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OXFAM GB PROCUREMENT TENDER FOR:
4. OXFAM GB PROCUREMENT TENDER FOR: The evaluation of Oxfam’s DFID Programme Partnership Agreement (PPA ) Tender Main Facts Table Tender reference MTE_RHV_2011 Tender launch date 19 Jan 2011 Queries to Joana Martinho– [email protected] Contract Manager Jo Rowlands Deadline for submission of offers 17:00GMT, 11 Feb 2011 Address for submission of offers By email only: [email protected] Estimated date of award of contract(s) 25 Feb 2011 Period of consultancy March / April OXFAM GB Oxfam House John Smith Drive Cowley Oxford OX4 2JY Queries related to this tender must be addressed to the contact specified i.e. Joana Martinho OXFAM GB is an independent organization, registered as a charity in England and Wales (no.202918) and Scotland (SC038042), OXFAM GB is a member of OXFAM International, with partners, volunteers, supporters and staff of many nationalities. We work on a global basis to overcome poverty and suffering. You can see more of our work on www.oxfam.org.uk 1 Index of contents 1 Terms of Reference 2 Exclusion and selection criteria 3 Award of the contract 4 Background Information on Oxfam GB 5 Oxfam GB’s Ethical Purchasing Policy 6 Submission of offers 7 Evaluation of offers 8 Disclaimer 9 Clarifications Annex A Form for Supplier Questionnaire (also for subcontractors) separate Word document Annex B Form for Tenderer’s Declaration separate Word Document Annex C Sample Contract: Conditions of Consultancy Contract Annex D Ethical Purchasing Policy Annex E Supply Policy Annex F DFID GTF Mid Term Review and Final Reporting Guidelines 1 Terms of Reference The Terms of Reference will become part of the contract that may be awarded as a result of the tender. 1 Background Oxfam's Raising Her Voice (RHV) is a £5 million, 6-year DFID funded programme to promote the rights and capacity of poor women to engage effectively in governance at all levels through increased voice and influence and more effective institutional accountability. The overall objective of the programme is to ensure that public policy, decision-making, practices and expenditure reflect the interests of poor and marginalized women, especially those excluded from political, social and economic life. It aims to achieve this by supporting women’s leadership and addressing attitudes and beliefs about the role of women in public decision-making using strategies such as media and communications work to disseminate learning and best practice, networking, lobbying and advocacy, working with public institutions and decision-making forums and empowering and building capacity of civil society organisations. 1.1 Programme Information and Context of the Evaluation The RHV programme is comprised of 17 country-level projects in Africa, South/East Asia, Latin America and Eastern Europe/ CIS, and 2 regional level projects (one Pan African, and one Latin American). All projects have outcomes and outputs related to four common clusters: Cluster 1: Networking, lobbying, and advocacy with poor women activists Cluster 2: Working with public institutions and decision-making forums, including traditional structures Cluster 3: Empowering and capacitating civil society organisations to achieve rights of poor women citizens through campaigns and policy work Cluster 4: Learning lessons and disseminating best practice through innovative media and communications work Each country team has focused their projects on context specific issues related to the above clusters, developing different strategies in each country to contribute to the overall programme goal and purpose defined in the global framework. There is also one global project covering cross-programme learning, global advocacy and the sharing of experiences across projects. The RHV programme is nearing the end of its 3rd year, and Oxfam is looking for an evaluation team to conduct a Mid-Term Evaluation of the programme. The purpose of the Mid-Term Evaluation is to provide an independent assessment on the progress and performance of the programme to date, to measure and report on achievements and early signs of impact, and to indicate adjustments that may need to be made to the programme going forward. It is expected that the Mid-Term Evaluation will give us a clear sense of the programme’s progress towards objectives, and indicate where adjustments may need to be made to ensure the success of the programme going forward. In considering progress, the evaluation will compare the different approaches taken by the different countries. We want to know what has worked and why and what hasn’t and why not. In this way, the evaluation will inform Oxfam’s and its partners’ programme work and contribute to the overall learning of the GTF portfolio. 1.2 Methodology RHV country and regional projects are currently undertaking their own mid-term reviews. In order to provide an evaluative overview of the full programme, it is proposed that the Mid-Term Evaluation comprise a synthesis report of these project evaluations. This will involve an assessment of the quality of project evaluations reviews, based on Oxfam GB’s criteria, and a review and analysis of findings and recommendations. The synthesis report will be complemented by 2-3 case studies to be agreed between OGB and the evaluator(s). The country case studies will be supported by an OGB Global MEL advisor. It is expected that this will entail: Significant amounts of desk research (plans, monitoring data, internal evaluations, annual reports) 3 Review and analysis of country projects Mid-Term Reviews Interviews with key internal stakeholders Interviews with key external stakeholders including allies and targets Case studies in 2-3 countries The selected evaluator(s) will work collaboratively with Oxfam to refine and agree the final methodology and develop a detailed evaluation plan. 1.3 Evaluation Process and Timeline The consultancy is expected to begin in Mar 2011 and conclude by the end of May 2011, to inform the third annual reporting process (June 2011). The following table indicates approximate timings for the selection process and the Mid Term Review (NB submission date for tenders and date for final submission of evaluation report are fixed). Action Tender bids received by Who By When 11 Feb 2010 Oxfam Review applications/short list/appoint 25 Feb 2011 Oxfam Submission of draft evaluation, with presentation and discussion with wider Oxfam team and partners Comments and feedback on draft 6 May 2011 Consultants/Oxfam 20 May 2011 Oxfam Final evaluation submitted 31 May 2011 Consultants 1.4 Outputs Outputs expected include: An agreed evaluation plan Mid Term Synthesis report, not more than 40 pages, of publishable quality, with a stand alone executive summary of not more than 4 pages 2-3 country case study reports, length to be agreed in conversation with evaluator(s) A presentation of initial evaluation findings/first draft for face to face discussion with the Oxfam team. 1.5 Budget The budget for the evaluation is approximately £30,000. Oxfam prefers to pay an agreed price for the totality of the work including the field trips. 1.6 Skills and Competencies Oxfam is looking for consultant(s) with a strong record in conducting evaluations, including of advocacy work. The organisation/team leader will need respect and credibility within the field, excellent knowledge of monitoring and evaluation in theory and practice, and a good understanding of policy work. The consultants should have the following skills and competencies: Demonstrable experience of producing high-quality, credible evaluations (examples required). Familiarity with different methodologies for evaluation, and the additional factors involved in advocacy evaluation. Demonstrable experience of working with/evaluating NGO work. Demonstrable experience with participatory methodologies. Familiarity with policy advocacy work and demonstrable political sensitivity. Familiarity with gender and governance work. Experience of working in, or assessing, coalitions. Experience in managing evaluation teams, and the capability to handle necessary logistics and any sub-contracts. Ability to write concise, readable and analytical reports and understanding of public communications. Excellent writing and verbal communication skills in English. 1.7 Intellectual Property As per clause 9 of Oxfam’s standard consultancy contract (see annex C) wnership and copyright of all data, drafts and final products will be the sole and exclusive property of Oxfam Great Britain. 1.8 Tenders/bids Oxfam invites bids from organisations, or individuals, with the experience and skills described above. Joint bids are welcome. Tenders must include: 1. A cover letter of no more than 2 pages introducing the evaluators/organisation and how the skills and competencies described above are met, with concrete examples. Please also use this cover letter to indicate consultants’ availability at critical periods. 2. An outline of no more than 2 pages of the proposed evaluation process and key considerations including: a. Key considerations for the synthesis piece b. Proposed outline methodology for the case studies c. Management arrangements 3. A 1-page budget covering all major anticipated costs (Oxfam prefers to pay an agreed price for the totality of the work including the field trips and it is likely that this would be paid in phased instalments.) 4. A 1-page CV for each evaluator, including contactable referees 5. One example of a previous evaluation (one each for joint bids) Tenders not conforming to this model may be rejected. Tenders should be emailed to Joana Martinho, [email protected] by 17:00GMT on 11 February 2011. 2 Technical Evaluation Bids will be evaluated by Oxfam according to the criteria/scoring system outlined in section 2.3.1 of this tender. 3 Further information Please note that DFID’s guidance for Mid-Term Review and Final Reporting are attached as Annex F. For further information please contact Joana Martinho, [email protected], in the Programme Performance and Accountability team, and she will direct your query to the appropriate team. 5 2 Exclusion and selection criteria 2.1 Exclusion criteria Participation to this tender is only open to tenderers who are not in one of the situations listed below: a) bankrupt or being wound up, are having their affairs administered by the courts, have entered into an arrangement with creditors, have suspended business activities, are the subject of proceedings concerning those matters, or are in any analogous situation arising from a similar procedure provided for in national legislation or regulations; b) have been convicted of an offence concerning their professional conduct by a judgement which has the force of res judicata; c) have been guilty of grave professional misconduct proven by any means which the contracting authority can justify; d) have not fulfilled obligations relating to the payment of social security contributions or the payment of taxes in accordance with the legal provisions of the country in which they are established or with those of the country of the contracting authority or those of the country where the contract is to be performed; e) have been the subject of a judgement which has the force of res judicata for fraud, corruption, involvement in a criminal organization or any other illegal activity detrimental to the Communities' financial interests; f) following another procurement procedure or grant award procedure financed by the Community budget, they have been declared to be in a serious breach of contract for failure to comply with their contractual obligations. In addition to the above, contracts may not be awarded to tenderers who, during the procurement procedure: • are subject to a conflict of interest; • are guilty of misrepresentation in supplying the information required by the contracting authority as a condition of participation in the contract procedure or fail to supply this information 2.2 Legal Capacity Requirement Any tenderer is asked to prove that he is authorised to perform the contract under the national law as evidenced by inclusion in a trade or professional register, or a sworn declaration or certificate, membership of a specific organisation, express authorisation or entry in the VAT register. 2.3 Economic & Financial Capacity Requirement The tenderer must be in a stable financial position and have the economic and financial capacity to perform the contract. Evidences required Proof of economic and financial capacity may in particular be furnished by one or more of the following documents: • appropriate statements from the banks or evidence of professional risk indemnity insurance; • balance sheets or extracts from balance sheets for at least the last two years for which accounts have been closed (where publication of the balance sheet is required under the company law of the country in which the economic operator is established); • a statement of overall turnover and turnover concerning services/supplies covered by the contract during the last three financial years. If, for some exceptional reason which Oxfam GB considers justified, the tenderer is unable to provide the references requested by the contracting authority, he may prove his economic and financial capacity by any other means which Oxfam GB considers appropriate. 3 Award of the contract Only the tenders meeting the requirements of the exclusion and selection criteria will be evaluated in terms of quality and price. The contract shall be awarded to the tenderer submitting the tender offering the best-value-formoney (best quality-price ratio). 3.1 Technical evaluation The quality of each technical offer will be evaluated in accordance with the award criteria and the associated weighting as detailed in the evaluation grid below. No Criteria Max Points 1 Methodology - Marks will be awarded for clarity, credibility, innovation and ‘achievability’ Quality of personnel - Assessed against the skills, competencies and experience specified 40 3 Management and quality assurance - Clear/credible quality assurance mechanisms - Ability to deliver the totality of the evaluation, including logistics/recruitment and management of team members 10 4 Commitment to availability in the critical periods. 10 5 Commercial 20 - Fees for key personnel commensurate with skills/experience - Quoted expenses reasonable/realistic to deliver outputs - Terms and conditions 2 TOTAL 3.3 Score Awarded 20 100 Financial proposal • Prices must be quoted in Pounds Sterling and include all expenses necessary to perform the contract. • The price quoted is fixed and is subject to no revision. • Costs incurred in preparing and submitting tenders are borne by the tenderer and shall not be reimbursed 4. Background Information on Oxfam GB 7 Oxfam GB is a development, relief, and campaigning organisation dedicated to finding lasting solutions to poverty and suffering around the world. We believe that every human being is entitled to a life of dignity and opportunity; we work with poor communities, local partners, volunteers, and supporters to help this become a reality. Oxfam GB was started in 1942 to offer help to thousands who were starving in Greece and has been offering help ever since. Wherever people are suffering – because of a natural disaster like a flood or drought, a man-made disaster like a war, or the silent disaster of poverty – Oxfam GB will offer help. While that simple, urgent, role remains, much else has changed. Oxfam GB has become an international family of organisations. In this country, it is a chain of high street shops, a major voice in the debate about poverty, and above all a charity supported by 27,000 volunteers in the UK and 500,000 donors. In 2008/09 our total gross income was £308.3m. In over 60 countries around the world Oxfam GB supports local organisations which in turn work with local people to devise and put in place their own solutions to problems they have identified themselves. Local people do the work; Oxfam GB provides help and advice; and things start to get better. When disaster strikes: we in Oxfam GB also sometimes do the work ourselves. For more information about Oxfam GB please visit our web site at http://www.Oxfam.org.uk/. 5. OXFAM GB ’s Ethical Purchasing Policy OXFAM GB operates an Ethical Purchasing Policy (EPP) (Refer to Annex 5) covering the purchase of all goods and services. The Policy provides a number of enhanced standards for Oxfam GB and its suppliers relating to labour conditions, environmental impacts and business relations throughout the supply chain. In order for this activity to be coherent with other areas of Oxfam GB ’s policy and concern, the EPP also takes account of all situations and behaviours that adversely affect poor people. For example, where business is conducted in a context of systematic human rights abuses. Oxfam GB is committed to developing a more mutual contract, and to working with existing and future suppliers to ensure that the EPP and its implementation are approached in a practical, realistic manner. However, a willingness to endorse the Policy, and make systematic improvements towards full compliance with the published standards, will be a consideration in the selection and retention of all suppliers. For the purposes of making the tendering process compatible with the EPP, we are seeking certain additional information about the companies involved (Annex A - C). If your bid is successful you will be required to join Sedex (www.sedex.org.uk) and agree to participate in an ethical audit. If you are nominating any subcontractors as part of your bid, you must arrange for them to complete a supplier questionnaire (Annex A) and return with your bid. Please note we will only accept products from nominated factories that have agreed to the conditions above- this includes any sub-contracted work. Any components, extra parts must also be produced in a factory complying with the above standards and all parties must be aware of what is being produced and where. 6. Submission of offers The offer must be emailed to the address shown on the tender top-sheet. Offers must be received on or before the deadline shown on the tender top-sheet. The offer and all correspondence and documents related to the tender must be written in English. Price quotations must be in pounds sterling. Offers shall remain valid for a minimum of 3 months after the Deadline for Submission of Offers. In exceptional circumstances, prior to the expiration of the offer validity period, Oxfam GB may request Tenderers to extend the period of validity of their offers. The request and the responses shall be made in writing. 7. Evaluation of offers Oxfam GB, at its sole discretion, will select the winner of this tender. Oxfam GB reserves the right to keep confidential the circumstances that have been considered for the selection of the offers. Value for money is very important to Oxfam GB, as every additional pound saved is money that can be used on our humanitarian and development work throughout the world. Oxfam GB will also consider the following aspects when choosing a preferred supplier: Willingness to comply with Oxfam GB’s Ethical Purchasing Policy Innovation and variety of production techniques Company Profile Environmental Management Lead Times and scheduling. 8. Disclaimer Oxfam GB reserves the right to alter the schedule of tender and contract awarding. Oxfam GB reserves the right to cancel this tender process at any time and not to award any contract. Oxfam GB reserves the right not to enter into or award a contract as a result of this invitation to tender. Oxfam GB does not bind itself to accept the lowest or any tender. Oxfam GB shall not be liable in respect of any costs incurred by the Tenderer in the preparation of the offer nor any associated work effort, including the production of presentation materials, brochures, product specifications or manuals for evaluation. 9. Clarifications Tenderers may submit questions related to this tender by email to the Contract Manager’s email address as specified on the top-sheet. Oxfam GB may request further information from Tenderers after the submission of their proposals. Any additional information must be provided within 5 U.K. working days The onus is on the Tenderer to ensure that its offer is complete and meets Oxfam GB’s requirements. Failure to comply may lead to the offer being rejected without any reason being given. Please therefore ensure that you read this document carefully and answer fully all questions asked. 9 Annex C – Sample Contract General conditions of consultancy agreement between Oxfam GB and Xxxxx. 1. Consultancy services 1.1. Oxfam GB has engaged Xxxxx to provide the consultancy services set out in the special conditions (“the services”) upon the terms and conditions hereinafter mentioned. All references to Oxfam are to Oxfam GB and its subsidiaries, including Oxfam Activities Limited. 1.2. Oxfam’s ethical purchasing policy, as notified to Xxxxx, may impose additional specifications on the conduct of Xxxxx with regard to the delivery of services to Oxfam, and any products used therein. These specifications would also apply to any third party or sub-contractor used by Xxxxx. Compliance with these specifications shall be a matter for discussion between Oxfam and Xxxxx before the commencement of any contract. 1.3. An unwillingness to work towards compliance with these specifications, or any significant breaches that are not addressed in appropriate fashion, may materially affect this and any subsequent contract. 2. Fee 2.1 The fee is as set out in the special conditions. 3. Insurance 3.1. Xxxxx is responsible for its own insurance. Xxxxx and Oxfam may discuss the cover available under Oxfam’s consultant’s insurance. Xxxxx is responsible for its own pre-travel medical arrangements, if any. 3.2. Xxxxx is required to have and to maintain professional indemnity insurance (PI) cover to a level agreed with Oxfam. 3.3. Xxxxx are to provide Oxfam with copies of current relevant insurance policies. These documents are to be updated as required. 4. Warranty 4.1. Xxxxx warrants that all Xxxxx’s work is original, that it shall not be defamatory, and shall not infringe the rights of any third party or be in any way unlawful. 4.2. If Xxxxx makes use of the services of any third party, Xxxxx undertakes to procure an assignment of copyright and waiver of moral rights from such third party in such terms as Oxfam reasonably requires at no cost to Oxfam. 5. Use of e-mail and Internet 5.1. If Xxxxx has been given an Oxfam e-mail address, Xxxxx agrees not to use that address for purposes not related to its duties under this agreement. 5.2. If Xxxxx has the use of an Oxfam e-mail address, it shall comply with Oxfam’s Internet usage standards, a copy of which is on Oxfam’s intranet. 6. Use of Oxfam’s name 6.1. Xxxxx may not use Oxfam’s name and/or logo for any purpose beyond the performance of its obligations to Oxfam, unless Xxxxx has first obtained consent in writing for the use from Oxfam’s media unit. 6.2. Willingness to pursue compliance with Oxfam’s ethical purchasing policy does not imply Oxfam’s endorsement for the ethical nature of Xxxxx’s business. And no such claims should be made. 7. Press and media 7.1. Oxfam’s media unit must approve all proactive media work beforehand. Xxxxx will refer all enquiries from the press or media to Oxfam’s media unit. 7.2. Any news release, public announcement, advertisement, or publicity to be released by Xxxxx in connection with this agreement must have the prior written approval of Oxfam, which approval shall be not unreasonably withheld, and shall recognise the participation and contribution of Oxfam. Representatives of Oxfam shall have the right to participate in any news conference or other publicity event held by Xxxxx in connection with this agreement. 8. Confidential information 8.1. All information relating to Oxfam’s and Xxxxx’s business, affairs, products, trade secrets, know-how, personnel, customers and suppliers which may reasonably be regarded as confidential information shall hereinafter be referred to as “confidential information”. Oxfam and Xxxxx undertake not to disclose, either directly or indirectly, any confidential information it may acquire in any manner and it further undertakes to use all confidential information disclosed to it exclusively for the provision of the services, and 8.2. Exceptions to confidentiality The provisions of this clause shall not apply to Oxfam or Xxxxx in respect of any information which: • Oxfam or Xxxxx can prove by documentary evidence produced to 11 Oxfam or Xxxxx within 28 day of disclosure that such confidential information was already in its possession before the disclosure to it under this agreement. • Is at the time of disclosure to it available or subsequently becomes available to the public otherwise than through any act or default of Oxfam or Xxxxx. • Is disclosed to it as a matter of right by a third party • Is developed by the Oxfam or Xxxxx without dependence directly Xxxxx or Oxfam • Is disclosed by third parties as a result of unexpected actions beyond the knowledge and/or control of Oxfam or Xxxxx 9. Intellectual property 9.1. Xxxxx hereby assigns to Oxfam by way of assignment of present and future copyright and other rights all copyright, design right, and other proprietary rights (if any) for the full terms thereof throughout the world in respect of all copyright works and designs originated, conceived, written or made by it (except only those works or designs originated, conceived, written or made by it which are wholly outside it appointment hereunder) during the period of its appointment by Oxfam. If the appointment includes the preparation of a database for Oxfam, the database right is included in the proprietary rights to be assigned. 9.2. Xxxxx hereby irrevocably and unconditionally waives in favour of Oxfam any and all moral rights conferred on it by chapter iv of part i of the copyright designs and patents act 1988 for any work in which copyright or design right is vested in Oxfam whether by clause Error: Reference source not found or otherwise. 9.3. Xxxxx shall, at the request and expense of Oxfam, do all things necessary or desirable to substantiate the rights of Oxfam under clauses Error: Reference source not found and Error: Reference source not found 9.4. Xxxxx shall not directly or indirectly use any document, copyright work and/or design created by it on behalf of Oxfam under this agreement without Oxfam’s prior written consent. 10. Assignment 10.1Xxxxx may not, except with the prior written consent of Oxfam, assign or subcontract Xxxxx’s rights or obligations under this agreement. Oxfam may assign its rights and/or obligations to any company in the Oxfam group, including without limitation Oxfam Activities Limited, and to any member of Oxfam international. 11. Vat 11.1 All fees and expenses under this agreement are exclusive of any value added tax, for which Oxfam shall be additionally liable at the applicable rate from time to time. 12. Termination 12.1. Either party shall be entitled to terminate this agreement at any time by giving not less than three months’ notice. 12.2. Either party may (without limiting any other remedy) at any time terminate this agreement by giving written notice to the other if the other commits any breach of these conditions and (if capable of remedy) fails to remedy the breach within 30 days after being required by written notice to do so, or if the other goes into liquidation, makes a voluntary arrangement with its creditors or has a receiver or administrator appointed. 13. Health and safety 13.1. Xxxxx will comply with all statutory and moral obligations relating to Health, Safety and Welfare at Work for their own staff, sub-contractors, Oxfam staff and others with whom they come into contact while engaged in the performance of their obligations under this Agreement. 13.2. Xxxxx must co-operate with Oxfam in so far as may be necessary to fulfil legal obligations regarding health and safety. 13.3. Xxxxx shall ensure that all representatives they employ and all SubContractors under their control while on the Oxfam’s premises will comply with Oxfam Health & Safety Policies and Procedures. 13.4. Xxxxx shall comply in all respects with its safety policy and shall not be obliged to comply with an instruction of the Client if it is likely, in the reasonable opinion of Xxxxx, to give rise to a breach of this policy or breach of law relating to health and safety. Xxxxx shall promptly provide the Client with full details of any significant unsafe event that Xxxxx becomes aware of and which relates in any way to the Services. 13.5. Xxxxx shall so far as is reasonably practicable provide all persons engaged by it in the performance of its obligations under this Agreement with personal protective equipment and clothing appropriate to the risks specified by Xxxxx and to all other risks which are reasonably foreseeable to a in the provision of the service. 13.6. Persistent and or serious infringement of Health and Safety legislation, practices and procedures by either Party will be considered as a material breach of this Agreement as envisaged in the termination clause of this Agreement. 13 14. General 14.1. These conditions constitute the entire agreement between the parties, supersede any previous agreement or understanding and may not be varied except in writing between the parties. All other terms and conditions express or implied by statute or otherwise are excluded to the fullest extent permitted by law. 14.2. Any notice required or permitted to be given by either party to the other under these conditions shall be in writing addressed to the other party as its registered office or principal place of business or such other address as may at the relevant time have been notified pursuant to this provision to the party giving the notice. 14.3. No failure or delay by either party in exercising any of its rights under the contract shall be deemed to be a waiver of that right, and no waiver by either party of any breach of the contract by the other shall be considered as a waiver of any subsequent breach of the same or any other provision. 14.4. If any provision of these conditions is held by any competent authority to be invalid or unenforceable in whole or in part, the validity of the other provisions of these conditions and the remainder of the provision in question shall not be affected. 14.5. This agreement shall be governed by and in accordance with the laws of England and Wales, and shall be subject to the non-exclusive jurisdiction of the English courts. Special conditions of consultancy agreement between Oxfam and Xxxxx for the provision of Xprofessional Xproject services 1. The services Details to be inserted 2. Key personnel a. Named individuals, who shall not be substituted without the express approval of Oxfam, will provide the service. b. In the event of the named individuals not being available to provide the services Oxfam reserves the right to terminate the agreement 3. Fees a. Details to be inserted b. Details to be inserted 4. Duration The services will be provided for the duration of the relocation project, which will initially, be limited to a three year period from the 1st Xmonth 2002. 5. Payment Invoices for fees will be submitted three monthly in arrears. Expenses at cost if applicable will be invoiced as occurred. Payment terms are 30 days from date of invoice. 6. Liability a. Xxxxx will exercise reasonable skill, effort, care and diligence and will do nothing deliberately or negligently that might be construed as being to the detriment of Oxfam. “Reasonable skill, effort, care and diligence” is deemed to be that appropriate for professionally qualified and experienced consultants in their field. b. Xxxxx will be liable for liquidated damages if failure to provide reasonable skill, effort, care and diligence has been to the detriment of Oxfam. c. Xxxxx will be liable for liquidated damages if deliberate or negligent acts performed by their staff or agents have been to the detriment of Oxfam. 15 Annex D Ethical Purchasing Policy Policy Statement OXFAM GB ’s policy is to seek to purchase goods and services that: Are produced and delivered under labour conditions that meet the Ethical Trade Initiative Base Code (ETI) and therefore do not involve the abuse or exploitation of any person Have the least negative impact on climate change and the environment Such considerations will form part of the evaluation and selection criteria for all goods and services purchased by Oxfam GB. In addition, Oxfam GB will seek alternative sources where the conduct of suppliers demonstrably violates the basic rights of Oxfam GB’s intended beneficiaries, and there is no willingness to address the situation within a reasonable time period, or where companies in the supply chain are involved in the manufacture or sale of arms in ways that are unacceptable to Oxfam GB. The purpose of the policy is to: Promote good Labour, Green House Gas Emission Reduction and Environmental Standards in the Suppliers and Supply Chain of Oxfam GB Protect and Enhance Oxfam GB’s reputation as an active campaigner on Labour and Climate Change issues This Policy is issued in conjunction with four other Procurement related policies: Procurement Authority Policy Procurement Integrity Policy Operational Sustainability Policy Expenditure Authorisation policy OXFAM GB CODE OF CONDUCT FOR SUPPLIERS Suppliers should commit to continuous improvement towards compliance with the labour and environmental standards specified, both in their own companies and those of their suppliers. Suppliers are expected to meet the obligations outlined in the Operating Principles section of this policy. o LABOUR STANDARDS OXFAM GB has adopted the Ethical Trading Initiative (ETI) Base Code outlined below for labour standards in this Code of Conduct. The ETI is an alliance of companies, nongovernmental organisations and trade unions committed to working together to identify and promote good practice in the implementation of Codes of labour practice, which are based on the International Labour Organisation (ILO) Conventions. Please see www.ethicaltrade.org Employment is freely chosen: There is no forced, bonded or involuntary prison labour. Workers are not required to lodge `deposits’ or their identity papers with the employer and are free to leave their employer after reasonable notice. Freedom of association and the right to collective bargaining are respected: Workers, without distinction, have the right to join or form trade unions of their own choosing and to bargain collectively. The employer adopts an open attitude towards the legitimate activities of trade unions. Workers representatives are not discriminated against and have access to carry out their representative functions in the workplace. Where the right to freedom of association and collective bargaining is restricted under law, the employer facilitates, and does not hinder, the development of parallel means for independent and free association and bargaining. Working conditions are safe and hygienic: A safe and hygienic working environment shall be provided, bearing in mind the prevailing knowledge of the industry and of any specific hazards. Adequate steps shall be taken to prevent accidents and injury to health arising out of, associated with, or occurring in the course of work, by minimising, so far as is reasonably practicable, the causes of hazards inherent in the working environment. Workers shall receive regular and recorded health and safety training, and such training shall be repeated for new or reassigned workers. Access to clean toilet facilities and potable water, and, if appropriate, sanitary facilities for food storage shall be provided. Accommodation, where provided, shall be clean, safe, and meet the basic needs of the workers. The company observing the standards shall assign responsibility for health and safety to a senior management representative. Child Labour shall not be used: There shall be no new recruitment of child labour. Companies shall develop or participate in and contribute to policies and programmes, which provide for the transition of any child found to be performing child labour to enable her/him to attend and remain in quality education until no longer a child. Children and young people under 18 years of age shall not be employed at night or in hazardous conditions. These policies and procedures shall conform to the provisions of the relevant International Labour Organisation (ILO) standards. Living wages are paid: Wages and benefits paid for a standard working week meet, at a minimum, national legal standards or industry benchmarks, whichever is higher. In any event wages should always be high enough to meet basic needs and to provide some discretionary income. All workers shall be provided with written and understandable information about their employment conditions in respect to wages before they enter employment, and about the particulars of their wages for the pay period concerned each time that they are paid. Deductions from wages as a disciplinary measure shall not be permitted nor shall any deductions from wages not provided for by national law be permitted without the express and informed permission of the worker concerned. All disciplinary measures should be recorded. Working hours are not excessive: Working hours comply with national laws and benchmark industry standards, whichever affords greater protection. In any event, workers shall not on a regular basis be required to work in excess of 48 hours per week and shall be provided with at least one day off for every 7 day period on average. Overtime shall be voluntary, shall not exceed 12 hours per week, shall not be demanded on a regular basis and shall always be compensated at a premium rate. 17 No discrimination is practised: There is no discrimination in hiring, compensation, access to training, promotion, termination or retirement based on race, caste, national origin, religion, age, disability, gender, marital status, sexual orientation, union membership or political affiliation. Regular employment is provided: To every extent possible work performed must be on the basis of a recognised employment relationship established through national law and practice. Obligations to employees under labour or social security laws and regulations arising from the regular employment relationship shall not be avoided through the use of labour-only contracting, sub-contracting or home-working arrangements, or through apprenticeship schemes where there is no real intent to impart skills or provide regular employment, nor shall any such obligations be avoided through the excessive use of fixed-term contracts of employment. No harsh or inhumane treatment is allowed: Physical abuse or discipline, the threat of physical abuse, sexual or other harassment and verbal abuse or other forms of intimidation shall be prohibited. o ENVIRONMENTAL STANDARDS OXFAM GB is committed to the reduction of greenhouse gas emissions in its supply chains and will not knowingly purchase goods or services from companies that actively lobby to undermine progressive climate change policy or push for continued expansion of fossil fuel use. As a member of the WWF Global forest and Trade Network, Oxfam GB is committed to the responsible sourcing of forest products. Suppliers are expected to not only meet all statutory and other legal requirements relating to the environmental impacts of their business, but also address the following: Climate Change: Not actively lobby to undermine public policies to tackle climate change or push for continued expansion of fossil fuel use Companies in "Annex 1 countries" must measure, set targets, reduce (in absolute terms) and report publicly on the direct and indirect greenhouse gas emissions from their business. They must actively research and introduce low carbon, materials, transport, packaging and energy sources into their business processes and activities. They must actively support their suppliers, in "Non-Annex 1 countries", to develop carbon management plans. Companies in "Annex 1 countries", which supply products to Oxfam GB must where practical research the life cycle carbon footprint of their products and advise Oxfam GB on the use of lower carbon alternatives. All "Non-Annex 1 country" suppliers must develop a carbon management plan. Companies are asked to demonstrate steps taken. Sustainable Paper and Wood Sourcing: Suppliers of products included in Annex 2 must source forest products from recycled sources or well-managed forests, which have been certified to a credible standard. All suppliers must never knowingly become involved in, collude with or purchase timber from illegal logging operations. Work with supply chains to ensure that all forest products purchased are as a minimum legal in origin. Waste Management: Waste is minimised and items recycled whenever this is practicable. Effective controls of waste in respect of ground, air, and water pollution are adopted. In the case of hazardous materials, emergency response plans are in place. Products made for Oxfam GB will where possible use recycled materials and be recyclable. Packaging: Undue and unnecessary use of materials is avoided, and recycled materials used whenever appropriate. Conservation: Processes and activities are monitored and modified as necessary to ensure conservation of scarce resources, including water, flora and fauna and productive land in certain situations. o BUSINESS BEHAVIOUR The conduct of the supplier should not violate the basic rights of Oxfam GB’s intended beneficiaries. The supplier or parent company should not be involved in any of the following activities: arms manufacture; the sale or export of arms or strategic services to governments which systematically violate the human rights of their citizens, or where there is internal armed conflict or major tensions, or where the sale of arms may jeopardise regional peace and security. tobacco production and sale; the sale of baby milks outside the WHO Code of Conduct; pesticide sales outside the FAO guidelines for pesticide retailing extractive industries production or publication or broadcast of adult entertainment seen to be political any other activities which violate the basic rights of OXFAM GB ’s intended beneficiaries. OPERATING PRINCIPLES FOR OXFAM GB AND SUPPLIERS The implementation of the Code of Conduct for Suppliers will be a shared responsibility between Oxfam GB and its suppliers, informed by a number of operating principles, which will be reviewed from time to time. Oxfam GB will: Assign responsibility of ensuring the Ethical Purchasing Policy is implemented to a senior manager. Commitment to the Code of Conduct is communicated publicly, throughout Oxfam GB, to its suppliers and to the people who work in its supply chain. Give preference to suppliers which meet or are working towards meeting the provisions of the Code of Conduct Require its suppliers to work towards compliance with the Code of Conduct and also require them to engage with their own suppliers to work towards compliance with the Code of Conduct. Work with its suppliers to rectify any problems identified and implement improvements that are consistent with the provisions of the Code of Conduct. Seek the views of its suppliers over their ability to meet the Code of Conduct given existing buying practices, and assists them to meet their concerns. Gather and analyse verifiable information about its suppliers’ performance on complying with the Code of Conduct and uses this information to inform its sourcing decisions. 19 Recognise the contribution that stable business relationships can make to the observance of the Code of Conduct and endeavours to establish long-term relationships with its suppliers. Negotiate time-bound plans for improvements with suppliers and make sure that the improvements are actually made. Work with suppliers, other ETI members and other parties affected by its activities to address the root causes of non-compliances through the design and implementation of activities, which identify and test good practice and effective solutions. Report progress in implementing the Code of Conduct annually to the corporate management of Oxfam GB, the Ethical Trading Initiative, WWF Global Forest and Trade Network and other stakeholders including staff, suppliers and donors. Terminate supplier relationships where serious breaches of the Code of Conduct persist after reasonable attempts have been made to work with the supplier to implement improvements, and where there is no reasonable prospect of securing improvements. Such terminations will be carried out in a responsible way. Recognise the fundamental importance of independent and democratic organisations of workers’ own choosing – commonly known as trade unions – in achieving sustainable improvements and encourage an open and positive attitude towards trade unions and collective bargaining because they are the essential elements of all mature systems of industrial relations. Avoid discriminating against enterprises in developing countries. Oxfam GB expects suppliers to: Accept responsibility for labour and environmental conditions under which products are made and services provided. This includes all work contracted or sub-contracted and that conducted by home or other out-workers. Assign responsibility for implementing the Code of Conduct to a senior manager. Develop and report on a step-wise approach for meeting the Code of Conduct. Address issues and take time-bound corrective actions where it has been identified that the Code of Conduct has not been met. Make a written Statement of Intent regarding the company’s policy in relation to the Code of Conduct and how it will be implemented, if requested by Oxfam GB, and communicate this to its workers, suppliers and to OXFAM GB Report on progress made to meet the Code of Conduct in their workplaces and supply chains. Be open, honest and transparent progress towards the Code of Conduct and any issues that have arisen in their supply chains. Allow Oxfam GB access to information about their supply chains. Seek to ensure all employees are aware of their rights and involved in the decisions, which affect them. Recognise official regulation and inspection of workplace standards, and the interests of legitimate trades unions and other representative organisations. Seek arbitration in the case of unresolved disputes. Terminate supplier relationships where serious breaches of the Code of Conduct persist after reasonable attempts have been made to work with the supplier to implement improvements, and where there is no reasonable prospect of securing improvements. Such terminations will be carried out in a responsible way. Ensure there are not uncontrolled cost increases or drops in quality. Oxfam GB accepts appropriate internal costs but will work with suppliers to achieve required ethical standards as far as possible at no increase in cost or decrease in quality. QUALIFICATIONS TO THE POLICY STATEMENT The humanitarian imperative is paramount. Where speed of deployment is essential in saving lives, Oxfam GB will purchase necessary goods and services from the most appropriate available source. Annex 1 Australia Belarus Bulgaria Canada Croatia EU Iceland Japan Liechtenstein Monaco New Zealand Norway Romania Russian Federation Switzerland Ukraine USA Annex 2 Suppliers of the following products must source forest products from recycled sources or well-managed forests, which have been certified to a credible standard. All paper products sourced from Oxfam GB UK offices. All New Products carrying the Oxfam GB Brand with the exception of any product which is Fairtrade Marked or members of the WFTO. 21 Annex E Supply Policy We develop and adopt optimum supply strategies and processes that achieve best value for money in procuring the goods, works and services that will meet Oxfam GB needs, and in the disposal of surplus and redundant assets and waste. We recognise the safety, health, environmental and ethical impacts of all supply decisions, and will involve our suppliers in addressing issues that may arise and expect them to assist us in minimising any negative effects. We develop relationships with our supply market that are the most appropriate to gaining a mutual understanding of our needs and our suppliers’ capabilities, and which will ensure consistency of quality, reliability, availability and performance at affordable cost. We work with suppliers, offering appropriate support, and make demands in relation to the improvement of standards that are reasonable and reflect relevant circumstances. We ensure that our supply requirements are adequately defined and specified in sufficient time to allow the supply market to react to our demand. We ensure that our supply activities comply with all applicable international and national laws, regulations, conventions and agreements that are in force in the countries from where our requirements are being procured, and ensure that the specific supply related requirements of our donors are adhered to. We will not engage in any activity with suppliers, or buyers from other organisations, which might be deemed to be anti-competitive or in breach of any statutory requirements in any country or trading region. We ensure that payments for supply of goods, works and services are made in accordance with terms agreed at the time the transaction was finalised, subject to satisfactory compliance with the original order. We expect our suppliers to manage their own supply base in a way that ensures security of supply and is capable of meeting our expectations of them. We do not terminate purchase arrangements or relationships without due regard to all material circumstances, appropriate communication and notification to the supplier. We expect staff to respond sympathetically to genuine errors by suppliers, and not to take advantage of them. Where errors occur in own practices, we will take appropriate remedial action in a helpful and timely way. We expect staff not to deliberately mislead, or take advantage of genuine errors made by our suppliers and will take action necessary to remedy the situation and minimise the impact of any false information or error to both Oxfam GB and our suppliers. We expect staff to act impartially and objectively in all their purchasing activities and to keep written records where appropriate to demonstrate that their actions have been fair and above reproach. We expect staff to declare in advance any interest commercial or otherwise, they may have with a supplier to Oxfam GB and to be prepared to withdraw from those dealings if required. We expect staff to maintain an unimpeachable standard of integrity in all their business relationships and to foster the highest possible standards of professional competence in all their supply activities. We expect staff not to accept any personal gifts or other inducements, which, individually or cumulatively, can be reasonably adjudged as aimed at influencing the purchasing decision. We expect staff to seek to purchase goods and services ethically, which are produced and delivered under conditions that do not involve the abuse or exploitation of any persons and which have the least negative impact on the environment. We expect staff to handle information such as prices, wages and other sensitive or confidential supplier information in an appropriate manner. We expect staff to comply with both the letter and the spirit of the law, of the countries in which they operate and with which Oxfam GB deals and in all contractual obligations incurred by or on behalf of Oxfam GB. 23 Guidance on Commissioning a Mid-Term Review and Final Evaluation For Governance and Transparency Fund Grant Holders 7th April 2009 Acronyms AR ARS CAR DAC DFID GTF IR M&E MDG MOV MTR PCR SMART SWOT TOR Annual Report Achievement Rating Scale Capability, Accountability, Responsiveness Development Assistance Committee (UK Government) Department for International Development Governance and Transparency Fund Inception Report Monitoring and Evaluation Millennium Development Goals Means of verification Mid-term Review Project Completion Report Specific, Measurable, Attainable, Relevant and Time-bound Strengths, Weaknesses, Opportunities, Threats Terms of Reference Introduction This document is for Governance and Transparency Fund (GTF) grant holders and is to be used as a guide for commissioning the independent Mid-Term Review (MTR) and Final Evaluation of GTF funded programmes. This document replaces the previous Reporting Requirements that were provided when you signed your grant arrangement with DFID. Any audio-visual and other media for demonstrating progress and change in relation to the GTF is also welcome and it is helpful to submit this at the same time as these reports. When is the deadline for submitting my MidTerm Review report? The date you are proposing to carry out the MTR may have been outlined in the inception report (section 6.4 workplan for M&E activities). If not, we would envisage that the review is commissioned within the six months prior to the mid-point of the funding period and the MTR report is submitted to the GTF Fund Manager at the mid-point of your programme. Any changes in this schedule must be agreed in writing with the GTF Fund Manager. Please note that that if your programme is less than 42 months in duration, then you are not required to conduct a MTR. When is the deadline for submitting my Final Evaluation report? The final external evaluation should be carried out towards the end of the project and normally within the last six months. The timing should have been specified in section 6.4 of your Inception Report. The final external evaluation report should be submitted as an annex to your Project Completion Report (PCR). Your PCR is due three months after the end date of your GTF grant arrangement. Why carry out a MidTerm Review? The purpose of the Mid-Term Review (MTR) is to provide an independent assessment on the progress and performance to date, to measure and report on achievements and early signs of change and impact, and to indicate adjustments that may need to be 25 made to ensure the success of your programme. The MTR should be used by all programme stakeholders to inform their future work. The MTR is a key process in the programme management cycle, comparing actual progress against your targets and an assessment of value for money. The MTR should include a review of the risk analysis of your programme and provides an opportunity to ensure continuous learning and engage with DFID advisers. The expected benefits of the MTR include the encouragement of ownership and participation while promoting continuous learning and quality control. The MTR provides an opportunity to ensure funds are used effectively and efficiently to deliver outputs/outcomes. Why carry out a Final Evaluation? The Final Evaluation is an independent assessment of whether your programme purpose has been achieved, or the extent your programme has gone toward achieving the purpose stated in your logical framework (and the reasons for this), and how this has contributed to the overall GTF objectives of strengthening capability, accountability and responsiveness to make governance work for the poor. The purpose of the Final Evaluation is to: Identify the impact of the programme and ways that this may be sustained Record and share lessons Account to local stakeholders for the programme’s achievements Improve future programme design and management Verify funds were used effectively and efficiently to deliver results Enable DFID to evaluate the performance of the GTF as a whole, making sure the overall portfolio has increased accountability and responsiveness. By the end of the programme, results may not be exactly as planned. However, there will be some impact and change, intended and unintended, positive and even in some cases negative. This information needs to be recorded in the Final Evaluation. Through an honest examination of what actually happened against the planned results, important lessons for future programmes can be learned. Who should carry out the MTR and Final Evaluation? You are responsible for funding and identifying appropriately qualified independent consultant(s) to carry out the MTR and Final Evaluation. DFID is expecting at least the team leader of the review to be external and independent. They should not have been involved in the design or implementation of the project. It is expected that the programme management team and advisors involved in programme M&E will participate in the reviews, but not in the judgments being made so as to ensure impartiality. Please note that the DAC(1991) Principles for Evaluation of Development Assistance within the section on impartiality and independence state: The evaluation process should be impartial and independent in its function from the process concerned with the policy making, the delivery and the management of development assistance. 26 Impartiality contributes to the credibility of evaluation and the avoidance of bias in findings, analyses and conclusions. Independence provides legitimacy to evaluation and reduces the potential for conflict of interest which could arise if policy makers and managers were solely responsible for evaluating their own activities. How do I submit the MTR and Final Evaluation reports? Please send the reports in Microsoft Word using Arial font 12 to be sent to [email protected] via email. Please do not use Adobe Acrobat format and ensure that your GTF number is stated within the subject box of your email. How should I commission an external MTR and Final Evaluation? The key to getting a fair and balanced external review that is helpful to your organisation lies in the following: Writing the terms of reference (TOR) that are comprehensive and clear in what is to be undertaken and reported on. Defining selection criteria for making the appointment of the evaluator(s) and choosing evaluators who conform to ethical standards of evaluation. Briefing the evaluator(s) properly and providing evidence in an open and transparent way. Ensuring the evaluator(s) presents his or her preliminary findings, conclusions and recommendations for your feedback before finalising the report. You should write the terms of reference for the evaluation to ensure the constructive approach you want the evaluator to take, including the evidence that they should look for. You should encourage the evaluator to look at the strengths and weaknesses in your work and to make clear and realistic recommendations to tackle the weaknesses. You can choose the evaluator(s) through a competitive process or one of direct appointment on the basis of their professional attitude and experience. You can suggest the evidence that will be looked at and the visits, meetings and people to talk to in your terms of reference. At the initial briefing you should check that the evaluator understands the terms of reference and has all the material they need or ask for. At the feedback session, you are entitled to challenge findings and conclusions and recommendations that you do not agree with, if the evaluator has not based these on a full examination of the evidence, or if there is additional information to explain why the recommendations would be unrealistic. A good evaluator will take these views into account, but the final report should be based on their own judgements and conclusions. It is the responsibility of each GTF grant holder to: Organise key dates and deadlines for the review / evaluation process. Arrange interviews with the programmes’ partner institutions, key stakeholders and other end users to collect information on programme outputs and achievements. Questions to be included in the different stakeholder interviews could be specified in the TOR. For example, questions on the degree to which programmes have met their outputs and purpose (intended impact); what are the gaps; and what could have been 27 done differently or better? What documents should be consulted as part of the MTR and Final Evaluation? It is important that the review team has ready access to key programme documentation. As a minimum, this should include: Project proposal, logframe and budget. Inception Report including annexes. Annual reports. MTR (in the case of the Final Evaluation). Other key documents identified by programme management (e.g. baseline documents, materials produced, case studies, recent research, etc). Is there a standard format for the MTR and Final Evaluation? The Achievement Rating Scale shown in Annex 1 must be completed for the MTR and the Final Evaluation. Other than this key requirement, you can decide on the format and content of the MTR and Final Evaluation that is most appropriate for your programme. Nonetheless, a suggested structure for both the MTR and Final Evaluation is: 1. Title Page including Programme Identification Details 2. Table of Contents 3. Abbreviations / acronyms page 4. Executive summary (maximum 3 pages) 5. A short introduction to the programme 6. The evaluation methodology 7. Findings in relation to standard review criteria 8. Innovation 9. Summary of recommendations. Common annexes may include: Achievement Rating Scale Terms of reference for the MTR / Final Evaluation Evaluation schedule / timetable List of people met Documents consulted Detailed statistical data such as updated baseline surveys, etc. The remainder of this document provides advice and sets out what may be included in the key sections of your MTR and Final Evaluation reports. If you have any questions 28 relating to the suggested content or procedures, please contact your Programme Adviser from Triple Line Consulting or the KPMG Fund Manager. 29 1. Programme Identification Details (based on table in annual report) GTF Number (as per your Grant Arrangement) Short Title of Programme (as per your Grant Arrangement) Name of Lead Institution (as per your Grant Arrangement) Start date1 (dd/mm/yyyy) End date: (dd/mm/yyyy) Amount of DFID Funding: (amount in GBP) List all countries where activities have taken or will take place If you have activities in more than 10 countries, you may list all of the countries in an annex. List all implementing partners in each country If you have more than 10 partners, you may wish to list in an additional annex. Target groups- wider beneficiaries Please describe and estimate the number of people who are expected to benefit from your activities Lead Author Name, address, telephone, email Other people contracted to undertake the MTR / Evaluation Name, Organisation 2. Table of Contents Insert the list of the main sections covered in your report. 3. Abbreviations / acronyms Insert the list of all acronyms used in your report. 4. Executive Summary The executive summary should provide a short introduction to the programme and briefly explain the evaluation methodology. It should also provide a brief summary of the main achievements and draw attention to positive or negative external events or unintended consequences of the interventions. For the MTR, the executive summary should include a recommendation that the programme: Continues as is Continues with modification or Does not continue. 1 Date your grant agreement was signed. 30 For the Final Evaluation, the most important areas to highlight are: an assessment of impact a statement of the extent to which the impact has directly or indirectly contributed to a reduction in poverty Lessons and key recommendations either to DFID or the lead organisation and implementing partners. 5. A short introduction to the programme This section may include a short description of the purpose and principal outcomes of the programme. This may be the same as stated in previous reports but please make modifications as necessary to reflect programme changes. 6. The evaluation methodology This section may focus on how the MTR or Final Evaluation was conducted. In some cases this may include how surveys, focus groups, key informant interviews, or other evaluation techniques were conducted. 7. Findings in relation to standard review criteria Standard review criteria may be applicable to both MTR and Final Evaluation. Please note, however, the emphasis of these criteria in the MTR is to assess what can be improved for the remaining funding period. In the Final Evaluation, the emphasis should involve a final statement of what has been achieved and what can be learnt. The standard review criteria may include: a) Relevance: Details of the programme’s significance with respect to increasing voice, accountability and responsiveness within the local context. How well does/did the programme relate to governance priorities at local, national or internal levels? How well does/did the programme relate to DFID’s country assistance plans b) Impact: Details of the broader economic, social, and political consequences of the programme and how it contributed to the overall objectives of the Governance and Transparency Fund (increased capability, accountability and responsiveness) and to poverty reduction. The articulation of the CAR framework within the GTF is through the GTF programme logframe as set out in Annex 2 of the Inception Report guidelines. Section 3 of your Inception Report identified how your programme or portfolio of projects is likely to contribute to this framework. It is the progress in relation to the selected indicators which we are particularly interested in hearing about. What was the programme’s overall impact and how does this compare with what was expected? Did the programme address the intended target group and what was the actual coverage? Who were the direct and indirect/wider beneficiaries of the programme? 31 What difference has been made to the lives of those involved in the programme? c) Efficiency: How far funding, personnel, regulatory, administrative, time, other resources and procedures contributed to or hindered the achievement of results. Has value for money been achieved in the implementation of programme activities? Could the same results have been achieved for less money? How well did the partnership and management arrangements work and how did they develop over time? How well did the financial systems work? How were local partners involved in programme management and how effective was this and what have been the benefits of or difficulties with this involvement? Were the risks properly identified and well managed? d) Effectiveness: Assessment of how far the intended outputs and results were achieved in relation to targets set in the original logical framework. Have interventions achieved or are likely to achieve objectives? How effective and appropriate was the programme approach? With hindsight, how could it have been improved? e) Sustainability: Potential for the continuation of the impact achieved and of the delivery mechanisms following the withdrawal of DFID support. What are the prospects for the benefits of the programme being sustained after the funding stops? Did this match the intentions? How has/could collaboration, networking and influencing of opinion support sustainability? f) Value for money: Has value for money been achieved in the implementation of programme activities Could the same results have been achieved for less money? Were salaries and other expenditures appropriate to the context? Are there obvious links between significant expenditures and key programme outputs? g) Equity: Discussion of social differentiation (e.g. by gender, ethnicity, socioeconomic group, disability, etc) and the extent to which the programme had a positive impact on the more disadvantaged groups. How does/did the programme actively promote gender equality? What is/was the impact of the programme on children, youth and the 32 elderly? What is/was the impact of the programme on ethnic minorities? If the programme involved work with children, how are/were child protection issues addressed? How are/were the needs of excluded groups, including people with disabilities and people living with HIV/AIDS addressed within the programme? h) Replicability: How replicable is the process that introduced the changes/impact? Refer especially to innovative aspects which are replicable. What aspects elsewhere? of the programme are replicable Under what circumstances and/or in what contexts would the programme be replicable? Finally, please note for the MTR only, in addition to the standard review criteria above, it may be helpful to look in more detail at the following: Appropriateness of the approach and methodologies to the existing context. The degree to which programme partners have been involved in implementation as envisaged in the original proposal and inception report. The effectiveness of the programme’s inter-partner management systems (e.g. steering committees, working groups, communications). The effectiveness of the programme’s M&E systems, including the quality of internal systems and annual reports. 8. Innovation Has the programme identified a new way of working that should be shared with others? If so, please describe in this section how the programme is innovative. (See section 12 of the GTF Annual Report guidelines for further detail on how innovation may be considered.) 9. Summary of Recommendations Please provide a brief summary of the key recommendations that have emerged from the review which may be useful for guiding the programme forward or instructing other programmes in the future. Recommendations may be subdivided into those related to your programme design and those related to programme management and indicate clearly for whom the recommendation is intended. (Also see section 13 of the GTF Annual Report guidelines for an alternative structure for recommendations.) 33 Annex 1 Achievement Rating Scale 1 = fully achieved, very few or no shortcomings 2 = largely achieved, despite a few short-comings 3 = only partially achieved, benefits and shortcomings finely balanced 4 = very limited achievement, extensive shortcomings 5 = not achieved Please complete this template in summary form to provide a uniform assessment of progress against your stated objectives. Objective Statement Purpose (state below, then rate and comment) Outputs (list and number all outputs and provide a rating for each) Activities State the main activities in relation to each budget heading and ensure that you have shown which outputs they relate to. Achievement Rating for year being assessed 1 to 5 1 to 5 Logframe Indicators As stated in your most up to date logframe. As stated in your logframe Baseline for Indicators As stated in inception report table. As stated in inception report table. Progress against the Indicators Comments on changes over the last year, including unintended impacts A judgement statement on progress so far with evidence to support this. Comments to explain the extent of progress, including recommendations for key changes to ensure better achievement of objectives. A judgement statement on progress so far with evidence to support this. Comments to explain the extent of progress, including recommendations for key changes to ensure better achievement of objectives. A judgement statement on progress so far with evidence to support this. Where possible results should be quantified. Comments to explain the extent of progress, including recommendations for key changes to ensure better achievement of objectives.
