Assessment of Development Results: Botswana

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Evaluation Plan:
2008-2009, Independent Evaluation Office
Evaluation Type:
ICPE/ADR
Planned End Date:
05/2009
Completion Date:
06/2009
Status:
Completed
Management Response:
Yes
Evaluation Budget(US $):
150,000

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Title Assessment of Development Results: Botswana
Atlas Project Number:
Evaluation Plan: 2008-2009, Independent Evaluation Office
Evaluation Type: ICPE/ADR
Status: Completed
Completion Date: 06/2009
Planned End Date: 05/2009
Management Response: Yes
Focus Area:
  • 1. Poverty and MDG
  • 2. Democratic Governance
  • 3. Crisis Prevention & Recovery
  • 4. Environment & Sustainable Development
Corporate Outcome and Output (UNDP Strategic Plan 2014-2017)
Evaluation Budget(US $): 150,000
Source of Funding:
Joint Programme: No
Joint Evaluation: No
Evaluation Team members:
Name Title Email Nationality
Team Leader
GEF Evaluation: No
Key Stakeholders:
Countries: BOTSWANA
Lessons
Findings
Recommendations
1 1. The UNDP country programme should include a more realistic and adequate formulation of intended outcomes and respective indicators than is currently outlined. The country programme should be operationalized through annual action plans and accompanying budgets. Key programmes of the practice areas should sharpen their foci and concentrate on fewer priorities instead of covering a wide range of interventions that provide little synergy gains. For example, in the practice area of energy and environment, UNDP and GoB could consider making the Environment Support Programme a framework programme, comparable to the key programmes in other practice areas. Integrating GEF support into this framework programme should be considered.
2 2. Considering the evolving aid context in Botswana, the CO should embark on a strategic review and possible revision of its internal systems, covering areas such as the distribution of human resources between units, and the streamlining of various types of contracts. Possibilities of stronger alignment of CO procedures and systems with those of GoB should be explored. Administrative procedures, steps and their durations should be clearly communicated to all relevant actors and adequate training in these areas should be arranged in case of identified needs. The CO's policy for cost recovery should be revised so that it enables sustainable provision of support services. The principles of defining UNDP costs and related charges must be transparent, based on fair criteria, and communicated to pertinent stakeholders.
3 3. UNDP should explore the possibilities of working more closely with CSOs, maintaining their autonomy and involving GoB in the process of defining the role of CSOs in Botswana. CSOs could potentially play a watchdog role for service delivery. UNDP could assist GoB in crafting an innovative role for CSOs to play in the governance programme.
4 4. To enhance the efficiency of the projects and the country programme as a whole, financial monitoring and reporting should be strengthened. Evaluations should make more extensive use of that information. Monitoring and evaluation of the CO should be strengthened, perhaps through the creation of a specific monitoring and evaluation unit. Such a unit should also support respective GoB functions and enhance alignment with the government monitoring structures and mechanisms. The monitoring and evaluation of projects should be more systematic and the recommendations of project evaluations should be taken into account more systematically.
5 5. All interventions supported by UNDP should be based on project documents that fulfil universally applied criteria of project cycle management. There should be an explicit strategy for sustainability in every project.
6 6. All projects need to have clearly defined roles, responsibilities and decision-making structures, and these must be effectively communicated to all pertinent stakeholders.
7 7. Currently, the country programme has too many cross-cutting issues and several of them are insufficiently operationalized. There is a need to clarify the respective strategies, simplifying key planning concepts. Future programme design should limit the number of cross-cutting issues to one or two and have a clear strategy for ensuring that the cross-cutting issues are adequately addressed.
8 8. Gender equality and equity is an important element of development effectiveness and should be given adequate attention as a practice area. This implies ensuring the hiring of personnel with the relevant competencies at equally senior levels with other practice areas. The CO should further strengthen gender equality and mainstreaming through assigning specific human resources. Like gender equity, equality and women's empowerment, youth issues are an equally important focus area that requires special attention in future programming. A clear strategy should be in place to ensure adequate attention to this sector of development.
9 9. Efficiency of the governance programme could be improved if UNDP was able to establish a senior-level management team that regularly reviews progress on implementation of the governance programme (UNDP Project Manager, the RR, the Deputy RR and the Assistant RR) to match the government side.
10 10. The governance programme could benefit from regular reviews. Apart from the quarterly report, there are currently no formal formative assessments. The programme could benefit from documentation of good practices as the programme unfolds. A review could provide the much need information on progress.
11 11. Strengthening the linkages between National AIDS Coordinating Agency and sub-national coordination structures is a potential area for UNDP work. UNDP could learn from the experiences of other regional countries that have worked on the establishment of effective sub-national HIV coordination bodies.
1. Recommendation: 1. The UNDP country programme should include a more realistic and adequate formulation of intended outcomes and respective indicators than is currently outlined. The country programme should be operationalized through annual action plans and accompanying budgets. Key programmes of the practice areas should sharpen their foci and concentrate on fewer priorities instead of covering a wide range of interventions that provide little synergy gains. For example, in the practice area of energy and environment, UNDP and GoB could consider making the Environment Support Programme a framework programme, comparable to the key programmes in other practice areas. Integrating GEF support into this framework programme should be considered.
Management Response: [Added: 2009/07/23] [Last Updated: 2010/10/27]

The Country Programme (CP) 2010 ? 2014 is focused on environment with climate change , poverty with HIV/AIDS and governance incorporating human rights and gender instead of four areas in the successor CP. These three areas will be delivered with in context of the Delivery as One in Botswana. The Result and Resources Framework of the Country Programme includes SMART Indicators and targets with baselines as well as resources allocations. There are clear linkages to UNDP Strategic Plan, UNDAF for 2010 - 2016 and the National Development Plan 2010 ? 2016. This should enhance the programme effectiveness and evaluability. The implementation has commenced in January 2010 with completion of the legacy programmes up to June 2010. Individual focus areas workplans have been clearly elaborated . The challenges have been to prepare the workplans within the ?Delivering as One? while ensuring they conform to the ATLAS structure and processes. Within the delivery as one arrangement, there will be neither signed project documents nor individual workplans given that the workplans and delivery as one documents which will be signed will take precedence and would suffice. a. The management structure of One Programme in Botswana ensures high representation of the UN at the Component Coordination Structures levels which oversee the thematic areas of focus through co- chairs with Government at Representative level. For instance, the Governance and Human Rights is the UNFPA Representative together with UNDP Assistant Resident Representative . Management structures and arrangements with clear roles and responsibilities are being reviewed in the context of the One UN Programme to be in place immediately as the implementation gains momentum. The RR, DCD and ARR have been part of the Steering Committee for current Governance programme, which had oversight responsibility for the formal reviews which took place in 2009. A terminal evaluation is planned by 2nd Quarter of 2010. The country office has also benefited from the monitoring and evaluation as well as RBM training provided by the Regional Service centre and the Headquarters mission on programming and results based management and the recommendations are being implemented with the deadline of June 2010.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
1. Improvements in Country Programme, Results-Based Management, incorporation cross-cutting issues and enhancing efficiency of programmes and programmes
[Added: 2010/10/27] [Last Updated: 2013/03/20]
UNDP Senior Management 2010/01 Completed Intendedoutcomes and respedctive indicators have adequately been formulated. CP is operationalised through annual work plans and GEF is integrated in athe Energy and Environment strategic key area

[Added: 2010/10/27] [Last Updated: 2013/03/20]
2008/01 Completed Intendedoutcomes and respedctive indicators have adequately been formulated. CP is operationalised through annual work plans and GEF is integrated in athe Energy and Environment strategic key area
2. Recommendation: 2. Considering the evolving aid context in Botswana, the CO should embark on a strategic review and possible revision of its internal systems, covering areas such as the distribution of human resources between units, and the streamlining of various types of contracts. Possibilities of stronger alignment of CO procedures and systems with those of GoB should be explored. Administrative procedures, steps and their durations should be clearly communicated to all relevant actors and adequate training in these areas should be arranged in case of identified needs. The CO's policy for cost recovery should be revised so that it enables sustainable provision of support services. The principles of defining UNDP costs and related charges must be transparent, based on fair criteria, and communicated to pertinent stakeholders.
Management Response: [Added: 2009/07/23] [Last Updated: 2010/10/27]

Reorganization was launched in April 2009, resulting in the creation of a Programme Management Support Unit and a new office structure to ensue more focused oversight and enhanced programme management. Recruitment is underway and to be completed in May 2010. In addition, job descriptions have been updated, with a review of Business Processes and there has been introduction of a system of internal controls aligned with the Internal Control Framework. Training in Atlas will be provided to all staff in 2010 to improve overall proficiency in this system. The PMSU will specifically ensure compliance with monitoring and evaluation requirements and follow-ups to evaluations through uploading of actions and plans in ERC, tracking and monitoring progress. These will start 1st May 2010.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Internal Systems for follow-up to management responses
[Added: 2010/10/27] [Last Updated: 2013/03/20]
UNDP Senior Management 2010/12 Completed Reorganization of the office was launched in April 2009, resulting in the creation of a Programme Management Support Unit (PMSU) and a new office structure to ensue more focused oversight and enhanced programme management. PMSU is now fully staffed and operational. In addition, job descriptions have been updated, with a review of Business Processes and there has been introduction of a system of internal controls aligned with the Internal Control Framework. The office has moved the procurement of goods and services through consultancy from Human Resources Unit, free HR to do focus on HR functions. Training in Atlas and IPSAS were provided to all staff in 2011 and 2012 to improve overall proficiency in this system. The PMSU continues to specifically ensure compliance tracking and monitoring programme performance. The Office has embarked on a systematic cost recovery in a more transparent manner. As a consequence, the office extra budgetary (XB) funds have increased to an acceptable level and in compliance with the required balances to sustain posts funded from XB. The cost recovery is for services rendered to resident and none resident UN agencies as well as implementing partners.

[Added: 2010/10/27] [Last Updated: 2013/03/20]
2008/01 Completed Reorganization of the office was launched in April 2009, resulting in the creation of a Programme Management Support Unit (PMSU) and a new office structure to ensue more focused oversight and enhanced programme management. PMSU is now fully staffed and operational. In addition, job descriptions have been updated, with a review of Business Processes and there has been introduction of a system of internal controls aligned with the Internal Control Framework. The office has moved the procurement of goods and services through consultancy from Human Resources Unit, free HR to do focus on HR functions. Training in Atlas and IPSAS were provided to all staff in 2011 and 2012 to improve overall proficiency in this system. The PMSU continues to specifically ensure compliance tracking and monitoring programme performance. The Office has embarked on a systematic cost recovery in a more transparent manner. As a consequence, the office extra budgetary (XB) funds have increased to an acceptable level and in compliance with the required balances to sustain posts funded from XB. The cost recovery is for services rendered to resident and none resident UN agencies as well as implementing partners.
3. Recommendation: 3. UNDP should explore the possibilities of working more closely with CSOs, maintaining their autonomy and involving GoB in the process of defining the role of CSOs in Botswana. CSOs could potentially play a watchdog role for service delivery. UNDP could assist GoB in crafting an innovative role for CSOs to play in the governance programme.
Management Response: [Added: 2009/07/23] [Last Updated: 2010/10/27]

The country office is planning to strengthen partnership with CSOs. In this respect, a study on COS is planned for this year to be completed by July 2010 which would result in a strategy for a systematic and coherent approach to dealing with CSOs by November 2010. The relevant Unit at Headquarters will be contacted for advice and guidance.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Partnership with CSOs
[Added: 2010/10/27] [Last Updated: 2013/03/20]
All programme staff 2010/12 Completed Terms of reference for CSOs study formulated and recruitment scheduled for November and study in December. UNDP has increased its collaboration with CSOs. In 2012, UNDP convened meeting with key CSOs gather views on how UNDP should work with them. UNDP has worked closed with CSOs to prepare Code of Conduct for councilors in the local authorities for improved services delivery. UNDP has also supported private sector collaboration with the government in formulating a Code of Conduct for Private sector on anti-corruption. Furthermore UNDP has collaborated with CSO on gender based violence. The work with CSOs is poised to increase.

[Added: 2010/10/27] [Last Updated: 2013/03/20]
2008/01 Completed Terms of reference for CSOs study formulated and recruitment scheduled for November and study in December. UNDP has increased its collaboration with CSOs. In 2012, UNDP convened meeting with key CSOs gather views on how UNDP should work with them. UNDP has worked closed with CSOs to prepare Code of Conduct for councilors in the local authorities for improved services delivery. UNDP has also supported private sector collaboration with the government in formulating a Code of Conduct for Private sector on anti-corruption. Furthermore UNDP has collaborated with CSO on gender based violence. The work with CSOs is poised to increase.
4. Recommendation: 4. To enhance the efficiency of the projects and the country programme as a whole, financial monitoring and reporting should be strengthened. Evaluations should make more extensive use of that information. Monitoring and evaluation of the CO should be strengthened, perhaps through the creation of a specific monitoring and evaluation unit. Such a unit should also support respective GoB functions and enhance alignment with the government monitoring structures and mechanisms. The monitoring and evaluation of projects should be more systematic and the recommendations of project evaluations should be taken into account more systematically.
Management Response: [Added: 2009/07/23] [Last Updated: 2010/10/27]

Training sessions have been organized for Programme staff, including on financial management. A workshop with project personnel and national counterparts with direct involvement in implementation of projects was held last year to discuss this and other issues. A similar meeting will be held in the 2nd quarter of 2010. With the advent of the One UN Programme, UNDP will operate on the basis of AWPs rather than traditional project documents. The One UN Programme includes clear implementation arrangements and structures which are under review for approval in May 2010. To draw lessons all major ongoing projects will be evaluated by December 2010.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Efficiency of Projects
[Added: 2010/10/27] [Last Updated: 2013/03/20]
Senior Management and Programme Staff 2010/12 Completed Training sessions have been organized for Programme staff, including on financial management. A workshop with project personnel and national counterparts with direct involvement in implementation of projects was held last year to discuss this and other issues. A similar meeting which was scheduled for 2nd quarter of 2010 did not take place and discussions with Government to hold this meeting by December are continuing. With the advent of the One UN Programme, UNDP now operates on the basis of AWPs rather than traditional project documents. The One UN Programme includes clear implementation arrangements and structures which have been approved in May 2010. To draw lessons all major ongoing projects will be evaluated by December 2010. As part of the midterm review of the One Programme which was undertaken in 2012, UNDP has within the context of the one UN Programme prepared a comprehensive monitoring and evaluations system with updated baselines, indicators and targets to monitor implementation. The UNDP projects are scheduled to be evaluated a various periods up to 2014. UNDP has also strengthened is field visits, with at least 2 field visits by are focus area in a year. A back to office field monitoring visit report is mandatory.
5. Recommendation: 5. All interventions supported by UNDP should be based on project documents that fulfil universally applied criteria of project cycle management. There should be an explicit strategy for sustainability in every project.
Management Response: [Added: 2009/07/23] [Last Updated: 2010/10/27]

UNDP now operates on the basis of AWPs in the context of One Programme in Botswana.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
UNDP to operate on the basis of project documents
[Added: 2010/10/27]
Senior Management 2010/01 Completed AWPs have been prepared instead and UNDP operates on the basis of AWPs given the One Programme in Botswana.
6. Recommendation: 6. All projects need to have clearly defined roles, responsibilities and decision-making structures, and these must be effectively communicated to all pertinent stakeholders.
Management Response: [Added: 2009/07/23] [Last Updated: 2010/10/27]

The One Programme Structures underwhich UNDP operates as part of the One Programme in Botswana have been communicated to partners with clear roles and responsibilities. In addition UNDP has approved in February 2010 an office structure with clear roles and responsibilities, the structure which is yet to be communicated to the partners by December 2010

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Clearly defined roles, responsibilities and decision making structures
[Added: 2010/10/27]
Senior Management 2010/01 Completed The One Programme Governance Structures have been established and as well as the UNDP Office Structure.
7. Recommendation: 7. Currently, the country programme has too many cross-cutting issues and several of them are insufficiently operationalized. There is a need to clarify the respective strategies, simplifying key planning concepts. Future programme design should limit the number of cross-cutting issues to one or two and have a clear strategy for ensuring that the cross-cutting issues are adequately addressed.
Management Response: [Added: 2009/07/23] [Last Updated: 2010/10/27]

Cross cutting issues are now part of t he major programme areas of intervention. For instance gender is part of the Governance and Human Rights component. Climate Change is part of the Energy and Environment.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Cross cutting issues
[Added: 2010/10/27]
Senior Management 2010/01 Completed Cross cutting issues incorporated into key stragetic areas.
8. Recommendation: 8. Gender equality and equity is an important element of development effectiveness and should be given adequate attention as a practice area. This implies ensuring the hiring of personnel with the relevant competencies at equally senior levels with other practice areas. The CO should further strengthen gender equality and mainstreaming through assigning specific human resources. Like gender equity, equality and women's empowerment, youth issues are an equally important focus area that requires special attention in future programming. A clear strategy should be in place to ensure adequate attention to this sector of development.
Management Response: [Added: 2009/07/23] [Last Updated: 2010/10/27]

Gender equality is part of the Governance and Human Rights Promotion Component and its given the same weight and considerations. Consideration is being given for the newly recruited Programme Analyst who has competences in gender and HIV and AIDS to manage the Gender portfolio as well with a target date of December 2010.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Gender equality and equity to be given adequate attention
[Added: 2010/10/27]
Senior Managers 2010/12 Completed Gender equity is part of the Governance and Human Rights Promotion component and an Programm Analyst is to oversee the gender portfolio in the office
9. Recommendation: 9. Efficiency of the governance programme could be improved if UNDP was able to establish a senior-level management team that regularly reviews progress on implementation of the governance programme (UNDP Project Manager, the RR, the Deputy RR and the Assistant RR) to match the government side.
Management Response: [Added: 2009/07/23] [Last Updated: 2010/10/27]

The One Programme governance structure provides for co-chairpersonship of Government and the UN for the oversight of the implementation of the Governance and Human Rights Componenent of the One Programme. The UN Co- Chairs are the UNICEF Representative and the UNDP Assistant Resident Representative (Programme). This arrangement provides for a senior level representation in regular reviews of the governance programme for UNDP as well.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Efficiency of the governance programme
[Added: 2010/10/27]
Senior Management 2010/01 Completed Assistant Resident Representative is part of the reviews of the Governance programme.
10. Recommendation: 10. The governance programme could benefit from regular reviews. Apart from the quarterly report, there are currently no formal formative assessments. The programme could benefit from documentation of good practices as the programme unfolds. A review could provide the much need information on progress.
Management Response: [Added: 2009/07/23] [Last Updated: 2010/10/27]

The Governance programe to be reviewed on quarterly basis as part of the One Programme. In addition UNDP to regular review progress of the implementation of the governance programme.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Regular reviews of the governance programme
[Added: 2010/10/27]
Senior Management and Governance Programme Manager 2010/12 Completed The implementation of the Governance programme is reviewed reguarly and quarterly as part of the Governance and Human Rights Promotion Component of the One Programme.
11. Recommendation: 11. Strengthening the linkages between National AIDS Coordinating Agency and sub-national coordination structures is a potential area for UNDP work. UNDP could learn from the experiences of other regional countries that have worked on the establishment of effective sub-national HIV coordination bodies.
Management Response: [Added: 2009/07/23] [Last Updated: 2010/10/27]

UNDP will support strengthening of linkages between the national and sub-nationa levels coordination sturucturs and will learn UNDP from experiences of other countires.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Strengthening the linkages between National AIDS Coordinating Agency and sub-national coordination structures
[Added: 2010/10/27] [Last Updated: 2013/03/20]
Senior Management 2010/01 Completed UNDP supports the national and sub-national levels coordination structures to effectively link. UNDP Botswana continues to support strengthened coordination functions of National Aids Coordination Agency (NACA) and its linkage with the sub national coordination structures (Districts AIDS Coordination Committees, etc.).

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