EXTERNAL EVALUATION REPORT OF THE PROJECT TITLED MITIGATING THE IMPACT OF HIV/AIDS: A RIGHTS-BASED APPROACH
POLICY, MANAGEMENT AND OPERATIONAL GUIDELINES FOR THE CENTRE OF EXCELLENCE IN WATER AND SANITATION
MZUZU UNIVERSITY CENTRE OF EXCELLENCE
WATER AND SANITATION
ABBREVIATIONS USED IN THE GUIDELINES
Act and StatutesMzuzu University Act and Statutes of 1997
BOOK 1Terms and Conditions of Service for Academic and
Senior Administrative Staff
BOOK 2Terms and Conditions of Service for Non-Academic
GovernmentThe Government of the Republic of Malawi
The CentreCentre of Excellence in Water and Sanitation
The DirectorDirector of the Centre of Excellence in Water and
WATSANCentre of Excellence in Water and Sanitation
ESTABLISHMENT OF THE CENTRE:
Background and General Information about the Centre of Excellence
Mzuzu University (MZUNI) is the second national public university in Malawi. It was established by an Act of Parliament in May 1997 to provide high quality education, training and research and complementary services to meet the technological, social and economic needs of individuals in Malawi and the world. It admitted its first students in 1999. The University is located about 370 kilometres north of the Capital City, Lilongwe. Since its inception the University has made great strides in the socio economic transformation of the country.
Currently MZUNI has got five faculties namely Faculty of Education, Faculty of Environmental Sciences, Faculty of Information Science and Communications, Faculty of Health Sciences, and Faculty of Tourism and Hospitality Management. It has also established the following six centres: Library and Learning Resource Centre, Test and Training Centre for Renewable Energy Technologies, Centre for Open and Distance Learning, Centre for Security Studies, Centre for Environmental Education, Training and Research, and the latest being the Centre of Excellence in Water and Sanitation (WATSAN).
WATSAN was established in 2010 with the aim of promoting on-site sanitation and water supply through research and training, focusing on simple but most commonly used appropriate technologies (such as pit latrines, ecological sanitation, shallow wells and hand pumps) in Malawian communities.
It has been established through studies that training programmes in higher education in Malawi tend to focus their training on higher technologies based around the engineering aspects of piped water supplies, sewers and the technical aspect of treatment plants and only give cursory attention to on-site technologies such as pit latrines, ecological sanitation, shallow wells, and hand pumps. This bias toward higher technologies has little impact or use in a country like Malawi where 90% of its population must rely on these simple on-site technologies for their water supply and excreta management needs.
The Centre of Excellence at MZUNI aims at filling this knowledge and skills gap and to gradually apply its growing understanding to the practical realities within communities.
The vision of WATSAN is to be the leading centre of excellence in promoting sanitation and water supply through research and training in appropriate technologies for communities.
To provide high quality education, training, research and complementary services to meet the sanitation and water supply needs of individuals and communities in Malawi and the African continent.
ACTIVITIES OF THE CENTRE
The main activities of the Centre of Excellence for Water and Sanitation include the following:
Undertaking research and building a better understanding of the existing good practices as well as the constraints which prevent sustainable safe excreta management, hygiene practice and access to water supply in the rural and peri urban areas of Malawi.
Applying the research findings to develop sustainable excreta management, hygiene practice and water supply projects within the poor communities of Malawi.
Building networks with other training institutions, Government bodies, NGOs, donors and other partner institutions locally and internationally operating in water and sanitation programmes for support and sharing of knowledge, skills and experiences.
Conducting generic and tailor-made training programmes in water and sanitation for capacity building for communities and organisations.
IMPORTANCE OF THE GUIDELINES FOR THE CENTRE
Good governance and good management practices are vital for viability and survival of any modern organisation. WATSAN therefore believes that good governance policies and management practices:
produce better performance
promote transparency, accountability and trustworthiness
lowers the cost of overheads and therefore raises the value of
the organisation, making investment attractive, leading to
growth of organisations
promote common understanding among staff, team spirit
and better working relationship among staff within the
organisation as well as better understanding with partners and other stakeholders outside the organisation.
WATSAN, just like any established structure at Mzuzu University, is subject to the general policy management and operational guidelines as provided for in the Mzuzu University Act and Statutes; Financial, Procurement and Stores Regulations; Terms and Conditions of Service; Policy on Research Projects and Consultancy; and others.
These draft guidelines have been prepared in order to provide MZUNI Management, the Centre Director and staff at varying levels of seniority in the overall management with a document that would guide them with information on policy and day-to-day management of operations in the Centre.
These are not a rigid set of rules. Practices change as time goes by, as do circumstances and statutory requirements. Therefore these guidelines will need to be updated periodically. Nevertheless, they represent the current best practice as they are intended to help bring about permanent and irreversible improvements in the administration of the Centre. They form a basis for guiding current policy, management and operational activities in the Centre drawing from the various legal, policy and operational guidelines that currently apply to MZUNI institutional framework.
Mzuzu University Act and Statutes provide for the position of Director of Centre as the principal officer of that centre. He/she is appointed by the University Council. The Director is responsible to the Vice Chancellor and operates under the general direction and control of Board of the Centre. The Act also provides for the position of Deputy Director to assist the Director in the performance of his/her duties.
Beyond those two positions, the law provides for flexibility for each centre to create its own structure, subject to the views of its board, that would be suitable and convenient to run its activities in a more efficient and effective manner. This flexibility is in recognition of the fact that different centres may have their own unique features, requiring special structures in place. Therefore, prescribing the structure and the establishment may not be in the best interest of the centres.
THE COMPOSITION OF THE BOARD OF THE CENTRE
The Board is chaired by the Vice Chancellor. The following will be the members of the Board:
Deputy Vice Chancellor
Dean, Faculty of Environmental Sciences
Director of Research
Head, Department of Water Resources, Management and Development
Two members of Senate, elected by Senate
Two members representing the industry and the professional body
The Director of the Centre shall act as Secretary to the Board.
The Board shall hold meetings at least three times in each year. One-third of membership present at meetings shall form quorum.
DRAFT ORGANISATIONAL STRUCTURE FOR THE CENTRE OF EXCELLENCE IN WATER AND SANITATION
FIGURE 1. DRAFT ORGANISATIONAL STRUCTURE FOR WATSAN
FUNCTIONS AND DUTIES OF THE DIRECTOR OF THE CENTRE
Reporting to the Board of the Centre, Senate and to the Vice Chancellor, the Director shall be responsible for the following functions and duties:
Maintaining and promoting the efficiency and good order of the Centre
Ensure that the highest standards of discipline, conduct, professionalism, efficiency, integrity and probity are maintained in the Centre as required by the Statutes, Council or as delegated by the Vice Chancellor
Selection of persons to be registered as students engaging in schemes of study or research assigned to the Centre
Deal with student affairs matters as determined by Senate
Provide leadership in managing research projects and consultancies
Manage the resources of the Centre in line with the relevant policies, rules and regulations and ensure that value for money approach is followed in expenditures
RESEARCH FELLOWS AND LINKS WITH OTHER DEPARTMENT, CENTRES AND FACULTIES
The WATSAN Structure is a lean structure at the middle level where there are research fellows to coordinate activities within their areas of specialisation.
The Centre maintains a database of academic staff in various departments, centres and faculties in the University whose experience, knowledge and skills can be engaged whenever the centre has got activities or projects requiring such expertise.
NON-ACADEMIC SUPPORT STAFF
The University Registrars office will provide staff to perform non-academic support services in line with the terms and conditions of service provided in Book 2.
Where short-term assignments require deployment of additional staff, these may be engaged on temporary basis on special terms and conditions which will be spelt out in the specific project documents.
RECRUITMENT, CONFIRMATION AND PROMOTION OF STAFF
All permanent positions will appear on the staff establishment for the Centre. No recruitment will be made unless financial provision is made for such in the budget of the Centre and approved by Council through its relevant Committees.
Processing of recruitment, confirmation of appointments and promotion of permanent or contract staff will follow the normal University procedures and will be handled through the office of the University Registrar. Employees will be subject to Terms and Conditions of Service as provided in Books 1 and 2 of Mzuzu University.
Staff matters are determined through the Academic and Senior Administrative Staff Appointments and Promotions Committee, and the Non-Academic Staff Appointments and Promotions Committee of Council.
MANAGEMENT AND ADMINISTRATION OF RESEARCH PROJECTS AND CONSULTANCIES
The Centre will manage and administer its research projects and consultancy services in line with the Mzuzu University Research Policy. The Research Policy covers areas such as signing of documents, reporting and payment, compensation for university staff, administration of overheads, sharing of income and administration of departmental share, among others.
Details regarding this policy are presented in extract from the Mzuzu University Research Policy shown as an appendix to these Guidelines - Annex 1.
FINANCIAL, PROCUREMENT AND STORES REGULATIONS
The Director shall be the cost centre manager for WATSAN.
He/she will be responsible for preparation of estimates of recurrent expenditure, capital expenditure and project activities.
The Director shall have the authority for expenditure and control of expenditure under his sub-heads.
The Director will ensure that the Centre complies with the existing University Financial and Procurement and Stores Regulations and Procedures which are in line with the Public Finance Management Act and the Public Procurement Act in management of finances, procurement of goods and services and management of stores.
The Director shall provide the necessary financial information as may be demanded by the Finance Officer, the appointed auditor, the donor or by the Finance Committee of Council for reporting.
The Centre will also comply with the procurement guidelines as advised by the Universitys Procurement Specialist and as decided by the Internal Procurement Committee. Special requirements by the donor will also be observed.
Financial activities in the Centre are subject to annual audit by the Mzuzu University appointed external auditors.
The Centre is also subject to regular audits by the Mzuzu Universitys Internal Auditor to ensure conformity to financial systems as required by the University system as well as donor requirements.
REPORTING OF CENTRE ACTIVITIES
The Director of the Centre is under obligation to produce quarterly progress reports to the Vice Chancellor, through the Centre Board, on the activities that have taken place, challenges faced, and make appropriate recommendations.
AFFILIATION OF ACADEMIC INSTITUTIONS
The Centre will be guided by the Mzuzu Universitys Rules Governing Affiliation of Academic Institutions in recommending affiliation of
institutions to Mzuzu University through it.
ACADEMIC AND RESEARCH POLICIES, RULES AND PROCEDURES
The Centre will be guided by such academic and research policies, rules
and procedures as determined by Senate from time to time.
GENERAL GOVERNANCE AND MANAGEMENT POLICIES
The Centre will be guided by such general governance and management policies as determined by the Mzuzu University Council.
AMENDMENT OF THE GUIDELINES
The Guidelines are a living document, not a rigid set of rules. Practices change as time goes by, as do circumstances and statutory requirements. Therefore these guidelines will need to be updated periodically through the appropriate structures in the University.
LIST OF DOCUMENTS AND BIBLIOGRAPHY
1. Mzuzu University Act and Statutes (1997), Government Print, Zomba, Malawi
2. Mzuzu University Financial Regulation (2001), Mzuzu University, Malawi
3. Terms and Conditions Of Service for Academic and Senior Administrative Staff Book 1 (2007), Mzuzu University, Malawi
4. Terms and Conditions of Service for Non-Academic Staff Book 2 (2007), Mzuzu University, Malawi
5. Mzuzu University Research Policy (2004), Mzuzu University, Malawi
6. Rules Governing Affiliation of Academic Institutions to Mzuzu University (2001), Mzuzu University, Malawi
7. Proposal for the Establishment of the Centre of Excellence in Water and Sanitation (WATSAN) (2010), Mzuzu University, Malawi
EXTRACT FROM THE RESEARCH POLICY ON ADMINISTRATION OF EXTERNALLY FUNDED PROJECTS
1.1 Externally-Funded Research Projects Definition
An externally funded research project is a research project that is wholly or partly funded by a grantor other than Mzuzu University.
Funding for an externally funded research project will be awarded to Mzuzu University, not to an individual staff member. A representative of Mzuzu University will sign the grant document or contract on behalf of the University. The University may thus assume a degree of responsibility for the administration of project funds, and for the successful completion of the project, in accordance with the terms of the grant or contract.
Monies for externally funded research projects will be administered in accordance with procedures developed by the Director of Research, in consultation with the Research and Publications Committee, the Finance Officer, and other appropriate staff, and approved by the Vice Chancellor. These procedures will be designed to ensure that project funds are kept separate from other University funds, that they are used only for the project in accordance with contractual requirements and University policy, and that the University is fully accountable to the sponsor.
Work products generated by an externally funded research project will be subject to review by the Director of Research or his appointee, before the work products are transmitted to the project sponsor. The purpose of this review is to ensure, on behalf of Mzuzu University, that contractual requirements have been met and that appropriate quality standards have been achieved.
All proposals or applications for externally funded research projects will be submitted over the signature of the Vice Chancellor or his designee. The Vice Chancellor or his designee will sign all contracts or grant documents on behalf of the University.
Compensation for University Staff
The time, effort, and expertise of the Universitys professional staff are the most important input to an externally funded research project. It is therefore the Universitys policy that project staff and the University should normally receive appropriate compensation for staff time, effort, and expertise that benefits the project and its funder.
Staff compensation will be in accordance with the Mzuzu University Financial Policies for Externally Funded Projects.
Other Direct Project Costs
Other project costs include any identifiable expenditure for goods and services to benefit the project. The project will reimburse the University for any identifiable goods or services furnished to the project by the University (e.g., use of University vehicles, telephones, Internet access, office supplies and consumables, photocopiers, etc.), in accordance with the Mzuzu University Financial Policies for Externally Funded Projects.
Provision for Administration and Overhead Costs
The University and the Department must be compensated for management and overhead costs related to an externally funded research project, in accordance with the Mzuzu University Financial Policies for Externally Funded Projects.
Approved by the Mzuzu University Senate on 25 February 2004.
Administrative Policies for External Projects
3. Applicability and General Principles
This policy applies to work by Mzuzu University professional staff on externally funded projects, consultancies, and other outside projects, whether or not for remuneration. Examples of such work include projects such as the following:
Externally funded research projects, as defined and discussed in Mzuzu University Research Policy.
Consultancies, including the creation of new knowledge, and/or the application of existing knowledge on behalf of a clients needs.
Teaching for institutions other than Mzuzu University.
Leading or teaching other educational activities for institutions other than Mzuzu University, including short courses, workshops, training sessions, and the like.
Service on outside committees, commissions, councils, boards, or other bodies, except as a representative of Mzuzu University.
4. Limit on Outside Activities
An academic staff member or academic-related Library staff member who is a full-time employee of the University may engage in outside professional activities. The staff member may also receive monetary compensation for such activities, including externally funded project work (Section 5 below) and consultancies, etc. (Section 6 below), without reduction to University salary, allowances, or other benefits.
However, all such outside activities, whether or not compensated, shall be subject to the approval of the staff members Department Head and Dean of Faculty (Vice Chancellor approval required for Deans). It is the responsibility of the staff members Dean and Department Head to verify and ensure that the staff member has made good arrangements for coverage of his or her teaching and administrative duties. Failure of an academic staff member to notify the Department Head and Dean of outside professional activities and to secure prior consent may be grounds for disciplinary action.
Approval for outside activities will normally be granted for no more than four (4) days per calendar month during the ten months covered by the staff members Mzuzu University employment contract. The four-day limit will not apply to the remaining two months of the calendar year. This limit is intended to ensure that the staff member devotes adequate time and attention to teaching and other assigned University duties. The Department Head and Dean of Faculty may waive the 4-day limit on a case-by-case basis, for example, when arrangements have been made for replacement staff (see below), or for other good reason.
Academic staff and academic-related Library staff may receive monetary compensation for approved external project work, without reduction to University salary, allowances, or other benefits, subject to the conditions and restrictions of this and other Sections.
The staff member may request the Department Chair to grant relief from a portion of teaching and other University duties during the term of an external project. Such relief will not be unreasonably refused, provided that:
The staff member has given sufficient notice to allow replacement staff to be hired to cover for the time spent on the project; and
The University receives from the staff member an amount equal to the greater of:
A pro-rata share of the salary and allowances received for the days that are spent on the project work; or
The cost to the University of any replacement staff.
5. Externally Funded Mzuzu University Projects5.1 Definition
An Externally Funded Mzuzu University Project is an externally funded project for which the University has a substantial management role. The University assumes some or all of the responsibility for the successful execution of the project. Examples include externally funded research projects where the University is the contracting party; and short courses, workshops, or other such educational activities where the University as an institution is responsible for the activity.
5.2 Compensation for University Staff
The time, effort, and expertise of the Universitys staff are the most important inputs to an externally funded project. It is therefore the Universitys policy that project staff and the University should receive appropriate compensation for staff time, effort, and expertise that benefits the project and its funder.
In cases where the project funder does not specify or require a rate of compensation for project staff, the project budget may use suggested project compensation guidelines. These guidelines will include an hourly or daily rate for various academic ranks, based on replacement cost. The replacement cost will be calculated based on the cost to the University of hiring an adjunct teaching staff member with equivalent qualifications. The Director of Research, in cooperation with the Finance Officer, the Research and Publications Committee, and other appropriate individuals, will develop these suggested project compensation guidelines and update them periodically.
In cases where the project funder wishes to require or suggest different daily rate(s) of compensation, the daily rate(s) will be negotiated, subject to approval by the Vice Chancellor or his designee, and by the Academic Staff members working on the project.
Nothing in this Section 5.2 is intended to forbid externally funded projects that do not include a provision for staff compensation, if this arrangement is agreeable to the staff members affected.
5.3 Other Direct Project Costs
Direct project costs, other than staff compensation, include any expenditure for goods and services to benefit the project, such as the following:
Travel costs, such as fares, fuel, meals, and accommodation;
Acquisition or rental of vehicles and equipment;
Use of University vehicles;
Office supplies and consumables;
Postage and express services;
Project budgets will include provision for payment of all direct project costs. The project will reimburse the University for any identifiable goods or services furnished to the project by the University (e.g., use of University vehicles, telephones, Internet access, office supplies and consumables, photocopiers, etc.).
5.4 Administration and Overhead Costs
The University and the Department must be compensated for management and overhead costs related to an externally funded research project. These direct and indirect costs include the following: (1) any administrative costs associated with the release of the staff person from normal duties in order to make his or her time available to the project, such as tangible and intangible costs of recruiting and hiring replacement staff, rearrangement of schedules and assignments for other staff, etc. (2) General management costs associated with the project, including the time and attention of University management (Vice Chancellor, Director of Research, Deans, Department Heads, etc.), (3) provision of general University services such as library resources and secretarial support, and (4) indirect and untraceable costs such as electricity, water, office and laboratory space, and the like. In addition, the University is responsible for providing accounting and financial management support to the project and to all other direct and indirect services provided for the benefit of the project. Such costs are incurred primarily at the University level, but also to some extent at the Departmental level. Because it is difficult, if not impossible, to track such costs individually, it is customary to charge the project a percentage of direct project costs.
In cases where the project sponsor does not specify or require a rate for administration and overhead costs, a charge of 20 percent of direct project costs (personnel compensation and other direct project costs, as described in Sections o and o) will be added to the project budget, to be distributed as follows:
For the University, 15 percent of direct project costs; and
For the Department, 5 percent of direct project costs, to be administered in the same way as the Departmental share of consultancy income, in accordance with the provisions of Section 6.5.
In cases where the project funder wishes to require or suggest a different rate for Administration and Overhead costs, the Vice Chancellor or his designee will negotiate the rate, subject to approval.
6. Consultancies and Other Outside Staff Activities 6.1 Definition
A consultancy or other outside staff activity is any professional activity undertaken by an academic or academic-related (i.e., Library) staff member, other than teaching, research, and administrative work performed for Mzuzu University. It includes both remunerated and nonremunerated work. It does not include work on an externally funded University project, as defined in Section 5 above. Examples include, but are not limited to, the following:
Consultancies, including the creation of new knowledge, and/or the application of existing knowledge on behalf of a clients needs.
Teaching for institutions other than Mzuzu University.
Leading or teaching other non-Mzuzu University educational activities, such as including short courses, workshops, training sessions, and the like.
Service on outside committees, commissions, boards, councils, etc., except when representing Mzuzu University.
Mzuzu University does not assume responsibility for the management or execution of consultancies and other outside activities. The individual staff member is solely responsible, in the case of individual activities (Section 6.2, or is jointly responsible with the Department, for Departmental activities (Section 6.3). If the University is responsible for the project, then it is an Externally Funded Mzuzu University Project (Section 5), not a Consultancy or Other Externally Funded Staff Activity, as described in this Section 6.
It is the Universitys policy to encourage outside professional activities that are consistent with the Universitys Mission. However, such activities should not interfere with the staff members teaching, research, and administration duties. Academic staff and academic-related Library staff must give priority to Mzuzu University teaching, research, and administrative duties.
6.2 Individual Consultancies and Other Outside Staff Activities Definition
An individual consultancy or other outside staff activity is professional work or activity by an individual academic staff member or academic-related library staff member on behalf of an organization or client other than Mzuzu University, whether or not remunerated. The staff member, not the University, is responsible for the work.
The fact of employment by Mzuzu University is an important sign of professional qualification, and thus can help an academic staff member obtain consulting and other assignments. The staff member may identify himself or herself as an employee of Mzuzu University. However, the staff member must ensuring that the client or organization is made fully aware that Mzuzu University assumes no responsibility or liability for performance of the duties.
Individual consultancies and other outside staff activities may take place using University facilities. However the staff member must reimburse the University for goods and services used in connection with these activities, such as those items listed in Section o (e.g., telephone calls, fax transmissions, photocopies, Internet access charges, use of University vehicles, etc.).
6.3 Departmental Consultancies and Other Outside Departmental Staff Activities Definition
A departmental externally funded staff activity is an activity undertaken in connection with, or as the result of, a programme organized by an academic Department. The Department as a whole may play a part in marketing its expertise and developing a consulting practice or other programme. The Department, or the Department Head, may assume a degree of responsibility for the activities; however, the University does not take responsibility for the work.
Mzuzu University affiliation is an important sign of professional qualification, and thus can help the Departmental programme obtain consulting assignments or enrollees in educational programmes. However, the University cannot assume responsibility or liability for performance. The Department Head is responsible for informing clients of these guidelines.
Departmental staff activities may take place using University facilities; however the University must be reimbursed for goods and services provided the consultancy, such as those items listed in Section o (e.g., telephone calls, fax transmissions, photocopies, Internet access, etc.).
Although payment for consultancy services is normally made directly to the staff member, the Department Head may require that payments for Departmental consultancies be made directly to the Department.
6.4 Sharing of Income
Staff members will share external income (net of expenses incurred in performing the activity) with the University and their academic Department. The following guidelines will apply:
For individual consultancies and outside staff activities
10 percent of the net income will be paid to the University, in compensation for facilities use and unallocable costs such as electricity, library use, etc.
5 percent will be paid to the Department, to be used for expenses such as purchases of equipment, books, travel, staff and student research expenses, etc., for support of the Departments teaching, training, and research mission; and
The staff member will retain 85 percent.
For Departmental consultancies and outside staff activities:
10 percent will be paid to the University;
10 percent will be paid to the Department; and
The staff member will retain 80 percent.
6.5 Administration of the Departmental Share
The Head of any academic Department that receives a share of external staff income under the provisions of Section 6.4 or a share of research project income under the provisions of Section o will establish a Departmental bank account for the deposit of such funds. The Head is responsible for administering these funds, in consultation of the Departments academic staff. The Head will institute procedures to ensure that the funds are used only for expenses such as purchases of equipment, books, travel, staff and student research expenses, etc., in support of the Departments teaching, training, and research mission. Such procedures will be modeled on the Universitys procedures for control of research project funds.
Administration of these funds will be subject to the approval and oversight of the Director of Research. The Department Head will normally be responsible for authorizing expenditures, with the approval of the Dean of Faculty or Director of Research. The Department Head will keep accurate and up to date records of all income and expenditures, and will make these records available for inspection on request by Departmental staff, the Dean of Faculty, and the Director of Research.
6.6 Reporting and Payment
An academic staff member who engages in any consultancy or other outside staff activity will give a periodic report of such activity to his or her Department Chair, with copies to the Director of Research and the Finance Officer. The report will identify the client, describe the nature of the outside work, and list the time spent and income earned during each calendar month. The report, and the University and Departments shares of the outside income, is due 10 working days after the staff member receives a payment.
The Department Chair will promptly forward the Universitys share of the payment to the Finance Officer and will deposit the Departments share in the Departmental bank account. In cases where the payment is made directly to the Department, the Department Head will arrange for prompt payment of the staff members share.
Approved by the Mzuzu University Senate on 25 February 2004.
of the Centre
Research Fellow (Engineering)
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Policy, Management and Operational Guidelines for the
Centre of Excellence in Water and Sanitation