manual for drafting terms of reference at different stages of project

MINISTARSTVO FINANSIJAVLADA REPUBLIKE SRBIJE

SEKTOR ZA PROGRAMIRANJEI UPRAVLJANJE FONDOVIMA EU

I RAZVOJNOM POMOĆI

MANUAL FORDRAFTING TERMS

OF REFERENCE AT DIFFERENT STAGES

OF PROJECT CYCLE MANAGEMENT

This manual was developed at the initiative of the Sectorfor programming and management of EU funds andDevelopment Assistance of the Ministry of Finance of theRepublic of Serbia, with the support of a programme forimprovement of coordination, planning, programming andimplementation of development assistance funded bySwedish International Development Agency and UK’sDepartment for International Development.

MANUAL FOR DRAFTING TERMS OF REFERENCE ATDIFFERENT STAGES OF PROJECT CYCLE MANAGEMENT

Written bySector for programming and management of EU funds

PublishedDIALBelgrade (Serbia), Mutapova Str. No. 21Under the EU funded project, managed by the European Agency for Reconstruction

EditorPeter Miklič

Design and PrepressVojislav Ilić

Translator into EnglishEurocontract - Conference System

ProofreadingEurocontract - Conference System

Edition500 copies

Co-published and printingGrafolikBelgrade (Serbia), Vojvode Stepe Str. No. 375

ISBN 978-86-87219-02-1

CIP - Каталогизација у публикацијиНародна библиотека Србије, Београд

MANUAL FOR DRAFTING TERMS OF REFERENCE AT DIFFERENT STAGES OF PROJECT CYCLE MANAGEMENT 3

TABLE OF CONTENT

INTRODUCTION 4

SECTION 1BASICS AND FUNDAMENTALS ABOUT TERMS OF REFERENCES 6

1. PURPOSE OF TOR 62. LINKAGES TO OBJECTIVE ORIENTED PLANNING AND PROJECT CYCLE 73. TOR AT VARIOUS STAGES OF THE PROJECT CYCLE 94. FORMAT AND CONTENT OF THE TOR 11

SECTION 2THE CONTENT OF TOR AT DIFFERENT STAGES OF PCM 13

1. CONTEXT/BACKGROUND TO THE ASSIGNMENT 132. DESCRIPTION OF THE ASSIGNEMENT 183. METHODOLOGY 274. EXPERTISE REQUIRED 285. REPORTING REQUIREMENTS 296. WORKPLAN AND TIMETABLE 307. SERVICES RENDERED BY THE ORGANIZATION 328. BIBLIOGRAPHY 32

SECTION 3ANNEXES 33

1. TEMPLATE OF TERMS OF REFERENCE (SERVICE CONTRACTS) 332. CHECKLIST FOR TERMS OF REFERENCE (SERVICE CONTRACT) 423. TERMS OF REFERENCE FOR A STUDY ON COMPANY

MANAGEMENT TRAINING NEEDS 444. TERMS OF REFERENCES FOR AN IMPACT ASSESSMENT OF

THE [INSTITUTION NAME] INTERVENTIONS IN THE HEALTH SECTOR IN SERBIA (2000-2003) 51

5. TERMS OF REFERENCE FOR EXPERT ADVISORY SERVICES TO THE PARLIAMENT OF SERBIA ADVISORY COMMITTEE FOR POVERTY REDUCTION 56

6. TERMS OF REFERENCE FOR REVIEW OF ARRANGEMENTS TO SUPPORT THE IMPLEMENTATION OF REPUBLIC OF SERBIA’S POVERTY REDUCTION STRATEGY 61

7. TERMS OF REFERENCE FOR PREPARATION OF A THEMATIC/CROSS-CENTRE EVALUATION OF EC SUPPORT TO INSTITUTIONAL CAPACITY BUILDING TERMS OF REFERENCE FOR INTERNATIONAL EXPERTISE TO PROVIDE SHORT-TERMTECHNICAL ASSISTANCE TO THE [INSTITUTION NAME]FOR PREPARATION OF A THEMATIC/CROSS-CENTRE EVALUATION OF SUPPORT TO INSTITUTIONAL CAPACITY BUILDING 65

8. TERMS OF REFERENCE FOR THEMATIC, CROSS-CENTRE EVALUATION OF THE [INSTITUTION NAME] VOCATIONAL EDUCATION AND TRAINING (VET) INTERVENTIONS 74

SOURCES OF INFORMATION 84

Introduction

On the basis of the recommendations for the formulation of terms of reference includedin the guidelines to Project Cycle Management by the European Commission1, thismanual is designed to assist in the preparation of Terms of Reference.

By outlining the general principles surrounding the use of Terms of Reference (ToR),this manual aims to providing a clearer idea of “how-to” set about the task of writingTerms of Reference more efficiently and effectively. In turn, the project team that usesthe terms of reference produced should operate more productively.

Indeed, ToR being documents widely used by international community of donors tospecify the task to be carried out in a development project, this manual aims tosupporting the continuous improvement of beneficiary’s capacity to formulate ademand for services/work/supply contract. Actually, while flexible, with enough detail,Terms of Reference can help define the project to be undertaken and as such becomea preplan or indeed an initial project plan, ensuring an increasingly clear outcomewhich in turn enhances project productivity.

As this manual focuses on the use of terms of references at different stage of the projectcycle, it is highly recommended to be acquainted with the concepts related to projectcycle management and logical framework approach. All terminology related to PCMand LFA and further information on these methodology can be found in the abovementioned reference and in the “Guide to the logical framework approach: a key toolto project cycle management » (Sector for programming and management of EU fundsand Development Assistance, Ministry of Finance, July 2007).

USING THESE GUIDELINES

This document is not prescriptive: it is written to assist those who may be given thetask of drafting Terms of Reference for any project. This manual is designed to assist

1“AID Delivery, Guidelines to Project Cycle Management”; European Commission, March 2004.

people who are doing the work, not necessarily those who know what they want toget done.

There are three parts to this manual:

1. The description of basics and fundamentals about the ToR

2. The “how to” section for people actually drafting the ToR.

Following the structure of a generic format of terms of reference recommended bythe European Community procurement rules and administrative guidelines for theimplementation of EU-financed external aid programmes and projects (see sourcesof information), this part of the Manual consists of 8 chapters, each repeating achapter of the basic format of the Terms of Reference. Each chapter contains fiveparagraphs, providing information on the expected content of the ToR, dependingon the management phase of the project cycle which the ToR is to be used:

1. General2. Particularities for the Identification phase3. Particularities for the Formulation phase4. Particularities for the Implementation phase5. Particularities for the Evaluation phase

Therefore this part is not to be used in a linear manner, but rather according to theneeds.

3. The annexes include a template of ToR (Annex 1), a checklist (Annex 2) and samplesof ToR (Annex 3 to 8) for different assignments undertaken at various managementphases of different projects implemented in Serbia.

Note that these examples were kindly provided by the European Agency forReconstruction and the project team responsible for the implementation of thePoverty Reduction Strategy in Serbia. The material they provided has been modifiedfor the purpose of this manual and these institutions are not accountable for thecontent of this publication.


1 SECTIONBasics and fundamentals

about Terms of References

1. Purpose of ToR

Terms of Reference (ToR) is a phrase that has evolved to cover many things. Accordingto New Oxford Dictionary, terms of Reference are the “Scope allowed to personsconducting an enquiry of any kind”. Two other expressions sometimes used with thesame meaning are “scope of work” and “mandate”.

In practice , terms of reference is a written document presenting the purpose and scopeof the work to be done, the methods to be used, the standard against whichperformance is to be assessed or analyses are to be conducted, the resources and timeallocated, and reporting requirements.

Terms of reference should provide a clear description of:

the rationale for undertaking an assignment, study or tasksthe expected methodology and workplan (activities), including timing anddurationthe anticipated resource requirements, particularly in terms of personnel; andthe reporting requirements

ToR are a selection as well as a communication tool between the service provider (offer)and the contracting authority (demand). They are also a follow up tool (duringimplementation) and monitoring tool during the execution of the contract. Finally, ToRare a tool used during the final phase of evaluation.

At the various stage of the project cycle, their function consists therefore in specifyingthe demand/needs so as to:

better integrate the provision of services (contract performance) in the project atdifferent stages: from its preparation to its implementation and evaluation.inform the bidder: to enable him to decide whether he can/wants to bid in the lightof the demandobtain bids that are relevant and adapted to the specific needsevaluate bids

make follow up during implementation (while applying some flexibility duringimplementation (clarity on practical details))final evaluation of achievements

In any case, they must give an optimal definition of the needs for provision of services,i.e. which are in keeping with the preceding phase, and comply with the structure of theproject (qualitative demand).

2. Linkages to objective oriented planningand project cycle

The integrated approach to planning, budgeting, monitoring and reporting underdevelopment in Serbia2 is used as a communication tool among stakeholders and canbe a reasoning tool for interventions.

The Logical Framework, upon which this approach is based on, can be considered as aninstrument that describes “the software” of a project or programme, fostering greatertransparency, accessibility and participation which can be monitored and improvedupon during the preparation and implementation of projects.

Under this approach, project cycle management envisages finding a solution for thefollowing difficulties which arise frequently:

Confusion between results, objectives, activitiesMisconception and misunderstanding among different stakeholders concerning theexact content of the objectivesUnrealistic objectivesNonspecific objectivesLack of indicators for recording progress (follow up, evaluation) in the implementationphase of the projectObjectives that have not been structured around problems and actual needs of targetgroups

The principles of planning by objectives must be applied everywhere, not only for projectswithin the framework of development programmes, projects to be implemented withthird parties, but also within organizations. Think of internal projects, for instance, formaking the accounting system more efficient.

As described in other guides3, a project goes through several phases. By and large,first, there is the design phase (programming/planning, identification and


2 A systematised mid-term expenditure framework and yearly operational planning is being implemented undera pilot project grouping 8 ministries at the moment – see “the Joint Project: towards more effectiveimplementation of reforms”.

3 See “Guide to the Logical Framework Approach: a key tool to project cycle management” –Ministry of Finance – sector for programming and management of EU funds and donor’sassistance, July 2007.

formulation/preparation), followed by the implementation phase and completedby the ex-post evaluation phase.

At the end of each phase, it is important to have an output; it is necessary to makethe “harvest” of the previous phase. This “harvest” will be used as an input for thefollowing phase. In other words, coordination and knowledge management becomethe key words during the entire project cycle. Moving to the next phase will be oncondition that the previous phase has been satisfactorily completed. In this way, theappraisal phase cannot start unless the identification phase has been successfullycompleted and produced all the necessary information for moving to the appraisalphase.

During the implementation phase, and if need be, the plan that was designed in anearlier phase may be reviewed or modified. This flexibility is important considering thechanging reality during the life of the project.

Therefore, Terms of reference (TOR) are used throughout all stages of the projectcycle described above to help specify the work that must be carried out orsupported.

For example, for externally funded projects, ToR are usually required for:

Pre-feasibility studies (at identification stage) Feasibility and design studies (at formulation stage)Appraisal/quality support mission (at implementation stage)Implementation contracts Monitoring and review missions/contracts (at implementation stage)Evaluation studies (at evaluation stage)Other technical advisory/support work required at any stage of the project cycle

As part of tender documents, ToR are a key contractual document against which theperformance of contractors, consultants and/or other stakeholders can be judged.

The contract is the legal link between the contracting authority and the contractor, thesupplier of services. In the contract, one generally finds the various elements (as in thebid documents) including the ToR.

For each type of contract to be performed, it is necessary to specify the requirements.Thus:

Works (description of services/technical specifications. estimates details (specifiedquantities per (type) unit)Supplies (description of services/technical specifications, estimates details (quantitiesspecified per (type) unit)Services- (description of contents and needs through the Terms of Reference)

Note that in this manual, attention is focused on the Terms of Reference withinthe framework of the supply of services.

It is important that the bidder has a good understanding of ToR as well as otherimplementation practical details (knowledge of the general specifications, specialprescriptions, etc.).

8 MANUAL FOR DRAFTING TERMS OF REFERENCE AT DIFFERENT STAGES OF PROJECT CYCLE MANAGEMENT

In this perspective, it is useful to ask the consultant to make comments on the Terms ofReference at an early stage and to the extent possible (attention to fair competition).

Sometimes, a preparatory meeting is held where interested bidders are briefed and inwhich they can ask questions for clarification. Such a method enables one to check onthe (good) understanding of the consultant. Is the terminology used sufficiently clear,are expertise indicators, educational level, reports, etc. clear?

3. ToR at various stages of the project cycle

3.1. Identification stage

At this stage, project ideas are prepared in broad lines.

Aspects to be underlined in this phase: “justificaiton and fundamentals of the porject,why the project ? »

definition of the problemsanalysis of the problems (cause-effect)definition of objectives (relevance)first Logical Framework elements: specific objective (overall objectives), some resultsto provide

3.2. Formulation stage

This phase, which sometimes is also called appraisal, is used to formulate how theproject can be set up. In this manual this stage covers the preparation of the project, itsappraisal with a financing decision closing the stage.

It is necessary to determine at this juncture all the aspects of the project in details so todevelop a financing proposal and submit it for adoption.

Before writing up the financing proposal (or in order to confirm its viability), theformulated project will be examined through a feasibility study (it may be decided tocarry out an ex-ante evaluation using the results of the feasibility study).

The detailed aspects of the project as well as the modalities of implementation are partof the TAP (Technical and Administrative Provisions) which are most often annexed tothe Financing Agreement.

In the meantime, the tender document must be prepared. This preparation isoften the subject of the terms of reference of the feasibility study.


This tender documentation preparation process is slightly astride several phases:appraisal, financing and implementation. By and large, one can say that its preparationis found rather in the appraisal phase, the decision cycle in the financing phase and thelaunching at the beginning of the implementation phase.

Aspects to be underlined during this phase: “feasibility of the project, how the project?”

“causes” become “means” (means-ends relationship)using indicatorssetting up the Logical Framework, including hypothesesuse of the project description formatFeasibility (for efficiency, effectiveness and viability)Donor’s procedures(co)-financing: different actors/partnersFinancing Agreement (TAP: intervention description)

3.3. Implementation stage

At this stage, a project that has been fully appraised, approved by the differentstakeholders and which has secured financing is ready for implementation. Thisimplementation is of course based on the approved plan.

During implementation, a distinction must be made between

(1) the management and the coordination of the project and

(2) the execution of some components of the plan, e.g. training course and studies. Incertain types of projects, these two elements are combined in one project, while inothers, the two are separate.

Aspects to be underlined in this phase:

implementation (I): project management: coordination and follow upimplementation (II): attainment of the results through activities

3.4. Evaluation

At this stage, services may be required for an analysis of results and impact of theproject during implementation or at midterm. Ex-post evaluation also take place at endof project implementation (ex-post evaluation) so to assess the performance (relevance,efficiency, effectiveness, impact, sustainability) of the project a posteriori.

Issues to be addressed during this phase are:

To what extent has the project attained its objectives? What are the factors that explain the rate of performance? Which improvementscould contribute to increased performance?


Should the project be extended or expanded or reproduced elsewhere?

Aspects to be underlined in this phase:

Midterm evaluation and final evaluationInternal and external evaluationConsider performance indicators: relevance, efficiency, effectiveness, impact,sustainabilityDescription of achievements, assessment of achievements, improvements/recommendations

4. Format and content of the ToR

While the exact content of TOR will clearly vary depending on the scope of the projectand the assignment in question (at which stage of the project cycle are the ToR used ?),the generic format used in this manual is namely:

1. Context/Background to the assignment2. Description of the assignment (Objectives and Results)3. Methodology4. Expertise required5. Reporting requirements6. Workplan and timetable

The following sections can be added to the ToR when relevant

7. Services rendered by the Organization8. Bibliography

This generic format might be reformulated depending on the scope project and theservices required as well as on the donors’ requirements.

For example, in this manual the section 2 entitled “description of the assignment”contains sub-sections on “objectives” and “results”. Sometimes these sub-sections arepresented into a separate one, and other section can be added. See for example thegeneric template for Terms of References included in tender dossier for EU servicecontract attached in annex 1. This template is periodically reviewed and the latestversion can be downloaded at the following address: http://ec.europa.eu/europeaid/work/procedures/implementation/services/annexes_standard_documents/index_en.htm (see annex B8)

A description of the type of information that might be contained in TOR is provided inthe following sub-sections. This information is provided for guidance only and doesnot aim to imply that all the issues listed need to be considered by every studyteam/mission, or that the work necessarily needs to be contracted out.


The different examples of ToR attached as annexes to this Manual are covering ToRselaborated at different stage of PCM:

Identification and formulation phases:

Terms of Reference for a Study on Company Management Training NeedsTerms of Reference for an impact assessment of the European Agency forReconstruction interventions in the Health Sector (also used at evaluation phase)

Implementation phase

Terms of Reference for TA to the ParliamentTerms of Reference for PRSP Review

Evaluation phase

Terms of Reference for preparation of a thematic/cross-centre evaluation of ECsupport to Institutional Capacity Building Terms of Reference for Thematic, Cross-centre Evaluation of the European Agency forReconstruction Vocational Education and Training Interventions

When developed, it is recommended to check the content of the ToR with the supportof the checklist presented in Annex 2.


SECTION 2The content of ToR at different stages of PCM

1. Context/Background to the assignment

1.1. General

This section should provide an overview of the history behind the assignment and itsrationale.

It should clearly establish why the assignment is being carried out and relate it to thewider policy or programming context.

This section could vary in length from a few paragraphs to one or two pages, and shouldgenerally:

Place the assignment in the context of the donor’s country strategic framework andNational Indicative Programme, and the Government’s policy and programmeprioritiesState the role of the government/other local stakeholders in undertaking theassignmentProvide a brief history of the project to date.

This should allow the reader to understand what important prior work has been carriedout (and by whom), what formal approvals/agreements have been reached, and thecurrent ‘status’ of the project in the project cycle.

In which context are the project and the specific tasks to be carried out? Will the exercisebe based on an already on-going process? It is necessary to know all the conditionsthat determine to a large extent the approach and the contents to chose. Commonknowledge of the context by each of the stakeholders is vital as a starting point for allthe aspects of a technical assistance.

Key elements:

Basic data: region, problems to be solved, (potential) beneficiariesProject: genesis, logical description, progressTasks: reasons

It is important to ensure that no confusion arises at any later stage, for example duringthe performance of the contract. What are the fundamental data to be included in thisdescription of the context?

There are three levels of information to be indicated: the country (region/national) level,the project and the exercise to carry out or in other words the assignment envisaged(pre or feasibility study, appraisal study, monitoring or evaluation report or other).

The aspects to which special attention will have to be paid are described hereafter perlevel and per phase of the project cycle.

Country

(concerned) Sectors: for example: • economic/productive – agriculture, stockbreeding, small scale industry,

services such as tourism, • social – health, education, • environment, • public administration

Geographical aspect: positioning, localitiesSocio-cultural aspect: ethnic groups/nationalities, size of the populationMain (concerned) actors: central/decentralized administration, public technicaldepartments, NGOs, beneficiaries and their grassroots organizationsMain on-going interventions in the field

Project

The phase which the project has reached in the project cycleParticipation and commitment of stakeholdersOutline plan(s): the current policy and its objectives, contents of NIP/RIP, e.g. SewageMaster Plan Mauritius, sectoral programmeBrief background, chronologyProgress of the project: what is the heritage of the previous phases? e.g. problemsanalyzed, selection of the Specific Objective, Logical Framework developed

Exercise to be carry out

Chronology of factsMain actors, stakeholders, decision makers – their involvement and commitmentEnvisaged planning


1.2. Identification phase

At this stage the project idea is prepared in broad lines, therefore ToR should contain thefollowing information at three level as previously indicated: country, project and exerciseto be carry out (assignment envisaged)

Country

Problems to study, stakeholders Level of knowledge, studies carried out on the problemsSolutions tried, other interventions in the fieldRegional, national and local: differences and similarities among the countries

Project

A little background, chronologyParticipation and commitment of stakeholders (at national and regional level)Future possible project, (indicate if part of an existing programme ?)Policy framework


Decision to carry out an identification study: stakeholders, chronologyTentative Planning of the projectPre-feasibility study

1.3. Formulation phase

During this phase, more emphasis will be put on a possible project and its direction.Therefore ToR should contain the following mentioned information at the country andproject level.

Country

Review (in the form of a summary) of elements listed in the identification phaseAdditional relevant information produced during the identification study, for example:

• size of the problem• existing initiatives to solve the problem• opinion of stakeholders on the problem

In the bibliography of the appraisal phase ToR, it is important to refer to the final reportof the identification study.

Project

Summary of the conclusions of the identification study


• The elements of the contents of a possible project (embryonic specificobjective and other elements such as results, Overall Objectives, Assumptions)

• Participation and commitment of stakeholders

For a regional project: at the level of member countries and of regional actors


Decision to carry out an appraisal study stakeholders, chronologyPlanning of the courseFeasibility study

1.4. Implementation phase

The implementation phase starts when the plan of the project and its logical frameworkhave been prepared. They may be considered as the starting point of implementation.There are several levels in the implementation of a project :

1. the implementation of the components of the Logical Framework (e.g. training, inthe form of a contract managed directly by the contracting authority, if necessarypartly delegated to the project manager)

2. the coordination/management of projects (through a project management unit orcell which is responsible for recruiting the necessary expertise for implementing theproject, i.e. to implement other components of the Logical Framework)

Therefore ToR should contain the following mentioned information at the country andproject level.

Country

See section on formulation completed by new relevant information obtained duringthe appraisal phase.

Project

Contents of the Logical Framework, including indicators, have been developedParticipation and commitment of different concerned actors at the national andregional levelIt may be that certain elements of the detailed project plan (indicators, activities) stillneed to be definedDistinction for different levels: national, regional


Is it about (1) coordination/management of the whole project: accurate description of responsibilities:

see: Contract Documents Programme-estimates for PMU


(2) the implementation of certain elements results of the developed LogicalFramework?: introduction of these elements and their relationship with otherelements of the Logical Framework

Participation and commitment of different concerned actors (national, regional, local)

1.5. Evaluation phase

At this stage, the implementation of project is rather undergoing or terminated (thelatter suggest an ex post evaluation). ToR should contain the following mentionedinformation at the country and project level:

Country

See Formulation, completed by new relevant information obtained during theappraisal and implementation phasesSince evaluation is normally carried out some years after appraisal, importantchanges may arise, which should then be described.

Project

Contents of the Logical Framework, including modifications of the developed projectplan which were carried out during the implementation periodSummary of relevant data concerning achievements (according to the contents ofthe Logical Framework), performance assessment, use of follow up data andevaluation (internal and external), annual reports, round tables, etcRelevant information concerning progress and changes during implementation: forexample participation and commitment of actors, sectoral focus, difficultiesencountered, (regional intervention:) collaboration between regional level andconcerned countries


Reason for the study: predetermined (provided for in the Financing Agreement) orspecial reasons (successes, failures, reproduced elsewhere, new phase)If applicable: reasons why the study will focus on certain specific aspects, for examplesectoral aspects (primary health without considering agriculture) or on certainperformance aspects (e.g. efficiency is satisfactory but the study focuses on viabilitywhich needs to be strengthened)Preparation of the study: concerned actors at different levels


2. Description of the assignement

2.1. Objectives

2.1.1. General

The purpose of the section is to state clearly and concisely what the assignment isexpected to achieve, and who the target audience is.

This is a clear and accurate description of the users of the results of the exercise (study,implementation of the components of the project, management of the project). It isnecessary to describe clearly the envisaged effects at the level of these users of theresults: decisions to be taken (continuation, extension, multiplication and necessarymodifications), general lessons to be drawn.

Some generic examples of study objectives and issues that might be included in astudy/mission ToR at different stages of the project cycle are indicated in following sub-sections.

2.1.2. Identification phase

When using information and knowledge obtained from the identification phase,decision makers envisage to be able to take well founded and largely justified decisionsconcerning possible action in the preparation of the project, i.e. carry out a feasibilitystudy as part of the appraisal phase.

In this chapter, it is necessary to make a clear description of the decision makers, thecharacter of the decision to be taken and the criteria applicable for decision making.

For example:

2.1.3. Formulation phase

When using the developed project plan in this appraisal phase, concerned decisionmakers envisage being able to take well founded and largely justified decisionsconcerning possible approval of the project. It is also possible that a decision may betaken to carry out additional studies.

In this chapter, it is necessary to make a clear description of the decision makers, thedecisions to be taken and the criteria applicable for decision making.


Type of Mission Generic Objectives

Pre-feasibilitystudy

To provide decision makers [ include information on the target. Eg: thegovernment and the European Commission] with sufficient information tojustify the acceptance, modification or rejection of the proposed project idea,and determine the scope of follow-up planning work (i.e. a feasibility/designstudy).

For example:

2.1.4. Implementation phase

Usually, the users of the results of the exercises to be carried out in this phase havebeen defined as beneficiaries, according to the developed project plan. For instance, ifit is about the implementation of a component of the Logical Framework such as“trained male nurses”, the users of the results have already been indicated.

If it is about coordination/management of a project awarded in the form of a servicecontract, the users of this type of service are all the stakeholders, including the mainbeneficiaries. The description of the users, in detail if necessary, will facilitate interestedbidders to focus better their bids.

On the basis of the effects envisaged in the Logical Framework, it might be possiblethat more details are needed.

For example:

2.1.5. Evaluation phase

Often, the donor plays a relatively important role in this phase of the project cycle,particularly with regard to external evaluation. How do we ensure that evaluation isan exercise which brings together the main stakeholders? It is important to decidewell in advance who will be the users of the evaluation. For example: will thebeneficiaries be included in one way or another in the use (and preparation) of theevaluation exercise?

The main objective of internal evaluation is learning for those who are involved daily inintervention (beneficiaries, project organization).

The effects of the use of the results of evaluation are generally expressed in terms ofdecisions to be taken: continuation of financing (donor, government), extension toother areas, modifications of the detailed plan “design” of the programme,concentration on successful activities/sub-regions.



Feasibility/designstudy

To provide decision makers [include information on the target level] withsufficient information to justify the acceptance, modification or rejectionof the project proposal, and if deemed feasible, adequate informationon which to proceed to concluding a financing agreement.


Externalmonitoringmissions andmid-term reviews

To provide decision makers [include information on the target level] withsufficient information to make an informed judgment about theperformance of the project (its efficiency and effectiveness), anddecisions about any required changes to project scope (such asobjectives, duration, financing, management arrangements etc).

For example:

2.2. Results (specific issues to be studied)

2.2.1. General

This chapter of the Terms of Reference shall provide a detailed description of the resultsto be produced by consultants. It is crucial for the performance of the contract and,hence, for the project. This description determines the quality of the bids of potentialcontracting parties; it serves as the basis of the criteria for the evaluation of bids and asa follow up benchmark during the execution of the contract.

By and large, the different types of technical assistance as described in the Terms ofReference can be classified in three categories according to the results they produce.

(1) Studies: they produce knowledge for stakeholders. These are studies during thephases of identification, appraisal and evaluation. There are also studies to be carriedout during the implementation phase.

(2) Tangible accomplishments: during the implementation phase, the detailed plan“design” of intervention is translated into action. There is a great diversity of the typesof achievements in respect of which contracts could be awarded to third parties:training, design and implementation of irrigation systems, consultancies with a viewto organizational strengthening, development and adoption of credit systems,development of plans for the construction of buildings and other infrastructures,establishment of a follow up system, etc.

(3) Project management: coordination of projects, ensuring coherence andconsistency among projects or within a project, are tasks that may be awarded tothird parties in the form of service contract.

2.2.2. Identification phase

At this stage, the ToR shall indicate the results to be produced including the following:

better knowledge of the problems and causes (1)determination of the objectives of a possible project (2)definition of some results which a possible project should produce in favour of beneficiariesso that they may attain the objectives (3)



Completion and Ex-PostEvaluations

To provide decision makers [include information on the target level] withsufficient information to make an informed judgment about the pastperformance of the project (its efficiency, effectiveness and impact), todocument lessons learned and to provide practical recommendationsfor follow-up action.

A better knowledge of the problems, the definition of the envisaged relevant objectives andthe results to be produced by the possible project are all translated into action

(a) in the form of a written report and (b) in the form of increased motivation and understanding at the level of

stakeholders and a better harmony among these parties.

Other indicators to be included in the report concern:

3. timeframe for submission of the report, the number of copies and the recipientsof a first version

4. procedure for comments made by stakeholders5. final report: date, number of copies, language

For example, at this stage, in the case of a pre-feasibility study, the key issues to be studiedand results to produce could be the following:

assess the proposed project’s coherence with the donor’s strategic framework and NationalIndicative Programmeassess the proposed project’s coherence with the Government’s development policy andsector policies and expenditure plansidentify key stakeholders and target groups (including gender analysis and analysis ofother vulnerable groups), and assess institutional capacity issues and degree of localownershipidentify the key problems to be addressed and development opportunities, and preparea preliminary problem analysisidentify lessons learned from past experience and analyse the proposed project’scoherence with current/ongoing initiativesanalyse and as appropriate re-formulate preliminary project objectives and proposedimplementation strategyanalyse and as appropriate formulate proposed management/coordination arrangementsanalyse and document sustainability issues – including the likely financial and economicsustainability of the proposed measureanalyse and document cross-cutting issues – including gender, environment and humanrights implications (including the human rights of disabled people)analyse and document likely resource/cost implicationsprepare a draft Logframe matrix (as appropriate); andhighlight areas requiring further analysis and provide clear recommendations on nextsteps (including ToR for a Feasibility/Design Study)

2.2.3. Formulation phase

This phase should lead to a detailed plan (design) of the project. The components of theproject should be described in the form of Logical Framework (Overall objectives,Specific objective, Results, Activities, Assumptions and prerequisites) and throughobjectively verifiable indicators.

The plan presented at the end of the study must have been sufficiently discussedwith all the stakeholders. Their inputs, their arguments and ambitions must bereflected in the final plan.


The formulation of the detailed plan is translated into action

(1) in the form of a written report and (2) in the form of commitment by the stakeholders and increased harmony

among these parties.

In the appraisal phase, the formulation of the project plan will be followed by afeasibility study in order to assess the validity of the project. This study will assess thetechnical, economical, financial, institutional, organizational, environmental and socio-cultural feasibility of the proposed project. A feasibility study should provide answersto quite specific questions concerning the proposed project. These are questions ofrelevance, feasibility, prerequisites and viability.

For example, at this stage, in the case of a feasibility/design study, building on thework of any previous studies, the following issues could be further assessed/analysed:

analyse the proposed project’s coherence with the donor’s strategic framework/orientations and National Indicative Programmeanalyse the proposed project’s coherence with the Government’s development policyand sector policies and expenditure plansidentify key stakeholders and target groups (including gender analysis and analysisof vulnerable groups such as the disabled), institutional capacity issues and degreeof local ownershipprepare a clear and appropriately structured problem analysisAnalyse lessons learned from past experience and ensure coherence with current/ongoing initiativesProvide a clear analysis of strategy options and justification for the recommendedimplementation strategyProvide a set of clear and logically coherent project objectives (Goal, purpose,outputs) and a set of indicative activities for delivering each project outputProvide a Logframe matrix with supporting activity and resource/cost schedulesProvide a description of the proposed performance measurement (monitoring,review and evaluation) and accountability systemProvide a description of the proposed management/coordination arrangements,which demonstrates how institutional strengthening and local ownership will beeffectively supportedProvide an analysis of assumptions/risks, and a risk management planProvide an analysis of sustainability issues – including the financial and economicsustainability of the proposed measure, environmental impact, benefits to bothwomen and men and the use of appropriate technologyPrepare Terms of Reference for any consultants/technical assistance to be involved inproject implementationPrepare any other documents as may be required for supporting the preparation/conclusion of a Financing Agreement.

2.2.4. Implementation phase

If it is the question of management of a project awarded to an contractor in the formof service contract, the Terms of Reference must describe accurately the different tasks


that form part of this management. In principle, the output that must be provided bythe contractor consists of the specific objective together with the envisaged resultsaccording to the logic of the intervention.

The implementation of the elements of the project plan will require a detaileddescription of what is envisaged. Often, the Logical Framework will not be sufficientlydetailed. The necessary details will be defined during the implementation phase byappropriate experts so that this chapter is better described in the Terms of Reference.

For example, at this stage, in the case of an External monitoring missions or mid-term reviews, The study/mission could be asked to deliver an assessment of some orall of the following issues:

the extent to which the project is/remains consistent with, and supportive of, thepolicy and programme framework within which the project is placedstakeholder participation in the management/implementation of the project, andthe level of local ownershipproject performance with respect to efficiency (input delivery, cost control andactivity management) and effectiveness (delivery of outputs and progress towardsachieving the purpose). Comparison should be made against what was planned.Gender issues should be specifically monitored.project management and coordination arrangements, and the extent to which timelyand appropriate decisions are being made to support effective implementation andproblem resolutionthe quality of operational work planning, budgeting and risk management:

(i) the quality of information management and reporting, and the extent towhich key stakeholders are kept adequately informed of project activities(including beneficiaries/target groups)

(ii) the prospects for sustainability of benefits – including (as appropriate)financial viability/recurrent cost financing, equipment/asset maintenance,institutional capacity building and local ownership, environmental impact,social acceptability, etc.

Based on these assessments, the study team would be expected to provide:

Recommendations for any required change/modification to project scope (includingobjectives, management arrangements, financing, etc) in order to support effectiveimplementation and the delivery of a sustainable benefit stream.

2.2.5. Evaluation phase

As in the case of studies carried out during the identification and appraisal phases, theevaluation study will produce a summary report. The report must provide answers toa number of questions relating to the performance of the project during the pastperiod.

The questions will relate to one or several of the following indicators:

Relevance: the importance of the envisaged objectivesEffectiveness: the degree of attainment of the specific objective


Efficiency: the use of resources for the production of resultsImpact: the extended effectsSustainability: the likelihood that positive effects will last

For example, completion and ex-post evaluations missions could incorporate anassessment of the following key issues related to above mentioned indicators:

Relevance:

The analysis of relevance would focus on the extent to which the designeffectively/appropriately:

analyse the project’s coherence with the donor’s strategic framework/orientationsand National Indicative Programmeanalyse the project’s coherence with the Government’s development policy andsector policiesidentified key stakeholders and target groups (including gender analysis and analysisof vulnerable groups such as the disabled), assessed institutional capacity issues andeffectively promoted local ownership clearly and accurately identified real problemsanalysed lessons learned from past experience and ensured coherence withcurrent/ongoing initiativesprovided a clear analysis of strategy options and justified the recommendedimplementation strategyestablished a clear and logically coherent set of project objectives (Goal, purpose,outputs) and a set of indicative activities for delivering each project outputdeveloped a clear and useful Logframe matrix with supporting activity andresource/cost schedulesanalysed assumptions/risksestablished appropriate management and coordination arrangementsestablished appropriate and effective monitoring and evaluation systemsProvided an analysis of sustainability issues – including the financial and economicsustainability of the proposed measure, environmental impact, benefits to bothwomen and men and the use of appropriate technology

Efficiency

The efficiency criterion concerns how well the various activities transformed theavailable resources into the intended outputs (sometimes referred to as results), interms of quantity, quality and timeliness.

The assessment of Efficiency would therefore focus on such issues as:

the quality of day-to-day management, for example in

(i) management of the budget (including whether an inadequate budget wasa factor);

(ii) management of personnel, information, property, etc, (iii) whether management of risk was adequate, i.e. whether flexibility was

demonstrated in response to changes in circumstances;


(iv) relations/coordination with local authorities, institutions, beneficiaries,other donors;

(v) respect for deadlines.

Costs and value-for-money: how far the costs of the project were justified by thebenefits _ whether or not expressed in monetary terms _ in comparison with similarprojects or known alternative approaches, taking account of contextual differences?

Partner country contributions from local institutions and government (e.g offices,experts, reports, tax exemption, as set out in the LogFrame resource schedule), targetbeneficiaries and other local parties:

• were they provided as planned?• could re-allocation of responsibilities have improved performance? • were communications good?

Donor’s inputs (e.g. procurement, training, contracting, either direct or viaconsultants/bureaux): see key questions as for local/government inputs (above);Technical assistance: how well did it help to provide appropriate solutions anddevelop local capacities to define and produce results?Quality of monitoring: its existence (or not), accuracy and flexibility, and the use madeof it; adequacy of baseline information;Did any unplanned outputs arise from the activities?

Effectiveness

The effectiveness criterion, in LogFrame terminology, concerns how far the project’soutputs were used, and the project purpose realized.

The analysis of Effectiveness would therefore focus on such issues as:

whether the planned benefits have been delivered and received, as perceived by allkey stakeholders (including women and men and specific vulnerable groups such asthe disabled)in institutional reform projects, whether behavioural patterns have changed in thebeneficiary organisations or groups at various levels; and how far the changedinstitutional arrangements and characteristics have produced the plannedimprovements (e.g. in communications, productivity, ability to generate actionswhich lead to economic and social development);if the assumptions and risk assessments at results level turned out to be inadequate orinvalid, or unforeseen external factors intervened, how flexibly management adapted toensure that the results would still achieve the purpose; and how well it was supportedin this by key stakeholders including Government, Commission (HQ and locally), etc.whether the balance of responsibilities between the various stakeholders wasappropriate, which accompanying measures were or should have been taken by thepartner authorities, and with what consequences;how unplanned results may have affected the benefits received;whether any shortcomings at this level were due to a failure to take account ofcross-cutting or over-arching issues such as gender, environment and povertyduring implementation.


Impact

The term impact, sometimes referred to as outcome, denotes the relationship betweenthe project’s purpose and goal, that is the extent to which the benefits received by thetarget beneficiaries had a wider overall effect on larger numbers of people in the sectoror region or in the country as a whole. At Impact level the analysis generally examinessuch aspects as:

to what extent the planned goal have been achieved, and how far that was directlydue to the project;in institutional reform projects, how far enhanced economic and social developmentresulted from improved institutional capabilities and communications;in infrastructure-type projects, how far did they also enhance economic and socialdevelopment beyond the level of their immediate users?if there were unplanned impacts, how they affected the overall impact; where appropriate, all gender-related, environmental and poverty related impactswere achieved; andhow the economic effects were spread between economic growth, salaries andwages, foreign exchange, and budget, and how this relates to the project’s overallobjectives.

Sustainability

The fifth criterion, sustainability, relates to whether the positive outcomes of the projectat purpose level are likely to continue after external funding ends. An analysis ofsustainability would therefore focus on such issues as:

ownership of objectives and achievements, e.g. how far all stakeholders wereconsulted on the objectives from the outset, and whether they agreed with themand remained in agreement throughout the duration of the project; policy support and the responsibility of the beneficiary institutions, e.g. how fardonor policy and national policy corresponded, and the effects of any policy changes;how far the relevant national, sectoral and budgetary policies and priorities affectedthe project positively or adversely; and the level of support from governmental,public, business and civil society organizations.institutional capacity, e.g. the degree of commitment of all parties involved, such asGovernment (e.g. through policy and budgetary support) and counterpartinstitutions; the extent to which the project is embedded in local institutionalstructures; if it involved creating a new institution, how far good relations withexisting institutions were established; whether the institution appears likely to becapable of continuing the flow of benefits after the project ends (is it well-led, withadequate and trained staff, sufficient budget and equipment?); whether counterpartswere properly prepared for taking over, technically, financially and managerially;the adequacy of the project budget for its purpose;socio-cultural factors, e.g. whether the project is in tune with local perceptions ofneeds and of ways of producing and sharing benefits; whether it respects localpower-structures, status systems and beliefs, and if it seeks to change any of those,how well-accepted are the changes both by the target group and by others; how well


it was based on an analysis of such factors, including target group/ beneficiaryparticipation in design and implementation; and the quality of relations between theexternal project staff and local communities.financial sustainability, e.g. whether the products or services provided wereaffordable for the intended beneficiaries and remained so after funding ended;whether enough funds were available to cover all costs (including recurrent costs),and continued to do so after funding ended; and economic sustainability, i.e. howwell the benefits (returns) compared to those on similar undertakings once marketdistortions are eliminated.

technical (technology) issues, e.g. whether

(i) the technology, knowledge, process or service provided fits in with existingneeds, culture, traditions, skills or knowledge;

(ii) alternative technologies were considered, where there was a choice; and(iii) the intended beneficiaries were able to adapt to and maintain the

technology acquired without further assistance.

wherever relevant, cross-cutting issues such as gender equity, environmentalimpact and good governance; were appropriately accounted for and managed fromthe outset of the project.

3. Methodology

The section on methodology should describe how the study/mission will be carriedout, including the main methods to be used to collect, analyse, record and reportinformation.

This section should therefore include a description of:

Main phases in the study (i.e. preparatory activities, field work, analysis, reportdrafting, feedback, editing, report finalisation)How stakeholders will be involved and participation promoted, including specifictarget groups (such as women, the poor and other vulnerable groups such as thedisabled)The location and duration of study activitiesThe data/information collection tools that will be used, including any plannedsurveys, questionnaires, field observations, reference to administrative records andmanagement reports, key interviews, etc.How data will be analysed and recorded; andHow and when specific reports will be produced

Note that sometimes this section is integrated into the chapter titled workplan andtimetable (section 6 of this manual).


4. Expertise required

4.1. General

The purpose of this section is to specify the professional requirements of the individualand/or team who will undertake the assignment.

There are two broad approached to establishing the required expertise:

A skills or attributes based approach in the which the skills and other qualities of thewhole team are specified, but not the exact number of team members or specificcomposition of the team; andA duties approach in which individual team members are identified by title, andspecific duties specified for each of them.

The attributes approach may be preferred when the outputs of the mission can beclearly specified and the intention is to contract a team to undertake the task. This thenallows tenderers to be innovative in putting forward a proposed team, methodology,workplan and budget.

However, if the outputs of the mission cannot be adequately specified (but specifictasks can), or if the contracting authority wishes to maintain more control over theinputs they are ‘buying’ – then a duties based approach may be preferred. The dutiesbased approach would generally specify:

The exact number of team members and the their required qualifications, experienceand other attributes;The period of engagement of each team member The exact duties and responsibilities of each team member; andThe relationship between the each team member, including team leadership roles.

The qualities listed in this chapter derive from the characteristics described in thepreceding chapters, particularly chapter 1 on Context, and from the results of theexercise (chapter 3) and the work plan (chapter 6).

The following is the summary of indicators for determining the profile of consultants tobe selected:

Expertise in the field of the project (sector, theme)Expertise in the geographical area/type of cultureExpertise in the type of exercise (identification, evaluation, etc)Expertise in the research methodology (for studies)Woman/manAbility to work in group (particularly for the team leader)Writing abilityAvailabilityEase of communication, confidence

The proportional importance of each of these factors depends on the type ofintervention and its positioning in the PCM phases.


The term “expertise” requires a more detailed description in terms of the number of years,the level and content of training and in the number of years of specific experience.


In general, for this phase, the profile of consultants will require quite a wide expertise(non-specialized), expertise in the region and expertise in the concerned problem.


In general, the required expertise in this phase is more specialized in the sector field.

Knowledge and experience in planning according to the Logical Framework approachare essential.


Project management will require a non-specialized expertise, covering all the aspectsof the project. Wide experience in the management of similar projects is vital. Of course,implementation of the elements of the project detailed plan will require specificexpertise obtained from the field of the exercise and the region.


In general, evaluators must be familiar with different methods of data collection.

Team leaders must be familiar with evaluation methodology and have quite a wideexperience (non-specialized).

More than for external evaluation, internal evaluation puts emphasis on the learningprocess for the concerned parties. To this end, the consultant must have the qualitiesof a facilitator in such a situation.

5. Reporting requirements

This section of the TOR should clearly specify the reporting requirements, and mightinclude details of:

The table of contents for the required report (i.e for a feasibility/design studyor an evaluation report), including annexes


The anticipated length of the reportThe language to be usedThe format or font to be usedThe computer software programmes to be usedThe submission date(s) for drafts and final copiesTo whom the report(s) should be submittedThe number of copies to be produced, and whether in hard copy/and or electronic copyWhether or not a (face to face) presentation of the contents of the report is required,when and to whoResponsibilities for report production and Presentation

Reference might also be included to other EC Guidelines, such as the PCM Guidelines,Sector Program Guidelines, Guide to Evaluation Procedures, etc, where these providefurther guidance with respect to report formats or other reporting requirements.

Number, format, report recipients, dates

To ensure that the written report has the qualities with regard to the contents and thepresentation of information as well as the justification of the information produced, itis advisable to attach a format of the report to the Terms of Reference (see EC format forfeasibility study).

6. Workplan and timetable

6.1. General

This section should provide a summary of the anticipated work plan and time-schedule,based on an analysis of the issues to be studied, the proposed method and thereporting requirements.

The workplan may be presented in more or less detail, depending on whether or not thecontracting authority has a clear idea of how the study should be carried out, and towhat extent they want bidders to propose their own methodology, team compositionand/or workplan. It is often recommended to present the workplan in the form of anactivity schedule/Gantt chart. An example is attached in annex 7.

The schedule to be developed must take into consideration a certain number of factors,including the following:

Sufficient preparation time for stakeholdersOccupations and availability of stakeholdersPhysical accessibility: for example state of the roads during the rainy seasonAllocate enough time for planned activitiesBalance different elements: for example between file reviews and field studies(in case of studies) reserve sufficient time for feedback, workshops, meetings,dispatch of provisional reports, etc


With particular regard to regional programmes, a realistic planning must be establishedright from the beginning of the exercise. This will facilitate communication andparticipation of stakeholders.


The methodology must ensure that the quality of the analysis of the problems as wellas its acceptance by stakeholders would be optimized.

There are various methods for collecting data, namely individual qualitative talks, groupdiscussions, participatory observation, structured investigations, technical studies.

In order to mobilize available knowledge and obtain the necessary data andinformation, it is necessary to identify different relevant sources, i.e. stakeholders. The“owners” of the problem (potential beneficiaries) should play an important role.

Several instruments may be used to promote the accessibility of the analysis of theproblems and select choice objectives and results: workshops with stakeholders, regularmeetings for presenting provisional results by the consultants. These elements of themethodology must be clearly described in the bid.


During this phase, the study will formulate the detailed plan (design) of the project. Itis vital that during the process of project design, different actors should be furthercommitted through their contributions to the project.

The studies carried out in this phase are often more technical than those of theidentification phase.

In the course of looking for alternative solutions in order to attain the objectivesselected during the identification phase, consultants must use a variety of instrumentsfor collecting data and share and disseminate provisional results.


The work plan that must be described in the Terms of Reference varies greatly accordingto the field of intervention (see also 3.1).

It should however be pointed out that the contracting authority must determine wellin advance the features of the approach it subscribes to: extent of participation ofdifferent stakeholders, degree of flexibility of the formulation of the project, etc.



The work plan concerns the methods for data collection, sources of information as wellas the way in which observations and preliminary conclusions are presented anddiscussed among stakeholders.

7. Services rendered by the Organization

This chapter contains a description of the information and equipment that will be putat the disposal of the consultants, such as:

Reports, documents and other relevant dataVehicles and driversAccess to equipment (computers, telephone) and use of offices and furnitureCounterpart staffAdministrative support

The contracting authority undertakes to do everything possible to facilitate:

the granting of entry visas and the necessary work permitsexports/imports by the consultants.

8. Bibliography

This section shall contain a detailed description of available documents and literaturethat will contribute to a better performance of the contract.

In each of the phases, it is important to list the documents produced during thepreceding phases of the project.

The available literature and documents covering similar themes and projects can alsobe listed in the bibliography.


SECTION 3Annexes

1. Template of Terms of Reference (service contracts)The standard template for Terms of Reference indicated below is available on EuropeanCommission Europeaid web site http://ec.europa.eu/europeaid/tender/ practical_guide_august2006/annexes_services_en.htm

See Annexes to the Practical Guides - Annex "Standard service tender dossier" underSection B.

This template is periodically reviewed and consequently subject to change to complywith the latest procurement rules and administrative guidelines of the EC (PRAG)

[How to complete these standard Terms of Reference: The elements within <> brackets must be completed with the informationindicated, as appropriate for each tender procedure. The phrases within [ ] brackets should only be included if appropriate. All othertext should only need to be amended in exceptional cases, depending on therequirements of particular tender procedures. In the final version of each set of Terms of Reference, please remember to deletethis paragraph, any other text with yellow highlighting and all such brackets.]

<Table of content to be inserted >

1. BACKGROUND INFORMATION

1.1. Beneficiary country< Name >

1.2. Contracting Authority< Name >

1.3. Relevant country background< Provide an overview of the particular characteristics of the country which are relevantto the operation of the proposed project. This should include any global and nationaleconomic and social factors which may affect the proposed project. >

1.4. Current state of affairs in the relevant sector< Describe the current situation in the sector or institutional area in which the proposedproject will operate. This section should be no longer than half a page. Include:

national/local policies and strategies and/or economic data for the sector orinstitutional area;the origin and immediate history of present organisational structures,

institutions and operating systems in the sector or institutional area; and, ifappropriate and not covered elsewhere in these Terms of Reference,responsibilities and mandate of institutions;human resource capacity and constraints;infrastructure development;market development;information systems and flows;priority setting and decision making;access to identified, priority social groups;financial structures and flows. >

1.5. Related programmes and other donor activities:< Identify and describe the link, if any, between the proposed contract and the activitiesand programmes of other sources of external assistance in the same sector >

2. CONTRACT OBJECTIVES & EXPECTED RESULTS

2.1. Overall objectivesThe overall objectives of the project of which this contract will be a part are as follows:• < objective 1 >• < objective 2, etc >

2.2. Specific objectivesThe objectives of this contract [which are not necessarily those of the project] are asfollows:• < objective 1 >• < objective 2, etc >

2.3. Results to be achieved by the Consultant< These may be presented either in order of importance or in chronological order, asappropriate >• < result 1 >• < result 2, etc >

3. ASSUMPTIONS & RISKS

3.1. Assumptions underlying the project intervention< Insert elements from the Logical Framework prepared for the project as part of theFinancing Proposal >

3.2. Risks< Insert elements from the Logical Framework prepared for the project as part of theFinancing Proposal >


4. SCOPE OF THE WORK

4.1. General4.1.1. Project description< As appropriate but with a recommended maximum of 2 pages >4.1.2. Geographical area to be covered< As appropriate >4.1.3. Target groups< As appropriate >

4.2. Specific activities< A clear and detailed list of tasks to be undertaken in order to achieve the contractobjectives and/or consultant's job description. The tasks should be listed either in orderof importance or in chronological order. They should include any reports which theConsultant must prepare (in addition to the interim and final reports referred to inSection 7.1 of these Terms of Reference). Any tasks requiring specific expertise shouldbe clearly identified. If appropriate, the time schedule for completion of the variousactivities should be stipulated here.This section should contain only major managerial, economic, institutional, andtechnical requirements (+criteria) regarding this project’s activities. It may address thequestion of phasing of the project, or its organisation into distinct components. Itshould not be too prescriptive. It is up to tenderers to prepare their own detailedorganisation and methodology and technical proposals such that they fulfil the generalrequirements described in these Terms of Reference.For contracts which include an element of supervision of progress of contractors onother contracts (eg, works or supplies), the tasks of the supervisor should include adescription of the types of control which he/she must carry out. When the supervisorissues a certificate, he/she must be satisfied that relevant, reliable and sufficientevidence exists that:

the tasks have been properly performed; andthe amounts claimed by the contractor(s) have actually and necessarily been incurredin accordance with the requirements of the contract he/she is supervising.

In preparing this section, particular attention should be given to ensuring thesustainability and dissemination of project results. The Consultant must also observethe latest visibility guidelines concerning acknowledgement of EC financing of theproject. >

4.3. Project management

4.3.1. Responsible body< Identity of the specific department of the Contracting Authority / beneficiary country(or its relevant agent, if appropriate) which will be responsible for managing thecontract / project >

4.3.2. Management structure< Describe the management structure of the Contracting Authority /beneficiary country administration, including all relevant decision-making


processes which may be involved in managing this project. Include information on thebasic management structure of the project (eg, Project Management Unit, SteeringGroup) and project planning. Identify those decisions which may be taken by theProject Manager alone (as identified in Article 8 of the Special Conditions) and thosewhich he/she must refer, for example, to a more senior colleague or project steeringcommittee >

4.3.3. Facilities to be provided by the Contracting Authority and/or other parties< As appropriate >

5. LOGISTICS AND TIMING

5.1. Location< Identify the location (ie, city/town) of the operational base for the project, any otherlocation(s) where it may be appropriate for short-term inputs to be provided and/orwhere pilot projects may be established (eg, regions or neighbouring countries withwhich cross-border co-operation is encouraged) >

5.2. Commencement date & Period of executionThe intended commencement date is <date> and the period of execution of thecontract will be <number > months from this date. Please refer to Articles 4 and 5 of theSpecial Conditions for the actual commencement date and period of execution.< If the intention is to award a contract for additional services depending on theoutcome of the initial contract, such as for the second phase of a study or operation, thismust be stated here. The possibility of additional services being procured by negotiatedprocedure and their estimated cost must be clearly indicated, if appropriate. >

6. REQUIREMENTS

6.1. Personnel6.1.1. Key expertsAll experts who have a crucial role in implementing the contract are referred to as keyexperts. The profiles of the key experts for this contract are as follows:< Identify the profiles sought for all key experts up to a recommended maximum of 6key experts - otherwise the maximum scores will be negligible and evaluation will bedifficult. The skills required may include professional technical skills, team managementskills, communication skills, and/or language skills as appropriate. While it is notnecessary to identify all key positions in detail, it is recommended to be as clear aspossible to guarantee a fair technical evaluation. Remember to set the scores in theevaluation grid accordingly. It is recommended that the precise time inputs of theexperts be left to the discretion of tenderers. However, it may be useful to identify someabsolute minima for the contribution of key experts to be considered appropriate. >< The minimum percentage of time which experts should work in the beneficiarycountry could be specified, eg 75%, to limit the possibility that experts spend a largeproportion of their time outside the beneficiary country to which they are supposedlygiving technical advice. >


Key expert 1: Team LeaderQualifications and skills< As appropriate >General professional experience< As appropriate >Specific professional experience< As appropriate >

Key expert 2: < eg Senior legal expert >Qualifications and skills< As appropriate >General professional experience< As appropriate >Specific professional experience< As appropriate >

Key expert 3: < etc >

Guidance notes on expert inputs

1) Working days: performance of the contract (and therefore payment) is based onworking days only. The Consultant will only be paid for days actually worked on thebasis of the daily fee rate contained in the budget breakdown (annex V). Tenderers mustannex the 'Estimated number of working days' worksheet contained in the spreadsheetfor Annex V to their Organisation and Methodology (Annex III) to demonstrate thecorrespondence between the proposed methodology and the expert inputs.It is unnecessary to stipulate what the holiday provision for the experts will be. Thisis for the tenderer to decide. The annual leave entitlement for long-term experts issimply limited to a maximum of 60 days.A fee-based/technical assistance contract is, by definition, one in which the actualdays worked each month for each category of experts may differ from the numberof working days estimated for each month in the organisation and methodology andthe budget breakdown.The actual input required for the tasks specified in the Terms of Reference can onlybe determined in the course of the contract.During the technical evaluation, the only aspect that should be considered for thenon-key experts is whether the number of working days estimated for each monthfor each type of expert proposed in the Organisation and Methodology (Annex III) aresufficient for the requirements of the Terms of Reference to be achieved. This isjudged on the basis of the profiles identified in the Terms of Reference and/or theOrganisation and Methodology.

2) The annual leave entitlement of the experts employed by a service provider isdetermined by their employment contract with the service provider and not by theservice contract between the Contracting Authority and the Consultant. However,the Contracting Authority is able to determine when experts take their annualleave since this is subject to approval by the Project Manager, who will assessany such request according to the needs of the project while the contract


is in progress. For obvious reasons, a day of annual leave is notconsidered to be aworking day. All this is clearly stated in the General Conditions:

Article 21 Working hoursThe days and hours of work of the Consultant or the Consultant’s personnel in the countryof the Contracting Authority shall be fixed on the basis of the laws, regulations andcustoms of the country of Contracting Authority and the requirements of the services.

Article 22 Leave entitlement22.1 Annual leave to be taken during the period of execution of the contract must be

at a time approved by the Project Manager.22.2 For a fee-based contract, the fee rates are deemed to take into account the annual

leave of up to 2 months for the Consultant’s personnel during the period ofexecution of the contract. Consequently, days taken as annual leave shall not beconsidered to be working days.

22.3 The Consultant's personnel shall not be entitled to either sick or casual leaveprovided, however, that the Project Manager may, at his sole discretion whether forcompassionate reasons or otherwise, permit the Consultant to take unpaid leaveduring the period of execution of the contract.

Everything is based on working days to avoid getting involved in identifying whenworking weeks, national holidays, etc are in the beneficiary country of a given contract. The fee rates for all experts must include all the "administrative costs of employing therelevant experts, such as relocation and repatriation expenses [including flights to andfrom the beneficiary country upon mobilisation and demobilisation], accommodation,expatriation allowances, leave, medical insurance and other employment benefits accordedto the experts by the Consultant". This is why no further precision of annual leave entitlementmust be mentioned in the service contract.It is important, though, to establish how many times each short-term expert is to bemobilised (since travel is included in the fee rate, the number of flights will have animpact on that fee rate).

3) The schedule of estimated numbers of working days which must be attached toAnnex III provides a direct basis for calculating the maximum contract value. TheProject Manager can use the updated cashflow monitoring spreadsheet submittedby the Consultant with its invoices to monitor the actual numbers of working dayssubmitted in invoices and to check that the contract is progressing within budget.This is very useful from a financial management perspective.Since the estimated working days are on a monthly basis, the spreadsheet can be usedto provide an early indication of any problems during contract implementation,especially since it automatically calculates variances from the original estimates. Usually,the Project Manager should be able to see and explain why variations have occurredbut, if not, he/she can investigate further. This is basic management accounting.

6.1.2. Other expertsCVs for experts other than the key experts are not examined prior to the signature ofthe contract.

They should not have been included in tenders.


The Consultant shall select and hire other experts as required according to the profilesidentified in the Organisation & Methodology <and/or these Terms of Reference>. Theseprofiles must indicate whether they are to be regarded as long-term/short-term,international/local and senior/junior so that it is clear which fee rate in the budgetbreakdown will apply to each profile. For the purposes of this contract, internationalexperts are considered to be those whose permanent residence is outside thebeneficiary country while local experts are considered to be those whose permanentresidence is in the beneficiary country.The Consultant should pay attention to the need to ensure the active participation oflocal professional skills where available, and a suitable mix of international and localstaff in the project teams. All experts must be independent and free from conflicts ofinterest in the responsibilities accorded to them.The selection procedures used by the Consultant to select these other experts shall betransparent, and shall be based on pre-defined criteria, including professionalqualifications, language skills and work experience. The findings of the selection panelshall be recorded. The selection of experts shall be subject to approval by theContracting Authority. Note that civil servants and other staff of the public administration of the beneficiarycountry cannot be recruited as experts.

6.1.3. Support staff & backstopping< As appropriate >.[If the contract is a fee-based contract:Backstopping costs are considered to be included in the fee rates.[If the contract is a fee-based contract and the support staff are to be provided by theConsultant:The costs of support staff must be included in the fee rates of the experts.]

6.2. Office accommodationOffice accommodation of a reasonable standard and of approximately 10 square metresfor each expert working on the contract is to be provided by < the Consultant / thebeneficiary country / the Contracting Authority >.[If the contract is a fee-based contract and the office accommodation is to be providedby theConsultant:Option 1:The costs of the office accommodation are to be covered by the fee rates of the expertsOption 2:The costs of the office accommodation are to be covered by the provision for incidentalexpenditure. The cost per square metre must be in line with the prevailing localmarket rate for office accommodation of a reasonable standard.]

6.3. Facilities to be provided by the ConsultantThe Consultant shall ensure that experts are adequately supported andequipped. In particular it shall ensure that there is sufficient administrative,


secretarial and interpreting provision to enable experts to concentrate on their primaryresponsibilities. It must also transfer funds as necessary to support its activities underthe contract and to ensure that its employees are paid regularly and in a timely fashion.< State what will be required in terms of supplies, services, documentation, logisticalsupport, etc for the success of the contract, indicating the source (ie, Consultant /beneficiary country / Contracting Authority / … ). The maximum detail should beprovided, especially for those elements which are to be provided by the Consultantwithin the fee rates of its experts. >If the Consultant is a consortium, the arrangements should allow for the maximumflexibility in project implementation. Arrangements offering each consortium partnera fixed percentage of the work to be undertaken under the contract should be avoided.

6.4. EquipmentNo equipment is to be purchased on behalf of the Contracting Authority / beneficiarycountry as part of this service contract or transferred to the Contracting Authority /beneficiary country at the end of this contract. Any equipment related to this contractwhich is to be acquired by the beneficiary country must be purchased by means of aseparate supply tender procedure.[If the contract is a fee-based contract

6.5. Incidental expenditureThe Provision for incidental expenditure covers the eligible incidental expenditureincurred under this contract. It cannot be used for costs which should be covered by theConsultant as part of its fee rates, as defined above. Its use is governed by the provisionsin the General Conditions and the notes in Annex V of the contract. It covers:

Travel costs and subsistence allowances for missions to be undertaken as part of thiscontract from the base of operations in the beneficiary country Do not give anyfinancial estimate< Item 2, etc Do not give any financial estimate >

The Provision for incidental expenditure for this contract is EUR < amount >. Thisamount must be included without modification in the Budget breakdown.Any subsistence allowances to be paid for missions undertaken as part of this contractfrom the base of operations in the beneficiary country must not exceed the per diemrates published on the Web site http://europa.eu.int/comm/europeaid/index_en.htm atthe start of each such mission.]

Guidance notes on estimating the Provision for incidental expenditureAll costs relating to the provision of international experts (including travel to/from thebeneficiary country and subsistence once there, apart from missions specified in theseterms of reference) must be included in the fee rates. The explicit explanation in thenotes to the budget breakdown is as follows:

the provision for incidental expenditure does not cover travel to/from thebeneficiary country for international experts (other than for missions within thecontract)

These mobilisation and demobilisation costs are included in the fee rates. In this respectthere is no distinction to be made between long-term and short-term experts. The onlyper diem rates and travel costs which should be covered by the provision for incidental



expenditure are those relating to missions from the base of operations in thebeneficiary country which are required by these Terms of Reference.

the subsistence paid to experts on missions requiring an overnight stay away fromthe base of operations in the beneficiary country must not exceed the per diem ratepublished on the Web site http://europa.eu.int/comm/europeaid/index_en.htm foreach night away from the base of operations

Remember that the amount determined in the Terms of Reference as the Provision forincidental expenditure is simply an upper limit on the incidental costs. It need not be estimatedexactly and it does not matter that the actual costs are more or less than the estimated amountsof the components, provided that a reasonable margin of error has been allowed.No detailed calculation of the provision for incidental expenditure must appearanywhere in the Terms of reference or in the tender dossier, otherwise theamounts identified become legally binding.

7. REPORTS

7.1. Reporting requirementsPlease refer to Article 26 of the General Conditions. Interim progress reports must beprepared every six months during the period of execution of the contract. They mustbe accompanied by a corresponding invoice.There must be a final progress report and final invoice at the end of the period ofexecution. The draft final progress report must be submitted at least one month beforethe end of the period of execution of the contract. Note that these interim and finalprogress reports are additional to any required in Section 4.2 of these Terms of Reference.[If the contract is a fee-based contractIn addition, an updated financial report must be submitted with each of the aboveprogress reports. The updated financial report must contain details of the time inputsof the experts and of the incidental expenditure. The final progress report must beaccompanied by the final invoice and an audit certificate (as defined in Article 30 of theGeneral Conditions and in accordance with the template in Annex VI of the contract)confirming the final certified value of the contract.]

7.2. Submission & approval of progress reports< Number > copies of the progress reports referred to above must be submitted to theProject Manager identified in the contract. The progress reports must be written inEnglish. The Project Manager is responsible for approving the progress reports.

8. MONITORING AND EVALUATION

8.1. Definition of indicators< Specific performance measures chosen because they provide valid, useful, practicaland comparable measures of progress towards achieving expected results. Can bequantitative: measures of quantity, including statistical statements; or qualitative:judgements and perception derived from subjective analysis >

8.2. Special requirements< As appropriate >

2. Checklist for Terms of Reference (service contract)

1. Background information

Does the information in this sector provide you with an adequate understanding of:

the current project environmentwho are the partner institutions and beneficiaries which have an interest in theprojectthe key problems to be addressed by the project/assignmentwhat progress has been made or actions undertaken, if any, to date to try to improvethe situationother related projects and donor activities.Project related data, e.g. geographical data target groups, category of services to berendered.

2. Description of the assignment

Specific objectives:

Does this section clearly and logically defines:the overall project objectives and how they will contribute to achieving programmeobjectives the purpose of service/assignment and how it can contribute to improving thecurrent situation

Results to be achieved by the Consultant:Does this section contain quantified objectives?If so, is there a clear linkage between targets set and the quantification of objectives?what will be produced as a result of the tasks/activities undertaken by the consultantscan these outputs be verified and measured

3. Methodology

Is detailed information provided with respect to:The methodology to be used and tasks to be undertaken (tasks are detailed in section6 of the ToR) Responsibilities for the contract performance, finances, expenditures and reports andmethod of co-operation between the contracting authority and contractor.the time schedule needed to implement the projectduration of the assignmentplace(s) where the services are to be delivered

4. Expertise required

Does this section provide adequately detailed information with respect to:

Profile of the consultants:the technical expertise required of key personnelminimum years of experience required for each


other qualifications (i.e. advanced university degree, languages, writing analyticaland inter-personal skills, etc).

Inputs by the consultants:clear definition of the man days/man months required to undertake the work

5. Reporting requirements

Are all required reports specified such as:Inception report, progress reports, final reportOthers as may be required by the projects (feasibility study, terms of reference, etc.)

6. Workplan and timetable

Does this section provides adequately detailed information with regard to:A clearly set out and detailed list of tasks to be undertaken in order to reach theobjectives of the project and/ or consultant’s job description.

These should be listed in order of importance or in chronological order. If appropriate, the time schedule for completion of the various activities should bestipulated here.

7. Services rendered by the organisation

Does this section provide information on:

Facilities to be provided for the project:if facilities are to be provided by the Consultant, are these clearly defined and specifiedcontribution of the recipient institution (i.e. office space, telephones, support staff, etc.)

Equipment:information about equipment to be purchased (only if strictly necessary for the project)

Incidental expenditure:if incidental expenditures are clearly specified and in accordance with the guidancenotes provided by the EC interim template


3. Terms of Reference for a Study on CompanyManagement Training Needs

1. BACKGROUND

The years of political uncertainty, marked by conflicts and economic sanctions have takentheir toll on Serbia’s economic prospects and made it into market foreign investors andcompanies are still wary to enter. The situation has significantly improved after thedemocratic changes in 2000 but much remains to be done if Serbia is to realize its potentiala driver of trade and industry in South-East Europe.

Under the CARDS programme, the EU has actively supported the enterprise developmentsector. Some of the most significant programmes include support to SMEs (working with theGovernment to develop national policies to promote the development of SMEs and settingup institutions at national and regional levels). A network of regional enterprisedevelopment centres and sub-centres was funded with the aim to assist entrepreneurs andexisting businesses.

To help local businesses develop, the EU has supported the ‘Turn Around Management’(TAM) programme, jointly managed by the European Agency for Reconstruction and theEuropean Bank for Reconstruction and Development (EBRD). The TAM programme hasformer EU senior managers working with local enterprises and improving managementskills of Serbian entrepreneurs.

The EU also supported the Ministry of Economy and the National Agency for SMEDevelopment with the implementation of the national SME strategy and the EuropeanCharter for Small Enterprise as well as with development of a national innovation policy.Furthermore, assistance is also provided to the Government to help set up a cost-sharingEnterprise Development and Innovation Fund scheme and provide additional support tothe existing network of regional SME development centres.

To further assist the SME sector in Serbia the EU helped finance credit facilities i.e. theRevolving Credit Fund and the European Fund for Serbia (the latter is a micro-enterprisecredit facility managed by Germany’s KfW). In both instances, funds are on-lent to privatebusinesses through local commercial banks, meaning private enterprises can receivemedium-term loans in order to increase business and employment. Together these twoprogrammes have created more than 3.000 new jobs.

[Institution Name] has managed a programme to fund institutional strengthening and cost-sharing export promotion programmes (Serbian Export Marketing Development Schemeand the Serbian International Business Linkages Scheme) with the Serbian Investment andExport Promotion Agency (SIEPA). International trade related training was provided for 247companies. By assisting SIEPA and implementing the investment promotion programmethe EU gave its share in the effort to improve Serbia’s FDI prospects and put it on the foreigninvestors’ map again.

Finally, the EU has provided support to the privatisation and restructuring process in Serbiaand the Serbian Privatisation Agency.


When it comes to training of entrepreneurs, it is evident that there have been manyinitiatives in this area both on the side of the EU and other donors. However, as businessenvironment and circumstances in Serbia are rapidly changing to meet the challenges oftransition to market economy local businesspeople will find it more and more difficult toadjust to the demands of the best EU business and management standards. One way ofaddressing this short-fall with their EU counterparts is by offering them training by meansof an already developed and tested approach such as the Tacis Managers' TrainingProgramme (MTP).

(See http://www.tacis-mtp.org/documents/english/english.htm)

The Managers’ Training Programme

The Managers' Training Programme (MTP) is an EU funded programme with the aim ofimproving the economic prospects of a country by sending company managers for trainingand internships in EU companies. In this manner the selected managers are able to get firsthand experience of best EU management practices and developments in their chosenindustry/sector and afterwards use that experience in managing their own companies. Theprogramme provides the opportunity for selected managers to expand their network ofbusiness contacts not just in the country providing the training but in other countrieseligible for MTP programmes.

At present the MTP offers 4-week study tours and 8- and 12-week internships in the EU. Alltrainees participate in seminars on general business practice and economic issues of the EU.

Furthermore, MTP has initiated the so-called “Local MTP” – internships in the branches of EUcompanies based in the country. This provides an opportunity for participants to learn moreabout EU management approaches placed and implemented in a local setting.

2. DESCRIPTION OF THE ASSIGNMENT

2.1 BENEFICIARYThe Project Beneficiary/ies are managers of selected Serbian companies.

2.2.1 Global objectiveThe global objective is to improve the expertise of Serbian managers and businesspeople by exposing them to best European managerial practices in EU companies,enabling them to use the knowledge gained in improving their own businesses,network with EU companies and contribute to improving the overall businessprospects of Serbia.

2.2.2 Specific objectivesThe specific objectives of this study are the following:

From the perspective of the MTP model above assess the present situation ofsupply and demand of managerial training in Serbia;Determine the key competitive economic sectors in Serbia which wouldbenefit the most from training and internship programmes for managersvia an MTP type model;


Assess the support from the key stakeholders (Ministry of Economy, Ministry ofLabour, Chamber of Commerce, SIEPA, Ministry of International EconomicRelations, Foreign Investors Council) to ensure sustainability of the programmeand positive response from the companies in the identified sectors;Design a MTP specifically tailored for Serbia with regard to the country’s keycompetitive sectors and managerial training needs;Develop, design and cost an appropriate system to introduce the first round ofMTP opportunities for managers in Serbia;Prepare a Terms of Reference for an EU Service contract to support implementationof the MTP and a project fiche under Instrument for Pre-accession funding 2007conditions.

2.3.1 Requested servicesThe study team should carry out an analysis of the present situation regardingmanagerial training and internships with international companies, both abroad andwith EU companies at present in the Serbia. (both private and public funded). The analysis should include a needs assessment to determine the demand for training inthe following sectors (not exhaustive): Engineering, Construction, ICT, Financial and nonFinancial Services Agri-Food, Tourism/Hospitality, Transport/Logistics, Pharmaceuticals,Project Management Finally, the analysis should include an overview of the MTP completed so far underthe Tacis programme and determine lessons learnt for Serbia. This should alsoinclude necessary financial and organisational support frameworks for successfulimplementation.

2.3.2 Suggested methodology

The implementation of this project may of this include the following activities:Overall assessment and categorisation of the present situation with managementcourses/traineeships in the country. Analysis of existing legal, organisational,economic and financial frameworks. Interviews with key stakeholders including[Institution Name], Employers Associations, Serbian Chamber of Commerce,Ministry of Labour and Social Welfare, Ministry of Economy, National EmploymentService, Ministry of Education, private sector organisations, Foreign DirectInvestors (Foreign Investors Council). Identification of lessons learnt from the TACISMTP experience so far that can be adapted to Serbian conditions Develop and test system alternatives under Serbian conditions and theimplementation structures. Carry out a full cost, funding and implementationmodalities analysisPresent draft findings to contracting authority and agree adjustments/changes Produce a final report (in English) which includes the overall MTP type modelunder Serbian conditions, a Terms of Reference designed to EU standards whichwill support the introduction of the MTP and a completed project fiche/financingagreement to resource this initiative under the IPA 2007 programme.


2.4. REQUIRED OUTPUTS

Based on an analysis of key economic sectors that can most benefit from thisinitiative, assessment of existing needs for management training in Serbiancompanies, comparative lessons learnt from best EU practices in managementtraining and a fully costed, MTP programme in Serbia to be supported under IPA2007 funding conditions (Service ToR, Project Fiche and Financing Agreement)

This final report will consist of -

A fully designed MTP that can be readily launched under IPA funding conditionsand responds to identified managerial training needs of Serbian companies inkey economic sectorsA monitoring and quality assurance system that will assess success rate of MTP inSerbiaA Terms of Reference for Technical Assistance (EU standards) to support theproposed management training, completed IPA 2007 project fiche and financingagreement to fund the programme.

3. EXPERTS PROFILE

3.1 Number of requested experts as per category and number of person-days perexpert

Two experts will be required to carry out the services

Number of requested experts per category and number of man-days per expertExpert 1, Category II/Team Leader 60 working days (Team Leader)Expert 2, Category II/Senior Expert 50 working days (Human Resource Managementexpert)

3.2 Profile required (education, experience, references and category as appropriate)

Expert 1, Category II:Qualifications and skillsEducation to Masters Degree4 (where a university degree has been awarded oncompletion of four years study in a university or equivalent institution) with 10 years, orbachelors degree with 16 years, or18 years professional experience, in a relevant sector

General professional experienceAt least 10 years experience in the area relevant to assignment.

Specific professional experienceRelevant experience in managerial corporate training/internships. Experience withManagers’ Training Programme (MTP) or similar programmes is preferableGood understanding of the relationship between human capital and businesscompetitiveness


4 EPSO website/Annex 1, (http://europa.eu.int/epso/on-line-applications/pdf/guide-1242-171104en.doc)


Proven experience in drafting reports/assessments/evaluationsFamiliar with EU procedures and funding requirements

The following specific experience will be an advantage:Experience in working with the MTP under the TACIS ProgrammePreparation of ToRs in this sector, preparing documentation under EU fundingconditions, experience with PRAG and transition countries

Language skillsFluency in English both written and spoken;

Expert 2, Category IIQualifications and skillsEducation to Masters degree5 (where a university degree has been awarded oncompletion of four years study in a university or equivalent institution) with 10 yearsexperience, or bachelors degree with 11 years experience or 13 years professionalexperience, in a relevant sector

General professional experienceAt least 10 years experience in the area relevant to assignment.

Specific professional experienceStrong understanding of the Serbian labour market and enterprise sectorUnderstanding of the needs of the Serbian labour market and business sector withregard to management training needs. Ability to gather, prepare and analyse necessary statistical and qualitative data

Language skillsFluency in English and Serbian both written and spokenCivil servants and other agents of the public administration of the beneficiary country,regardless of their administrative situation, shall not be recruited as experts in contractsfinanced by the EC in the beneficiary country.

4. LOCATION AND DURATION (1 page max)

Starting period The indicative starting date will be 15 March 2007

Foreseen finishing period or duration Finishing date of the assignment is expected to be the 1 June 2007

PlanningThe field research will last for approx 4-5 weeks. Preparation of ToRs and IPAprogramming documents 2-3 weeks

5 EPSO website/Annex 1, (http://europa.eu.int/epso/on-line-applications/pdf/guide-1242-171104 en.doc)

Location(s) of assignmentThe majority of the fieldwork will be done in Belgrade; however some field trips outsideof Belgrade may be necessary.

No office space, equipment or access to communication facilities will be provided. Thisshould be provided by the Framework Contractor.

5. REPORTING

ContentA final report will be developed inclusive of associated ToR and IPA project fichedocumentation The report should be submitted (in hard and electronic copy) to the ContractingAuthority in early June 2007Experts will be expected to attend an initial briefing meeting as well as a debriefingmeeting with the Agency’s Programme Manager in order to plan and finalise themission.

LanguageThe working language for the project is English. The team should also have thecompetency in the Serbian language to conduct interviews and analyse data etc. whenrequired.

Submission/comments timingThe Experts will be expected to submit a proposed plan of action / inception reportone week after the initial briefing. The timing of all reporting will be agreed during the inception phase. Allreports/documentation should be submitted in draft format allowing 5 days forcomments

Number of report(s) copies All reports and documents requested shall be submitted in a hard copy andelectronically to the Programme Manager in Belgrade. A final report will be submittedin 5 hard copies and electronically.

All documentation should be addressed to:[Name and contact of project manager]It will be the responsibility of the Consultant to coordinate all the elements that arerelevant and to formulate and present sound and rational project proposal.

6. ADMINISTRATIVE INFORMATION

Other authorized items to foresee under ‘Reimbursable’For the purpose of performing these activities there is a provision forreimbursable expenditures. This budget will cover international travel, local


travel (i.e. car rental), translation, workshop and other cost necessary for theimplementation of the contract, all in accordance with the standard form for offer ofservices. The breakdown shall be given by the Consultant in his offer, in compliancewith the standard form.

Tax and VAT arrangementsOn the ground of the specific Council Regulations governing the concerned EC externalaid programme, VAT and any other local taxes and duties are excluded from theCommunity financing.

Interim payment(s) modalities, if any (only for a rider)N/A

OthersN/A


4. Terms of References for an Impact assessment ofthe [Institution Name] interventions in the HealthSector in Serbia (2000-2003)

1. BACKGROUND

Despite all the difficult factors during the 1990s (economic crisis, war, sanctions,bombing) in FRY (excluding Kosovo), all vital indicators improved during that timeperiod, according to data based on household surveys conducted by UNICEF in 2000.Under five mortality rate decreased by 29.5 percent while infant mortality ratedecreased by 31.5 percent to 11.23 deaths per 1000 live births in 2000. Today, lifeexpectancy at birth is estimated to be 69.8 years for males and 74.5 years for females.

According to the recent Public Expenditure and Institutions Review (PEIR, 23689-YU),public spending on health care in Serbia was close to 7 percent of GDP in 2001, andhas apparently been slowly decreasing over the past few years. When the estimates ofprivate expenditure will be added, the total health expenditure would range between9 and 11 percent of GDP - among the highest in the region and close to the levelsregistered by high-income countries.

Although the reform of the health sector, including the pharmaceutical sector has beenidentified as a key priority, the continuous shortage of resources and inherited crisismanagement practices, distract from systematic approach to reform and related long-term planning.

Despite the constraints on resources, health services in Serbia continue to provide acomprehensive, although poorly performing, range of primary, secondary and tertiaryservice across the 24 administrative regions.

The structure is complex and this has implications for support services such as theprovision of medicines. Two government authorities influence the pharmaceuticalsector in Serbia. The Federal Health Secretariat is responsible for legislation and fulfilsthe role of a regulatory body including import licensing, product registration, pricing(through Federal Ministry of Trade) and inspection. The Republic Ministry of Health isresponsible for the delivery of health services.

A new legal framework is being set up with EU assistance. This includes the newmedicine law, which was finalized in 2002 and should be adopted in early 2003. On thebasis of this law, a National Medicines Agency started operating in 2003.

An annual amount of 6-7 billion denars (~ €M 100), or 25% of HIF expenditure, is spenton medicines, but this is not sufficient and mismanagement in the past has made thesituation worse. The availability of medicines in state community pharmacies hasimproved in the last year, while supply remains critical in hospitals, with evidenceof poor planning and management, exacerbated by the severe shortage ofpharmacists and pharmacy support staff.


A number of other initiatives to improve medicines management (both locally initiatedand/or with international support) have started within the last year. At both primaryand secondary level there are pilot initiatives to introduce some control over prescribingand supply of medicines. Some, but not all, use IT. Initially reported results show thepossibility of considerable financial savings.

The HIF is improving medicines management through a new management informationsystem and the introduction of stricter reporting of prescribing and supply, to identifyareas of waste and to reduce misuse of the system.

[Institution Name] have been assisting the Health sector in a number of ways, startingfrom emergency aid and gradually changing the support in capacity building for theon-going Public Health System reforms.


2.1 General and specific objectives

General objectivesThe present evaluation will focus on providing with an impact assessment of activitiesfinanced by [Institution Name] during the period 2000-2003 (totalling € 61.1 million) inthe field of the pharmaceutical sector and the process development in Public Healthreforms through all related capacity building projects and investments. The list ofrelevant projects during the period 2000-2003 is attached.

Specific objectives:To assess the impact (ex post) of all interventions in the development of thepharmaceutical sector To assess the activities in the pharmaceutical sector according to these additionalevaluation criteria: relevance, efficiency, effectiveness, sustainabilityTo assess the design of the pharmaceutical development programme including theidentification and the implementation modalities and arrangements.To assess the change process initiated through [Institution Name] funding in thePublic Health System in SerbiaTo analyse potential effects and impacts of the new on-going reform projects in thePublic Health Sector

2.2 Requested services

To prepare an assessment methodology for the impact assessment of [InstitutionName] activities in the Pharmaceutical sector and in the Public Health systemTo organise two round-table discussions for both aspects of the impact evaluation(Pharmaceutical sector and Public Health System)To analyse all related documents from the programme, background documentation,terms of reference, project reports as well as other documents identifying centralissues relevant to the design, development and execution of the projects



To organise interviews with key staff in the [Institution Name]’s office, keystakeholders involved in planning and executing the projects, key beneficiaries, andany other relevant source of informationTo assess the situation for pharmacies in Serbia, with selected field visits and visits tokey sites in connection with the projectTo have a qualitative and quantitative analysis of all data from the organised surveyand interviews with relevant stakeholdersTo present findings, conclusions and recommendations in a final briefing in January 2005To make a single Impact Assessment report with findings, conclusions and recommendations

2.3 Expected results

The outputs of the experts’ assignment will be: An inception report, explaining the chosen approach and methodology and theproposed work plan.An impact evaluation and analysis of the [Institution Name]’s intervention in theHealth sector, highlighting the main themes described above and identifying anyother themes and issues, affecting project and programme performance.The organisation of two roundtable discussion meetings and a general briefingmeeting at the end of the assignment.A brief summary of each programme component, highlighting main activitiesundertaken.Collection and analysis of completed and on-going reviews and evaluations of theHealth sector in Serbia.Preparation of a draft evaluation report to be presented to the Evaluation Unit forcomments. A final report, incorporating the comments of the Evaluation Unit as well as thecomments and suggestions from the programme manager and main stakeholders.

3. EXPERTS PROFILE

The expert must be administratively self-supporting (i.e. office/computer facilities,accommodation, transport etc.).

Expert 1 (Pharmaceutical sector)The profile of the key expert is as follows:

A university degree in Pharmaceuticals, Medicine or equivalent discipline.At least 10 years of extensive experience of evaluation/implementation of medicalrelief programmes and actions, funded by the EU or similar donors. Experience canbe from directly related pharmaceutical programmes and/or from relevant healthprogrammes.Familiar with impact assessment techniques.Experience of working in a bilateral or multilateral organisational environment.Fluent command of English, including excellent report writing capabilities.

The expert will have to stay in the field without interruption for the duration of theassignment.Experience in working with local staff on multinational projectsExperience in evaluation techniques and/or design of comprehensive programmesfor health development programmes with a special focus on crisis situations.

Expert 2 (Public Health system)A public health professional with extensive international experience at senior level inpublic health policy and development, and institutional restructuring;Proven skills in public health research;Extensive experience with public health systems in transition countries; Experiencein conducting health system reform evaluation;Strong managerial and negotiating skills, preferably at government level;Good communication and networking skills; Fluent in English, knowledge of Serbo-Croatian would be an asset.

The evaluators will work with local assistants for part of the time of the assignmentand divide the tasks to ensure efficiency of the job, and the findings, reporting anddiscussions will be a joint effort of the team.

Analyst (10days)WHO staff member assisting the team with backstopping the analysis of the survey andother relevant statistical data.

Local Support PersonnelThree local assistants required for a period of 1month during December2004 andJanuary 2005. The local assistants will support the international experts in theevaluation and furthermore arrange meetings, transportation, collection andtranslation of documents, interpreting at interviews (if needed), participate in the roundtables etc. The local assistants should preferably have a university degree inPharmaceuticals, Health, Economics or equivalent discipline. Fluent command ofEnglish and Serbo-Croatian is a prerequisite.

4. LOCATION AND DURATION

Location: Belgrade and selected visits on site.

Starting date The assignment will start on the day following that on which the last of the two Partiessigned and will last for 21 days on site.10 days are foreseen during January 2005 for the analysis and drafting of the report. Theseactivities do not require presence in Belgrade; however, provisions should be made for atwo day debriefing session for [Institution Name] and stakeholders in Belgrade.

Finishing date of the assignment is the end of February 2005.

Schedule and number of days for the assignment per expertBoth International experts will spend 21 calendar days on site for the assignment; 10days are reserved for analysis and reporting.


The analyst will support the team for 10 days and is not required on site.The three local assistants will spend 30 calendar days each on site.

5. REPORTING

During the assignment, the experts will report regularly on their progress to theEvaluation Unit. The following reports are expected:

Three days after the start of the assignment a brief inception report should beproduced, detailing the Consultants’ understanding of the assignment and aproposed time table for executing the work. One Progress Report after completion of the missions on site should be sent to theEvaluation Unit not later than 15 January 2005.At the end of January 2005, the experts will present a draft report for internal Agencydiscussion. The draft report will be commented by the Evaluation Unit and a final report will beproduced by the experts at the end of February 2005.Reports should be written and presented in English. Translation services are foreseenduring the roundtable meetings and the final report has to be translated to Serbo-Croatian.Date of the final report submission: Before the end of February 2005.

Attached: List of projects under review (not attached in this example)


5. Terms of reference for expert advisory services tothe parliament of Serbia advisory committee forPoverty Reduction

Introduction

Following the successful process of PRSp preparation finalized by the adoption of thedocument by the Government of Serbia in October 2003, the Office of the Deputy PrimeMinister of the Republic of Serbia has been tasked by the new Government to take therole of overseeing and coordinating the implementation of the Poverty ReductionStrategy. In order to fulfil this task, a Deputy Prime Minister’s PRS Focal Point (hereinafterreferred to as: DPM PRS IFP) has been established.

Based on the PRS, the implementation is focusing on the three key objectives with theoverreaching goal of nearly halving the poverty in Serbia by 2010:

i. Dynamic development and economic growth with equity, focusing on job creationand higher personal income within a more competitive private sector;

ii. Prevention of new poverty as a consequence of economic restructuring by enablingcategories at risk to take advantage of new opportunities in the economy;

iii. Maintaining and improving the wider social safety net for the most vulnerable groupsand particularly in the least developed regions, through efficient implementation ofexisting programmes and definition of new programmes, measures and activities.

Serbia’s development priorities are mainly defined by two pillars—European Integrationprocess (EIp) and the implementation of the Poverty Reduction Strategy paper, whichare complementary and compatible. Hence, a major objective for the SerbianGovernment will be to turn development of Serbia in one reform process aligning andexploiting synergies between these two processes. Additionally, the PRSp is entirely inaccordance with the UN-set Millennium Development Goals, which constitute theoverall development benchmarks for the country.

Key principles for PRS implementation

PRS implementation is based on several key principles: mainstreaming of the PRS acrossthe reform process and relevant stakeholders, as well as participatory approach to PRSimplementation, drawing from experience during the preparation of the document.They also assume clear linkages with the European Integration process, as well as thestrong emphasis on local level implementation of the PRS.

1. Linking European Integration with PRS. Having in mind the multidimensional andmultisectoral character of both reform pillars in Serbia — European Integrationprocess and PRS—implementation phase of PRS is to be marked by continuousefforts to create effective linkages with the European Integration process. Thosewould look at the complementarity of the goals of European Partnership and Poverty


Reduction Strategy, and the alignment of PRSp with the European Social Inclusionagenda, especially given their similarity with the MDGs.

2. Mainstreaming assumes that the responsibility for implementation of PRS lay withinthe relevant state institutions according to their mandate. This further means that alllevels of authority share responsibility for PRS implementation, including: lineministries, central government institutions and bodies, local self-governments,Serbian Parliament, Parliamentary committees, etc.

3. Promoting National Ownership. Drawing on the positive experience from theconsultative process during PRS preparation, and with the goal of promoting long-term ownership of PRS, civil society will continue to play a significant role in bothPRS implementation and its monitoring and evaluation.

4. Emphasizing Local Level Implementation. PRS implementation efforts will be stronglyfocused on the level of local communities. Decentralization and public administrationreform in Serbia, will be linked to the PRS implementation, so that the PRSmainstreaming takes place in local institutions as well. LSGs’ efforts will becomplemented by the work of NGOs. Their coordination is encouraged, followingthe successful experiences of the projects done through the Social Innovations Fund.

Background

The PRS implementation was effectively initiated in mid-2004. Starting with November2005, the DfID provided further support for overseeing and coordinating theimplementation of the PRS in Serbia. A part of these funds is aimed at strengthening thesupport and capacities for the PRS implementation in the Parliament Advisory Committeefor Poverty Reduction (hereinafter referred to as Parliament AC), as one of the importantpartners in the PRS implementation and one of the most active PRS Advisory Committees.

During the PRS implementation process the DPM PRS IFP has initiated closecooperation with the Parliament AC, which has been actively involved in the PRSimplementation process and has established good cooperation with other PRS AdvisoryCommittees. The Parliament of Serbia adopted 50 laws recognized by the PRSp byAugust 2005. In the next period it is necessary to speed up the process of adoptingother PRS relevant laws and to make them pro-poor.

The Deputy Prime Minister’s Poverty Reduction Strategy Implementation Focal Point(DPM PRS IFP) wishes to contract a national expert to provide technical assistance tothe Parliament AC. The expert should possess extensive knowledge regarding Serbiaand EU legislation, should have had experience with public administration, should beknowledgeable on the processes of EI and PRS implementation processes, and shouldpossess good facilitation and communication skills.

Objectives

The objective of this assignment is to provide direct and continuous supportto the Parliament Advisory Committee for Poverty Reduction to fulfil its tasks


regarding the effective PRS implememtation: to review draft laws and other by-lawsand regulations and other PRS-related issues, to oversee the process of adopting andallocating PRS-related budget resources, to provide suggestions and evaluate the PRSimplementation process and to become more involved in the institutionalizationprocess and participation of citizen representatives in the PRS-related decision makingprocesses. The AC is also expected to improve and widen their cooperation with otherParliament Committees that deal with PRS relevant issues.

Outputs

The consultancy shall be developed in response to the need of improving theinvolvement of Parliamentary Committees in the PRS implementation process, mainlyby reviewing PRS draft laws and lobbying for specific laws that influence povertyalleviation. The consultancy shall enable more effective engagement of the membersof the Parliament in the PRS implementation process by building partnerships betweenParliamentary Committees and other PRS stakeholders. The outputs of this assignmentimply the following:

a. Support the Parliament AC to collect information on the current legislation in theParliament. This activity implies capacity building for reviewing draft laws enteringthe parliament procedure, analysis of laws already in the procedure in order to fullyconsider poverty reduction implications, providing guidelines regarding theharmonization of draft laws and similar necessary expert support.

b. Improve involvement of other Parliament Committees in reviewing PRS draft lawsand lobbying for specific laws that influence poverty alleviation;

c. Support to the Parliament AC to establish the Advisory Board (with the participationof other active PRS Advisory Committees – Civil Society AC, Local Self-GovernmentAC, Trade Unions AC and Business AC) and create forum for suggestions andcomments as well as better coordination related to the PRS implementation process;

d. Establish better information flow between the Parliament AC and the Joint project,MFIN and General Secretariat with the aim of improving integrated planning,implementation, budgeting and reporting.

e. Facilitate the provision of expertise to the members of the Parliament AC and keyPRS-related Committees of the Parliament of Serbia, including support to regularcommunication and information exchange (Committee for Education, Committeefor Labor, War-Veteran and Social Affairs and Committee for Local Self-Government).

Scope of work

General duties: The consultant shall have a specific set of skills and expertise. He/she shall haveresponsibility to provide expertise and other defined outputs, as well as to maintainregular consultations and contacts with the DPM PRS IFP, and other relevant PRSimplementation stakeholders.


The consultant shall define the approach to addressing the defined tasks, incooperation with the PRS IFP and the Parliament AC. The consultant shall gain acomprehensive understanding of the PRS implementation process. This shall includeunderstanding of the context provided in the background materials provided by theDPM PRS IFP and the Parliament AC.

Specific duties:a. The expert shall gain a comprehensive understanding and keep up to date with the

PRS implementation process;b. The consultant shall have regular consultations with: the PRS IFP, PRS Advisory

Committees, Parliament of Serbia’s key PRS-related Committees and Parliament’sCommittee for European Integration;

c. Support to the Parliament AC to hold regular meetings (every 2 months) withrepresentatives of other stakeholders in the PRS implementation (PRS AdvisoryCommittees, NGO sector, SCTM, business sector and labour unions).

d. The expert shall provide additional capacity building for the analysis of laws fromthe PRS standpoint;

e. The consultant shall expand the cooperation with other Parliament of Serbia’sCommittees and keep up to date about the laws in the procedure;

f. The expert shall define and improve the participation of the Parliament of Serbia inthe PRS implementation process by:

• Reviewing drafts of laws, other regulations and general documents from theaspect of PRS implementation.

• Monitoring the budget preparation and allocation process as related to thePRS implementation.

• Providing comments and assessments regarding the PRS implementationand activities on the institutionalization and participation of citizenrepresentatives in the PRS decision-making process.

• Giving guidelines and propositions harmonized with the PRS implementationcriteria.

• Work with other stakeholders that provide support to the Parliament of Serbiacommittees.

Duration of the Assignment

The assignment shall be delivered in the period April 1st – September 31st, 2006. Theexpertise shall comprise one national consultant. The consultant will work in theParliament of Serbia.

Reporting

Key contact person [contact information]

The consultant shall submit a 2-page report to the DPM PRS IFP on the course of theconsultancy process not later than September 31, 2006, in both English andSerbian.


Selection and Contracting

The selection process shall be undertaken on the basis of the following WB proceduresfor hiring individual consultants.

1) Candidates that express interest for the assignment (or the short listed candidates,if the short list is established) will be provided with the TOR and will be asked toprepare a narrative proposal outlining the suggested approach for deliveringconsultancy (1-3 pages), in both Serbian and English. This document should bepresented on interview, which will be a part of the evaluation procedures.

2) Final selection shall be done after interview on the basis of the following criteria:• Qualifications and experience of the consultants/ CV;• Quality of the narrative proposal with the suggested approach for delivering

consultancy.


6. Terms of Reference for review of arrangements tosupport the implementation of Republic of Serbia’sPoverty Reduction Strategy

Introduction[Institution Name] is seeking one or two consultants to undertake a broad institutionalreview which will make recommendations on how [Institution Name] and other donorsshould support the implementation of the Poverty Reduction Strategy (PRS) in theRepublic of Serbia.

BackgroundThe PRSp drafting process was initiated in Serbia in April 2002, and the final PRSdocument was adopted by the then Government in October 2003. The new SerbianGovernment, formed in March 2004, has expressed commitment to PRSimplementation, further proving the quality of the consultative process as well as thequality of the PRS paper itself. The Executive Directors of the World Bank Group’s Boardapproved the PRSp on the March 16, 2004, agreeing that this strategic documentprovides a credible roadmap for implementation. The PRSP highlighted the overreaching goal of nearly halving the poverty in Serbia by2010, focusing on three key objectives: iv. Dynamic development and economic growth with equity, focusing on job creation

and higher personal income within a more competitive private sector;v. Prevention of new poverty as a consequence of economic restructuring by enabling

categories at risk to take advantage of new opportunities in the economy;vi. Maintaining and improving the wider social safety net for the most vulnerable groups

and particularly in the least developed regions, through efficient implementation ofexisting programmes and definition of new programmes, measures and activities.

Serbia’s key development priorities are defined by two pillars — European Integrationprocess (EIp) and the implementation of the Poverty Reduction Strategy paper, whichare complementary and compatible. The latest World Bank’s Country Assistance Strategy (CAS) for the period 2005-2007 isfounded on the PRS, and the PRS implementation is seen as a precondition for further WBsupport for Serbia. World Bank analysis for its Country Assistance Strategy identifies that,despite recent economic growth driven by the informal sector, deep pockets of rural povertyremain. Access to social welfare, especially for the poor, has improved only marginally.The latest European Commission Мulti-Annual Indicative Programme 2005-2006 relieson the priorities defined in the PRS and underlines the complimentary character of thegoals of Serbia and Montenegro as defined in the European partnership and thepriorities identified in the PRS. Furthermore the PRS is in line with the MillenniumDevelopment Goals, their achievement being the obligation of Serbia andMontenegro as a UN member.


Earlier this year, a PRS Implementation Focal Point (IFP) was formed directly linked to theDeputy Prime Minister with a mandate to co-ordinate, oversee and facilitate PRSimplementation. It is currently staffed with …The PRS Implementation Focal Point defines its role as an agent of change and it isexpected to fulfil this role for a period of 18-24 months. In addition to proactively co-ordinating, overseeing, facilitating and reporting on the Government of Serbia’s effortsand achievements regarding the implementation of the PRS, a key focus will be to launchinitiatives, projects and processes that build sustainable capacity and systems within theCentral Government, line ministries, local self-governments and other stakeholders.Following a successful consultative process with civil society representatives during the phaseof PRSp preparation, the PRS IFP is to continue consultations with the reconstituted AdvisoryCommittees (ACs). ACs are self-constituted bodies representing interests of different groupsin Serbian society, which actively participated in drafting and commenting the PRSp. Thoseincluded: Parliamentary AC, Local Self-Government AC, International Development PartnersAC, Business Community AC, Civil Society AC, Trade Union AC. The PRSP envisioned a criticalrole for the ACs in both PRS implementation and monitoring and evaluation.

Donor supportDFID has been providing support to the development of the PRSP in Serbia which iscoming to an end this year. The purpose of this support was to enable the Governmentof Serbia to develop and coordinate an extensive consultation process, to launch apublic awareness campaign during and following the PRSP process and to create anenabling framework for bottom-up initiatives aimed at further strengtheningownership of the process at the local level. The Norwegian government and the World Bank, through it PRS Trust Fund, are also consideringthe modalities of further support to the PRSP and will engage closely with this review.(…)

Objective of the consultancyThis consultancy will provide recommendations to [Institution Name], the Governmentof Serbia and other key stakeholders, including [Institutions Names], on how they shouldprovide further support to the implementation, monitoring and review of the Serbia PRS.

Tasks Specific tasks for the consultancy are:

Gain a comprehensive understanding of the PRSP formulation process, progress inimplementing the PRSP since approval, and current and proposed institutionalstructures for implementation (sampling a range of government, non-government,and donor perspectives). This will include a review of background materials including:Serbia’s PRSp; the project memorandum for [Institution Name]’s previous support;the draft application to the World Bank’s PRS Trust Fund; the 2004 SIGMA report onthe Centre of Government in Serbia; the World Bank Country Assistance Strategy2004-07; the Serbia European Partnership; the Thessaloniki Poverty Forum outcomes;Мulti-Annual Indicative Programme 2005-2006, European Commission; Current


Budget Memorandum, Government of Serbia; Harmonization paper by MIER; SerbianEmployment Strategy; The joint PRS, SEIO, MFIN, MIER and GS project proposal; andStrategic framework for the PRS Implementation Focal Point. Analyse the overall institutional environment for policy making, financing andimplementation in Serbia, with particular attention to the arrangements formanaging the European integration process, in order to assess the opportunities formainstreaming the PRS, if possible in association with the EU integration processAssess existing/planned policy reform activity (supported by [Institutions Names]) relatedto strengthening the environment for PRS implementation, including progress in:

• developing comprehensive policy monitoring & reporting mechanisms(assessment methods & instruments; poverty analysis; institutionalarrangements; capacities; poverty and social impact analysis; disseminationmodalities for poverty data)

• reforming the budget process and linkages to the PRS (Ministry of Financeand[Institution Name] )

• identifying institutional options for strengthening a central governmentmechanism and capacities for policy planning and prioritisation[Institutions Names]

• developing pro-poor planning, budgeting and monitoring mechanisms &capacities in key PRS sector ministries (finance; health; education; infrastructure;employment, social protection [Institutions Names]

• developing accountability structures (e.g. work with Parliament; dissemination,public dialogue on poverty, and civil society involvement in monitoring activities)

Make recommendations on the best possible institutional arrangements for effectiveimplementation of the PRSIf appropriate, make initial recommendations on a mix of inputs to support theimplementation of the PRS; this might include: civil service posts; core advisorysupport (full-time or part-time); other short/medium term local or internationalconsultancy relating to technical areas (e.g. monitoring; planning; links to budgetprocess; links to European integration process; building public accountability on bothcentral and the level of line ministries); training activities; other operationalrequirements. This should cover possible support from [Institutions Name], andshould explore options for co-ordinating and harmonising this supportIf appropriate, capture the recommendations made under the bullet point above in theform of a two-page draft concept note ([Institution Name]will provide a model to follow).

ProcessAs well as a review of relevant documents (included those listed above), the consultantswill undertake:

Meetings in London with the [Institution Name] Meetings with the [Institution Name] Serbia team in BelgradeMeetings in Belgrade with key stakeholders from the government of the Republic ofSerbia; to include: the Deputy Prime Minister/ PRS Implementation Focal Point(Mihail Arandarenko, Lead PSR Advisor, Lars Skari, International PRS Advisor); theDirector of the Serbian European Integration Office (SEIO); the GeneralSecretariat; Ministry of Finance; MIER


Meetings in Belgrade with a sample of the PRS non-governmental stakeholders (forexample, representatives of the PRS Advisory Committees)Meetings in Belgrade with the World Bank Office, the Norwegian governmentrepresentative, the European Agency for Reconstruction and Development.Meetings and consultations with other relevant stakeholders.

Meetings will be suggested and organised by the PRS IPF in collaboration with theconsultants. If necessary, [Institution Name] Belgrade will provide further logistical support. The PRS IPF will provide a member of its team to accompany the consultants whereappropriate during their meetings in Belgrade.

Outputs and reportingAt the end of the work in Belgrade, the consultants will make an oral presentation oftheir preliminary conclusions to the Deputy Prime Minister’s Office, including PRSImplementation Focal Point, [Institution Name] Serbia and [Institution Name]’s Londonbased team. If possible, they will also present to other key stakeholders in Belgradeincluding the World Bank Office.The consultancy will deliver a report with executive summary to the Head of the[Institution Name] Serbia Office and the Deputy Prime Minister’s Office by 11 March2005. It will make recommendations on each of the points listed in the ‘tasks’ sectionof these ToRs and, if appropriate, include a draft concept note.

Timing, inputs and skillsThe review will take place during February 2005. The team will consist of two consultants. The consultancy would require a maximum of20 working days – 10 for each consultant. This will include approximately 5 workingdays in Belgrade.Between them the consultants will have:

Extensive knowledge of implementation of poverty reduction strategies, includingfinancing systems and structures, institutional arrangements, planning systems,poverty monitoring and reporting systemsComparative experience of the institutional development of ‘PRS units’, in particularapproaches to developing coordination roles for mainstreaming poverty reductionstrategiesExtensive knowledge of centre of government planning processes, ideally withparticular knowledge of the Republic of Serbia or other SE European countriesExtensive experience of institutional change processesKnowledge of poverty reduction strategies processes in transition country contextsKnowledge of European integration process and its specific dimensions in SoutheastEuropeThe ability to facilitate and manage a participatory process with a wide range ofstakeholdersGood interpersonal and negotiating skills, and the ability to present ideas andconcepts clearly and concisely.


7. Terms of Reference for preparation of athematic/cross-centre evaluation of EC support toInstitutional Capacity Building Terms of Referencefor international expertise to provide short-termtechnical assistance to the [institution name]forpreparation of a thematic/cross-centre evaluationof support to Institutional Capacity Building

1. BACKGROUND

The [institution name] is responsible for the management of EU assistance programmesin Serbia (…)

The immediate objectives of the EC-funded programmes managed by the [institutionname] are:

Good governance, institution building and the rule of lawDevelopment of a market economy while investing further in critical physicalinfrastructure and environmental actions Social development and the strengthening of civil society

These immediate objectives are expected to meet the long-term objective of preparingthe countries of the Western Balkan for future integration into the EU.

1.1 The [institution name]’s Evaluation Work

The rationale and operational framework of the Unit are contained in the EvaluationGuidelines6 approved by the Governing Board in May 2001 in accordance with Article4, paragraph 13 (a), of Council Regulation (EC) No.2667/2000.

The Guidelines emphasise the importance of the learning process and of evaluation asa management tool for improving the [institution name]’s performance. In this respect,the Unit has worked towards maximising benefits by combining institutional learningfrom internal and external evaluations.

Key findings, lessons learned and recommendations feed into programme planningand improved implementation. The Evaluation Unit follows up on implementation ofthe operational management response to evaluation recommendations.

The evaluations are conducted in a pragmatic, systematic and participatory way, andinvolve all relevant stakeholders. Each evaluation follows clear procedures outlined inthe Evaluation Guidelines, with a preparatory/inception phase, an evaluation missionon-site (including the presentation of the evaluation design) and a period set aside fordebriefing and reporting. The presentation of the final evaluation results follows astep-by-step approach allowing the consideration of comments from a wide range


6 Attached

of the [institution name]’s stakeholders. The reports are structured according to adefined outline.

In the future, the [institution name]’s evaluation programmes are planned to includethematic/cross-centre as well as programme/project evaluations. The Unit has engagedexternal consultants to assist with individual programme and/or project evaluations.The thematic/cross-centre evaluation is a rather new phenomenon which is expectedto play a more significant role in the years to come. Outcomes of relevant programmeand/or project evaluations will be an essential input for the combined sector andthematic evaluation to be executed under the present ToR.

Thematic evaluations deal with selected aspects or themes in a number of developmentactivities. These themes are often resulting from policy statements and sometimes alsocalled “cross-cutting issues”. This implies that they are to be systematically integrated inall sectors of support assistance, in all stages of a project cycle and in all aid forms.

Institutional Capacity Building (ICB) is such a “cross-cutting issue” repeatedly includedin support projects. Over the years, cross-cutting issues have been explored on aproject-by-project basis by including specific questions in project ToR’s.

Usually, thematic evaluations cut across different sectors, countries and aid forms. Theseevaluations represent a high level of complexity. They have proven useful instrumentsin providing experience and recommendations at the highest level of aggregation, i.e.the policy level.

In a thematic evaluation the subject may be analysed both in the context of a donordevelopment policy, but also international conventions, or recipient priorities andstrategies. Clearly, there will be methodological constraints in distinguishing betweenthe impact of donor initiatives vis-à-vis national activities and policies.

Thematic evaluations incorporate multidisciplinary subjects such as strategies,institution development, human resources strengthening, environmental issues,gender aspects or combinations of these.

The Evaluation Unit is now calling for external experts who will become responsible forexecuting a combined sector and thematic evaluation of a pre-selected number ofprojects currently under implementation in the four regions operating under the[institution name]7. Common denominator of the four projects is that all have in mindto strengthen the capacity of the institution in charge in order to make them operatein a more professional and independent way through increasing the skills andknowledge of the staff of the organisation. For the present assessment, the four projectsare all implemented within the field of Public Administration Reform (PAR).

2. OBJECTIVE OF THE ASSIGNMENT

The overall objective of the assignment is to come to a better future planning,preparation and performance of projects by comparing “cross-cutting issues” such asICB for different sectors and subject areas.


7 See Annex I to these ToR for a list of projects and brief project descriptions to be assessed under this assignment.

The specific objective of the current assignment is to execute a thematic/cross-centreevaluation of a pre-selected number of on-going projects in the four regions operatingunder the [institution name]. The four projects selected for this exercise have incommon that they are executed within the field of Public Administration Reform andaim to strengthen the capacity of the institutions they are supporting.

3. SCOPE OF WORK

The services to be executed will, among other things, include the following:Having a briefing and de-briefing session with the Evaluation Unit in Thessaloniki;Define the capacity strengthening elements under the pre-selected projects in linewith the definition used in the evaluation methodology;Thoroughly study all relevant background documentation (country policy papers,strategic documents, memoranda of understanding, project fiches, project ToR,project proposals and project progress reports) and make cross-references related tothe ICB component between the respective projects;Make a selection of core stakeholders playing a crucial role in the project preparationand implementation to be selected for interview sessions;Close co-ordinating of actions between the two teams of experts (see chapter 4:Expected Inputs) is necessary and frequent consultations and exchange ofinformation between findings required;Close co-ordination of actions between the expert teams and the Evaluation Unit isa prerequisite for a successful operation;Application of evaluation criteria to the ICB component in line with the methodologydeveloped by the Evaluation Unit;Fieldwork to collect relevant information following one or more of the instrumentsmentioned in the methodology;Data processing and analysis both in qualitative and quantitative terms. The evaluatorsshould especially take into consideration the indicators of achievement defined in theoriginal project fiche and link these to the actual outputs so-far produced;Making horizontal comparisons between the four on-going projects in relation tothe ICB component. Drawing lessons (both positive and negative), conclusions andrecommendations for improvement (both general, cross cutting recommendationsand specific, project oriented recommendations are expected);Reporting of findings following a fixed format in line with the [institution name]’sprevious and future assessments;Preparing and organising a workshop prior to completion of the assignment in whichthe major outcomes of the evaluation will be subject of discussion between theevaluation teams, the Evaluation Unit and the respective task managers responsiblefor monitoring the evaluated projects. The final result of the workshop should ideallybe a common approach to be applied by all OC’s in the planning, preparation andimplementation of programmes and projects that include an ICB component.

4. EXPECTED INPUTS

The Evaluation Unit is looking for a mixed team of four international expertsand four local assistants who will operate in teams. The four international


experts will be grouped into two teams of two experts. Each of the two teams will beresponsible for evaluating two projects. Team 1 will assess the projects in Serbia andMontenegro whereas team 2 will concentrate on the selected projects in Kosovo andFYR Macedonia. While preparing and executing the field visits, each team will beassisted by one local assistant who has thorough knowledge of the subject area, propernetworking contacts and will be able to make necessary arrangements for meetingswith project stakeholders on the spot. The respective local assistants will also functionas translator/interpreter during the fieldwork to be executed in the respective region.Local assistants will have to be selected carefully and be familiar with the sensitivepolitical situation of the respective region.

Although the evaluation experts will operate in two separate teams, it is of the utmostimportance that during the assessment period frequent contact and consultationsbetween the two teams will take place in order to be able to compare the findings andfinal results of the evaluation in order to come to overall conclusions andrecommendations. This implies that both teams will use a similar methodologyfollowing a framework developed by the Evaluation Unit. The methodology forms aninextricable part of the evaluation exercise.8

The budget for this evaluation comprise provisions for hiring of the four local assistants (onefor each operational centre in Serbia, Montenegro, Kosovo and fYR Macedonia) for a periodof 10 working days each in the period October – December 2003. The local assistants willassist the evaluation team in the evaluation and furthermore arrange meetings,transportation, collection and translation of documents, interpreting at interviews (ifneeded) etc. Such assistants should preferably have a university degree in Economics,(Public) Administration, MBA or equivalent discipline, experience with donor programmes,be familiar with impact assessment techniques, and should be from the regions coveredby the [institution name]– one expert from Serbia, one from Montenegro, one from Kosovoand one from fYR Macedonia. Fluent command of English should be a prerequisite.

5. EXPECTED OUTPUTS

The outputs of the expert’s assignment will at least be:

Background material collected, through analysis of relevant reports and documentationwith a focus on individual project performance and the “cross cutting issue” of ICB andfirst reflections made;Pre-defined surveys and/or specific evaluation questions based on backgroundmaterial to be drafted by the evaluators and discussed and formally endorsed by theEvaluation Unit;Based on study outcomes, a systematic data processing and analysis executed, andcommon denominators defined between the different projects analysed when itcomes to ICB;Identification of differences and similarities in approach and implementation relatedto the ICB component in the different projects;


8 The methodology to be used will be discussed intensely between the Evaluation Unit and the team ofexperts during the briefing session at the start of the assignment.

Both a quantitative and qualitative judgement of the success rate of each project interms of meeting the objectives and project outputs related to the indicators ofachievement identified;A concise evaluation report for each project separately describing in [institutionname]terms the on-going operations of the respective project under evaluation ascompared to the original objectives defined and outputs identified. A section ongeneral and more specific recommendations will form an inextricable part of the report.A concise report on the “cross cutting issue” of ICB focusing especially on commonexperiences faced with this issue and parallels (both positive and negative) to bedrawn between the four projects. What are the lessons to be learned and in what wayshould future initiatives be adjusted to increase the success rate if relevant. A sectionon general and more specific conclusions and recommendations will form aninextricable part of the report;Successful organisation of a workshop where findings of the thematic/cross-centreevaluation and future interventions will be discussed amongst relevant stakeholdersand proposed to the [institution name]for further action.Preparing workshop findings in a concise report.

6. PROFILE OF EXPERTS

Proposed experts will have the professional qualifications and experience required tosuccessfully cover all the activities as indicated in these ToR. The expert’ qualificationsshould basically be in one of the following subject areas:

Public Administration ReformEuropean integration or political sciencesMonitoring and EvaluationTraining ora combination of above four subject areas

Proposed experts will have the professional qualifications and experience required tosuccessfully cover all the activities as indicated in these ToR. Experts should at least have:

A proven track record in the subject area;Working experience of at least five years in evaluation assignments in CEE countriesis a requirement;Thorough knowledge about working procedures of EU programmes;Knowledge and experience in preparing and formulating EU project fiches and EUproject design schedules;Highly familiar with project cycle management techniques (including the logicalframework approach) and monitoring and evaluation formats;Familiarity with the current SAP in the Balkans will be an advantage;Thorough knowledge of PC programme systems (word processing and data analysisprogrammes);Fluent command of the English language, including excellent reporting capabilities;

The category 1 expert of team 1 will be nominated as team-leader during the entireevaluation assignment. The team-leader will, in addition to above requirements,also have the following specific qualities:



Excellent managerial and communicative skills;Capable of leading a multi-national team of experts;Ability to guarantee the requirements as described in the present ToR

6.1 Category of Experts

The selected leaders of the evaluation teams (one of them being the overall projectteam-leader), being international experts, should have at least 15 years of professionalexperience (category 1) and be highly familiar with the subject areas and haveundertaken similar evaluation studies as described under these ToR.

The two other identified international experts should have a professional experience of10 years (category 2) and familiar with the subject area and evaluation studies asdescribed under these ToR.

The working language of the assignment is English.

7. REPORTING

The Consultants are expected to report to their contact person within the EvaluationUnit in the [institution name]according to the following schedule:

Within three days after the start of the assignment, the team of evaluators will submitan action plan describing in a detailed way how the activities to be completed withinthe project implementation period are planned, including a description of the projectmethodology to be used, possible problems to be encountered and proposals toovercome them, indicators of achievement, and a matrix of compliance. The actionplan will be discussed with the staff of the Evaluation Unit and requires the fullendorsement of the Unit before the next stage of the assignment can start.Each evaluation team is expected to complete, on a weekly basis, a project sheet,indicating the progress the project has made during the implementation stage.Project sheets (including annexes) should not exceed more than 5 pages each andwill be submitted to the Evaluation Unit in Thessaloniki at the end of each week ashard copy or through e-mail if the experts are operating in the field.Draft project evaluation reports will be submitted 5 days before completion of theassignment and thoroughly discussed with staff of the Evaluation Unit. A draft thematic evaluation report will be submitted 5 days before completion of theassignment and thoroughly discussed with staff of the Evaluation Unit.Subsequently, the draft versions of both the sector and the thematic evaluationreports will be adjusted accordingly and final versions of both reports will besubmitted to the Evaluation Unit prior to finishing the first part of the assignment.

The international experts, who will be in charge of organising and facilitating the finalworkshop, will have the duty to prepare a completion report about the main findings,observations and recommendations made during the January 2004 workshop.

8. SCHEDULE OF THE ASSIGNMENT

The starting date of the assignment is set to be at 29th October 2003.

The leaders of both evaluation teams (category 1 experts) are expected to prepare,organise and facilitate a workshop in which the main findings, conclusions and futureactions of the evaluation will be discussed. The workshop is expected to take place inthe second part of January 2004. Both experts will be allocated 5 extra working days(including travel) for the organisation and implementation of this workshop. Theworkshop will take place in Thessaloniki and the exact date will have to be agreed uponwith the Evaluation Unit.

Within the contracting period, the following number of days is attributed to thedifferent experts:

Team1 (Serbia and Montenegro)International expert category 1: 40 daysInternational expert category 2: 30 days

Team 2 (Kosovo and FYR Macedonia)International expert category 1: 35daysInternational expert category 2: 30 days

Each team will in addition have a local assistant available for 10 working days.

Working days (for international experts only) will be spent as follows:Briefing at the [institution name] headquarters in Thessaloniki with staff of theEvaluation Unit (1 day);Desk research at the [institution name] headquarters (4 days);Preparation and streamlining research method (2 days);Field trips to the respective OC’s to collect relevant data on the sector and thematicissues following the project list attached to these ToR (12 days);Processing and analysing collected data and draft report writing (5 days);Submission of draft evaluation report to be discussed with staff of the Evaluation Unit(1 day);Fine-tuning evaluation report (2 days);Submission of final report and debriefing at [institution name] with staff of theEvaluation Unit (1 day).Preparation, organisation and facilitation of concluding workshop attended by staffof the Evaluation Unit, relevant task managers, programme officers andrepresentatives of the quality assurance units, to be organised in Thessaloniki in thesecond half of January 2004 (3 days for the category one international experts).International travel (2 days). In case of the international experts who will prepare theconcluding workshop, two additional days for international travel will be added.The overall project team-leader will be allocated an additional five (5) working daysfor streamlining and editing the progress and final reports.

The local assistants will operate from the OC where they have been contractedand have a total allocation of 10 days each.


Experts should notice that all days identified under the present assignment must be spentin the region, including the data processing, analysis and report writing exercises.

It will be left to the Experts and the teams to make a task division especially when itcomes to integrating the collected information in the two evaluation reports. It isrequested that the documentation/information gathered to be returned to theEvaluation in a fully completed and organised way.

Experts will be administratively self-supporting (i.e. office/computer facilities, transport etc.).

The overall team-leader will continuously stay in touch with the Evaluation Unit inThessaloniki. Problems encountered will be discussed first with the Unit before actionis taken.

The Evaluation Unit will make sure that the OC’s are informed adequately and in timeabout the start of the assignment.


8. Terms of Reference for Thematic, Cross-centreEvaluation of the [institution name] VocationalEducation and Training (VET) Interventions

1. BACKGROUND

The [institution name] is responsible for the management of the main EC assistanceprogrammes in Serbia and Montenegro (the Republic of Serbia, Kosovo9, and theRepublic of Montenegro) and the Former Yugoslav Republic of Macedonia.

The objectives of current EC-funded programmes managed by the [institution name]are: (i) to support good governance, institution building and the rule of law, (ii) tocontinue supporting the development of a market economy while investing further incritical physical infrastructure and environmental actions and (iii) to support socialdevelopment and the strengthening of civil society.

The total sum of EC assistance managed by the [institution name]amounted at the endof 2004 to € 2.3 billion[…)

The [institution name]’s Evaluation Unit is part of the Programming and QualityAssurance Division. The Unit is now looking for a team of evaluation experts for a shortterm technical assistance in assessing the [institution name]’s VET interventions.

High unemployment and outdated vocational training are major obstacles for thestabilisation and economic growth of the Western Balkans. Competitive and dynamiclabour force is required. In order to overcome these obstacles the EC has providedsubstantial assistance to Serbia, Montenegro, Kosovo and fYR Macedonia in vocationaleducation and training.

The Government of Serbia is engaged in an economic restructuring process withimplications for the labour market, requiring a competitive and flexible workforce ableto change jobs over the course of the working life or to become self-employed in newlyemerging sectors. VET will have to play a dual role during this process: (i) to providedifferent sectors of the economy with a well-skilled labour force required to improvecompetitiveness; and (ii) to provide unemployed and redundant people with new skillsand competencies to facilitate their employability.

Therefore, the Ministry for Education and Sports has been active in modernising theeducation and training system. This includes the creation of new and more flexible linksbetween VET and the labour market, boosting and diversifying funding, updatingcurricula in line with the changing demands of the economy, achieving a better balancebetween general and vocational education, improving vertical and horizontal mobilitywithin and out of VET and reorganising teacher training.


9 Kosovo is under international administration, according to United Nations Security Council Resolution 1244,of 10 June 1999


The Government of FYR Macedonia is engaged in an economic restructuring processthat has implications for the labour market. There is an increased need for a competitiveand flexible workforce, with individuals having the ability to change jobs over thecourse of the working life or to become self-employed in new emerging sectors of theeconomy. VET have a dual role to play during this process: (i) to provide the differentsectors of the economy with a well-skilled labour force so as to improve theircompetitiveness, and (ii) to provide unemployed and redundant people with new skillsand competencies so as to facilitate their employability.

At the beginning of 2003 the Montenegrin Government adopted a Strategic Plan forEducation Reform and an Economic Reform Agenda, which list the main aims andcontents of reform activities to be executed within the next four years. In strategicdocuments vocational education and training is recognised as an important tool forachieving economic development aims. The ongoing enterprise restructuring/privatisation process will require in the future a labour force with new skills andcompetencies to facilitate employability of unemployed and redundant people, aprocess in which the vocational and education training system can make importantcontributions. Therefore, the [institution name]’s focus of assistance will be on shiftingto labour market / employment related issues from 2006 onwards.

In Kosovo, addressing the current high levels of unemployment, the steady increase ofyoung people coming onto the labour market, and the pending job losses associatedwith the downsizing of large-scale socially owned enterprises is critical for social andpolitical stability. A national strategy on unemployment is required. The capacity todevelop and implement employment plans, to develop social partnerships and toeffectively manage services for the unemployed is limited both within the Ministry ofLabour and Social Welfare (MLSW) and the Ministry of Education, Science and Technology.

Since 2002 the [institution name]’s VET Programme aims to assist the Government’sreform and modernisation programmes in the development and implementation ofcoherent vocational education and training policy and strategy in line with therequirements of the labour markets and the students’ needs.

The [institution name]’s activities are implemented in the field of • Design and implementation of education and vocational training programmes;• Capacity building in policy and strategy development; • Technical assistance to VET institution building;• Rehabilitation and improvement of physical infrastructure;• Provision of VET equipment and related training;• Extensive teacher training;• Development of occupational standards, occupational classification system and

curriculum development.

All VET and employment focused programmes and projects have been developed inclose collaboration with the European Training Foundation (ETF).

Several other donor agencies, bilateral as well as multilateral like World Bank, USAID,UNDP, GTZ, Kulturkontakt Austria and the Dutch Government are involved in anumber of complementary VET programmes in the Western Balkans, for whichpartnerships were built up.


2.1 Overall Objective

The overall objective of the evaluation is to contribute to the improvement of thequality of the [institution name]’s Vocational Education and Training Programmes inSerbia, Kosovo, Montenegro and fYR Macedonia.

2.2 Specific Objectives

Consultancy services shall:

Provide as a cross-centre issue an impartial assessment of the contribution the EUsupported Vocational Education and Training Programmes made to the economic andsocial restructuring process in Serbia, Kosovo, Montenegro and fYR Macedonia withregard to their design, their relevance for the labour market and the education system,their efficiency and effectiveness, and their sustainability and impact on the labourmarket and the education system;

Identify and recommend topics and issues affecting future EC funded interventions inthe field of Vocational Education and Training.

Beneficiaries of the Programmes to be evaluated are• the four Governments in their engagements of restructuring and reforming their

economies and adapting their vocational education schemes accordingly, • employers, • the inadequately skilled and the unskilled labour force, as well as the unemployed

and the redundant people,• trainers, teachers and students involved in VET.

Requested Services, including Suggested Methodology

For the performance of his services the Consultants shall

• liaise with the [institution name]’s Evaluation Unit to formulate a detailed operationalwork plan for the mission;

• liaise with all operational centres programme/task managers and programmers aswell as relevant programmes under implementation in the execution of the evaluationto assess the operation and institutional arrangements of individual programmes (theunique operational (political, economical, social context of each centre) as well asgeneral programme and programming approach);

• liaise with other relevant bodies in the Balkans/Central and Eastern European region,which may be involved in similar cross-centre studies and impact assessments;

• propose a detailed evaluation methodology and work plan reflecting the standardmethodologies used for the evaluation of vocational education and trainingprogrammes; i.e. sound technical evaluation tools (like tracer studies, group discussions,PRA techniques, desk research, etc.) to indicate• the relevance and quality of the projects/programmes. These two criteria will require

the Evaluators’ special attention;• the efficiency of implementation; • the technical, economic, political and social effectiveness and impact of the

programmes/projects implemented. • the sustainability of the interventions.


The Log Frames for the projects should be assessed as a design instrument.• present and discuss the methodological approach and work plan with the Evaluation

Unit during the inception phase and review the programmes/projects on the basis ofthe agreed methodology. This will include the

• study of relevant documents on the VET projects and programmes under assessment,as well as the collection and analysis of completed and on-going reviews andevaluations of VET programmes and projects in the countries of the former Yugoslaviaand elsewhere in the region by other organisations, especially by ETF;

• gathering of information for the analysis of major issues related to the VETprogramme’s interventions, comprising at least:

• technical issues, including an assessment of how well the interventions consider bestpractices of VET programmes in the EU.

• political issues, including the development of appropriate legislation and rules foreducation especially in the field of VET, at national and regional level.

• the development of public-private partnerships to create labour opportunities andaccess to educational facilities.

• social issues, including targeting of vulnerable, young women and minorities to beincorporated in national VET programmes.

• the contribution of the [institution name]’s VET interventions on gender equality andminorities’ inclusion.

• documentation and dissemination of their findings in their day-to-day collaborationwith the parties and stakeholders, including regular feedbacks to the [institutionname]’s Evaluation Unit functioning as an early warning system should difficulties beencountered during implementation;

• short presentation and discussion of their findings, conclusions and recommendationsin the Operational Centres at the end of the field work.

• preparation and submission of a report (standardized format of the Evaluation Unit)10

on the findings, conclusions and recommendations for discussion with the EvaluationUnit and dissemination to the Programme/Task Managers for comments;

• carrying out any other task related to the evaluation and deemed necessary by theEvaluation Unit.

2.4 Required Outputs

The mission is expected to deliver a report on a thematic and cross-centre evaluationwith an analysis of the [institution name]’s interventions in the field of VET covering thespecific objectives defined under 2.3., including:

An overview of the co-operation and initiatives the [institution name] Programmeshave with ETF and the possibilities for the countries supported by the [institutionname] programmes to become involved in the ETF structures and programmes.

An assessment of the relevance and quality of the Programmes with regard to designand rationale; an analysis of VET programmes’ compatibility with national CountryStrategy Papers; and an analysis of the extent the stated specific objectives are relevantand correctly address the identified problems and real needs of the beneficiarycountries with regard to the economic and social restructuring process.


10 See annex I. of the example

An assessment of the efficiency of the Programmes, e.g. how well the various activitiestransformed the available resources into the intended specific objectives.

An assessment of the effectiveness with regard to the degree of achievement of theProgrammes’ objectives with their respective indicators or benchmarks, response andflexibility of ( [institution name]’s and stakeholders’) management to unforeseenexternal factors (assumptions / risks / contingencies) and unplanned results.

An assessment to which extent the benefits received by the target beneficiaries had awider overall effect on national VET systems within the economic and social reformprogrammes.

An assessment of the impact of [institution name] intervention on (i) VET policydevelopment and implementation; (ii) education systems; (ii) the labour market (witha focus on employment rates); and (iv) the improvement of the beneficiaries’ social andeconomic situation.

An assessment of the medium and long-term sustainability of the programmes’outcomes;

An assessment of (i) stakeholders’ cooperation during the implementation of theProgrammes; (ii) the mechanism of cooperation between different partners in thenational VET systems; and (iii) the involvement of social partners in the Programmes.

An assessment of the linkages to other [institution name] interventions, especially theSME Programmes (including the credit lines), and to third parties operating in the fieldof VET and employment policy projects.

Recommendations for further actions and future programmes and projects.

Cross cutting issues like gender equity, poverty reduction, minorities and environmentalimpact have to be included in the assessments.

3. EXPERTS’ PROFILE

3.1 Number of Requested Experts per Category and number of man-days per Expert

The Contractor shall provide a team of nine VET evaluation experts, incl. one TeamLeader (Category I), four experts (Category II) and four experts (Category III).

The Team Leader is expected to provide an input of 32 working days; the category IIexperts will provide an input of 27 working days each.

Category III experts will assist for 15 working days each.

3.2 Profile Required (Education, Experience, References and Category of eachExpert and Working Language(s))

Expert (Cat I): Team LeaderA university degree in Vocational and Educational Training, Economics or an equivalentdiscipline (minimum MA).At least 15 years of professional experience and a proven track record in formulation,implementation, review and evaluation of educational, technical and vocational


training programmes. Proven experience in managing high profile planning and designassignments, in organisational analysis, institutional development with review andformulation of sector programmes, and strategy development that includes co-ordination, implementation, monitoring and impact assessment.Extensive experience in managing teams of consultants on multinational projects. Experience with reform programmes of vocational and educational training systemswill be an asset.Extensive experience in using Log Frame techniques for international donororganisations.Experience with impact assessments of donor funded programmes and familiarity withimpact assessment techniques.Fluent command of English, including excellent report writing capabilities.

Experts (Cat II)

A university degree in Social Science, Economics, Business Studies or an equivalentdiscipline.At least 10 years of professional experience and a proven track record in formulation,implementation, review and evaluation of technical and vocational trainingprogrammes. Experience in project management of high profile planning and designassignments, in institutional development with review and formulation of sectorprograms, strategy development that includes co-ordination, implementation,monitoring and impact assessment. Experience with reform programmes of vocational and educational training systemswill be an asset.Extensive experience in using Log Frame techniques for international donor organisations.Experience with impact assessment of donor funded programmes and being familiarwith impact assessment techniques.Fluent command of English, including excellent report writing capabilities.In addition, the experts should have the experience in working in a team of consultantsin similar complex assignments. They should be experienced in evaluation techniquesand/or the design of comprehensive programmes for economic development with aspecial focus on VET programmes. The team should have knowledge on methodologies and tools of tracer studies andcost-efficiency analysis.Experience from Eastern European/Balkan countries is an advantage.

Experts (CAT III)

A university degree, preferably in Social Studies, Economics, Business Administration oran equivalent discipline.5 years of experience either with donor programmes and/or vocational education andtraining sector programmes.Fluent command of English and native speakers in Serbian, Albanian, fYR Macedonian,according to the working country, should be a prerequisite.Excellent report writing capabilities.The experts should be locally based during their assignments - in Serbia,Montenegro, fYROM and Kosovo respectively – since their knowledge of local



authorities, area, local transportation etc. is demanded. Category III experts arerequested to provide general support to the rest of the experts, i.e. translation, research,drafting, arranging meetings, interpretation etc.).

Note: Civil servants and other staff of the public administration of the beneficiary countrycannot be recruited as experts.

N.B. None of the proposed experts and consortium partners should have previouslybeen involved in preparing or implementing the [institution name]’s VET Programmesin any of the four operational centres.

The experts must be independent and free from conflicts of interest.

The evaluators will work as a team, headed by the Team Leader who assigns specifictasks to the individual experts to ensure efficiency of the job. Findings, conclusions andrecommendations, reporting and discussions will be a joint effort of the team.

4. LOCATION AND DURATION

4.1 Location

After the initial inception phase with the Evaluation Unit at the [institution name]’s HQsin Thessaloniki (Greece) the assignment will be undertaken mainly in the [institutionname]’s Operational Centres in Serbia, Montenegro, fYR Macedonia and Kosovo.

4.2 Commencement Date & Period of Execution

The intended commencement date is 9th January 2006. An indicative timetable for theassignment is presented below. Indicative end of the assignment is 3rd March 2006.

Indicative Schedule of the AssignmentActivity Period of Implementation Location

Commencement date 9 Jan.

ThessalonikiBriefing session to allow the experts to familiarize withthe evaluation tasks, to analyse the ToR and put forwardany questions

10-12 Jan.

Inception period 12- 20 Jan. Operational Centres

Submission of Inception Report 20 Jan. Skopje

Field work, concluded by short presentations anddiscussion of findings, conclusions & recommendationswith the Programme/Task Managers and representativesof the main stakeholders in each of the operationalcentres

12 Jan. -9 Feb.

Operational Centres

Incorporation of comments made during presentationand discussion 8-9 Feb.

End of field mission 9 Feb.

Submission of Draft Report 22 Feb. Home Office

Team Leader’s debriefing: presentation of findings ofFinal Report 1-3 Mar.

ThessalonikiSubmission of consolidated Final Report 3 Mar.

The Team Leader and each of the Category II Experts will start the assignment inThessaloniki, where they will remain for 4 days. The Team Leader will then continue hisassignment for 5 days in Pristina, 5 days in Skopje and 10 days in Serbia andMontenegro. The Cat II experts will continue their assignment for 20 days in therespective Operational Centre of interest.

The Team Leader will spend 5 days in his/hers home office for the finalisation of thereport. The Cat II experts will spend 3 days in their home office for the same reason. TheTeam Leader will then travel to Thessaloniki for the last 3 days to present the finalEvaluation Report to the Evaluation Unit.

In the Operational Centres Category III experts will assist for 15 working days each.

5. REPORTING

During the assignment the following reports are expected:

Ten days after the start of the assignment an inception report shall be submitted onmethodological issues concerning the thematic and cross-centre approach and theConsultants’ understanding of the assignment, as well as the proposed, detailed workplan for executing the work;

Regular feedbacks to the [institution name]’s Evaluation Unit functioning as an earlywarning system should difficulties be encountered during implementation;

A short presentation and discussion of findings, conclusions and recommendations tothe Programme/Task Managers and representatives of the main stakeholders in each ofthe Operational Centres at the end of the field work;

A draft report including findings, conclusions and recommendations prepared in thestandardised format of the Evaluation Unit and submitted a week prior to the end of theassignment. It will be presented to the Evaluation Unit for discussion;

A final report, incorporating the comments of the Evaluation Unit as well as the commentsand suggestions from the programme/tasks managers and main stakeholders

All reports shall be in English. An electronic copy of all types of reports produced duringthe assignment is to be submitted to the Evaluation Unit.

The Final Report shall not exceed 35 pages (in Arial 11) plus annexes.

6. ADMINISTRATIVE INFORMATION

The Consultant shall ensure that the experts are fully supported and equipped.Administratively (i.e. office/computer facilities, accommodation, transport etc.) theevaluation team must be self-supporting.

All documentation obtained in connection with this evaluation will remain theproperty of the Evaluation Unit and must be handed over in full, specifying identityof each document, dates, publication etc. to the Evaluation Unit prior tocompletion of the assignment.


Annex I: Proposed Structure for Reporting

EXECUTIVE SUMMARY

THE PROGRAMME1. Programme description

THE EVALUATION2. Evaluation design3. Methodology

FINDINGS CONCLUSIONS AND RECOMMENDATIONS4. General and Technical Findings and Conclusions 5. Relevance, Efficiency, Effectiveness, Impact and Sustainability of the

Programme6. Recommendations

ANNEXES

ANNEX II: Evaluation Ethics

A number of people will be involved in the [institution name]’s evaluations, not onlystaff members but also stakeholders and other beneficiaries. Evaluators therefore needto adopt an approach that does not violate the rights of individuals, and shouldparticularly respect the following:

• Cultural interference

Differences in beliefs, manners and customs of people involved should berespected in data collection, analysis and reporting.

• Anonymity / Confidentiality

Anonymity and confidentiality should ensure that data collected in confidencecannot be traced to the source.

• Evaluation of individuals

Findings on the overall management of a project must take into account that theevaluation of an individual’s performance should not normally be part of anevaluation report.

• Omissions

The evaluators should bring to light significant observations from the evaluationeven if they are not directly covered in the TORs for the evaluation. Findings of anydirect wrongdoings should be reported to the Head of Division.


• Team responsibility

When an evaluation has a management team, it is important that the team issupportive and shares responsibility for the execution and findings of theevaluation to avoid a situation where an individual evaluator feels inhibited fromcarrying out his/her tasks.

• Certifying data

Data used should be validated through multiple sources.

• Transparency in sharing the results

All information gathered and findings recorded in the final evaluation reportshould be shared without any delay with those who have the right to know.


Sour

ces

of in

form

atio

n

• Aid Delivery Methods – Project cycle management guidelines –Aidco, European Commission – March 2004,http://ec.europa.eu/europeaid/reports/index_en.html

• European Community procedure for implementation of EU-financed external aid programmes and projects:http://ec.europa.eu/europeaid/work/procedures/index_en.htm

• Preparing the terms of reference, geographic and thematicevaluation, guidelines to the manager, Aidco, EuropeanCommission :http://ec.europa.eu/europeaid/evaluation/methodology/guidelines/gaa_prp_en.htm#04

• UNESCO Guidelines for Developing Terms of Reference forEvaluations: A Results-Based Approach:http://portal0.unesco.org/en/ev.php-URL_ID=24293&URL_DO=DO_TOPIC&URL_SECTION=201.html

• Terms of Reference in Different Management Phases of theProject Cycle, initiative of the Indian Ocean Commission (IOC),written by Management Development Foundation (MDF), June2000.


manual for drafting terms of reference at different stages of project

Documents

Transcript of manual for drafting terms of reference at different stages of project