KENYA FORESTRY RESEARCH INSTITUTE (KEFRI ......KENYA FORESTRY RESEARCH INSTITUTE TITLE: R&D PROCEDURES MANUAL REFERENCE: KEFRI/SOP/MR/004 ISSUE DATE: 2.1.3 In identifying the research

KENYA FORESTRY RESEARCH INSTITUTE

(KEFRI) RESEARCH AND DEVELOPMENT PROCEDURES MANUAL

KEFRI/SOP/MR/004

KENYA FORESTRY RESEARCH INSTITUTE TITLE: R&D PROCEDURES MANUAL REFERENCE: KEFRI/SOP/MR/004 ISSUE DATE:

TABLE OF CONTENT Procedure Number 1: Research and Development of Forest Technologies ................................................................................................................ 3 Procedure Number 2: Resource Mobilization ................................................................................................................ 6 Procedure Number 3: Partnerships ................................................................................................................ 8 Procedure Number 4: Knowledge Management .............................................................................................................. 10 Procedure Number 5: Laboratory Coordination.Error! Bookmark not defined.

Procedure Number 6: Seed management…………………………………………....…17

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TITLE: R&D PROCEDURES MANUAL

REFERENCE: KEFRI/SOP/MR/004 ISSUE DATE:

Procedure Number 1: Research and Development of Forest Technologies

1.0 GENERAL

1.1 PURPOSE

The purpose of this procedure is to ensure effective and efficient

development of forest technologies. 1.2 SCOPE

This procedure shall cover all research activities that are geared

towards development of forest technologies. 1.3 REFERENCE

a) KEFRI Strategic Plan 2013-2018

b) KEFRI annual performance contracts

c) ISO 9001:2008

d) Standards Act Cap 496

1.4 TERMS, DEFINITIONS AND ACRONYMS

a) Consultative meeting- is a KEFRI management meeting held

annually at the beginning of every year to review performance of

the previous year, set targets and allocate budgets for the year.

b) CRAC- Centre Research Advisory Committee

c) SDD R&D-Senior Deputy Director Research and Development

d) DDs- Deputy Directors

e) FPRP- Forest Products Research Program

f) GoK- Government of Kenya

g) KEBS- Kenya Bureau Of Standards

h) PI- Principal Investigator

i) RDs- Regional Directors 1.5 PRINCIPAL RESPONSIBILITY

SDD R&D shall ensure adherence to this procedure.

2.0 STEPS

2.1.1 The SDD R&D through the DD(s) of the respective thematic research

and

development areas shall within the 3rd quarter of every year call for

submission of prioritized stakeholders’ needs in the various thematic

areas. 2.1.2 Upon receipt of the request to submit the needs, the RD(s) shall

constitute

CRAC to identify research problems based on stakeholders’ needs

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2.1.3 In identifying the research problems the CRAC shall review;

a) existing projects and proposals

b) stakeholders submissions

2.1.4 After identification of the research problems, the CRAC shall prioritize

them based on;

a) KEFRI strategic plan

b) Budgetary implication 2.1.5 The RDs shall request respective scientists to develop concepts /

proposals, based on prioritized research problems. 2.1.6 The RDs shall submit the concepts/proposals to DD(s) for

consolidation into multidisciplinary research projects. 2.1.7 Upon consolidation, the DD(s) through SDD R&D shall table the

research projects before the Consultative Meeting for review and

recommendation 2.1.8 The SDD R&D shall ensure the DD(s) of the respective thematic

research and development areas address any issues raised in the

consultative meeting 2.1.9 After the consultative meeting, the SDD R&D shall liaise with the

Director to table final proposed research projects to the Board of

Directors for approval and funding through budget. 2.1.10 In the event of any issues raised by the Board, the Director shall

ensure that corrective measures are taken 2.1.11 On approval by the Board, the SDD R&D shall ensure the research

projects are incorporated into the subsequent performance contract

for implementation 2.1.12 The SDD R&D shall ensure the decisions of the Board of

Directors are communicated to research teams for implementation as

per communication procedure. 2.1.13 The SDD R&D shall through the respective DD(s) ensure facilitation of

the

research team with requisite resources to undertake the research

projects under the various thematic research and development areas 2.2 Execution of research

2.2.1 The Principal Investigator in liaison with the respective RD(s) shall

coordinate the research team in validating the research hypothesis.

2.2.2 Upon validating the hypothesis, the research team shall review the

work plan in line with the available resources and assign roles.

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2.2.3 Based on the work plan the team shall set up trials /

tests/experiments/studies to confirm the hypothesis. 2.2.4 The team shall manage the trials / test /experiments/studies and

collect data on specified parameters as per the work plan 2.2.5 The team shall analyze the data using the appropriate statistical tools

and procedures 2.2.6 The team shall as per work plan develop and release progress reports

to the respective DD through the RD. 2.2.7 Based on the preliminary results of the analysis, the team shall as

applicable adjust their trials /test/experiments/studies and collect

data and analyze 2.2.8 When the result of the analysis indicate break through the team shall

document the protocols /research note 2.2.9 As applicable the team shall validate or liaise with appropriate

agencies / stakeholders to validate the technologies/ innovations 2.2.10 The team shall review the trials /test /experiments/studies

based on the results of validation and revalidate as necessary 2.2.11 The team shall document the technologies in appropriate media.

These shall include; technical reports, technical & research notes,

guidelines, journal papers, book chapters and Policy briefs. 2.2.12 The research team shall liaise with management for as

applicable; Intellectual Property Rights registration; internal

commercialization or for dissemination as per knowledge management

procedure

3.0 APPLICABLE RECORDS

3.1 Prioritised research projects

3.2 Concepts and proposals 3.3 Work plans

3.4 Technologies developed 3.5 Results of analysis

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Procedure Number 2: Resource Mobilization

1.0 GENERAL

1.1 PURPOSE

To ensure sustainable mobilization of adequate resources for meeting

KEFRI mandate. 1.2 SCOPE

This procedure shall be applicable in KEFRI.

1.3 REFERENCE

a) KEFRI Strategic Plan 2013 -2018

b) KEFRI Resource Mobilization Strategy 2014

c) Current Performance Contract


a) DD TSS Deputy Director, Technical Support Services

b) KEFRI- Kenya Forestry Research Institute

c) PI- Principal Investigator / Implementer

d) PRMO - Partnerships & Resource Mobilization Officer

1.5 PRINCIPAL RESPONSIBILITY

The DD-TSS shall have the principal responsibility of implementing

this procedure 2.0 STEPS

2.1 The DD TSS shall ensure preparation of target of money to be raised

through partnership and proposals for adoption by the consultative

meeting. 2.2 In preparing the targets, the PRMO shall consider the anticipated

proposals and partnerships 2.3 The PRMO shall address any issue raised by the consultative meeting

through the DD TSS 2.4 Upon adoption of the targets, the PRMO in liaison with the DD TSS

shall facilitate programmed training of KEFRI staff at all levels in

resource mobilization & management; proposal writing and grant

management as per the training procedure. 2.5 The PRMO in liaison with the Heads of functional units shall

coordinate preparation of respective fund-raising proposals for

identified priority areas

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2.6 The DD TSS shall ensure PRMO participate in lobby meetings with

County Governments and / development partners to present

developed proposals for funding. 2.7 The PRMO shall liaise with DD(s) Thematic areas to register all

Intellectual Properties for diverse technologies developed and

innovated by the institute and maintenance of associated records 2.8 The DD TSS shall ensure publicising of the technical expertise within

KEFRI in offering various consultancy services with an integral aim of

raising funds. 2.9 The DD TSS shall in liaison with the head of finance report on the use

of funds to the funding agencies as per the applicable agreements. 2.10 The DD TSS shall ensure sharing of progress reports with all

collaborators as per the Knowledge Management Procedure

3.0 Applicable Records

3.1 Target of funds to be raised 3.2 Programmed training 3.3 Fund-raising proposals

3.4 Progress reports 3.5 Register of all Intellectual Properties 3.6 Report on use of funds

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Procedure Number 3: Partnerships

1.0 GENERAL

1.1 PURPOSE

To ensure sustainable mobilization of adequate resources for meeting

KEFRI mandate 1.2 SCOPE

This procedure shall be applicable in KEFRI

1.3 REFERENCE

a) KEFRI Strategic Plan 2013 -2018

b) KEFRI Resource Mobilization Strategy 2014



a) DD TSS- Deputy Director, Technical Support Services

b) KEFRI- Kenya Forestry Research Institute

c) PI- Principal Investigator / Implementer

d) PRMO - Partnerships & Resource Mobilization Officer


The DD TSS shall ensure adherence to this procedure

2.0 STEPS

2.1 The DD TSS shall as need arise, coordinate the DDs and RDs to

review and identify areas that would require collaboration with

specified external entities 2.2 Upon review and identification, the PRMO shall ensure preparation of

the applicable negotiation framework 2.3 Based on the negotiation framework, the DDs and RDs shall negotiate

the elements of the partnership and inform the PRMO outcome of the

negotiation for formalization 2.4 The PRMO shall in consultation with partners, DDs and RDs draft

appropriate instruments such as MoA and / MoUs / LoAs to formalize

the partnership. 2. 5 The PRMO shall organize for signing of the MoAs / MoUs/ LoAs by the

concerned parties 2. 6 The PRMO shall maintain a record of all partnership MoAs / MoUs

/LoAs 2. 7 The PRMO shall update KEFRI staff on existing and any new MoAs /


TITLE: R&D PROCEDURES

MANUAL REFERENCE:

KEFRI/SOP/MR/004 ISSUE DATE:

MoUs/ LoAs as per communication procedure

2.8 The PRMO shall annually share results of partnerships with all

collaborators as per the communication procedure 2.9 The DD-TSS shall ensure continual monitoring of the

implementation of partnerships 2.10 The PRMO shall initiate renewal or dis-engagement of the MoAs /

MoUs/LoAs when they fall due or objectives of the partnership have

been achieved.

3.0 Applicable Records(??) 3.1 Applicable negotiation framework 3.2 Fund raising proposals

3.3 Appropriate instruments

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Procedure Number 4: Knowledge Management

1.0 GENERAL

1.1 PURPOSE

The purpose of this procedure is to define the steps, controls, and

related responsibilities of all procedures within the Knowledge

Management unit to ensure effective and efficient management of

knowledge in KEFRI. 1.2 SCOPE

This procedure shall be applicable in knowledge management within

KEFRI. 1.3 REFERENCE

a) KEFRI Knowledge Management Strategy (2013-2018)

b) KEFRI Strategic Plan 2013 -2018


d) Second Medium Term Plan 2012 - 2017

e) Science Technology and Innovation Act (2013)


a) AAR - After Action Review

b) Data

c) HKM – Head, Knowledge Management

d) Information

e) KEFRI – Kenya Forestry Research Institute

f) Knowledge

g) STI – Science, Technology and Innovation Act 2013

h) Write shop


The Head Knowledge Management shall be responsible for ensuring

that this procedure is effectively implemented




2.0 STEPS

2.1 General Management

The Knowledge Management System;

2.1.1 Knowledge Creation/Discovery

2.1.1.1 The HKM shall liaise with DDs to identify existing, relevant and

critical knowledge at the beginning of Quarter 1 and Quarter 3

through a Write Shop (See Work Instruction ...)

2.1.1.2 The HKM through the DDs shall put in place mechanisms for creation

of new knowledge at the beginning of Quarter 1 and Quarter 3, (what

mechanisms and how). 2.1.2 Knowledge Capture

2.1.2.1 The HKM shall develop a framework for knowledge capture (when,

how and what framework). 2.1.3 Knowledge Storage

2.1.3.1 The HKM shall ensure that knowledge management systems are

developed and maintained for organizing, accessing and storing of

data and information in liaison with the Head of ICT (cross reference

procedure in ICT systems). 2.1.4 Knowledge Sharing (expound)

2.1.4.1 The HKM shall develop and maintain a framework for dissemination

of knowledge both internally and externally. 2.1.5 Knowledge Transfer

2.1.5.1 The HKM shall develop training curriculum and organize relevant

training programs for application of KEFRI's knowledge (cross

reference to Training Procedure).

Impact of Transferred Knowledge ??

3.0 Applicable Records 3.1 Knowledge Management Policy

3.2 Training Manuals

3.3 Training Curriculum




Procedure Number 5: Laboratory Coordination.

1.0 GENERAL

1.1 PURPOSE

The purpose of this procedure is to ensure effective and efficient delivery of

laboratory services to KEFRI and its stakeholders. 1.2 SCOPE

This procedure shall cover all laboratory activities within KEFRI.

1.3 REFERENCE

a) KEFRI Strategic Plan 2013-2018

b) Current KEFRI annual performance contract

c) ISO 9001:2008

d) KEFRI Laboratory Safety Manual

e) KEFRI current service charter

f) OSHA, 2007

g) ISO 17025:2005 General requirements for testing and calibration


a) Client- KEFRI (technical and non-technical functions) and external

customers (organizations / farmers / individuals).

b) Consultative meeting- is a KEFRI management meeting comprising of

Director, SDDs, DDs, and RDs that is held annually at the beginning of

every year to review performance of the previous year, set targets and

allocate budgets for the year.

c) DD-TSS- Deputy Director- Technical Support Services

d) EMS Section Head – An officer who oversees an area of work where there

are significant environmental aspects and has responsibility to ensure

EMS requirements and procedures as applicable to that area are

implemented

e) GoK- Government of Kenya

f) LC- Laboratory Coordinator

g) LH-Laboratory Head

h) OSHA – Occupational Safety and Health Act

i) RD- Regional Director 1.5 PRINCIPAL RESPONSIBILITIES

Laboratory Coordinator shall have the principal responsibility of ensuring

that the procedure is implemented




2.0 STEPS

2.1 General

2.1 1 The LC shall in Quarter 4 direct all laboratory heads to prepare estimates of

resources required to implement proposed laboratory activities based on

activities undertaken in the previous financial year. 2.1.2 The LC shall consolidate a comprehensive list of proposed activities and

estimate of requirements and present to the DD-TSS for tabling in the

Consultative Meeting for review and recommendation 2.1.3 In the event for any issues raised at the Consultative Meeting the DD-TSS

shall ensure that corrective measures are taken 2.1.4 The Director shall table final proposed laboratory resource needs to the

Board of Directors for approval and funding through the budget 2.1.5 In the event of any issues raised the Director shall ensure that corrective

measures are taken 2.1.6 Upon approval by the Board, the approved laboratory activities and

budgetary support are incorporated in the subsequent performance

contract for implementation 2.1.7 DD-TSS shall communicate decision of the Board of Directors to LC

through communication procedure 2.1.8 The LC shall communicate the decision of the Board of Directors to LH to

implement laboratory activities in respective labs in all eco-regional

programmes 2.2. Laboratory testing services

2.2.1 The LHs shall ensure any samples for testing received from clients are

handled, stored, retained and disposed in a manner necessary to protect

integrity of the sample item. 2.2.2 All samples received shall be recorded on a sample receipt form F….. Test

items are systematically identified as they are received in the laboratory.

This number shall be maintained all throughout the life of the test item in

the laboratory. 2.2.3. Upon receipt of test items the Laboratory staff shall verify and compare

the test items submitted to the Laboratory operations and test method to

ensure suitability to. 2.2.5 Analysis shall be carried out as per requisite analysis protocols.


TITLE: R&D PROCEDURES

MANUAL REFERENCE:

KEFRI/SOP/MR/004 ISSUE DATE:

2.2.6 The LHs shall ensure that all test results are reported to the client

accurately, unambiguous and objectively as defined in the analysis

protocol as per the KEFRI service charter. 2.2.7 Upon successful completion of analysis, the test items shall be stored as

per EMS Work Instruction WI-44.6.3-1 to avoid contamination and shall

be disposed as per EMS Work Instruction WI-44.6.3-2. 2.3 Calibration, maintenance and repair of laboratory equipment.

2.3.1 The LC shall ensure the calibration and maintenance protocol and EMS

procedure for monitoring and measuring environmental characteristics

GP 4.5.1 are implemented and adhered to. 2.3.2 The LHs in consultation with the Instrumentation team shall ensure that

equipment are calibrated as per the calibration schedule and verified

before use. 2.3.3 The LHs shall ensure that equipment in their respective laboratories shall

be maintained as per the calibration and maintenance protocol and

maintenance logs filled and filed. 2.3.4 For Equipment that are broken down, the LHs shall fill the equipment

repair form and forward it to the Instrumentation team who shall then

proceed to procure the repair services as per control of outsourced

services procedure……… 2.3.5 After repair of the broken down equipment, the LHs shall verify functional

and calibration status of the equipment as defined in Original Equipment

Manufacturer (OEM) manual.

2.4 Laboratory Safety.

2.4.1 The LC shall at the beginning of every financial year undertake a KEFRI

safety compliance audit in collaboration with LH

2.4.1 In case of any non compliance, the LC will undertake corrective actions as

necessary 2.4.2 The LHs in consultation with EMR section heads shall identify the

required personal protective equipment and forward the request to RDs 2.4.3 The LC shall ensure that safety is observed at all times in the laboratory

through implementation of Laboratory Safety Manual and EMS

procedures for handling and disposal of waste (OP 44.6.3), handling and

disposal of effluent (OP 44.6.2), handling of radioactive equipment (OP




44.6.5b), detection and control of radiation emissions (OP 44.6.5a),

emergency and response (GP 4.4.7) and work instructions WI-44.6.3-1

and WI-44.6.3-2. 2.4.4 The EMS section heads in consultation with LHs shall ensure that the

Laboratory safety manual and EMS procedures OP 44.6.3, OP 44.6.2, OP

44.6.5b, OP 44.6.5a, GP 4.4.7 are adhered and their EMS forms filled

appropriately and records kept. 3.0 APPLICABLE RECORDS

a) Laboratory Test Sample Forms …. b) Equipment repair forms

c) Estimates of resources required d) List of proposed activities


TITLE: SEED MANAGEMENT REFERENCE: KEFRI/SOP/MR/004 ISSUE DATE:

PROCEDURE NUMBER 6: SEED MANAGEMENT

1.1 PURPOSE

To ensure that KEFRI shall supply high quality Tree seeds to meet national

and international demands

1.2 SCOPE

This procedure shall apply to all KEFRI staff working in seed collection and

management

1.3 REFERENCES

Tree seed Hand book

ISTA manuals

Tree seed collection and handling: reference manual for

extension agents and farmers

Seed sources list (approved)


DDFPI – Deputy Director Forest Productivity and Improvement

ISTA – International Seed Testing Association


GENERAL STEPS

a) Seeds Collection

b) Seed Processing

c) Seed Storage

d) Seed Quality testing

a) Seed collection management

This shall start with the Manager of seed production holding consultative

forum with all foresters within KEFRI to review achievements for previous

year activities and set target for the following financial year

Foresters shall then prepare work plan based on the agreed activities for

their respective regional centers for approval by DDFPI

The manager in liaison with foresters shall ensure that seeds are collected

from identified and approved sources only

DDFPI in liason with the seed manager shall ensure planning for seed

collection, permits issuance for seed sources on private land or in wildlife

areas are obtained from the relevant authorities

The Forester in charge of seed collection shall ensure seed collection and

safety equipment are in good condition

The forester shall conduct a cutting test before every seed collection to

determine the seed maturity and any infection and record the test results

in seed collection report form

Based on the cutting test results the forester shall collect seeds from at

least 30 plus trees to minimize dangers of narrowing down the genetic

variation and maintaining genetic diversity

Seed collection forms shall be filled on the field during seed collection and

seeds labeled appropriately indicating species collected

All collected seeds shall be kept in a temporary store which should be well

ventilated to avoid contamination

2.1 Seed processing

2.1 The manager seed production in liaison with the forester shall ensure that

seeds are processed immediately after collection and dried to avoid seed

deterioration

2.2 Seed processing shall include the following stages

a) Seed extraction

The collected seeds shall be extracted according to species requirements as

per tree seed handbook

b) Seed Drying

Seeds shall be dried according to the species requirements as per tree seed

hand book

c) Seed cleaning

This shall be done to ensure only clean and disease free seeds are stored as

per tree seed handbook

2.2 The seeds processing results shall be recorded in seed handbook form

3.0 Seed storage and testing results

3.1 Processed seeds shall be forwarded by respective forester to seed

distribution and dispatch center and recorded in seed register

3.2 The manager seed enterprise shall ensure that all incoming seeds are

weighed to determine quantities

3.3 The seeds shall be sampled for quality control in the seed laboratories as

provided in the ISTA rules – for moisture control, weight, purity and

germination capacity

3.4 Seeds found not meeting standards shall be referred to seed manager for

correction and corrective action

3.5 Seeds meeting standards shall be kept in the seed store

4.0 Seed quality testing

The manager seed laboratory shall ensure that seed samples are tested and

that International seed testing rules (ISTA) rules are complied with

The Executive Committee having approved the use of this document, I ………………………….…...as the Director do hereby authorize its

use. Signed: ………………………Date ……….

Documents

KENYA FORESTRY RESEARCH INSTITUTE (KEFRI ......KENYA FORESTRY RESEARCH INSTITUTE TITLE: R&D PROCEDURES MANUAL REFERENCE: KEFRI/SOP/MR/004 ISSUE DATE: 2.1.3 In identifying the research