part a the review of the human resources development programme

1

PART A

THE REVIEW OF THE HUMAN RESOURCESDEVELOPMENT PROGRAMME

Cambridge Education Consultantsq:ewr\projects\43243BA01 2

A1 Background

The Uganda HRDP was designed and prepared during the 1991 and 1992 period, at a time whenthe country was experiencing a substantial measure of economic recovery. Buildings were beingrehabilitated, roads repaired and resurfaced, and various infrastructure components restored tooperational capability. Industrial production had risen in the previous three years by 60 %, tradewas recovering, and the easing of restrictions on imports and foreign exchange transactions wasbeginning. Donors, both multi-lateral and bilateral, were planning inputs in support of the countryand Uganda was poised to move on from the initial reconstruction of a warn-torn economy intoa phase of more sustained development.

Against this background Human Resource Investment, particularly of skilled manpower, was seenas vital to the achievement of the government’s goals of an independent, integrated and self-sustaining economy. The National Manpower Survey of 1988/89 had produced estimatesindicating critical shortages of technicians, craftsmen and professionals such as engineers,accountants, computer operators, amongst others, continuing into the 1990's.

Accordingly, Government manpower policy, at the time, had clarified targets which includedincreasing the productivity of the existing workforce and increasing the stock of skilledmanpower. It was clear, however, that the HRDP funded under EDF 7, while comprehensive inits focus, could not undertake, within the limits of its budget, all the activities which would beneeded to complete the national tasks. Hence prioritisation formed the context in which theprogramme was developed and approved.

A2 Structure of the HRDP

Key FeaturesDecision: March 1993Project Amount: 14,500,000 ECUProject Duration: 4 yearsImplementing Agency: Manpower Planning Department of Ministry of Finance and

Economic PlanningFinancial Status

Total During 1995 During 1996Secondary Commitment 4,781,213 462,933 1,603,562Disbursements 2,076,517 259.666 893,133

Source: EU Kampala, Annual Report, 1995/96.

The HRDP comprises five distinct projects, Projects 1 to 5. An additional component for theTraining Project Implementation Unit was also added and for the purposes of the MTR this isreferred to as the Implementation Component. The five distinct Projects of the HRDP are listedas follows:


Project 1: Capacity Building in Three Ministries

Project 2: Strengthening of Tertiary Level Technical and Commercial Training Institutions

Sub-Project 2.1: National College of Business Studies (NCBS)

Sub-Project 2.2: Uganda Polytechnic, Kyambogo (UPK)

Sub-Project 2.3: Institute of Teacher Education (ITK)

Project 3: Strengthening of University Level Education

Sub-Project 3.1: Estates and Works Department

Sub-Project 3.2: Library-Journals and Security

Sub-Project 3.3: Staff Development

Project 4: Support for Inservice Employment-related training

Sub-Project 4.1: In-country training

Sub-Project 4.2: Scholarships

Project 5: Return of Qualified Ugandans from Overseas.

The Training Project Implementation Unit is referred to, in some of the documentation, as Project6.

Project 5, supporting the Return of Qualified Ugandans from Overseas is also included in theFinancing Agreement of the HRDP. It has not been included in the ToRs for the Mid-TermReview of the HRDP and is managed by the International Office of Migration (IOM) as part ofIOM’s regional programme.

A3 Timing of the Mid-Term Review

The ToRs for the MTR were submitted by the TPIU in mid May 1996 and following some minoramendments they were approved on June 6th 1996 and forwarded to the Delegation. A formalapproval was expected by mid July 1996 but actual approval was received from Brussels in mid-February 1997 and a short-list of consulting companies proposed. These were contacted by theNAO in March 1997 and a deadline for submission of technical and financial proposals set forApril 1997. Negotiations were completed and the contract was awarded in May 1997. It isimportant to note, therefore, that the Review is taking place during the final year of the HRDP.


A4 Objectives of the Mid-Term Review

The specific objective is to assess the relevance of the programme in the context of its overallenvironment and to assess its efficiency, effectiveness, impact and sustainability. Drawing onlessons from experience gained during the period under Review, the evaluation will conclude withrecommendations on the future of the programme.

A detailed proposal for the future of the Programme is presented in the form of a LogicalFramework under Part B of the Report.

It must be noted, however, that at the time of the Review, and despite of the fact that the HRDPis in the final year of its current implementation period

• no TA are in place in any one of the Projects;• equipment has only been partially supplied;• civil works have commenced but are not complete;• the 1st Year Work Plan is still the operational schedule reflecting overall major

implementation delays.

As a result of this situation, and even at this late stage in the implementation phase, it is clear thatthe impact of the HRDP can not be fully assessed. Where possible, internal efficiency is analysedand external effectiveness and eventual impact projected.

A5 Methodology

The Methodology for the MTR followed standard EDF guidelines for Programme Review whichwere also included in the Terms of Reference. These included:

Use of existing documentation: A wide ranging review of all existing programme documentationwas made at the EC Delegation in Uganda and at the offices of the HRDP in Kampala. These aredetailed in Annex A5 and the Evaluation Team enjoyed the full cooperation of the DelegationStaff, of the Director of the HRDP and his staff in this exercise.

Briefing and debriefing: A briefing was held at the Ugandan Delegation at the commencementof the Review and a debriefing was also held at the end of the field mission. No briefing tookplace in Brussels.

Interviews: An extensive round of interviews was held with all programme personnel andrelevant beneficiaries, stakeholders and implementers.

Tracer Study: A tracer study of persons whose skills had been upgraded through scholarshiptraining was also carried out and the data received is detailed in the Technical Annex. Trendsbased on this data are highlighted in the relevant chapters.


Workshops and Seminars: Two workshops were organised: An initial Briefing andBrainstorming Seminar was held on 25th July 1997 to which all stakeholders were invited.Thisenabled the Review Team to outline the purpose and methodology of the Review and providedthe opportunity for stakeholders to share information on the relevant events in relation to theReview. The seminar was extremely useful in focussing on the issues and constraints of theReview.

A Logical Framework Workshop was held on 21st, 22nd and 25th August 1997 and facilitated byan independent Logframe Moderator. Following this workshop the outcomes were formalisedinto a programme logframe which is detailed in Annex A7.

The efficient progress of the Mid-Term Review was impeded considerably by the followingfactors:

• the absence of the TPIU Team Leader from the Review for the first 25 days during whichthe Financial Controller was unwilling to provide information until instructed by Comerinton Monday 21st July;1

• the absence of the Financial Controller from the 4th August to 18th August during whichthe TPIU Team Leader was unable to provide specific data which was stored on theFinancial Controller’s Computer to which the Team Leader did not have access.

A6 Programme Preparation and Design

An assessment of preparation and design of each Project and sub-project is included under theappropriate sections which follow. A review of initial overall Programme Design and Preparation

1. The MTR commenced on the 9th July hence a period of 25 days in which the Team Leader of the TPIU was not presentfor the review. The extended absence was the subject of correspondence between the Kampala Delegation and the Contractor. Itwas noted that a set of documents on the HRDP was prepared and made available for the MTR and this was much appreciatedby the Review Team. During the absence of the Team Leader the Financial Controller was unwilling to provide additionalinformation and clarification as there were areas of the programme with which he was not familiar. In fact most questions whichwere put the staff of the TPIU during this period were referred to the Team Leader for his return. It is fully appreciated that leavefor officers was approved but it is the consultants view that it would have been preferable if all officers were available to answerquestions at all times during the MTR.During the absence of the Financial Controller the Team Leader was unable to access the computer on which data on the

programme’s finances was stored, thus the MTR had to await his return.


is made in this section. (i) Initial HEDCO Programme Design Study- February 1992

The HRDP commenced with a Design Study which was carried out in 1991 and presented itsFinal Report in February 1992. The ToRs for this study called for

‘the design of a comprehensive training and education programme in line with the LomeIV National Indicative Programme for Uganda’.

Two visits of the consultants’ team took place with an Inception Report following the first visitand a Draft Final Report submitted within one month after the second visit. Following receipt ofcomments from the Ministry of Planning and Economic Development, as well as fromCommission personnel, and consideration of the report of the joint donor study on Universityeducation, the Final Report was submitted and is dated February 1992.

(ii) Objectives of the HRDP in the First Design Study

Objectives for the HRDP were stated in the First Design Study as:

i to increase the supply of technical and business personnel (NCBS, UPK, In-Country Training);

ii to improve the supply of teaching personnel in technical subjects (ITEK);iii to contribute to efforts to improve the efficiency of public sector management

through “capacity building” (MPED, Labour, Public Service and CabinetAffairs);

iv to continue contributing to the rehabilitation of Makerere University.

In line with these Overall Objectives the Initial Design Study identified four major projectcomponents:

• Component 1: a capacity building measure to strengthen the management,analytical and information base of three Ministries with majorfunctions in the area of manpower policy;

• Component 2: increasing the output and quality of technical and businessgraduates through a major rehabilitation, re-equipment, staffdevelopment and technical assistance programme for (i) the NCBS, (ii) the UPK and (iii) the ITEK;

• Component 3: in-country training courses aimed at small business and fellowshipsfor overseas training;

• Component 4: further contributions to the revival of Makerere University as wellas to other university developments.


(iii) Programme Implementation in the First Design Study

The First Design Study provided for an implementation model which varied for each individualproject. Overall supervision was to be with the Manpower Department of the MPED with anofficial being nominated with overall responsibility for implementation, monitoring and evaluationof the programme components. Given limitations on the available human resources in theManpower Department it was proposed to support the implementation by way of personnel andother resources.

Implementation at institutional level was to be as follows:

• Capacity Building-to be implemented by the Ministry of Planning;

• NCBS, UPK and ITEK-to be implemented by the Implementation Unit of the Ministry ofEducation, supplemented by specialist technical assistance;

• University Projects-to be implemented by the Planning Unit.

The projects were designed to be stand-alone and the argument was made that tie-in with otherprojects was not critical for successful progress in each case. However, having receivedcomments on the Draft Report, the Final Report made a proposal to establish a ProjectImplementation Team which would provide

• overall supervision and financial management;• professional expertise to advise on the recruitment of TA;• construction expertise to advise/monitor civil works.

A suggested format for the Project Implementation Team was:

A Financial Manager/Supervisor;A Part-Time Director with broad-based HR experience;Other specialist, part time-3 months annually;A local full-time Assistant/ Secretary;Local part-time professionals as required-3 months annually.

(iv) Second Design Study-Ramboll & Hannemann.

Within, five months of the submission of the 1st Design Study Final Report, a 2nd Design Studywas commissioned on 12th June 1992. This Report, which copied large portions of the text of the1st Design Study, is also indicated as a Final Report and was submitted in October 1992. Whiledrawing substantially on the same data it is clear that a number of significant changes andadditions were made to the HRDP in the Second Design Study 2.

The most significant change was the addition of Project 5 supporting the Return of QualifiedUgandans from Overseas which was also included in the Financing Agreement. As mentionedalready Project 5 has not been included in the ToRs for the Mid-Term Review of the HRDP and


is managed by the International Office of Migration (IOM) as part of a regional programme.

Other significant changes related to enhancement of inputs of TA, equipment, vehicles, increasedscholarships and a more comprehensive input at Makerere University. A detailed comparison ofthe inputs as described in the 1st and 2nd Design Studies is given under the appropriate section foreach sub-project.

The ToRs for the 2nd Design Study also included the preparation of the necessary details for aDraft Financing Proposal in EDF format and the preparation of a Draft Tender Dossier for theselection of Technical Assistance for the Implementation Unit. The proposal for timing of theHRDP was from June 1992 to June 1996.

Cost estimates for the HRDP were also revised in the 2nd Design Study and a comparison is asfollows:

Table A6.1: Cost Estimates in 1st and 2nd Design Studies (ECU Million)

Projects 1st Report 2nd Report

Capacity BuildingNCBSUPKITEKMakerereIn country/OverseasOverseas UgandansTrainingContingency

1.2502.752.500.503.503.00nil1.351.350

1.2023.976

2.3171.6420.7

1.090

Total 16.20 10.927

Implementation 1.00 1.059

Total 17.20 11,986

Note: partly combined figures were presented in the 2nd report and no specific allocation was identified for UPK, ITEK and training.

The Financing Proposal for the HRDP was finalised by Ramboll and Hannemann and is datedAugust 1992 and the Financing Agreement was signed in March 1993.

(v) Tender for Award of the Contract for Technical Assistance to the Implementation Unitof the HRDP

The Restricted Tender Dossier for the Contract for the Technical Assistance to the ProjectImplementation Unit was prepared by Ramboll and Hannemann and invitations to bid wereextended to 10 short-listed Consultancy Groups on the 9th July 1993. The closing date forsubmission of tenders was 25th October 1993.

(vi) Contract for TA for Evaluation of Bids for the Award of Contracts for the TA for the


TPIU.

A contract for Technical Assistance to evaluate the bids for the TA Contract for the TPIU wasawarded to Prof Georges Bublot. His report is dated October-November 1993 and details theevaluation of the bids and recommended the award of the contract to a consortium of twoEuropean companies, Comerint, (Italy) and SODETEG (France). The contract was signed andthe TA arrived in Uganda in March 1994. The period of the contract was extended for one yearfrom the 4th April 1996, to allow for the Mid- Term Review to take place. Further extension wasto be contingent on the general outcome of the Review which was due for completion by end1996. However, the Review did not take place within this period and, consequently, the contractwas extended a second time to March 1998.

(vii) Inception Report

An Inception Report was prepared by the TPIU Team Leader and completed in July 1994. Approval of the Inception Report was received from Brussels in December 1994. Actualcommitment of funds commenced at the end of March 1995, a year after the arrival of theImplementation Team.

In preparing the Inception Report the initial two Design Studies, the Financing Agreement,Tender Documents for the TPIU Technical Assistance and the Technical Assistance Contractwere used as base reference documents. The Logical Framework Matrix prepared as part of the2nd Design Study was not used and the Inception Report refers (page 4) to the fact that ‘nocomprehensive Logical Framework and no official budget breakdown’ were available at the startof the programme. The Review Team did, however, locate the original Logical Framework andBudget Breakdown, prepared as part of the 2nd Design study, in the Delegation files in Kampaladuring the field work. In view of the fact that there are three specifications of the inputs, all ofwhich have been approved, a comparative table has been included in the analysis of each projectwhich highlights the development of the specifications between 1992 and 1994.

The TPIU saw, as their primary task, the preparation of a complete Logical Framework for theHRDP as a means of systematising information, identifying implementation stages, and tomonitor and evaluate. This exercise was carried out in consultation with beneficiaries and,consequently, revisions were made in inputs based on revised priorities of needs, and theinevitable different management styles resulting from the presence of new directors/principals inthe institutions.

All the projects and sub-projects were reviewed in terms of expected results, activities, means,costs and budget. Verifiable indicators, sources of verification and assumptions were also revised.

Thus the HRDP design and working documentation became the work of the TPIU and not, as isnormal practice, the work of independent consultants who are not involved in the actual implementation of the Programme.2 Subsequent revisions were also made to the Logical

2. In its comments on the Draft Interim Report the TPIU Contractor indicates that ‘in accordance with the EU Delegationit was decided to reconstruct a logical framework that was checked at various stages by the acting adviser’.


Framework and an updated Matrix has been supplied by the Team Leader during the Mid- TermReview in August 1997. Such an updated Matrix had not been prepared at the time of revisions,and the Mid Term Review Team made a specific request for the updated version. It is includedin the Annex A7. Part of the work of the Review has been to assess the impact of the variousredesign exercises in order to measure the implications for programme coherence, and consequentimpact on implementation.

(iix) Budget Adjustments

The 1994 meetings between the beneficiaries and the TPIU also resulted in budget adjustments. These included re-allocations, additional provisions for consumables, running costs and otheritems referred to as local expenses. The original budget allocation for TA for the TPIU was alsofound to be insufficient, but a budget adjustment for this purpose was not made until the 2nd

Workplan (however, this workplan has not yet been approved, see xi below). These review andadjustment activities were carried out in consultation with the Uganda EC Delegation. In thisreport the effects of budget adjustments are analysed under each project assessment.

(ix) Project Steering Committee (PSC)

Provision for a TPIU Steering Committee is made in the Financing Agreement. The functions ofthe PSC are broadly referred to as ‘the assessment of the programme’; no clear statement of thedetailed functions of the PSC and its’ relationship with the other key actors is given. Themembership (five) of the PSC is outlined in 3.2 of the agreement as

the Secretary of Manpower Management;the Director of the TPIU;the responsible officers of the Projects;representatives of the Manpower Planning Department of the MFEP;representatives of the EC Delegation.

However, at its meeting on the 19th June 1996 the composition was changed to include elevenpersons

PS Min FPED (Chair);PS Min Labour and Social Welfare;PS Min of Education and Sports;PS Min of Public Service;Vice Chancellor Makerere;Principal ITEKPrincipal UPK;Principal NCBS;NAO;EC Delegation;Director HRDP;

Contact persons for the various projects would attend as resource persons only, as would the two


TPIU TAs.

Also agreed at the initial meeting was the identification and appointment of contact persons foreach beneficiary Project who would act as liaison persons with the TPIU. A further twomodifications were also made at this stage; (i) it was agreed to further analyse Project 1 (seereview of Project 1) to give a clearer definition of objectives and inputs, and (ii) it was agreed tomodify the TA inputs in Sub-Project 3.1.

In terms of the Financing Agreement the PSC is intended to meet quarterly. An initial meetingwas held on the 30th March 1994 at which the composition of the Steering Committee wasdiscussed. The first meeting of the Steering Committee was held on 31st January 1995 and thefollowing is a list of actual meetings held during the life of the HRDP:

Table A6.2: Programme Steering Committee (PSC) Meetings

Year Date of meeting

1994 30th March Initial Meeting

1995 31st January21st September

1996 28th February19th June19th September

1997 9th January28th April26th May

Source: TPIU.

As can be seen from the above table meetings were not held in accordance with the requirementsof the Financing Agreement.

(x) 1st Year Workplan

A First Year Workplan was prepared and submitted with the Inception Report. This Workplancovered the year from April 1994 to March 1995. It was approved by Brussels on December 14th

1994 and its period of validity was December 1994 to December 1995. By the end of March1995 only 40% of the funds committed locally had been transferred to the Programme HoldingAccount and, as a result, many planned activities had to be postponed.

The 1st Workplan contains considerable detail on the activities and planned disbursements for the1st year of the HRDP.

(xi) 2nd YearWorkplan


The 2nd Year Work Plan for the period April 1995 to March 1996 was prepared in April 1995 but,because of postponement of elements of the 1st Year Work Plan, it contains many of the activitiesof the latter. Work Plan 2 was submitted in the same format as Work Plan 1. However, it wasnot accepted by DG VIII on the basis that it was too complicated and placed a heavyadministrative burden on the TPIU and the Delegation . During the Brussels Monitoring Mission (see xii below) it was suggested that there should be an extension of the validity of the First YearWork Plan for 18 months, since only 21% of the funds allocated in March 1995 had beendisbursed by March 1996. A 2nd Year Work Plan was due to be revised and in place by mid-June1997.

The following is a summary of key events in relation to the Workplans for the HRDP:

TABLE A6.3.Schedule of Workplan Preparation and Approval

Workplan 1: Validity December 14, 1994 December 13 1995

Workplan II:

1. Initial meetings with NAO to define carry overactivities and new activities

March 1995

2. Drafting of Work Plan II by TPIU April 1995 July 1995

3. Submission to NAO August 3 1995

4. Transmission to DGVIII August 3 1995

5. Rejection by DGVIII Dec. 22 1995

6. Crassner Mission-Feb 1996-Extend Workplan 1 for18 months

Feb 1996

7. Extension of Work Plan 1 (Rider 1) Period of validity

August 15, 1996 June 30, 1997

8. Extension of Work Plan 1 (Rider 2) Period of validity

July 1, 1997 March 31, 1998

9. Work Plan II to be redrafted following the results ofthe Mid Term Review

Mid-Oct. 1997

Source: TPIU Records

(xii) Project Monitoring

Brussels Monitoring Mission- Mr Crassner

At the request of the Kampala EC Delegation a monitoring mission from Brussels took placebetween 26th February 1996 and 3rd March 1996. The aim of the mission was to investigatereasons for the delays being experienced with the implementation of the HRDP, to assist in


finalising the TA tender for the tertiary education institutions, and to review the managementstructure of the programme in the light of the management constraints which had beenhighlighted.

The mission clarified a number of outstanding issues and recommended a series of actions toensure the continuation of the Programme in the short run. It was the opinion of the mission thatunless a reform of the management structure of the programme could be achieved then it wasdoubtful if the programme could remain viable or sustainable in its present form.

The mission identified and listed the main problems confronting the programme and proposedsolutions. It stated that

‘the programme in its present form, has grown beyond the capacity of the Delegationand the TPIU to manage successfully’.

It also recommended a simplified management structure to reduce the demands made on theDelegation and that should the aims prove impossible to achieve within 12 months of the mission,then the HRDP should be broken up into its separate components and the non-viable and non-performing elements closed. The following specific recommendations were made by Mr Crassner:

. To extend the contract for the management of the TPIU for 12 not 24 months;3

. Any further extension should be contingent on the outcome of the projected MTR whichshould be completed before the end of 1996;

. An independent financial audit should be undertaken immediately;

. Project 1 should be redesigned on a much reduced scale with the funds so freed beingallocated to a revised project 4;

. Proper guidelines should be prepared for the management of training awards grantedunder Project 4 including the targeting of private sector organisations as potentialbeneficiaries;

. The in-country short-course component of Project 4 be reconstituted along the lines ofthe programme ‘Colloques et Seminaires’ and be opened for applications byadvertisement;

. The impact of the TA proposed for the tertiary education institutions in Projects 2& 3should be monitored closely and that funds be held in reserve to extend some of theshorter assignments should this prove necessary;

. Programme Steering Committee (PSC) meetings should take place on a regular basis with

3. The recommendations are a direct quotation from the Crassner Report, however, in its comments of the Draft InterimReport the Contractor for the TPIU has requested that it be clarified that this was due to a clause in the original P.A.C. approvedin 1994.


the committee being fully consulted on important management issues in order tostrengthen the ’ownership’ of the HRDP by the Ugandan administration;

. The expatriate staffing of the TPIU should be increased to manage the new awardsprogrammes under Project 4;

. The validity of the First Annual Work Plan should be extended pending approval of arevised Second Annual Work Plan;

. the Second Annual Work Plan should be recast to simplify its administrative proceduresand to rationalise its financial management;

. The continuation of the HRDP in its present form should be assessed in te light of the mid-term review, due to be completed before the end of 1996. Should the problems revealedby the present mission remain unresolved, then the Programme should be broken up intoindividual projects and those elements that are non-viable should be terminated.

(xiii) Scholarships

Scholarships have formed a core element of the HRDP, both within separate projects and as aproject in itself (Project No 4). These are reviewed as they arise under the section on each projectand data arising from the tracer study, undertaken by the Mid-Term Review Team, is containedin the Technical Annex. Trends based on this data are highlighted in relevant chapters togetherwith data on gender-balance and expenditure on scholarships.

During the earlier years of the programme female participants were in a very clear minority butthis has grown to a current participation rate of 35% minority.

In the period 1994-1996 almost 80% of the scholarship funds utilised were spent on overseasscholarships, and regional and in-country training has played a small role in the overallprogramme.

The question of putting in place a system of follow-up for the scholarship programme is clearlya function of the TPIU and is outlined in the programme documentation (see Contract and TenderDossier) but had not been implemented at the time of the Mid-Term Review.

In the following chapter a detailed review of the activities of the TPIU is presented. This willfollow with analysis of each sub-project.

A7 Training Programme Implementation Unit (TPIU)

(i) Introduction

It is important to note that the TPIU is not an Institution but rather a temporary support


mechanism supporting a Department of the Ministry. It should, therefore, not assume any longterm, sustainable or permanent institutional role other than those which are appropriate to theDepartment. This will be taken into consideration in the review of its activities and in theproposed reorientation of the HRDP in Part B of the report.

(ii) Changes in the original TA for the TPIU

Following the award of the Contract for the TA for the TPIU some changes in the team personnelwere made as follows:

The Team Leader selected as part of the bid was not available after the signing of the Contractand was replaced. The Financial Controller was found to be unsuitable shortly after his arrival andhe was also replaced. Therefore, the two International TAs selected by the EvaluationCommittee had been replaced within three months of the commencement of the Contract for theTPIU.

(iii) The Role of the TPIU

The Tender Dossier describes the role of the TPIU as follows: (see Tender Dossier, Annex A,Part 1, item 4.)

The Contractor is expected to take all the initiatives and necessary action in collaboration withthe Programme Director in order to facilitate TPIU to perform a number of roles including

1 to manage the programme and the five projects;

2 to provide expertise on:

the preparation of specifications and selection of contractors for civil works andprocurement contracts;

the monitoring of civil works contracts;

the preparation of specifications and recruitment of consultants for technicalassistance and studies;

the preparation of the training activities of the programme.

3 to ensure that the specifications for equipment and services reflect the local environmentalconditions, including climate, utility supplies and maintenance capabilities in theforeseeable future;

4 to coordinate procurement activities with other donors to ensure no duplication ofpurchases;


5 to encourage the recruitment of women as consultants and trainers;

6 to encourage the participation of women as beneficiaries of training activities providedunder the projects;

7 to encourage the employment of Ugandan consultants wherever practicable in order todevelop national expertise in project management.

(iv) Functions of the TPIU

The Tender Dossier also lists a set of Functions for the TPIU as follows:

The Contractor is expected to take all the initiatives and all the necessary action in collaborationwith the Programme Director to allow the TPIU to undertake the following specific functions:

1 prepare all the details and specifications for the implementation of the programme andindividual projects, in close collaboration with the persons responsible for the differentprojects, in particular detailed Annual Work Plans covering infrastructure works to beexecuted, equipment and consumables to be supplied, training activities to be put in place,service contracts to be implemented as well as results expected to be achieved.

2 make a regular technical follow up of the programme in particular assessingIf the supply of inputs was done as planned and/or if the adjustments done wereadequate;

if the activities were conducted as planned and/or if adjustments are adequate;

if the foreseen results are likely to be obtained as planned and if not propose andimplement and the necessary adjustments;

if the assumptions made were met and if not assess the risks incurred and alert theprogramme responsible and the EC.

A system of permanent follow up is to be created following the logical framework approach andin particular including objectively verifiable indicators.

3 prepare quarterly reviews of the Annual Work Plan covering in particular the itemsmentioned under 2 above, and submit them to the Steering Committee.

4 prepare end of year reviews of the Annual Work Plan, covering technical, administrativeand financial issues, with particular attention to the training activities, following the logicalframework approach and submit them to the Steering Committee together with the WorkPlan for the following year in January each year. End of the year reports will includeassessment of the overall progress of the programme in particular as far as implementationof the planned activities and likelihood of achieving the anticipated results are concerned.

5 organise the tenders and consultancies for rehabilitation works and equipment supplies and


supervise contract implementation.

6 identify any ad hoc studies and consultancies needed with the collaboration of thoseresponsible for the individual projects.

7 prepare the terms of reference for any technical assistance, studies and consultancies;organise in collaboration with the Administration and in accordance with EDF rules thechoice of consultants and prepare the necessary contractual documents using the standardEC formats

8 prepare the Annual Work Plans to be approved by the EC to support the commitment andpayment of local expenditure of the projects, concerning, in particular, local staffallowances, consumables and local training activities.

9 undertake the full management of Project 4, including the researching of training needsfor ad hoc in-country, developing the training specifications, contracting suitable trainingproviders, and organising and advertising the provision of the training at selected venuesthroughout Uganda, and arranging invitations to attend. In other words, the TPIU willact as the responsible party for the provision of this in-service training activity.

10 organise all the training activities in collaboration with the responsible officer of thedifferent projects. In particular;

organise the local ad hoc courses directly or through contracted expertise (in casesof personnel, finance and library services for Uganda Polytechnic Kyambogo staff,seminars for Makerere University teaching personnel and in-service coursesincluded in Project 4.

identify the matters to be covered by the in-service local courses.

organise the attendances of existing local and regional courses, prepare all thenecessary documents both administrative and financial.

assist in the identification of the matters to be covered by the regional andoverseas scholarships of Project 4, in the choice of institutions and candidates andprepare all the necessary documentation following EDF scholarship rules.

put in place a system of follow up of the implementation and results achieved bythe training activities in particular of the scholarships with the support of themonitoring system created in the Manpower Department under the EC Lome IIITraining Programme.

11 Prepare all the financial documents needed for processing payments by EC in particularensuring that claims are adequately presented, follow contractual expenditure breakdownand clauses, and are supported by the necessary clear documents.

12 Propose, prepare ToR and organise implementation of the Mid-Term Review, finalevaluation and , if necessary, external audits of the programme. Organise implementation


including assistance in the choice of consultants following EC rules and prepare thenecessary contractual documents

(v) Location of TPIU

The location of the TPIU was the subject of initial concern and discussion following therestructuring of government ministries and the fact that the Manpower Planning Department wasto become a section of the Economic Planning Department. The proposal to establish a NationalManpower Council was also made at this time. It was, however, decided to locate the TPIU inthe Ministry of Finance and Economic Planning under a Programme Director.

TPIU staff included:

1 Programme Director nominated by the GOU. This appointment was made in July 1994;

1 Human Resources Expert who was referred to as the Team Leader (long term)1 Programme Accountant (long term);

1 Civil Works Expert (local short term);1 Procurement Expert (local short term);

1 Administrative Officer (local long term);1 Secretary (local long term).

All staff were in place by end March 1994.

Provision was also made for short-term consultant assignments of up to 6 man-months in totalin order to perform studies and consultancies in the framework of the programme.

The original ToRs for the TPIU staff require a Programme Accountant and this position was filledby the Contractors. After a period of two months it was mutually agreed that the ToRs were toonarrowly defined and that there was a need for an administrator with a wider range of experience. As a result, the Accountant was replaced by May 1994.

(vi) TPIU Office

Office accommodation for the TPIU was to be provided by GOU within the Manpower PlanningDepartment of the Ministry of Finance and Economic Planning but was not available when theprogramme personnel arrived in March 1994. Financial provision was made for the rehabilitationof the office accommodation and TAs commenced work from their homes until July 1995.

The Team Leader and Programme Accountant arrived in March 1994 and eight months after theirarrival a restricted Tender was launched in November 1994 for the renovation of the TPIUoffices. The contract was awarded to a local construction company and works were completedin early June 1995. The office became fully operational in mid-July 1995, seventeen months afterthe arrival of the TPIU Team. Thus the Team Leader worked from an office in his home for thisperiod. Coordination of TA inputs was made difficult during this time and the Director of the


HRDP attempted to overcome this by holding regular Team Meetings but these were discontinuedafter a short period.

The following outlines the set of events and time frame undertaken to rehabilitate the TPIUOffices:

TABLE A7.1 Rehabilitation of TPIU Offices

Event date

Arrival of TA Team March 1994

Approval of Rehabilitation by NAO/Delegation October 1994

Approval of short list by NAO/Delegation October 1994

Launching of restricted local tender November 1994

Tender Evaluation January 1995

Approval of NAO/Delegation March 1995

Awarding of Contract April 1995

Completion of works June 20 1995

Source: TPIU

The process was a lengthy one taking into consideration that the TA for TPIU was in place fromMarch 1994. It is difficult to comprehend why a local restricted tender took up 16 months of thetwo year contract to complete.4

(vii) Procurement of Supplies for the TPIU Offices5

The following was the schedule of events leading to the procurement of the TPIU Supplies:

TABLE A7.2 Procurement of Supplies for the TPIU Offices

Event date

Arrival of Team March 1994

Approval of short-list by NAO and Kampala ECDelegation

November 1994

4. In comments received on the Draft Interim Report from the Contractor for the TPIU it is pointed out that until August1994 no communication was received in relation to which offices were to be rehabilitated; in late September 1994 the personnelof the Manpower Unit vacated the premises, and October 1994 a restricted tender for the rehabilitation of the offices waslaunched and within the next four months work had commenced. While these additional comments alter the dates originallyprovided by the TPIU, the consultants remarks, that the delay in the completion of the rehabilitation work was inordinately high,stands.

5. Refers to procurement of supplies for the TPIU Offices other than those procured and supplied by the Contractor for theTPIU at the commencement of the contract in April 1994.


Submission of bids February 1995

Tender evaluation March 1995

Award of Contract April 1995

Delivery of supplies October 1995

Source: TPIU

Thus the TPIU Team was already nine months in Uganda before it prepared and had a list ofequipment approved; it was a total of twelve months when the equipment was ordered anddelivery of equipment took place 20 months after the arrival of the team. Thus for the first 24months of the Comerint Contract, twenty months (83%) were spent without office equipment.

It is difficult to understand why such delays were necessary given the fact that the full TPIU Teamwas in place.

(iix) Procurement Expert

The Procurement Expert provided by the local consulting firm by means a sub-contract, resignedfrom her position on the basis that there was insufficient time to complete her assignment onschedule.

This event appeared to affect the relationship between the Consultant and the Sub-Contractor,with the result that after official consultations between the Contracting Authority and the KampalaEU Delegation, the contract was terminated.

A new Procurement Expert was recruited by direct agreement after an official procedure ofapproval in the beginning of April 1995.

In all there have been four different Procurement Officers in the 3.5 year life of the HRDP.

TABLE A7.3 Type of Procurement, Procurement Officers and Duration of Contract6

Type ofProcurement

ProcurementOfficer

From To Duration-months

Supplies and TA J. Nambi April 1994 January 1995 10

No ProcurementOfficer

February 1995 March 1995

Supplies and TA J. Etidau April 1995 December 1995 9

6. The contract for the TPIU included provision of 12 months of Procurement Expert services to be spread over the first 24months of the duration of the first two years of the project as required. During the first 24 months actual provision ofprocurement services amounted to 22 months and man/months in excess of the contractual amount were covered directly by theconsortium.


Supplies Tender 9 W. Nsubuga January 1996 March 1996 3

TASuppliesProcurement

E Nyakana December 1995 date Still in TPIU

Source: TPIU

As part of his ToRs the Procurement Officer was required to prepare a Draft Evaluation Manualfor the TA Tender. This was prepared and submitted to Brussels in mid 1996. However,following consideration Brussels advised (23.09.1996) that it should not be used and that themanual normally used for EDF Tenders, ‘The User’s Guide’ be used.

(ix) International Tenders

Supplies

The 1st International Tender (04) for procurement of Supplies was launched on May 7 1996 andthe deadline for submission of bids set for 7th August 1996 when they were opened at the CentralTender Board Offices. This Tender included eight lots of equipment, Books, Journals, Vehiclesand other equipment. The results of the preliminary analysis was discussed and agreed upon atthe First Evaluation Committee meeting on September 5th 1996 and at a second committeemeeting on September 16,1996, recommendations were made to award contracts for the variouslots. A Report and Recommendations were submitted on September 19th 1996 to the NAO forapproval and a final approval was expected by end October 1996. A derogation was granted inmid-November by the Tender Office of DGVIII on the origin of items under Lot C and instructedthe TPIU to carry out direct negotiations with Winchester Procurement. Negotiations werelengthy because of exorbitant prices of some items. The contract was finally awarded at the endof December 1996 and endorsement by the Delegation was expected in January 1997.

The complete list of lots awarded is as follows:

TABLE A7.4 Lots and Suppliers for the 1st International Tender (04)

Lot Content Supplier

A Computer Equipment Solado, Italy

B Office Equipment Winchester Procurement, UK

C Audio-Visual Equipment Winchester Procurement, UK

D Binding Materials Winchester Procurement, UK

E Medical Laboratory Equipment Unit Export Ltd., UK

F Journals and Books B H Blackwell, UK


G Vehicles Unit Export Ltd., UK

H Office Consumables Winchester Procurement, UK

The following is a summary of key events in relation to the Preparation of Supply Tender 04:

TABLE A7.5 Preparation of 1st International Supply Tender (04)

Months Key Events from to

1-7 Assistance to institutions to compilespecifications

April 1994 Sept. 1994

6-7 Checking of lists August 1994 Sept. 1994

7-12 Preparing specifications Sept. 1994 Jan 1995

15-17 Completion of Specs., and costings April 1995 June 1995

17-18 Finalisation of tender documents June 1995 July 1995

18 Submission to NAO July 1995

As can be seen from these tables it took between April 1994 and July 1995 to submit the firsttender documents to the NAO. Clearly some more efficient means of producing thedocumentation should have been addressed at an earlier stage.The Tender Dossier for the 2nd International Tender (09) was under preparation and was due foraction in July 1996. It was submitted to the NAO for approval on July 6, 1996, and approvalfrom DGVIII was received on December 20th 1996. Some minor amendments were requestedand made. March 4th was the date of publication and the deadline date for bidding was set forJune 3, 1997.

(x) Preparation of Equipment Specifications

Equipment Lists and specifications have been prepared, in the first instance, by the beneficiariesin consultation with the Procurement Officer. They have been cross-checked by the TPIU staffand commented upon by the NAO and Kampala EC Delegation. Where it was considered thatitems requested were not in pursuit of the objectives of the project they were deleted and final listswere re-submitted to the beneficiaries for final approval.

A series of meetings was held to discuss the appropriateness of the electronic library controlequipment requested by the Makerere Library. It was the opinion of the TPIU staff that suchequipment was inappropriate, that it would lead to undue maintenance problems which could notbe attended to in Uganda and as such should not be procured. The final decision to approveprocurement was made by the NAO.

The Procurement process would have been greatly enhanced by the presence of the institutional TAs whose contribution to the development of the specifications would have been considerably


valuable, efficient and expeditious. A networking approach could also have been used by theTPIU to utilise specifications already prepared for similar institutions in the region.

(xi) Civil Works

Comerint engaged a Civil Works Expert to be responsible for all specifications of civil works. The1st Tender Dossier was rejected on the grounds of deficiency and as a result his contract wasterminated. Thus there have been two Civil Works Experts during the life of the HRDP and theirdates of appointment are shown below:

TABLE A7.6 Appointment of Civil Works Experts and Duration of Contracts7

Appointment From To Duration months

W. Sekaziga April 1994 March 1995 12

No Civil Works Expert April 1995 November 1995 8

F. Tusubira December 1995 October 1997 23 months

Source: TPIU

7. Provision for Civil Works Experts Services was to be 12 months of the first 24 months of the first contract.

Attempts were also made in 1995 to arrange a direct agreement with the civil works expert butthis was not successful. This caused a further delay in the preparation of the tender dossier forthe 1st International Tender and the Tender for Rehabilitation Works in the three tertiaryInstitutions.


Substantively, therefore, work only commenced with the arrival of the second Civil Works Expertin December 1995, but already 21 months of the first contract had expired, eight of which therehad been no civil works expert in post.8 The 2nd Civil Works Expert commenced work onupgrading the documentation already prepared, consistent with EDF Guidelines.

After a series of successive amendments, the Tender Dossier was finally approved on May 6 1996along with the restricted tender procedure and a short list of companies. The Tender waslaunched on 22nd May 1996 and the deadline for submission of bids set for July 2 1996.

Three companies submitted bids and at an Evaluation Committee meeting of July 1996 all threetenders were found to be non-responsive. It was agreed to cancel the tender and to enter intodirect negotiations with one company which was considered more reliable. This was endorsed bythe Kampala EC Delegation on September 6th 1996. Guidelines were set for the negotiation andan outcome expected by October 1996. The negotiations were completed and the contractawarded to Babcon. The endorsement of the Delegation was given in January 1997 and worksinitiated in February, which is the 36th month of the HRDP.

The final approved Tender Dossier consisted of three independent lots, as follows

• Lot 1: National College of Business Studies,• Lot 2: Institute of Teacher Education Kyambogo,• Lot 3: Uganda Polytechnic, Kyambogo

It was then decided to entertain requests from the Institution’s Principals regarding additionalwork to utilise funds not fully committed. This was agreed in May 1997 and work was due to becompleted in October 1997, forty two months after the commencement of the Programme.Causes of delays in Civil Works can, therefore, be summarised as

• inadequate initial civil works consultancy;• changed site conditions over the two year period between assessment and execution;• cancellation of the tender;• delays in approval;• lack of international tender experience.

The following table A7.7 is a summary of key events in relation to the Civil Works Tender 03.

8. In comments on the Draft Interim Report the Contractor for the TPIU has stated that the consortium providedbackstopping for this function at no additional cost.

TABLE A7.7 Rehabilitation of Tertiary Institutions, Tender (03)


Months Key Events From To

3 Preparation of tender dossier May 1994 January 1995

11 Submission of tender dossier to NAO Jan. 1995

20-21 Prequalification for Tender Oct. 1995 Dec. 1995

23 Short list approved by NAO Feb. 1995

25 Cancellation of tender April 1995

25 Termination of contract with CW Expert April 1995

26-28 Revision of tender dossier May 1995 July 1995

28 Submission of tender dossier to NAO July 1995

31 Queries by Delegation Oct. 1995

33-35 Revision of Bill of Quantities Dec.1995 Feb. 1995

36 Award of Contract Mar 1997

38 Contract commenced May 1997

43 Contract complete Oct/Dec1997

(xii) Technical Assistance

The pre-qualification exercise and Restricted Tenders for Technical Assistance was not completedby June 1996 and additional information was requested by DGVIII in early June 1996. Asummary document was submitted by the NAO in February 1996 while a detailed analysis in threevolumes was held as a reference at TPIU. The detailed analysis was requested by DGVIII in mid-June 1996 and submitted. Some amendments requested were made during the same period.

After an analysis of documentation concerning the evaluation procedure submitted in June 1996the legal services of DGVIII did not approve the short list submitted by the TPIU and approvedby the NAO. In particular, reference was made to article 294 of the Lome IV Convention andArticle 4.1 of the General Regulations, whereby the presence of non-profit making organisationsin any of the various types of partnership constitutes an element of unfair competition and rendersthem ineligible for tendering.

In the light of this, TPIU was asked to review the pre-qualification list. The result was that, inaccordance with the regulations cited, only three bidders of the original list were found to beeligible for the four restricted tenders, as they were fully profit making. These were

n GTZn Carl Bron Scottish Development Overseas/ Glasgow Caledonian UniversityConfirmation was sought from the last bidder to ensure that it was a profit making organisation. The reviewed short list was submitted by TPIU to the Delegation for approval.


Technical bids for Tender 05 were opened on December 5, 1996. Only two of the threecompanies had submitted bids by December 5th 1996. Some discussion took place on the case ofthe third company whose documentation had mis-routed but it was decided to disqualify thisbidder. The Evaluation Committee finalised the technical evaluation on 26th February 1997 andthe NAO approved in March 1997.

Tenders 06/07/08: By the end March 1997 no final decision had been communicated fromDDGVIII regarding the short lists for these three remaining tenders. The TPIU and the NAOproposed:

• cancellation of the pre-qualification;• compiling a short list from the original 15 companies (6 were disqualified);• insertion of a warning note in the letter of invitation to tender, stating that presence in any

consortium or joint venture of a non-profit making organisation would result indisqualification.

(xiii) Mechanism for checking and monitoring deliveries of equipment

Supplies are delivered directly to the beneficiary institutions. The Programme Director, FinancialController and Procurement Expert are present at the time of delivery and the beneficiaries arerepresented by the appropriate project contact person. A provisional acceptance certificate issigned by both parties, goods are stored by the beneficiaries and are then under their responsibility. Where installation and testing is required the final certificate is issued after these operations havebeen carried out. Contract conditions include that the supplier must provide an after sales servicefor a period of 1 year after delivery and where training in the operation of the equipment isrequired it must also be provided free of charge by the supplier.

(xiv) HRDP Progress Reports

Progress Reports for the HRDP have been dated as follows:1994 Annual Report Sept. 1994-September 19951995 Progress Report Oct.-1995-December 19951996 Final Report March 19961996 Progress Report April 1996-June 19961996 Progress Report July 1996-Sept.19961996 Progress Report Oct. 1996-Dec. 19961997 Progress Report Jan. 1997-March 1997

The Reports have given a very detailed quantitative assessment of progress but provide littleindication to alert the reader to problem areas, difficulties and qualitative issues in the HRDP.An example is the latest Progress Report available for 1997 where six pages are narrative andseventy one are given to an Annex of Tables. The HRDP is a programme of “Human ResourcesDevelopment’, and such development can not adequately be reflected through quantitativestatistics only.


PROJECT 1CAPACITY BUILDING IN THREE MINISTRIES

1.1 Programme Preparation and Design


All Projects and sub-Projects were part of the overall HRDP which was designed in a number ofphases as follows:

First Design Study : February 1992Second Design Study: October 1992Third Design: TPIU Inception Report March-June 1994Amendments to the Third Design: Various intervals

As outlined in the preamble to this report the ToRs of the Ramboll and Hannemann were tofinalise the documentation prepared in the 1st Design Study and to prepare the Financing Proposaland Agreement. Using the same overall objectives the inputs were enhanced and specified ingreater detail. These inputs formed the basis of the Financing Agreement in which Project 1 isoutlined as follows:

Project Purpose: To strengthen the capacity of government for planning,development and efficient utilisation of its human resources.

Project Results: Improved information and analysis capacity of the ManpowerPlanning Department of the Ministry of Finance and EconomicPlanning

Project Inputs: Technical AssistanceStaff DevelopmentEquipment Supply

Using a revised LogFrame the TPIU stated the same purpose of the Project, however noassumptions for the Project Purpose were listed.

The following results were to be achieved according to the TPIU Logframe:

1 Improved Capacity of the Economic Planning Dept. Of the Ministry of Finance andEconomic Planning t produce updated and reliable user-oriented information on thelabour market in close cooperation with the Ministry of Public Service and Ministry ofSocial Welfare.

The results were linked to the following assumptions by the TPIU:

1 No loss of key personnel involved in the programme during implementation;2 Relevant Ministry Departments willingness and ability to cooperate closely.

Project Activities, Means and Costs are outlined in table 1.1

Table 1.1.1 Project No 1: Capacity Building in three Ministries. Comparison of inputsand budget allocation as per various design stages


Compo-nents

Design 1 -HEDCOFeb. 1992

Design 2 - Ramboll &Hannemann and Draft FinancialProposal July 1992

Design 3 - Inception Report by TPIUMarch - June 1994

Further changes madein the design by theTPIU at variousstages after inception

TA

Staff Development

Equip-ment

LocalStaff

Civilworks

No costingLong term:1 Expertfor 36months.Short term:20 expertsx 3 months.

no costing16 x 3monthsscholarships

no costing1 minibus.Otherneeds notspecified inthe design.

No costingNot in thedesign

No costingNot in thedesign

ECU 756,0001 expert for 24 months for management. Total of 48 person-months for various short termexperts. Majority for MFEP fordevelopment of aspects related todemography, labour-force, and foroccupational studies. The rest ofshort term experts for the other twoMinistries for development ofcomputerised systems on manpowercompatible with the MFEP system.

ECU 242,00014 x 3 months overseasscholarships.3 Local seminars of 3 days for 50participants each.Local training: 4 x 1 year + 18 x100 hours10 Training seminars of 1 week.

ECU 134,0008 Computer terminals, 5photocopiers, 2 video systems, furniture for 8 officesTeaching equipmentOther equipment as per separate listto be provided by each Ministry+6 minibuses ECU 70,000. Running costs mentioned butnot specified No costing

ECU 30,000Salary supplementation

No costingNot in the design

1. One long term labour market expertfor 24 months and total of 40 person -months of short term TA to design andimplement an information system. ECU712,000 (including local expenses)2. Short term experts in socialresearch methodologies and indata processing systems: 16 experts fora total of 48 person months ECU500,000 (including local expenses)

3.1 Eight overseas short termscholarships ECU 80,0003.2 4 in-country long termscholarships ECU 12,0003.3 In-country training seminars andworkshops: 1 three-weeks seminars for18 participants; 3 three-day panels for150 participants; 10 one-weekworkshops for 150 participants.ECU 158,000

4.1 Office and training equipment,teaching material: as per list to besupplied ECU 72,8504.2 Vehicles: 2 Saloon carsand 4 minibuses. ECU 119,2004.3 Consumables, spare parts andrunning costs: supply for 4 yearsECU 76,400

ECU 300005. Officers to interface with the TPIU:top up salaries

No costingNot in the design.

1. Specification andcosting kept as in thedesign 3


3.1 Two long-term andthree short-termscholarships.In spite of the change inspecification, budgetkept as in the design 33.2 Specification andcosting kept as in thedesign 33.3 Specification andcosting kept as in thedesign 3

4.1 Specification andcosting kept as in thedesign 34.2 Specification andcosting kept as in thedesign 34.3 Specification andcosting kept as in thedesign 3


No costingNot in the design

TotalCosts(ECU)

1,250,000 1,232,000 1,760,450 In spite of changes ofspecification of somecomponents total costsbudgeted as in design 3 1,760,450

As can be seen from the Table 1.1 changes were made by the TPIU in the overall allocations offunding, TA and vehicles. Documentation indicating approval of changes by EDF or Kampala EC


Delegation is not readily available and PSC meetings do not record approval of all changes.

From the outset, and during the planning of activities under the First Year Work Plan there werestrong opinions, at a number of levels, that the original Capacity Building Project was unclearlydefined. These were reflected in the second progress report. The doubts surrounded issues relatedto

(i) the number and typology of end users,(ii) the cost effectiveness of the computerised information network in relation to its expected

operations, and (iii) the ability of Ministries to manage and maintain the system given their reduced staffing.

In addition to these doubts, questions were also raised about the relatively high number of TAs,(31 TAs for a total of 112 person/months), and the consequent ratio to the low number ofbeneficiaries, totalling 15 persons in three ministries. This initially led the PSC to review theproject by commissioning a further two Studies to be carried out by consultants, Dr T McIntoshand Dr C Katende.

(i) McIntosh Report-January 1996

The McIntosh Study was for a duration of three months at a cost of 30,585 ECU and the FinalReport is dated January 1996. His brief included:

to carry out a reassessment of the project objectives;to define the MIS characteristics in terms of inputs, outputs and methodologies;to evaluate the usefulness and feasibility of a computerised network;to provide clear identification of personnel training needs;to specify the type of TA needed to support the project within the three ministries.

The McIntosh Final Report drew five major conclusions

i existing institutional capabilities for national human resource management are relativelyweak;

ii a series of important steps need to be taken by Government to strengthen the manpowerplanning function (operationalise the NMC, establish the council);

iii. the project has the capacity the equip the staff adequately with the requisite skills andknowledge to determine and analyse the labour market;

iv. the system should be linked into a broader information gathering network;v. the overall objectives are clear concise and complimentary networked to the on-going

World Bank Institutional Capacity Building Project.

As a consequence of the conclusions the McIntosh Report made four proposals:

i. the overall objective should remain the same;ii. efforts should be made to establish the various sectoral links;iii. a plan of operation that would lead to a national manpower information system should be

determined;


iv. seventy seven (77) person/months TA be recruited as follows:Long-term-24 months;Medium-term-32 person/months;Short-term-9 person/months;Specialised short-term-12 person/months;

The McIntosh Report was endorsed by the PSC but the project revision was rejected by DG VIII(Progress Report June 1996) as the MIS was considered no longer relevant to Uganda’s currentneeds. The position of DGVIII was to simplify the project and re-allocate funds to Project 4. Residual funds in Project 1 were to be utilised to provide overseas, regional and in-countrytraining to the ministries’ staff. The PSC endorsed this choice and was requested to submit aTraining Needs Proposal (see iii below) to be evaluated and approved.

(ii) Katende Report

The second consultancy was commissioned by the HRDP, commenced on 1st August 1995 andwas for a period of 6 months. The cost of the Katende Study was 29.200 ECU. The purposeof this study was to assess the research methodology skills and project analysis skills of therelevant Ministries and to propose training programmes to address deficiencies in these skill areas.

A report was issued in February 1996 entitled ‘Research Methodology, Policy Analysis andProject Analysis Skills Available in the Programme Beneficiary Departments’ which identifiedthat there were large training needs in terms of policy analysis and recommended a mix of shortand long-term training programmes.

(iii) Training Needs Proposal

By mid-August 1996 the three Ministries had submitted a Training Needs Proposal. The PSCagreed that the proposal should be expanded in order to allow screening by the TPIU. TheProposal was revised by the TPIU for conformity to the HRDP objectives and submitted to theNAO for evaluation and approval. It was formally approved by the NAO in January 1997. However, the Delegation rejected the proposal on the grounds that the technical justification wasfocussed on the training needs of individuals rather than on the wider objectives of capacitybuilding. The three Ministries are currently engaged in developing a revised proposal.

(iv) Restructuring of Ministries and Location of the Manpower Planning Department

In the Final Report on the restructuring of the Civil Service the Manpower Planning Departmentis described as being responsible for

• the development of a manpower and labour market information base;• the analysis, monitoring and coordination of national manpower data policies and

programme;• the drafting of plans, policy statements and strategies for employment creation;• the provision of technical and secretarial services to the National Manpower Council.The civil service restructuring process and re-location of the Manpower Department has impacted


negatively on the HRDP. Currently staff of the TPIU are unsure as to the status and location ofthe HRDP within the government structure as the Department has been located in differentMinistries since 1990. The following illustrates:

1990-1992 Ministry of Planning and A Full Department Staff 18Economic Development (MPED)

1993-1995 Ministry of Finance and Section Status Staff 9Economic Planning (MFEP)

1996-1997 Ministry of Planning and Section Status Staff 3Economic Development (MPED)

A proposal has been submitted to the Permanent Secretary to re-establish the Department witha staff of 8.

In an assessment of the key issues to be addressed the Civil Service Reform Programme (CSRP)Restructuring Report highlights the following:

• The Department’s location in Wandegeya, away from Ministry Headquarters is notconducive to effective communication;

• The concept of manpower planning in economic planning has not been clarified;• Programme planning and coordination with other departments is lacking;• The MPD’s ToRs are ambiguous, reflecting internal inconsistency of the functions

delegated to departmental units; some being too broad to render streamlined efficiency.

(v) Status of Project 1

Coherence of the Project Design:A Logical Framework was drawn up as an Annex to theFinancing Proposal in 1992 but was not used by the TPIU which drew up a Logical FrameworkMatrix for the Inception Report in 1994. The TPIU Logframe differs in a number of respects andas part of the Mid- Term Review the consultants have assessed both logframes and have evaluatedthem in terms of Intervention Logic, Objectively Verifiable Indicators, Sources of Verificationand Assumptions.

Objectively Verifiable Indicators: No specific indicators are specified for the Project Purposereflecting a lack of definition. It is difficult to objectively assess programme impact and effectsgiven the lack of specificity in definition.

Sources of Verification: The sources of verification listed are

• GOU official reports and annual budgets;• Proceedings of annual conferences or seminars presenting EP Dept. Research and

policies.

In view of the lack of activity in this Project it was inappropriate to attempt to verify achievementsas the limited activities undertaken would not be reflected in Govt Reports.


Assumptions: No assumptions have been stated for the Project Purpose and are limited in termsof the Project Results.

1.2 Relevance

The Capacity Building Project was designed in 1991/1992 and was relevant within the context ofthe evolving Ugandan economy at the time. The delay in the implementation of the Project untilalmost six years later has placed it in a very different contextual environment. Globally manpowerforecasting, as a mechanism for government manpower planning, has undergone considerablereview and change. It is now generally recognised that projections for skilled occupations whichare based on estimates of future growth in most sectors of the economy have proved inaccurate. Added to this is the fact that Government Policy in Uganda has reorientated towards the privatesector with a growing tendency towards market force determination of supply and demand in allspheres. In this context the Capacity Building Project now needs reorientation in order to increaseits relevance.

In the 1996 Brussels Monitoring Mission it was the opinion of Mr Crassner that, given theliberalisation of the Ugandan economy with its emphasis on private sector job creation, it isdoubtful if the conception retained for this component is relevant to current needs. This viewpointcombined with the doubtful sustainability of the proposed manpower planning system, have leadthe Commission Services to recommend that the bulk of the funds under the capacity BuildingComponent (ECU 1.68 million) be transferred to employment-related training under Component4.

1.3 Efficiency

Since the Project activities have been suspended there will not be a relationship between theplanned activities and the planned results. The efficiency of project implementation has not,therefore, been high, since most activities have consisted of consideration and reconsideration ofthe objectives. It has taken almost two years for a decision to be made on the form of itsimplementation and an assessment of efficiency of a Project which is in suspension is irrelevantfor evaluation purposes.

The budget was adequate to meet the activities in the original design, however, since the inputshave been reduced there will be a surplus of funds which will require to be utilised in a redesignedProject 4, as proposed by Mr Crassner.

Despite the 1996 decision to suspend elements of the Project substantial elements went ahead suchas the procurement of six vehicles and the computers which were originally intended to supportthe Research work which was made redundant earlier.

As a direct result of the Brussels Monitoring Mission the Project was suspended (see section 6)and although equipment has continued to be procured, the TA component has been undersuspension. The internal efficiency and external effectiveness of the project no longer meet the


requirements of its original design and can not, therefore, be measured against any indicatorsprovided.

Although work planning was adequate for the first year there was opposition from a number ofstakeholders to the original objectives of the project. It is regrettable that such opposition wasnot voiced at design stage. It is difficult to justify the partial continuation of some inputs, such asvehicles and information technology equipment for a project which is considered unsustainable.Since, therefore, the project has not been implemented in its totality the verifiable indicators at themacro level, ‘upgrading the GOU manpower polices’ and ‘occasional and periodic production,distribution and diffusion of studies and statistics on the labour market’ are impossible to applyfor evaluation purposes.

Monitoring and Evaluation: No regular mechanisms were in place for ongoing monitoring andevaluation other than this Mid- Term Review which is taking place somewhat later than mid-term. The monitoring mission from Brussels took place on request but its recommendations dependedon the results of the Mid- Term Review for further action. As a result there was no real follow-upto the recommendations of the monitoring mission other than to suspend TA inputs and training.

Table 1.1.2 Project 1: Capacity Building in Three Ministries. Efficiency of Performance Against Inputs.

Input Intervention Planned Input Progress

1 TA ManagementShort Term Experts

1 Expert 14 months14 Experts x 40 m/m

McIntosh Study-3 months

2 TA Instruction 16 Experts x 48 m/m Katende Study-6 months

3.1 Overseas Short Term 8 2 Long term, 1 Short Term

3.2 In country Long Term 4 nil-blocked by Inception Report

3.3 In country Training 1 x 3 week x 18 pers3 x 3 day x 150 pers10 x 1 week x 500 pers

nil

4.1 Equipment Office and Training Eq. Tender 04

4.2 Vehicles 2 cars+ 4 minibuses Tender 04

4.3 Consumables 4 years supply Partially supplied

5 Top up salaries 4 years Continuing

Efficiency as measured by expenditure patterns is shown in table 1.1.3.


Table 1.1.3 Project 1: Capacity Building in three Ministries. Projected utilization offunds by the end of the initial 4 year period of the HRDP

Component Projection: disbursement and commitment offunds by 31/3/98 (% of total allocation for eachcomponent)

TAManagementInstruction

5.02 % 4.73 %

Staff DevelopmentOverseas scholarshipsRegional scholarshipsIn-country scholarshipsIn-country seminars/panelsIn-country workshopsStudy tours

502.13 % n/a 0.0 %

0.0 % 0.0 % n/a

EquipmentOffice equipment& furnitureBooks & JournalsVehiclesRunning costs

144.70 %100.00 %138.67 % 17.01 %

Local StaffTraining allowances 85.06 %

Civil WorksRehabilitation n/a

TOTAL 43.75 %

Source TPIU

More detailed financial statements from the TPIU are enclosed in the Technical Annex.

As can be observed from the table, by the 31 March 1998:

• Office equipment has been overspent by 44.7%;• Expenditure on vehicles is 38.67% over budget;• There will be a total expenditure of only 43.75%.

1.4 Effectiveness

It is inevitable that the Project, because of its virtual non-implementation, has not producedsufficient outputs to determine its external efficiency. As part of the ToRs for the Mid-TermReview, a proposal will be presented in Part B of this Report for reorientation of the project. Anassessment of the effectiveness of the project can only be made during the Final Evaluation in thecontext of the reorientated project.


It is clearly difficult to compare the Results of the Project thus far with the Purpose. The capacityof the Manpower Department ‘to produce updated and reliable information on the labourmarket‘ has not been improved, since the project was not implemented in its totality.

There have been some beneficiaries, mainly in terms of staff development; and office and trainingmaterials have been supplied under Tender 04 as well as the six vehicles. Consumables and LocalSalaries have also been supplied.

The assumptions

‘No loss of key personnel’ and‘Relevant Ministries willingness and desirability to cooperate closely’

have, generally, been realised.

1.5 Impact

It is difficult, because of the disabling effect of the suspension of the project, to analyse the macro-economic and social effects, if any, of the project. Logically, the eventual impact of this projectcannot be high unless its internal efficiency and external effectiveness is raised through a drasticreorientation. Some strengthening of the Government Ministries will take place as a result ofStaff Development and Equipment Supply, but the extent of this impact is not measurable at thisstage, given the early stage of its development.

Impact of scholarship provision is dealt with elsewhere in the report.

1.6 Sustainability and Reliability

Sustainability will be determined, to a great extent, by the measures which are taken to reallocatefunds from this Project to Project 4. Sustainability in the current context does not arise and onlyhas reference to the limited implementation of components already underway. Maintenance ofequipment will depend on budgetary provision in the longer term and the consequent ability of theMinistries to maintain the equipment to be delivered. Such budgets are in place.

The technology supplied as part of the project inputs is standard computer equipment and vehicleswhich are appropriate technology in government ministries in Uganda. Provision for maintenanceand training will determine its future viability.

There are no specific environmental protection implications arising from the equipment supplied. No cost recovery mechanisms exist or are appropriate for this project.

The project did respond, and correspond, to priorities of the Ugandan Government in 1991/92. The evolving Ugandan economy and the shift in emphasis to a growing private sector in the


intervening period, produces a somewhat different picture of congruency with priorities. Theproject conforms with the Financing Agreement for the elements which have been implementedbut the continued support of the Ugandan Government for manpower planning, as described inthe Design Study is questionable, given the low staffing levels in the Manpower Department. There have been delays in establishing the Manpower Council and providing staff. Given thesefactors it was the considered opinion of the Brussels Monitoring Mission that this project was notsustainable and the Consultant concurs with this view.

1.7 Economic and Financial Analysis

The inactivity in this project renders it difficult to make any economic or financial analysis ofimpact or cost benefit and, as a result, this has not been undertaken. With regard to the inputs ofcomputers and vehicles the recurrent budgets of the beneficiary Ministries will need to continueto reflect ongoing maintenance costs for the period following the current provision forconsumables.


PROJECT 2STRENGTHENING OF TERTIARY LEVEL TECHNICAL AND

COMMERCIAL TRAINING INSTITUTIONS


SUB-PROJECT 2.1 NATIONAL COLLEGE OF BUSINESS STUDIES (NCBS)


2.1.1 Project Preparation and Design

As with the other projects in the HRD programme the design and preparation of the project 2.1has been characterised by a number of distinct phases as follows:

First design: by HEDCO in February 1992;Second design: by Ramboll & Hanneman in October 1992:Third design: by the TPIU during the inception period in March-June 1994:Adjustments of the third design: by the TPIU after the inception period.

The ToRs of Ramboll & Hanneman included the further development of the design prepared byHEDCO. While the same overall objectives and specific objectives were applied in the design, theinputs were specified in more details. The Ramboll & Hanneman 1992 design was approved byEC in Brussels and was annexed in the form of a logframe to the Financial Proposal of theprogramme. The programme goal in this design for the project 2.1 was:

“to improve the supply of teaching personnel in technical and business subjects.”

In the same design the project purpose for the project 2.1 was formulated as follows:

“To improve the skills of the teaching staff at NCBS.”

The expected outputs were listed:

“Staff with upgraded skills. Upgraded and new curricula.” Enhanced college management. Rehabilitated and re-equipped teaching and administration facilities.”

The inputs were to be:

“Visiting subject specialists. Technical assistance in institutional management. Overseas training. Local training workshop. Regional training. Rehabilitation of building. Re-equipping of courses. Minibus.”

After the comencement of the HRDP the TPIU established the focus of the project in terms of theproject purpose as follows:

“Improve the supply of qualified personnel in technical and business fields.”


The purpose was linked by the TPIU to the following assumption: “ Growing market demand of technical and commercial personnel.”

The TPIU also formulated the following expected project results:

“1. Upgraded professional skills of college staff; 2. Expanded/improved range of courses; 3. Research oriented component developed; 4. Improved general management of the institution.”

The results were linked by the TPIU to the following assumption: “Decrease of staff turnover.”

It can be observed that the TPIU did not address rehabilitation of infrastructure and modernisationof equipment as part of the “results”, such elements are reflected at “activities” level only.

It can be further observed that the TPIU has kept the purpose and expected results constant(rightfully) in the logframe since inception. However various changes were made in inputs.

The following table reflects how the inputs and the budget of the project evolved on the basis ofthe several design and preparation phases:


Table 2.1.1 Project 2.1: National College of Business Studies: comparison of inputsand budget allocation as per various design stages.

Compo-nents


Design 2 - Ramboll &Hannemann and DraftFinancial Proposal July1992

Design 3 - Inception Report byTPIU March - June 1994

Further changes made in thedesign by the TPIU at various stages after inception

TA

Staff Deve-lopment

Equip-ment

LocalStaff

Civilworks

no costing5 Experts for 3months every year.

no costing15 x 3 monthsscholarship

no costingOffice &Teachingequipment, Minibus.Recurrent costsrelevant to theproject are to beprovided, eg.consumables andspares. Furniture:Desk, chairs, tables,shelving and storagecupboards

no costingNot mentioned inthe design.

no costingRepairing, re-roofing, rewiring,replumbing anddecorating ateaching block of 20classrooms, 2laboratories, and 1workshop, plusinstalling multi-terminal computer-systems, andinstalling securityscreens and gates.

ECU 441,000)One specialist ininstitutional managementfor 1 year;ten visiting specialist for 3months each

ECU 131,000Specification kept as in thedesign 1.

Office equipmentECU 6000Teaching equipmentECU 373,000minibus ECU 12,000.Specification kept as inthe design 1.

ECU 10,000Not specified in the design.

ECU 181,000:Specification kept as in thedesign 1.

1. One expert for 12 months ininstitutional /educationalmanagement (including localexpenses) ECU 126,700;2. short term experts in curriculaand course development: 12persons for a total of 36person/month - (including localexpenses) ECU 320,000.

3. 15 overseas short termscholarships ECU 150000

4.1 Office and training equipment,teaching material as per listsupplied ECU 400150;4.2 Vehicle:1 minibus ECU23600;4.3 Consumables, spare parts andrunning costs: supply for 4 yearsECU 65600

5. College staff to interface withTPIU: salary top up ECU 10000.

6. Rehabilitation of administrationand library blocks, and ofsewerage/drainage system ECU263650.

1. Specification and costingkept as in the design 32 . 1995: Medium term expertsin curricula and course dev. andin computer training : 6 personsfor total of 32person -months. In spite of thechange in specification budgetkept as in the design 3.

3. 1995: 12 overseas short termand 2 longterm scholarships. In spite ofthe change inspecification budget kept as inthe design 3.

4.1 Specification and costingkept as in the design 34.2 Specification and costingkept as in the design 34.3 Specification and costingkept as in the design 3

5. Specification and costingkept as in the design 3


TotalCosts(ECU)

2,750,000 1,154,000 1,359,700 In spite of changes ofspecification of somecomponents total costsbudgeted as in design 31,359,700


As can be observed from the table significant changes were made in the inputs of the project bythe TPIU after the inception period. However, these changes were not reflected in the project’sbudget.

No documentation was readily available to indicate that design modifications made by the TPIU, after the inception period, have been approved by the Kampala EC Delegation or EC in Brussels.The records of the Steering Committee do not endorse in detail the changes either. The designpresented in the logframe prepared by the TPIU during the inception period is the last officiallyapproved design and, thus, it is used as a basis for the Mid-Term Review when analysingachievements gained by the project so far.

2.1.2 Relevance of the Project

At the time of the 1992 design of the project, the College had an enrolment of 1300 full time and800 part time students, 35 full time staff and 30 part time staff and five departments: SecretarialStudies, Institutional and Hotel Management, Professional Studies, Marketing, and Part-TimeStudies. Students with appropriate UACE passes were eligible for admission. Courses wereoffered from Intermediate Certificate up to Higher Diploma level.

In 1992 the College was the main third-level institution offering non-degree courses in a range ofbusiness subjects and had plans to offer additional courses leading to professional qualificationsin areas such as accountancy, insurance and banking, all of which were assessed by the 1992design team to be important to the development of the private sector of the economy. In addition,the 1992 design team observed that a study was being undertaken to examine the feasibility ofdeveloping a separate college for training students for the hotel and catering industry and, also,that considerations were given to relocating lower-level secretarial studies to the College ofCommerce and some of the secondary schools. It was concluded by the 1992 design team thatthese developments would free the NCBS to concentrate on higher-level professional studies.

Since then the College has assimilated the functions of the Department of Part-Time Studies intothe other four study areas and it does not exist as a separate entity any longer. There have beenno changes in the admission policy in recent years and it appears that the freedom to concentrateon higher level professional studies only has not yet materialised for the College.

At the time of the 1992 design, the College buildings were assessed to be in a poor state of repair,and an entire lack of modern teaching equipment was observed. This need is still valid: the Collegewas in desperate need of the rehabilitation of infrastructure and of supply of modern equipmentand the project will make a relevant contribution in this regard.

In 1992 the demand for places on all courses was assessed by the design team to be high,observing that the government-provided financial inducement to study (as against being employed)had partly contributed towards this high demand. However, the 1992 design team did not explorethe other contributing factors for the high demand. It is assumed that in this respect the 1992design was based on the results of the National Manpower Survey carried out in 1988/89. The


same survey had been utilized for planning the indicative programme prior to the specific designmission for the HRD programme.

It appears that the issues of inducement were not correctly analysed for the 1992 design:according to the Principal of the College such inducement did not exist. However, the observationof high demand per se was, and continues to be, valid. Since then the development of the privatesector has evolved considerably. This context is not conducive for “traditional” manpower-surveysor needs analysis: it is eventually the market forces of supply and demand which determine theneeds at a given time. It is not feasible to determine, through traditional needs analysismethodology, the issues of demand vs. supply. Such analysis will become rapidly outdated andwould not serve the purpose in the context of the evolving business sector.

However, the TORs for the TA for the College, developed by the TPIU in consultation with theCollege, are especially geared towards development of the College organisation, managementsystem, curriculum content and functions of the staff to better meet market demands for business-related skills and professions. The TA will commence in October 1997, which is the beginning ofthe next academic year at the College. In addition scholarships for staff development in thisdirection will be provided for the College though the project.

In the light of the above it can be concluded that the project remains relevant in the context ofthe development needs of the College and the Uganda business sector as a whole.

2.1.3 Efficiency

The efficiency of project implementation has not been high , in view of the fact that the first yearworkplan is still being followed by the TPIU.

The TA component of the project is more advanced by comparison with the other projects of theprogramme: the TA will commence in September 1997.

After an initial long period of delay the rehabilitation of the infrastructure is now in progress andthe supply of the equipment has commenced.

The utilization of scholarships is behind schedule, only 2 out of the total of 15 scholarships havebeen used so far. A Tracer Study of scholarships was conducted as part of the Mid- TermReview. For this project the data from the Study is further elaborated below from the point of“Impact.”

The disbursement of funds for the project is projected as follows:


Table 2.1.2 Project 2.1: National College of Business Studies. Projected utilization offunds by the end of the initial 4 year period of the HRDP(Source TPIU)



391.32 % 54.71 %


38.83 % n/a n/a

n/a n/a n/a


87.63 %271.50 %133.63 % 18.33 %


Civil WorksRehabilitation 59.36 %

TOTAL 99.60 %


As can be observed from the table, there has been significant overspending on management - TA,vehicles and books & journals. The total budget of this project will be exhausted by the end of theinitial 4- year project period. Due to significant overspending in some components extra fundingwill be needed to carry over the remaining activities. The TPIU is planning to use part of thecontingency funds of the HRDP for this purpose. According to the TPIU the HRDP contingencyfunds have not been used. While such a view can be valid in theory, in practice the overspendinghas already been compensated for by the utilization of contingency funds.

The implementation of project activities is relying on the following assumptions in its currentlogframe:

“1. Market availability of adequate TA experts during the expected implementation period 2. Timing of equipment procurement procedures compatible with implementation needs”

The long term TA will commence in September 1997, which is the beginning of the next academic


year of the College, the short term TA will follow under the coordination of the long term TA andCollege staff. The question is, what is “the expected implementation period” for the TA? This isdifficult to determine, since TA is not included as a project component in the timetable of the 1styear workplan produced by the TPIU for this project.

As far as the TA component is concerned the 1st year workplan is confusing. It is not clearwhether the tender process and implementation of TA was intended to commence during the firstyear plan. The workplan includes a number of tables and there is no text clarifying the rationalefor prioritising project components during the 1st year. It is difficult to understand this approachsince the overall emphasis of the HRDP is focussed on the development of “human resources” andit is not clear from the workplan of this project what level of priority is given for the significantTA component and why.

The TPIU also prepared a 2nd year workplan, but up to now it has not been approved andimplemented due to delays in completion of the 1st year activities. However, it is interesting toobserve that the 2nd year workplan aims to complete the prequalification and tender proceduresincluding the provision of service contracts for “3 long term TA” and “3 short term TA.” Thisis again in conflict with the project’s logframe where only one long term TA is provided for. Itappears that in the 2nd year workplan a different conceptualisation of “long term” and “shortterm” has been adopted: some of the TA which in the logframe is conceptualised as short term ispresented in the 2nd year workplan as long term TA. In order to aim at high internal coherencein planning and consequent implementation, this type of confusion in the use of major conceptsshould be avoided and require definition.

The above aim reflected in the 2nd year workplan means that the TA was planned to commenceduring the third year of the project. Similarly, as in the 1st year workplan, no clarification orrationale is provided in the 2nd year workplan for prioritizing and timing of various projectcomponents. It is not clear for example, why the TPIU aimed to commence the implementationof scholarships much earlier than TA. The relationship of various project components to eachother, and the coordinated timing of them is an issue of internal efficiency of any project. Itappears that the TPIU has aimed to address the matter of internal efficiency when formulating theassumptions for the logframe. However, such interlinkages between implementation of variouscomponents should have been addressed in the operational workplans. It is obvious that, in thisregard, the TPIU did not operationalise the logframe fully in the workplans.

In addition it is worth noting that assumptions relate to only two of the four components ofproject activities; the rehabilitation of infrastructure and utilization of scholarships are notaddressed in the assumptions developed by the TPIU for the logframe.

As far as rehabilitation work is concerned, its completion obviously needs to be compatible withthe supply of certain equipment (computers in particular) as well as with certain TA (short termTA for training in computer skills). It can be projected that the rehabilitation work can berealistically completed prior to commencement of such TA.

As far as the utilization of scholarships is concerned, the project is far behind the implementationschedule. However, it is difficult to project internal efficiency in this since it is not clear from the operational workplans how the provision of scholarships and their timing is meant to interlink to


other components.It can be also observed that in 1995 the TPIU changed the specification and allocation of person-months for short term TA and the specification for scholarships for this project. However, at thetime the logframe was not updated in this regard, nor were such changes reflected in theoperational workplan or the budget. It is not clear from the operational plans how the changeswere justified, whether they were officially approved, and whether, for example, the question ofhow the effect of such changes on the internal efficiency of the entire project would be addressed.

The internal efficiency of the project cannot yet be fully analysed in the light of the progress ofthe implementation so far. However, it is worrying that the internal coherence in planning is notvery strong and will consequently lead to less coherent implementation. It appears that internalefficiency has not been fully addressed by the TPIU when developing the logframe and operationalplans for the implementation of the project. On the basis of this there is a risk that the internalefficiency of the project will obviously not be very high.

2.1.4 Effectiveness

If the internal efficiency of the project will be low, the external effectiveness of the project will,consequently, also be low. High internal efficiency can lead (but not necessarily) to high externaleffectiveness. The project has not yet produced such outputs which can be used to determine fullythe external effectiveness of the project. Effectiveness of this project can be analysed during thefinal evaluation of HRDP.

2.1.5 Impact

Usually, at the Mid-Term Review stage of a project implementation, direct measures of impactcannot be carried out. Indirect measures based on proximate indicators are usually utilized forReview purposes. One of the most accessible and reliable of such proxy indicators for assessingthe existing or likely future impact of a project is the degree, or extent of, utilization of projectoutputs. Unfortunately the sub-project 2.1 of the HRD Programme has not yet produced any suchoutputs which could be used for proper indirect measurement of the impact of the project.

However, a tracer study of scholarships was conducted as part of the Mid- Term Review. Datafrom two respondents from the College was received. Both respondents have continued to workat the College after the scholarship training and their annual salary increased significantly followingcompletion of the scholarship; from 0.5 million (Sch) to 3 million (Sch). Both respondentsconsidered that the scholarships were related to their occupation, but have not, as yet, been ableto apply the skills gained to a great extent. One reason for this is clearly that equipment usedduring the training period was not similar to, or does not exist at the College.

The Impact of a project can be high if the expected outputs are produced and are fully utilized.In the case of the Project 2.1, the only outputs produced so far are not being utilized for the fullbenefit of the College. This combined together with clear signs of low internal efficiency leads toa risk of a low impact of the project. This can better be assessed during the final evaluation of theprogramme when the contribution of the TA at the college can be analysed from the point of view


of utilization of scholarship outputs.2.1.6 Sustainability

There will be several factors affecting the sustainability of the development after the project hascome to an end. At this stage the following factors can be highlighted:

Firstly, once the skills of the College staff have been upgraded, the College aims to raise its ownfunds for recurrent costs by selling certain services to the business community of Uganda. TheCollege is in the process of preparing plans for this approach and the TORs of the TA will assistthe College in this.

Secondly, the staff turnover-ratio at the College will be crucial as regards sustainability. It isessential that the staff whose skills are to be upgraded through the project activities will beretained at the College after the project has come to an end.

Once the TA is in place it will be crucial that a working approach is adopted which will createownership of the project among the staff of the College. Such ownership will contribute towardshigher potential sustainability once the project has come to an end.

2.1.7 Economic and Financial Analysis

In the absence of outputs for the project, it is impossible at this stage to determine the factorsrelated to the cost-effectiveness of the project. These can better be determined at the time of afinal evaluation of HRDP.

If the expected results (as per the logframe prepared by the TPIU during the Inception period) willbe achieved, they will contribute, in the long run, towards increasing the ability of the College toraise funds for its operations and towards a more sustainable financial situation. Once the projectactivities have been fully implemented and the project terminated, the College will not experiencea major negative effect in its budget; the College needs to modify its budget and raise additionalfunds for recurrent costs in order to provide for the supply of maintenance and spare parts for theequipment procured through the project. It is anticipated that if the project is successful and willachieve its results, the College will be adequately prepared to raise funds for such recurrent costs.

As forecasted earlier in the Table 2.1.2 the project will have exhausted all of its funds by the endof its initial 4-year period. Due to extensive overspending in the several budget lines, additionalfunding will be required to finalise the implementation of the remaining activities. The TPIU aimsto utilize part of the HRDP contingency funds for this purpose. According to the TPIU thecontingency funds have not yet been used. While this is true in theory, in practice the TPIU hasin fact already used some of these contingencies through overspending in some budget lines.


SUB-PROJECT 2.2UGANDA POLYTECHNIC KYAMBOGO (UPK)



As with all other projects in the HRDP, design and preparation of this Project has gone througha number of Phases

First Design Study : February 1992Second Design Study: October 1992Third Design: TPIU Inception Report March-June 1994Amendments to the Third Design: Various intervals

As outlined in the Preamble the ToRs of the Ramboll and Hannemann was to finalise thedocumentation prepared in the 1st Design Study and to prepare the Financing Proposal andAgreement. Using the same overall objectives the inputs were enhanced and specified in greaterdetail. These inputs formed the basis of the Financing Agreement in which the Project wasoutlined as follows:

Project Purpose: To improve the quantity and quality of the graduates of UPK tomeet the needs of the economy.

Project Results: Upgraded professional staff;Expanded/improved range of courses;Corporate development plan designed;Improved management of the institution.

Project Inputs: Technical Assistance;Staff Development;Equipment Supply;Rehabilitation.

During the Inception period the TPIU produced a further design, and changes in inputs have alsobeen made after the inception at various intervals. The following Table illustrates:


Table 2.2.1 Project 2.2: Uganda Polytechnic, Kyambogo. Comparison of inputsand budget allocation as per various design stages

Components


Design 2 - Ramboll &Hannemann and DraftFinancial Proposal July 1992


Further changes made inthe design by the TPIU at various stages afterinception

TA

Staff Development

Equipment

LocalStaff

Civilworks

ECU 400,0001 Expert ininstitutionalmanagement for3 yrs

ECU 500,000Short term localcourses.

ECU600,000To be specifiedby managementexpert.

No costing.Not in the design.

ECU 1,000,000.To be specifiedby managementexpert.

ECU 252,0001 expert in vocational-education& institutional management for24 months.

ECU 172,000Long term scholarships overseas:3 x 12 months.1 study tour overseas for 2months.Regional seminars, workshops/training courses: 15 x 1 month.Local training courses + seminarsprovided by local consultants: 5 x1 month +13 weeks.

Office equipment: 13 computers,9 photocopiers, 23 video/AVsystems, furniture for 24 rooms,machine tools ECU 259,000Teaching equipment tosupplement existing equipmentdonationsECU 1,301,000

ECU 10,000Costed only , not mentioned inthe design.

ECU 293,000Priority: rehabilitation of theadministrative block. Alsodecoration of one student hostel+electrical/plumping repairs.

1. One long term vocational /educationalexpert for 24 months ECU 253,300(including local expenses)

2.1 One overseas long term scholarshipECU 25,0002.2 Three overseas short termscholarships ECU 30,0002.3 25 Regional short term scholarshipsECU 50,0002.4 In-country seminars and workshops: 13 one-week seminars for 130participants, 3 one-week workshops for 36participants. ECU 54,0002.5 One 2 months study tour for 1 personECU 7010

4.1 Office and training equipment,teaching material: as per separate list to beprovided ECU 1,487,1504.2 Consumables, spare parts and runningcosts: supply for years ECU 223,050

5. Polytechnic staff to interface with theTPIU: salary top upECU 10000

6. Civil works: rehabilitation ofadministration block and studentsdormitory. ECU 459,250

1. Specification and budgetas in thedesign 3

2.1 1997: Two overseaslong term scholarships. Inspite of the change inspecification budget keptas in the design 32.2 1997: Two overseasshort term scholarships.In spite of the change inspecification budget keptas in the design 32.3 1997: twelve regionalshort term scholarships.In spite of the change inspecification budget keptas in the design 3.2.4 Specification andbudget as in thedesign 32.5 Specification andbudget as in thedesign 3

4.1 Specification andbudget as in thedesign 34.2 Specification andbudget as in thedesign 3

5. Specification and budgetas in thedesign 3

6. Specification and budget as in thedesign 3

TotalCosts(ECU)

2,500,000 2,287000 1,598,760 In spite of changes ofspecification of somecomponents total costsbudgeted as in design 3 1,598,760


As can be seen from table 2.2.1 the overall budget allocation for UPK was reduced through thevarious design stages and the type and format of staff development was renegotiated.

(i) Technical Assistance

Even though there had been a number of design stages a series of meetings was held betweenSeptember 1994 and September 1995 to continue to identify needs and define the ToRs for theTechnical Assistance to be recruited under international tender for the UPK. They were reviewedand approved by the beneficiaries and the NAO. The expected start up date was April 1996. Thedeadline for submission of tenders was fixed for 12th December 1995. Two Evaluation Committeemeetings were held in January 1996 and the Committee approved guidelines for preliminaryanalysis to be carried out by the TPIU. The shortlist was approved by the NAO in mid-Februaryand submitted to the Delegation for endorsement. It is expected that the TA will be in post byOctober 1997.

It is regrettable that, of all inputs, it appears that the TA input has been left until last. The originalconcept was that the TA would be in post prior to other activities, to advise on equipmentspecification, staff development and the other inputs. The lack of integration and synchronisationof inputs has limited the efficiency and effectiveness of the project.

It is difficult in these circumstances to project internal efficiency in this sub-project since itscoherence is diminished.

(ii) Procurement

Equipment, Teaching Materials, Textbooks and other items of equipment were divided into twoseparate lots, to be procured through two separate international tenders in two successive years. The first international tender dossier was sent to Brussels by December 1995. The secondinternational tender dossier was in preparation during the period October to December 1995 andwas originally scheduled for completion in the first quarter of 1996. By mid-February the tenderwas approved by the Commission and publication was due between in March/April, 1996. Thiswas not found possible as is detailed under the section on Procurement in A7.

(iii) Civil Works

By December 1995 the Tender Dossier was again under revision following indications from theDelegation in October 1995. It was hoped to submit them for final approval in early January1996. The request to use a restricted tender procedure was approved by Brussels in October 1995.Work was planned to commence in early 1996. The tender dossier was submitted to the NAO onJanuary 19th 1996 and approved on February 12th 1996. Work commenced in 1997.

(iv) Scholarships

Up to December 1995 the various types of scholarships available under the project were not fullyutilised for a number of reasons mainly the problem of identification of appropriate courses within


the time constraints of both long and short-term scholarships.

A series of meetings was held with the TPIU and the Principal to arrange scholarship plans for the1996 year. The UPK was requested to submit applications not later than December 1995 completewith admission letters to allow for budgeting in the 2nd Workplan.

2.2.2 Relevance of the Programme

At the time the Project was designed the UPK was in great need of major rehabilitation work. This had become necessary because of the turmoil of the previous years. Buildings had been badlydamaged, maintenance had ceased and equipment looted. In addition, and as a consequence, staffmorale was low and there was a need for a management input to drive a new dynamic on thecampus. Against this background the inputs were designed as an integrated mechanism toupgrade the campus, and to provide better quality programmes and, hence, graduates. Clearly theprogramme designed was highly relevant to the needs of Uganda.

The UPK offers programmes at Higher Diploma and Diploma levels in a number of engineeringand technology disciplines. It was established in 1986 and has five schools and two specialistdepartments. High staff turnover resulted in inexperienced staff in positions of management,middle management and organisation for which they had not been prepared. The project is alsorelevant in that it addresses management and organisation needs, while also addressing curriculumstructure, equipment upgrading, staff development and rehabilitation of infrastructure.

The project is linked to the labour market and the evolving economy in that the upgradedprofessional skills of the UPK staff will contribute to an expansion and improvement in the rangeof courses on offer, will develop a corporate development strategy and contribute to generalmanagement upgrading of the institution.

In this regard the project’s overall objectives are within the National Indicative Programme. The major difficulties to be solved are to devise mechanisms to ensure that the Inputs so farsupplied will have a coherence in contributing to the integrated purpose. The overall approachand strategy for the project were relevant, however, implementation delays interfered with thestrategy.

2.2.3 Efficiency

Efficiency levels have not been high, however, in its totality the project is a cost effective meansof contributing to general campus development and, taken in conjunction with other donors to theUPK, is a cost effective method of achieving the results. A comparison with cost indicators ofthe other donor projects indicates a favourable relativity and the project budget will be adequateto achieve the purpose.

Overall management of the implementation has been poor. Workplans from year 1 have been


extended for 2.5 years and continue in operation in year 3. Time tabling of inputs has beendetermined by factors other than good strategic management, and there has been no attempt ata strategy to schedule inputs in order to maximise benefits and increase internal efficiency of theproject. For example the project has still not commenced TA inputs; such TA would have madeconsiderable inputs into the development of equipment specifications at the earlier stages of thedevelopment of the project and to the design of staff development. In reality the TA will arrivewhen all such activities will have been completed or at least at a stage when decisions will havebeen formulated. Physical inputs are all taking place in the fourth year, while non physical inputswill also take place in year 4. Delays were due to unrealistic timetables drawn up at the inceptionstage. Delays were also attributable to the problems of staffing in relation to the ProcurementOfficer and Civil Works Expert supplied by the Contractor in the earlier stages of the project.

The beneficiaries were involved at all stages of the design and implementation of the project andthere is no alternative input which would have achieved the same planned results in the UPK.

Apart from normal progress reports no systematic and regular internal monitoring system was inplace with the exception of Mr Crassner’s monitoring mission from Brussels which did not makespecific reference to issues at UPK.

The indicators for this project are

‘1 Number of students successfully completing course. 2 Number and type of new programmes offered; curricula and syllabi published’.

None of these indicators are directly quantifiable as the insertion of the word ‘numbers’ is not initself quantifiable and, as a result, is reworded in the revised log frame produced during the Mid-Term Review.

Disbursement of funds for the project components is projected as follows:


Table 2.2.2 Project 2.2: Uganda Polytechnic, Kyambogo. Projected utilization offunds by the end of the initial 4 year period of the HRDP(Source TPIU)



143.13 % n/a


123.34 % 88.11 % n/a

0.0 % 0.0 % 95.00 %


27.39 % n/a n/a 5.40 %



TOTAL 48.94 %


As can be observed from the table over expenditure has occurred in the TA allocation (143%),and in overseas scholarships (123%) and the project will have expended less than 50 % of itsallocation by March 1998.

2.2.4 Effectiveness

The project has not yet produced outputs from which Effectiveness can be measured. TheResults of the project so far are

-some staff development;-no progress on course development;-no corporate development plan;-no progress in general management.


Apart from those who took part in staff development, no other beneficiaries can be identified.

2.2.5 Impact

Direct measures of Impact can not be used for the Mid- Term Review of this project. None ofthe Results listed in the Logframe can possibly be measured at this stage since the inputs are notin place, with the exception of scholarships.

A Tracer Study of scholarships awarded was conducted by the Mid-Term Review Team. Itappears that the awards covered a wide range of fields. All awards were for short courses (lessthan 6 months). Most award holders received significant increases in annual income as a resultof the scholarship and respondents reported a high level of relevance of the training provided. More than 50% of respondents considered that the training period was too short and that theyrequire further training to enable them to perform more satisfactorily. Overall respondents (80%)consider that the particular type of training has enhanced their prestige and opened up possibilitiesfor career development. This data provides mixed signals about the possible utilization ofscholarship outputs and does not provide a sufficient basis for accurate projection of the eventualimpact. This can be conducted more accurately at the stage of final evaluation.

However, in general terms, it is clear that the measures which are being taken provide the basisfor a substantial impact on the UPKs management and academic structure. There are expectedeffects of the project which relate to the enhancement of programmes offered by the UPK andclearly the inputs will impact on these over time, the result of which is that the project purpose hasconsiderably good chances of being realised. The developments are achievable economically, onlyif the UPK budget for recurrent expenditure ensures adequate funding for maintenance of theequipment supplied.

2.2.6 Sustainability and Reliability

Sustainability for this project will depend, to a large degree on the performance of the inputswhich will be in place over the next year. Clearly, if managed effectively, and no further unduedelays occur, the necessary elements provide the opportunity for a sustainable development.The UPK will need to assess its fee structure and the marketing of its programmes to industry. The private sector will only purchase training if it is relevant and contributes to productivity. Sustainability of UPKs activities are directly linked to market forces unless it is to be the recipientof government subsidy for the foreseeable future. The project corresponds closely with thepriorities of the Ugandan Government particularly at the time of design and inception, as well ascorresponding to the provisions of the Financing Agreement. The Ministry of Education continuesto support the UPK through annual budgets. No cost recovery systems are in place in UPK butthese might be considered as part of the corporate planning exercise to be undertaken by themanagement TA input yet to be implemented. The technology to be supplied under theprogramme is appropriate to a Polytechnic in a developing economy and corresponds to the rangeand level of skills of the beneficiaries. Maintenance of the technology will depend to a large extenton budget allocations for maintenance after the HRDP has terminated. The capability to maintainthe equipment is present in Uganda.


The environmental impact of the project is positive. The rehabilitated buildings will enhance theappearance of the physical environment.


To date there is a limited number of staff who have undergone staff development programmes. Therefore, the expected benefits, at this stage, are negligible. There will be a need to compiledata in order for an economic analysis to be undertaken as part of the final evaluation and theTPIU should now initiate means for doing this at institutional level in order to form the basis ofan assessment of economic and financial analysis at that stage.

The Workplans have made no provision for the collection of data necessary for compiling a costbenefit analysis. Given the early stage of implementation no cost benefit analysis is possible forthe Mid-Term Review since it is not feasible to identify a cohort which has yet benefited from theentire range of inputs to this project. This type of cost benefit analysis can only be undertakenwhen the inputs are in place and benefits exist which can be measured. Most probably this willbe possible during the final evaluation.

There will be implications for the recurrent budget of the UPK but these are not considered to beof major proportions. Budget by the UPK for additional consumables arising from the new inputsshould be phased in on a regressive basis as the HRDP consumables budget digresses.


SUB-PROJECT 2.3INSTITUTE OF TEACHER EDUCATION (ITEK)


2.3.1 Programme Preparation and Design

As with the other projects in the HRD programme the design and preparation of project 2.3 hasbeen characterised by various distinctive phases:

First design: by HEDCO in February 1992;Second design: by Ramboll & Hanneman in October 1992;Third design: by the TPIU during the inception period in March-June 1994;Adjustments of the third design: by the TPIU after the inception period.

The TORs of Ramboll & Hanneman was to further develop the design prepared by HEDCO.While the same overall objectives and specific objectives were applied in the design, the inputswere specified in more detail. The Ramboll & Hanneman design became the design approved byEC in Brussels and was annexed in the form of a logframe to the Financial Proposal. Theprogramme goal in this design for the project 2.3 was:

“to increase the output of technical and commercial teachers of the relevant departments.”

The Project purpose was:

“To strengthen and enhance the capacity of Technical and Commercial Teaching Departments.”

The expected outputs were listed:

“Skills upgraded in key staff. Rehabilitation and re-equipping of ten rooms.”

The Inputs were to be:

“Rehabilitation of buildings. Re-equipping of teaching rooms.” Overseas training. Regional Training.”

During, the inception period, the TPIU developed a separate logframe. In this process the TPIUestablished the focus of the project in terms of the project purpose as follows:

“Improve the supply of technical and commercial teachers.”

The TPIU linked the purpose to the following assumption:

“ Growing market demand of technical and commercial personnel.”


The TPIU also identified the following project results:

“Upgraded professional skills of ITEK staff in technical and commercial education.”

The TPIU linked the results to the following assumption:

“Decrease of staff turnover.”

It can be further observed that the TPIU has kept the purpose and expected results constant(rightfully) in the logframe since inception. However various changes were made in the inputs.

The following table in the next page reflects how the inputs and the budget of the project evolvedon the basis of the several design and preparation phases:


Table 2.3.1 Project 2.3: Institute of Teacher Education, Kyambogo: Comparison of inputs and budget allocation as per various design stages of the project.

Components

Design 1 - HEDCOFeb. 1992

Design 2 - Ramboll &Hannemann and DraftFinancial ProposalJuly 1992

Design 3 - InceptionReport by TPIU March -June 1994

Further changes made inthe design by the TPIUat various stages afterinception

TA

Staff Deve-lop-ment

Equip-ment

LocalStaff

Civilworks

ECU 60,000Short term forprocurement.

no costingNot mentioned inthe design.

ECU 340,000Not specified in thedesign.

no costingNot mentioned inthe design

ECU 100,000Rehabilitation of sixteaching rooms forTechnicalEducation and fourfor CommercialEducation

no costingNot mentioned in thedesign.

ECU 87,000Three long term overseasscholarships, five shortcourses in the Region.

ECU 366,000Teaching equipment:Workshop and laboratoryequipment and classroomfurniture for six rooms inTechnical Education and forfour rooms in CommercialEducation.Consumables and spares for3 years.


ECU 102,000Specification kept as inthe design 1.


1.1 Three Overseas longterm scholarshipsECU 75,0001.2 Five Regional shortterm scholarships:ECU 10,000.

2.1 Office and trainingequipment, teachingmaterial: as per listsupplied ECU 367,1002.2 Consumables, spareparts and running costs:Supply for 4 years ECU53,950

3. Institute staff tointerface with TPIU: Salarytop upECU 10,000

4. Rehabilitation ofTechnical Education andBusiness EducationdepartmentsECU 187,950.

No costingNot mentioned in thedesign.

1.1 Specification andcosting kept as in thedesign 31.2 1995: Three regionalshort termscholarships.1996: onelong-term countryscholarship. In spite of thechange in specificationbudget kept as in thedesign 3.The country scholarshippaid from the budget ofproject no 1.

2.1 Specification andcosting kept as in thedesign 32.2 Specification andcosting kept as in thedesign 3.


4. Specification and costingkept as in the design 3.

TotalCosts(ECU)

500,000 565,000 704,000 In spite of changes ofspecification ofscholarships total costsbudgeted as in the design 3704,000


As can be observed from the table changes were made in the scholarship-component of the projectby the TPIU after the inception period. However, the changes were not reflected in the project’sbudget. Funds from Project 1 were used for this purpose with the approval of the NAO andKampala EC Delegation. It appears that in spite of this the budget of Project 1 was not amendedaccordingly.

No clear documentation was readily available which indicates that the modifications made by theTPIU after the inception period have been officially approved by the Kampala EC Delegation orEC in Brussels. The design presented in the logframe prepared by the TPIU during the inceptionperiod is the last officially approved design and thus it is used as a basis for the MTR whenanalysing achievements of the project gained so far.


At the time of the 1992 design of the project, the Institute was a centre for the training of teachers.It was established in response to a national need for a variety of teachers, both general andspecialist, as well as for teacher educators. The Institute was also established to provideopportunities for upgrading of the professional skills of the existing teaching force.

The range of programmes conducted at ITEK at the time included:

a. Diploma in Education for those with UACE. The Diploma included the following specialistoptions: Business Education, Home Economics, Special Education, Technical Education,and French Language Education.

b. Diploma in Teacher Education for experienced primary school teachers.

c. Diploma in Special Education for teachers of the physically or mentally handicapped

d. Bachelor of Education Degree (the Diploma as entry requirement). Specialist optionswere Arts, Science, and Technical Education.

e. Short INSET courses for teachers.

The Institute was also responsible for the development of curricula, examinations and certificationfor those who wish to become:

1. Secondary school teachers through training at the National Teachers Collegesor

2. Primary school teachers through training at the Primary Teachers Colleges.

The above programmes and functions are also now in place at the Institute. In addition the rangeof responsibilities of the Institute has expanded: in 1992 there were plans for development of


post-graduate programmes at the Institute. These programmes are now also part of the functionsof the Institute.In 1992 ODA (now known as DFID) was the major donor for the Institute in teachingmethodological development. This support has since come to an end. The Institute is in need offurther support in upgrading of staff in contemporary methodological theories and practices sincethe functions of the Institute will also expand methodologically: plans are being developed forinclusion of distance education methods in the functions. Furthermore, the Government of Ugandahas recently announced a policy of universal primary education. Consequently demand for morecompetent primary school teachers will be central to this development and the status of theInstitute will be enhanced.

In the light of the above there is no doubt that the relevance of the purpose of the projectcontinues to be high. By supporting the two departments of the Institute, the project will makea significant contribution to the development of the Institution and Teacher Education in Uganda.

2.3.3 Efficiency

The efficiency of the project implementation has been high so far in relation to the StaffDevelopment component: all the 3 long term scholarships allocated for the project are currentlybeing undertaken. However, it was not possible to undertake all the five regional scholarshipspartly due to the significant increase in the cost of such training: only two of the regionalscholarships have been undertaken so far in the manner planned in the logframe. One regionalscholarship has been changed to a national MBA training course. In practice there is one regionalscholarship to be used.

The following assumptions are linked by the TPIU in the logframe to implementation of development activities at the Institute:

“1. Market availability of adequate TA experts during the expected implementation period. 2. Timing of equipment procurement procedures compatible with implementation needs.”

It must be concluded that clearly the assumptions for the activities of this project were notanalysed and formulated properly by the TPIU. The fact is that there is no TA provision in thisproject and, therefore, the assumptions need to be further analysed by the TPIU together with theInstitute. Obviously the turnover of staff of the Institute needs to be addressed in the assumptions.

According to the Principal of Institute, in spite of a number of specific requests, sufficientinformation was not received from the TPIU on training options and venues for adequate planningof the scholarships. It is also pointed out by the Principal that it took quite a long time to havescholarships initially processed and by the time applicants were approved significant changes inthe staff development needs had occurred. It is recommended that the assumptions for thiscomponent should address such aspects as well as these are significant from the point of view ofthe internal efficiency of the project.

It can be observed that the TPIU did not link civil works to assumptions in the logframe.


Rehabilitation of infrastructure needs to be compatible with the supply of certain equipment(computers in particular). There is a possible risk that the rehabilitation work will be only partiallycompatible with other implementation needs of the project.

The implementation of the project is still following the 1st year workplan developed by the TPIU.No justification is given in the workplan for time tables adopted for implementation of the variouscomponents of the project. It is not clear whether the TPIU has fully analysed and aimed tocoordinate the timing of various components is such a manner which could be justified from thepoint of view of internal efficiency. The TPIU has also prepared a 2nd year workplan, but it doesnot provide any further information in this regard either.

It also appears that the logframe of the project has not been followed properly in order to plan theimplementation of activities in this component: at least one of the scholarships has been linked towider needs of the Institute, and not to the needs of either of the two departments which are thefocus of the project. In this regard the management of the project by the TPIU has been clearlyunsatisfactory: part of the scholarship provision was changed in such a way that it does not servethe original purpose of the project anymore. As a result the project has clearly lost its internalcoherence in this regard.

The supply of equipment and civil works have suffered from delays in the procurement andtendering process and it appears that in these components the requirements were also changed:lists of equipment became partly outdated, rehabilitation work needed partial refocusing prior toits commencement. Rehabilitation work is now well underway and provision of equipment hascommenced.

The disbursement of funds is projected as follows:


Table 2.3.2 Project 2.3: Institute of Teacher Education, Kyambogo. Projectedutilization of funds by the end of the initial 4 year period of the HRDP(Source TPIU)



n/a n/a


89.64 % 185.93 % 131.94 %

n/a n/a n/a


98.02 %271.83 % n/a 22.31 %



TOTAL 93.83 %


As can be observed from the table, there has been significant overspending on regional and in-country scholarships and on books & journals. 93.83 % of the total budget of this project will beexhausted by the initial 4- year project period. Due to significant overspending in somecomponents extra funding will be needed to carry over the remaining activities . The TPIU isplanning to use part of the contingency funds of the HRDP for this purpose. According to theTPIU the contingency funds have not yet been used. While such a view can be valid in theory, inpractice the TPIU has already, through overspending in some budget lines, indirectly incurredexpenditure which can only be met from contingencies.

The efficiency of the project cannot yet be fully analysed in view of the current state of progressof implementation. However, on the basis of the above, it can be concluded that the internalefficiency of the project will clearly not be very high. It is influenced negatively due toquestionable management by the TPIU of part of the activities under the staff development


component: the intended results cannot be achieved fully if all the activities do not aim to achievesuch results and this will be an indicator of low internal efficiency in this component.

2.3.4 Effectiveness

If the internal efficiency of the project is likely to be low, the external effectiveness of the projectwill consequently also be low. At this stage the project has not yet produced such outputs whichcould be used to determine the effectiveness of these outputs. Part of the staff developmentactivities are being implemented in such a way that they do not produce expected results andeventually do not serve the purpose of the project. Therefore, it can be projected that the externaleffectiveness in this component cannot be high.

2.3.5 Impact

Usually at Mid-Term Review stage direct measures of impact cannot be carried out. Indirectmeasures based on approximate indicators are usually utilized instead. One of the most accessibleand reliable of such proxy indicators for assessing the existing or likely future impact of a projectis the degree or extent of utilization of project outputs. Unfortunately the project at ITEK has notyet produced sufficient such outputs which could be used for the indirect measurement of theimpact of the project. The mismanagement of part of the staff development component discussedabove in the context of internal efficiency and external effectiveness applies also to the issue ofimpact: the eventual impact of the project will suffer from the fact that part of the staffdevelopment activities implemented do not produce expected results, and such unexpected resultsdo not serve the purpose of the project. Thus it can be concluded that all the necessary conditionsfor a full impact to occur in the direction of the overall goal of the programme will not be in place.

2.3.6 Sustainability

There are several factors which will affect the sustainability of the development at the Instituteafter the project has come to an end. At the time of the Mid-Term Review, the following factorscan be highlighted:

Firstly, sustainability will depend on the Institute’s ability to cover the recurrent costs once theprovision for consumables, spare parts and running costs from the project have been utilized. Itis not exactly clear at this point how the Institute will tackle this issue. However, it is anticipatedthat due to the recently announced Government policy of Universal Primary Education (UPE), thestatus of the Institute will be strengthened and reflected in terms of increased allocation of fundsfrom the national budget. In addition, it is obvious that there will be an increase in the need forassistance from the donor community due to this anticipated central role of the Institute. Severalmajor donors including the European Community have pledged to provide substantial financialassistance for the UPE in the future. It is recommended that the European Community willcontinue to address the development needs of the Institute through the next EDF.

Secondly, the staff turnover at the Institute will affect sustainability: it is hoped that the staff which


will be upgraded through HRDP scholarships for technical and commercial education will remainin the respective departments at the Institute.


If the internal efficiency of the project implementation remains low, leading to low external effectiveness and eventually to low impact, the project cannot reach meaningful cost-effectiveness.This can be determined more accurately at the time of the final evaluation of HRDP.

The issues related to recurrent costs have already been addressed in the previous chapter.

As forecasted earlier in the Table 2.3.2 the project will have exhausted 93.83 % of its funds bythe end of its initial 4-year period. Due to extensive overspending in several budget lines, extrafunding is needed to finalise the implementation of remaining activities. The TPIU aims to utilizepart of the HRDP contingency funds for this purpose. According to the TPIU the contingencyfunds have not yet been used. While such a view can be valid in theory, in practice the TPIU hasalready through overspending in some budget lines indirectly incurred expenditure which can onlybe met from contingencies.


PROJECT 3STRENGTHENING OF UNIVERSITY LEVEL EDUCATION


SUB-PROJECT 3.1MAKERERE UNIVERSITY ESTATES AND

WORKS DEPARTMENT



As with all other projects in the HRDP design and preparation of this Project has gone througha number of Phases as follows:

First Design Study : February 1992Second Design Study: October 1992Third Design: TPIU Inception Report March-June 1994Amendments to the Third Design: Various intervals during implementation

As outlined in the Preamble the ToRs of the Ramboll and Hannemann was to finalise thedocumentation prepared in the 1st Design Study and to prepare the Financing Proposal andAgreement. Using the same overall objectives the inputs were enhanced and specified in greaterdetail. These inputs formed the basis of the Financing Agreement in which the Project wasdescribed as follows:

Project Purpose: To strengthen the department’s capacity to maintain an effectiveprogramme for the upkeep of the facilities of the university .

Project Results: Department reorganised with a combination of direct work andsupervised maintenance contracts;Management of administrative systems upgraded;Cost recovery activities implemented.

Project Inputs: Technical Assistance;Staff Development;Equipment Supply.

During the Inception period the TPIU prepared another design for the project and has continuedthe make changes in the inputs after the inception period. The following table illustrates:


Table 3.1.1 Project 3.1: Makerere University, Estates & Works Department. Comparison of inputsand budget allocation as per various design stages.

Components


Design 2 - Ramboll &Hannemann and DraftFinancial ProposalJuly 1992


Further changes made inthe design by the TPIU at various stages afterinception

TA

Staff Development

Equip-ment

LocalStaff

Civilworks

ECU 240,000Mentioned butnot specified inthe design.

ECU 100,000Mentioned butnot specified inthe design.

No costingNot in thedesign.



ECU 756,0001 Director for 24 months.1 Accountant for 36months.1 Procurement Specialist for36 months.

ECU 40,0001 MA-course: 1 x 12months overseas.Training seminars: specifiedas “5 person-months”

ECU 200,000Essential light equipment/machinery for a smalldirect-labour workforce.

ECU 10,000Costed, but not mentioned.Not specified in the design.


1. Long term experts in estatemanagement, construction managementand management accounts: 3 persons for atotal of 96 person monthsECU 880,000 (including local expenses)

2.1 One Overseas short term scholarshipECU 25,0002.2 Four regional short term scholarshipsECU 24,0002.3 One in-country long termscholarship ECU 10,0002.4 Twelve in-country short termscholarships ECU 36,000

3.1 Office equipment as per separate list tobe supplied ECU 33,9003.2 Machines and tools as per separate tolist to be supplied ECU 140,0003.3 Consumables, spare parts and runningcosts: supply for 4 years ECU 26,100

4. Staff to interface with the TPIU: salarytop up ECU 10,000


1. 1995: Long term experts inestate management,construction managementand management accounts: 3persons for a total of 36person monthsECU 293,500 (includinglocal expenses)

2.1 1996: Two overseas long-term scholarshipsECU 25,000 +In the budget (2.3) One incountry long termscholarship cancelled tofund increase here2.2 1997: Five short termregional scholarshipsIn spite of the change inspecification budget kept asin the design 32.3 Cancelled (see 2.1 above)2.4 Specification and budgetas in the design 3

3.1 Specification and budgetas in the design 33.2 Specification and budgetas in the design 33.3 Specification and budgetas in the design 3

4. Specification and budget asin the design 3


TotalCosts(ECU)

340,000 1,006,000 1,185,000 588,500


As can be observed from the table the TA input was reduced and staff development considerablyaltered.

(i) Technical Assistance

The timing of supply of the TA went through the following changes:

Table 3.1.2 Project 3.1: Makerere University, Estates & Works Department. Changes in the Schedule of Supply of TA

Expertise Type No Date Duration (months)

ConstructionManagement

Management 1 April 1996, butchanged to Sept1996 in the Dec1995 ProgressReport.

12

EstatesManagement

Management 1 April 1996, butchanged to Nov1996 in the Dec1995 ProgressReport.

12

ManagementAccounting

Management 1 April 1996, butchanged to Jan1997 in the Dec1995 ProgressReport

12

Total 3 36

Source: HRDP Annual Report, Sept 1994 - Sept 1995.

TA inputs for this project are reviewed in more detail under Section 3.1.6.

(ii) Staff Development

In 1996 the Department requested a conversion of funds allocated for in-country scholarships toa further long-term overseas scholarship. The request was approved by the NAO and endorsedby the Kampala EC Delegation. The following is the agreed scholarship allocation:


Table 3.1.3 Project 3.1: Makerere University, Estates & Works Department. Changes in the Scholarship Allocation.

Type Original BudgetECU

Awarded CostECU

long-term overseas 25,000 2 45,670

short-term regional 24,000 4 17,640

long-term in-country 10,000 nil nil

short-term in-country 36,000 5 2,058

Total 95,000 11 65,368

Source: HRDP Progress Report December 1996.

3.1.2 Relevance of the Programme

The Estates and Works Department is responsible for the maintenance of the infrastructure andcampus of the University. The campus extends over 300 acres and has 4.2 km of roadway. Inaddition to administration and teaching facilities, there are over fifteen halls of residence forstudents and over 660 staff housing units on campus, as well as a medical school, two farms and150 housing units on campus.

The Estates and Works Department is a key service department in the university. It has anestablishment of staff of 429, 70% of which are unskilled, and 71 of which posts are filled. It hasa response time of 1 week for 20% of requests. University budgets for maintenance are low; in1997/98 it has a budget of $90,000 for materials. AfDB has assisted in the compilation of aninventory of property and in determining a master plan.

Transport for the Department is limited and there is a proposal to hire out maintenance work, suchas landscaping and cleaning, on a contract basis to private enterprises.

Clearly the management of an estate of this magnitude requires expertise and equipment in orderto operate effectively. The current project addresses the inputs of management and equipment andis highly relevant to the needs of the department.

3.1.3 Efficiency

The efficiency of the project has so far not been high mainly because of the fact that it has not beenpossible for the TPIU to progress beyond the first year Work Plan in 3.5 years. The utilisation ofscholarships, however, has been high. The TA element has not been implemented and should have


been activated at the beginning of the project. Equipment is currently being delivered. Implementation timetables have been delayed and have lacked a strategy hence internal efficiencyis low. The current status is that TA and the remainder of the equipment is awaited. However,it is unlikely that the expected results could have been achieved without the same planned inputs.

Apart from Mr Crassner’s monitoring mission from Brussels no systematic and regular monitoringof this project has been undertaken. This is unfortunate since major over-expenditures have alreadyoccurred and continue to be projected in some of the budget lines. This reflects the lack ofstrategy, lack of monitoring and eventually will decrease the internal efficiency.

Table 3.1.4 Project 3.1: Makerere University, Estates & Works Department. Projected utilization of funds by the end of the initial 4 year period of theHRDP(Source TPIU)



62.19 % n/a


182.68 % 83.12 % 12.83 %

n/a n/a n/a


74.47 % n/a n/a 45.94 %



TOTAL 64.43 %

As can be seen from the Table expenditure on overseas scholarships are in excess of 80% overthe allocated figure, while only 64.55 % of total expenditure will have been disbursed.



3.1.4 Effectiveness

Internal efficiency is low and it will follow that external effectiveness will be limited for the timebeing. The Results have been partially achieved by the commencement of some income generationactivities for services. These are expected to grow as the project reaches full implementation. Thecampus, students and staff will benefit over time and the results will contribute to achieving theproject purpose. However, the assumptions have not been realised since the university budget formaintenance has not been fully available.

3.1.5 Impact

The degree of utilisation of project outputs is a reliable indication for projection of possibleimpact. Thus far only outputs in the area of scholarships can be used for impact projection,although at this stage even this can be carried out in a very limited way.

In a tracer study carried out by the Mid-Term Review Team it was shown that seven respondentshad attended courses of less than six months and most were employed immediately following thecourse. While none received any significant increase in income as a result of the course all felt thatthe training was relevant to their occupation and are using equipment similar to that used in theirtraining. However 80% of respondents were not pleased with the short duration of theirprogramme but were nonetheless pleased that it would enhance their career prospects.

The data received through the study does not indicate any major obstacles for utilization of theskills gained through scholarships for the benefit of the Department. However, at this stage it isimpossible to assess the utilization rate of these scholarships. This can be done accurately at thestage of final evaluation of the HRDP.

The expected results of the project are:

- Department reorganised with a combination of direct work and supervised maintenancecontracts;

- Management and Administration systems upgraded;- Cost recovery activities implemented;

Some Income generation has been implemented ($26,000 in the current year and $460,000targeted for the next year). An assessment at the final evaluation stage will indicate whether

there has been an impact of these measures but clearly the policy and activities are in place toenable the impact to take place.

Clearly the Estates and Works Department, when fully developed, and when all inputs are in place,with an effective management system, is poised to service the university in an efficient way, andis an essential component of campus organisation. It is potentially sustainable dependent on


internal budget and income generating potential.


The Project has reasonable opportunities of sustainability. However, sustainability is directlylinked to the assumptions:

‘university administration supports income generation activities;availability of funds for maintenance activities remain intact’.

Currently university budgets for maintenance are limited and therefore, inhibit the developmentof a sustainable Estates and Works Department.

The project corresponds to the Ugandan Governments’ policy in that its aim is self-sufficiency andincome generation. It conforms fully to the Financing Agreement of the HRDP but will requiremore positive support from the university budget to ensure its success. No major policy decisionsare foreseen which may affect the project and there appears to be full support for its objectives. Cost recovery systems have commenced and the projects’ potential for sustainability are high. The technology provided is generally appropriate and is in line with that proposed by the Headof Department. Maintenance of the technology should not present major problems for theuniversity other than budgetary. Environmental impact is positive in terms of campusenhancement and the project is fully integrated within the university as an institution.


All information on the benefits produced by the upgraded Department is limited in terms of quality. Provided the Department continues its policy, holds its staff and is properly budgeted, it standsto generate income from its activities. Indications are that this will remain so.

No data is available for the Mid-Term Review to enable a cost benefit analysis to be made anddevelopments are at too early a stage of development to enable this to be done meaningfully. However, the final evaluation should be in a position to enable this exercise to be completed. Theproject is cost effective with the provision that it is highly dependent on the university budget.


SUB-PROJECT 3.2MAKERERE UNIVERSITY LIBRARY



As with the other projects in the HRD programme the design and preparation of this project 3.2has been characterised by various distinctive phases:

First design: by HEDCO in February 1992;Second design: by Ramboll & Hanneman in October 1992;Third design: by the TPIU during the inception period in March-June 1994;Adjustments of third design: by the TPIU after the inception period.

The ToRs of Ramboll & Hanneman was to further develop the design prepared by HEDCO. Whilethe same overall objectives and specific objectives were applied in the design, the inputs werespecified in more details. The Ramboll & Hanneman 1992 design became the design approved byEC in Brussels and was annexed in the form of a logframe to the Financial Proposal of theprogramme. The programme goal in this design for the project 3.2 was:

“To improve the supply of teaching personnel in the technical and applied sciencesubjects from Makerere University.”

In the same design the Project purpose for project 3.2 was formulated as follows:

“To continue aid for journal supply, plus security, as modified from provisions madeunder Lome III.

To safeguard and enhance the quality of the library service available to students,teachers and for research.”

The outputs were listed as follows:

“Science Journals. Improved security of books/journals. Preservation of unique collections against deterioration.”


“Science journal subscriptions. Binding/copying consumables. Security barrier equipment. Microfiche equipment.

Library equipment.”

During the inception period the TPIU developed a separate logframe for this project. In thisprocess the TPIU established the focus in terms of the project purpose as follows:

“Assist the library to upgrade and maintain its stock of essential updated scientific and


technical literature.”

The TPIU did not link the purpose to any assumption contrary to the logframes designed by theTPIU for many other projects of the programme. It is not clear why the assumption for thepurpose was not addressed in the logframe.

The TPIU expected the project to achieve the following results:

1.“Increased availability of journals;2. Library security system upgraded;3. Quality of service provided to teachers and students and for research enhanced;4. Improved preservation of unique collections from deterioration.”


“Computerisation of library services (ADB II funded).”

It can be further observed that the TPIU has kept the purpose and expected results constant(rightfully) in the logframe since inception. However, various changes were made in the inputs.



Table 3.2.1 Project 3.2: Makerere University Library Project. Comparison of inputs and budgetallocation as per various design stages of the project

Com-ponents


Design 2 - Ramboll &Hannemann andDraft FinancialProposal July 1992

Design 3 - Inception Report by TPIUMarch - June 1994:

Further changes madein the design by theTPIU at various stagesafter inception

TA

Staff Deve-lop-ment

Equip-ment

LocalStaff

Civilworks

no costingNotmentioned inthe design.


ECU350,000Journals

no costingNotmentioned inthe design




Journals ECU 36,000Equipment forphotocopying, binding,security andconservationECU 208,000Consumables andspares for 3 years (nocosting)

no costingNot mentioned in thedesign


no costingNot mentioned in the design.


1.1 Library support equipment: as per listsupplied ECU 151,8001.2 Journals subscriptions: as per listsupplied ECU 120,0001.3 Consumables, spare parts and runningcosts: supply for 4 years ECU 22,750



2. 1995: One person for 8months ECU 74,000transferred from thebudget of project 3.1


1.1 Specification andbudget as in the design 31.2 Specification andbudget as in the design 31.3 Specification andbudget as in the design 3



TotalCosts(ECU)

350,000 244,000 294,550 368,550

As can be observed from the table changes were made in the inputs and the budget of the projectby the TPIU after the inception period. No documentation was readily available which indicatesthat the modifications made by the TPIU after the inception period have been officially approvedby the Kampala EC Delegation or EC in Brussels. No clear records in this sense are available forthe Steering Committee meetings either. The design presented in the logframe prepared by theTPIU during the inception period is the last officially approved design and thus it is used as a basis


for the Mid-Term Review when analysing achievements of the project so far.


The library provides the key supporting service to any centre of advanced study and research. Inthe past the IDA has supported journal subscriptions at the Makerere University library, the costsof these subscriptions were taken over by Lome III. This support ended in 1990. During thepreparation of the HRDP design in 1992 it was observed that otherwise the donor assistance tothe library has been limited: the British Council had provided reference books, stocks of usedbooks, and back issues of journals were supplied as part of donor assistance from North -America.

Prior to the 1992 design the University Library management had surveyed the departments andidentified 164 journals which were regarded by staff as essential for their teaching purposes.Subscription costs for these had been submitted to the University for funding from its annualbudget. It was observed that this was a sign of a first stage towards the independent funding ofthe journals. However, it was also observed that it would not provide an adequate range ofjournals, particularly in view of the expansion of study programmes which was taking place atpostgraduate level.

For the 1992 design it was observed that if the University was to achieve a position ofsustainability towards the end of the project, it was unrealistic to expect it to finance the verylarge number of journals presently being purchased. Following an assessment of the list ofjournals and in consultation with the relevant staff, a decision was made to restrict the request forEC support to seven titles per subject area, or 400 titles, but that the 400 should be in scientificand cognate subject areas only.

At that time it was also observed that the main Library holds a stock of 250,000 books and150,000 bound volumes of journals, these include reports and rare documents in its Africanacollection as a depository library. The African Development Bank was scheduled to supply aminicomputer to allow the computerisation of the library service. It was proposed in the 1992design that, for security of its stock against theft and physical deterioration, a book checkdetection equipment be installed, as well as microfiche photography equipment for protection ofrare documents.

The above needs of the University Library have not changed since the 1992 design of the project:they remain to be valid and the purpose of the project has kept its relevance. However, asignificant additional need has been recently identified regarding training in the use of themicrofiche photography equipment and apparently it has been decided by the TPIU that a TA tomeet this need be included in the project activities. This will be discussed further under “efficiency”below. It is noted with some surprise that such a significant need was not identified earlier in spiteof the many design phases carried out.

3.2.3 Efficiency


The efficiency of the project implementation has not been high, in view of the fact that the firstyear workplan is still followed by the TPIU. In this workplan the first deliveries of equipment andjournals were expected towards the end of the projects’ first year in March 1995 and equipmentinstallation and testing in the beginning of the second year in May 1995. The TPIU also prepareda second year workplan later in which the timetable for first deliveries of journals and equipmentwas revised to April 1996. However, the second year workplan has not yet been approved by theKampala EC Delegation and EC in Brussels.

The implementation of the project has been characterised by delays in tender processes for theequipment supply. As a result only the photographic equipment for conservatory work has beendelivered so far (in mid-1997). The tender process for supply of the rest of the equipment andjournals has not yet been completed.

The disbursement of funds for the project’s components is projected as follows:

Table 3.2.2 Project 3.2: Makerere University Library. Projected utilization of funds bythe end of the initial 4 year period of the HRDP(Source TPIU)



n/a n/a (No allocation in the current budget.

However, expenditure of ECU 121,615 projected by the TPIU)


n/a n/a n/a

n/a n/a n/a


193.78 %145.00 % n/a 52.63 %

Local StaffTraining allowances n/a


TOTAL 204.28 %



As can be observed from the table, there will be significant overspending on office equipment,furniture and books & journals.

No provision for TA was included in the design of this project at any of the earlier design stagesand no TA is mentioned in the logframe developed by the TPIU during the Inception period.Neither is it mentioned in the first year workplan (which is currently still in force) nor is itmentioned in the second year workplan (which, as mentioned earlier, has not yet been approved).

In spite of this it now appears that a tendering process for selection of a TA (1 person for 8months) for the project is in fact in progress but not yet completed. The argument for this is thatonce the equipment list was finalised it was realised that TA would be needed to train the staff forconservatory in the use of the photographic equipment. It must be pointed out that thisequipment was already included in the list at the 1992 design stage and the equipment was keptin the list when it was reviewed by the TPIU in consultation with the Library once the project hadcommenced. The need for such a TA was not identified in this process and not included in thelogframe by the TPIU. It was later that this need emerged. It must be further pointed out thatthere has been no change in library staff or other factors which have created this need and the needfor this TA has apparently existed since the early stages of the design process. It is a surprise thatsuch a need was not identified earlier despite the many design stages carried out.

In addition it must be noted that there is no allocation in the budget for TA. However,expenditure of ECU 121,615 is projected for this purpose. The budget for this project has not beenrevised accordingly by the TPIU as would normally be expected as part of best practice financialmanagement

The above total utilization rate (204.28 %) reflects such spending which is actually not reflectedin the budget of this project. Due to unexpected expenditure on TA and significant overspendingin some other components extra funding will be needed to carry over the remaining activities. TheTPIU is planning to use part of the contingency funds of the HRDP for this purpose. Accordingto the TPIU the contingency funds have not yet been used. While this view can be valid in theory,the TPIU has, in fact, already utilised contingency funds indirectly through overspending in somebudget lines.

It appears that the University Library has rehabilitated premises for the installation and use of the photographic equipment for conservatory work. The equipment has been delivered to theUniversity by the selected supplier, but has not yet been installed and tested in the reservedpremises and officially handed over as stipulated in EDF regulations for Supply Contracts. TheLibrary does not have the means to install and test the equipment. In any case it must be carriedout by an authorised person in order to maintain the manufacturer’s warranty for the equipment.It is in the interests of all parties to have the installation and testing carried out as soon as possible.

The University requested the TPIU to explore the possibility of funding a very basic start uptraining programme for relevant library staff in the maintenance and usage of the equipment afterinstallation and testing. Informal agreement between the TPIU, the NAO of the EDF and theKampala EC Delegation was reached on this issue. However, when the issue was officiallyprocessed by the NAO for approval, the Delegation declined to approve funding for it. It appears


that there were some uncoordinated actions taken in this matter which have resulted in misunderstanding and confusion. Again, it is in the interests of all parties to have this issue clarifiedand resolved as soon as possible.

The delays in the tender process for journals has created a logistical problem in the project. Thelist of journals was updated in 1994 prior the commencement of the tender process. At that timeit was anticipated that, even if there were to be delays in the tendering process and implementationof the first year workplan, the subscription of journals would commence at least in 1996. Thistimetable for commencement of subscriptions was reflected in the tender dossier. It is fair toconclude that by all means sufficient time (2 years) was reserved for completion of the tenderprocess.

Unfortunately up to now the process has not yet been completed. The library has raised the issuewith the TPIU to point out that due to this extremely long tendering process the timetable forcommencement of the subscription of journals is no longer valid and that subscriptions should startafresh from the time/year when the tender process has been finally completed (e.g. in 1998). TheTPIU has advised on the basis of EDF regulations that there is no flexibility in this and thecommencement of the subscription of the journals must follow the timetable laid out in the tenderdossier: once the tendering process has been completed, the subscription of journals mustcommence back-dated from the 1996 issues. The library questions the relevance of such supportfor two reasons: firstly experience has shown that back-dated issues are difficult to obtain frompublishers; secondly, even if some of the back-dated issues are available, they would not serveadequately the needs of a library of a scientific institution, i.e. to provide the latest scientificinformation to its teachers, researchers and students.

The tender evaluation board of the HRD programme has a representative from each subprojectexcept the subprojects at Makerere University. The University projects are represented by onecontact person. From the point of view of general management this one contact-person arrangement is obviously more efficient than the option to deal with all three universitysubprojects separately. However, as far as a more efficient flow of information and in-depthmanagement of issues is concerned, the one contact person- arrangement is questionable. Inclusion of representatives of University sub-projects (e.g. the Librarian in an Advisory role)from time to time in the work of the Tender Board would strengthen efficiency and minimise risksof confusion.

The following assumptions are linked by the TPIU in the logframe to the implementation ofequipment supply- activities.

“1. Market availability of adequate TA experts during the expected implementation period.”

As mentioned above the TA was not included in the activities in the logframe of this project at anydesign stage. The TA -provision has been introduced later. However, TA is reflected in theassumptions formulated by the TPIU earlier.

This, again, is very confusing and having compared the logframes of each subproject, theconclusion is that the same assumptions are included for every sub-project at all activities levels.It is clear that the analysis and formulation of assumptions for specific activities per each sub-


project were not been given adequate attention by the TPIU. It is difficult to analyse the positionof this assumption and its validity due to an unclear design by the TPIU in this component.

Since the relevant equipment has already been delivered to the University, it can be concluded thatthe internal efficiency of the TA component of the project may be high. This assumes that therewill be no further complications with the proper installation and testing of the equipment whichwill be the central “tool” for the TA, and also assumes that the tendering process for the selectionof the TA will not encounter further major delays.

The TPIU linked the equipment supply - activities also to the following assumption in the project’slogframe:

“2. Timing of equipment procurement procedures compatible with implementation needs.”

The equipment for conservatory work has been delivered. The TA will use this equipment fortraining relevant staff in conservatory work. One can conclude that the timing of the procurementof this equipment has been adequate. But on the other hand , as pointed out above the timing ofsupply of the journals can be questionable if it will commence on a back-dated basis. In additionthe tender and supply process for the rest of the equipment (security system) is still to becompleted. On the basis of this it can be concluded that there is a risk that the second assumptionat activity level in the logframe produced by the TPIU will be only partially true.

The internal efficiency of the project cannot be analysed fully as yet, in the light of the progressof the implementation so far. However, on the basis of the above, it can be concluded that theinternal efficiency of the (newly created) TA-component can be high, otherwise the internalefficiency of the implementation of the project has suffered due to delays in tender processes.

3.2.4 Effectiveness

The project has not yet produced sufficient outputs which could be used for determining theexternal effectiveness of these outputs. It can only be concluded that if the internal efficiency ofthe project remains low, the external effectiveness will also be low. High internal efficiency canlead (but not necessarily) to high external effectiveness. The project has not yet produced suchoutputs which could be used to determine the effectiveness of these outputs.

3.2.5 Impact

Usually at Mid-Term Review stage direct measures of impact cannot be carried out. Indirectmeasures based on proximate indicators are usually utilized instead. One of the most accessibleand reliable of such proxy indicators for assessing the existing or likely future impact of a projectis the degree or extent of utilization of project outputs. Unfortunately the library project at theUniversity has not yet produced such sufficient outputs which could be used for the indirectmeasurement of the impact of the project.



The sustainability of the possible impact will depend on many factors. At this stage the followingfactors can be highlighted:

Firstly there is a provision for 4 years supply of consumables, spare parts and running costs forthe project. Once this provision has come to an end, the University will have to fund themaintenance and usage costs of the equipment provided by the project. It is not clear at this pointwhether this will be possible. What is clear is that the service and maintenance of the sophisticatedsecurity system will be very expensive since the nearest expertise for this will be available fromKenya.

Secondly, it is already clear that the University will not be able to fund the wide range of journalsafter this provision from the project comes to an end. On the other hand sustainability of provisionof a wide range of journals might not be relevant in the future. Following the design of this projectInternet as a source of information has rapidly expanded world wide. This facility is in widespreaduse by university libraries and staff throughout the world and has partly replaced the role ofjournals as a source of latest scientific information. The Makerere University library will bereceiving support from ADB in terms of computerisation of library services. This would enablethe Library to provide Internet connections for its staff and students and consequently the needto sustain provision can be less relevant in the future. However, it is not clear at this pointwhether the computer provision from the ADB will be sufficient to meet fully the need to accessInternet. There might be a need for the University to receive additional support from other donorsin terms of computer equipment for utilization of Internet. If a small usage charge for the use ofthe Internet facility will be in place, the Library would be in position to maintain and sustain thefacility.


In the absence of outputs of the project, it is impossible at this stage to determine the factorsrelated to the cost-effectiveness of the project. These can better be determined at the time of thefinal evaluation of HRDP.

As forecasted earlier in the Table 3.2.2 the project funds will have been extensively overspent bythe end of its initial 4-year period. Due to extensive overspending in the several budget lines, extrafunding is needed to finalise the implementation of remaining activities. In addition, the additionof TA in the expenditure will of course contribute to even greater overspending. Such asignificant and additional expenditure has not lead to any initiatives in terms of revision/updatingof the budget for this project indicating a lack of financial discipline.

According to the TPIU the HRDP contingency funds have not yet been used and it is aiming toutilize part of them to correct the imbalance caused by the overspending in some budget lines.According to the TPIU the contingency funds have not yet been used. While such a view can bevalid in theory, in practice the TPIU has already through overspending in some budget linesindirectly incurred expenditure which can only be met from contingencies.


SUB-PROJECT 3.3MAKERERE UNIVERSITY STAFF DEVELOPMENT



As with the other projects in the HRD programme the design and preparation of project 3.3 hasbeen characterised by various distinctive phases:

First design: by HEDCO in February 1992;Second design: by Ramboll & Hanneman in October 1992;Third design: by the TPIU during the inception period in March-June 1994;Adjustments of the third design: by the TPIU after the inception period.

The ToRs of Ramboll & Hanneman was to further develop the design prepared by HEDCO. Whilethe same overall objectives and specific objectives were applied in the design, the inputs werespecified in more details. The Ramboll & Hanneman 1992 design became the design approved byEC in Brussels and was annexed in the form of a logframe to the Financial proposal. Theprogramme goal in this design for the project 3.3 was:

“To improve the supply of teaching personnel in technical and applied science subjectsfrom Makerere University.”

In the same design the purpose for project 3.3 was formulated as follows:

“To improve the skills of the teaching staff in the relevant departments of MakerereUniversity.”

The outputs were listed:

“Upgraded staff qualifications. Enhanced pedagogic skills. Enhanced research capability.”


“Overseas training Local training seminars. Technical assistance. Research equipment.”

During the inception period the TPIU developed a separate logframe for the project. In thisprocess the TPIU established the focus of the project in terms of the project purpose as follows:

“Upgrade the academic and research performance of Makerere University.”


The TPIU did not link the purpose to any assumption contrary to the logframes they designed formany of the other projects of the programme. It is not clear why the assumption for the purposewas not addressed in the logframe.

The TPIU expected the project to achieve the following results:

1.“Upgraded qualification of teaching staff of three departments:Pharmacy, Surveying and Architecture;

2. Research capabilities of Pharmacy and Surveying departments enhanced;3. Teaching skills of Makerere University new lecturers improved.”


“No or reduced loss of teaching staff involved in the programme.”

It can be further observed that the TPIU has kept the purpose and expected results constant(rightfully) in the logframe since the inception. However, various changes were made in theinputs.



Table 3.3.1 Project 3.3: Makerere University Staff Development. Comparison of inputs and budget allocation as per various design stages of the project

Compo-nents


Design 2 - Ramboll &Hannemann and DraftFinancial Proposal July 1992


Further changes made inthe design by the TPIU at various stages after inception

TA

Staff Deve-lopment

Equip-ment

LocalStaff

Civilworks

no costingNot mentionedin the design.

no costingNot mentionedin the design

No costingNot mentionedin the design.



ECU 270,000 (includingtraining seminars, which notcosted separately)The type of TA not specified inthe design.

ECU 700,000Six Master’s degrees inArchitecture, five in Pharmacyand four in Surveying. Nineshort courses overseas forarchitecture, four for Pharmacyand four for Surveying. 20Local 4 -day seminars for 200new lecturers.Provision of an expat tutor (3months) to assess the needs andcustom-design and develop thecourse in association with localconsultants who would takeover the running of subsequentcourses.

ECU 156,000 (includingteaching materials ECU75,000)For Surveying dept. Two “486"computer systems with plotter,CAD and GIS software. ForPharmacy dept specialistresearch equipment: freezedrying machine, U-Vspectrophotometer, 8-channelpolygraph and a small PC.


No costingNot mentioned in the design.

1. TA in instruction:1.1 Short term experts for training on newtechnologies acquired: Pharmacy andSurveying. : 4 experts for 12 person-months, including local expenses ECU108,000.1.2 Short term experts in physical planning:Architecture : 2 Experts for a total of 6person-months, including local expensesECU 54,000.1.3 Short term experts in pedagogictraining: 4 experts for a total of 12 personmonths, including local expenses ECU108,000.

2.1 Overseas long term scholarships: 15scholarships ECU 375,000.2.2 Overseas short term scholarships: 17scholarships ECU 170,000.2.3 In - country pedagogic seminars: 20seminars of 4 days for 200 lecturersECU 100,000.

3.1 Office and teaching technical equipment, teaching material: as per listsupplied ECU 140,7003.2 Consumables, spare parts and runningcosts: Supply for 4 years ECU 21,300.

4. Institute staff to interface with TPIU:Salary top up ECU 10,000

No costingNot mentioned in the logframe

1.1 One short term, one mid-term, onelong term for Pharmacy;one long term, one mid term forSurveying. Total of 39 person-months. ECU 375.500 , funds to coveradditional TA reallocated from thebudget of Project 3.1.1.2. One long term and one mid termexpert for total of 15 person-monthsECU 137,500 funds to coveradditional TA reallocated from thebudget of Project 3.1.1.3 One long term, two mid term andone short term for total of 24 person-months. ECU 220,000 funds to coveradditional TA reallocated from thebudget of Project 3.1.

2.1 Overseas long term scholarships: 21scholarships ECU 545,000 funded from 2.2 below2.2 Overseas short term scholarshipscancelled.2.3 Specification and budget asin the design 3

3.1 Specification and budget as inthe design 3

3.2 Specification and budget as inthe design 3

4. Specification and budget as inthe design 3

No costingNot mentioned in the logframe


TotalCosts(ECU)

No costing 1,136,000 989,000 1,550,000

As can be observed from the table significant changes were made in the inputs and the budget ofthe project by the TPIU after the inception period.

No such documentation was readily available which indicates that the modifications made by theTPIU after the inception period have been officially approved by the Kampala EC Delegation orEC in Brussels. The records of the Steering Committee meetings do not provide support in thisrespect either. The design presented in the logframe prepared by the TPIU during the inceptionperiod is the last officially approved design and thus it is used as a basis for the Mid- term Reviewwhen analysing achievements of the project so far.


At the time of the 1992 design (Ramboll & Hanneman) of the project, the University identified its“young” departments as a priority concern for staff development. The departments had beenestablished during the time when access to overseas study was curtailed regionally for politicalreasons, and internationally by shortage of funds. As a consequence of its isolation, Uganda hada resultant shortage of qualified practitioners in the areas of Pharmacy, Architecture and LandSurveying.

The second area of concern was the scope for improved teaching skills of young lecturers at theUniversity. There was a high turnover among these staff, with a consequent drain of experience,and the acceptance of lower standards of lecturing.

The needs of the University in staff development remains to be high in the areas identified duringthe 1992 design of the project. There are no other donors providing significant support for theseareas. There is no doubt that the Staff Development project at Makerere University remains to berelevant and will serve in the long run the overall national development of Uganda.

3.3.3 Efficiency

The efficiency of the project implementation has not been high since the first year workplan is stillfollowed by the TPIU. In this workplan provision for equipment, scholarships and TA was plannedto commence towards the end of the project’s first year. The TPIU also prepared a second yearworkplan later in which the timetable for implementation of project components was revised: theprovision of equipment and scholarships was planned to commence towards the end of the secondyear of the project. The restricted tendering process for the provision of TA was to commencetowards the end of the second year. However, due to grave delays in HRDP implementation, thesecond year workplan has not been approved by the Delegation and EC in Brussels.

The implementation of the project has been characterised by delays in the tendering processes and


in the selection of participants for scholarships.

Part of the equipment has now been received and more will follow as per the list prepared by theTPIU in consultation with the University.Long term overseas scholarships have been completed for upgrading the skills of the teachingstaff of the three departments. Upgrading of lecturers’ skills remains to be done. It appears thatsome of the short term scholarships have been converted to Masters level training.

The disbursement of funds per project’s components is projected as follows:

Table 3.3.2 Project 3.3: Makerere University Staff Development. Projected utilization offunds by the end of the initial 4 year period of the HRDP(Source TPIU)



n/a 439.16 %


93.88 % n/a n/a

0.0 % n/a n/a


150.45 %273.97 % n/a 57.77 %



TOTAL 177.36 %


As can be observed from the table, there will be significant overspending on TA (instruction),office equipment, furniture and books & journals. By the end of the 4 year period of the projectthe total expenditure will reflect extensive overspending. Due to significant overspending in somecomponents extra funds will be needed to carry over the remaining activities. The TPIU is aimingto use part of the contingency funds of the programme for this purpose. According to the TPIUthe contingency funds of HRDP have not yet been used. While such a view can be valid in theory,in practice the TPIU has already through overspending in some budget lines indirectly incurred


expenditure which can only be met from contingencies.

The Tendering process for selection of TA is still to be completed. It is understood that thespecific TA for semester planning development was needed in the beginning of this year whenprogrammes at the University began to follow workplans based on semester Time tabling. Dueto delays in the tendering process this TA was not available when most needed by the University.The delay in the provision of this particular TA will have a negative effect to the internalefficiency of the project.

On the other hand there are elements of implementation of activities which obviously will have apositive effect on the internal efficiency: the University has made decisions to delay commencement of some of the staff scholarships so that most of the relevant TA (which isexpected to commence soon) will be in place firstly. This is significant positive planning from thepoint of view of internal efficiency.

Such factors and aspects should also be reflected in the workplans prepared by the TPIU.Unfortunately, as is the case with the workplans prepared by the TPIU for the other projects ofthe HRD programme, neither the first year workplan or the second year workplan for project 3.3present any rationale for timing the implementation of the various components of the project: theimpression is that the necessary interlinkages between timing of implementation of the variousproject components were not fully addressed by the TPIU when preparing the workplans. It isclearly a positive input that at least the University has addressed these issues which are significantfrom the point of view of strengthening internal efficiency of the project.

Furthermore, procurement for the first lot of equipment is advanced; the first equipment has beenreceived by the University, and it can be projected that it is possible that most of the relevantequipment will have been received when the TA has arrived.

The following assumptions are linked by the TPIU in the logframe to implementation of TA atthe University:

“1. Market availability of adequate TA experts during the expected implementationperiod.”

This assumption will be only partially true due to the delay in provision of the TA meant forsemester planning development. Much depends also on whether there will be further significantdelays in the TA tendering process as a whole.

The TPIU also linked activities to the following assumption in the project’s logframe:

“2. Timing of equipment procurement procedures compatible with implementationneeds.”

There is a possibility that this assumption will be true.

The internal efficiency of the project cannot as yet be fully analysed in view of the progress ofimplementation so far. However, on the basis of the above, it can be concluded that the internal


efficiency of the project as a whole can eventually be high assuming that there will be no furtherdelays in the tendering process and the selection of the TA.

3.3.4 Effectiveness

The project has not yet produced sufficient outputs which could be used to determine theirexternal effectiveness. The overseas scholarships for supporting the upgrading of the skills of teaching at the three departments have been completed. There is no doubt that these scholarshipswill contribute towards achieving the result no 1 mentioned in the logframe: “1.Upgradedqualifications of teaching staff of three departments: Pharmacy, Surveying and Architecture.” However, the effectiveness of the project in this regard can be analysed holistically only when theTA linked to upgrading the skills in these three departments has been in place and equipmentrelated to such skills provided and in use.

As far as the rest of the expected results are concerned, there have been even fewer such outputswhich at MTR stage could make it possible to analyse the external effectiveness of the project. However, on the basis of what has been said regarding internal efficiency, it can be concluded:(since there are signs that the internal efficiency can be high, and if this will be true) it is possiblethat the project can achieve high external effectiveness as well.

3.3.5 Impact

Usually at Mid Term Review stage direct measures of impact cannot be carried out. Indirectmeasures based on approximate indicators are usually used instead . One of the most accessibleand reliable of such proxy indicators for assessing the existing or likely future impact of a projectis the degree or extent of utilization of project outputs. Unfortunately the staff developmentproject at the University has not yet produced sufficient such outputs which could be used for theindirect measurement of the impact of the project. There are some outputs in the area ofscholarships, but it is too early to analyse utilization rates of these outputs.

In a tracer study carried out by the Mid-Term Review Team data was received from the limitednumber of respondents who have benefited from awards. In the case of the masters programmethe recipient considers that he requires further training in order to perform successfully and thatthe duration of training was too short.

In the case of architecture the awards were for short term courses (6 to 12 months) after whichone recipient took almost 12 months to secure employment. Income has increased marginally andtraining is considered to be adequate for the present purposes and enhances career prospects.


There are several factors which will affect the sustainability of the results of the project. At thispoint the following can be highlighted:


Firstly, the University has to find ways to cover the cost of consumables, spare parts and runningcosts for the equipment when the provision for this from the project comes to an end. Theuniversity is in the process of preparing plans to attract private students after the upgrading of theuniversity teaching staff has been completed. If these plans will materialise, the University will bein position to raise funds for recurrent costs through admission of private students.

Secondly, the staff turnover at the university is a factor which will be relevant from the point ofsustainability. It is essential that the staff to be upgraded through this project will be retained atthe university and continue to utilize the results of the project for the benefit of the university.


In the absence of sufficient outputs of the project, it is impossible at this stage to determine thefactors related to the cost-effectiveness of the project. They can better be determined at the timeof the final evaluation of the HRDP.

As forecasted earlier in Table 3.3.2 the project will have exhausted all of its funds by the end ofits initial 4-year period. Due to extensive overspending in the several budget lines, extra fundingis needed to finalise the implementation of the remaining activities. The TPIU aims to utilize partof the HRDP contingency funds for this. According to the TPIU contingency these funds have notyet been used. While this is be true in theory, the TPIU but has in fact already utilised contingencyfunds through overspending in several budget lines. The same low financial discipline characterisesthis project as is the case of other projects in the HRDP.


PROJECT 4SUPPORT FOR IN SERVICE EMPLOYMENT RELATED

TRAINING



This project, as with all others in the HRDP, went through a number of different design stages,all of which varied the inputs somewhat. These phases were

First design: by HEDCO in February 1992;Second design: by Ramboll & Hanneman in October 1992;Third design: by the TPIU during the inception period in March-June 1994;Adjustments to the third design: by the TPIU after the inception period.

The TORs of Ramboll & Hanneman was to further develop the design prepared by HEDCO.While the same overall objectives and specific objectives were applied in the design, the inputswere specified in more details. The Ramboll & Hanneman 1992 design became the first designapproved by EC in Brussels and was annexed in the form of a logframe to the Financial proposal.The Project Purpose, Results and Inputs in this design for the project 4 were:

Project Purpose: Increase the availability and skills of technical and businesspersonnel and reduce regional and gender gaps.

Project Results: Skills of employed manpower of private and public sector atnational level upgraded and diffused at national level;Technological and managerial skills of small scale entrepreneursat national level developed;Women participation in all sectors of activity increased.

Project Inputs: 80 Overseas short term scholarships;60 Regional short term scholarships;180 In-Country Training Seminars (2 weeks for 1800 pers.;TA to support seminars/training needs.

During the Inception period and afterwards the TPIU made changes in the inputs in the logframe.The following table illustrates the changes at various levels of design.


Table 4.1.1 Project 4: Support for In-Service Employment-related Training. Comparison of inputs and budget allocation as per various design stages

Compo-nents


Design 2 - Ramboll &Hannemann and DraftFinancial Proposal July1992

Design 3 - InceptionReport by TPIUMarch - June 1994

Further changes madein the design by theTPIU at various stagesafter inception

TA

Staff Deve-lop-ment

Equip-ment

LocalStaff

Civilworks


LocalcoursesECU1,000,000 + 20scholarshipsoverseasannuallyECU2,000,000Notspecifiedfurther in thedesign.

No costing.Not in thedesign.




80 three-monthsscholarship (i.e. for 20participants annually).60 two-week regionalscholarships at ESAMI(for 20 participantsannually)ECU 1,100,000.200 one- week localtraining seminars for totalof 4000 participantsECU 900,000.

No costing.Not in the design



ECU 100,0002. Support to specialseminars organisation:local expenses fortraining needs studiesto be carried out byTPIU.

1.1 Overseas shortterm scholarships: 80 ECU 800,0001.2 Regional shortterm scholarships: 60ECU 360,0001.3 In-country trainingseminars for selectedeconomic sectors: 180seminars, 2 weeks eachfor about 1800participants.ECU 840,000




2. Support to specialseminars organisation:cancelled. Not clearto which project(s) ofthe HRD programmefunds to be transferred

1.1 1994: eight long termand forty-six short termscholarshipsIn spite of the change inspecification, budgetkept as in the design 31.2 Specification andcosting kept as in thedesign 31.3 1996: to beredesignedUtilization of fundsawaits redesigning.




TotalCosts(ECU)

3,000,000 2,000,000 2,100,000 2,000,000

As can be seen from the table, as far as total project funding is concerned no major changestook place in the different design stages for this project. However, in terms of substancechanges were applied in the form of cancellations and redesigns. Utilization of some of thefunds for the Staff Development still awaits redesign.



Under LOME III, EC financed an average of 25 fellowships annually for Uganda, mainly long-term (12 months) duration. In the case of in-country training, one of the most useful pilot projectswas considered to be a series of workshops in appropriate technology for the small business sectorfor which there is considerable scope and need. An ex-post evaluation of the Uganda Lome IIItraining programme, carried out by consultants for the Uganda Delegation in 1991, indicated thatthere was an absence of a follow-up system and recommended a post-study evaluation. Theproblems associated with establishing criteria and priorities were also a difficulty.

In the case of EDF7 the case was made for limited overseas scholarships and appropriate in -country and regional training by local Training Providers. The Project Design foresaw the needto initiate a process of collecting relevant supporting data for both modes of training as it is notpossible to decide priorities purely on the basis of needs. A monitoring system was to be includedand reference is made to the direct operation of this project by the TPIU.

Project 4 is, therefore, highly relevant, both in terms of its relationship to overseas andlocal/regional training.

Clearly the support for In-Service Training through scholarship and In-Country Training is a keyelement of support for upgrading of human resources across the spectrum of disciplines and ishighly relevant to Uganda, if properly targeted, managed and directed. The overall objective iswithin the National Indicative Programme.

The lack of criteria, structure and focus of the project in the Uganda context is regrettable andmany years have been lost in which substantial progress could have been made. The need forcriteria and focus will be dealt with in the redesigned project in Part B of the this report havingregard to current trends in HRD fund design. Causes for the low implementation level for thisproject are difficult to identify and explain; there appears to have been a reluctance on the partof implementers to tackle the obstacles other than reporting on them. The strategy remainsrelevant but requires focus.

4.1.3 Efficiency

(i) Overseas Scholarships

Scholarships in 1993 were awarded before the actual commencement of the programmeimplementation. For 1994 and 1995 the TPIU, in conjunction with the Manpower Section, wasdirectly involved in the awarding of the overseas scholarships.

In 1994 150 applications were received on the basis of

• persons over the age of 45, or persons that have received any type of training within the


previous two years being ineligible;

• the type and content of the training course must fall within the framework of theprogramme;

• a technical justification to be supplied by the employer;

• an interview by the TPIU;

Preference was given to female applicants and all applications were submitted to the NAO forendorsement.

In 1995 130 applications were screened and on this occasion it was decided to share thescholarships on an equal basis between public and private sector applicants in addition to maintaining the former criteria. It was also decided to award only short term scholarships, sincethe majority of applications for long-term scholarships did not match the programme objectives.

By 1996 the TPIU reported that the major problem in the awarding of scholarships was theabsence of a specific plan, guidelines and criteria. By the end of 1996 all funds allocated foroverseas scholarships were expended and the possibility of reallocation funds for this purpose fromProject 1 was awaited.

In mid-December 1996 the TPIU requested the NAO to initiate the procedure for reallocation offunds from Project 1 in order to start processing of overseas scholarships for 1997. However,since the ToRs for the proposed Training Expert included the drafting of criteria for scholarshipawards and since his report was only due in July 1997 no action could be taken on scholarshipsuntil his report had been adopted.

(ii) In Country Training Seminars

The In-country Training Seminars programme is directly managed by the TPIU. One of thespecific tasks is to identify priorities and organise the in-country seminars for selected employmentrelated sectors, with a series of training targets and various methodologies. Training was intendedto be at national level in order to achieve equity in terms of geographic coverage and genderbalance.

In its Report of September 1995, despite its contractual obligations9, the TPIU considered that it 9. The appropriate reference for this obligation is Tender Dossier Annex A; Terms Reference, Part 1, No 5. The functionsof the TPIU subsection 5.9 which states‘undertake the full management of Project 4, including the researching of training needs for ad-hoc in country training,developing the training specifications, contracting suitable training providers, and organising and advertising the provision of thetraining at selected venues throughout Uganda, and arranging invitations to attend. In other words the TPIU will act as theresponsible party for the provision of this in-service training activity”.


was insufficiently staffed to coordinate and manage all aspects of this activity and proposed thatseveral local associations and agencies should be contacted to establish a cooperative effort toidentify training needs and implement training programmes. Contact was also made with theMicro-projects Programme with the same aim in view and a proposal made. This proposal wasapproved by the NAO in December 1995. Further proposals were in preparation for January1996.By June 1996 the TPIU reported that the major problem within this project was theimplementation of in-country training seminars as no guidelines were available. The PSC agreedon the need to recruit an additional expert and a letter of request was forwarded in June 1996 bythe NAO to the Kampala EC Delegation.

The 2nd Year Work Plan, which was not approved or operationalised, included a description ofactivities which, if implemented, would have effectively set up this component. It included a planfor• Design and costing of in-country seminars and workshops;• Organisation and implementation of courses;• Evaluation;• Design of needs assessment studies, costing and planning;• Selection of consulting firms and contracting;• Implementation of studies.

Various Training Proposals were to be finalised by July 1995. No further progress was made inrelation to these proposals and again in September 1996 the TPIU requested guidelines for bothin-country and scholarship training. In order to address the issue the PSC decided that the TPIUshould draw up the guidelines in conjunction with the NAO and the Manpower Planning Units ofthe respective Ministries.

At a meeting on the 9th December 1996, attended by the NAO, the TPIU and the ManpowerPlanning Unit, a set of priorities and basic guidelines for the implementation of In-CountrySeminars were drawn up (Progress Report December 1996).

(iii) Regional Scholarships

No regional scholarships were awarded by December 1995. While funds continued to be availablefor this purpose no progress was made pending the development of a frame of reference and forthis reason the Kampala EC Delegation suspended six regional scholarships in February 1997. Theunderlying assumption is that Project 4 should be refocused on the private sector and thatapplications had previously been skewed towards the public sector. The TPIU was instructed toprocess private sector applications only until the Training Expert had reported (Progress ReportMarch 1997).

(iv) Recruitment of Training Expert

The TPIU received comments in August 1996 from Brussels DGVIII on the draft job descriptionfor the Training Expert. Amendments were made and the ToRs were resubmitted; the jobdescription required a degree in Social Science.


The Contractor for the TPIU submitted a proposal for the recruitment of the Training Expert andresubmitted three CVs which had already been presented at the end of September. By December1996 no response had been received. In the January 1997 PSC meeting the NAO raised objectionsto the CV’s submitted by the Consortium as a result of which two additional CVs were submittedin February 1997. The CV of a consultant, Mr Fabio Dallape, was approved in March 1997 andit was decided that his mission would be short-term (three months), that his TORs should be re-defined, and that no implementation activities would be included. Mr Dallape has a qualificationin Theology and Philosophy.

The main objectives of the Study were to• develop a comprehensive in-country training programme focussed primarily on the small

scale business sector;• draw up guidelines and a frame of reference for the awarding of overseas scholarships.

He commenced work on 20th April 1997 and submitted a Draft Report on 9th July 1997. His FinalReport was submitted 13 days later on 22nd July 1997.

(v) Assessment of Proposals for In-country Training

The Job Description for the Training Expert required a graduate degree in Social Science and ‘fiveyears training experience’. The Training Expert recruited held a qualification in Theology andPhilosophy and had experience and background in social work. He had no experience of industryor manufacturing.

In the Final Report there are conflicting statements regarding the institutional structure of theproposed In-Country Training Programme which make it difficult to assess. On the one hand itappears to be proposing institutionalisation in the HRDP under the umbrella of the PSF (page 10),while elsewhere (Annex 1) it places the Private Sector Foundation under the TPIU. No proposedbudget allocation for the training programme are included and job Descriptions for staffing of theproposed Project contained in the Draft Report were not included in the Final Report. These jobdescriptions specified qualifications for a Training Expert who had social science qualifications. In view of the lack of clarity and definition of the institutional arrangements it is difficult to assessthe project proposal and the type of personnel which are being proposed. Clearly further workwould need to be done to outline the proposal. It is noted and understood that the Draft Reportwas approved by a PSC meeting of the 9th July 1997 and that it was agreed to omit budget andorganisational arrangements from the report. However the Final Report, as stated above, doesinclude organisational arrangements which conflict as outlined.

The criteria outlined in the proposal for the awards system are an inadequate basis for theestablishment of the system and clearly will require further substantial development beforeimplementation is attempted.

In formulating proposals in Part B consideration has been given to the proposals in this report.


4.1.4 Efficiency

Efficiency levels are low due to non-activity in the In-Country Seminars Programme. The projectbudget was adequate to achieve the stated purposes. Organisation has been weak, lackeddirection, criteria and a cooperative approach. The history of referrals from one progress reportto the next illustrates a lack of real action since 1994.Expenditure patterns for this project are shown in Table 4.2. As will be observed from the table57% of expenditure will remain uncommitted by March 1998.

Table 4.2. Project 4: Support for In-Service Employment-related Training. Projectedutilization of funds by the end of the initial 4 year period of theHRDP(Source TPIU)



n/a n/a


100.39 % 15.43 % n/a

0.0 % n/a n/a


n/a n/a n/a 64.98 %

Local StaffTraining allowances n/a


TOTAL 42.93 %


Progress on Inputs

1.1 Of the targeted 80 overseas short term scholarships 54 were awarded; 8 were convertedto long term scholarships and 43 short term were awarded; 11 of these before the TPIU


came into existence and 43 by the TPIU. These awards expired the budget allocation forthis component;

1.2 Of the targeted 60 short term regional scholarships 6 were awarded and no further awardswere made until criteria clarified; the Brussels Monitoring Mission requested thedevelopment of a framework and criteria for the awards;

1.3 Of the 180 in-country training seminars targeted none were held.

2 T A to support Organisation of Seminars: Not implemented and cancelled in 1996.

Planning and time tabling was virtually non-existent for In Country Training although financial andaccounting systems were adequately in place. The current situation with In Country Training isthat it will be reorientated, defined and enhanced as part of the proposals contained in Part B. Thecomponent, however, remains a potentially valuable component of the HRDP.

Crassner’s monitoring mission from Brussels recommended actions which have not been fullyimplemented but these are addressed as part of the Mid-Term Review. Indicators are redefinedand mechanisms outlined in part B of this report.

4.1.5 Effectiveness

Apart from Overseas Scholarships actual results compared with those planned are low. Overseasscholarships have benefited key personnel and results of these are analysed elsewhere in thisreport. The results have partially contributed to the project purpose and the reoriented programmeshould increase project effectiveness by project end.

The assumptions formulated by the TPIU for the activities of this project are:

‘1 Market availability of adequate TA during implementation;2 Timing of equipment procurement procedures compatible with implementation.’

These assumptions have little application in this project as there is no equipment input. This againreinforces the observation made earlier in this report that the TPIU did not pay sufficient attentionto formulation of assumptions for the projects in the HRDP. The same pattern of assumptionshave been formulated and applied almost on a cut and paste basis for each project withoutconsideration of the validity of these assumptions. The Logframe Matrix for this project shouldnot have been approved in its original form form.

The project seemed to founder on the question of criteria for both In country and scholarshiptraining awards. The persistent requests from the TPIU, for such criteria held the project back forlong periods. This request for criteria was not resolved and it is difficult to understand why suchcriteria, which are in wide use, could not have been imported and adapted from other ACPschemes earlier on in the HRDP. If an appropriately qualified, experienced and competent Training


Expert had been recruited earlier, this would have assisted in moving the project forward into aneffective vehicle for training. The Logical Framework exercise carried out as part of the Mid-TermReview will start the process of establishing the project on a systematic basis for furtherdevelopment.

4.1.6 Impact

In a tracer study carried out by the Mid-Term Review Team data was received from 12respondents under this project, all of whom had attended short courses (up to 6 months). Theirincome has improved since training particularly for those who were in junior positions beforehand.

All of the respondents feel that the training was relevant and 73% of them apply the skills gainedin their present occupations, however, only 36% of respondents feel that the skills they acquiredhave enabled them to perform successfully in their work; the main reason being cited as the shortnature of the training programme. Career prospects have been enhanced for all respondents.

At this point it is difficult to assess accurately the utilization rate of this output. It can be assessedmore effectively at the stage of final evaluation of the HRDP.

As far as the impact of the In-country Training Programme is concerned, it will be non-existent asa result of non-implementation.


Experience and research of Scholarship inputs, carried out in other systems, show that they haveintrinsically low sustainability levels generally and are normally used as short term ‘kick-start’mechanisms in HR development. In country training has the potential to be highly sustainable ifcost recovery mechanisms are inbuilt and there is high market response. The proposals in Part Bwill reflect these qualities.

The project concurs with the provisions of the Financing Agreement although not fullyimplemented. No policy changes are envisaged which are likely to have major effects on theproject with the exception of those which give greater emphasis to private sector development, andit is hoped that full agreement on the new objectives and activities will be implemented in the newproposals and that there will be a willingness to contribute to relevant training. The key to thisform of sustainability in training is to purchase training which is relevant and to subsidise it on areducing basis. This model is developed further in Part B.

In this revised context, the project will be sustainable and cost recovery mechanisms will be inplace. Institutionally the project will be diverse and will use the facilities of a variety of trainingproviders. No technological or environmental impacts apply in this project.



No analysis of the In-country Training Programme has been done due to its being non-active. There are no recurrent budget implications for any institution arising from the scholarshipcomponent. The project purpose and the project results were not allocated any assumption by theTPIU and the impression is that no risks were foreseen.

Expenditure patterns for this project are shown in Table 4.2. As will be observed from the table57% of expenditure will remain uncommitted by March 1998.

The potential impact of the new project will justify the inputs. No budget overruns apply and theproposed project will be a cost effective means of impacting on the training sector. A reorientationis necessary as outlined above and is proposed in Part B.


5.0LESSONS LEARNED, CONCLUSIONS AND

RECOMMENDATIONS


5.1 Programme Wide

The major difficulty with the HRDP relates to a lack of strategic management. The programmesuffered seriously from a lack of coordination and integration of inputs. Timing of inputs wasdictated by inadequate procurement expertise and the result is that inputs happened when they wereavailable rather than when they were needed. The crucial question of TA inputs was left until thelast year. This has caused a decrease in the internal efficiency of the HRDP. Had these TA inputsbeen in position in the early stages of the HRDP they would have contributed their combined andindividual expertise as a resource for equipment specification, staff development, institutionalliaison and individual project monitoring. This was an integral part of the original project design.

The combined effects of poor procurement mechanisms, changes in procurement personnel, takentogether with the long delay periods for approval at the various stages, set the programme backconsiderably. The HRDP would also have benefited from short term procurement expertise in EDFprocurement procedures.

The lack of mandate, definition and role for the PSC did not assist the implementation team. It wasunclear as to which body made overall policy decisions in relation to the programme and as a resultthe PSC was not always consulted on policy issues. The practice of including direct beneficiariesin the overall decision making mechanism contributed to a possible lack of objectivity. These might better have been included as an advisory group with overall policy coming from a groupremoved some distance from the beneficiary level.

The lack of financial monitoring has clearly characterised implementation of HRDP. Substantialover expenditure in some budget lines at project budget levels have resulted in de facto change inthe balance of inputs and thus shifted the actual focus of such projects. It has not been clear fromminutes of PSC meetings if such overruns have been approved and this, of course, hasconsequently resulted in change in balance and shift of focus of the HRDP as a whole.

Regrettably the Mid Term Review comes at a time when many recommendations will have littleeffect on the efficiency of the HRDP but, however, may have some positive contributions to maketo similar such programmes.

It is therefore, recommended that:

(i) Inputs be managed strategically based on logical integrated patterns of institutionaldevelopment and that the relationship between physical and non-physical inputs bescheduled in such a way as to optimise the benefit from technical assistance inputs.

(ii) Procurement expertise be contracted in on a short term basis to guide local experts in EDF


procurement procedures and to assist in equipment and services specification.

(iii) The PSC should be a small executive group with clearly defined functions and involved withoverall policy decision making, assisted by an Advisory Group in which beneficiaries arerepresented.

(iv) The Mid-Term Review should be held at a time when its recommendations can havemaximum effect, i.e. not later than the 27th month of the four year programme.

(v) Mechanisms be put in place by the Programme Accountant, immediately, to ensure thatexpenditure from funds for the HRDP are monitored on a monthly, project by project basis,irrespective of where the expenditure arises in order that a global picture of expenditureand, consequently, over and under expenditure is available at all times.

(v) The Final Evaluation of the HRDP should be planned and held at an adequate stage of theprogramme cycle.

5.2 Project Specific

Project 1- Capacity Building

In May 1997 the Kampala EC Delegation requested specific instructions from the NAO on theamount of funds to be transferred from Project 1 to Project 4. The Report of the Mid-TermReview is awaited in order to recommend this reallocation.

The current status of this project is that it has been suspended and that surplus funds will be utilisedin a redesigned Project 4. The reorientation of the project was accepted at a meeting of theSteering Committee in June 1996 and a decision was made to accept the recommendation of ECin Brussels, that the MIS System was no longer a viable project in the Ugandan context and thatthere was a surplus of planned provision of TA. The objectives of the original project will not,therefore, be achieved . The reorientation of Project 4 will take place during the remaining phaseof the HRDP and is presented in the part B of this report. A draft Logical Framework prepared inclose consultation with the stakeholders is also presented for this project in part B.

The Project has suffered from a number of factors:

- changes in the structure of the Ministries and its consequent negative implications forstaffing;

- changes in the nature of the Ugandan economy reflecting a growing private sector;- evolving government policy and its support for the private sector;- structural adjustment programmes.

The policy, organisational and operational lessons which can be learned from this exercise are thatthe delays occurring between original project design phase and the implementation phase, shouldnot be lengthy. In this case the delay was three years. In many projects this may not be a crucial


factor but in socio-economic projects which are closely linked with the impacts of restructuring, it is of crucial importance that implementation is carried out at a time when objectives remainrelevant.

The combined influences of a dynamic labour market, structural adjustment and the developingeconomy, together, are dynamic processes which render related interventions stale within a veryshort period. Pre-conditions which should be made to apply to such projects should include areappraisal of objectives at the Inception Stage and at timely Mid Term Review stage, followed byprompt action.

It is therefore recommended

(i) that, in order to streamline administration of funding, all outstanding scholarship trainingactivities and remaining funds for Project 1 be transferred to Project 4 and managed anddisbursed, against an agreed framework and criteria, from this project.

(ii) the outstanding activities in relation to top-up salaries can not be justified after the initialfour year term of the HRDP and should be discontinued after March 1998.

Project 2.1 National College of Business Studies

The project 2.1 remains relevant in the present national development context of Uganda. The TAfor the project will commence in September 1997 and the TORs for the TA have been especiallygeared towards development of the College organisation, management system, curriculum contentand functions of the staff to better meet market demands for business related skills andprofessions.

The TA component is advanced and its timing can promote internal efficiency of the project. Sincethe implementation of the scholarship component is not yet advanced the TA will be in position toadvise, for example, in the selection of appropriate scholarships for the staff. However, theextensive overspending in TA, books & journals and vehicles will, in practice, affect the provisionof scholarships unless additional funding will be secured for the project to complete such remainingactivities. The lessons to be learned from this project are that the inputs should be strategicallyplanned and interlinked in order to promote efficiency and achievement of expected results. Allthis, of course, needs to be conducted under adequate financial control.

It is recommended that

(i) the remaining activities of this project will be completed within twenty four month periodfrom April 1998.


Project 2.2- Uganda Polytechnic (UPK)


The success/failure of the project can not be assessed as part of the Mid-Term Review, since inputsare not sufficiently advanced and in some cases not yet in place, as to indicate either case. Clearlythe inputs have the potential to impact on the quality of the programmes at the UPK in the mediumto long term, if the planned activities are integrated effectively. This could not have been achievedwithout the inputs planned in this project. No reorientation of the project arises and commitmentsalready made should be followed through.

The principal organisational lessons which can be drawn from the implementation of this projectare that the timing of inputs should be such that there is a clear strategy in place. This projectwould have benefited from having the TA in place at an early stage in order to contribute toequipment specification, planning of staff development and planning of the other inputs. It isregrettable that this TA will arrive at a time when all such matters will be in place and he/she willbe unable to make any impact on the complementary components.

It is therefore recommended that:

(i) all existing outstanding inputs should be scheduled for completion within a twenty fourmonth period from April 1998.


Project 2.3- Institute of Teacher Education (ITEK)

The project remains relevant in the present national development context of Uganda.

The clear lesson to be learned for this project is that all inputs must be directed at achieving theexpected results and eventually serve the purpose of the project. It is understood that not all of thescholarships awarded for this project have been implemented in the intended and planned direction,thus the expected results cannot be fully achieved, and further, cannot serve the purpose andeventually the maximisation of the impact of the project. Due to this deviation from the p[rojectdesign by management the internal efficiency of the project has decreased.

The over-expenditure projected in several budget lines of this project is a sign of lack of financialcontrol.


(i) the remaining activities of this project be completed within twenty four month period fromApril 1998.



Project 3.1- Makerere University, Estates and Works Department

TA should have been in place at the earliest possible date and inputs should have been synchronisedto ensure maximisation of impact. Success prospects are high for this project and thedevelopments taking place have the potential to be successful in time. The impact will justify thecosts involved. The Estates and Works Department would benefit from a greater degree ofautonomy in the case of materials procurement and accounting. The project is within budget butnot timescale. Post project maintenance will be dependent on adequacy of the university budget. It is unlikely that the same results could have been achieved without the planned inputs. Noreorientation of the project arises or is necessary and all existing commitments should be continued.

The Estates Department has had little contact with the PSC for the HRDP and has not seenprogress reports or minutes of meetings. It is important that beneficiaries at the Department levelshould be in receipt of communications regarding project progress and steps should be taken byTPIU to improve mechanisms for communication.

It is therefore recommended that



Project 3.2- Makerere University, Library

The project remains relevant in the current national development context of Uganda.

The project will experience substantial over-expenditure by the end of March 1998. This is due totwo reasons: firstly there is over expenditure on equipment and books&journals. Secondly, therewas no TA allocated in the original design of this project, and provision of TA has been added tothe project only recently. However, this kind of significant addition in the inputs has not beenadequately reflected in the budget of the project.

The implementation problems in this project clearly underline the need to consult and involvebeneficiaries closely during the implementation process. This like the other Makerere Universityproject are represented in the Tender Committee by one contact person. This arrangement has notalways led to efficient management and information flow between all parties concerned.





Project 3.3- Makerere University, Staff Development

The project remains valid in the current national development context of Uganda.

One lesson to be learned from this project is the need for financial control: by March 1998 the totalexpenditure of the project will reflect extensive overspending. As far as the TA component isconcerned, the expenditure will be over four times more than in the allocation for TA in theproject’s budget.

Due to delays in the tender process some of the TA needs originally identified have partly lost relevance.

On the other hand there are also positive lessons to be learned from this project. The Universityhas demonstrated understanding of the importance of strategic coordination of inputs and this willpromote internal efficiency of the project.




Project 4- In Service Employment Related Training

Success levels are low due to non-implementation of the In country Training Programme. Causesof failure are lack of focus, action and expertise. The project would have benefited from thepresence of an adequately qualified Training Expert at the TPIU at an early stage, to develop thenecessary systems to implement the project and to develop criteria and initiate action. It is hopedto address these failures in the redesigned project. Although long term Human ResourcesDevelopment expertise was in place in the TPIU little progress was made in the development ofthe basic criteria for the awards.

It is therefore recommended, that

(i) Project 4 be refocused and encompass all scholarship and training activities both for thepublic and private sector within an agreed framework and criteria as proposed inPart B.


ANNEXES TO PART A


Annex A1Terms of Reference


Annex A2Comments on the Terms of Reference


Annex 3ACV of Evaluators (Summary)


Annex A4Methodology Applied to the Evaluation


Annex A5Literature and Documentation Consulted


Annex A6List of Persons/Organisations Consulted


Annex A7Logical Framework Matrices

(original vs improved/updated)


Annex A8Technical Annex


PART B

PROPOSAL FOR THE REORIENTATION ANDCOMPLETION OF THE HRDP


1 Administration of the HRDP from 1998 to completion

The likely scenario which will exist with the HRDP in April 1998 will be as follows:

• the Comerint contract will have terminated and, we are advised, can not be furtherextended;

• Civil Works will have been completed;• Some Procurement activities will require completion;• Technical Assistance will have commenced and will continue in one form or another up to

late 1999;• The consumables budget at institutional level will have commenced disbursement and will

require monitoring;• Some salary top-ups may need to continue;• Imprest accounts will require monitoring until disbursements from these are finalised;• Project 4 in its revised format will require a management and administration structure;• 30% of the entire HRDP Budget will remain to be disbursed (this estimate is based on data

provided by the Accountant at the TPIU)

The issues to be addressed following the lessons learned from HRDP so far form the basis of thediscussions which follow and options for the management and administration of the remainingaspects of the HRDP, a period which is likely to be from 1998 to 2000 as discussed during theMTR. From discussion with the stakeholders and beneficiaries a number of options weresuggested. These included:

(1) Direct implementation from the Delegation;(2) Direct implementation from the office of the NAO;(3) The placement of a Training Expert in a private sector organisation with a responsibility

for implementing Project 4 as well as the remaining elements of the other Projects.(4) A continuation of the existing institutional arrangement with modified inputs of personnel;

Option (1) is not considered feasible as the Kampala EC Delegation and was discouraged as theDelegation is already unable to cope with the existing work load.

Direct implementation from the Office of the NAO (Option 2) has a number of advantages; itwould speed up processing of approvals; and it would eliminate one tier, that of the implementationunit, from the administrative ladder. Its success , however, would depend on whether an additionalTA could be assigned to the NAO’s office for the purposes of the HRDP. It was unclear, duringthe MTR if this additional input would be made available. Option 2 is therefore not recommended.

The option (3) of placing a Training Expert in a private sector organisation facilitates the


development of Project 4 and indeed was made in that context. This proposal is made in thecontext of developing a revised Project 4. It does not take into consideration the needs of theother projects which require to be administered until, completion. Personnel placed in the PSFcould not have functions in relation to the government sector institutions which continue to bebeneficiaries of the HRDP until completion. Institutionally, therefore, it is clearly not compatiblewith the other projects of the HRDP. It would not be appropriate for a Training Expert, whoselinks institutionally were with the private sector, to administer matters related to public sectorinstitutions and for this reason it is the Consultants view that this is not a viable or workable option.

Option (4) is to continue the present institutional arrangement for a further two years, with amodified Implementation Unit under the Director of the Manpower Department. This has anumber of advantages:

- the administration mechanisms currently set up under the Comerint contract can be handedover together with all records of finances and procurement;

- Some of the existing local staff could have contracts extended;- Existing facilities and office accommodation could be utilised without seeking new premises

for the programme.

Institutionally the HRDP is compatible with the Manpower Planning Department and since themain work remaining to be done is a question of completion, rather than initiation, it would appearjustifiable to continue the present arrangement. The exact relationship between the ProgrammeSteering Committee (PSC), the TPIU and Project 4 will need to be agreed and defined. There isno reason why scholarships for the public and private sector can not be administered from oneFund with one administrative structure. The experience in Uganda has indicated difficulties in thisregard but these are considered by the consultant to be operational conflicts related to lack ofdefinition which can be overcome. In addition it would be difficult to justify two structures, onefor Project 4 and a second for the HRDP. While the training needs of the public and privatesectors are acknowledged to be indeed disparate, the establishment of clear criteria and operatingprinciples for awards will obviate any bias towards either sector and indeed will ensure the balancerequired by the Delegation in relation to the private sector development.

It is therefore recommended that a modified TPIU be put in place by April 1998 to administer theremaining phase of the HRDP including Project 4. (see organisational chart A and B)

In formulating the proposals for Project 4 consideration has therefore been given to developing aunified mechanism which will

integrate administration of the existing incomplete elements of the HRDP with that of therevised Project 4;take account of developments in the existing funding of the small scale private sector inUganda (BUDS);take account of current trends in HRDF funding in other countries.

The major development in private sector development in Uganda since the HRDP was designed,is clearly the Private Sector Competitiveness Project (PSCP) and the consultants have considered


the possible relationship between elements of this scheme and the redesigned HRDP. The‘Business Uganda” Development Scheme (BUDS) which is a component of the PSCP aims at thesupport of injections of know how and expertise into Ugandan firms in order to increase outputgrowth. BUDS is one of four mutually reinforcing components of the PSCP at the core of whichis a cost sharing grant scheme in which Ugandan firms can receive 50% of the costs of usingconsultants and other service suppliers. Services may cover a broad range of subjects includingmarketing, market research, production and product development and business planning andidentification of foreign partners. Clearly the HRDP must be designed in such a way that there isno duplication or overlap with the development of the BUDS Scheme.

Since the design of the HRDP in 1992 human resource development funding has undergonesubstantial change globally. Systems have evolved which are based on competition for fundingwhich is based on agreed criteria. Funding mechanisms are designed to drive change in systemsrather than merely fund existing systems. The fund therefore becomes a catalyst for change. Theseexperiences have been taken into account in the redesign of the HRDP and are also based on theexperiences of the consultant in the design of similar schemes in sub-Saharan Africa and EasternEurope.

2 Project 4: Employment Related Training

Project 4 requires a structure, criteria and a framework which will enable it to respond to trainingneeds in the public and private sector. The following is a proposed outline of a HRD Fund(HRDF) including a structure and operating principles. They are intended to be indicative outlinesonly and will require detailed expansion by short-term Bridging TA if it is decided to accept theproposal and implement a HRD Fund.

1 Objectives and Principles.2 Administrative Structure for the HRDF3 The Executive4 Technical Assistance to the HRDF Fund5 Awareness Raising and Dissemination of Information.6 Criteria for Selection.7 Criteria for the Acceptance of Trainees.8 Criteria for the Acceptance of Training Programmes.9 Guidelines for Disbursement Procedures.10 Evaluation and Quality Control11 Implementation Stages12 Preliminary Estimates of Costs

3. HRDF

3.1 Proposed Objectives and Principles.


(i) Objective

To enhance and strengthen Uganda’s capacity to offer training access leading to relevantemployment related opportunities.

(ii) Operating Principles

The proposed HRDF is a new Fund. It requires an explicit statement of basic principles which willenter its constitution and govern operations. These will require expansion and discussion withinterested parties in Uganda and approval by the Government and the Delegation. Bridging TAwill be required to complete these discussions and prepare a manual.

The HRDF will;

i subsidise, by payments, initially by grants, a range of types of assistance to TrainingProviders delivery of demand driven, high quality, relevant training provision targetedmainly at the small scale business sector and the informal sector.

ii encourage innovation and development in non-formal training by financing through grants,innovative, quality relevant programmes through the training providers.

iii discriminate in favour of programmes which address the informal sector and girls on an agreed ratio basis.

iv provide advise to providers of training on gender, curricula, evaluation and targeted student entry.

v foster a culture for training by dissemination of information in which the benefits of humanresource development result in competitiveness and will in turn,

vi encourage long term competitiveness of the Ugandan economy by promoting employer investment in training so that ultimately employers see investment in human capital as closely comparable with investment in physical infrastructure.

vii award training grants for both the public and private sectors with a balance in favour of theprivate sector to be determined by the PSC;

The emphasis of the HRDF will be on the stimulation of the Training Providers to offer enhancedtraining programmes which will respond to needs identified by the PSC for the small scale informalsector. It will aim at the development and packaging of training programmes related primarily atskill development and will liaise with BUDS to ensure that no overlap takes place. In this respectit will complement the role of the BUDS scheme currently in operation.

The HRDF will commence by funding training programmes on a per centage basis as agreed by thePSC. Trainees and/or private sector companies will fund the subsidised training and will in thelonger term fund it fully. In a fixed period of years the programme will have become self


sustaining.

The detailed design of such a Fund is not possible in an MTR and therefore the principles outlinedwill require elaboration by a Bridging TA for validation by the Management Committee andrecommendation by the Committee to the Delegation.

(iii) Major Components of the HRDF Fund

The major components of the HRDF Fund:

1 Bridging TA 3 Weeks2 Programme Management Continuous3 Technical Assistance Continuous4 Early Action Training Programme

Needs Assessment 4 monthsGrants Awarded After month 4Outputs After month 6

5 Awareness Raising Month 2 to month 146 Long term Support

Needs Assessment Month 13 to month 15Grants Awarded Months 16 on.

7 Long Term InstitutionalisationStudies Month 22 and 23Implementation of InstitutionalisationMonth 24

Grants will be awarded on a competitive basis and the grants will be targeted at the informal sectorwith particular reference to gender equity. The first grants will be made within the first 4 monthsof the programme.

(iv) Estimated Commitments.

Of the MECU 3.5, an estimated ECU 500,000 (25%) will be committed for Awards to TrainingProviders under an early action programme. These figures are indicative only and are the basis fordiscussion in bridging TA and in further discussions with Government.

Local staffing costs including the Executive Team are estimated to be 5% of total support to theHRDF. Programme support in terms of long term TA is estimated at ECU140,000 and short termTA ECU 100,000. ECU50,000 is devoted to the Awareness Raising Campaign.

3.2 Administrative Structure for the HRDF

The proposed HRDF will be an independent body representing all stakeholders and will be underthe existing HRDP. The HRDF may later lead to the establishment of a substantive national HRDFwith a wider remit.

(i) Overall Administrative Structure


The HRDF will have its own Management Committee and will be supported by :- an Executive Team including a Manager, who will be a TA Training Expert with a

qualification in HRD, an Accountant and support staff;- occasional short term TA inputs;

The HRDF Management will also have responsibility for overseeing the completion of the existingelements of the HRDP.

(iii) The Composition of the Management Committee.

The Management Committee will consist of public, private and other representatives ofstakeholders in the training process, comprising representatives of the:

i Ministry of Educationii Ministry of Finance and Economic Developmentiii Private Sector Foundationiv Uganda Manufacturers Associationv Uganda Federation of Employersvi Representative of the Public Sector Training Providersvii Representative of the Private Sector Training Providersviii Management Instituteix NAOx A Commission representative.

The Ministry representation will give the necessary measure of Government authority andresponsibility, but with a minority status, and together with the HRDF Operational Guidelines andPrinciples will ensure that the fund policies, and expenditures, will be driven by the consumers oftraining. The fund will therefore be demand led.

Final composition of the Committee will be the subject of detailed discussions under Bridging TA,a balance being struck between the seniority of the members and their availability for meetings.

The Chairperson will be elected from the Private Sector organisations. The Committee will beestablished before March 1998.

(iv) Functions of the Committee

The Committee will

i direct the activities of the HRDF;

ii approve and validate all criteria which govern the Fund's operations in the selection of training providers for awards, approval of programmes and of trainee acceptance;

iii guide the executive team in 6 monthly work planning and development of the options menu for support;


iv submit 6 monthly work programmes to the Commission for approval;

v work closely with Government to ensure complementarity and additionality of funds;

vi have authority to disburse funds as grants to pay for subsidised delivery of approved training within the agreed criteria drawn up in the 6 month rolling plans.

(v) Authority of the Committee.

The Committee will have authority within each 6 month programme, to:

i contract, terminate and extend contracts and agreements.

ii select activities from the menu of options within each work programme, for expenditureand action, once the work programme has been approved by the Delegation;

iii alter the criteria which govern disbursements subject to the approval of the Delegation;

iv disburse the Fund's budget within the restrictions of the Operational Principles and withinthe approved criteria.

(vi) Responsibilities of the Committee

The Committee will be responsible for:

i strategic decisions and long term policy for the operation of the HRDF Fund;

ii recommending and submitting the 6 monthly work programmes;

iii ensuring all reporting requirements of the Delegation and Government are met;

iv ratification of all criteria for clients, training institutions, programmes to be subsidised andlevels of subsidies, subject to approval of the Delegation;

v agreeing all appointments.

Details of remuneration for Committee members will be discussed during Bridging TA.

(vii) Initial Timetable for the Committee to initiate activities.

The Committee will meet within 3 weeks of its formation and will set dates for the first year'sCommittee meetings, and its agenda. These will take account of the recommended activitiesscheduled during bridging TA, but in outline will include:

i recommending and submitting the first 6 monthly work programme of actions to the Commission;


ii ratification of all criteria for institutions, programmes and delivery which are to besubsidised, and levels of subsidies to be applied. These will also be cleared by the Commission and will apply in the first 6 month work programme.

(iix) Timetable for Committee Meetings

It is suggested that the committee confine itself in Committee meetings to strategic matters, and toholding the HRDF within its constituted purposes. Technical matters are the responsibility of theExecutive Team with its supporting staff and TA.

3.3 The Executive

The HRDF will have a small executive team to operate on a day to day basis.

The executive team will:

i carry out day to day responsibilities; and

ii advise the Committee and Training Providers (TPs) on technical details regarding:

-work programmes,-items to be selected from the workplan for funding,-procedures and applications for funding TPs to develop and deliver training programmes.

(i) Functions of the Executive

Key functions will be:

-selection of applications from TPs to ensure training provision in a manner that furthersthe objectives of the HRDF,

-awarding contracts to TPs to support training activities,

-monitoring, reporting, and quality control of projects funded under the HRDF,

-operational liaison, especially between the TPs, the Management Committee, the Government, the EU and other donors.

The skills required by the executive team to ensure success will include: accounting, projectmanagement and inspection.

(ii) Technical Assistance to the HRDF

Role of TA.

The TA will be available to advise and assist:


-the HRDF Fund itself-the individual TPs in receipt of awards-on training of staff-strategy development-analysis of training delivery costs-assessment of TPs-stimulation of demand from employers-development of 6 month work plans.

Bridging TA will assist in the development of the agreement to establish the HRDF and this isestimated at 54,000 ECU.

3.4 Awareness Raising and Dissemination of Information.

The development of a new approach to funding based on performance criteria will inevitably requiresubstantial exercises in public relations. Demand may be stimulated by the availability of subsidisedfees for training and active measures will be needed to ensure take up of new programme places.

An integral part of the HRDF early action will be a campaign of awareness raising. External TAand the executive will design a campaign using media and visits to employer organisations to makekey personnel aware of its functions and the benefits to be derived from the HRDF. It willcommence with a major launch and will run for one year.

ToRs for the Awareness Raising Programme will be developed following discussion withGovernment during Bridging TA.

Cost of Awareness Campaign

50,000 ECU

3.5 Criteria for Selection.

The Management Committee will stipulate criteria for selection of TPs, trainees and programmeswhich qualify for funding. The Criteria will be an integral part of the 6 month work programme. Criteria may change as occupational targets change but these will be made only with the approvalof the Management Committee.

Awards will be funded by the HRDF to those TPs which:

-are registered and meet the criteria specified by the Fund,-if unlikely to meet the criteria intend to upgrade to comply with the criteria.

Criteria for selection of TPs for funding will be in two sets: essential and desirable.


Essential Criteria will ensure that the quality of training provision are available within theinstitution. This will be a mandatory requirement and no TP will be approved to receive financialsupport without demonstrating they can fulfill all the essential criteria.

The Essential Criteria will fall into three categories: Economic, Financial and Curriculum.

Economic Criteria

1.1 Priority development sector:

Priority development area of the economy as agreed by the ManagementCommittee and updated in each 6 month plan.

Top priority 10 pointslow priority 5 pointsno priority 0 points

1.2 Demand for Skills:

Demand for specific skills from time to time will be indicated by the executive.

10 to 20 trainees 10 points5 to 9 trainees 0 pointsless than 5 trainees -10 points

1.3 Availability of Training Capacity.

To award programmes in areas where there is a shortage of capacity.

severe shortage 15 pointsmedium shortage 10 pointsno shortage 0 points

Financial Criteria

2.1 Complementary Funding

over 20% 15 points10 to 19% 10 pointsunder 10% 0 points

2.2 Unit per student cost. (Cost of Training for one year for one student)

To encourage cost effectiveness the operating cost only will be taken into account. The norms are to be established by the executive.


greater than norm -10 pointsnorm 0 pointsless than norm 10 points

Curriculum Criteria

3.1 Work experience

To encourage links between employment and training.

25% time on work experience 15pointsreduce points by 1 for each per cent below 25%

3.2 Modular Curriculum

To encourage the use of modules for flexible entry and exit.

Modularised Curriculum 10 points

Desirable Criteria, will be taken into account when all other matters are considered equal betweencompeting applicants. As time elapses and standards improve the desirable criteria will becomeincreasingly more important considerations.

Types of Institutions which will be able to apply:

Any Training Provider providing training for the informal sector,Private Sector InstitutionsSkills Training CentresEnterprises providing training for their own employeesPublic Sector Institutions.

3.5 Criteria for the Acceptance of Trainees.

There will be two sets of criteria for the acceptance of trainees to be accepted on programmesreceiving funds. All places on the programmes will be reserved for informal sector employees.

The criteria for the acceptance of the TP will follow the acceptance of the trainees.

-applicants must be between the ages of 15 and 25,-applicants must come from one of the target groups considered for special attention by the Committee.

3.6 Criteria for the Acceptance of Training Programmes.


There will be a set of essential criteria to be satisfied for programmes to receive awards. Thesecriteria will ensure that the Programmes:

-are directed at the target groups.-use modular curriculum design-are flexible in delivery-are interactive, or participative

3.7 Guidelines for Disbursement Procedures.

The disbursement procedures governing the HRDF will be such that:

-public funds are used in an effective manner,-the objectives of the Fund are met.-EU procedures are satisfied and-disbursement is efficient and unhindered by an over cautious bureaucracy.

(i) Outline of stages in disbursement.

The following is an outline of the stages and procedures which will satisfy both the requirementsof the EDF and the need for efficient disbursement.

1 The Delegation approves the global fund.

2 When the Fund is established, the Delegation approves its constitution. The Fund's bankaccount is opened and the Delegation transfers an advance of 10% into the Fund's ECUbank account.

3 The Fund is developed using the results of bridging TA and the Delegation approves the criteria for the TPs, trainees and programmes eligible for support under a first phase.

4 The Management Committee is given authority to approve TPs for support, provided thatall other criteria are met. The first 6 monthly programme is developed, the starting pointbeing the outputs from the bridging TA.

5 The Delegation approves the first 6 month programme with a menu of actions.

6 The HRDF expenditures occur in the form of (i) Grants to TPs and (ii) procurement of TA.

7 The bank account is replenished.

8 The Fund continues to grant contracts to support TPs.

9 The Fund will report monthly to the Delegation on expenditures in the past month, together with supporting documentation.

10 After 4 months of the first 6 month programme the HRDF Committee submits its second


6 month work programme.

11 On condition that the monthly reports of expenditure are satisfactory, and the second 6month programme falls within the guidelines for the operation of the HRDF, the Delegationapproves the second work programme, and the third tranche of funds is paid into theaccount.

12 The Committee selects another suite of actions from the newly approved 6 month programme and commences the cycle of grants again.

13 The third programme will be subject to a more formal review and comments from interested parties to be coordinated by the Management Committee.

The Committee will be responsible for all operational and administrative matters relating to theimplementation of the grants financed from the account. This will include tendering procedures,preparation and signature of contracts, management supervision and payment. These will beincorporated into the operational agreement.

The Manager will be responsible for ensuring the good and timely implementation of theprogramme in accordance with the Financing Memorandum and the principles of good financialmanagement. The Manager and two designated officers, who will be approved by the Delegation,will be responsible for authorising payments within procedures to be outlined in bridging TA.

The Project will be audited not less than 6 monthly by an independent external auditor appointedby the Delegation.

3.8 Evaluation and Quality Control.

Quality

All training programmes funded by grants will be monitored by the Manager who will be part ofthe Executive Team. This will ensure that quality standards are being met and that programmes are correctly designed and delivered in the light of user needs.

The executive team will be responsible for ensuring full consultation with providers, employers, andtrainees to ensure the quality of provision.

Evaluation

The relevance and quality of the programmes funded will be an important consideration in overallevaluation. A substantive evaluation will be planned 18 months into the HRDF operation, so thatpreliminary results can be made available for discussion.

3.9 Implementation Stages


(i) Bridging TA

1 Bridging TA2 ToRs for Fund3 ToRs for Staff and TA4 Constitution of Fund5 Develop Criteria6 Formal constitution of the Management Committee7 Select Committee8 Select Team9 Finalise Administrative Procedures10 Identify long term TA11 Identify short term TA12 Prepare tender dossiers13 Sign memorandum

(ii) Programme Management

1 Appoint Committee2 Appoint team leader3 Appoint long term TA4 Appoint all staff

(iii) Phase 1 Programme

1 Identify training priorities2 Identify TPs3 Identify TPs needs4 Fund and TPs discuss support5 Contracts arranged between TPs and Fund6 Award Grants7 TPs upgrading and programmes developed8 TPs delivery of programmes

(iv) Awareness Raising

1 Design Awareness Campaign2 Conduct awareness campaign

(v) Phase 2 Programme

1 Refine criteria2 Refine priority training needs3 Secondary selection of TPs4 Wider identification of TPs needs5 TPs submit applications6 Evaluation of applications


7 Award Grants8 TPs begin upgrading9 TPs delivery of programmes

(vi) Long Term Institutionalisation

1 One month study to establish data base2 Initiate standards3 Bridging TA4 1st 6 month work programme5 Monitoring reports of expenditure6 2nd 6 month work programme submitted7 2nd 6 month work programme8 Monitoring reports of expenditure9 3rd 6 month work programme submitted10 3rd 6 month work programme11 Monitoring reports of expenditure


3.10 Preliminary Estimates of costs. (in ECU x 1000)

Cost element ECU x 1000

LocalCommittee expensesTeam leaderAdmin and Finance

TA Long Term TA Short Term TA Support Services Local Travel and services

1st Phase Programme Grants awarded

Awareness Raising Awareness Campaign Task force

2nd Phase Programme Grants awarded

Long tern institutionalisation Data base Initiate standards

TOTAL

2012070

140100

70

1,300

3020

1,530

2020

3,440

4. Criteria for Award of Scholarships

Although not the primary function of the HRDF, where appropriate the Management Committeemay also award scholarships for public and private sector employees for training which is notavailable in Uganda. The Management Committee will establish a quota and a ceiling forexpenditure under this heading in each six month work programme. Criteria for these awards will


need to adopted by the Committee. The following is a proposed outline:

4.1 Criteria 1 Preference will be given to awards for training at vocational, technical, higher or post-

graduate job specific training;

2 The candidate must possess the necessary study qualifications to follow the programme;

3 Candidates must be at least 18 years of age on the date of commencement of training andnot older than 30 years at the end of training. The upper age limit to be increased to 45years in the case of post graduate training;

4 The training must relate to the functions and duties of the officer;

5 Awards will only be made to candidates whose previous programme of training has takenplace at least two years previously;

6 The award will be withdrawn if the candidate is expelled from the training institution;

7 The award will be withdrawn if the candidate is unfit medically to continue training;

8 The award will include a stipend, allowances, fares and insurance cover;

9 The candidate will be required to enter into an agreement which will be drawn up by theManagement Committee;

10 Scholarship Awards will only be for training which is not available in Uganda;

11 Awards will be targeted at short term specialised training programmes;

12 Group training awards will be given preference;

13 All applicants will be required to be interviewed;

14 Candidates will required to enter into a bond for a two year period after the trainingprogramme.

4.2 Advertisement

1 Scholarships will be advertised and applications invited for categories to be determined by


the Management Committee.

2 Procedures and selection criteria will be made public.

ANNEXES TO PART B


Annex B1Project 4 Logical Framework Matrix

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