Results-oriented monitoring of operations financed by the European Community under the Facility for rapid response to soaring food prices in developing countries (Food Facility) Terms of Reference
1. Background 1.1. Food Facility In response to the dramatic rise and volatility of food prices since 2007, the European Parliament and the Council have adopted in December 2008 the Regulation establishing a facility for rapid response to soaring food prices in developing countries1, with a budget of EUR 1 billion (“the Food Facility”). The Food Facility constitutes a short-medium term cooperation instrument, inbetween emergency assistance and long-term development cooperation.
The primary objectives of the Food Facility are to: Encourage a positive supply response from the agricultural sector in target countries and regions: Support activities to respond rapidly and directly to mitigate the negative effects of volatile food prices on the local population in line with global food security objectives, including UN standards for nutritional requirements: Strengthen the productive capacities and the governance of the agricultural sector to enhance the sustainability of interventions.
In order to achieve these objectives, the Food Facility supports three main types of activities:
measures to improve access to agricultural inputs like fertilizers and seeds and services like vets and advisors; other small-scale measures aiming at increasing agricultural production like microcredit, rural infrastructure, training and support to professional groups in the agricultural sector; and safety net measures, allowing for social transfers to vulnerable population groups, often in the form of labour-intensive public works (roads, irrigation projects etc).
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Regulation (EC) No 1337/2008 of 16 December 2008. available at http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2008:354:0062:0069:EN:PDF. Other useful background documents also include http://ec.europa.eu/development/icenter/repository/COMM_NATIVE_C_2009_2184_1_EN_DECISION _SUI_GENERIS.pdf ; http://ec.europa.eu/development/icenter/repository/COMM_COM_PDF_2009_3068_FOOD_PRIC ES_EN.pdf ; http://ec.europa.eu/development/icenter/repository/COMM_PDF_C_2009_2185_1_FACILITE_A LIMENTAIRE_EN.pdf
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In the overall programming of the Food Facility‟s financial allocations, 92% of resources are allocated to the country level; 6% are earmarked for interventions of a regional nature. A maximum of 2% is set aside for administrative support measures2. At the country level, implementation methods/channels include:
International Organisations – approximately € 550 million Call for Proposals for eligible entities, including notably Non-State Actors (NSAs) and Member States bodies - approximately € 200 million National projects and programmes (including budget support) – approximately € 170 million
In terms of geographic coverage, the overall plan for the implementation (annex C)of the Food Facility contains a list of 50 target countries (attached) which will receive assistance during a three year period. For more information on the Food Facility please see http://ec.europa.eu/europeaid/what/food-security/food-facility_en.htm. 1.2. ROM The Commission is moving increasingly towards results-oriented external cooperation. This strategic choice has been translated on different levels and this contract deals with the Results-oriented monitoring of projects and programmes. The commission monitors progress of its external cooperation on all levels: INPUT: A constant update of the financial flows (commitments and payments) is the basis of monitoring on the input level (Common Relex Information System, CRIS).
ACTIVITES/OUTPUTS: Project/programme execution is monitored constantly by the partners and the Commission‟s delegations in third countries. The latter should report regularly on activities and milestones into the central database CRIS via a dedicated „reporting window‟. PROGRESS and OUTCOME: The internal monitoring has an external complement with the Results-Oriented Monitoring (ROM) which allows a rapid appreciation of project and programme progress towards results, as well as of wider implications and provides the Commission with independent advice on its portfolio. IMPACT: The common progress to the achievement of the Millennium Development Goals is jointly monitored by partners and donors on the basis of the agreed indicators. In addition the Commission has agreed with other donors to monitor sector targets and indicators to have a more precise and more "up to date" view of progress.
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Regulation 1337/2008, art. 3 (4).
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Monitoring provides a regular reporting mechanism. Preparation and submission of analytical assessments to management and other involved parties enables focused management decisions to be taken in order to: ensure that projects and other activities remain on course to reach their objectives, with any adjustments being made with minimal disruption; support regular reporting mechanisms including to the Member States, the European Parliament and the Council; ensure early feedback from implementation to subsequent design, in advance of conclusions from possible ex-post evaluations.
This monitoring structure is completed by the regular evaluation of projects, programmes and sectors as well as by other routine reporting mechanisms in place. The present terms of reference deal exclusively with the ROM system. The results-oriented monitoring system was initially developed and tested in 2000/2001 before expansion during 2002 to all regions of the Commission‟s external co-operation. In 2008 seven new contracts were awarded, covering six geographical regions and the centrally managed interventions: Latin America (LA); Asia and Central Asia; Africa, Indian Ocean and South Africa (AIS); Caribbean and Pacific (C&P); Neighbourhood (ENPI); West Balkans and Turkey (WBT); and the Centrally Managed Thematic Programmes (CMTP).
2. Objective The main objective of the assignment is to gather results - oriented information on projects and programmes in the field and to report on progress in order to maintain and, where possible, improve the quality of external co-operation activities through timely, independent, well-targeted information on implementation. This information will mainly be provided through appropriate high-quality reports on technical and managerial aspects of implementation. Reports are centralised in one database. Reports are self standing outputs as well as a basis for further analysis. The system provides an overview and a basis for further analysis for the Commission, both in the Delegations and Headquarters. The devolution of the management of the Commission's external assistance to Delegations makes it even more necessary to ensure that Heads of Delegation and Headquarters have clear, consistent and userfriendly overview (monitoring) information on operations being implemented. The work defined here is to monitor the performance and results of operations financed on Community funds under the Facility for rapid response to soaring food prices in developing countries on the basis of an existing methodology. The basis of this methodology is considered defined for all countries. However, developments in external cooperation may cause adaptations, developments and the expansion of the methodology to be introduced during the life of the contracts. These
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adaptations may cause revisions of the overall budget to be contracted over the maximum duration of 24 months for the lot. For further relevant information on EC financed external assistance as well as on the overall conclusions of the ROM system, see recent annual reports on the European Community‟s Development Policy and the Implementation of External Assistance available online under: http://ec.europa.eu/europeaid/reports/index_en.htm 3. Methodology 3.1. General
The ROM system is based on regular visits to projects by external monitors (consultants) who produce short, semi-standard reports and give ratings and comments following standard criteria, estimating the efficiency, effectiveness, impact, relevance and likely sustainability of projects and programmes. Opinions of Task Managers (response sheet) are also recorded, with the monitoring reports and basic documents, in a central database. Having one consistent approach ensures that the Commission has comparable data for all regions where it provides external assistance. In order to ensure consistency in the system each criterion is thoroughly defined and then broken down into its components, which the monitor has to consider carefully before giving a rating (Background Conclusion Sheet, BCS). Key data such as budgets are noted, but no audit or in-depth financial monitoring is done. All monitoring reports are based on analysis of the relevant documents, site visits and consultation with all stakeholders, whether or not identified in the original design of the operation. The monitors responsible for specific operations have to ensure adequate stakeholder identification and consultation during monitoring visits. Where existing, monitoring should carefully assess and use Reports, Implementation /Activity Schedules, Indicators, Milestones or other relevant documents. Monitoring reports follow an online standard format (in the ROM module in the Common Relex Information System or "CRIS") allowing ready aggregation of data at the programme level on implementation of individual projects. The online format for reporting will be kept under review and may be amended by the Commission to meet the specific requirements of Commission services, notably in view of the devolution exercise. Detailed description of the methodology to be applied is in annexe A (monitors handbook). Monitoring reports are to be presented in English or the Commission's main working language with the country (English, French, Spanish or Portuguese). Further information on the ROM methodology is in the handbook (annex A).
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3.2. Projects Commission services will continue to strengthen their application of the logical framework approach to project design and management. An initial logical framework is systematically prepared together with the Financing Proposal for all new projects. This draft is supposed to be updated by project implementing authorities for individual projects both in their technical proposals and periodically thereafter. The monitors for any project will be encouraged to make proposals for refining or adapting the logical framework for that project, however all revisions to the logical framework for a project will remain the remit of project implementing authorities. The monitors will be responsible for reporting on project implementation against the agreed LF (at the time of the visit) and related indicators where feasible. The monitor will produce a Monitoring Report (MR), supported by a Background Conclusion Sheet (BCS) as well as a Project Synopsis (a one page document describing the background situation and the project's intervention logic). The monitors undertaking a monitoring mission must ensure good sectoral experience or knowledge of the projects they are called on to monitor, as well as adequate geographic experience of the regions, or countries of implementation of the projects/programmes they are called on to monitor. The Consultant should arrange that re-monitoring of a project/programme (for the second time or more) will be conducted by the same monitor who had initially monitored it, if requested so by the contracting authority. Non compliance should be justified on a case by case basis, for example in cases of force majeure, or any other reason beyond the control of the Consultant.
4. Expected Results Ongoing projects and programmes should be monitored once a year. Criteria for project selection are, with certain flexibility: at least six months of implementation and at least six months before the end of the project. Due to the short duration of the Food Facility projects, in some cases ROM missions can take place even 3 months after the beginning of the implementation and up to 3 months before the end of the projects.The project should also be assessable with the current methodology. The list of projects to be monitored will be drawn up by the Task Force Food Facility of AIDCO/F3 and will be discussed with the contractor in advance, so that the latter can organise the expert's work for the best efficiency. The monitoring missions' calendar will be drafted by the contractor after consultation with the Task Managers from the Food Facility. For the Food Facility, it is presently estimated that about 120 ongoing projects are to be visited at least once each year (once in 2010 and once in 2011). However, at the special requirement of the Food Facility Task Managers, more visits to specific problematic projects can be foreseen. At least one report per project visit will be produced. Further information about reporting can be found in the Handbook, in Annex A.
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4.1. Outputs In terms of outputs, the Contractor is expected to deliver: i. Project synopsis, Monitoring reports and BCS according to the formats defined and within the deadlines set, that meet appropriate quality standards; Special reports (including synthesis/analysis of ROM results either geographically, or sectorially, as well as recommendations) upon request of Commission services (EC Headquarters or EC Delegations). These may be related to operation of individual projects, or sector analyses derived from experience gained by the monitoring team across a series of projects. The service requesting the report will present terms of reference/ a task description, the contractor will respond by a budget estimate and, if appropriate, a note explaining his/her understanding of the task. The request and proposal has to be agreed by the unit nominated for the management of the contract, otherwise this report cannot be financed on the contract. The contractor will also be required, if necessary, to present the work, findings and conclusions in short seminars/workshops to stakeholders, in Brussels or in the region. No seminar/workshop will be organised by the contractor, without the prior written approval of the contract management Unit. Ad-hoc proposals for seminars are to be justified and accompanied by budget proposals which have to be agreed, in writing, prior to the seminar by the contracting authority, i.e. the unit nominated for the management of the contract.
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5. Tasks The contractor will organise, prepare and conduct monitoring missions in the countries targeted by the Food Facility. Latest 40 working days after signature of contract, the contractor under the presently tendered contract will establish a calendar of the monitoring missions and foreseen actions on the basis of the list of projects and activities of the Food Facility to be monitored. This list will be established by the Task Managers from the Food Facility Task Force, in some cases with the contribution of the EC Delegations, the beneficiaries of the projects and the implementing partners. The list is the basis of the rolling yearly programming. The calendar and list of missions must be updated at least once a year. The updated calendar and list must be presented to the managing unit, together with the proposed annual work plan, 30 calendar days before the start of the contractual year. CVs of the monitoring experts who are proposed to carry out a mission should be communicated to the responsible Unit at Headquarters3 30 – 90 calendar days before the planned mission.
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AIDCO F3/ Task Force Food Facility
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For each project a data file has to be established or updated before the respective (first) monitoring visit, containing at least a summary, log frame and implementation schedule. It has to be noted that each year a sizeable number of project data files need to be established. The contractor will prepare Monitoring reports and ensure full and rigorous quality control. Reports are to be encoded online directly by the contractor in the ROM module in the CRIS database. The reports have to be presented, fully qualitycontrolled, to the database not later three weeks (15 working days) after the last day of the monitoring mission concerned. Once the reports have been encoded in the ROM database, they must be print out in pdf format and sent by e-mail (as attached documents) to the Delegation of the European Commission concerned and to Unit AIDCO F3. The contractor will also upload or encode the project synopsis and the BCS into the ROM – CRIS database. The contractor is fully responsible for all errors when he/she encodes a report or other document into the database. Regular quality control also on this issue must be done by the contractor. The contracting authority attached great importance to the issue of quality control. Errors have to be corrected by the contractor. If these errors in number or in quality exceed a reasonable limit the contracting authority can consider the contractor non responsive to the technical offer he/she has submitted (please refer to the technical offer on organisation of the Quality Control). For more information on quality control steps see the Monitoring Handbook. In order to be able to access the CRIS database, the contractor will be required to comply with a series of security standards and to sign with the European Commission a security convention. (details in Annex B1 to B4) The contractor may be called to establish monitoring notes in certain cases, when upon arrival in the field and in spite of best efforts a selected project is not monitorable due to security matters. These cases should remain the strict exception, for further information please refer to the Monitoring Handbook in Annex A. During the first half of January the contractor will provide relevant data on number of reports, grades, limited qualitative and quantitative analysis for publication in the annual report on the European Community‟s Development Policy and the Implementation of External Assistance. The exact data will be defined by the coordination unit AIDCO E5 and communicated to the contractor on due time. The contractor will fully coordinate with the experts supporting the coordination Unit AIDCO E5. The contractor will ensure that both the management unit and the coordination unit dispose, at all times of the full information concerning the contract as well as the operations. The contractor will, upon simple request, put at the disposal of the
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management unit any other information concerning the operations he/she might have collected during the execution of the tasks. 6. Organisational set-up The Commission reserves the right to make changes to this arrangement, if appropriate, during the duration of the contract. The contractor will be required to accept written instructions to this effect. Changes to the geographical set-up proposed by the contractor have to be agreed with the responsible Unit of the Commission. For the present tender, Unit F3 has been nominated to manage the contract (management unit). This unit is responsible for the day to day running of the contract and for decisions on implementation within the terms of reference. The same, strictly consistent methodology is to be used in all contracts/lots. One, separate, coordination unit (AIDCO E5) is responsible for overall co-ordination, the common database and methodological issues, including overall quality control and the guarantee of independence.
7. Management reporting The contractor will submit the following reports an Inception report one month after the start of the contract and management reports with a frequency of every six months thereafter to the management unit. The reports are due in end-July, and end January of each calendar year. If requested by the Contracting Authority, the contractor will submit monthly updates to the management report (4-5 pages) with brief data on activities undertaken in the reporting period. A final yearly completion report due 30 days after the end of the contract year, should cover overall activities during the contract year. The final report should describe the achievements, assess whether the objectives and expected results have been attained and make recommendations for future development (“lessons learnt”). An interim/final technical report which should accompany all requests for interim/final payments, which shall be approved by the Commission before making any interim/final payments.
The final report should also sum up the conclusions of the assessments done during the year and present a first quantitative and qualitative analysis of the results recorded. The instructions for the yearly report 2008 are in Annex E for information.
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Management reports (updates and yearly report included) must be sent by e-mail and in two hard copies to the respective management unit/ Task Manager and to the coordination unit (one copy), at the dates indicated above. Management reports are to be presented in English. 8. Objectivity, Confidentiality and Conflict of Interest No person may monitor a project in which he/she, or the firm employing him/her under this contract, was previously involved to any significant degree which could lead to suspicion of bias. In the case of a consortium or other kind of temporary association, all the members of the consortium or association, are seen as being in a conflict of interest. The objectivity and quality of monitors‟ judgements are crucial for the credibility and of the system. The contractor will ensure that, before each monitoring mission all experts involved sign „declarations of objectivity and independence. Upon request these signed declarations have to be submitted to the contracting authority. Any information acquired under this contract other than that reported in the monitoring reports, is to be treated as confidential. No such information which is of a commercial nature may be communicated or used for commercial purposes; in the event of any suspected abuse the Commission may require, without further delay or reason, the immediate replacement of the person(s) concerned. In the technical offer the tenderer is expected to describe fully and in detail how he will ensure objectivity and quality of monitoring. The Commission has overall responsibility for the monitoring programme of projects. The contractor providing monitoring services is employed by the Commission and will work for and report directly to Commission services. The monitors cannot perform public authority service tasks and therefore do not have an official function of representing the Commission. Use of references to the Commission in stationery and other materials provided by or through the project will be agreed in advance by, as appropriate, Commission services. 9. Expertise required In order to fully respond to the terms of reference it is estimated that at least the following are required: One full-time senior expert (head of central team) with overall responsibility for the project with appropriate backstopping staff and facilities, with a liaison office in Brussels; the appointment of regional team leaders can be foreseen. Senior4, medium5 and junior6 specialists as to mobilise experience and expertise in the regions and sectors to be covered7, as well as in computing
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Senior level: university masters degree or equivalent more than 10 years of relevant expertise Medium level: university masters degree or equivalent and 5 - 10 years of relevant expertise
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and data management. Expertise is also needed for cross-cutting issues as specified in the European Consensus; A particular subgroup of the senior specialists is the proposed mission leaders who have distinct responsibilities in monitoring visits. (profile in annexe to the monitor's handbook);
The exact quantities of such experts depends on the workplan finalised, but for tendering purposes a basic estimate is that each monitoring will require, on average: For ongoing projects from 5 to 10 person/days in – country (plus preparation and reporting time) depending on the conditions of the mission and the complexity of the projects monitored. If the contractor considers that a mission requires more than 8 person/days (i.e. 9 or 10 person/days), the reasons for this necessity have to be duly justified; moreover, this necessity has to be already foreseen and justified before the beginning of the mission (justification should be annexed to the monitoring report for the respective mission) the first establishment of a project data file will require approximately 2 - 3 working days (possibly junior expert)
The Commission requires a high level of quality for this contract. The contractors are required to ensure that, despite the high number of projects to be covered, they are prepared to enforce a fully satisfactory level of quality, in particular in terms of capacities and preparation of monitors. Experts on all levels must have fully adequate experience, in accordance with their respective level (senior, medium and junior), in monitoring, the respective technical expertise of the sector they are supposed to work in and be fully conversant with PCM or sector approaches, respectively as used in the EC. In addition they should have generally good experience of external cooperation, notably of the EC and their funding instruments. If necessary, contractors will be requested to organise relevant training courses on their own expense. Shadowing, coaching or training of junior monitors, notably during monitoring missions will not be covered financially by the contract. The contracting authority reserves the right to interview any expert proposed for a task, including the experts proposed in the winning technical tender. The limited number of interviews will be requested sufficiently ahead and may be financed under the contract. This does not apply to the interviews possibly planned to decide on the award of tender.
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Junior level:. university masters degree or equivalent and less than 5 years of relevant expertise In this particular case, the profiles to be covered include in particular Food Security, Rural Development, Agriculture and 'Safety Nets'.
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To respect and support highest standards of quality, use of local expertise is strongly encouraged. The contractor should include local expertise in the monitoring team where ever feasible. Absence of local expertise will have to be explained in each case. Local consultants are also, and fully, concerned by the instructions under point 9, namely concerning Conflict of Interest. Local expertise is understood to comprise citizens and, in justified cases also residents, of the beneficiary country as well as citizens/residents of other countries in the region (regional expertise). A minimum target of 10% local expertise is planned and, whenever possible, more is recommended. The contractor will feed all the monitoring reports into the database which is integrated in the Commission's computerized information system.
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