The Science, Technology and Innovation (ST&I), Legal
Notice No. 108 (Research Licensing) Regulations, 2014 obligates all persons
intending to undertake scientific research in Kenya to obtain a License in
accordance to the Act. In this regard, NACOSTI has developed Guidelines for
Research Licensing and Institutional Affilliation in Kenya as a reference
document for the stakeholders and especially those intending to undertake
scientific Research within the Kenyan territory.
The National Commission for Science, Technology, and Innovation
The Science, Technology and Innovation (Research
Licensing Regulations, 2014) Legal Notice No. 108 5(2) states that a foreign
researcher applying for a license shall be affiliated to a local relevant
institution.
In this regard, The National Commission for Science,
Technology and Innovation (NACOSTI) has developed Guidelines on Research
Licensing and Institutional Affiliation,as a reference document for the
stakeholders; affiliating institutions and especially those intending to
undertake scientific Research within the Kenyan territory.
What is Nacosti?
National Commission for Science, Technology, and Innovation
(Nacosti) is a state organization that was set up through the Science,
Technology, and Innovation Act of 2013.
For purposes of research clearance in Kenya, their role is
to regulate and assure quality in the technology, science, and innovation
sector and also counsel the government on related matters.
This includes general purpose data collection such as
bioprospecting, geological and genetic resources, information in the fields of
agriculture, medical sciences, physical sciences, ICT, biological sciences etc.
More so, any activity of research related to economic,
social and political nature that involves obtaining information through
collecting data including interviews or questionnaires.
It also includes routine data collection activities such as
routine statistical surveys, censuses, market studies; and experimental
development work leading to new devices, products or processes.
Objectives of the research permit
1. To facilitate coordination of research as provided
for in the Science and Technology Act, Chapter 250 of the Laws of Kenya;
2. To encourage quality research that will directly
benefit Kenya and increase the body of scientific knowledge as a whole;
3. To secure the data and results of research work
undertaken in Kenya;
4. To document and monitor all research work
going on in the Country and have a database of centrally available information
on such work;
5. To facilitate useful research work and discourage
projects which are not in the National interest;
6. To ensure maximum benefits and dissemination of
knowledge and technologies from research activities to end users;
7. To eliminate the unauthorised collection and
transfer of research information and materials;
8. To ensure that research in Kenya is conducted according
to professional ethics;
9. To ensure that relevant National Institutions are
informed of the intended and on-going research in their mandated areas and that
they are given an opportunity to influence the course of the research being
undertaken in their areas of interest;
10. To discourage unnecessary duplication of data
collection for ongoing research projects or research already undertaken or
research about to be undertaken; and
11. Generally, to protect national interests and, as
far as possible, discourage clandestine activities which may be undertaken
under the cover of research.
Who should apply for a research permit?
1. All Non-Kenyans intending to do research in Kenya;
2. Foreign students intending to come for study tours
or undergraduate students coming for a short duration;
3. All Kenyans who are studying abroad and intend to do
research in the Country;
4. Private institutions either Kenyan or Non-Kenyan
intending to do research in the country;
5. All Kenyans except employees of Government Research
Institutions/ Ministries /Departments whose mandate is to do research or as
part of their duties or have a Standing Research Clearance; and
6. In all cases where the research involves acquiring
information/data from the Country or Public and Government organizations.
Issuance of a research permit
Research permits will be issued in the name of the applicant
who is the project leader, or the expedition leader or the leader of the
institution in the case of Standing Research Clearance.
It is a must that, each researcher pays the appropriate fee
for each research project.
The number of researchers for institutional/company permit
should not exceed three researchers per permit.
The holder of the research permit will be held responsible
for making sure that the regulations governing the permit are observed.
The process of research clearance and authorization
The process involves the following steps:-
1. Complete appropriate application through online by
logging in to Paris.NCSTi.go.ke and follow the instructions and note that
registration is free.
2. Submit the fully completed application together with
a research proposal, CV, a copy of ID/passport, and others as appropriate (see
checklist at the end) and upload as one file.
3. The application is received by the Research
Coordination Division which will forward to relevant experts of the Sciences
Scheduled for assessment and advice.
4. Research Coordination Division on receipt of the
comments of the relevant science schedule will deal appropriately by issuing
Research Permit or inform the applicant in case a piece of further information
is required.
5. On completion and finalization of research work, the
researcher must submit two copies of research reports to NACOSTI and upload a
pdf copy into the system.
6. No Research Permit will be issued for subsequent
research work if the reports of previous research work were not submitted.
Application Fees
(a) Kenya Citizens and Institutions
Student/Attachment/Undergraduate/Diploma - Ksh 100
Research (Academic) Masters - Ksh 1,000
Research (Academic) PhD - Ksh 2,000
Research (Individual/Post Doctoral) - Ksh 5,000
Research (Public/Private Institutions) - Ksh10,000
Research (Private Companies) - Ksh 20,000
Extensions - half of the rate concerned.
(b) Non-Kenyan citizens and institutions
Student Attachment/Undergraduate/Diploma - US$150
Research (Academic) Masters - US$350
Research (Academic) PhD - US$400
Research (Individual/Post-Doctoral) - US$500
Research (Foreign Public/Private Institutions) - US$ 1,000
Research (Private Companies) - US$ 10,000
Extensions - half of the rate concerned.
Note: The fees for citizens from African Union
member countries will be twice the amount for Kenyans for each category except
for East African citizens whose fees are same as for Kenyan researchers.
Affiliation Institution
Non-Kenyan researchers who intend to do research in the
Country must be affiliated with a relevant Kenyan Public research institution.
A list of institutions approved for affiliation purposes is
found online under institutions.
Private and foreign institutions can have a special
collaborative arrangement with Kenya public institutions.
In such a case, the Kenyan institutions will be required to
submit to the NACOSTI details of the nature of collaboration.
Ethical requirements
All research projects that involve human beings as research
participants (e.g. clinical investigations, drugs, social behavioural studies,
biological studies involving human organs or specimen) should satisfy the
ethical standards for research.
These standards are provided for in the Guidelines for
Ethical Conduct of Biomedical Research Involving Human Subjects in Kenya (2004)
which is downloadable from NACOSTI website, and any other applicable
internationally recognized ethics guidance guidelines.
Letter of ethical approval from recognized local ethical
research committees must be attached to the applications.
Field research by college students
Students registered in an educational institution in Kenya
and intend to conduct field research should be introduced to the NACOSTI by
their head of college/institution.
The head of college/institution should provide to the
NACOSTI information all name(s) of student(s), subject of research assignments,
area in which research is to be done and duration of the research.
Research in protected areas
Researchers intending to conduct research in protected areas
(e.g. wildlife and forest reserves or other conservation sites) are required to
obtain approval letter(s)/access permits from those institutions.
Alternatively, they can obtain the approval letters from
agencies in charge of the said areas prior to submitting their research project
applications to the NACOSTI for approval and clearance.
Access to and exchange/ Transfer of Materials and
research
All experimental tests, analyses and investigational procedures
of materials should be undertaken within Kenya.
Where it is proven that no capacity for particular tests,
analysis, and investigation of a material exists in Kenya, or where exchange is
needed for quality assurance purposes, the researcher wishing to transfer or
export samples abroad for research purposes shall be required to obtain
approval from relevant Government agency, which regulates the export of the
materials that researcher intends to export/transfer.
Where there is no Government agency that regulates the
export/transfer of such material is not there, the researcher shall write a
letter of request for the exchange, transfer, acquisition or export to the
Secretary, NACOSTI.
The request letter should be accompanied by a Material
Transfer Agreement (MTA) document signed by the researcher and the recipient
institution abroad.
It should be accompanied by a certificate from the
affiliation institution in Kenya indicating that the tests or analysis cannot
be done in Kenya due to lack of the relevant capacity.
Monitoring and Evaluation of Authorized Projects
NACOSTI shall have access to data and the research premises
of the project and it may from time to time visit the research projects to
familiarize with the work going on and make appropriate recommendations on the
project.
The affiliating institutions may give to the NACOSTI an
evaluation of the preliminary or progress report and to indicate areas that
need further action if necessary.
Training and Research Assistants
Research projects that will take over 3 years should have a
training component for local personnel depending on the duration, nature and
scale of the project.
It is generally disapproved to have non-Kenyan research
assistants, particularly where it is obvious that Kenyans can be recruited for
such tasks.
Work Permit/ Visa
Granting of a research permit does not in any way absolve
the researcher from the requirement of a work permit or visa.
It is up to the researcher to secure the necessary work
permit or visa before or upon arrival in Kenya.
Extension of a research permit
A researcher who wishes to continue with the research
project, beyond the expiry date of the research permit, is required to make a
request by filling the Research Authorization Extension Request Form (Form C)
for an extension or renewal to the Secretary, NACOSTI.
The request should be made at least two (2) months before
the expiry of the Permit.
Acknowledgement of Institution
Researchers are required to acknowledge Kenyan collaborators
and/or participants on all papers, documentaries, and books were written/produced
out of the research.
Kenyan Government research permit must also be acknowledged.
The affiliating institution must be acknowledged and the address of the
affiliating institution must be shown as the second address for the researcher
for the specific research project.
Standing Research Clearance
Standing research clearance is given to public institutions
to conduct research within its own mandate without having to submit an
application for research clearance for each individual projects.
The research projects should be reported to the NACOSTI, by
means of submission of annual reports and/or final project report.
Public institutions include government ministries, public
research institutions, and foundations; universities and international UN
organizations.
How to Apply for Standing Research Clearance
Institutions should apply to the NACOSTI by providing:
1. Information on the names and nationalities of
directors/board members of the institution; Their mandate and core functions
2. Institution’s source of funds
3. The justification for requiring a standing research
clearance
4. The planned research projects/programs
5. Details of research or professional personnel
including their curriculum vitae and role in a specific research project;
6. An indication of any existing research collaborative
arrangement with Kenyan or Non-Kenyan research institutions.
Termination of a research permit
The NACOSTI reserves the right to terminate, suspend or
revoke a research permit in the event of gross misconduct or violation of the
provision of these Guidelines or when necessary in the prevailing circumstance.
The purpose for research clearance to ensure that research
is for the public good and for the benefit of mankind, and where the contrary
is found to be the case then the research authorization can be discontinued by
NACOSTI without any compensation.
Review and termination of Standing Research clearance
The Standing research clearance will be reviewed from time
to time so as to assess the standing research clearance for possible
termination where necessary.
Application checklist:
1. Complete application(all).
2. Photographs (all).
3. Payment receipt for appropriate fee(all).
4. Identity/passport).
5. Letter from a sponsor if not self-sponsored.
6. Letter of affiliation(all)
7. Letter from host institution abroad (Non-Kenyan).
8. Letter of ethical approvals (see guideline).
9. Research proposal
10. Company/institution registration & profile (see guideline).