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English version dec 24 final 1

  1. 1. Implementation Manual ForUnited Nations ExCom Agency Assisted Programmes In Ethiopia December 2007 Addis Ababa, Ethiopia Tabl e of C o n t e n t s
  2. 2. Page1. Background...............................................................................................................................................12. Implementation arrangement...................................................................................................................2 2.1. Roles and responsibilities of coordinating bodies and Implementing partners ..........................................................................................................2 2.1.1. The Government Coordinating Body (MoFED) ..................................................2 2.1.2. Federal implementing partners ............................................................................4 2.1.3. Regional implementing partners ..........................................................................5 2.1.4. The United Nations Agencies (the ExCOM) .......................................................8 2.2. Program Management Staffs at Federal level .......................................................................9 2.3. Program Management Staffs at Regional Sector Implementing Partners ............................10 2.4. Program Management Staffs at BoFED ................................................................................10 2.5. Program Management Staffs at Sect oral Woreda Responsible Parties ...............................113. Annual Work Plan Formulation and Approval .......................................................................................114. Implementation ........................................................................................................................................13 4.1. Implementation Start-up ........................................................................................................13 4.2. Program Budgets and Revisions of AWP .............................................................................14 4.3. Budget Revision .....................................................................................................................15 4.4. Program/ Project Personnel ...................................................................................................16 4.4.1. Project/Program Support Staff (Category One) ...................................................16 4.4.2. Technical Assistance (Category Two) .................................................................17 4.5. Training ..................................................................................................................................23 4.5.1. Fellowships ...........................................................................................................24 4.5.2. Study Tour/ Group Training .................................................................................25 4.5.3. In-Service Training ..............................................................................................27 4.6. Supplies and Equipment ........................................................................................................28 4.6.1. Introduction ..........................................................................................................28 4.6.2. Procurement Principles and Process ....................................................................28 4.6.3. Verification, Placement of Damage and Insurance Coverage and Claims ..........................................................................................30 4.6.4. Insurance Coverage and Claims – Procurement ..................................................31 4.6.5. Installation and Commissioning of Equipment ...................................................32 4.6.6. Operation and Maintenance of Equipment ..........................................................32 4.6.7. Inventory and Control of Supplies and Equipment .............................................33 4.7. Sub – Contract ........................................................................................................................34 4.7.1. Sub – Contract with Firms ...................................................................................345. Financial Management, Accounting and Reporting ...............................................................................35 5.1. Bank Account and Signatories ..............................................................................................35 5.2. Fund Request ..........................................................................................................................35 5.3. Fund release procedure ..........................................................................................................36
  3. 3. 5.4. Payment of Programme Funds ..............................................................................................37 5.5. Financial Accounting and Records ........................................................................................40 5.6. Financial Reporting ...............................................................................................................42 5.7. Financial Accountability .......................................................................................................43 5.8. Closing of Bank Account .......................................................................................................446. Audit.........................................................................................................................................................44 6.1. Audit Plan and Objectives .....................................................................................................44 6.2 Assignment of Auditors------------------------------------------------------------------------------------45 6.3. The Audit Process ..................................................................................................................46 6.3. Follow – up ............................................................................................................................467. Monitoring and Evaluation and Reporting .............................................................................................46 7.1. Purposes of Monitoring and Evaluation ................................................................................46 7.2. Principles of Monitoring and Evaluation ..............................................................................47 7.3. Monitoring .............................................................................................................................48 7.4. Evaluation ..............................................................................................................................52TA B L ESALARIES FOR SUPPORT STAFF OF THE PROGRAMME MANAGEMENT SECRETARIAT....21CHA R TAWP Preparation, Fund Release, Payment and Reporting ...................56ANN E X E SI. Standard Letter of Agreement between the Implementing Partner and a GovernmentOrganization Serving as Responsible Party..........................................................................57II. Sample Service Contract with Programme/Project Support Staff...................................60III. Annual Work Plan............................................................................................................63IV. Funding Authorization and Certificate of Expenditure (FACE)....................................64V. Sample Contract with Consultants..................................................................................65VI. Cash Book (Bank Receipt & Disbursement Ledger).......................................................66VII. Payment Voucher.............................................................................................................67VIII. Subsidiary Ledger..........................................................................................................68IX. Receipts & Disbursement Registration Book (control ledger)........................................69X. Bank Reconciliation...........................................................................................................70XI. Quarterly Programme/Project Progress Report..............................................................71XII. Supplies and Equipment Request Form.........................................................................72XIII. Annual Report of Non-Expendable Equipment............................................................73XIV. Non-Expendable Property Ledger.................................................................................76XV. Model Terms of Reference (ToR).....................................................................................77
  4. 4. List of AcronymsAPR Annual Program/ Project ReportAWP Annual Work PlanBoFED Bureau of Finance and Economic DevelopmentCPAP Country Program Action PlanCPD Country Program DocumentDAG Donor Assistant GroupDSA Daily Subsistence AllowanceFIP Federal Implementing PartnersFACE Funding Authorization and Certificate of ExpenditureGOE Government of EthiopiaHAP Harmonized Action PlanHACT Harmonized Cash TransferIP Implementing PartnerIMEP Integrated Monitoring and Evaluation PlanMoFED Ministry of Finance and Economic DevelopmentM&E Monitoring and EvaluationNEX National ExecutionNPC National Program CoordinatorPMO Program Management OfficeRIP Regional Implementing PartnerRP Responsible PartnerRPC Regional Program CoordinatorRPMO Regional Program Management OfficeRSB Regional Sector BureauRBM Result Based ManagementTA Technical AssistanceTOR Terms of ReferenceTRAC UNDP Regular ResourceUNCT United Nations Country TeamUNDAF United Nations Development Assistance FrameworkUNDP United Nations Development ProgramUN EXCOM The 4 UN Agencies (UNDP, UNICEF, UNFPA & WFP)UNFPA United Nations Population FundUNICEF United Nations Children’s FundWoFED Woreda Finance and Economic Development (Office)WFP World Food ProgramWSO Woreda Sector Office
  5. 5. 1. BACKGROUND In preparing the current UNDAF, the government and the United Nations Country Team (UNCT) in Ethiopia put considerable emphasis on ensuring that the process is in line with the reform agenda of the UN Secretary General and that it implements the harmonized programming approach. At the background of this process there is considerable progress in harmonization in Ethiopia including the preparation of the Governments Harmonization Action Plan (HAP) in January 2005 and “Draft Joint Declaration on Harmonization, Alignment and Aid Effectiveness” prepared by the Government and DAG. The UNCT also stressed on the need to take the harmonization process beyond project and programme formulation to a new level, by adopting a common implementation framework, to the extent possible, in order to reduce transaction costs and simplify the multiple procedures that currently exist among UN Agencies. The Government and UNCT have reviewed agency implementation modalities, including the National Execution (NEX) approach. The UN-supported programmes and projects will operate within the aligned procedures with Government systems and implementation procedures in areas such as implementation arrangements, monitoring and evaluation systems, financial rules and regulations, auditing and procurement arrangements. Thus the UNCT has agreed under overall NEX principles and norms to implement UN- assisted programmes and projects in the coming programme cycle. In line with the above, it has now been agreed to have a common UN EXCOM Program Implementation Manual (PIM) which sets out one common set of procedures and rules that governs the implementation of all UN assisted programs in Ethiopia, focussing on program formulation, implementation arrangement, annual work plan preparation, procurement, financial management and reporting, Technical assistance, monitoring and evaluation, and auditing. During the preparation of the PIM the rules, regulations and guidelines of each UN ExCom have been thoroughly reviewed, peculiarities of each identified and to the extent possible the differences are accommodated in this guideline. This Program Implementation Manual is, therefore, prepared to serve as a guideline for the implementation of all programs of the UN ExComs assisted programs in Ethiopia. Areas and situations where specific policies and procedures of each agency to be applied is presented in this Manual. /mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 1
  6. 6. 2. IMPLEMENTATION ARRANGEMENT 2.1.Roles and responsibilities of Coordinating Body and Implementing Partners (IP) MOFED is the Government coordinating body and assumed ultimate responsibility on behalf of the Government for overall management and coordination of UN programming and is ultimately accountable to ExComs for all UN programming resources under Government management. Implementing Partners (IPs) refers to the Federal Implementing Partners (FIP) and Regional Implementing Partners (RIP). The FIP represented by the sectoral institutions, which have been selected as partners for the implementation of UN assisted programs at federal level, while BOFED and sectoral bureaus represent regional implementing partners each having distinct role. BOFED is responsible for the financial management and preparation of substantive and financial reports whereas sector bureaus are responsible for the preparation of their AWP and delivery of the results indicated in their AWP. Implementing partners provide services and carry out activities such as the procurement and delivery of programme/ project inputs and their conversion into programme/project output and outcomes. The Implementing partners (IPs) at Federal level are accountable to MoFED and the respective UN for quality, timeliness and effectiveness of services provided to the ultimate beneficiaries and activities carried out, as well as for the use of funds. Implementing partners at regional levels are accountable to BoFEDs, the respective UN agency and MoFED for the quality, timeliness and effectiveness of services provided and activities it carried-out, as well as for the use of funds. BoFEDs are accountable to MoFED and the UN agencies for the quality and timeliness reports, the use of funds, timely release of resources to the responsible parties, monitoring and evaluation of progresses. Details of responsibilities of each actor are indicated below. 2.1.1.The Government Coordinating Body (MOFED): /mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 2
  7. 7. The Ministry of Finance and Economic Development assumes ultimate responsibility on behalf of the Government for overall management of UN ExComs programming and is ultimately accountable to ExComs for all agencies programming resources under Government management. MoFED through its Multilateral Cooperation Department is the focal point of the Government for all communications with ExComs on programmes or projects in Ethiopia. This includes responsibility for the supervision of performance of the Implementing Partners, assessment of progress and technical quality, and attainment of objectives. In close collaboration with ExComs, MOFED is responsible for co- ordinating the preparation of CPD, CPAP and AWPs. MoFED also receive all AWPs from regional BoFEDs and forward the AWP to concerned sector Ministries so that they can compile one AWP for their sectors including activities to be carried out at Federal level. MOFED in collaboration with the UN ExComs is responsible for the allocation of ExComs resources among programmes/projects as well as regions based on the Federation grant allocation formula. MoFED is entrusted with the responsibility of mobilizing resources, and thus will work closely with the ExComs to mobilize additional resources that are necessary for achieving the UNDAF as well as the CPAP goals. MoFED in consultation with ExComs will review and approve all AWPs received from Sector ministries/institutions. MoFED signs on the Country Programme Action Plan (CPAP) and Annual Work Plans (AWP) on behalf of the Government. MoFED has also the duty of monitoring and evaluating the implementation of programs as well as achievements of results: holding annual country programs and UNDAF review meetings. MoFED will also hold mid-term evaluation of selected programs. MOFED provides support in the recruitment, selection and management of program/project personnel and National UNVs. MOFED supports IP and RP in identifying training institutions and facilitating various trainings and study tours to be held if requested. MOFED, in collaboration with BOFED, will carry out timely and continuous capacity need assessment and will provide necessary capacity building support./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 3
  8. 8. MOFED will organize orientation and training workshop on UN policies, procedures and regulations and Program Implementation Manual to different federal and regional government implementing partners. MOFED coordinates the annual program/project audit activities. MOFED coordinates each IPs to take corrective measures and submit reports on the action taken based on audit findings. MOFED opens one bank account for each sector supported by the UN Excom for Federal IPs and to this end the Federal IPs will submit request to MoFED. 2.1.2. Federal Implementing Partners: Federal Implementing partners, who jointly sign on AWP, are represented by the sectoral ministries and other institutions, which have been selected as partners for the implementation of UN assisted programs. They will have the following main duties and responsibilities. • Provide strategic guidance and lead the preparation of Annual Work Plan (AWP) for their respective sectors at the beginning of each year in consultation with their regional counter parts. • Prepare one sectoral AWP by compiling all AWPs received from each region through MoFED by including activities implemented at Federal level. The compiled sectoral AWP will be submitted to MOFED. • Sign on the finalized AWPs • Implement their sector AWP, assisted by UN, to be implemented at federal level. • Follow up, Monitor and evaluate the implementation of the sector AWP both at Federal, Regional and Woreda level. • Prepare/compile national sectoral bi-annual and annual progress reports on the implementation of AWPs, taking into account activities implemented at Federal level and in regions, and submit to MoFED and the UN ExCom. • Prepare quarterly financial and narrative reports for the activities carried out at federal level and submit to MoFED and the UN. • Provide technical assistance to regional and woreda counterparts as required. • Responsible for the delivery of activities and achievement of results indicated in their respective AWPs, for activities to be implemented at federal level/mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 4
  9. 9. • Coordinate and facilitate the auditing of programs as requested by MoFED in consultation with the UN ExComs. 2.1.3.Regional Implementing Partners: Under this arrangement the Sector Bureaus and BOFED represent regional implementing partners each having distinct role. While the sector Bureaus are responsible for the preparation of their AWP, for the implementation, the delivery of the results indicated in their AWP and the preparation of reports, the later is responsible for the financial management, compilation of financial and activity report and preparation of financial report, the details are indicated below. 2.1.3.1.Bureaus of Finance and Economic Development (BOFED) Regional Finance and Economic Development Bureaus are entities that are mandated by the regional council to coordinate and manage development activities of each region and accordingly responsible to allocate resources to woredas, manages all kinds of public resources, coordinate the preparation of sectoral plans and prepare and compile development performance reports of a region, monitor and evaluate the performances of sector institutions etc. Given these roles by the regional council, the responsibilities of BOFED, through its Development Cooperation Section, related to UN ExCom assisted program will be the following. • Coordinate the preparation of all sectoral AWPs of their respective regions; submit the plan to MOFED, with copy to the regional council in June every year. • Allocate UN resources to selected woredas in consultation with these line bureaus and other relevant bodies. • Co-sign on the AWPs for their region. • Submit quarterly advance requests and financial report using Funding Authorization Certificate of Expenditure (FACE) format to the UN, with copy to MoFED and concerned Sector Ministries based on approved AWPs. • Compile both activity and financial reports on a quarterly basis for ExCom assisted programs and submit to the respective UN ExCom, MoFED and sector ministries. • Follow up on the implementation progress for each sector AWP • Hold biannual review meeting for all sector programs assisted by UN agencies in the region and conduct monthly follow up meeting focusing on issues. • Conduct assessments as required, to identify the capacity gaps of implementing partners and responsible parties in the region/mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 5
  10. 10. with the objective of filling the gaps and to facilitate the implementation of programs (AWPs) The Development Cooperation Section through Finance Section of BoFED will perform the following:- • Manage all financial aspects of the programs. • Open a bank account for each sector assisted by ExCom. • Maintain separate ledgers for accounts used by different UN assisted programs. • Receive funds from the UN ExCom on behalf of all sectors and notify the same to the sector bureaus within a weeks time for their subsequent actions. • Transfer funds to WOFED up on request from concerned sector bureaus with in a week’s time of the request submission for activities to be implemented at woreda level. • Based on approved AWP, transfer funds to Sectoral Bureaus for activities to be implemented at regional level up on request from concerned sector bureaus, within weeks time of the request. 2.1.3.2.Sectoral Implementing Partners (Sector Bureaus) of regions • Facilitate the preparation of the woreda and sectoral annual work Plans, prepare the regional sectoral bureau workplan, compile the overall sectoral regional workplan and submit to BoFED, in May every year. • Primary responsible body for delivering results indicated in their AWP. • Facilitate, monitor and follow up the day-to-day implementation of their AWP at all levels in the regions. • Responsible to collect reports from their woreda sector offices and other responsible parties and compile regional sector reports on a quarterly basis and submit the same to BoFED with in 10 days after the end of the quarter. • Request BoFED to release funds to selected woredas (through WoFED) for the activities to be carried out at woredas and lower level. • Request BoFED to release funds to their account for activities to be carried out at regional level by the Bureaus. • Effect payments for activities to be carried out at regional level, by the Bureau. • Prepare quarterly financial (FACE format) request and report for activities to be implemented at regional level by Sector Bureaus and submit to BOFED with in 10 days after the end of the quarter./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 6
  11. 11. • Prepare the documentation and participate in monthly (as required), biannual and annual review meetings. • Provide technical assistance to their respective woreda offices and other responsible parties. • Settle accounts, every month, with original documents to BoFED. 2.1.3.3.Woreda Sector Offices: Woreda Sector Offices are the implementers of programs at the woreda level and also the ones dealing with all other responsible parties in implementing programs. The main duties and responsibilities of the Offices are: • Preparing their woreda sectoral AWP and submit to their respective sector bureaus, with copy to the woreda cabine, before 30th of April of each year. • Request WOFED to effect payments for activities to be carried out at woreda and kebele level. • Implement AWP or enter into agreement with other responsible parties to implement AWP to ensure that results are met. • Prepare quarterly woreda sectoral physical reports and submit to their respective sector bureaus of regions, within 10 days of the next quarter, to the reporting period. • Closely follow up the implementation of AWPs by other responsible parties. 2.1.3.4.WOFED WOFEDs are responsible for the following main activities. • Open Bank accounts as requested by BOFED • Operate bank accounts as per financial management system indicated in this manual • Receive resources from BOFED as per the agreed AWP. • Effect payments within 7 days upon request from Woreda Sector offices. • Prepare quarterly financial reports and submit the same to BoFED within 10 days after the end of the quarter. 2.1.4.The United Nations Agencies (the ExComs):/mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 7
  12. 12. The United Nations organisations play a key role in the program by, among others, allocation of resources to the implementation, monitoring of activities and evaluation of programs. The main duties and responsibilities of these agencies will include the following: • Assign resources for country programs and in collaboration with sector ministries and MoFED select main thematic areas, • Mobilize additional resources in consultation with MoFED, • Provide support to AWP preparation. • Sign on CPAP and AWP, • Provide program support and financial assistance, • Provide technical assistance as per Government TA guideline to ensure achievement of CPAP and UNDAF results. • Support in identification and/or recruitment of programme or project personnel and national UN Volunteers, • Support in identification and facilitation of training activities, including fellowship, short-term training and study tours, • Support in procurement of goods and services as required based on approved AWP • Provision of access to ExCom-managed global information systems, including rosters of consultants and providers of development services, etc., • Access to international knowledge network, • Access to latest technology as relevant to programs, • Support in identifying lessons learned and best practices across the globe, • Assisting in resource mobilization, • Direct payments: UN ExComs may also act as paying agents in cases where the Implementing Partner is not able to effect payments owing to constraints such as limited flexibility in the banking system or exchange control regulations, or when it is clearly more cost-effective for ExComs to make the payment. In these cases, the ExComs will, upon request, make direct payments, All support services provided by ExComs will be carried out in accordance with the regulations, rules and procedures of ExComs. The cost of the support services provided by the ExCom country offices in the implementation of programme/project will be recovered, on the basis the CPAP and subsequent agreement with MoFED, from the budget of the respective programme or project under the relevant budget line. The amount of such reimbursement shall be mutually agreed upon between MoFED and the ExCom country offices on a case-by-/mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 8
  13. 13. case basis, depending on the volume and complexity of the services rendered.2.2.Programme Management Staffs at Federal Level A Programme Management Personnel (PMP) that serves all the UN ExCom programs of a sector shall be provided to the Implementing partner, where there are critical manpower gaps. The project personnel will be placed in the respective IP departments that are responsible in carrying out coordination, planning, day to day management, follow up, monitoring and reporting on the UN ExCom assisted projects and programs. 2.2.1.The Project Personnel which are working under the direct supervision of the concerned departments are primarily responsible for the planning and overall management of programme activities, physical/financial reporting, accounting, monitoring and evaluation of the programme or project, supervision of the responsible parties, for the management and audit of the use of ExCom resources and provide technical assistance to regions. 2.2.2. The PMP will also have duties of compiling all sectoral AWP and prepare one AWP for the sector including AWP of each region forwarded through MoFED and activities implemented at Federal level. 2.2.3.The PMP will also be engaged in preparing quarterly financial and activity report for activities implemented at Federal level with in 7 days after the end of the quarter. The concerned IP will submit the report with in 10 days to UN ExCom and MoFED. 2.2.4.Provision of PMP to the IP will take into account the differentiated need and capacity of each IPs, and the need for quality service delivery. Therefore, an IP can have the following full time staff members for smooth programme delivery: (a) National Program Coordinator (NPC) assigned by the IP (b) Assistant Program Coordinator (recruited or assigned) (c) A Finance Officer (recruited or assigned) (d) A Secretary-Cashier (recruited or assigned) (e) A Driver/messenger (recruited or assigned) 2.2.5.Training shall be planned and implemented to strengthen the capacity of PMP./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 9
  14. 14. 2.3. Programme Management Staffs at Regional Sectoral Implementing Partner Project personnel will also be provided to the regional Sectoral IPs who will be fully accountable to and supervised by the concerned departments of IPs. 2.3.1.Under the guidance and supervision of concerned department, the Program Management Personnel (PMP) within the regional IP is responsible for the planning and overall management & implementation of programme activities, for financial and physical reporting, monitoring and evaluation of the programme or project, supervision and for the management and audit of the use of the ExCom resources. 2.3.2.The Regional IP is accountable to the Regional Bureau of Finance and Economic Development (BoFED), in terms of submitting timely annual work-plans, performance reporting and accounting. 2.3.3. A Regional Programme Co-ordinator delegated by the Implementing Partner shall coordinate activities of project personnel at regional IP level. Based on the needs assessment and specific requirement of each Regional government entity, the Regional IP may have the following staff: a. Regional Programme Coordinator (RPC) assigned by the relevant bureau b. Assistant Programme Officer/s (recruited or assigned) c. Finance Officer (recruited or assigned) d. Secretary-Cashier (recruited or assigned) 2.3.4.The recruitment of personnel at regional level should always be based on the specific need of the concerned office.2.4.Programme Management Staff at BoFED 2.4.1.Under overall guidance of the Deputy Bureau Head of BoFED Cooperation Section, the Program Management Personnel at BoFED is responsible to discharge all duties and responsibilities of BoFED listed in section 2.1.3.1 above. The Departments that are responsible for UN ExCom programs shall have the following project staff. A. Regional Programme Coordinator (RPC) assigned by the relevant bureau B. Assistant Programme Officer (recruited or assigned) C. Accountant/s (recruited or assigned) depending on needs./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 10
  15. 15. D. One Secretary-Cashier (recruited or assigned) depending on needs.2.5. Programme Management Staff at Sectoral Woreda Responsible Parties 2.5.1. The Implementing Partners, MOFED and the UN ExComs shall give special emphasis to need-based capacity development at the Woreda level to fill existing capacity gaps and utilise opportunities created, as a result of the devolution of power, for the smooth delivery of services and accountability for the resources allocated to each Wereda or kebele administration. 2.5.2. When technical staff is required for ExCom assisted programme/project implementation at the Wereda level, the Regional Implementing Partner in consultation with the Wereda Council and other appropriate office at the Wereda may assign (or may recruit) a focal expert for smooth communication, co-ordination and integration of ExCom assisted programme/project, as per TA Guideline. 2.5.3. The assignment of personnel and support shall give due considerations to the specific situation of each wereda. Accordingly, differentiated support shall be given to woredas to enable them implement the program by sustainably developing their program management capabilities. 2.5.4. Each Implementing Partner and Responsible Party shall provide the required facilities and assign or recruit qualified staff to enable effective programme/project implementation at Regional and Wereda level. The capacity Need Assessment should elaborate what is needed in terms of personnel, particularly and capacity development, in general at the Regional and Wereda level3. Annual Work Plan Formulation & Approval3.1.Lesson learnt from various Periodical Review Meetings elaborated in section 7.3 will serve as input for the preparation of subsequent Annual Work Plans. Thus as part of the preparation of AWP, at least Annual Review Meetings of Programs will be conducted immediately before the AWP preparation starts.3.2.The work plan is a management tool that serves to organize the implementation of a programme/project in an efficient, systematic and co- ordinated way. It also serves as a tool for the release of funds, to monitor and assess results and to link interventions with the strategic results framework. The work plan consists of physical and financial plans.3.3.The work plan is elaborated based on the CPAP document and defines or clarifies the following elements:/mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 11
  16. 16. • Expected outputs. • Major activities (and sub-activities) necessary to achieve each output, • Indicators or targets set for the work plan period, • Time schedule: scheduled starting time, finishing time and the expected duration. • Responsible parties for implementation • Resources required for executing the activities3.4.The preparation of the Annual work plan starts at Woreda level. The Woreda Sector Offices are responsible to prepare and compile the Woreda sectoral plans and forward the same to their respective sector bureaus at regional level. The regional Sector bureaus will consolidate the Woreda plans as well as activities to be carried out at regional level and submit the sector annual plan to BoFED. Throughout this process at woreda and regional level, the Implementing Partner will be responsible to ensure wider consultation and participation of all relevant stakeholders.3.5.BoFED will coordinate the overall preparation of all annual work plans at regional level and forward the AWPs to MoFED with copy to regional council. MoFED then will communicate with sector Ministries to finalize their respective sector AWP.3.6.Sector ministries will intern compile all Regional and Federal Sectoral AWP and submit the same to MoFED and UN ExCom.3.7.MOFED and the ExComs will provide financial and technical assistance to the preparation process of AWP at regional and national level.3.8.AWP will be prepared for every 12 months, breakdown into quarterly plans. To ensure the timeliness of the AWPs, the preparation of AWPs will start three months before the start of the new AWP period.3.9.AWP will be approved and signed by MoFED, UN EXCOM, Sector Ministries and BoFED.3.10.Programme/project management at both federal and regional levels should make sure that AWP are breakdown into quarterly financial and activity plan. The work plans shall be approved 15 days before the start of the period.3.11.Quarterly work plans shall form the basis for submitting fund requests and release of funds to the respective programme/project accounts and also the preparation of quarterly progress reports./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 12
  17. 17. 3.12.There shall be an indication of when specific inputs are needed or expected to be delivered for each activity or sub-activity. 3.13.The work plan shall also be maintained electronically to facilitate easy monitoring.4. IMPLEMENTATION 4.1.Implementation Start-up 4.1.1.Agreement between IP and Responsible Party (if implementers are other than IPs) should be signed at the start-up of implementation of programmes/projects as required. 4.1.2.Conduct Financial Training: HACT and FACE/ orientation workshops shall be organized and conducted to familiarize new programme staff of the various IPs and RP on financial procedures. 4.1.3.Open Bank Accounts: • All accounts for Federal partners are opened by MoFED, upon requested from Federal IPs. • All accounts for regional partners are opened at and managed by BoFED – WoFED. Accounts for Sector Bureaus for activities to be implemented at regional level by the respective Sector Bureaus can be opened and managed by Sector Bureaus. But Sector Bureaus receive funds only from BoFED. • BoFED will open bank account for each UN supported sector at regional level and WoFED open bank account at woreda level. • The account opened for each UN supported sector will be used for one or more agencies resources. If the account is used for more than one agency supported activities of a sector then separate ledgers/records should be maintained at BoFED/ WoFED. Request Advance of Funds: The IP at Federal and BoFEDs at regions shall submit quarterly request of advance for funds (using FACE format) to the ExComs agencies (UNICEF, UNDP UNFPA and WFP), copy to MoFED and Sector ministries, based on the approved annual work plan. /mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 13
  18. 18. 4.1.4.Supplies, Equipment, Consultant, Training (i) Refer to the budget amount in AWP to be delivered during the year. (ii) Prepare list of supplies and equipment to be procured together with specification based on the CPAP and AWP. (iii) Prepare TOR of consultants to be recruited together with required qualifications (required educational level, type of experience and length of experience) and duration of service. (iv) Identify countries and institutions for training and study tour. Develop criteria for selecting candidates and prepare training plan with detailed cost breakdown. 4.1.5.Identify activities and potential institutions for sub-contract4.2.Programme Budgets and Revisions of AWP. 4.2.1. Budget source and allocation 4.2.1.1. The budget for UNDP supported programme or project contains the allocations from TRAC or other UNDP source of funding, as well as, from cost sharing and Trust fund contributions. 4.2.1.2. The budget for UNICEF supported Programs are allocations from Regular and other resources. 4.2.1.3. The budget for WFP supported Programs are allocations from Basic and Supplementary resources. 4.2.1.4. The budget for UNFPA supported Programs are allocations from Basic and other resources. 4.2.1.5. All Other and Supplementary Resources are to be mobilised by the ExComs during the Country program period. 4.2.1.6. CPAPs include multi-year, annualized budgets to the Implementing Partners against which they are authorized to incur obligations for the current year and forward commitments against future years. 4.2.1.7. Budget allocation to the Regions and to the IPs is based on transparent criteria agreed by the Government and the ExComs. Generally, 80% of the budget is expected to be allocated to the regions and the remaining 20% to the Federal IPs. Of the total allocation to the regions, 80% will be allocated to woreda and the remaining 20% will be allocated to regional bureaus. Budget/mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 14
  19. 19. allocations among the regions would be exercised in accordance with the federal grant or resource transfer/allocation criteria. 4.2.1.8. In cases where there are similar activities for various program woredas and implementation of these activities by each woreda are found to be ineffective and costly, such activities could be coordinated by the Sector Bureaus, even though budgets are allocated for woredas. 4.2.1.9. All financial activities of ExCom supported programs revolve around the AWPs. The programme/project budget shall become operational only when the AWP has fully been signed by the Government (MoFED), the Federal IPs and ExComs and BoFED.4.3.Budget Revisions 4.3.1.Project budgets can be substantively revised within the annual budget ceiling twice a year, if required. In such cases, one revision should be done in June in order to reflect budget requirements for the next Ethiopian fiscal year in conjunction with the work plan. The second one should be done in November in order to rephase budget from the current Gregorian calendar year to the following, within the limits of the budget allocated to the Ethiopian fiscal year. 4.3.2.Annual budgets are not entitlements that can be carried over to the following years of implementation. Therefore, the budget that transfer to regions but not utilized will be accounted in and deducted from next year allocation. 4.3.3.Additional or new requests would normally be accommodated during annual work plan preparation (June) and during the second budget revision (November) and when it is jointly agreed upon by Implementing partner, Responsible parties, MoFED and ExComs. 4.3.4.Budget transfer from one Budget Line to another, when required, shall normally be undertaken in conjunction with the budget revisions process. 4.3.5.Federal IP and BoFED will submit budget revision request to MoFED and concerned ExCom for approval. 4.3.6.Each sector bureaus will submit their budget revision request, if any, to BoFED for subsequent processing and submission to MoFED and ExCom./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 15
  20. 20. 4.4.PROGRAMME/ PROJECT PERSONNEL The Program/Project Personnel for the ExCom supported programs will have two main categories, namely, Project Support Staff and Technical Assistance. 4.4.1.Project/Program Support Staff (Category One) As agreed in the CPAPs, project support staff, funded from the agreed project support cost budgets of each agency will be recruited and managed entirely within the rules and regulations of the UN-ExCom agencies. However, if the UN ExCom intends to post or assign any of the Project Support Staff in to IP at all levels then:- - First, it should be ascertained that the skill gap cannot be filled by category 2 (TA). - There has to be a formal request to the donor from the implementing partner, with a copy to MoFED, asking that skill to be filled by Project Support Staff. - The support staff will work for that specific IP. - The support staff will also be accountable to the IP. 4.4.2.Technical Assistance (Category Two) The Technical Assistance Personnel will be reflected in approved AWP of a program and will be recruited based on Government Technical Assistance Guideline. TAs will be deployed or posted in IPs or RPs at all levels based on need and demand. Such Technical Assistance Personnel shall be categorized as follows: (i) Internationally recruited long-term experts or short-term consultants; (ii) Locally recruited long-term experts or short-term consultants; (iii) National and International UN Volunteers; (iv) Program personnel; (v) Administrative personnel. 4.4.2.1.Principles:/mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 16
  21. 21. The following principle must be followed with respect to the recruitment process of TA: (i) Competitiveness - The recruitment must be made on the basis of a wide search for the most qualified candidates, and selection of highly qualified and experienced personnel according to the job description and the CPAP and AWP. (ii) Transparency - The recruitment process must be transparent and open, giving full and equal information to all candidates, with clear criteria for selection, and with the participation of several individuals in the decision-making process, for example through a committee. (iii) Gender balance- the criteria set for recruitment should favorably encourage female experts/ consultants and contractors to apply and compete. Generally, the provisions of the Ethiopian civil service rule related to gender equality would apply during recruitment. (iv) The ExCom Country Offices must be kept informed of the system and process of recruitment through the established mechanisms of consultation, and/or through progress reports, terms of reference, recruitment committee decisions and any other relevant means. (v) Consultants/experts shall start their consultancy work only after signing Service Contract. (vi) A detailed work plan should be drawn up for experts/consultants to ensure optimal utilization of the personnel component. 4.4.2.2.Selection and Recruitment of Local Personnel Process 4.4.2.2.1.The IP and the RP shall advertise the existing vacancies in the local media stating the following: (i) Post to be filled and level of position (ii) Requisite academic/professional qualifications and experience and core/functional competencies (iii) Duties and responsibilities (iv) Duration of the position and the duty station of the position (v) Supervision, other position related to the work function and office setting (vi) Deadline for submitting applications./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 17
  22. 22. 4.4.2.2.2.The IP and the RP can also apply the short-listing selection method incases of urgency 4.4.2.2.3.The IP and RP will be responsible for the selection and recruitment of programme/project personnel for the respective vacancies advertised. 4.4.2.2.4.The IP and RP shall assess applications received and prepare a short list of suitable candidates for interview. 4.4.2.2.5.Short listed applicants shall be invited to appear before the Programme/Project Recruitment Committee for interview. 4.4.2.3.Selection and Recruitment of International Personnel Process (i) The IP and RP shall advertise the existing vacancies in the local as well as international media and follow the same process indicated in 4.4.2.2.1. through 4.4.2.2.5. (ii) When Special type of program personnel and TA is required, the IP may submit request to the ExCom to select and recruit program personnel and TA, as per the TA Guideline. In such cases; even though the ExCom rules and regulation applies for recruitment process and remuneration; the IP:- a) will prepare and endorse ToR with support of MoFED and the UN ExCom. b) will participate in the selection process and c) finally will endorse the selection in writing (iii) The selected international program personnel and TA will be directly accountable to the IP and will work under the direct supervision of program coordinator assigned by the IP. 4.4.2.4.Service Contract (i) The IP/RP is required to enter into a contract with the selected person clarifying the nature of his/her services, duties and responsibilities, terms of payment, duration and other terms and conditions considered necessary for the circumstances./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 18
  23. 23. (ii) The contract with International Consultant/Experts should be sent to the expert/consultant for his/her approval. If modifications are requested by the expert/consultant, the IP should review these changes. The contract may be amended taking into consideration the agreed amendments in view of the objectives of his/her mission. (iii) The contract with Programme/Technical Assistance should consist, among others, the probation period; leave provisions (annual leave, sick leave, maternity leave), disciplinary measures, which will be in accordance with the government’s rules and procedures. (iv) When the ExComs are requested to enter into contract on behalf of the IP/RP the ExCom rules and procedures will apply. (v) All local appointments of Technical Assistance shall be subject to a period of probationary assessment lasting three months. Employees working on part-time and consultancy appointments shall not be subjected to probation. (vi) Project/programme-based TA is paid salaries. No top-ups, over-time & part-time payments shall be made to civil servants for performing tasks under ExCom assisted programmes/projects. (vii) Performance Evaluation Form for Individual Consultant shall be completed at the end of the contract period and submitted to the relevant ExCom agency and MoFED. 4.4.2.5.Remuneration and allowances (i) IP, RP shall pay salaries of the Technical Assistance at national and regional levels, other than those selected by the ExComs, in accordance with the approved salary structure. (ii) National programme/project TA personnel are not exempted from paying taxes. It shall be a joint responsibility of the Programme/Project Manager and the Programme/Project Finance Officer/Accountant to ensure that taxes are properly and promptly deducted from each Programme/Project TA personnel salaries and remitted to the Ministry of Inland Revenue or the relevant Regional tax collecting body as per Government rules and procedures./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 19
  24. 24. SALARIES FOR PROJECT STAFF (TA) IN THE IPs/RPs Duration of Base salary Salary Ceiling Title of Post Qualification & Experience Birr Birr AssignmentAssistant Bachelor degree and a minimum of 8 years of One year with 3,500 4, 000National experience or Masters degree and 6 years of possibility ofProgramme experience or PhD and 4 years of experience, extensionCoordinator at out of which at least half of the experienceFederal Level should be in project/programme management.Finance BA in accounting with eight years of experience One year with 3,500 4, 000Officer/ out of which at least half of the experience possibility of should be in project finance administration. extensionAccountant at Computer skill is essential.Federal LevelAssistant College Diploma and a minimum of 5 years One year with experience Bachelor degree and 3 years of 2,500 3,000Regional possibility ofProgramme experience or Masters and 4 years of experience or extensionCoordinator PhD and 1 year of experience, out of out of which at least half of the experience should be in project/programme management.Accountant College Diploma in accounting with 4 years One year with 2,500 3,000 experience out of which at least half of the possibility of(Regional) experience should be in project accounting. extensionAccountant College Diploma in accounting, depending on One year with 1,300 2,000 the Woreda peculiarity possibility of(Woreda) extensionSecretary- College Diploma in Secretarial Sciences from One year with 1,500 2,000Cashier recognized College with three years of possibility of experience and computer skills in office extension applications.Driver/ 12th grade completes with a third grade driving One year with 1,000 1,800Messenger license or above and age 35 years and above possibility of extension /mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 20
  25. 25. REMUNERATION SCALE FOR NATIONAL CONSULTANTSThe recruitment and remuneration rate for national consultants should be setbased on results expected, complexity of the assignment and the quality of thework and the competencies, qualifications and years of experience required todischarge the duties in the TOR.Additionally, the following points should be taken into account whennegotiating the rate with the national consultants/experts:1.The expected output and the methodology used as elaborated in the ToR ortechnical proposal submitted by the consultant/expert2.The technical/professional competence (relevance) of the consultant/expertfor the assignment3.The experience of the consultant (or firm) as elaborated in the CV or profile4.Performance Evaluation record of the consultant/experts/firms, if theconsultant has had work prior experience with ExCom assistedprogrammes/projects or other organization5.Feedback given by references or former employers about his/her performance6.Payment history of the consultant/firm in similar or comparableinstitution(s) and or positions7.The remuneration rate for national consultants/experts payable by theImplementing Partner/Responsible party shall range up to Birr 1,500/day,including taxes.8.If the experts are employees of a government institution they should provideevidence that they are on leave.9.If such consultancy is managed by the UN-ExCom, the personnel shall havea valid life insurance policy as well as medical certificate of fitness for theduration of the assignment as well as pass the UN advanced Field SecurityCourse and any other conditions stipulated by the UN agency rules andregulations as at time of the contract10.All other costs of the consultancy work other than the remuneration shallbe born by the Contractor or reimbursed to the consultant up on prioragreement by the contractor and provision of original receipts. 4.4.2.6.The remuneration rate for national consultants payable by the IP and RP shall be set on a competitive basis taking into account the following./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 21
  26. 26. 1. Expected output and the methodology used as elaborated in the ToR or technical proposal submitted by the consultant/expert 2. Technical/professional competence (relevance) for the assignment and complexity of the tasks assigned 3. Experience of the consultant (and /or firm) 4. Feedback given by references or former employers about his/her performance or performance records in ExCom assisted programmes 5. Payment history of the consultant in similar or comparable institution(s). 4.4.2.7.When ExComs are requested to recruit on behalf of the IP/RP, the remuneration rate of ExComs shall apply. 4.4.2.8.Remuneration for International Consultants/Experts (consultancy fee) to be paid to International Consultants/ Experts will depend on his/her experience, technical competence, field of expertise, ToR, etc. The IP may use the proforma costs of major UN agencies for this component while negotiating the remuneration with the international experts/consultants. 4.4.2.9.International travel costs, daily subsistence allowance and terminal allowances for Programme Management staff, other experts, and consultants will be paid according to UN rates, rules and procedures. 4.4.2.10.The initial rate of Daily Subsistence Allowance (DSA) for travel within Ethiopia for national professional and support staff of the program and national consultant is given below. These rates shall be subject to periodic reviews.  For professional staff- Birr 150 per day.  For administrative staff (secretary/ cashier, Driver/ messenger, etc)- Birr 100 per day.  For missions of duration of less than 10 hours or that would be completed before mid night only 50% of the applicable DSA shall be paid.  DSA payment for others (farmers, community members etc) as per government rules and regulations.4.5.TRAINING All training planned and executed under ExCom assistance should be based on relevance to the output and outcome results of the CPAPs/UNDAF and contribute to sustainable capacity building at the service provider levels for the relevant institution and personnel. The aim is to enhance the professional skills of the trainees to deliver services related to the MDGs and UNDAF/PASDEP outcomes. Typically, the/mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 22
  27. 27. training component under ExCom sub-programmes comprises individual fellowships, other training including group training and in-service training. All training should be based on training needs assessment, and the IP and RP should assess the training needs of the programme personnel which should be part of the AWP. The following describes in detail how the different training should be administered. 4.5.1.Fellowships 4.5.1.1.Usually, training at a single location abroad, lasting over a month qualifies as a fellowship. Candidates shall be selected for fellowship based on the objectives and budget provisions in the AWP with clear relevance and link to the CPAP/UNDAF results. 4.5.1.2.Candidates shall be nominated for fellowship/study tours by the concerned IP/RP as per the existing government rules and procedures. 4.5.1.3.The ExCom country office shall directly charge the budget line for the fellowship/study tour and inform the IP/RP of the premiums paid for information and records. The IP/RP would provide the ExCom agencies with an authority, by letter or agreement at the beginning of each calendar (Gregorian) year for this expenditure to be incurred directly. 4.5.1.4.The beneficiary trainee and or his/her institution shall take responsibility for the insurance, medical and ancillary costs such as death, disability etc. as per the prevailing rules and regulations of the UN. 4.5.1.5.The UN ExCom funds and or agencies shall be utilized or responsible for insurance, medical and ancillary costs for non UN staff. 4.5.1.6.The IP/RP will negotiate with foreign training institutions with regard to the training fees. 4.5.1.7.A formal undertaking shall be entered into by the institution from which the trainee is selected to ensure that he/she continues to serve the institution/organization for a minimum period required as per government rules after return from training, and that in the event of their leaving the institution/organization before the stipulated duration, they would reimburse to the institution the actual cost of the training. 4.5.1.8.Stipend and/or allowances for staff on training abroad shall be paid according to rates established by the UN. The stipend that the officials receive while on training is not a salary or an honorarium. Therefore, during the fellows training abroad, IP/RP should continue to pay his/her salary and allowances at home as per the relevant regulations set by the Federal Civil Service Agency./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 23
  28. 28. 4.5.1.9.All personnel or staff who participated in local or foreign training courses shall be required to submit a fellowship training Report upon return. 4.5.1.10.Insurance: Participants and or their institution shall provide coverage for medical expenses, death and permanent disability of fellows/study tour officials during their travel and training/visit. 4.5.1.11.The ultimate responsibility for insurance coverage lies with the IP. 4.5.1.12.Extension and Cancellation of Fellowships: The programme/project authorities should inform ExCom agencies promptly of any extension or cancellation of a fellowship/study tour and follow up arrangements, otherwise funding may not be assured for such deferment as funding sources may expire. 4.5.1.13.Application for Claims: Application for agreed and authentic claims with the signed mission report (in standard format prescribed by the UN agency) under the fellowship should be sent, to the ExComs offices in Addis Ababa within three weeks. Any claim submitted later than 3 weeks shall be forfeited. 4.5.2.Study Tours/ Group Training 4.5.2.1.Training, learning and study tour abroad at several locations in one go or at a single location for a group qualifies as a study tour. Usually this is arranged for a group of counterpart personnel, making it group training, experience sharing or learning. The main purpose is learning by seeing. The duration is less than a month. 4.5.2.2.Study tours are organized in accordance with the programme/project work plan. Implementing partner/ responsible party must ensure external travel by the most economical route and that allowances do not exceed prevailing rates of the United Nations system; 4.5.2.3.While preparing the programme for study tour, the IP/RP and UN agency should keep in view the following considerations. (i) Study tours should be kept to a minimum and the composition of study teams should not be overly large. They should be of limited duration normally not exceeding a month but preferably less. (ii) Study tours should be limited to not more than two or three countries in a region at a time except where limited opportunities compel choices to certain locations. 4.5.2.4.Payment for Study Tour/mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 24
  29. 29. (i) Officials going on study tours are entitled to Daily Subsistence Allowance (DSA) applicable to the places visited and Terminal Allowance. DSA is calculated on the basis of number of nights spent at each place. The UN rules and regulation would be followed in DSA payment. (ii) The Terminal Allowance for international travel will be paid according to Each Exocms regulations. This allowance is to cover taxi charges, etc. (iii) The official shall submit, within fifteen days after return, a travel claim with mission report in the prescribed format of the UN agency. 4.5.2.5.Study Tour Report: It is mandatory for the officials to submit a report about the study tour abroad within fifteen days of their return. A copy of each report should be sent to the concerned IP and ExCom Addis Ababa 4.5.2.6.The organizing institution should be encouraged to organise a discussion forum for study tour teams to share experiences and lessons with relevant experts/institutions at federal and regional levels within one month of return. Similar discussion forum may be organised at the regional level by the respective study tour participants and the regional IP. 4.5.2.7.The procedures and regulations of insurance, extension and cancellation of fellowships, and application of claims specified for fellowships also apply for Study Tours participants (ref. 4.5.1.1-4.5.1.13 above). 4.5.3.In-Service Training 4.5.3.1.In-country training (seminars, workshops and other) is organized by the IP/RP and UN in accordance with the approved annual work plan and a mutually agreed-upon budget. In-service training consists of training programmes for specific groups to enhance their skills and knowledge or experience. 4.5.3.2.In-service training procedures are listed below:- (i) The national staff responsible for the training programme has to prepare a detailed proposal for the in-service training including the objective of the training, duration and specific dates of the programme, participants/target group for the training, resource persons, topics to be covered, expected output and outcome results of the training, venue and detailed cost breakdown of the programme and criteria/ qualifications for selecting/mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 25
  30. 30. trainees/participants, plan for evaluation of training output and outcome results including follow up actions (specifying who, when , where etc). (ii) The proposal shall be submitted to the National Programme Co-ordinator/ Regional Programme Co- ordinator who will review it to make sure that it is prepared in accordance with the this manual. (iii) Selected institutions shall be contacted to serve as venue for the training. Negotiations regarding cost of accommodation and mode of payment shall be made by the institution (IP, RP and UN) organizing the event. (iv) When an in-service training activity is conducted at a location other than the participant’s duty station, the participant is normally entitled to daily subsistence allowance (DSA) in accordance with DSA rates specified in this manual. No DSA will be paid if training is conducted at the participants’ duty station. If the training is conducted outside of trainees’ compound, a transport allowance of Birr 50 per day shall be paid to each participant. In cases where training is arranged with full boarding and lodging then, trainees are only entitled 20% of the DSA rate for incidental expenses. 4.5.3.3.At the end of a training activity, the participants take part in an evaluation exercise to indicate to what extent their learning goals and expectations have been met by the training activity as well as the quality of the materials and pedagogy. Normally a questionnaire is used to conduct this evaluation. The training report must include an analysis of the training evaluation. 4.5.3.4.Action will be taken as required to ensure effective utilization of training activity, e.g. proper reassignment of trainees. 4.5.3.5.In combination with in-service training or separately, the IP/RP shall organise experience-sharing visits among implementing partners or among woredas/zones within the region on best practices and lessons learned. 4.5.3.6.When an in-service training is organised and resource persons are engaged from the IP/RP or other relevant institutions, a reasonable allowance (in line with provision in 4.4.5.3 above) shall be considered for preparing training materials and conducting the training or for giving presentations, provided that such training is not part of the responsibility of organizer/provider./mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 26
  31. 31. 4.6.SUPPLIES and EQUIPMENT 4.6.1.Introduction 4.6.1.1.ExComs provide supplies and equipment as part of the support programs, 4.6.1.2.The supply and equipment component shall comprise locally and off-share procured expendable and non-expendable supplies and equipment such as medical equipments, medical facilities, teaching materials, heavy water drilling machines, water schemes maintenance equipments, vehicles, spare parts, office furniture, filing cabinets, office machines, cameras, projectors, briefcases or other items as determined by the Government. Cost for the procurement of supplies and equipment shall be budgeted in AWPs. Local procurement includes equipment procured through local agents or from local suppliers in the open market. 4.6.2.Procurement Principles and Processes 4.6.2.1.All procurement requirements should be indicated in the approved AWP. 4.6.2.2.Economy, efficiency, transparency and competitiveness shall be given due consideration in carrying out procurement function. 4.6.2.3.Procurement of goods and services shall be based on value-for- money principle and guided by competitive bidding. 4.6.2.4.Price, quality, delivery time and procurement feasibility shall determine the procurement source, modality and delivery mode of the equipment and supply. 4.6.2.5.All supplies and equipment procured by the government entities will follow government procurement rules and regulation. 4.6.2.6.At a written request of the IP, the UN ExCom will procure using agency specific rules and regulation. In such cases the requesting IP shall: (i) Ensure approval and availability of fund to cover cost from program/project as well as allocation of fund to cover tax from government budget. (ii) Timely identify in qualitative and quantitative terms, goods and services to be procured and prepare purchase requisitions with technical specifications/descriptions indicating the essential characteristics of each item/mnt/temp/oo/20120527121418/englishversiondec24final1-120527071417-phpapp01.doc 27

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