIM 28Annex A

Roles and Responsibilities for the National Project Steering Committee 29Annex B

Roles and Responsibilities for the STEPB Technical Review Committee 30Annex C

Roles and Responsibilities of the National Project Secretariat (NPS) 31Annex D

Sample Standardized Scoring Template for STEPB Proposals 38Annex E

Proposal Facilitation 41Annex F

Options for selecting institutions to be supported toward Center of Excellence Status 43Annex G

Recommendations from the STEPB Synthesis Report 47Annex H

Standardized Actual Costs for Sub-Project Proposal Budget Calculation 49

STEPB Project: Project Implementation Draft, NPS July 09 page 1

Glossary of Terms

Glossary of TermsCoEx Center of ExcellenceCV Curriculum VitaeEDMS - Education Data Management StrategiesEMIS - Education Management Information SystemETF - Education Trust FundFCST - Federal Colleges of Science and TechnologyFCTA - Federal Capital Territory Administration FGN - Federal Government of NigeriaFMC - Financial Management CommitteeFME - Federal Ministry of EducationFMF - Federal Ministry of FinanceFMST - Federal Ministry of Science and TechnologyFUT - Federal Universities of TechnologyFSTC - Federal Science and Technical CollegeGPN - General Procurement NoticesGPPG Grant Proposal Preparation GuideHME - Honorable Minister of EducationIAB International Advisory BoardICR - Implementation Completion ReportICT - Information and Communication TechnologyIDA - International Development AssociationMAN - Mathematics Association of NigeriaM & E - Monitoring and EvaluationNAS - Nigerian Academy of ScienceNBTE - National Board for Technical EducationNCCE - National Commission for Colleges of EducationNCE - Nigeria Certificate in EducationNCE - National Council on EducationND - National DiplomaNEEDS - National Economic Empowerment and Development StrategyNERDC - National Education Research and Development CouncilNGO - Non Governmental OrganizationNPC - National Project CoordinatorNPS National Project SecretariatNPSC National project Steering CommitteeNQF - National Qualifications FrameworkNSTF - National Science and Technology FoundationNTC - National Technical CertificateNUC - National Universities CommissionNVQF - National Vocational Qualifications FrameworkODL - Open Distance LearningOECD - Organization for European Cooperation and DevelopmentPAD - Project Appraisal Document


PBEI Post-Basic Educational InstitutionPDO Project Development ObjectivePIM Project Implementation ManualPIP - Project Implementation PlanPIU - Project Implementation UnitPMU - Project Management UnitPS Permanent SecretaryPTDF Petroleum Development Trust FundPPF - Project Preparation FacilityQEIF Quality Enhancement and Innovation FundR&D - Research and DevelopmentSOE - Statement of ExpenditureSSC - Senior Secondary CertificateSSS - Senior Secondary SchoolS&T - Science and TechnologySTAN - Science Teachers Association of NigeriaSTE - Science and Technology EducationSTEPB - Science and Technology Education Post BasicTA - Technical AssistanceTRC - Technical Review CommitteeTVET - Technical Vocation Education TrainingUNESCO - United Nations Educational, Scientific and Cultural OrganizationVAT - Value Added Tax


SCIENCE AND TECHNOLOGY EDUCATION AT THE POST BASIC LEVEL(STEPB) PROJECT

Project Implementation Manual

1. Introduction

1. The Federal Government of Nigeria (FGN) with support from the World Bank is implementing a Science and Technology Education at the Post Basic level (STEPB) project whose objective is to improve the quality, equitable access to, and relevance of science and technology education at the federal post-basic level so as to increase the country’s competitiveness in a globalizing world.

2. The need for the STEPB project and the proposed priority areas of intervention are based on a related study conducted at the request of the Federal Government of Nigeria (FGN). This STEPB study was completed in the period of October 2005 to June 2006. The final STEPB Synthesis report is based on 6 technical studies which were implemented by the main public and private S&T education stakeholders. The study aimed to assist the FGN in prioritizing and drawing up a strategy for strengthening Post-Basic S&T Education in the country. S&T has been identified in the National Economic Empowerment and Development Strategy (NEEDS) as a key driver for economic growth and social development. The study was conducted by joint teams of Nigerian and international experts and involved extensive consultations with all stakeholders. The main conclusions and recommendations of the study are given in Annex G of this report1. The STEPB Project seeks to respond to the recommendations of the study.

3. The STEPB project will target only the science and technology (S&T)-related federal post-basic education institutions i.e. senior secondary schools, polytechnics, colleges of education and universities. It aims to support the FGN in improving the quality, relevance and equitable access to S&T programs and research at select Federal Post-Basic Institutions to promote improved responsiveness to the labor market. The project is specifically designed to catalyze innovation and to encourage partnership amongst institutions, and between institutions and the private sector.

2 STEPB Project Vision and Desired Impact

1 World Bank, 2006. Nigeria Science and Technology Education at the Federal Post-Basic Level: Main Synthesis Report, http://www-wds.worldbank.org/servlet/main?menuPK=64187510&pagePK=64193027&piPK=64187937&theSitePK=523679&entityID=000020953_20070110112647


4. The vision underlying the STEPB Project is of strong S&T-led growth for Nigeria. The project aims to achieve impact by strengthening the capacity of federal post-basic education institutions and their management systems to deliver high quality products that are relevant to the country’s S&T-related needs; and by sensitizing the broader stakeholder community in Nigeria on the critical role of S&T to enhance economic transformation and human development within an increasingly globalizing world.

5. Specifically, the project will: Improve the quality of teaching and learning in federal post-basic S&T

institutions Strengthen S&T research capacity in tertiary institutions, including skills to

transition from research output to commercializable products and services Support a few select institutions that have the potential to eventually become

centers of excellence in key areas deemed critical to national development Address cross-cutting sector-wide issues in S&T policy, management and

development that have a national character and whose implementation will have an impact beyond the lifetime of the project

6. Compared to the magnitude of the challenges facing the STEPB sub-sector in Nigeria, the STEPB Project is relatively quite small. Thus, the project is designed to avoid spreading funding over many activities. Instead, a few key activities will be selected and adequately funded to produce visible results that have a demonstration effect.

3. STEPB Project Development Objective (PDO)

7. The STEPB Project Objective is for the Nigerian federal post-basic education and research sub-sector to produce more and better qualified Science & Technology graduates, and higher quality and more relevant research.

4. STEPB Project Description

8. The STEPB Project consists of three components, and various sub-components and activities as shown in Table 1. Table 1 also shows funding ceilings for proposals funded under each sub-component. The proportions of total STEPB Project funding available for each component and window are specified in the Project Agreement documents.


Table 1: STEPB Project Component Description

Component Sub-Component description

Funding Categories

Major eligibility considerations

Component 1Quality enhancement and innovation fund (QEIF) in STEPB45%, US$ 81 million

Sub-component 1ACompetitive awards for research and technology development30%, US$ 54 million

Window A Institutional awards up to US$ 250,000, 18% US$ 32 million(about 140 grant proposals)

Individual PBEIs can submit a subsequent application if implementation of the earlier grant proposal is evaluated to be satisfactory.

Window BPartnership awards up to US$ 800,000, 10% US$ 18 million(about 22 grant proposals)

Partnerships amongst PBEIs and/or with industry. PBEIs can submit a subsequent application if implementation of earlier grant proposal is evaluated to be satisfactory.

Window C (2) “Innovators of Tomorrow” awards up to US$ 20,000 2% US$ 4 million(about 400 grant proposals)

Students in their final year of study in a federal PBEI, graduating with a bachelors, masters or doctoral degree in a S&T area. Awardees must provide evidence of availability of quality supervision and working facilities during and after graduation.

Sub-component 1BCompetitive awards for STEPB teaching and learning in PBEIs15%, US$27million

Awards up to US$ 3 million,(about 9-12 grant proposals)

Applications can come from individual or groups of PBEIs.

Component 2Supporting the emergence of Centers of Excellence30%, US$ 54 million

Competitive awards for emerging Centers of Excellence

Awards of up to US$ 7 million (about 7-9 CoEs)

PBEIs can apply to get support to become Centers of Excellence in a S&T area. Applicants will be required to establish (or have established) links with internationally recognized institutions in their specific S&T area.

Component 3Supporting sector-wide initiatives and project management15%, US$ 27 million

Sub-component 3A10%, US$ 18 million Supporting national policy and planning andinstitutional strengthening

Proposal funding ceilings will be determined by the TRC.

Proposals from federal agencies and professional organizations will be eligible as part of agencies’ annual implementation plans (e.g. NUC, NBTE, NCCE, NSE, NAS, STAN, MAN, NITDA, NASENI NARICT).

Sub-component 3B 5%, US$ 9 millionSupporting STEPB project management and administration

The National Project Secretariat will prepare and propose a project annual implantation plan that will be submitted to the National Project Steering Committee

Unallocated10%, US$ 18 million


5. Detailed STEPB Project Description

Component 1 - Quality Enhancement and Innovation Fund (QEIF).

9. This component is dedicated to enhancing quality and improving relevance in research and technology development and promoting equitable access to teaching and learning in STEPB in Nigeria. Component 1 operates as a competitive fund disbursing and is divided into two sub-components, A and B one dedicated to research and development activities and the second dedicated to teaching and learning.

10. Sub-component 1A (US$54 million; 30% of total Credit) provides competitive grants for improving access to basic and applied research (in collaboration with industry) in S&T to improve quality and relevance to local and national S&T needs. This sub-component is disbursed through three windows, A, B and C. Component 1A will be disbursed through three windows, A, B and C. Window A supports S&T research teams within individual PBEIs and federal government S&T agencies. Window B supports S&T research by consortia and Window C supports young individual innovators who are in the final year of their degree programs.

11. Sub-component 1A, Window A: Competitive grants for research and technology development (18% of total Credit; US$32 million). Institutional grants of up to US$250,000 to support S&T research and capacity building within individual STEPB institutions. This window is intended to support high quality S&T research of relevance to local and national S&T needs through around 140 research awards. Applicants may be individual STEPB institutions or a group of institutions working in partnership. Any S&T area will be considered but applicants are encouraged to justify their proposed area of research in terms of national, regional and local development needs. Proposals will be referred to the Technical Review Committee (TRC) for review and the TRC will ensure that the overall portfolio of awards as far as possible covers the whole spectrum of national S&T needs.

12. Applications under this window can include; (a) pure S&T research; (b) applied S&T research; (c) development of technological ideas, processes and services; (d) research into S&T demands by the labor market (e) research into S&T education and; (f) research into S&T policy development. Proposals that extend and add value to existing research are encouraged. It is recognized that many PBEIs do not yet have the necessary well-developed infrastructure in terms of access to library material, ICT connectivity or laboratory facilities and technical expertise. Proposals that request help to establish these facilities as a pre-requisite for developing a research grant proposal will be considered as well as an application for the proposal itself.

13. Applicants are expected to provide evidence of capacity to implement the proposed activities, including specific information on the team of researchers to be involved. Proposals can be designed in such a way as to have a number of elements each managed by different departments, institutes, centers/other units, teams of researchers or individual researchers. The application should include information on the guidelines to be applied


within the institution to ensure quality, transparency and accountability in implementing the proposal. Successful applicants will have up to 2 years to utilize the funds with the possibility of extension if the funds are not fully utilized within this period. Unsuccessful applicants will be assisted to revise their proposals and resubmit during the next call for funds. Institutions evaluated to have successfully achieved the objectives of the first grant may apply for a subsequent grant within the project duration.

14. Sub-component 1A Window B: Partnership grants for research and technology development (10% of total Credit; US$18 m). Partnership grants up to US$800,000 to support partnerships between two or more STEPB institutions (groups) and industry. Around 22 partnership awards will be made specifically for activities involving collaboration between PBEIs or between such institutions and industry. The higher threshold for partnership grants will only be available to institutions that form a team of at least two institutions to undertake joint research activities. Partnerships are encouraged to cut across the entire post-basic S&T education sub-sector at the federal level, and, in particular include institutions such as senior secondary S&T education institutions, the private sector, NGOs and government S&T agencies. Eligibility and evaluation criteria and examples of grant proposal areas of activity are the same as for Window A.

15. Sub-component 1A Window C: Innovators of Tomorrow award (2% of total Credit; US$4 m). Innovator grants of up to US$20,000 to individual S&T graduates (Bachelor, Masters and PhD) in their final year to encourage “Nigerian innovators of tomorrow”. These will be national competitive awards of up to US$20,000 to around 160 students yearly. Eligible applicants are students completing their final year of study in bachelors, masters or doctoral programs from a Nigerian tertiary education institution. Applicants for the award must be able to demonstrate exceptional entrepreneurialism and innovativeness in an area of economically promising technology development. In the application for the award, each proponent will detail their plan to develop or refine a commercially viable S&T idea that is still at the concept stage.

16. Budgets for all Component 1A windows must be fully justified and commensurate with the activities proposed in the submitted proposal forwarded by the grant proponents to the National Project Secretariat and reviewed by the Technical Review Committee as detailed later in this PIM. It is strongly recommended that not more than half of the grant amount awarded would be used for purchasing equipment and under no circumstances should this proportion exceed 70%. Components should put in place adequate arrangements for installing and commissioning of the items of equipment procured under the project.

17. Sub-component 1B: Competitive grants for improving teaching and learning (15%, of total credit, US$27million). This window seeks to raise the quality of post-basic S&T teaching and learning activities, sharpen the relevance to local and national needs of S&T teaching and learning activities and improve their efficiency and management. Window B of Component 1 will also support mechanisms that promote greater access to S&T tertiary level programs, particularly for females. The Window supports the


achievement of these objectives through proposed activities designed to achieve the following goals, though this list is not exhaustive:

Improving knowledge and skills development through the revision of post-basic S&T curricula to reflect changes in disciplinary knowledge, technology advances, national skills and research and technology development needs, and the evolving requirements of the labor market

Enhancing the awareness and competence of academic and technical staff in light of: (1) rapidly changing understanding of how effective and efficient teaching and learning take place; (2) institutional priorities; and (3) evolving national development and human resource needs

Enhancing the physical learning environment in STEPB institution through workshops, improved laboratory facilities, up-to-date books and journals, and better access to course and career relevant information through more appropriate technology than is currently available

Enhancing the competencies of teachers in secondary schools through a variety of means such as further degree programs, in-service programs, establishment of support centers, real and virtual, etc

The integration of ICT into teaching and learning processes

Providing S&T outreach and popularization programs with the objective of encouraging a greater proportion of qualified school leavers, particularly girls, to follow S&T career paths

Developing STEPB institutions’ policy frameworks for the management of HIV and Aids on campuses and supporting activities such as increasing Aids awareness among all campus communities, integrating HIV and Aids issues into S&T curriculum at the post-basic level, and helping those in the post-basic education environment affected with HIV and Aids to cope.

Component 2 - Supporting the emergence of centers of excellence 18. A center of excellence is defined as:“A research program managed by an institution, an advanced research institute, a network of institutions or operating independently, typically in one geographic location and deemed by merit review to be of the highest international quality in personnel, infrastructure and research output.”2

19. Funding under this Component will provide awards of up to US$7m to federal PBEIs based on proposals prepared by groups of researchers, working in collaboration with researchers in other Nigerian institutions, international academic institutions and other partners such industry, professional organizations, state governments or non-

2 Inter Academy Council, 2004. Investing a Better Future: A Strategy for Building Worldwide Capacities in Science and Technology, January.


governmental organizations (NGOs). The Centers will be selected through a merit-based process that will also ensure that selected disciplines match national development priorities and effort will be made to achieve a healthy geographical distribution. Eligibility criteria and the procedures to be applied in selecting the centers are given in the Revised Grant Proposal Preparation Guide (GPPG).

20. In the context of the STEPB Project, Centers of Excellence are conceived as institutions or institutional networks that are in a position to exert a considerable influence on the quality of post-basic S&T education generally in Nigeria; support should lift not just the level of quality of STEPB at the individual recipient institution(s) but also have impact on the wider environment and the country.

21. Centers of Excellence are institutions that are internationally recognized in their chosen S&T field. In consequence they are able to forge equal partnerships with similar institutions abroad, are able to attract research funding and contracts and offer sought after services to Nigerian industry. Characteristics expected of emerging centers will include the following:

Productive partnerships with overseas and African institutions of acknowledged expertise in the area of the Center of Excellence which include not only collaborative research and development, but also activities such as training (at all levels), electronic sharing of teaching and learning materials, and regular exchange of staff

Productive partnerships within Nigeria with private sector institutions, other PBEIs, government agencies and NGOs in the area of expertise of the center

Well-equipped facilities for research and development

An effective and efficient program producing high quality graduates (with particular attention to female graduates) at all levels in the discipline of the center that meet the demands of the labor market

A consistent and sustainable output of peer-reviewed research papers, patents, research and consultancy reports

A verifiable impact on socio-economic and technical development and ultimately on the quality of life in Nigeria.

22. Examples of activities and items that might be funded under this component are: the purchase of new, modern laboratory equipment;

light rehabilitation of essential laboratories (the construction of new facilities will not be supported);

cooperative international scientific projects with research teams outside Nigeria;

the installation of ICT, library media and related equipment;


training of staff for capacity building and management (technical middle- and higher level staff and technicians);

workshops, conferences, study tours;

research stipends for outstanding research fellows;

stipends for post-doctoral scholars to conduct research at the centers and;

awards to attract visiting professors from outside Nigeria to teach and conduct research at the centers

23. A Center of Excellence might be hosted within any PBEI or government research agency.

24. Specific examples of emerging Centers of Excellence that might qualify for funding include:

A university-based center for the study of virology that seeks to build up a wider center for disease control and/or network with other centers focused on epidemiology, virology, tropical disease research, etc., in Nigeria or internationally.

A university or polytechnic seeking to become a Center of Excellence in solid minerals technology through investments in curricula laboratory equipment, strengthening capacity for minerals analysis, setting up of a mini-processing plant to add-value to minerals, recruiting technical assistance in specialized technologies for a limited time (technology transfer) and other related activities that address the strategic objective of the STEP-B project and the S&T development goals of Nigeria.

A PBEI seeking to become a Center of Excellence in S&T distance learning using e-learning technology.

An institution or agency wants to become a center of excellence in an emerging technology (e.g. nanotechnology, biotechnology or genetic engineering) through the development, not only of its own research laboratories and staff competencies but also through international research team links with sister research institutions able to provide complementary services.

An institution or agency wants to develop into a center of excellence in S&T policy studies to support policy development and implementation in Nigeria.

Component 3 - Supporting sector-wide initiatives

25. Component 3 supports S&T initiatives that can achieve a sector-wide impact. It is composed of two sub-components, A and B. Sub-component 3A will support


strengthening of national policy and planning, institutional strengthening and management capacity building while Sub-component 3B will support STEPB project management.

Sub-component 3A - Supporting national policy and planning 26. Sub-component 3A. Support under Sub-component 3A will focus on the development and implementation of S&T policy and planning initiatives as well as sub-sector-wide institutional strengthening activities that address identified systemic shortcomings such as those identified in the STEPB synthesis report, Science and Technology Education at Post-Basic Level (STEPB). Examples could include:

1. Developing ICT connectivity in STEPB institutions at the secondary and tertiary level or initiating the development of a nationwide network of e-learning centers shared between institutions

2. S&T focused programs to raise awareness and attract interest in S&T among secondary school students and bringing federal secondary schools into partnership with PBEIs

3. Development and start-up of a National Vocational Qualifications Framework

4. Development of e-portal for data capture and management across the PBEIs

5. Support the evolution of a holistic S&T and Innovation policy as well as undertake sustainable activities to address current information gaps in S&T in the areas of capacity building for data gathering related to R&D

6. Support for the development of a framework for the evolution of a National System of Innovation

7. Piloting by one or more of the PBEIs of a Labor Market Observatory to among

others, undertake employability related studies and measure the relevance of STEPB graduate output

8. Organizing and implementing national awareness campaigns on S&T relevant topics

9. The revision of the secondary science and technology curricula

10. The development and implementation of teacher educations standards.

Sub-component 3B – STEPB project management and administration27. This sub-component will support the management of the STEPB project. These costs include:

Procurement of requisite office equipment for the NPS and training for the staff in project management, procurement, financial and audit management and M&E


Technical assistance to the NPS to implement all project elements

Operational costs for project implementation

Capacity building for monitoring and evaluation

Contractual services commissioned by the National Project Secretariat.

6. Rationale for STEPB Project structure

28. The STEPB project is intended to serve as a catalyst for improvements in quality, relevance, access, and efficiency in STEPB institutions, leading to demonstrable effects that can be emulated across the system and/or scaled up. For this reason, the STEPB project has been designed to focus investments, through Components 1 and 2 on a limited number of promising initiatives that have the potential to create high impact within the lifetime of the project. The project aims to bring about change through two innovations:

The competitive Quality Enhancement and Innovation Fund (QEIF) Support for the emergence of Centers of Excellence at a few select institutions.

29. A number of system-wide initiatives, necessary to provide a solid foundation for the sector development will be supported by Component 3A

30. The manner in which support to these Components will be allocated is explored in detail later in this document and in the Revised Grant Proposal Preparation Guide (GPPG).

31. The competitive QEIF and the support for the emergence of Centers of Excellence is intended to pilot a new way of doing things in Nigeria that has been shown to be effective in catalyzing innovation and efficiency in other countries3. The QEIF is intended to allow a range of institutions in the S&T federal post-basic community to implement or scale up new ideas/proposals or to experiment with innovative approaches in research, teaching, learning and management. Institutions eligible for STEPB’s QEIF include polytechnics, FCST, teachers’ colleges, universities, networks of STEPB institutions, units within STEPB institutions,, individual researchers or groups of researchers and their partners (i.e., private sector, etc.).

32. All proposals submitted for funding through the QEIF will be subjected to a rigorous peer review exercise as a basis for recommending funding. Specific guidelines for preparing proposals, the eligibility and selection criteria and the procedures for reviewing proposals are outlined in this document. Details are also provided in the Revised Grant Proposal Preparation Guide (GPPG) that is available to all proponents.

3 World Bank, 2006. Innovation Funds for Higher Education: A User’s Guide for World Bank Funded Projects. Education Advisory Service, World Bank, May.


33. The QEIF will be competitive in the sense that only proposals that meet agreed criteria will be supported. Included in those criteria considered essential is relevance to national and local need, emphasis on inclusion of women and girls, and a host of other quality and capacity related criteria enumerated later in this document. The QEIF is also intended to stimulate quality enhancement and provide positive incentives for capacity building by ensuring that within the resources available, those institutions that submit the most clear, well-structured proposals consistent with the eligibility and selection criteria and overall objectives of the STEPB project will receive support.4

34. Support for emergence of centers of excellence will also be competitive but in the sense that the competition will be structured around a limited number of S&T disciplines selected by the National Project Steering Committee to ensure alignment with national priorities for growth and taking into account the need for a balanced development of all parts of the country.

35. Supporting system-wide improvements. Funds for system-wide improvements under component 3 will be made available in accordance with the Project Financial Management and Procurement Manuals. These ‘horizontal initiatives’ are intended to complement the vertical institution-specific activities funded in Components 1 and 2.

7. STEPB Project duration and sustainability

36. The STEPB project will be implemented over a 4-year period, beginning on the date of signing of an agreement between the FGN and the World Bank.

37. It is expected that each grant proposal will include a plan for sustaining the results and impacts to be created under the project beyond the duration of STEPB project funding. At the national level, the FGN, through its established funding mechanisms such as the Education Trust Fund (ETF), and Petroleum Development Trust Fund (PTDF), is expected to sustain and possibly scale up the gains of the project during and after its lifespan.

8. Project Operating Principles

38. The STEPB Project will be implemented according to international best-practice for competitive allocation of research/project resources and will adhere to the following principles:

4 More information on competitive funds (also referred to as innovation funds in the literature) can be found at www.worldbank.org/afr/teia.


Transparency and rule–bound operating procedures. Project rules and procedures will be widely and readily disseminated, and information on the STEPB Project will routinely be made available publicly in a timely manner.

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

Avoidance of conflict-of-interest. Members of the Technical Review Committee and other decision-makers will not decide on issues in which they have a material interest in the outcome. Members of the Technical Review Committee and the National Project Secretariat are not eligible to compete for or participate in STEPB Project grant activities.

Safe, ethical and environmentally acceptable research. Funded research teams and other participants will adhere to appropriate project-specific and national guidelines on safe and ethical conduct of research (bio-safety, laboratory safety, informed consent, etc.)

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

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

9. Procedures for Processing Grant Proposals

39. Procedures for processing grant proposals differ according to the Components. Applications to Components 1 and 2 will compete for funds through a competitive process as described below. For Component 3 details such as focus of intervention, funding ceilings and criteria eligibility and selection will be determined a priori by the NPS and included in the annual work plan for implementation. The NPS will develop in conjunction with the proponents TORs for each specific activity under the Component. The following paragraphs further describe the procedures.

Component 140. Processing of proposals for funding under Component 1 of the STEPB Project starts with a Call for Proposals that will be publicly announced by NPS at least once a year. There will be 2-3 Calls for Proposals before Mid-Term Review (MTR) of the project. After this, there may be additional rounds depending on availability of funds. Proposals already approved for funding prior to the MTR will continue to be funded provided that they continue to perform satisfactorily. The sequence of events from a Call for Proposals to public announcement of successful applicants is as follows:


1. Calls for Proposals will be issued at least once in a year normally at a time to be determined by the NPS in consultation with the TRC.

2. Once announced, a Call for Proposals stay open for 60 days during which applicants are invited to submit completed applications for STEPB Project financing.

3. Once the Call for Proposals is closed, the NPS will refer applications to the Technical Review Committee (TRC) which will have 30 days to review the proposals and submit their recommendations.

4. The proposals will be screened by the NPS to ensure that (a) all the required documentation has been received and that all prerequisites for evaluation have been met (see Annex D for a list of pre-requisites) and (b) the proposals meet the criteria for innovation outlined in section 6 above.

5. The process of proposal review by the TRC will result in one of four outcomes for every application: (1) reviewers recommend that the proposal be cleared for STEPB Project funding; (2) the proposal is short-listed for possible funding and the applicant is invited to respond to comments and implement minor amendments within 15 days and resubmit the proposal to the reviewers; (3) reviewers do not short-list the proposal but provide substantial comments and suggestions for amendments which must be implemented by the proponent(s) before resubmission in subsequent Calls for Proposals or; (4) the proposal does not meet quality and content criteria of the reviewers and is rejected outright.

6. The cleared proposals will be announced on the project website and applicants will be formally notified by the National Project Coordinator. Short-listed proposals will also be announced on the project website and applicants will be formally notified of the comments and recommendations of the TRC and given 15 days for revision of their proposals and resubmission to the TRC.

7. The TRC will then review the revised proposals within 15 days and submit their final rankings to the NPS.

8. The final list of proposals will be submitted to the World Bank for non-objection.

9. Within 15 days the NPS will publicly disclose the final list of successful proposals, the amounts approved in each case and the names of the principal recipients of STEPB Project financing for that Round of Competition. The announcement will be made on both the STEPB website and in at least one press outlet with national coverage.

10. Successful applicants will be invited to sign agreements with the National Project Coordinator on behalf of the National Project Steering Committee within 30 days of the announcement of the final list of successful proposals. Disbursement of


funds to the recipients will be implemented immediately following the signing of this agreement.

11. Prior to disbursement, the NPC may, as part of his/her fiduciary responsibilities, conduct a visit to any of the recipients for verification of the capacity to implement the project.

12. All proposals should be designed so that they can start operating as soon as funding becomes available. This implies that much proposal development work to establish effective operational structures should be done before the grant recipients are announced.

41. Figure 1 summarizes the process described above. More details are provided in the GPPG.

Figure 1 - Component 1 proposal review


Andrew Clegg, 02/25/09,

New diagram - essentially the same as the old one except for the bank non-objection step

42. Each proposal submitted must be accompanied by: an institutional strategic plan and operational plan for the project activities

developed through a participatory process involving all the relevant stakeholders; the audited accounts and management reports/comments of the institution for the

previous three years; a statement of their financial management capacity; a copy of the institution’s procurement guidelines; evidence of ICT readiness to facilitate project implementation etc. (more details

are contained in the Revised GPPG)

43. Proposals will be evaluated by a TRC with specialist knowledge in the area of the proposal according to eligibility and selection criteria as listed in the two tables below.

Table 1 - Eligibility criteria WeightingTrack record of performance in the area of the activity, including a record of cooperation with other institutions

9

Transparent and accountable procurement, financial management, and auditing procedures 6 Explicit linkage to the strategic objectives of the institution(s) 5Appropriate physical facilities and communications networks if the development of these is not a component of the proposal

5

Demonstrable human and institutional capacity to manage a project of the size proposed 5

Table 2 - Selection criteria WeightingAddresses local, regional, and/or national needs (e.g. as defined in the STEPB report, NEEDS document, S&T policy, NPE etc.)

10

Availability of funding and other support from other sources 4Demonstrable benefits outside the realm of the specific institution(s) 8Improved human and institutional capacity including enhanced links with partner institutions and improved research teaching and learning quality

24

Sound project plan demonstrating feasibility, sustainability, risk analysis, achievable timeline, results framework and short start-up period

24

44. The following explanatory table 3 indicates the elements which if applied in preparing grant applications will enhance the clarity of proposals submitted for review. It elaborates on some of the eligibility and selection criteria above.

Table 3 - Further explanation of the selection and eligibility criteriaCriterion ScopeTrack record of performance in the area of the activity, including a record of cooperation with other institutions

Track record might include research, teaching, partnership building, and data gathering. publications, patents, productsCollaboration with other institutions might include teaching, research, technology development, product development. Institutions might be public or private, educational or technical, internal or external.The added value brought by the different members of the consortium should be clearly indicated

Appropriate physical facilities and communications networks if the development of these is not a component of the proposal

It is expected that physical facilities (workshops, laboratories, equipment, ICT networks, etc) should either be able to accommodate the proposal activities, or that a component of the proposal should address and remedy any deficiencies. These issues should be made explicit in the proposal. Proposals should also demonstrate that the facilities can be appropriately managed and if not, to include the necessary training requirements.

Demonstrable human and institutional capacity to manage a project of the size

Proponents should show that the number of staff required to execute the proposal is not excessive in relation to the number of staff available in the S&T-based programsCVs of participating individuals should be attached to the proposals



Should these tables be revised in the light of experience? (Revisions must have bank agreement)

proposed Proponents should show that the budget request for the proposal is manageable and is not excessive in relation to the annual budget of the institution(s)

Addresses local, regional, and/or national needs

The project should be justified in terms of national policy objectives and regional or local needs.It should address issues highlighted in the STEPB report

Availability of funding and other support from other sources

The full contribution to the proposal by the proposing institution should be indicated, particularly any contribution that is over and above recurrent expenditure. Contributions may be non-monetary.Other sources of funding from outside the institution will be an advantage.Proposals that add additional dimensions and value to existing activities are encouraged.

Demonstrable benefits outside the realm of the specific institution(s)

Innovative programs that address the aims of the STEPB Project and could, if successful, be replicated elsewhere or effectively taken to scale are encouraged and proponents should how such a process can evolve.The promotion of the public understanding of science and technology and of entrepreneurship will be supported.Proposals that support the commercialization of research and development will be supported

Improved human and institutional capacity including enhanced links with partner institutions and improved research teaching and learning quality

Proposals should indicate how training needs will be met. These should include training in ICT skills, management skills and technical skills.Realistic estimates should be provided showing how many students will enter programs of higher learning as part of the proposal.The proposals should indicate how proposed improvements in teaching skills are to be brought about.Improved institutional capacity includes enhanced facilities, improvements in research support, improvements in teaching and learning activities, better articulation between different level programs etcThe added value from the proposed multi-institutional cooperation should be clearly articulated including a sustainability plan for the partnership


The plan should be clear, coherent, feasible and realistically achievable in the timeline indicated. It should be clear how it meets its objectives. It must show how it can sustain its impact and outputs after project support ceasesA project work plan should be included which should be detailed for the first year.The anticipated impact of the project should be clearly articulated including, where appropriate, improvements in the quality of teaching and learning, improvements in efficiency of teaching programs, improvements in equity (in particular female enrolment), impact on the labor market, improvements in research capacity and quality.The plan should include a risk analysis and an indicator matrix for all major activities

45. The following elements if applied in preparing proposals will enhance the clarity of proposals to be submitted to the Technical Review Committee.

1. How well the proposal fits the requirement for it to be an innovative program that addresses the aims of STEPB Project and could, if successful, be replicated elsewhere or effectively taken to scale.

2. The capacity of the institution to manage the proposal effectively, transparently and in a timely manner.

3. How effectively the project incorporates the minimum criteria given in Tables 1 and 2 above.

4. The feasibility of the proposal as evidenced by the: Number of staff required to carry out the proposal in relation to the number of

staff available in S&T-based program (CVs of participating individuals should be attached to the proposals);

Financial sustainability plan to sustain project outputs and outcomes during and after the STEPB project;


Budget request in the application in relation to the annual budget of the institution(s).

5. The clarity and coherence of the proposal implementation plan and how well the plan addresses the stated objectives.

6. Academic and technical merit.7. The balance between curriculum reform, staff development and facilities

upgrading.8. The impact of the proposal on:

The quality of S&T teaching and learning; The quality of S&T research; The relevance of the above for the labor market; Female enrolment in S&T-based programs.

9. The added value provided by the different members of a consortium.10. The effectiveness of the manner in which the proposal is integrated into the

existing activities of the institution or consortium and how well it addresses the aims in the institutional strategic plan; this will include an evaluation of the financial contribution of the institution.

46. For every proposal submitted to the Technical Review Committee, evaluations from any three TRC reviewers based on conference scoring or independent assessment will be considered sufficient to make a determination on the quality of the proposal. The Technical Review Committee will submit to the National Project Coordinator a ranking of the submissions according to the detailed criteria set out in the PIM. A reporting form is shown in Annex D. They will recommend to one of the following determinations for each grant proposal reviewed:a The proposal qualifies for funding without any revisionsb The proposal qualifies for funding after minor revisions. In this case, the TRC will

designate one reviewer to review the revised proposal, once resubmittedc The proposal is promising but requires major revisions. Such proposals will be

recommended for resubmission during the next Call for Proposalsd The proposal does not satisfy the minimum criteria. Such proposals will be rejected

outright.

47. Applicants for funding under any component, who may be dissatisfied with the recommendation of the TRC, may request a review of the decision, in writing within 30 days of its publication. The appeal should address in detail the reasons why they are requesting a review. The review will be carried out within a further 30 days.

Grant proposal budget construction and presentationProposal budgets should be detailed for the first year and estimated for subsequent years. The bases for calculating the budget should be clear and it should be submitted in a standardized electronic format (spreadsheet) provided by the Project Secretariat. Detailed are con tained in the Revised GPPG.

48. The grant proposal must include a quarterly disbursement plan. This will form the basis of disbursement by the bank to approved proposals.



Does this form need redesigning in the light of round 1?

Post-approval processing of applications49. Once an application is approved for funding, an agreement to guide its implementation will be signed by the NPC (acting on behalf of the National Project Steering Committee) and the grantee, spelling out expected results, disbursement plan, key deliverables by date, monitoring, evaluation and reporting arrangements, and key guidelines. The National Project Coordinator will be responsible for monitoring implementation of this Agreement.

50. At the beginning of each year, grantees will be required to submit an annual work plan, procurement plan and disbursement plan including quarterly cash-flow estimates. These documents will be approved by the NPC on behalf of the National Project Steering Committee after obtaining non-objection clearance from the World Bank Task Manager. Disbursement of funds from the central account to the grantee’s special account will be implemented once this approval is obtained. The National Project Coordinator will be responsible for ensuring that these funds are used in accordance with the approved plans.

Component 1A, Window C51. The modality for assessing proposals under this window are detailed in the Revised GPPG. It outlines a simple process for evaluating proposals which is in line with the rest of Component 1. The proposals are first screened by the NPS and then reviewed by the TRC using a simplified instrument and reporting format.)

STEPB Proposal diversity and complementarity52. To ensure a broad spectrum of grant proposal types in a range of relevant and high priority disciplines, a mechanism will be created that will factor diversity and complementarity into the proposal selection process. This will allow the TRC and NPS to ensure that the final proposals awarded STEPB project funding chosen from among the short-listed candidates in all rounds as far as possible cover all the key S&T areas identified in the STEPB Synthesis Report. Each round may result in proposals with higher scores in essential criteria such as ‘national relevance’ being selected over projects with higher scores in other areas. This portfolio approach ensures the highest possible national impact of the STEPB Project across the integrated S&T sector and its various aspects (i.e, scientific and policy research, teaching, learning, infrastructure and technology development, etc.) and disciplines (i.e., fisheries, ecology, ICT, metallurgy, engineering, etc.).

Component 253. The processing of applications under component 2 will be similar to the procedure described for Component 1 proposals but with additional criteria to ensure alignment to a stronger link to Nigeria’s growth agenda such as Vision 20-2020 and 7-Point Agenda. Annex F offers suggestions on possible options for consideration in selecting institutions to be designated as centers of excellence based on international experience with similar projects.



This paragraph (or paragraphs) should be completed in the light of the round 1 experience.

54. Potential grantees must show that they have in place, comprehensive links with at least one external institution of repute. The process for establishing this link, the justifications for it and anticipated outcomes should be an element of the proposal.

55. Detailed assessment criteria for component 2 applications are contained in the Revised GPPG.

56. Grant proposals for funding under Component 2 will be submitted for evaluation to the International Advisory Board (IAB) which will in turn recommend a shortlist to the Technical Review Committee. The TRC will then select from the shortlist recommended by IAB, using a detailed and transparent methodology for awarding points within each criterion and send its recommendations to the National Project Steering Committee which will make the final selection. Applicants whose proposal is rejected may appeal the decision in the manner set out in paragraph 45. Full details of the members of the International Advisory Board must accompany the proposal when it is sent to the Bank for non-objection.

57. In order to ensure that Component 2 proposals cover the full spectrum of national needs, a second method of selecting potential Centres of Excellence may be used. Under this mechanism, Component 1 proposals of particular merit may, with assistance from key stakeholders (such as the NCCE, NUC and NBTE), be further developed. This mechanism is a particularly useful way of generating the network model of Centres of Excellence by linking a lead institution with a number of others working in the same field.

Component 358. At the beginning of each year, the National Project Coordinator will propose, after wide consultation, activities, approved by the TRC, to be funded under Component 3 during the year. These activities will form part of the annual Project Implementation Plan approved by the NPSC. Activities proposed for this component must conform to the objectives of the STEPB project and specific objectives of the component, that is, support to sector-wide initiatives addressing deficiencies listed in the STEPB synthesis report. Once the activities are approved by the NPSC, the NPS will be responsible for developing ToRs for the activities, appointing implementers and managing, monitoring and evaluating the implementation in accordance with the project implementation arrangements. It is anticipated that most of these proposals will come from the key stakeholders, research instutitions, media organisations and Non Governmental Organisation but some may be proposed by PBEIs which have a nationwide service they wish to offer. Partnerships are generally encouraged under this component to ensure sustainability.

59. The process for evaluating applications will be the same as for component 1. This evaluation process will be based on the same institutional eligibility criteria as component 1 and on evaluation criteria detailed in the ToRs.

60. Eligible institutions for support under Component 3A are PBEIs, FME and FMST agencies and other institutions, professional organizations, NGOs and private companies.


61. The ToRs for a Component 3 activity will be issued by the NPS or PBEIs who can secure technical assistance with this task if necessary to be financed under the STEPB Project.

62. The National Project Coordinator will obtain non-objection from the Bank in the same way as for Component 1. However, because the selection and approval process is not competitive, it can be completed rapidly without waiting for the Component 1 approval cycle deadlines. Proposals recommended under Component 3 are to be submitted to the Bank for non-objection as fast as possible in order to maximise their operation time before the end of the STEPB project.

10 Implementation Structure 63. The Federal Ministry of Education (FME) will be the coordinating and implementing agency for the STEPB project, working in collaboration with the Federal Ministry of Science and Technology (FMST), the Federal Ministry of Finance and the World Bank. The project will be implemented in accordance with the organizational structure shown in figure 2. The composition, duties and responsibilities of each organ follow. The roles and responsibilities of the various organs designed to implement the project follow and are described in detail in Annexes A, B, and C.

64. The project will be overseen by the National Project Steering Committee (NPSC) which may have up to 15 members to be appointed by the Minister, FME. The function of the National Project Steering Committee is to oversee the implementation of the STEPB project in accordance with project documents and provide policy guidance for the project. The HME shall approve annual work plans and budgets of the NPS, select institutions/clusters of institutions to be developed to center of excellence status and review project progress & annual reports prepared by the National Project Secretariat. The NPSC will advise the FME and the World Bank on the progress of the report as necessary. The Minister, FME or his/her designate will chair the Committee, while the Permanent Secretary (PS) of FME will be the deputy chairperson. The specific roles and functions of the National Project Steering Committee are described in Annex A.

65. The National Project Secretariat (NPS) will be charged with the day to day administration and management of implementing the STEPB project. The National Project Coordinator will be the head of the Project Secretariat and will have the overall responsibility for the secretariat and project implementation in all the beneficiary institutions. The Project Secretariat will perform all administrative, procurement, financial management, auditing and overall day to day management of the project in accordance with the financing agreement signed by the FGN and World Bank.

66. The Technical Review Committee is an expert committee established HME on the recommendation of the NPS with the mandate to review award proposals under the competitive windows after referral by NPS, evaluate each proposal according to the


criteria and scoring methods detailed in the Revised GPPG, create short lists of finalists for each grant category and recommend winning proposals for grant awards. The project shall maintain a permanent TRC with a term of not more than two years in the first instance, renewable for another one term only. The TRC in consultation with the NPS will appoint a Review Committee or Proposal Reviewers from a database of competent experts drawn from both academia and productive sectors to review all proposals for its consideration and recommendation to the NPS. It is anticipated that the composition of the Review Committee will vary according to the proposal(s) to be reviewed. Each proposal shall be reviewed by at least two Reviewers who must have sufficient expertise on the field covered by the proposal.

Organization structure and composition67. The figure below depicts the relationship between the implementation organs described.

National Project Steering Committee68. The NPSC will hold regular meetings twice a year but may hold additional extraordinary meetings if requested by the National Project Coordinator. Minimum Quorum for NPSC meetings is 5 members.

69. The membership of the NPSC will include:

1. The Minister of Education who will serve as Chair of the PSC2. Permanent Secretary, FME will serve as Deputy Chair3. Director, Planning, Research and Statistics of the Federal Ministry of

Education4. Director, Planning, Research and Statistics of the Federal Ministry of S&T5. Representative, Federal Ministry of Finance6. Representative FCTA7. Executive Secretary, NUC8. Executive Secretary, NBTE9. Executive Secretary, NCCE10. Education Trust Fund (ETF)11. Representative, Petroleum Technology Development Fund (PTDF)12. National Project Coordinator, ex-officio/secretary


13. Two Representatives from the Private Sector and Professional Bodies, such as STAN, NESG and NAS)

Technical Review Committee70. The Technical Review Committee (TRC) will coordinate in collaboration with the NPS all review process for completed proposals submitted for evaluation under the competitive component(s) of the project (Components 1 and 2) and may assist the NPC with the evaluation of applications received under Sub-component 3A. The functions of the Technical Review Committee are described in Annex XX.

Composition71. The TRC will consist of 12 distinguished scientists of international stature. Ten of these will be Nigerians, and others will be international experts based outside Nigeria, such as Nigerian scientists in the Diaspora. The TRC will appoint one of the Nigerian members as a Committee Chair/Convener. TRC members will have an appropriate diversity of backgrounds, with balanced representation of scientific, technological, and entrepreneurial areas. At the same time, each TRC member will have sufficient expertise within a specific S&T discipline to make informed judgments on the scientific and technical merits of proposals as an expert peer reviewer.

Selection and Appointment Process to the Technical Review Committee72. Candidates for TRC membership will be solicited from a variety of national and international sources through a collaborative effort that will draw upon the recommendations of the Federal Higher Education Regulatory Agencies, Nigerian Academy of Science (NAS) and Science Teachers Association of Nigeria (STAN) among others. The National Project Coordinator will be responsible for managing the process of identifying candidates with NAS, STAN and other appropriate agencies within and outside Nigeria. The nominating agency will submit for consideration the names of individuals who are recognized as both qualified and impartial, and without ties to particular institutions to avoid conflict of interest. The National Project Coordinator will obtain the non-objection clearance from the World Bank before forwarding a list of recommended candidates to the National Project Steering Committee for approval and formal appointment. Once appointed, the Committee will serve for an initial duration of two years, renewable once.

The International Advisory Board (IAB)73. The International Advisory Board (IAB) will assist the TRC in its proposal evaluation process. All submissions under Component 2 (support to emerging of Centres of Excellence) will first be reviewed by the IAB and then submitted with recommendations to the TRC for a final review. The review by IAB will focus on whether the proposed interventions will ultimately result in a center of excellence of international standing and where necessary, suggest how the proposal could be improved. At its discretion, the TRC may also request members of the IAB to review selected proposals submitted under components 1 and 3, particularly where it is deemed that adequate expertise does not exist in Nigeria or where involvement of external expertise is deemed to add significant value to the quality of the review.


Composition of the IAB74. The IAB will be composed of about 10 distinguished S&T experts, with recognized international stature, representing the fields of S&T expertise that are of strategic importance for Nigeria. Members of the IAB can be drawn from the large pool of Nigerians in Diaspora and nationals of other countries. Once appointed, the IAB members may serve for the duration of the STEPB project.

The National Project Secretariat (NPS)75. The National Project Secretariat will be responsible for the day-to-day implementation of the project and will serve as the main link between the project management and the beneficiary institutions on one hand, and the NPSC, and World Bank on the other. The National Project Coordinator will be the head of the Project Secretariat and shall have the overall responsibility of managing the Secretariat and ensuring STEPB project implementation. The National Project Coordinator will facilitate the work of the National Project Steering Committee, the International Advisory Board and the Technical Review Committee and will serve as secretary and ex-officio member of the NPSC.

76. Designated members of the National Project Secretariat will be responsible for the management and administration of the Project and will perform all administrative, procurement, financial management, auditing and overall management tasks required for successful STEPB Project implementation and monitoring. It will be staffed by competitively recruited staff, who shall be appropriately remunerated in line with international best practices in line with the financing agreement. The NPS may recruit its own staff and short term consultants to provide necessary services, however it can be assisted by permanent employees from the post-basic S&T education supervisory agencies in relevant disciplines who may be seconded to the Secretariat. The National Project Coordinator will be the main link between the project and the World Bank.

77. A key function of the NPS is to maintain an up-to-date database of all proposals submitted which shows their current status. Database fields should be linked to the website so that all but those deemed confidential can be accessed at any time through the project website

78. The figure below illustrates the structure of the National Project Secretariat.


79. The National Project Secretariat will consist of the following key officers:

1. National Project Coordinator (NPC) 2. Procurement Officer3. Project Accountant4. Internal Auditor5. Monitoring & Evaluation Officer6. Partnership and Collaboration Officer7. Technical Adviser8. Project Assistant

Details of the responsibilities of each of these key staff are included in Annex C. Additional staff will be contracted (including an available ICT specialist to ensure timely maintenance of the project website) to fulfill specific tasks as needed.

80. In the absence of the National Project Coordinator, any of the other key officers of the Secretariat may be designated to act on his/her behalf.

Award Facilitation 81. For each institution that successfully receives funds through the STEPB Project a functioning STEPB award implementation unit must be established at the institution. These will serve as the interface between the beneficiary institution and the National Project Secretariat. This unit may comprised of staff drawn from the various departments of the institution with the following responsibilities:

1. Project Manager2. Institutional Procurement officer3. Project Accountant (e.g., the Bursary)4. Project Auditor5. Monitoring and Evaluation Officer6. Communications officer

The functions of these staff within the institutions receiving STEPB awards are detailed in Annex E.

11. Financial Management and Financial Reporting Requirements

82. . The financial management and reporting requirements are described in the STEPB Financial Management Manual. Additional requirements may be specified in the agreement to be signed between the National Project Coordinator on behalf of the National Project Steering Committee and the Grantee.

12. Procurement


83. All procurement under the project will be based on regulations contained in the STEPB Procurement Manual. All procurement arrangements under the project are expected to satisfy the requirements of the IDA. At the beginning of each fiscal year, the Grantee will prepare a procurement plan for approval by the NPS (after no-objection clearance from the World Bank). This plan will form the basis for all procurement during the Year. Adjustments to the plan have to be approved by the National Project Coordinator who may consult with the World Bank as appropriate.

13. Disbursement

84. A (quarterly) disbursement plan for each approved proposal will be approved by the National Project Secretariat after obtaining no-objection clearance from the World Bank. The plan will form part of the agreement between the grantee and the National Project Steering Committee. The agreement will specify the procedure for making amendments to the disbursement plan.

14. Environmental Impact and Risk Minimization

85. All proposals recommended by the Technical Review Committee for STEPB Project funding must demonstrate that measures have been taken to ensure compliance with the FGN and World Bank environmental standards for waste disposal and environmental impact. For the avoidance of confusion where the two standards differ, all arrangements must be in accordance with the World Bank’s standards.

15. Supervision of the STEPB Project

86. The World Bank and the FGN will jointly supervise the project. During the first year of project implementation, a joint mission team comprising representatives of the two parties will visit Nigeria every six months to assess implementation progress. There will be one supervision mission per year starting the second mission onwards. Mission teams may choose to visit any of the grant recipients provided that a reasonable advance notice has been provided. 87. A joint FGN-World Bank Mid-Term Review will be held during Year 3 of the STEPB project to assess progress towards achieving the intended results and recommend adjustments if and where necessary.

16. Monitoring and evaluation


88. Each proposal will include a results framework which will be the basis for monitoring and evaluation of the project. The framework will include all intermediate and final results as well as expected impacts and outcomes. A set of indicators to measure the results will also be proposed.

Approach to M&E89. Because of the shortage of statistical data on Nigeria’s post-basic S&T education sector, the Monitoring and Evaluation subcomponent of the STEPB project will address the wider issue of establishing a better basis for information gathering and data assessment on the sector more generally. In particular, a broad set of baseline data will be collected to provide the appropriate perspective for the STEPB project efforts. To enrich the statistical data, a series of more in-depth studies will also be commissioned that will provide universities and other tertiary institutions, research organizations, industry, and FGN agencies with relevant policy information and statistical resources to deepen national understanding of Nigeria’s S&T system. Thus, the M&E function in this project will go beyond addressing the requirements of measuring project progress which are part of the standard agreement between the FGN and the World Bank, and will seek to contribute to advancing the policy dialogue in Nigeria on the contribution of science and technology to national development. More information on types of data to be collected is described under Component 3 of the project.

90. In order to fulfill monitoring requirements, all grantees will be asked to collect appropriate baseline data that will allow the effect of their proposal to be measured. This could include data such as the current intake into programs (gender disaggregated), the progression rates through the years, staff development needs and a survey of facilities.

Responsibilities for Monitoring91. The National Project Coordinator will be responsible for verifying that performance milestones agreed with beneficiaries of the project have been reached. Release of funds will be based upon satisfactory achievement of agreed milestones. The Monitoring and Evaluation Officer within the NPS will make periodic visits to grant recipients (at least once every six months) to assess progress, address problems, and review the achievement of performance milestones. In addition, once a year, a team comprising members of the Technical Review Committee and the National Project Coordinator will visit a select number of recipients of small and large grants as part of an annual assessment of project accomplishments. Such visits will be arranged in consultation with respective institutions in order to ensure availability of key parties involved. The report from these visits will constitute an important part of the project’s annual progress report.

Reporting92. The National Project Coordinator will submit biannual implementation progress reports and financial statements to the FGN and the World Bank, indicating the extent to which agreed project targets have been achieved. Assessment of performance will be based on the agreed results framework. Recipients of grants will submit biannual progress reports and financial statements to the NPS.


17. Intellectual Property Rights

93. Any intellectual property produced in the course of research or experimentation conducted under an approved STEPB proposal, whether these be products, techniques, or services, will belong to the participating institution(s) responsible for the proposal management. The institution may share or cede these benefits to third parties, including the proposal originator(s), in accordance with prevailing institutional norms.

18. Amendment of the PIM

94. This Implementation Manual and its annexes should be viewed as a “living” reference document. It can be revised, modified or amended on the basis of experience acquired in the implementation of the project upon express agreement between the FGN and the World Bank. Such amendments may be initiated by either party.


Annex A

Roles and Responsibilities for the National Project Steering Committee

The roles and responsibilities of the National Project Steering Committee are described below.

1. Be responsible for the overall policy guidance with reference to the project to ensure that all activities supported through the STEPB Project align with national development goals in science and technology, education, etc.;

2. Facilitate coordination among the different FGN ministries and their organizations involved in the project;

3. Receive and examine annual implementation plans of the STEPB Project;4. Monitor the progress reports on the implementation submitted by the National Project

Coordinator;5. Receive and consider all monitoring and evaluation reports; 6. Appoint the National Project Coordinator and members of the Technical Review

Committee7. Assisting in monitoring, evaluation and rendering of progress reports on the project to

FGN and other stakeholders.8. Assisting in securing Government counterpart funding for the project.9. Reviewing annual external audit reports of the Project.



All these ToR Annexes should be reviewed in the light of experience so far

Annex B

Roles and Responsibilities for the STEPB Technical Review Committee

The STEPB Technical Review Committee (TRC) shall be appointed to set in place machinery to review all completed proposals submitted for assessment through the competitive component(s) of the project component (1 & 2 ). The functions of the TRC are as follows:

1. To review, with assistance of reviewers, sub-project proposals and validate scores allocated according to the agreed criteria;

2. To review and approve written comments and guidance on how to improve unsuccessful proposals before resubmission;

3. To ensure that proposals address local, regional and/or national needs as defined in STEPB report, NEEDS document and S&T policy

4. To ensure accountable and transparent procedure in awarding points according to the criteria;

5. To recommend to the NPC, winning proposals for grant Awards, according to the criteria and ranking procedures specified in the Grant proposal Preparation Guide (GPPG). Sufficient time not less than 7 days shall be provide for review of sub-project proposals;

6. To observer the highest standards of probity in discharging its responsibilities, to promote a culture of scientific integrity; and mechanisms for quality assurance;

7. To write a comprehensive report on the exercise;8. The assignment shall cover transport fare, accommodation and consultancy fee.


Annex C

Roles and Responsibilities of the National Project Secretariat (NPS)

Specific tasks of the staff of the National Project Secretariat are highlighted below. The individuals responsible for each of these tasks will be determined by the head of the National Project Secretariat—the National Project Coordinator. This list is not exhaustive.

1. Preparing consolidated annual work plans in keeping, inter alia, with the Project Implementation Plan (PIP) and the Project principles and procedures, including the preparation of indicative prospective actions/activities and documenting Project achievements.

2. Tracking the physical goals of the Project through close monitoring and evaluation of project inputs, process, outputs and outcomes as outlined in the project monitoring and evaluation indicators and conducting social/beneficiary assessment.

3. Preparing cash projections to ensure timely and required levels of withdrawal of Project funds from the Special Account.

4. Preparing withdrawal applications for appropriate signatures of Government of Nigeria approved signatories for submission to the World Bank and preparing supporting documentation to demonstrate that financing proceeds have been used for the purposes for which the financing was granted.

5. Maintaining records for Project implementation.6. Completing project evaluation/review at mid-term.7. Preparing the Project Completion Report.8. Announcing the Calls for Proposals and ensuring each segment of the proposal

review process is completed and tracked through the agreed upon record-keeping processes.

9. Upon receiving electronic submissions from proponents, the NPS will perform preliminary reviews of all proposals to ensure that all necessary data has been provided. In the case proposals lack elements, the NPS will communicate with the proponents to elicit such information as required to complete a proposal.

10. Organize all proposals submitted during each round of competition into an electronic package that includes a cover page enumerating the titles of the proposals (anonymous of proponents’ names or other identifying information), length of the proposals, and categories in which proposals must be evaluated. This cover sheet document will be updated with the actions and recommendations of the Technical Review Committee and will be filed in the SPS records.

11. Announce the recipients of each Round of Competition in an appropriate public forum (Government Gazette, Newspaper, etc.).

12. Relay the recommendations of the Technical Review Committee to the proponents and resubmit improved proposals from the proponents that qualify for the second round of competition.

13. Issue terms of reference for activities under Component 3 and contract such activities through standard procurement procedures.


14. Elicit and review reports with all of the required auditing, monitoring and other data from all funded STEPB Project grantees on a biannual basis.

15. Schedule and facilitate mid-term site visits by the Technical Review Committee to STEPB Project grantees.

16. Upon analyzing all submitted monitoring and evaluation data (audits, financial management records, reports from site visits, etc.) take disciplinary action against grantees failing to comply with STEPB project agreements (i.e., terminate funding to such grantees).

17. Facilitating the work of the National Project Steering Committee and Technical Review Committee.

18. Develop, monitor and update the STEPB Project website.19. Communicate with the National Project Steering Committee and respond accordingly.

Financial Management Responsibilities of the NPS:

1. Taking responsibility for financial management aspects, including tracking income and expenditures under the Project to ensure appropriate and economic use of funds, setting up and managing the financial management system for the STEPB Project

2. Ensuring compliance with World Bank Financial Management requirements for Interim Financial Reporting and general auditing purposes

3. Maintaining up-to-date financial statements including appropriate supporting evidence of invoices and receipts for payments

4. Ensuring timely annual audits of Project financial statements and submission of auditors’ reports and management reports to the World Bank within six months following the end of each fiscal year until the first year following project completion

5. Performing financial management functions for grantees under Windows that have been deemed to have inadequate financial management systems of their own

6. Performing the necessary support activities, including the thorough dissemination of Calls for Proposals (CFPs)

7. Facilitating reviews of proposals by the Technical Review Committee8. Receiving the resulting applications, reviews and preparing the package for

submission to the Technical Review Committee for decision9. Interfacing with proponents over the course of their applications to the STEPB

Project for funding

Procurement Responsibilities of the NPS:

1. Preparing annual procurement plans in a timely manner to ensure that goods, equipment, services and training are procured to ensure smooth project implementation

2. Preparing notifications including General Procurement Notices (GPN) for the Project3. Performing central procurement functions as needed during project implementation

Enumerated below are those specific tasks of the Key Staff of the National Project Secretariat: Procurement Officer, Project Accountant, Internal Auditor, the Monitoring


and Evaluation Officer, Technical Adviser, Partnership and Collaboration Officer and Project Assistant.

Role and Responsibilities of the National Project Coordinator (NPC)The job of the National Project Coordinator who heads the National Project Secretariat includes the following responsibilities:

1. Responsible for overall implementation of the project2. Manages all reporting to the NPSC 3. Manages and maintains the STEPB website and procures services to do so4. Prepares the annual implementation plan and submits it to the NPC and the World

Bank Task Team Leader for clearance5. Takes appropriate action on sub-project progress reports and makes recommendations

to the NPSC and World Bank accordingly6. Provides a brief for the bi-annual World Bank supervision mission7. Takes responsibility for formal meetings with the World Bank and the Federal

Ministry of Finance and all stakeholders8. Supervises the staff of the National Project Secretariat9. Supervises the implementation of the project10. Develops the yearly work plans and financial budget for the project11. Liaises and collaborates with the institutions to ensure that they prepare their work

plan based on the project and implement the same12. Provides technical training and support to the institutions as required13. Ensures that the STEPB Project achieves the stated yearly work goals14. Coordinates global financing reporting and the funded institutions’ reports through

the NPC to IDA and the NPSC15. Advises on problems and possible solutions to project implementation issues. 16. Ensures that all annual accounts for all components of the projects are available for

external audit17. Prepares biannual reports on the state of implementation of the Project at all levels

and submit same to the NPSC18. Oversees IDA funds, including replenishment requests and appropriate expenditure

on goods and services, consulting contracts and use of funds for operating expenses at the federal level

19. Establishes a Project Monitoring and Evaluation team to monitor project activities in the country

20. Takes timely action on under performing sub-projects21. Carries out other duties as assigned by the NPSC

Procurement OfficerThe procurement officer will oversee all procurement processes in the project in accordance with the guidelines provided in the Project Procurement Manual (PPM). Responsibilities will include:


1. Responsibility for all project purchases in strict compliance with Financial Regulations and World Bank procedures

2. Keeping proper records and inventory of purchases;3. Liaising with suppliers4. Preparing bid documents and advertisement5. Maintaining vehicle control register6. Responsibility for requisition and vehicle log-book; vehicle maintenance 7. Preparing of yearly procurement plan for the project8. Providing in-house training for institutions9. Responsibility for the preparation of standard bid documents to acquire needed goods

and services, including evaluation and selection of specialists/suppliers for implementers of the project in accordance with IDA guidelines

10. Ensuring that all project related procurements are carried out in line with World Bank procurement guidelines as laid out in the project procurement manual, and provide regular progress reports to the National Project Coordinator

11. Coordinating field efforts with the World Bank to resolve any differences and/or outstanding issues that may impede the procurement process

12. Preparing and submits status reports on a quarterly basis to indicate the progress over time with respect to schedules & budgets for the project

13. Preparing instructions to bidders on procedure for submission of bids14. Preparing technical specification for goods, equipment and services for the project15. Preparing evaluation reports for goods and services16. Following up on contract recommendation and award17. Sourcing price quotations from reputable suppliers18. Ensuring that purchase orders are made as soon as the World Bank ‘‘No-objection’’

is received19. Monitoring opening of letters of credit20. Seeking duties and VAT exemption certificates and monitors delivery of goods to

final destination, and seek marine or goods in transit insurance for all goods procured.21. Being a member of the FMC.22. Carrying out any other duties that may be assigned by the Project Coordinator

Project Accountant1. Responsibility for all Project-related financial matters, including project funds draw-

down with the Bank; periodic financial matrix update to project components on draw-down-status; financial monitoring reports to the World Bank

2. Keeping a project imprest account3. Retiring account for funds spent on project activities4. Providing Technical Assistance to coordinating agencies and institutions on financial

matters5. Ensuring that all accounting records and bank accounts are up-to-date using Excel or

other acceptable spreadsheets6. Developing standardized reporting formats for use by sub-project grantees7. Preparing monthly bank reconciliation’s for all bank accounts8. Developing and maintaining Financial Procedures Manual within an agreed time

frame in coordination with IDA


9. Establishing/enhancing systems of internal control (goods, consulting services, fixed assets)

10. Preparing Cash Flow Forecasts in consultation with the National Project Coordinator11. Preparing Quarterly and Annual Financial Statements for the IDA Credits, and project

Counterpart Funds12. Ensuring compliance with operating procedures of Government and the World Bank.

E.g. Procurement, Disbursements, Special Accounts, SOEs, Special Commitments etc.

13. Liaising with the internal/external auditors and following up any audit queries/management letters

14. Monitoring, in conjunction with the Procurement Officer and the Financial Management Committee, the financial management aspects of procurement of goods and services in accordance with the World Bank guidelines

15. Undertaking staff development/capacity building in the area of financial management (training of financial management staff)

16. Monitoring performance against agreed financial performance Indicators. in conjunction with the Financial Management Committee, the NPC and the Procurement officer

17. Carrying out any other duties that may be assigned by the NPC.

Internal Auditor1. Reporting to the Chairman of the National Project Steering Committee2. Providing a complete and continuous audit of the accounts and records of revenue

and expenditure, plants, allocated stores and unallocated stores where applicable3. Verifying all payment vouchers before payment4. Ensuring that expenditure are in line with approved budget line5. Providing management audit encompassing other areas of activities and functions of

the Project6. Ensuring that the safeguards introduced for the prevention and prompt detection of

fraud and loss of cash are adequate7. Ensuring that all moneys received have been promptly brought to account8. Ensuring that all payments made are properly authorized and correct and paid to the

right person9. Preparing and submit a detailed audit program to the Chairman of the NPSC10. Preparing and submit monthly, half-yearly, special reports and progress register11. Ensuring financial integrity, accountability, transparency in the use of project funds12. Ensuring that all applicable financial regulations are complied with13. Developing and monitoring the implementation of annual internal audit plans

covering the Project Activities14. Establishing timetable, objective, scope and procedures for internal audit assignments

and ensuring that these are adhered to or modified as appropriate to ensure an effective efficient use of the internal audit resources

15. Conducting financial, compliance and management internal audits of Project activities in accordance with established work guidelines and evaluates the adequacy and effectiveness of the internal control over those activities


16. Drafting internal audit reports and discuss findings and recommendations with the NPC, Project Accountant and Procurement officer

17. Supervising and instructing/training internal audit or other staff assigned to him or her.

Monitoring & Evaluation Officer1. Responsibility for planning and implementation of field and desk review of project

working implementation2. Liaising with sub-project grantees3. Taking responsibility for tracking and reporting on project log frame indicators4. Ensuring that all projects are completed and submitted on schedule5. Preparing and presents project status reports at Project meetings6. Facilitating regular collection and analysis of assessment data for project planning,

implementation and review7. Preparing feedback reports to IDA, beneficiaries and policy makers through quarterly

and annual review reports8. Preparing of yearly work programs for the Monitoring and Evaluation component of

the project9. Taking responsibility for proposing the use of specialists as needed on monitoring and

evaluation component of the project.10. Taking responsibility for preparing regular progress reports on Monitoring and

Impact Assessment against yearly work programs.11. Facilitating intensive end-of-period review to assess overall impact of the project on

intended and unintended beneficiaries through Implementation Completion Report (ICR), special impact studies, welfare indicators etc.

12. Carrying out any other duties that may be assigned by the NPC13. Organizing capacity building activities for STEPB project implementation staff14. Updating the STEPB Project website15. Conducting periodic visits to sub-project grantees to monitor progress.

Technical Adviser Specialist1. Prepares the annual technical work plans2. Manages Calls for Proposals under Components 1 and 23. Prepares proposals for submission to the TRC for review4. Received the TRC recommendations and acts upon them5. Draws up ToRs for activities under Component 3A, prepares the responses for review

by the TRC and acts upon the recommendations of the TRC6. Oversees all technical issues associated with the implementation of all components,

including the proposal database and website. 7. Liaises with the ICT unit in the Federal Ministry of Education on all relevant ICT

matters. 8. Coordinates the implementation of the ICT components of the Project. Ensures an

Integrated Educational Data Management Strategy (EDMS) in the coordinating agencies and institutions.

9. Arranges for the training of relevant officers in the coordinating agencies and institutions on ICT.



Page: 34The Technical Specialist should manage all technical aspects of the Project including ICT. What other elements should be included here? I am not sure what all the ICT-related points mean and some look more like monitoring and EMIS issues than straight ICT. This is an area that still needs some development so that the NPS structure that is defined in the PAD amd PIM is what is needed. Can all these positions be examined to ensure that all are happy with them? And should there be more - such as TA/Services?

10. Ensures the establishment and maintenance of process for the collection, collation and analysis of data from the primary sources and their dissemination to the users.

11. Co-ordinates the meetings of the coordinating agencies and institutions’ Data Producers and Users and forward the report on such meetings to the FME.

12. Keeps regular and up to date record/documentation of the relevant educational variables.

13. Carries out, in conjunction with Training Officer, an assessment of the computer capabilities and training needs of the relevant personnel in the FME and coordinating agencies.

14. Liaises with Training officer in the arrangement and training of personnel in the FME and coordinating agencies on the identified areas of computer training.

15. Monitors and evaluates the use of EMIS forms to ensure compliance with the EDM strategy.

16. Ensures the establishment and maintenance of ICT Unit in participating institutions.17. Coordinates and processes data for the publication of educational bulletins, digest and

directory.18. Ensures harmonization of the ministry’s work plans on ICT.19. Ensures adequate liaison with the relevant departments on all aspects of ICT.20. Ensures timely and regular availability and dissemination of project information for

informed planning, monitoring and evaluation of education policies and projects.21. Any other duties assigned by the NPC.

Project Assistant 1. Serves as secretary at all meetings of the NPS2. Undertakes on behalf of the NPC follow up on all actions and activities agreed upon

at NPS Management meetings3. Provide implementation support to all staff of the NPS in terms of external

correspondence, courtesy calls etc4. Any other duties assigned by the NPC5.<This needs defining and should include ToRs, appointment and management of TA>

Partnership and Collaboration Officer1. Develop capacity for partnership and collaboration among all PBEIs2.



TORs still to be developed

Annex D

Sample Standardized Scoring Template for STEPB Proposals

Upon receipt of a STEPB grant proposal, the NPS will first ensure that each proposal meets certain required pre-qualifications. These pre-qualifications are listed in the table below. In the event that a proposal does not meet any one of the criterion, the proposal will be returned to the applicant requesting completion of the proposal before the close of that Call for Proposals.

Pre-Qualification CriteriaRequired Criterion for Submission to TRC Check if “yes”Required contents and Annexes provided (i.e., title, contact information, audited record of accounts and other Annexes)Number of staff required to execute the proposal is not excessive in relation to the number of staff available in the institution applying for the grantEvidence that the budget request is manageable and is not excessive in relation to the annual budget of the institution(s)CVs of participating individuals attached to the proposalRelation of proposal’s objectives to national policy objectives and regional or local needsProposal addresses STEPB issues as outlined in Annex xxProposal is in line with STEPB objectives, in particular that it is innovative in nature and replicable.Work Plan attached, clear, and comprehensibleObjectives and proposed outcomes stated clearlyTransparent and accountable procurement, financial management, and auditing proceduresAppropriate physical facilities and communications networks if the development of these is not a component of the proposalIf all boxes are checked, then submit to TRC; If any box is not checked, then return to applicant for completion before evaluation

All proposals that meet each of the pre-qualifications criteria listed above will be evaluated by the TRC. The TRC will receive proposals from the NPS who will have removed all identifying data and assigned a serial number to each proposal.

A standardized template will be used by TRC members in recording how they score each individual proposal submitted. A sample standardized template is provided below for both Components 1 and Component 2. TRC members may submit written comments as part of their evaluations as well. The score cards will be filled out for every individual proposal reviewed. Upon completion of scoring, the TRC will send all of the completed score cards back to the NPS. The data from each individual score card will be compiled into a synthesis note for presentation to IDA for No Objection.

Component 1 - Quality Enhancement and Innovation Fund

Table 1 - Eligibility criteria Weighting Score



Is this a complete list? One has been added in the light of experience - are there others?

Track record of performance in the area of the activity, including a record of cooperation with other institutions

9

Transparent and accountable procurement, financial management, and auditing procedures

6

Explicit linkage to the strategic objectives of the institution(s) 5Appropriate physical facilities and communications networks if the development of these is not a component of the proposal

5

Demonstrable human and institutional capacity to manage a project of the size proposed

5

Total 30

Table 2 - Selection criteria for Component 1 Weighting ScoreAddresses local, regional, and/or national needs (e.g. as defined in the STEP-B report, NEEDS document, S&T policy, NPE etc.)

10

Availability of funding and other support from other sources 4Demonstrable benefits outside the realm of the specific institution(s)

8

Improved human and institutional capacity including enhanced links with partner institutions and improved research teaching and learning quality

24


24

Total 70Overall total, tables 1 and 2 100

Recommendation for Component 1 ProposalsRange Indicate

recommendationThe proposal qualifies for funding without any revisions >69The proposal qualifies for funding after minor revisions. In this case, the TRC will designate one reviewer to review the revised proposal, once resubmitted

60-69

The proposal is promising but requires major revisions. Such proposals will be recommended for resubmission during the next Call for Proposals

50-59

The proposal does not satisfy the minimum criteria. Such proposals will be rejected outright.

<50

Component 2. Centers of Excellence

Table 4 - Eligibility criteria for Component 2Transparent and accountable procurement, financial management, and auditing procedures

6

Feasibility within the existing capacity of the institution 10Track record of performance and impact in area of activity (e.g., research, teaching, partnership building, data gathering, etc.)

6

Existing ICT capacity in the institution(s) 4Track record of research results dissemination and collaboration/cooperation with other research, teaching and

5


technology development institutions, firms, entities.Total 33

Table 5 - Selection criteria for Component 2Addresses local, regional, and/or national needs (e.g. as defined in the STEP-B report, NEEDS document, S&T policy, NPE etc.)

10

Availability of funding from other sources 5Sustainability 9Short start-up period 4Explicit linkage to the strategic objectives of the institution(s) 5

Overall risk analyses, based on the risks and assumptions related to each component, and procedures in place to minimize risks (e.g., environmental, social, financial risks, etc.)

4

Improved institutional capacity - In terms of enhanced facilities, improvements in research support, in staff competencies, in teaching and learning activities etc

9

Clear project plan with results framework, timeline, risks, M&E framework and indicators

12

Multi-institutional cooperation with public research organizations, private sector companies, industrial organizations, external organizations, NGOs and others (10 points)

10

Total 67Total tables 3 and 4 100

Recommendation for Component 2 ProposalsRange Indicate

recommendationThe proposal qualifies for funding without any revisions >79The proposal qualifies for funding after minor revisions. In this case, the TRC will designate one reviewer to review the revised proposal, once resubmitted

70-79

The proposal is promising but requires major revisions. Such proposals will be recommended for resubmission during the next Call for Proposals

60-69

The proposal does not satisfy the minimum criteria. Such proposals will be rejected outright. <60


Annex E

Proposal Facilitation

Within each institution (higher education institution, research facility, center of excellence, ministry, etc.) receiving support through an awarded STEPB Project grant staff must be designated to manage the smooth implementation of the proposal according to the proposal approved by the Technical Review Committee and/or NPC. In the case of very small projects (up to US$ 50,000) the following roles may be served by one individual.

Project Manager1. Taking responsibility for coordinating all project activities at the institutional level

and for the day-to-day management of the project2. Preparing annual work plan and budget for project implementation3. Ensuring the prudent use of the project funds in the implementation of the project.4. Organizing capacity building initiatives for STEPB proposal staff5. Ensuring adherence to the project policies and guidelines as contained in the Project

Appraisal Document (PAD) and World Bank implementation and operational guideline on all components

6. Maintaining regular liaison with the National Project Coordinator on all matters and correspondence relating to the implementation of the sub-project in the institution

7. Ensuring the preparation and submission of detailed progress report on the sub-project activities on quarterly, bi-annual and annual bases to the National Project Secretariat

8. Ensuring the preparation and implementation of annual audit and report on the financial management of the account of the proposal

9. Holding regular meetings with staff involved with the implementation of the proposal10. Ensuring proper and adequate reporting of the relevant project matters.

Finance Officer1. Taking responsibility for financial administration of the proposal in accordance with

sound accounting principles and in accordance with the STEPB Financial Management Manual

2. Maintaining an electronic register of all the financial receipts and disbursements on the proposal

3. Liaising with the SPS on the proposal finance4. Preparing an update on the financial transactions on quarterly, bi-annual and annual

bases5. Coordinating the establishment and implementation of a functional accounting system

in the institution;6. Obtaining and maintaining bank reconciliation reports for the proposal7. Costing of the Annual Work Plan8. Preparing and processes the budget of all the activities of the proposal and paying out

all monies involved in the process



Do these ToRs need ammendment?

9. Ensuring the preparation and implementation of audit report on the proposal accounts on annual basis;

10. Participating in co-coordinating, monitoring and evaluating the implementation of the proposal

11. Ensuring transparency and accountability in the use of Project funds12. Ensuring accurate and timely preparation of financial reports to the NPS13. Performing other duties within the Secretariat as assigned by the National Project

Coordinator.

Institutional Procurement Officer1. Supporting sub-project teams in preparing proposals;2. Taking responsibility for all procurements under aproposal3. Preparing on quarterly, bi-annual and annual bases, an inventory of all the equipment

in the proposal and updating the list as items are procured4. Preparing a list of all the goods and equipment to be procured under the proposal5. Preparing the institution’s procurement plan for all goods, books and other equipment

in the proposal according to the STEPB Project Procurement Manual6. Consulting the NPS, Federal Ministry of Finance and the World Bank Procurement

Specialist on procurement matters as the need arises7. Calling for quotations for the procurement of needed items in the proposal and

issuing local purchase orders to successful bidders8. Maintaining an ongoing register of procured items on the sub-project by type and

quantity9. Maintaining an ongoing register for the issuance of procured items under the project

by type, quantity, establishment and location10. Ensuring adequate and proper reporting to the Project Manager11. Performing any other duties assigned by the Project Manager.


Annex F

Options for selecting institutions to be supported toward Center of Excellence Status

Introduction

Based on experience from developed nations, the Inter Academy Council (IAC) (www.interacademycouncil.net) – a network of the world’s national academies of science and engineering recommends in its 2002 report on capacity building that developing countries that seek to mainstream S&T in their development strategies need to put into place the following mechanisms:

1. Autonomous centers of excellence – research programs, within a university, a research institute, or operating independently, typically in one geographical location, and deemed by merit-review to be of the highest international quality in personnel, infrastructure, and research output;

2. Strong universities – tertiary educational institutions for educating and training new generations of S&T talent, performing research and development in areas of societal need, and providing an independent source of information on topics of importance to the nation;

3. Virtual networks of excellence – research programs jointly sponsored and conducted by research institutes in different geographical locations, with research personnel communicating and collaborating primarily via new technologies such as the internet and the World Wide Web, deemed by merit-review to be of the highest international quality in personnel, infrastructure, and research output; and

4. Independent national or regional academies of science, engineering, and medicine; member-based autonomous institutions, in which peers elect new members in recognition of their distinguished and continuing professional achievements, elect their own officials, perform programs of independent work, and inform the general public and national decision-makers on science and technology aspects of public policies.

In line with this advice, and as part of its development strategy as spelt out in the National Economic Empowerment and Development Strategy NEEDS), FGN has decided to support the development of a limited number (7) of Centers of Excellence in some select institutions with support from the World Bank under the STEPB project.

The IAC definition of a Center of Excellence given above implies two principles applied in identifying such centers: (i) a merit review with a focus on quality, and (ii) focus on a specific area. Other characteristics suggested by the IAC are:

- Institutional autonomy and sustainable financial support (allowing freedom of intellectual pursuit without dogmatic or political pressure, as well as administration in a flexible and non-bureaucratic manner);


http://www.interacademycouncil.net/

- Leadership by a person widely recognized by peers and who possesses effective management skills;

- Mechanisms for ensuring quality, including international assessments and dissemination of research results in internationally recognized publications;

- Merit-based hiring and promotion policies;- Peer review of activities, both internal and external, as a systemic element;- Collaboration with international institutions;- A focused research agenda that includes interdisciplinary themes;- Activities that cover not only research but also applications and technology

transfer;- Nurturing of new generations of S&T talent.

These could serve as additional input in defining criteria for eligibility for Nigeria’s STEPB Centers of Excellence program. The challenge now is how to select those few institutions to be supported and eventually emerge as Centers of Excellence. Experiences from other countries suggest a number of possible options. These are described below:

1. Selection by Government Decree. The FGN could, based on the national development strategy, priority areas in FMST’s S&T policy and its knowledge about the capacity of various institutions in the country. For example, in Korea, centers of excellence are designated and supported by the Ministry of Science and Technology. This approach can be fast and effective, especially when backed by adequate financial resources and the appointment of a skilled leadership team. However, there is a risk that political interests in government could overshadow merit considerations. More information on the Korean approach to centers of excellence can be accessed at www.iitm.ac.in/first.shtml; and www.kjist.ac.kr/new/english/index.htm.

2. Selection within specific pre-determined subjects, disciplines or areas of national need (e.g., neglected disease research, petroleum processing, staple crop research, S&T teaching, etc.). Under this approach, institutions would be invited to respond to periodic calls for Expressions of Interest (EoI) based on eligibility criteria determined by the NPSC and finalized by the STEPB Coordinator. The eligibility criteria would also specify the academic areas of excellence to be considered. A shortlist would then be prepared through an international peer review process by the IAB. Shortlisted institutions would be invited to submit detailed proposals on the basis of which a final selection would be made. Involved in this process, site visits of candidate institutions might be undertaken by the review committee evaluating candidate institutions. A purely merit-based approach is likely to result in a selection of institutions that have the greatest potential for success. Such an approach boosts the self esteem of staff members in the selected institutions and exerts positive pressure on them to succeed. However, this approach would require that a consensus is reached amongst all possible beneficiaries that geo-political considerations should not be a factor in reaching a decision. Without such an agreement, this would lead to a concentration of the centers of excellence in few metropolitan areas.


http://www.kjist.ac.kr/new/english/index.htm

http://www.iitm.ac.in/first.shtml

Brazil’s Sectoral Funds for targeted research efforts uses this method (see www.mct.gov.br/Fontes/Fundos/Default.htm). The selection of strategic sectors, their respective share of funds, etc. are all jointly decided upon by a group of diverse stakeholders composed of representatives from the Brazilian academic community, private sector, and government. This necessarily requires a broad consultation process in order to build consensus on the criteria for selection.

3. Selection through a merit-based review plus geographical balance. Mexico’s Fondos Mixtos program for centers of excellence in research through public-private partnerships is based on a combination of merit-based review and geo-political balance. This method is similar to number two above but with the additional prioritization of balance among specific geographical zones (http://www.conacyt.mx/Fondos/Mixtos/Mexico/Index_Mexico.html). Should the STEPB Project emulate the Mexican model, stakeholder consultation would, in this case, be held at both national and zonal levels, in order to devise criteria for selection of an institution within each geographic zone. Without such consultations, selection at this level could turn political.

4. Selection on the basis of merit and ability to secure co-funding from industry (or other sources). The Millennium Science Initiatives (MSI) in Latin America were established on the principle that countries benefiting from the initiative must be willing to cover 50% of the costs of the center. A modified version of this principle could be applied in the STEPB project by requiring institutions interested in becoming centers of excellence to obtain a specific percentage of the required funds from industry (or other sources). This could be applied on its own or in combination with methods 2 & 3 above. More information on the MSI can be accessed at www.msi-sig.org/sig.htm.

Around 7 Centers of Excellence will be financed. They will be identified by a process of competitive bidding during which competing applications will be evaluated by a virtual committee of international recognized scientists and technologists (the IAB) who will report on the strengths and weaknesses of each application. These reports will then be used by the TRC to rank the applications.

Final selection should be based mainly on the ranking by the TRC but must also take into consideration the significance of the proposed S&T area to national development and the need for an overall portfolio of Centers which spans the S&T sector. While the selection process will be based firmly on merit, it will also be sensitive, if possible, to geopolitical issues.

A central component in all applications will be the establishment of links with external institutions. While it is recognized that initially the Nigerian institution will be the junior partner in such a link, it is important that these should be two-way links, with study, lecturing and research visits to Nigeria from partner institutions. Joint research or development programs will be a key element of the partnership.


http://www.msi-sig.org/sig.htm

http://www.mct.gov.br/Fontes/Fundos/Default.htm

An important output of the partnership will be an enhanced ability of the institution to win research and consultancy contracts both nationally and internationally, leading ultimately to an increased measure of self-sufficiency. Associated with this will be evidence of an increased willingness by industry to support programs in the CoE knowing that they will be the ultimate beneficiaries. Evidence of industrial partnerships, including patents, have been included the key indictors for progress in the development of CoE.

Applicants will also be expected to show how their institution will use the STEPB funding to generate world-class laboratory or workshop facilities and also world-class staff to work in them through a robust staff development program. It is anticipated that both of these will take advantage of the international links developed.

The STEPB project will monitor the progress of the development of the Centers of Excellence so that any impediments to progress are identified at an early stage. It will offer, where possible, advice and technical assistance to address any impediments.


Annex G

Recommendations from the STEPB Synthesis Report

The table below summarizes the recommendations in Chapter 6 of the STEPB Synthesis report that might qualify for funding under Component 3A

Action Universities Polytechnics/ TVET

Colleges of Ed Schools/Tech Colls

Policy/strategy development

Study

Governance/autonomy

Review

Program impact monitoring

Develop pilot mechanisms

EMIS and Develop systems FME develop

Labor market information

Study of mismatch between supply and demand

programs in labor market studies

Observatory

Improve careers advice

Develop/refine a careers service

Training in careers advice

Curricula Review and restructure

NVQF

Tracer studies to provide information on relevance

INSET for secondary teachers

Develop programs Develop programs Reward professional development

HEI instruction quality

Develop training and support programmes

Gender Develop affirmative action strategies

Develop affirmative action strategies

Research Collaborative ventures

Centres of excellence

Data collection on research output

Competitive funding

Facilities Develop strategies to improve facilities

Produce affordable equipment locally

ICT facilities Strategy for rolling out ICT to all institutions. Include cost-recovery mechanisms

Bandwidth Bandwidth consortia and similar strategies

ICT training Develop a hierarchy of ICT literacy standards and institute training for both students and staff

Develop ICT curricula


e-learning Develop pilots, including ODL

ICT portals and T/L resources

Develop appropriate portals and resource materials

Libraries Computerize all libraries

Virtual library

Financial expenditure

Efficiency studies

Funding policies Develop funding policies that attract private sector support


Annex H

Standardized Actual Costs for Sub-Project Proposal Budget Calculation

Arriving at a realistic overall cost of a subject - particularly one that involves a mass of small costs like training - is often not a simple matter. Each submission will require checking to ensure that the estimates are realistic and that too, can be just as difficult.

To simplify all these processes, the cost estimates for each submission should perhaps be submitted on a standardized (preformatted) Excel spreadsheet template. This would allow all the unit costs used by each submission to be clearly identified in an initial list and individual ones could be altered if it is felt that they were incorrect without having to rewrite the whole submission.

Developing such a template would also help in project preparation because a number of common unit costs could be worked out beforehand and used across all proposals. These would also assist with developing internal budget lines to enhance clarity in individual sub-project accounting.

The table shows a number of unit costs

Item Cost (US$)Cost of a small city vehicle 25000Cost of a 4x4 vehicle 40000Annual running costs of a small vehicle (fuel + maintenance) 7000Annual running costs of a 4x4 vehicle (fuel + maintenance) 10000Per capita national workshop/meeting cost (4 days transport, DSA, venue, etc) 1500Per capita regional workshop/meeting cost (4 days transport, DSA, venue, etc) 500Internal TA (per week) 1000External TA (per week) 3500External TA DSA/week 2450Return flight Europe 1500Per capita/per day study visit Europe/USA/Southern Africa 2000Printing and publishing - per 1000 pages 75Serviced office space /person/year (important for calculating institutional contributionsSecretarial services /person/monthComputer + standard peripherals and software 1600ETC

It is unlikely that all institutions applying for sub-project funding will have experience in using a spreadsheet template. In such cases, it will make greatly expedite the rapid assessment of sub-project applications if all could be persuaded to follow the same procedure for estimating costs.



This is probably now out-of-date and in need of revision. is it being used?

Annex I

Fields of science and technology Source: OECD.

1. NATURAL SCIENCES1.1. Mathematics and computer sciences [mathematics and other allied fields: computer sciences and other allied subjects (software development only; hardware development should be classified in the engineering fields)]1.2. Physical sciences (astronomy and space sciences, physics, other allied subjects)1.3. Chemical sciences (chemistry, other allied subjects)1.4. Earth and related environmental sciences (geology, geophysics, mineralogy, physical geography and othergeosciences, meteorology and other atmospheric sciences including climatic research, oceanography, vulcanology, palaeoecology, other allied sciences)1.5. Biological sciences (biology, botany, bacteriology, microbiology, zoology, entomology, genetics, biochemistry, biophysics, other allied sciences, excluding clinical and veterinary sciences)

2. ENGINEERING AND TECHNOLOGY2.1. Civil engineering (architecture engineering, building science and engineering, construction engineering, municipal and structural engineering and other allied subjects)2.1. Electrical engineering, electronics [electrical engineering, electronics, communication engineering and systems, computer engineering (hardware only) and other allied subjects]2.3. Other engineering sciences (such as chemical, aeronautical and space, mechanical, metallurgical and materials engineering, and their specialized subdivisions; forest products; applied sciences such as geodesy, industrial chemistry, etc.; the science and technology of food production; specialized technologies of interdisciplinary fields,e.g. systems analysis, metallurgy, mining, textile technology and other allied subjects)

3. MEDICAL SCIENCES3.1. Basic medicine (anatomy, cytology, physiology, genetics, pharmacy, pharmacology, toxicology, immunology and immunohaematology, clinical chemistry, clinical microbiology, pathology)3.2. Clinical medicine (anaesthesiology, paediatrics, obstetrics and gynaecology, internal medicine, surgery, dentistry, neurology, psychiatry, radiology, therapeutics, otorhinolaryngology, ophthalmology)3.3. Health sciences (public health services, social medicine, hygiene, nursing, epidemiology)

4. AGRICULTURAL SCIENCES4.1. Agriculture, forestry, fisheries and allied sciences (agronomy, animal husbandry, fisheries, forestry, horticulture, other allied subjects)4.2. Veterinary medicine


5. SOCIAL SCIENCES5.1. Psychology5.2. Economics5.3. Educational sciences (education and training and other allied subjects)5.4. Other social sciences [anthropology (social and cultural) and ethnology, demography, geography (human, economic and social), town and country planning, management, law, linguistics, political sciences, sociology, organization and methods, miscellaneous social sciences and interdisciplinary, methodological and historical S&T activities relating to subjects in this group. Physical anthropology, physical geography and psychophysiology should normally be classified with the natural sciences]

6. HUMANITIES6.1. History (history, prehistory and history, together with auxiliary historical disciplines such as archaeology, numismatics, palaeography, genealogy, etc.)6.2. Languages and literature (ancient and modem)6.3. Other humanities [philosophy (including the history of science and technology), arts, history of art, art criticism, painting, sculpture, musicology, dramatic art excluding artistic “research” of any kind, religion, theology, other fields and subjects pertaining to the humanities, methodological, historical and other S&T activities relating to the subjects in this group]


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