1(14) Appendix 8 Sida Contribution No: 51140011 SPECIFIC AGREEMENT BETWEEN SWEDEN AND THE GOVERNMENT OF MOZAMBIQUE ON CONTINUED RESEARCH COOPERATION WITH EDUARDO MONDLANE UNIVERSITY DURING 1 MARCH 2011 TO 31 DECEMBER 2015. Sweden, represented by the Swedish International Development Cooperation Agency, Sida and the Government of Mozambique, represented by the Ministry for Foreign Affaires and Cooperation, have agreed as follows: Eduardo Mondlane University (UEM) shall represent Mozambique in matters concerning, the implementation of this Specific Agreement. ARTICLE 1 SCOPE AND OBJECTIVES OF THE AGREEMENT Mozambique has decided to carry out a programme called "Research Capacity Strengthening" at Eduardo Mondlane University (UEM) (hereinafter referred to as "the Programme"). The overall objective presented in Eduardo Mondlane University's proposal for the period 2011-2015, is to strengthen higher education and national research systems through the support to research, postgraduate training and to the development of institutional capacity for research management. The support will focus on: i) collaborative research and postgraduate training; ii) local postgraduate research training programmes; iii) research environment improvement; iv) strengthening research management capacity; v) library services. The Programme shall be carried out in accordance with UEM's document "Research Capacity strengthening at Eduardo Mondlane University", of January 2010, updated on 18 February 2011 (Enclosure 1), and the Programme budget approved by Sida (Enclosure 2).
2 (14) ARTICLE 2 THE SWEDISH CONTRIBUTION Sweden shall, subject to parliamentary appropriation of funds, support the implementation and monitoring of the Programme "Research Capacity strengthening at Eduardo Mondlane University", as specified in this Agreement with an amount not exceeding Swedish Kronor ONE HUNDRED AND NINETY FIVE MILLION (SEK 195 000 000 ) during the period 1 March 2011 to 31 December 2015, which shall relate to activities during the same period for the Programme and allocated as follows: Swedish kronor FORTY MILLION (SEK 40 000 000), shall be allocated for the period 1 March 2011-31 December 2011. Swedish kronor FORTY MILLION (SEK 40 000 000), shall be allocated for the calendar year 2012. Swedish kronor FORTY MILLION (SEK 40 000 000), shall be allocated for the calendar year 2013. Swedish kronor FORTY MILLION (SEK 40 000 000), shall be allocated for the calendar year 2014. Swedish kronor THIRTY FIVE MILLION (SEK 35 000 000), shall be allocated for the calendar year 2015. Of the funds allocated for 2015, SEK 33 500 000 will be paid to UEM and SEK 1 500 000 will be retained by Sweden for an external evaluation of the Programme. The contribution shall be financed from the amount kept available by Sweden to Mozambique in Agreement on Development Cooperation. ARTICLE 3 EXPECTED RESULTS To make the objectives operational UEM has developed a Results Assessments Framework (RAF) for measuring the results in its implementation of the Programme (Enclosure 3). The RAF forms an integral part of this Agreement. All substantial revisions of the RAF shall be agreed during Review Meetings and documented in Agreed Minutes, in accordance with Article 9. The expected main results of the Programme are: - Increased capacity to conduct research of scientific quality and with relevance to national development needs; - Increased capacity for postgraduate training at UEM;
3 (14) - Enhanced capacity for supervisors to supervise Masters and Doctoral studies; - Increased capacity to assist other public universities to conduct research; - Increased research productivity, i.e. publications contributing to enhanced visibility among peers; - Improved research management and coordination in UEM; - Improved research communication; - Increased collaboration with other research institutions/universities internationally and nationally, thereby strengthening the national research system. ARTICLE 4 UNDERTAKINGS BY THE PARTIES Sweden undertakes to pen`orm the following: 1. Enter into agreement with UEM's co-operating Swedish institutions according to attached Agreement template (Enclosure 7). 2. 2011: System audit of UEM's research management of funds. Sweden shall, for this purpose use funds from country allocation Mozambique 155017, apart from funds allocated in this Agreement. 3. 2012: Assessment of Quality Assurance Systems of postgraduate programmes in Mozambique and at UEM. Sweden shall, for this purpose use funds from country allocation Mozambique 155017, apart from funds allocated in this Agreement. 4. 2015: Evaluation to take stock of results achieved and lessons learnt. Sweden shall, for this purpose use funds from the contribution allocated in this Agreement. Undertakings by Mozambique: 1. UEM is responsible for the execution of the planned activities and that the Swedish contribution is being used efficiently for agreed purposes only. 2. In fulfilling its responsibility, UEM shall provide the necessary professional and administrative support, personnel services, and any other resources necessary for the successful execution of the activities. 3. UEM shall ensure that administration and internal control of programme resources are adequately carried out. 4. UEM shall fulfil the following obligations:
4 (14) UEM shall implement the action plan and recommendations derived from the system -audit of UEM 's research management of funds, to be completed in 2011. UEM shall implement the action plan and recommendations derived from the assessment of Quality Assurance Systems of postgraduate programmes, to be completed in 2012. UEM undertakes to furnish Sweden with full financial and progress reports from every sub -programme within the programme, as stipulated in Article 9. UEM shall plan for, and subsequently implement the research programme ' s fund management into e-sistafe. ARTICLE 5 CONDITIONS FOR AND UTILISATION OF THE SWEDISH CONTRIBUTION The Swedish contribution shall be used in accordance with UEM's updated proposal of 18 February 2011, the budget approved in Sida 's Assessment (Enclosures 1 and 2 ), Sida's Guidelines on "Support to national research development" (2008) and UEM ' s Standard Operating Procedures. Only costs for activities carried out during the period from 1 March 2011 to 31 December 2015 may be financed by the Swedish contribution. After a period of six months from that latter date, the contribution in this Agreement shall not be available for payment. Sweden may, at any time, withhold disbursements, wholly or in part, if substantial deviations from the plan presented or budget occur ; if the main programme objectives are endangered ; if misuse of funds or other resources takes place ; if reports are not delivered as agreed or if the Programme progresses unfavourably in terms of the objectives in any other important respect. Before taking such a decision, Sweden shall initiate discussions with UEM. Should circumstances arise that call the feasibility or validity of the programme into question, or that induce UEM to make major adjustments to its objectives, or if UEM decides to make any substantial deviation from the plan presented, UEM must obtain Sweden's written approval before continuing the programme, or implementing such changes. Budget reallocations of more than 10% on each budget item, shall be agreed upon in advance, in writing between the parties and with explicit reference to this clause in the Agreement.
5 (14) Funds transferred to UEM under this Agreement and not utilised before 30 June 2016 for the financing of activities shall be repaid to Sweden within three months of that date, unless otherwise agreed. If the conditions set out in this Article and Article 4 and 12 are not fulfilled or fully complied with or fully respected, UEM shall repay any disbursed funds, wholly or in part, to Sweden. ARTICLE 6 PERDIEM, REIMBURSABLE COSTS AND STIPENDS Disbursement of per diem and other reimbursable costs to personnel within the Programme shall be carried out in accordance with rules and regulations that follow hislher employment. This means that personnel employed in Sweden shall receive per diem and other reimbursable costs according to Swedish rules and regulations. Personnel employed in Mozambique shall receive per diem and other reimbursable costs according to Mozambican rules and regulations. ARTICLE 7 PROCUREMENT Procurement of goods, works and services shall be performed in accordance with internationally accepted principles and good procurement practices. Sweden may perform examinations of procurements. The examination can be made in the form of a procurement audit. UEM shall provide Sweden with all the necessary documentation. Procurement of goods, works and services carried out by UEM or by an agency/consultant appointed by UEM shall follow Mozambican Procurement Rules. For procurement of services carried out by Sweden under this Agreement Swedish procurement legislation shall apply. Tender documentation, including all published procurement notices, shall be prepared in the English and Portuguese language. ARTICLE 8 ENVIRONMENTAL IMPACT The Programme shall include an environmental impact assessment, EIA, according to Mozambican regulations and Sida's Guidelines for the Review of Environmental Impact Assessment (www.sida.se). An EIA will be carried out before 30 November 2011. UEM undertakes to implement
6 (14) the recommendations of the EIA. The implementation shall be followed up in the monitoring and evaluation activities of the Programme. ARTICLE 9 PROGRAMME MANAGEMENT, PLANNING, REVIEW, REPORTING AND EVALUATION The Programme administration and management at UEM will follow the Programme cycie scheme (Enclosure 4) and will be organised in accordance with UEM's Standard Operating Procedures for Sida supported Programme 2011-2015 (Enclosure 5). An Annual Review Meeting (for review of activity/financial reports) shall be held no later than 31 May every year. During Review Meetings the Parties shall assess the performance of the programme in relation to the RAF and initiate policy dialogue. Agreed Minutes shall be prepared and signed before a Review Meeting is closed. A draft Annual Progress Report shall be presented to Sweden before the Annual Review Meeting and no later than 30 April. The report shall summarize obtained and expected results in relation to the RAF, and contain an analysis of any deviation there from. The Annual Review Meeting may decide that this report shall be revised, in which case a date for the provision of the final report shall be stated in the Agreed Minutes. An Annual Work Plan with budget for 2011 shall be presented to Sweden for analysis and subsequent discussion before the first disbursement. Annual Work Plans for the forthcomings years shall be presented to Sweden as a draft for analysis and subsequent discussion at the Annual Planning Meeting no later than 31 October each year. The final Annual Work Plan based on the agreements reached at the Annual Planning Meeting shall be submitted to Sweden for approval no later than 30 November each year. Annual Financial Reports according to Sida"s instruction for reporting, enclosure 6, shall be submitted to Sweden no later than 28 February each year. Intermediate financial reporting routines shall be agreed between the Parties taking into account, that an approved financial report is a prerequisite for disbursements as in Article 10. A Completion Report shall be submitted to Sweden as a draft no later than 45 days before the Final Review Meeting. The report shall summarize obtained and expected results in relation to the RAF, and contain an analysis of any deviation there from. After joint consideration of the draft, the report shall be amended and finalised and submitted to Sweden within 45 days of the meeting. If the Final Review Meeting for some reason will not be held, the Draft Completion Report shall be submitted to Sweden no. OU
7 (14) later than 31 May 2015 and the Final Completion Report within 45 days of receiving comments. A mid-term self-assessment of the Programme, shall be made by UEM, to be completed no later than 31 December 2013. Terms of Reference for the self- assessment shall be developed by UEM and approved by Sweden. An evaluation shall be made not later than November 2015. The evaluation will include the administrative system of UEM, assessment of research and postgraduate training programmes' quality and financial management system. The evaluation shall summarize obtained and expected results in relation to the RAF, and contain an analysis of any deviation there from. The Parties shall agree on the terms of reference and the procedures for its implementation during the preceding annual review meeting. UEM shall promptly inform Sweden if reports and plans cannot be submitted as agreed. Annual review meetings will not be held and new funds will not be disbursed until the required documents have been received. Irrespective of agreed reporting routines, the parties shall promptly inform each other if a situation should arise, that makes it likely that the programme will not be carried out as agreed. External co-operating institutions, contracted by UEM, shall provide UEM with information about the costs incurred by the external institution. The amounts shall be included in the financial reporting. UEM shall provide Sweden with any other information regarding the programme that Sweden may reasonably request and enable Swedish representatives to visit programme locations and inspect property, goods, records and documents. UEM shall co-operate with and assist Sweden in the performance of follow-ups and evaluations of the impact of the programme. The obligations of UEM in this respect shall apply also to previously agreed support provided by Sweden to UEM for purposes similar to the purposes of this Agreement. Any interest that Swedish funds may yield shall be separately accounted for in the financial reporting and utilized within the Programme after approval by Sweden. Interest not utilized within the Programme shall be repaid. ARTICLE 10 DISBURSEMENT Provided that there is a need for funds the Swedish contribution shall be disbursed as follows,
8 (14) 2011: 2012: 2013: 2014: 2015: SEK 40 000 000 shall be available for disbursement in 2011. Fifty (50%) of the disbursement to UEM shall be available for disbursement upon signature of this agreement, the remaining 50% will be disbursed after Sweden's approval of UEM's management response and actions taken in relation to the system audit, as referred to in Article 4. The disbursement to Swedish institutions shall be available for disbursement upon the signature of this agreement. SEK 40 000 000 shall be available for disbursement in 2012 SEK 40 000 000 shall be available for disbursement in 2013 SEK 40 000 000 shall be available for disbursement in 2014 SEK 35 000 000 shall be available for disbursement in 2015 Prerequisites for the disbursements are that the requirements in Article 4 are fulfilled and that progress and financial reporting as stipulated in Article 9 is submitted by UEM and approved by Sweden. Each disbursement request needs to include or refer to a progress and financial report, as stipulated in Article 9. No disbursement can be made until Sweden has approved the request. a) Disbursements to Eduardo Mondlane University Disbursements of contributions may only be made when 70% or more of the previous disbursement has been utilised by UEM. Disbursements of Swedish contributions shall only be made against a disbursement request in original from UEM. The person authorized to sign the disbursement request on behalf of UEM is the Rector of UEM. UEM shall inform Sweden of any new designation. The disbursement request shall contain the following information and the disbursement shall be made accordingly: the words "disbursement request" in the heading the Sida Contribution ID
9 (14) the name of the [project/programme] the requested amount in SEK name and position of person the recipient ' s bank, bank address, account number/iban, accountholder, clearing number/sort code, SWIFT code and currency of the account financial report on use of previous disbursements or reference to such report a prognosis of the need for funds the following period; The disbursement request shall be signed and addressed to the Responsible Officer at Sida. UEM is responsible for distribution of funds to the projects and activities according to funds allocations made at the Annual Planning Meetings and as recorded in Agreed Minutes from these meetings (ref. Article 9). b) Funds disbursed by Sida, on behalf of UEM, to Swedish partners: Sida, on behalf of UEM, enters into Agreement (Enclosure 7) with UEM's co-operating Swedish institutions. Disbursements to co-operating Swedish institutions will be made by Sida, after UEM's approvål that the cooperating institution has fulfilled the requirements as set up in its Agreement with Sida. The disbursements from Sida to Swedish partners is financed from the contribution under this Agreement, as outlined in the Agreement Budget. ARTICLE 11 AUDIT UEM is responsible that the Programme is audited annually. The audit shall be carried out by an external, independent and qualified auditor. The audit shall be carried out in accordance with international standards issued by International Organisation of Supreme Audit Institutions (INTOSAI) or International Federation of Accountants (IFAC). Sida"s standard ToR for annual financial audit shall be used (Enclosure 8). The final Terms of Reference for the audit and the selection of auditor shall be approved by Sweden. The cost for the audit shall be paid by UEM and shall be a part of the Programme budget. The Auditor' s report shall express an opinion whether the submitted Annual Financial Report is in accordance with Mozambique's accounting
10 (14) records and Sida's instructions for reporting according to ISA 8001805. The auditor shall also express an opinion on other questions if requested in the terms of reference. The auditor shall submit a Management Letter/Audit Memorandum, which shall contain the audit findings made during the audit process and shall also state which measures have been taken as a result of previous audit and whether measures taken have been adequate to deal with reported shortcomings. UEM shall present the auditor's reporting to Sweden no later than 15 April each year. A Management Response including an Action Plan shall be produced by the implementing agency and submitted to Sweden no later than 15 May each year. If UEM shall channel financial funds to a recipient organisation, UEM shall be responsible for that yearly audits of those funds are performed according to the above stated requirements. UEM shall co-operate with and assist Sweden in the performance of any additional reviews, follow-ups and financial studies that Sweden may request. ARTICLE 12 ANTI-CORRUPTION Sweden and UEM agree on cooperating to counteract corruption during the implementation of the Programme. In planning and implementation of the operational activities, UEM shall take into consideration the risk of corruption and identify important problems and elaborate clear objectives for risk mitigation. If a substantial risk of corruption is considered to be one of the identified problems, measurable objectives shall be elaborated to reduce the risk indentified. UEM undertakes to investigate and, if necessary, take action, including legal measures, against any person or persons whom there is good reason to suspect of corruption or other improper gain. UEM shall immediately inform Sweden of any illegal or corrupt practice or any other misuse of the contribution in any activity financed under this Agreement that UEM is aware of or that has been brought to its attention, whether or not under UEM's responsibility. UEM shall provide Sweden with information on the findings and any actions or measures taken by UEM. Upon receipt of any such notification, the Parties shall promptly consult with each other to determine further actions to be taken in order to resolve the matter, UEM shall keep Sweden informed of the progress of any forma) investigation concerning the matter and provide Sweden with a final report of the findings of such investigation upon its conclusion. 90^
ARTICLE 13 COPYRIGHT Research results shall be freely published and distributed. recognition shall be given to Sweden and UEM. Due credit and Sweden shall have the right to copy and distribute in a suitable form any reports and studies that have been submitted by UEM to Sweden as part of the reporting. ARTICLE 14 ETHICAL APPROVAL Ethical approvals of medical or health research programmes and projects are required as follows: For programmes and projects carried out in their entirety in Sweden, Swedish regulations shall apply. For programmes and projects carried out in other countries the following rules shall apply: - Projects involving human subjects require ethical approval by a responsible authority in the country concerned. Where Swedish researchers or institutions participate, approval is also required from a Swedish ethical committee. - Projects involving clinical trials of drugs, vaccines or other pharmaceutical preparations require, in addition, approval by a drug regulatory authority or other responsible authority in the country concerned. Projects involving experiments with animals should, whenever possible, be approved by a responsible authority in the country concerned. - When changes or additions are made to the original project plan renewed ethical approval is required. - The recipient scientistlinstitution is responsible for ensuring that ethical approval in accordance with the above-mentioned rules is obtained before the study is started. Sweden retains the right to require that the recipient scientistlinstitution produce proof of ethical approval before the grant is disbursed.
12 (14) ARTICLE 15 PATENTS AND KNOW-HOW As regards patents and know-how the participating Swedish and Mozambican institutions and researchers co-operating in the research project shall have access to all results and know-how obtained within the collaborative projects mentioned in the Agreement. Each party that has participated in the co-operation shall have the right to the patent in their own name and at their own expense. The registration fees for the patent in Sweden and Mozambique shall be divided equally between the participating institutions. The participating institutions shall decide whether or not the patent is to be registered in a third country. Should Mozambique choose not to exercise its right to apply for a patent, the other institutions are to be given the option to do so in their own name and at their own expenses. The participating institutions shall have the right to equal shares of the revenue derived from grant of user licences to third parties if the patent is registered by mutual Agreement. The grant of user licences and patent(s) shall be determined in each case by mutual Agreement between the participating institutions provided the participating institutions agree in delegating such a task to one party. ARTICLE 16 REFERENCES TO OTHER AGREEMENTS Cooperation between the parties under this Agreement shall also be governed by: the Agreement on General Terms and Conditions for Development Cooperation between the Government of Sweden and the Government of Mozambique for the period 1 October 1997-30 June 2002, as subsequently extended to 31 December 2012, - the Agreement on Development Cooperation for the period 2008-2012 and, - any agreements that may replace or amend the said agreements. ARTICLE 17 DISTRIBUTION OF THIS AGREEMENT The Parties undertake to distribute copies of this Agreement to all their ministries, authorities and other institutions involved in the cooperation or otherwise in need of information on its content.
13 (14) ARTICLE 18 TERMINATION This Agreement shall remain valid until 30 September 2016, unless terminated earlier by six months' written notice by either Party. In the event of termination by Sweden the termination shall not apply to funds irrevocably committed in good faith by UEM to third parties before the date of the notice of termination, provided that the commitments were made in accordance with this Agreement. In case of serious breach of the Agreement, Sweden may terminate the Agreement with immediate effect. In case of termination by UEM, no funds shall be made available for activities after the expiry of the Agreement. ARTICLE 19 EFFECTIVE DATE This Agreement shall come into effect on the date of its signature. Two originals of the text of this Agreement, written in the English language, have been signed, of which the Parties have each taken one. Maputo, 2011-06-16 Place and date Sweden, represented by Sida Maputo, 2011-07- 27 Place and date Mozambiq MinisZ fo Coolberlti( e, represented by the Foreian Affairs and n Signature Anita Sandström Name and title in block letters Charge d' affaires, a.i. Sign Oldlri Fö Balöi Name and title in block leders, Minister for Foreidn Affairs and Cooperation Enclosures: 1. UEM Programme Proposal "Research Capacity strengthening at Eduardo Mondlane University", updated 18 February 2011 2. Sida's Assessment and approved Budget 3. The Programme RAF
14 (14) 4. The program cycle 5. UEVs Standard Operating procedures for Sida -supported Programme 2011-2015 6. Sida ' s instruction for reporting 7. Template : Agreement between Sida and UEKs cooperating institution in Sweden 8. Sida " s standard ToR for annual financial audit