Annex 6: Implementation arrangements.
1. Implementation of the BNAPS project will be by the existing institutions for implementing and overseeing the national response to HIV/AIDS, and use existing systems and processes. However, where needed, the project will help ensure that the existing institutions, systems and processes are strengthened under the project to help ensure improvements in the implementation efficiency and effectiveness of the overall national response. Detailed implementation arrangements are in Annex 4, and briefly summarized below.
2. The project design calls for a detailed work program for the first year and broad parameters for the remaining four years in order to retain flexibility for adjusting the program for subsequent years taking into account implementation experience gained in the previous year(s), and evolving priorities of the NACA. Therefore, the project design includes annual implementation performance reviews of the BNAPS based on the progress reports prepared by NACA, and discussions and an agreement among the partners on the work program for the subsequent year(s).
3. NACA will coordinate implementation of the BNAPS. The project will be implemented mainly by the civil society organizations and the private sector, and selected public sector ministries. A strengthened NACA, staffed with the requisite qualitative and quantitative capacity, will facilitate the implementation of the project.
4. At the strategic level, the Project Steering Committee (PSC), which has already been established and functioning, is responsible for providing strategic direction and oversight of the BNAPS project, approving the annual work plans and budgets for all the BNAPS implementing partners As a high level body, the PSC will hold implementers accountable for results. The PSC is chaired by the NACA National Coordinator, and includes key implementing partners at the national level, specifically from the MFDP, MOH, MLG, NACA, MOE, the UN technical agencies and CSO/Private Sector.
5. The HIV/AIDS Technical Sub-Committee (TSC), which already exists and is chaired by the NACA National Coordinator, will review plans and activities of implementing partners and address strategic implementation and coordination issues under the project. More specifically, this committee will review all CSO proposals over BWP30,000 and all public sector work plans to ensure consistency with the strategic thematic and geographical areas defined by the PSC, as well as with the goals and objectives of the NSF. It will assess and ensure the technical and financial plausibility of the proposals as well as emphasize the results-based focus of all project activities. TSC's members at the national level include specifically from the MOH, MLG, NACA, MOE (at the Director level), the UN technical agencies and CSO/Private Sector.
6. NACA will have three main committees for facilitating the implementation of BNAPS. The Programs Committee will review, assess, and recommend for projects and plans submitted to the TSC, technical steering committee. The Finance, Administration and Audit Committee will include staff of NACA's Financial Management Unit. This committee will (i) review and recommend to NACA on expenditure estimates and budgeting activities for the project, (ii) ensure that management of financial resources are well coordinated at both the national and district levels, (iii) facilitate disbursements to individual NGOs based on specific tracking measures for follow-up purposes which will trigger the quarterly disbursements, (iv) provide a forum for private and direct communication between committee members and the external auditors, internal auditors, and senior staff, and (v) establish procedures to receive retain and treat complaints received by the PSC regarding accounting, internal accounting controls, or audit matters and for the confidential, anonymous submissions by staff of concerns regarding questionable accounting or audit matters.
7. The Procurement Committee will primarily consist of members of NACA's procurement team as well as selected district and national level representatives of the procurement teams of the implementing partners; in addition, it may be useful to also consider inclusion of representatives from civil society and private sector. This committee will (i) undertake procurement activities for activities implemented under the NACA component, (ii) support other implementing partners in the Ministries in carrying out procurement or undertake procurement for them as necessary, and (iii) review and verify that all procurement activities under the project have been undertaken in accordance with the agreed policies and procedures agreed with the World Bank.
8. The Public Sector Ministries will focus their activities on their behavioral change activities targeting their staff and clients (MLG will focus on community level clientele and OVCs /out of school youths, MLHA on Prisons staff and Prisoners, MOE on teachers and in-school youths, MYSC on ministerial staff and out of school youths, MWT on staff, mobile population and CSWs, and MOH on HIV+ patients on ARVs as well as on providing technical assistance as needed to the participating ministries). Ministerial work plans will be reviewed and approved by the PSC annually to ensure complementarities and synergies where available.
To improve program management, implementers within the Ministries will be primarily responsible but will be able to access capacity building support for results based management, and monitoring and evaluation from NACA.
9. BNAPS Project scope of activities will be agreed to by the PSC annually and reviewed mid-year. The specific CSO proposals and ministerial work-plans will be appraised and approved by the HIV-Technical Steering Committee at the National level and by the DACs office at the selected Project Districts. As mentioned above the PSC will decide on the thematic and geographical scope of activities for the Project as well as ensure complementarities between other development partners. The TSC will ensure the financial and technical viability of work-plans and proposals and design the M&E framework. The TSC will also agree with NACA on specific coordination mechanisms and procedures that will be designed to facilitate implementation of Project activities.
10. At the District level, Botswana has been very effective in decentralizing project implementation-with the District Multi-Sectoral AIDS Committees (DMSACs) playing an important role in the implementation of HIV/AIDS activities by coordinating public sector, CSOs, FBOs, and partner activities at the community level with technical and fiduciary support from their national level counterparts as and when needed. DACs are the primary units that coordinate and facilitate implementation of HIV/AIDS activities at the district level. Technical Coordination will be managed by the DACs office which will be fortified with TA as part of this Project. These activities will include (i) designing district plans based on inputs on implementation priorities of the target groups for the various stakeholders, and the public sector ministerial plans; (ii) facilitate implementation where necessary, primarily through technical reviews of the proposed activities, and implementation support to the implementation partners, where needed; (iii) review and approve CSO proposals below the 30,000BWP threshold; (iv) recommend disbursement of quarterly grants to the NGOs, and (v) monitor implementation progress.
11. The project will be coordinated by NACA through six line ministries, CSOs and the private sector. NACA is a department in the Ministry of State President. It is headed by the National Coordinator who is responsible to the Permanent Secretary, Ministry of State President. NACA has a constituted council. It consists of 4 departments, which are Behavior Change Interactions and Communications; Program Planning; Monitoring and Evaluation; and Ministry Management. These departments, including the Finance and Accounts Units will be strengthened and their responsibilities will be more effectively defined to meet the challenges of the multi-level coordination demands of the project. This will also ensure clarity of roles at all levels of management. The project staff at NACA, line ministries and District Councils will be trained in World Bank financial management and disbursement procedures. Grant Guidelines and operational manual will be produced, and simple financial reporting forms designed for use by the implementing organizations to ensure understanding and accountability.
12. The project will hire 2 financial management specialists for a maximum period of 2 years at the program and project levels. Their responsibilities will include: production of financial management guidelines for donor funded project implementation; training of program and project staff in financial management, monitoring of utilization of funds and other responsibilities as will be provided in their "Terms of Reference"
13. NACA's proposed financial management arrangements, as well as the arrangements at MFDP, which will have the responsibility of managing the loan funds and authorizing disbursements in form of finance warrants to NACA, were reviewed in accordance with the Financial Management Practices Manual dated November 3, 2005.
14. Project funds will be channeled through NACA. Ministerial and National level disbursements will be carried out directly by NACA, while district level allocations, based on approved proposals, will be disbursed by the Treasury of the District Council in the respective Project districts, disbursements to Districts will be quarterly. The first advance upon effectiveness will be for 6 months estimated expenditure, and thereafter on quarterly basis. This applies to CSOs/CBOs as well.
Critical risks and possible controversial aspects:
15. The following table identifies the key risks that the project management may face, and provides the measures to be taken to mitigate them:
Risks Risk Mitigation Measures Audit of the project financial The project financial statements statements may be delayed beyond 6 will be prepared and audited as a months of the government financial special fund and submitted to the year. Bank by 30th September each year. Delay in the preparation of The external audit backlog at the financial statements at the District level will be cleared District Council level. within the first six months of the project implementation, and the Auditor General will audit and submit audit reports by September 30 each year. Delay in accounting for Simplified accounting forms will utilization of funds at the CSO be designed as part of the and CBO levels. Operational manual with training on effective utilization.
16. Loan conditions and covenants
(a) Effectiveness Condition
Standard effectiveness conditions, in addition to the following: NACA has recruited the following technical specialists for the Project: (i) a management and implementation senior specialist; (ii) a financial management specialist; (iii) a procurement specialist; and (iv) a District-level grant officer in each of the following Districts: South East District, Kweneng East District, Francistown District, Selebi-Phikwe District, and Goodhope Sub-District, all with terms of reference, qualifications and experience satisfactory to the Bank.
(b) Disbursement Condition
No withdrawals shall be made with respect to the Civil Society/Private Sector Component of the Project until: (i) Government has furnished evidence to the Bank for its approval that the first 20 grants under this component have been made in accordance with the criteria, terms and conditions set forth or referred to in the Operational Manual; and (ii) with respect to any Phase II Health District, until the Financial Management Assessment has been completed and the Bank has determined that the relevant Phase II Health District financial management arrangements are acceptable.
17. Dated covenants:
i) No later than three months after the Effective Date, the Borrower shall have ensured that NACA has recruited the following long-term senior technical specialists for the Project (in addition to those recruited prior to effectiveness): (i) a second financial management consultant; (ii) a second procurement consultant, each with terms of reference, qualifications and experience satisfactory to the Bank.
ii) The Borrower shall ensure that its Office of the Auditor General has cleared all of the audit backlogs: (i) no later than eight months after the Effective Date for Phase I Health Districts ; and (ii) by inception of Phase II Health Districts, to the Bank's satisfaction.
iii) No later than one year after the Effective Date, the Borrower shall have ensured that a detailed social analysis for the Project has been carried out, as satisfactory to the Bank.
iv) No later than six months after the Effective Date, the Borrower shall have ensured that all finance and accounting staff in the Public Sector Ministries and NACA necessary for Project implementation have been recruited, all with terms of reference, qualifications and experience satisfactory to the Bank.
18. Un-dated covenants
i) Within the context of the overall national program, hold a joint annual partner: (a) retrospective review of program and project progress; and (b) prospective review of program and project plans for the coming year.
ii) Hold a project mid-term review.
iii) Maintain the Project Steering Committee throughout project implementation.
iv) Quarterly financial reports be prepared and submitted to the Bank no later than 45 days from the end of each quarter.
v) Annual audit reports will be submitted to the Bank by September 30 each year.
19. Procurement activities will be coordinated by NACA at the national level. Botswana's PPADB (Public Procurement and Asset Disposal Board) has a very comprehensive but tortuous process. Hence a waiver had been obtained to enable more time efficient procurement activities for HIV related goods. Based on this, it is envisaged that the majority of procurement activities will be coordinated nationally to maximize the efficiencies inherent in bulk procurement processes as well as for easier coordination.
20. Strategy and Oversight: Two high-level institutions (PSC and TSC), as mentioned earlier, will be charged with the strategic and oversight functions of the BNAPS Project.
21. Procurement under the Project would be carried out in accordance with the World Bank's "Guidelines: Procurement under IBRD Loans and IDA Credits" dated May 2004, revised October 2006; and "Guidelines: Selection and Employment of Consultants by World Bank Borrowers' dated May 2004 revised October 2006, and the provisions stipulated in the Legal Agreement. Bank standard bidding documents shall be used for procurement of goods under International Competitive Bidding and Bank standard Request for Proposal (RFP) shall be used for selection of large value consultants involving international consultants. For National Competitive Bidding (NCB), Government of Botswana standard bidding documents may be used subject to Bank's review and No Objection.
22. The particular provisions that would require review and No objection for procurement under the project include: (i) Foreign bidders shall be allowed to participate in National Competitive Bidding; (ii) Registration / classification of bidders may be used for establishing bidder qualification or preparing a list for use under price comparison procedure but not as criteria for bidding; (iii) use of preference based on citizen degree of ownership shall not be used; (iv) use of point system and bracketing in the evaluation of bids for goods shall not be used; (v) Price negotiations shall not be held with successful bidder for procurement of goods; and (vi) selection of consultants will be preceded by shortlist process in response to an expression of interest. Alternatively Bank's standard bidding documents may be used and adapted for National Competitive Bidding. The general descriptions of various items under different expenditure category are described below. For each contract to be financed by the Loan, the different procurement methods or consultant selection methods, the need for pre-qualification, estimated costs, prior review requirements, and timeframe would be agreed between the Borrower and the Bank in the Procurement Plan. The prior review and procurement method threshold indicated below are intended for the initial Procurement plan. The Procurement Plan will be updated at least annually or as required to reflect the actual project implementation needs and improvements in institutional capacity.
23. Procurement activities under the Project will be carried out by NACA, line ministries of Education, Labour and Home Affairs, Local Government, Works and Transport, Youth, Sports and Culture and Health at central government level. At decentralized level, procurement activities will be undertaken by district councils and Civil Society organizations (CSO). NACA, line Ministries and District Councils have established Supplies Unit or Division which are responsible for procurement and stores function. The supplies units are managed by technician to middle professional staff. The staff in the Supplies Unit adequate experience in procurement through shopping procedures but have little experience in large value tendering of goods and selection of consultants. For large value goods contracts, the Supplies Unit is assisted by sectors specialists to prepare tender documents. Protracted delays are experienced in the adjudication of quotations and tenders above US$1,000 because of many committees that have to review the recommendations and these committees do not meet regularly
24. At community level, procurement will be undertaken by CSO networks and grass root CSOs. CSO networks have adequate capacity to undertake procurement through shopping procedures ad recruitment of individual consultants and small value consultancies for firms. The capacity of grass root CSOs is considered weak in both project and fiduciary management of project activities
25. Overall, the capacity of the implementing agencies to undertake procurement is considered AVERAGE and the risk is MODERATE. The main risks envisaged include: (i) uncompetitive procedures and provisions in the Act and bidding documents; (ii) lengthy and delayed approvals due to several approval thresholds and by several committees which do not meet regularly; (iii) staff not familiar with procurement under World Bank procedures in general and selection and employment of consultants in particular; (iv) delays in start up activities because staff do not have experience in large value procurement and procurement under World Bank procedures; and (v) weak CSO capacity at grass root level.
26. To mitigate against these risks, the project will put in place the following measures: (i) request for waivers to streamline procurement adjudication process; (ii) apply exclusions to national Bidding documents to remove uncompetitive provisions. Alternatively adapt Bank bidding documents for NCB; (iii) Train staff in World Bank procurement procedures and selection of consultants; (iv) engage and maintain procurement specialists for first 2 years of the project; (v) engage Grant officers with prerequisite knowledge in fiduciary management to supplement the capacity of District Aids Coordinators; (vi) Train CSOs in procurement prior to disbursement of funds and require CSO networks to assist their affiliates in fiduciary management; and (vii) procurement documents for key start up activities to be prepared prior to effectiveness and PPADB to assist NACA, the principal implementing agency in preparing the documents.
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|Title Annotation:||PROJECT APPRAISAL DOCUMENT ON A PROPOSED LOAN IN THE AMOUNT OF US$50 MILLION TO THE REPUBLIC OF BOTSWANA FOR A NATIONAL HIV/AIDS PREVENTION SUPPORT PROJECT|
|Publication:||Botswana - National HIV/AIDS Prevention Support Project|
|Date:||Jan 1, 2008|
|Previous Article:||Annex 5: Project costs.|
|Next Article:||Annex 7: Financial management and disbursement arrangements.|