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ToR PSR PFM EDF 11 programming .pdf



Nome del file originale: ToR PSR PFM EDF 11 programming.pdf
Titolo: Educational Adviser to the EC Delegation in Khartoum, 2010-11
Autore: Mike Douse

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SPECIFIC TERMS OF REFERENCE
For the provision of Technical Assistance for the identification and formulation of EU
interventions to support Public Sector Reform and Public Finance Management under
the 11th EDF in Botswana
FWC BENEFICIARIES 2013 LOT 7: Governance and Home Affairs
EuropeAid/132633/C/SER/multi

Request for Services n. 2014/348534, Version 2
1. BACKGROUND
1.1 Country context
Botswana has evolved from one of the ten least-developed countries at independence in 1966
to a middle-income country, characterised by sustained economic growth, anchored in good
governance, peace, political stability and sound macroeconomic management. Fundamental
human rights and freedoms are entrenched in the Constitution, respected in practice and
enforced by the Courts. Whilst minerals, principally diamonds, remain the dominant source of
revenue, there has been growth in such sectors as financial services, tourism and
manufacturing.
In spite of the country’s economic growth and the positive trends in poverty indicators,
income disparities remain a major concern and its achievements are challenged by one of the
highest HIV/AIDS prevalence rates in the world. The Government put in place various
measures to combat HIV/AIDS. Income poverty still affects a large part of the population, in
particular people in remote and rural areas. The small basis of the economy, being mainly
mining of diamonds, and the low inclusiveness of the economic growth, providing for high
unemployment, are other threats to the development of the country in the medium-term.
To secure future continued economic growth and development of Botswana, the government
follows a policy of economic diversification; promotion of foreign direct investment, private
sector development and development of human resources. It further underlines the need for
more efficient and effective implementation of policies by the administration, to increase
quality of service delivery and value for money, especially in the context of anticipated
diminishing government revenues related to mining activities in the country.
1.2 Sector context
There is a strong inter-relationship between the quality of the public sector, economic growth
and poverty reduction. Botswana's international governance indicators are generally better
than most Sub-Saharan Africa countries. However, public sector management and capacity
has not evolved concurrently with the rapid expansion of the public sector following strong
economic growth. International indicators of Botswana’s performance in terms of the
government effectiveness, the regulatory environment and competitiveness have either
remained static or fallen over the past fifteen years and compare negatively with countries
with a similar GDP per capita. Botswana has a relative weakness in terms of institutional
effectiveness. Furthermore, sector level reforms in line ministries, e.g. education, can only
take full effect if wider public sector reforms are put in place.

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The analysis of Botswana’s development framework, as captured in the Tenth National
Development Plan (NDP 10) and the mid-term review of NDP 10, confirm the relevance of
Government’s approach to address its development challenges. Botswana seeks to address the
vulnerability of its land-locked economy, heavily reliant on a single commodity, through
accelerated economic diversification, improved effectiveness of public spending, public
service delivery and human resources development.
The 11th EDF programming proposal is building on the country and programme level
evaluations of EU assistance to Botswana under the 9th and 10th EDF that pointed to the
importance of support to Government’s strategies for progress in general public sector reform
as well as sector level reforms in e.g. education. Furthermore, the EDF 11 programming
exercise coincides with the development of NDP 11, which will be a critical document
guiding the Government of Botswana during the EDF 11 period.
The choice of Public Sector Reform (PSR) for better management systems and service
delivery is justified by the strong correlation between the quality, effectiveness and efficiency
of the public sector services, economic growth and poverty reduction. How the public sector
machinery works determines the extent to which government is able to provide quality
services; create productive infrastructure and other capital investments; stimulate private
sector development and trade; manage and protect its natural resources; or produce the
regulation and policies necessary for sustainable economic growth. Botswana’s framework for
development, as contained in Vision 2016, NDP 10 and the Mid-Term Review of NDP 10,
recognises that improvements in public service delivery, through public sector reforms, are
fundamental to the realisation of economic and social aspirations.
Botswana disposes of a well-developed policy framework, but encounters a challenge
regarding its efficient and effective implementation. The public finance management reforms
focus on a strengthening of the systems that link the policy level with the actions implemented
on the ground, by fortifying the cycle of national planning, sector programming and
budgeting, as well as by improving monitoring and evaluation of programme execution,
which is often not complete. The approach is therefore rather generic than sector specific.
For public sector reforms to be effective, it is widely acknowledged that Public Finance
Management (PFM) is one of the main areas to be addressed. While it is possible to rewrite
financial regulations and design systems for budgeting and financial control, PFM reform can
contribute to change throughout the whole gamut of public sector management practice
including: improved planning; more effective monitoring and evaluation; and more efficient
resource allocation and utilisation.
A number of public sector reform initiatives are currently ongoing at different levels. There
are vertical reforms which are related to a specific sector and/or line ministry, such as in the
Ministry of Education and Skills Development (MoESD) and the Ministry of Health (MoH).
There are also several strands of cross-cutting horizontal reforms which involve many
different parts of government, such as PFM in the Ministry of Finance and Development
Planning (MFDP), decentralization in Ministry of Local Government and Rural Development
(MLGRD) and right-sizing of the public sector at Department of Public Service Management
(DPSM). This multitude of parallel and cross-cutting reform initiatives require overarching
steering and coordination.
A participatory situation analysis to identify the ongoing reform efforts has been carried out
and its conclusions are about to being finalized. The analysis identifies PSR accomplishments,
implementation bottlenecks and coordination needs. The EU is currently supporting the
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Public Sector Reform Coordination Office (PSRCO) in the Office the President in doing this
analysis and in developing a Public Sector Coordination Framework (PSRCF) and a Public
Sector Reform Coordination Programme (PSRCP).
The EU provides long-term technical assistance to Public Finance Management at the
Ministry of Finance and Development Planning (MFDP) under EDF 10.

2. DESCRIPTION OF THE ASSIGNMENT
2.1 Global objective
The overall objective of this assignment is to support the Government of Botswana / National
Authorising Officer (NAO) and EU Delegation to Botswana and SADC in the identification
and formulation of support actions in Public Sector Reform (PSR), including PSR
coordination and Public Finance Management (PFM), to be financed under the 11th EDF
(2016– 2020).
2.2 Specific Objectives:


To identify options and formulate potential actions for PSR/PFM to be financed under
the 11th EDF in alignment with the Government of Botswana needs and priorities, as
outlined in the 'Vision 2016', the 'National Development Plan 10', the emerging Public
Sector Reform Coordination Programme (PSRCP), the Public Finance Management
Reform Programme (PFMRP), complementary to support provided by other
development partners and building on lessons learned under the 10th EDF. The actions
also have to be aligned with and feed into the evolving NDP 11.



To assist the EU Delegation to Botswana and SADC in the development of the
corresponding documents (Action Document and TAPs) for the approval of specific
actions in PSR/PFM at the identification and formulation stage.

2.3 Requested services:
The assignment will include two Category I Experts and is divided into three distinctive
phases described below, i.e. Phase 1: Identification, Phase II: Formulation and Phase III:
Review and Finalization.
Phase I: Identification (3 home based and 25 in-country working days):
This phase shall explore and identify various options on how the EU can best support Public
Sector Reform as well as Public Finance Management needs and opportunities. It shall build
on the available background material and analyses, findings and recommendations of the
previous Technical Assistance to the PSRCO as well as to the PFM RP CU. On the basis of
the analytical work (desktop and in-country consultations) carried out, the consultants shall
identify several possible axes of intervention in PSR and PFM under the 11th EDF.
This phase shall include identification and justification of the most suitable sub-sectors and
entry points on policy dialogue with PSR/PFM stakeholders as well as the most pertinent
financing modalities and management tools. Several options should be explored in the
identification sections of the Action Document.
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In detail this phase should comprise, but is not limited to, the following indicative actions:


Review available analyses, policies, regulatory and strategic planning documents,
evaluations, progress reports and studies relating to PSR/PFM;



Undertake analysis to identify the main stakeholders in the areas of PSR/PFM as well
as the technical and financial constraints and opportunities of the sector, with special
attention to capacity development aspects;



Ensure relevant linkages with other selected sectors of concentration for EU support,
particularly with Human Resources Development.



Collect, review and document lessons learned from previous EU support as well as
other relevant evaluations and analytical work;



Analyse and make proposals as to which extent cross-cutting issues such as gender,
environment/climate change and creating an enabling environment for the
diversification of the economy could be integrated into the programme;



Undertake an analysis of the pros and cons of different implementation modalities in
this context, ie project or budget support, as well as potential implementing partners;



Identify potential risks as regards the implementation of the proposed interventions
and suggest possible mitigating measures;



Prepare and deliver consultative meetings with key sector stakeholders to discuss and
validate key findings and present proposals for EU support;



Identify and define options for EU interventions in PSR and PFM taking into account
complementarity with other donor activities and support; ensure coherence with the
national policies and the EU Agenda for Change as well as with other on-going
regional/global initiatives and frameworks;



Complete the identification sections of the Action Document



Present the results of the identification phase to the EU Delegation, NAO, PSRCO
and PFM RR CU and other relevant national stakeholders in a consultative meeting
before the finalisation of the identification sections of the Action Document in order
to validate and consolidate the findings.

Phase II: Formulation (in-country, 30 working days):
Following the submission of the Identification Document to Headquarters, the Directorate's
Quality Support Group (QSG) will provide comments and recommendations on the
Identification Document which must be incorporated by the expert and taken into account for
the development of the full Action Document.
The general objective of Phase II is to take the previous work further and prepare a full Action
Document including the required annexes (TAPs) to be submitted to the Delegation.
In detail this phase should comprise, but is not limited to, the following indicative actions:


Develop the logic of the intervention (in a log frame for the project modality and a list
of indicators for budget support);



Elaborate the details of implementation, ie the implementation period, modalities,
indicative budget, organizational set up, as well as the reporting, monitoring and
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evaluation structures proposed.


Complete the full Action Document and elaborate the TAPs;



Prepare and deliver consultative meetings with key sector stakeholders to present and
validate proposals for EU support;



Present the results of the formulation phase to the EU Delegation, NAO, PSRCO and
PFM RR CU and other relevant national stakeholders in a consultative meeting before
the finalisation of the formulation sections of the Action Document.

Phase III: Review and Finalisation (home based, 5 working days):
Following the submission of the full Action Document to Headquarters, the QSG will provide
comments and recommendations on the Action Document. The consultant shall re-examine
the points which the QSG has recommended for review, incorporate them and, if necessary,
present a revised version of the document to the Delegation.

2.4 Required outputs:
Phase I:


A presentation to the NAO, PSRCO, PFM RE CU and EU on of the initial findings
and proposed working methodology and work plan at the beginning of Phase I.
Agreed minutes with conclusions on the methodology and way forward shall be
produced.



A Pre-Feasibility Assessment containing:
a) An assessment of the PSR and PFM landscape, including opportunities and threats;
b) Alternative priority intervention options in matrix form, using the following criteria:
relevance, efficiency, efficacy, impact, sustainability;
c) Alternatives as how to integrate relevant cross-cutting issues into the programme, in
particular gender, environment/climate change, and creating an enabling environment
for diversification of the economy;
d) A proposal for the EU priority interventions to be further developed in the format of
an Action Document, according to the template provided by the EUD, including their
indicative financial instruments and management modalities; and
e) A consultative workshop with key PSR and PFM stakeholders.



An End of First Mission Report containing:
a) Identification sections of Action Document completed;
b) An Aide Memoire documenting the identification process. The Aide Memoire
should contain any relevant observations that are not included in the Action Document
but that need to be borne in mind during the formulation phase, as well as an
indicative budget breakdown for the identified priority interventions.

Phase II:
 A presentation to the NAO, PSRCO, PFM RE CU and EU on of the initial findings
and proposed working methodology and work plan for Phase II. Agreed minutes with
conclusions on the methodology and way forward shall be produced.
5



An End of Second Mission Report containing the full Action Document including all
required annexes, where the Technical and Administrative Procedures (TAPs) is of
particular importance. It shall also include identification of and ToRs for Technical
Assistance based on the Action Document using the template provided by the EUD.

Phase III:


A Final Report containing a reviewed and finalised Action Document based on
comments and recommendations provided by the EU Delegation, NAO, PRSCO, PFM
RP CU and the QSG after Phase II. It shall also specify the list of persons and
stakeholders met during the mission and provide an account of the briefing and
debriefing.

2.5 Language of the Specific Contract
The language of the contract shall be English.
2.6 Other information
This is a global price contract.
Sub-contracting is not allowed.
The Contracting Authority may require an interview of the Expert during the evaluation of the
offers. This is likely to be requested during the second week after having received the offers.
Experts' CVs should include proven experience of the soft skills and language skills required.
Experts' CVs must include the e-mail addresses to reference persons representing the
contracting authority, beneficiary or counterpart for at least the latest ten assignments.
Presentation of an Organisation and Methodology is not required.
3. EXPERT PROFILE AND EXPERTISE REQUIRED
3.1 Number of requested experts per category and number of man-days per expert or
per category
For the completion of the services requested, two (2) Category I experts will be required.
3.2 Profile per expert or expertise required:
Category I Expert in PSR, Teamleader (63 working days)

Minimum requirements:
• Master's Degree in Public Administration, Political Science or another field relevant to
the assignment. In the absence of this, the equivalent professional experience of at least
eight (8) years is required in addition to the experience required below;
• At least 12 years' experience in the sector related to the Lot Governance and Home
Affairs.
6

Specific professional experience:
 Proven professional experience in various strands of Public Sector Reform:
- sector/ministry restructuring and modernization; and/or
- management of parastatals; and/or
- public administration reforms (decentralization, right-sizing etc).
 Proven professional experience in public sector strategic planning and budgeting;
 Proven professional experience in coordination of public sector reforms;
 Proven experience in the identification and formulation of projects/programs for donor
institutions;
 Proven experience with EU procedures (development of the equivalent of Action
Documents and TAPs) and knowledge of EU aid modalities (EDF in particular);
 Good knowledge of different aid modalities (project and budget support) and their
strengths and weaknesses in different program contexts;
 Experience from doing PSR work in middle income countries is an asset.
Soft skills:
 Proven experience in organising stakeholder meetings.
 Demonstrated communication and facilitation skills.
Language skills:
 Excellent command of English.
 Excellent report writing skills.
Category I Expert in PFM (63 working days)

Minimum requirements:
• A Master's Degree in Public Finance or equivalent. In the absence of this, the
equivalent professional experience of at least eight (8) years is required in addition to the
experience required below;
• At least 12 years' experience in the various disciplines of Public Finance Management,
PFM reform.
Specific professional experience:
 Proven professional experience in various strands of Public Finance Management
reforms:
- planning, implementing and/or coordinating PFM reform programmes;
- public sector strategic planning and budgeting;
 Proven experience in identification and formulation of budget support programs and
related indicators;
 Proven experience with EU procedures (development of the equivalent of Action
Documents and TAPs) and knowledge of EU aid modalities (EDF in particular);
 Experience from doing PFM work in middle income countries is an asset;
 Experience of working in a Ministry of Finance and/or Planning in Sub-Saharan
Africa is an asset.

7

Soft skills:
 Proven experience in organising stakeholder meetings.
 Demonstrated communication and facilitation skills.
Language skills:
 Excellent command of English.
 Excellent report writing skills.

4. LOCATION AND DURATION
4.1 Starting period
The intended start date in Botswana is 19 January 2014.
4.2 Foreseen finishing period or duration
The duration of the contract will be max. 240 calendar days with max. 126 working days (63
per expert) in total for all phases.
4.3 Planning including the period for notification for placement of the staff as per art
16.4 a)
Activity

Indicative contract
period (working
days of contract)

Location

Indicative dates

Phase I Identification

3
25

Home based
Botswana

Mid-January 2015

Phase II Formulation

30

Botswana

May-June 2015

Phase III –
Review and
Finalisation

5

Home based

September-October
2015

The Framework contractor shall forward to the Project Manager within 15 days of the
signature of the contract by both parties the timetable proposed for placement of the staff. All
dates after the starting date will depend on the exact travel date to Botswana.
The services from the experts will be carried out in three phases. The assignment will be
partly home-based and partly carried out in Gaborone, Botswana. The experts will provide 63
working days/expert, 126 working days in total. Weekend days will not be considered as
working days, unless previously agreed with the Contracting Authority.
The Delegation of the European Union (OPS II section) will act as first contact point for the
mission. The NAO will assist the consultants for an efficient conduct of the mission.
In order to be better prepared for the assignment, the EU Delegation will send all relevant
documents to the Experts in advance.

8

4.4 Location(s) of assignment
The location of assignment will be Gaborone, Botswana. However, at least one district in
addition to Gaborone should be visited with a maximum of 2 mission days during Phase I by
the Team leader. Should decentralization be identified as a possible area of intervention,
additional missions to districts may be required during Phase II. Phase III will be home based.
5. REPORTING
5.1 Content and submission
Name of report

Content

Time of submission

Phase I
Presentation of initial findings
and proposed working
methodology and work plan
Pre-feasibility Assessment

According to the specifications
outlined in Chapter 2.4

A draft shall be submitted not
later than 3 weeks after the
beginning of the mission and
before the consultative meeting
with stakeholders will be held

End of First Mission Report

No later than 2nd last day
before the end of the mission

Phase II (after discussion of
Presentation of initial findings
and proposed working
methodology and work plan
End of Second Mission Report

the AD in the QSG1)
According to the specifications
outlined in Chapter 2.4

Phase III (after discussion of

the AD in QSG2)

Draft Final Report

According to the specifications
outlined in Chapter 2.4

Final Report

1 week after arrival in Botswana

No later than 1 week after
arrival in Botswana
No later than 2nd last day
before the end of the mission

No later than the last day of
Phase III.
No later than 10 working days
after receiving comments on the
draft final report

Initial findings, proposed working methodology and work plan shall be presented orally to the
NAO/MFDP, PSRCO, PRM RE CU and the EU Delegation at the beginning of each mission
in Botswana. The Experts shall also describe the support and collaboration they expect from
these stakeholders. The Expert is responsible for recording the discussions and outcomes of
the meeting. Such records shall be circulated within two (2) days after the meeting. All parties
shall approve these records.

9

After the review and analysis of the PSR and PFM landscape and the submission of the Prefeasibility Assessment to the EU Delegation, a consultative meeting with all key stakeholders
identified shall be held by the Experts and comments and recommendations hereof
incorporated in the development of the Draft Identification Document.
Draft Final Report detailing the outcome of the assignment and including all the draft
deliverables is to be submitted at the end of the second mission and presented to the NAO,
PSRCO and PFM RP CU for discussion in a meeting at the EU Delegation in Gaborone. The
final structure of the report will take into consideration all the assignment components. The
structure shall include a cover letter, an executive summary of approximately 5-10% of the
full report, highlighting the key findings, recommendations, and a statement summarising the
Consultant’s main conclusion while incorporating any comments received from the concerned
parties and consolidated by the EU Delegation. This report is to be presented at the end of the
assignment in a de-briefing session with all relevant stakeholders. The report will contain a
sufficiently detailed description of the different components of the assignment as well as an
analytical concluding part. The required outputs as per 2.4 above will be presented as annexes
to the main report.
All reports shall be joint and prepared together by the Experts contracted for this assignment.
It must be noted that the Contracting Authority reserves the right to have reports redrafted as many times as necessary to bring them to the required standards. The Project
Managers are responsible for approving the reports.
5.2 Language
All reports must be written in English.
5.3 Number of report(s) copies
5 hard copies (2 for the EU Delegation, 1 for the NAO, 1 for the PFM RP CU, and 1 for
PSRCO), besides availing the corresponding electronic versions of the reports referred to
above (3 CD-ROM).
6. INCIDENTAL EXPENDITURE








Four (4) international return air tickets in low fare Economy Class for the Experts to
travel to Botswana (two tickets/Expert).
Per diems (154) for the Experts when in Botswana - EC's rates, which include the
daily needs. These comprise: accommodation, meals and transport, including transport
from and to the airport. The cost of local transport (within Gaborone and to the
Districts) is also included in per diems. The amount of per diems may never exceed
the rate listed for the country in the per diem table on the following website:
http://ec.europa.eu/europeaid/perdiem/index_en.htm)
Local travel, incl. four national Botswana flights and other necessary transport, a
provision of 1500EUR.
Costs for printing materials for meetings and workshops, a provision of 1000EUR.
Costs for arranging workshops, a provision of 1500EUR.
All items foreseen under Incidental Expenditure would need to be accompanied
by supporting documents for reimbursement.
10

7. MONITORING AND EVALUATION
The following information will be used to monitor the extent to which the contract is
contributing to successful and timely identification and formulation formulation of EU
interventions to support the Public Sector and Public Finance Management Reforms under the
11th EDF in Botswana:


Timely preparation and submission of reports, in draft and final status.



The regularity and quality of consultations with the NAO, PFM RP CU, the EUD,
PSRCO and other relevant stakeholders for the duration of the assignment.

8. ANNEXES
1.
2.
3.
4.

Vision 2016, Botswana
National Development Plan 10 of Botswana
11th EDF Draft National Indicative Program for Botswana
Technical Assistance to Support the Public Sector Reform Coordination Office in
Strengthening Public Sector Reform Coordination in Botswana, Progress Report
Mission 1
5. Public Finance Management Reform Programme for Botswana
6. Delegation's Annual Monitoring Report on PFM, 2013

11


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