Operational Guidelines for Non-Reimbursable Technical Cooperation GN-2629-1
Working Group Composition and Scope •
The recommendations herein contained supersede:
Proposal to Establish a new Platform for Knowledge and Capacity Building Products (GN2549), Interim Operational Guidelines for technical cooperation to finance Knowledge and Capacity Building Products (KCPs) and Operational Inputs (OIs) (OP385-2).
•
This proposal presents findings and recommendations by the Working Group created to improve the approach of the Bank’s TC; the Working Group was coordinated by SPD and included TC users from COFs and Headquarters.
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A Consultative Group formed by all Country Representatives (26), all VPS and VPP Sector Division Chiefs also validated the Working Group findings at different stages of the discussion.
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Management will present to the Board for approval a Procurement Policy for the contracting of TC consulting services by the Bank.
Principles of the Recommendations BEFORE
AFTER
Taxonomy
4 KCP categories + Operational Inputs
3 categories
Strategic Financing
Ad-hoc committees with limited accountability
Bank-wide committees with strategic and eligibility decisions published internally
Programming
No programming
Annual programming + rolling process
Approval
4 approval processes for KCPs + Operational Inputs
Single approval process for all TCs
Review
Lack of standardized criteria
Standardized checklist approach
Execution
Automatic extension and complex fiduciary management
No automatic extensions, simplified fiduciary management
Monitoring and Evaluation
Lack of compliance, focus on financial performance
Single monitoring system for all TCs focused on results
Taxonomy of Bank Products and Technical Cooperation Technical Cooperation
1
2
3
4
5
6
Loans/ Guarantees
Grants
Operational Support
Client Support
Research and Dissemination
Corporate Input Products
Origination
Purpose
Dema nd-dri ven
Investment + Policy Reform + Technical Assistance
DTF
Ba nk-dri ven
Ca pa ci ty bui l di ng + Knowl edge cre a ti on a nd di s s emi na ti on
Funding
OC + FSO
Beneficiaries
Publ i c a nd pri va te s ector cl i ents i n borrowi ng member countri es
Knowl edge cre a ti on a nd di s s emi na ti on
Net Income + DTF + Admi ni s tra ti ve Budget
Publ i c a nd pri va te s ector cl i ents i n borrowi ng member countri es + Externa l a udi ences + the Ba nk
Governance of Technical Committees for Funds Role • Strategic direction and reporting of results • Eligibility review of individual proposals • Quality review as part of the QRR Composition • Standard composition for all OC-Special Programs and parallel Multidonor trust funds • Sector Managers – Chair, Representative, VPS and VPP Division Chief, ORP, GCM, VPC and VPP Managers.
Programming and Approval 1
2
3
4
Annual and rolling basis programming in official lists
TC Abstract for identification of funding source
QRR for TC Plan of Operations or Annex
Certification of funds
• CPDs • RD Programmin g Document • OPR
Submitted by team leader to GCM
Checklists by selected units for minimum required standards
Approval according to corresponding delegation of authority
Monitoring and evaluation system •
•
•
Single system for systematic reporting on TC progress: •
Basic information on the TC type
•
Focused on tracking activities and outputs.
•
All TCs, regardless of the source of funding, report once a year.
TC completion report: •
Required to close the TC.
•
Final monitoring report with an additional information on activities and outputs.
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Generated by the TC monitoring system.
Selective TC evaluation at project, sector or country level. •
Sample of TCs selected within each fund (single, multi-donor and Special Program).
•
Evaluation based on funds results frameworks (multi-donor funds or special programs).
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Criteria for evaluation: timeliness and pertinence (OS TCs ); usefulness and value added (OS TCs ); and pertinence in providing knowledge in areas where gaps have been identified (RD TCs) .
Document Structure • TC Abstract (2 to 3 pages) - IDBDocs # 36279458
Objective and Justification Description of activities Indicative Budget Execution Agency and structure Risks and issues ESG classification
• TC Document (7 pages) - IDBDocs # 36279477 If OS TC: Description of associated Loan/Guarantee Objective and justification Description of activities/components and budget
Results matrix
Budget
Monitoring Arrangements
Audit/evaluation reports
Execution Risks and issues Exceptions to Bank policy ESG Strategy
Annexes: 1. 2. 3. 4.
Letter of Request/Portfolio Review Aide Memoire/CPD TORs QRR Checklists Procurement Plan
Processing TCs as of September 15th 2011: Processing the TC Abstract 1. Registration OPUS - Register the TCs programmed annually in CPDs (CS-TCs and OS-TCs), RD Programming Document (RD TCS) or Operational Program Report (Regional TCs). 1 GCMCountry Department |GCMSector Focal Points
2. Authorization of Abstract
OPUS - Fill required information, generating “ Basic Information for TC Abstract”and follow table of contents for TC Abstract. IDBDocs - Save TC Abstract, relating documents to TC number. Project Team Leader (PTL)
OPUS - Authorize TC draft as INVENTORY. PTLDiv ision Chief |Unit Chief | Manager or Country Representativ e or Regional Manager(s)
Single windowSend TC abstract PTL
3. Funds Assignment
OPUS - Enter fund assignment and amount.
Request attorney assignment from LEG/SGO or LEG/NSG.
GCM
PTL
TC Eligible and with Funds Assigned Funds
TC Document Review and Approval 4. Technical Review Convene and chair QRR/ERM (virtual or physical) for review of TC Document. QRR distribution list should include: VPC, VPS, VPP, FIN, PDP, GCM, LEG, SPD, ESG & assigned GCM fund manager with copy to OPC2
Prepare TC document PTL
Additional peer reviewers may be appointed by chair in special cases. Clear TC Document and reflect comments in QRR minutes.
5. Final Approval
PTLDivision Chief |Unit Chief or Manager or Country Representative
Prepare and send final TC Package to GCM for “ Certification of Funds”by GCM Division Chief. PTL
Certify availability of corresponding funds 3. OPUS and LMS - Process approval. GCMDivision Chief