involve recurring costs, particularly the ‘difficult’ schools qualified teachers’ scheme. However, this is designed to test two possible options, with different recurrent cost implications, so as to provide MoET with the necessary information on the most cost effective policy regarding attracting and/or retaining qualified teachers in ‘difficult’ schools. Critical risks and possible controversial aspects Table 4: Critical Risks and Mitigations Measures Risk Mitigation Measures Rating* To project development objective The main risk for the sector, and thus for the project objective, is a potential decrease in the budget due to the impact of the financial crisis. An added risk to the project development objective is the impact of the financial crisis in the economy of Ireland and thus, in the contribution of funds from Irish Aid (the co-financier) of the operation. Leveraging resources and attracting more donors to contribute to the pooled fund to complement funding. M To component results Government may be unable to implement civil works fully on time. The project design seeks to increase implementation capacity for civil works by making use of external consultants to supervise construction, making use of district tender panels to spread the burden of procurement, simplifying the systems for management of works, and by greater use of standard designs. Training will be provided for all the key intervenient in school construction. A short and medium term capacity building program, which is being designed during project preparation, will be implemented. S To project management The MoET may be unable to manage the project efficiently in the absence of a Project Implementation Unit (PIU). Since the closure of the ESDP II phase 2 in December 2008, the government has acted quickly to create permanent positions in financial management, procurement and supervision of civil works. Technical assistance is being provided to MoET prior to project implementation to provide short term capacity development and to help MoET prepare and start implementation of a medium term capacity building program. A team of international consultants with sound knowledge in procurement, financial management and school construction will provide support to the team during first six months of the project. Support to the implementation of the capacity building program will be provided accordingly. Supervision will be strengthened with an increased number of joint technical missions. M To fiduciary aspects Overall financial management and procurement risk due to general low capacity and Apart from the technical assistance support considered in the above risk category, and which includes issues on financial management and procurement, other specific measures were S for Financial Management
Arrangements for results monitoring Target Values Data Collection and Reporting Project Outcome Indicators Baseline 2009 FY 2011 FY 2012 FY 2013 Frequency and Reports Data Collection Instruments Responsibility for Data Collection Classrooms constructed by the project meeting the agreed standards (%) 0 10% 33% 100% Quarterly progress reports Annual implementation reports EMIS Procurement and financial management records Teacher Services records MoET Enrolment in Reception Classes supported by the project (number) 0 2,400 3,000 3,600 Decline in shortfall of classrooms at primary level (%) 0 0.7% 2.5% 7.5% Repetition rate (grade 1) (%) 26 25 24 23 Qualified teachers (from total number covered by the project) retained or attracted to ‘difficult’ schools (number) 0 0 800 1,600 Decline in shortfall of qualified teachers at primary level (%) 0 0 5.0% 10.1% Direct project beneficiaries (number) (teachers and pupils) Teachers (T) Pupils (P) 0 0 1,300 3,320 3,800 7,440 7,800 16,800 Of which female (%) Teachers (T) Pupils (P) 0 0 60% 50% 60% 50% 60% 50% Intermediate Outcome Indicators Component 1 Decline in shortfall of classrooms in primary level (number of additional classrooms built) 0 33 110 330 Quarterly progress reports. Annual implementation reports. Procurement and financial management records MoET Toilet blocks constructed (number) 0 10 33 100 Classrooms furnished (number) 0 33 110 330 Component 2 Reception classes supported (number) 0 120 120 120 Quarterly progress reports. Annual implementation reports. Procurement and financial management records MoET
level. There is a risk that adherence to approved government policies and procedures may be negatively affected by poor staffing levels at both the national and levels. throughout implementation of the program, it will be necessary to update the old project implementation unit’s FM procedures manual, to take into account the absorption of the unit into the Ministry, while still retaining independent operation on the FINPRO system. FM procedures manual will be a condition of effectiveness. Funds Flow – risk that funds may not be used for purposes intended, particularly at the remote district levels. S Arrangements will be made to transfer funds from the DA direct to beneficiaries, on the strength of properly approved certifications by the districts. No M Financial Reporting - there is a risk that reports may not be available in a timely manner, and that they may not incorporate all relevant data. M The project will produce quarterly interim un-audited financial reports in a format to be agreed by negotiations. The reports will cover all project activities, irrespective of financier. Annually, audited financial statements must be submitted to the program partners within six months of the end of the year audited. IFR formats and formats of annual financial statements were agreed negotiations – Condition met. M Auditing - risk that audits may not be conducted in accordance with international auditing standards due to the low staff capacity of the Auditor General (AG)’s office. M While the program will be audited by the AG annually, terms of reference for the audit will be prepared in consultation with the contributing partners. On the issue of staffing, the AG is allowed to outsource the services to private professional audit firms should work load issues require it. Audit TORs were agreed at negotiations - Condition met. M Overall Control Risk M Per above. M Overall Risk Assessment S M Strengths As already indicated, this is the third phase of the FTI, implemented by the MoET. Although phases I and II benefited from a standalone Project Support and Coordination Unit (PSCU) which has since been disbanded, a lot of necessary experience was gained during the preceding phases, and most aspects of the PSCU have been incorporated into the Ministry, including the FM Procedures Manual (to be updated), and at least one Accountant and two Assistant Accountants. For the earlier phases, no major negative financial management issues were raised in supervision missions and in annual audit reports prepared by the Auditor General
Inadequate capacity to carry out procurement of works in all districts, and to carry out timely contract management and supervision at all sites. Engage individual consultants to supplement contract management and works supervision in each of the 10 districts. By contract start dates for civil works in each district based on implementation work plan – CS / PS None Use of district capacity under guidance of the EFU (SC and PS) to carry out procurement at the district level. Throughout life of the project – CS / PS None Carry out bidding for each district in one bid process, but packaged in such a manner that bidders can bid for individual school sites, as lots with evaluation and contract award being on basis of individual school sites. This would enhance participation of small scale contractors including those in lower categories like ‘C’, increase competition and will likely lead to economic bid sums than has been the case. Throughout life of the project – CS / PS None Staff in the CS will need to be trained in procurement in order to complement the capacity of the PS in carrying out procurement of civil works and to, in turn, carryout related training for district staff. Before start of EFA FTI Phase 3. Training should be under Phase 2. – MoET None Bidding in districts should be in phases. Limited number of districts in each period or quarter in order for the EFU to provide adequate needed support by the CS and PS to the districts in bidding and evaluation process. As needed – CS / PS None Develop and enforce information sharing and reporting as needed fortnightly, monthly, quarterly and annually. Head EFU, Head Procurement and CEO Primary Include reporting formats and frequency in procurement manual Procurement Section Lack of documented roles and responsibilities and accountabilities for procurement cycle activities, and need to address procurement fragmentation. Update and or develop Procurement Manual and submit to the Bank for its review and No Objection. The manual will outline internal controls, procurement and quality assurance systems, and ensure it is done in a timely manner, and that clearly defines when and how staff and consultants will be used in the procurement cycle, and outlines the role and responsibility of senior MoET management staff and the MoET Tender Panel Head of Procurement Manual to be updated by effectiveness Filing and data management system not robust. Enhance systems for storing, maintaining and safeguarding data and avoiding loss of data for procurement. Head of procurement before negotiations None
Short list comprising entirely of national consultants: Short list of consultants for services, estimated to cost less than US$ 100,000 equivalent per contract, may comprise entirely of national consultants in accordance with the provisions of paragraph 2.7 of the Consultant Guidelines. Consultancy Assignments with Selection Methods and Time Schedule 1 2 3 4 5 6 7 Ref. No. Description of Assignment Estimated Cost (US$) Selection Method Review by Bank (Prior / Post) Expected Proposals Submission Date Comments 1. Site Survey support for decentralised construction of facilities 100,000.00 IC Prior August 2010 Consultants sanctioned by Ministry of Works will be preferred. Various Individual Consultants to be hired to supervise the individual sites. 2. Quantity Survey and architectural support for decentralised construction of facilities 40,000.00 IC Prior August 2010 3. Works inspections and supervision support for decentralised construction of facilities 160,000.00 IC Prior August 2010 4. Quality of service delivery, teaching and learning in primary schools 220,000 QCBS Prior November 2010 To begin April 2011 5. Impact evaluation of the teachers’ incentives 40,000.00 CQS Post November 2011 Preliminary study 6. High early year repetition in primary schools 80, 000.00 CQS Post October 2010 To begin March 2011 7. Assessment of early grade reading 60,000.00 CQS Post October 2010 To begin March 2011 8. Assessment of early grade numeracy 60,000.00 CQS Post October 2010 To begin March 2011 9 Consulting Services: TOTAL ESTIMTATED AMOUNT ALL DITRICTS 680,000 IV. Implementing Agency Capacity Building Activities with Time Schedule 1. In this section the agreed Capacity Building Activities are listed with time schedule
Luis Benveniste Lead Education Specialist AFTED Aidan Mulkeen Husam Abudagga Senior Education Specialist Senior Country Officer AFTED AFMLS Wedex Ilunga Procurement Specialist AFTPC Chintambala John Sikazwe Procurement Specialist AFTPC Gert Van Der Linde Lead Financial Management Specialist AFTFM Jonathan Nyamukapa Joseph Byamuguisha Suzanne Morris Thomas Jeffrey Ramin Victoria Gyllerup Senior Financial Management Specialist Consultant Senior Finance Officer Senior Operations Officer Senior Operations Officer AFTFM AFTFM CTRFC AFTRL AFTRL Warren Waters Regional Environmental and Safeguards Advisor AFTQK Thandiwe Gxaba Senior Environmental Specialist AFTEN Kristine Schwebach Anthony Molle Marie-Hèlene Cloutier Hana Yoshimoto Mary Green Rosario Aristorenas Luc Lapointe David Week Mike Kiernan Peter Moock Yesim Yelmaz Jacob Bregman Operations Analyst Counsel Extended Term Consultant Knowledge Management Analyst Program Assistant Program Assistant Consultant Consultant Consultant Consultant Consultant Consultant AFTCS LEGAF AFTED HDNED AFTED AFTED Bank funds expended to date on project preparation: Bank resources: US$42,000 Trust funds: US$143,000 Total: US$185,000 Estimated Approval and Supervision costs: Remaining costs to approval: US$30,000 Estimated annual supervision cost: US$100,000 Annex 12: Documents in the Project File Lesotho: Basic Education Project Aide Memoires for supervision missions, 2004-2009. Carr-Hill, R, Sebatane, M and Caraher, M, 2002, Evaluation of the School Feeding program in Lesotho. Examinations Council of Lesotho, 2006, National Assessment of Educational Progress.