The European Union s EDF Programme. FWC Beneficiaries 2009 Lot 10 - N 2013/ V.1. Final Report

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1 The European Union s EDF Programme Mid-Term Evaluation of the 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) FWC Beneficiaries 2009 Lot 10 - N 2013/ V.1 Final Report Prepared by Ruddi Vaes Homduth Seeburn DFC Consortium September 2013 European Union

2 The contents of this document are the sole responsibility of the author / contractor / implementing partner and can in no way be taken to reflect the views of the European Union. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page ii

3 List of Acronyms and Abbreviations ACET ACP ADI AERC AFD AfDB AFRITAC South ASCCI ASEAN AU AUC BoD BoI CA CARICOM CBC COMESA COMSEC CRIS DAC DP EABC EAC ECDPM ED EEAS EC ECOWAS EDF EIB EPA ESA-IO EU EUD EUR FA FDI FWC GDP GoM IBF IBRD ICDPM ICT IGAD IMF IOC IRCC ISA KPI KRA LDCs M&E MCB MCCI MDG MEF MERCOSUR African Centre for Economic Transformation African, Caribbean and Pacific (countries) African Development Institute African Economic Research Consortium Agence Française de Développement African Development Bank African Technical Assistance Centre for Southern Africa Association of SADC Chambers of Commerce and Industry Association of South East Asian Nations African Union African Union Commission Board of Directors Board of Investment Contribution Agreement Caribbean Community and Common Market COMESA Business Council Common Market for Eastern and Southern Africa Commonwealth Secretariat Common Relex Information System (EC) Development Assistance Committee (OECD) Development Partner East African Business Council East African Community European Centre for Development Policy Management Executive Director European External Action Service European Commission Economic Community of Western African States European Development Fund European Investment Bank Economic Partnership Agreement Eastern and Southern Africa and the Indian Ocean (region) European Union European Union Delegation Euro Financing Agreement Foreign Direct Investment Framework Contract Gross Domestic Product Government of Mauritius IGAD Business Forum International Bank for Reconstruction and Development International Centre for Development Policy Management Information and Communication Technology Inter-governmental Authority on Development International Monetary Fund Indian Ocean Commission Inter-Regional Co-ordinating Committee International Standard on Auditing Key Performance Indicator Key Result Area Landlocked Developing Countries Monitoring and Evaluation Mauritius Commercial Bank Mauritius Chamber of Commerce and Industry Millennium Development Goal Mauritius Employers Federation Mercado Común del Sur Southern Common Market Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page iii

4 MIOD MIS MoFARIIT MoFED MoTESRT MoU MRC MUR NEPAD NIP ODA OECD PE PEFA PFM PIC PPP PPP RAO REC REI RIP RISM RISP RMCE RMCE-RI RO RPTF RSP RTC SADC SBF SBS SC SIDS SILS SSNED SUP TA TEC TI ToR UCCIOI UN UNU-CRIS UNDP UNECA UoM USD VAT WB WTO Mauritius Institute of Directors Management Information System Ministry of Foreign Affairs, Regional Integration and International Trade Ministry of Finance and Economic Development Ministry of Tertiary Education, Science, Research and Technology Memorandum of Understanding Mauritius Research Council Mauritian Rupee New Partnership for Africa s Development National Indicative Programme Official Development Assistance Organisation for Economic Co-operation and Development Programme Estimate Public Expenditure and Financial Accountability Public Financial Management Project Implementation Committee Purchasing Power Parity Public-Private Sector Partnership Regional Authorising Officer Regional Economic Community Regional Economic Integration Regional Indicative Programme Regional Integration Support Mechanism Regional Integration Support Programme Regional Multidisciplinary Centre of Excellence Regional Multidisciplinary Centre of Excellence for Regional Integration (Foundation) Regional Organisation Regional Preparatory Task Force (EPA) Regional Strategy Paper Regional Training Centre Southern African Development Community SADC Business Forum Sector Budget Support Steering Committee Small Island Developing States Small Island and Landlocked States (combination of SIDS and LDCs) Small States Network for Economic Development Start-Up Project (RMCE) Technical Assistance / Advisor Tertiary Education Commission Transparency International (index) Terms of Reference Union des Chambres de Commerce et de l Industrie de l Océan Indien United Nations United Nations University Institute on Comparative Regional Integration Studies United Nations Development Programme United Nations Economic Commission for Africa Unit of Measurement United States Dollar Value Added Tax World Bank World Trade Organisation Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page iv

5 Table of Contents List of acronyms and abbreviations... iii Table of contents... v Lists of tables and figures... vi List of annexes... viii Executive summary... ix 1. Background, objectives and scope of the evaluation Evaluation methodology, process and tools The Regional Multidisciplinary Centre of Excellence and EU 10 th EDF support The EU support to RMCE in historic and regional perspective: Background and rationale The contents and modalities of the EU support project Main evaluation components findings in relation to the evaluation criteria and questions Project preparation and design Strategic focus and niche areas Institutional and governance aspects Legal aspects Operations and operational management Financial analysis Effects and impact on regional integration Visibility assessment Overall assessment and summary conclusions Overall assessment Summary conclusions by main evaluation analysis component Recommendations Overall recommendation Specific recommendations by main evaluation analysis component Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page v

6 List of Tables 1. Evaluation tasks, main activities, activity clusters with outputs by main evaluation phase 4 2. Compilations of evaluation analysis tables and figures in the report annexes 7 3. Matrix of evaluation main components in relation to the evaluation criteria and to the evaluation questions 9 4. Regional Integration Organisation (RIO) membership of countries in the Eastern and Southern Africa and Indian Ocean (ESA-IO) Region RMCE priority strategic sectoral / thematic focal areas for capacity building on regional integration as per the RMCE feasibility study of June 2007: Priority areas for Regional Economic Community (REC) capacity building Budget of the Contribution Agreement (CA), with both EU-Comesa and Government of Mauritius inputs and with breakdown by project results (Key Result Areas) RMCE priority strategic sectoral/thematic focal areas for capacity building on regional integration as per RMCE key policy and strategy documents / events RMCE priority strategic sectoral / thematic focal areas for capacity building on regional integration, as per RMCE operational plans and events Summary comparison of RMCE legal status options: Foundation versus private company List of RMCE courses financed from the EU-Comesa Contribution Agreement in 2011 and Summary receipts and payments - EU fund usage by the RMCE Mauritius Office as at 31 March 2013 (Euro Account Only), with breakdown by year and by LogFrame result - In Euro Summary expenditures by RMCE, by type / nature of expenditures and by year for the period (MCB Mauritius Euro Account) - In Euro RMCE Priority Strategic Sectoral / Thematic Focal Areas for Capacity Building on Regional Integration: Clustered Focal Areas, based on Evaluation Documents Study and Interviews 73 Page List of Figures 1. Budget of the EC-Comesa Contribution Agreement for the RMCE start-up project, by financing source (in ) Budget of the EC-Comesa Contribution Agreement for the RMCE start-up project, by main budget line (in 1,000 ) Annual budgets of the EC-Comesa Contribution Agreement, in 1,000 Euro (period ) RMCE Mauritius actual expenditures (MCB Mauritius Euro account payments) as proportion of the CA 1st pre-financing tranche transferred to RMCE Mauritius RMCE Mauritius actual expenditures (MCB Mauritius Euro account payments) as proportion of total CA budget 57 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page vi

7 6. Summary RMCE Mauritius expenditures by year (MCB Mauritius Euro account) - in Euro Summary RMCE expenditures by main type (MCB Mauritius Euro account) - in Euro RMCE expenditures on training / capacity building events, by main capacity building activity (period May 2013), in Euro (MCB Mauritius Euro account) RMCE expenditures for capacity building as proportion of CA total expenditures (MCB Mauritius Euro Account) RMCE expenditures for capacity building as proportion of CA first year budget for technical support and capacity building (MCB Mauritius Euro Account Payments Possible draft institutional chart of an RMCE-RI Foundation as network hub for regional integration capacity building Possible two tiered governance structure of RMCE-RI Foundation Council RMCE-RI Foundation possible organisational chart Institutional provisions for RMCE-RI Foundation academic excellence and regional integration impact RMCE-RI Foundation as networking hub for regional integration capacity strengthening 81 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page vii

8 List of Annexes Annexes Page List of meetings and events of the evaluation team on the occasion of the field mission to Zambia and Mauritius (21 April 19 May 2013) List of consulted documents and selective bibliography E-survey mini-questionnaire with RMCE Board and other key stakeholders Preliminary draft institutional chart of a possible RMCE Foundation as network hub for regional integration capacity building Selective analytical tables and figures on RMCE design and support project implementation Financial analysis tables of the EC 10 th EDF support to the RMCE Summary table of RMCE compliance with requested financial and performance evaluation related documents by the evaluation team Logical Framework of the RMCE Start-Up Project Original terms of reference of the RMCE evaluation assignment Selective excerpts from the evaluation aide mémoire debriefing presentation at the end of the field mission Reactions from stakeholders to the draft evaluation report compilation of annexes submitted on 25 June Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page viii

9 Executive Summary 1 Mid-Term Evaluation of 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) - Ref. EC-FWC Beneficiaries 2009 Lot 10 No 2013/ V.1 Abstract The present evaluation report on the EU 10 th EDF support to the Regional Multidisciplinary Centre of Excellence (RMCE) in Mauritius is a de facto ex-post evaluation of the RMCE start-up project combined with an organisational and institutional assessment, with special focus on niche areas and added value issues, governance, strategic management and operational performance, financial management, legal issues, networking, regional integration potential effect and impact, and visibility issues. Based on the evaluation findings and strengths/weaknesses analysis on eight evaluation dimensions combining the evaluation criteria and evaluation question, the evaluation confirmed the validity of the IRCC recommendation to close the project but at the same time, in view of the huge and still growing unmet needs for capacity building for regional integration, recommended a redesigned and updated support project under the 11 th EDF with an interim preparatory support phase for a remodelled Regional Multidisciplinary Centre of Excellence for Regional Integration Foundation (RMCE-RI Foundation) Subject of the Evaluation As per the original ToR, the evaluation study needed to respond to the requirements of the mid phase of the project cycle and also to the need to reconsider the start-up support project to the RMCE in light of the circumstances that have hindered its implementation and the new initiatives that may affect its relevance. The evaluation needs to verify, analyse and assess in detail the issues outlined in the ToR, but as indicated this list of issues is not intended to be exhaustive. The questions refer to the five evaluation criteria endorsed by the OECD-DAC (relevance, effectiveness, efficiency, sustainability and impact), and to the EC-specific evaluation criteria (EU added value and coherence). The consultants are required to use their professional judgement and experience to review all relevant factors and to bring these to the attention of the ESA/IO ROs and the EU. At the onset of the evaluation process, on the occasion of the evaluation briefing sessions in Lusaka, the evaluation ToR de facto got updated from the originally envisioned Mid Term Evaluation to a combined de facto Ex-Post Project Evaluation cum Organisational / Institutional Assessment following the unanimous recommendation of the 23rd Inter-Regional Co-ordinating Committee (IRCC) Plenary Meeting of 23 February 2013 to close the RMCE support project. As a result, the evaluation got more strongly focused on lessons learned and on the identification of critical success factors of the necessary enabling environment for a regional multidisciplinary centre for capacity development on regional integration as the RMCE. Evaluation Description Purpose The purpose of the evaluation is to provide decision-makers in the ROs of the ESA-IO region, in the EU services and other stakeholders with sufficient information to: (i) Make an overall independent assessment about the past and present performance of the Regional Multidisciplinary Centre of Excellence; (ii) Identify governance, legal and operational issues; (iii) Assess the adequacy of the Centre s internal control and management systems; (iv) Asses the RMCE implementation capacity and its cooperation relationships; (v) Assess potential complementarities and risk of duplication with 1 Executive Summary in the standard DAC format for evaluation report summaries as per Annex V of the ToR. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page ix

10 other emerging initiatives; (vi) Identify key lessons and propose practical recommendations for followup actions. Methodology The evaluation is based on the standard DAC-OECD and additional EC evaluation criteria, and executed in line with Europe Aid s evaluation methodology and PCM guidelines. The criteria and evaluation questions have been combined and clustered in eight main evaluation components as basis for the presentation of evaluation findings and summary strengths/achievements and weaknesses /challenges analysis, in turn at the basis for the summary conclusions and recommendations. The evaluation consisted of a combined desk and field phase with synthesis partly during the field mission. Special evaluation tools include an e-survey questionnaire for the key stakeholders and a risk based approach to financial evaluation, amongst others. In-depth interviews /consultations were held (both group and individual interview) with a broad number of key stakeholders at the RMCE, at national and at regional levels. Main Findings The crucial importance of and substantive unmet need for capacity strengthening on regional integration is underscored by all RMCE key stakeholders concerned, hence attesting to the continued relevance of the EU financed RMCE support project and by extension of the RMCE as a centre of excellence for capacity development on regional integration. There is documented, and strongly reaffirmed, evidence of Mauritius strategic objective and commitment by both the public and private sectors and the non-state actors to become a regional education hub of excellence for regional integration. The combination of these two elements, in principle, should provide for a solid and sustainable basis for a vibrant and dynamic Regional Multidisciplinary Centre of Excellence on Regional Integration (RMCE-RI) in Mauritius at the service of the stakeholders in the ESA-IO region, conditional to its due ownership by these main stakeholders concerned and to a conducive overall enabling environment. The different elements of such necessary multi-dimensional enabling environment are further elaborated on and assessed in this evaluation report based on an analysis of eight main evaluation components arrived at in relation to the evaluation criteria and questions, to wit: (i) Project design quality and updating; (ii) Strategic focus and concentration on niche areas; (iii) Institutional and governance structure and culture; (iv) Legal and regulatory framework; (v) Operations and operational management; (vi) Financial management; (vii) Effects and impact on regional integration; (viii) Communication and visibility. In relation to the 10th EDF start-up support to the RMCE is evidenced that this necessary broader enabling environment of the RMCE have been inadequate and dysfunction. This is further aggravated by a lack of ownership of key stakeholders, a deepening governance crisis further compounded by personality clashes between key proponents, an absence of strategic focus and results orientation, sub-standard managerial and operational performance in terms of results, efficiency and effectiveness and financial performance. Operational performance and outputs have been unsatisfactory and financial absorptive capacity insufficient. The combination of these different factors is seriously jeopardizing potential project impact and sustainability already at this early stage of the project. Moreover, the current RMCE status, structure and performance is not projecting a positive image for actual / potential donors or for actual / potential partners, neither for the targeted Regional Organisations, Member States and key stakeholders from both public and private sectors. The recommendation of the 23rd IRCC Plenary Meeting of 20 February 2013 earlier this year to close the current 10th EDF start-up support project to the RMCE therefore is further validated and reinforced by the findings of the present independent evaluation Recommendations Based on the evaluation findings and strengths/weaknesses analysis on the eight main evaluation analysis components combining the evaluation criteria and evaluation question, the evaluation supports the recommendation by the IRCC Plenary Meeting of 20 February 2013 to close the 10th EDF supported RMCE start-up project. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page x

11 At the same time, in view of the vast and still growing unmet needs in the ESA-IO region for capacity development for regional integration as documented and confirmed by the many key stakeholders interviewed during the evaluation field mission, the evaluation recommends the consideration of a follow-up updated and redesigned project under the 11th EDF with an international Technical Assistance (TA) component for a remodelled Regional Multidisciplinary Centre of Excellence for Regional Integration Foundation (RMCE-RI Foundation). To adequately prepare for this phase II multiannual support project to the new RMCE-RI Foundation, an interim transitory, transformation and revitalization support (possibly under Framework Contract (FWC) assistance modality) is recommended to adequately prepare for this new, empowered and results oriented RMCE-RI Foundation focused on capacity strengthening for regional integration and operating in a necessary conducive overall enabling environment. This preparatory and set up phase should be given sufficient time (say one year) so that the new RMCE-RI Foundation can establish itself properly before going for visibility campaigns and actual capacity strengthening services delivery to its stakeholders clientele in the region. Feedback Feedback on the first draft evaluation report based on the further elaborated Aide Mémoire presented at and discussed with the key stakeholders during the debriefing session at the EUD in Mauritius with video-conferencing with Lusaka and Dar Es Salaam, has been received from the Government of Mauritius, the ESA-IO Regional Organisations through the umbrella IRCC and from the EU Delegations in Lusaka and Port Louis. The feedback basically pertained to additional factual information and updates and to a further refinement of the summary conclusions by evaluation component. The feedback received has been integrated in this draft final report. Donor: European Commission Evaluation type: Efficiency, effectiveness and impact. Region: Southern and East Africa Date of final report: Aug 2013 DAC sector : Language : English N vol./pages : Author : Subject of evaluation : EU support to take-off and institutional performance of RMCE as international learning institute Programme and budget line concerned : EC Framework Contract (FWC) Beneficiaries 2009 Lot 10 No 2013/ V.1 Type of evaluation : ( ) ex ante (X ) intermediate / on-going ( X) ex post Timing : Start date : 21 Apr 2013 Completion date : 15 Aug 2013 Contact person : Daniel Hurtado Dominguez Authors : Ruddi Vaes and Homduth Seeburn Cost : Euro Steering group : No Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page xi

12 1. Background, Objectives and Scope of the Evaluation Background and Rationale The present European Union (EU) Framework Contract Beneficiaries 2009 Lot 10 assignment under reference number 2013/ calls for a mid-term evaluation of the 10 th European Development Fund (EDF) support to the Regional Multidisciplinary Centre of Excellence (RMCE) based in Mauritius and serving the ESA-IO (Eastern and Southern Africa and the Indian Ocean) region. The Establishment of the RMCE: The idea of establishing a Regional Multidisciplinary Centre of Excellence (RMCE) originated from the 2005 United Nations (UN) Conference in Mauritius. Following a feasibility study financed by the EU in , a project to set up the RMCE was decided with support from the EU and the heads of the five Regional Organisations (ROs) concerned (COMESA, SADC, EAC, IGAD and IOC). In 2007 a Business Plan was developed and adopted by the five ROs in partnership with the European Union and the World Bank. The feasibility study identified five core areas. The overall vision was to have a regionally owned training and advisory centre and a forum for dialogue serving as a capacity building and expertise hub for the regional development initiatives of the five ROs. The RMCE is also intended to improve Member States technical and professional capacity for addressing issues of Regional Economic Integration (REI) both at policy-strategic and operational levels. The Support to the RMCE to Reach Self-Financing: The Business Plan considered that the RMCE could reach full capacity over a period of 5 years, and become self-sustaining over a period of 8 years. The RMCE would initially receive support from Cooperating Partners for gradually becoming selffinancing through autonomous means of financing. This is the broader frame of the 10 th EDF East and Southern Africa Indian Ocean (ESA-IO) Regional Indicative Programme (RIP) support in the amount of 5.6 million Euro through a Contribution Agreement for the first three years to provide the necessary start-up support. Counterpart funding by the host country (Mauritius) amounts to 723,000 Euro and concerns basic facilities and support. The Key Result Areas (KRAs) of the EU support are threefold: (i) The effective establishment of RMCE (staff recruitment, organizational structure, equipment, operations planning); (ii) Operationalisation of skills upgrading and training services (curricula, course logistics, marketing actions, actual conduct of training), and; (iii) Making available advisory services and policy dialogue support on REI related issues (conference programme, advisory services, and special studies). The RMCE Constitution and Governance Issues: RMCE governance has proven complex as it by Constitution is a Centre established under Mauritian private law (registered as a not-for-profit company limited by guarantee) but with a start-up phase managed to a large extent as a donor project implemented through a contribution agreement between the EU and COMESA. As a result, during implementation some concerns have been raised regarding RMCE s legal status, its internal control system, audit and taxation issues amongst others. Different views by key stakeholders on legal and administrative issues and also on policy-strategic directions led to the putting on hold of the 2012 work plan and to the discontinuation of EU disbursements to the project through COMESA.. This situation is further aggravated by other structural and governance issues. The 23 rd IRCC Plenary Meeting of the Inter-Regional Coordinating Committee (IRCC) of 20 February 2013 in Arusha, Tanzania, recommended the RMCE support project for closure and COMESA as Regional Authorising Officer (RAO) to request for de-commitment and possible re-allocation of the funds. Objectives and Main Issues of the Evaluation Objectives: There are no explicitly formulated general and specific objectives of the RMCE Mid-Term Evaluation, but the Terms of Reference (ToR) chapter concerned 1 defines the Mid-Term Evaluation as 1 The ToR are attached under Annex 9 to this report. See chapters 2.1 and 2.2. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 1

13 having to provide the necessary information to the decision-makers concerned (the ROs of the ESA/IO region, the relevant EU services and other key stakeholders in the region and the host country) on six main issues: 1. Objective assessment (measurement) of past and present performance of the RMCE; 2. Identification of governance, legal and operational issues affecting operations and results (especially the Centre s legal status); 3. The adequacy of the Centre s internal control and management systems (at the different organisational levels from operational to strategic / policy making; 4. The implementation capacity of the RMCE and its cooperation relationships (networking); 5. Potential complementarities and risk of duplication with other emerging regional initiatives as the IMF Regional Training Centre (RTC); 6. Identification of lessons learned and proposal of practical recommendations. Special Issues: In addition to the above six main items/objectives, the ToR appeal for special evaluative attention for a number of specific issues as: (i) The broader enabling (disabling) environment of the Centre having hindered its implementation; (ii) The new initiatives that may affect its relevance (e.g. the RTC), and (iii) the issues list outlined in Annex 3 to the ToR on the report layout and structure. The evaluation questions refer to: (i) The 5 standard OECD-DAC evaluation criteria (relevance, effectiveness, efficiency, sustainability and impact); (ii) The EC-specific evaluation criteria (EC added value and coherence), and (iii) Integration of relevant cross-cutting issues (selection from: environmental sustainability, gender, good governance and human rights). In view of the very topic of this MTE, the governance transversal theme needed to be given special attention. (iv) Another highlighted criterion concerns the project s visibility in both the beneficiary region and the European Union countries. Scope of the Evaluation Evaluation of EU Support to RMCE: The evaluation is expected to provide key information on a number of strategic, operational, legal and financing issues to facilitate decision making by the ROs of the ESA/IO region and by the relevant EU services and other key stakeholders concerned. The evaluation focus is on the EU support to the start-up of the RMCE as spelled-out in the EU-COMESA Contribution Agreement (CA) starting from 21 December 2010 (date when the last of the two Parties signed) and with an initially envisioned implementation period of 41 months. Obviously, the evaluation of the EU support to the RMCE needed to be done in a broader framework, as organisational performance cannot be delinked from its broader enabling environment but is highly influenced if not determined by it. From Mid-Term to Ex-Post Evaluation: The IRCC recommendation of 20 February 2013 for project closure de facto converted the originally planned mid-term review of the RMCE support into an ex-post evaluation. This was emphasized during the different evaluation briefing sessions in Lusaka at the EU Delegation and the COMESA Regional Authorising Officer s Office, on which occasion this recommendation was communicated to the Evaluation Team. Balanced Combination of Reflective and Strategic Forward-Looking Orientations: By its very nature, a mid-term evaluation has a combined reflective (lessons learned and good/best practices) and strategic forward-looking orientation, with in the case of the RMCE MTR a strong focus on institutional-organisational and financial viability-sustainability issues while also the legal status of the Centre needed to be looked into particularly. This forward-looking orientation for the now de facto expost evaluation based on lessons learned from the past was reconfirmed during the different briefing sessions with the EUD the RAO s Office. The Evaluation Criteria and Questions: The review is guided by the standard OECD-DAC evaluation criteria complemented by the standard additional EC specific criteria and relevant crosscutting issues. Furthermore, the assessment has been guided by the set of evaluation questions and sub-questions. In accordance with the EuropeAid evaluation methodology, this tool will be further refined by (possibly) sub-questions, judgment criteria and quantitative and qualitative results-based Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 2

14 key performance indicators. In view of their particular relevance for the evaluation of an international learning institute on regional integration issues also the aid effectiveness criteria as enshrined in the Paris Declaration of 2005 and further developed in the 2008 Accra Agenda for Action on Aid Effectiveness and the 2011 Busan Fourth High Level Forum on Aid Effectiveness have been directly or indirectly covered in the evaluation. This more particularly pertains to the principles of ownership, alignment, harmonisation, managing for results and mutual accountability. 2. Evaluation Methodology, Process and Tools Evaluation Methodology The Evaluation Methodological Framework: The evaluation methodology applied by the DFC led Consortium two member evaluation team is in line with: (i) the overall evaluation methodology and processes prescribed by the European Commission s Directorate General External Relations Joint Evaluation Unit for the EU s external assistance, and (ii) the specific requirements for this specific RMCE mid-term evaluation as detailed in the Terms of Reference. As such, the evaluation has been conducted in accordance with the prescribed methodological framework and guidelines for project approach as applicable aide delivery method for the RMCE start-up support, with special attention for the principles at the basis of integrated Project Cycle Management (PCM) requiring the evaluation to encompass the whole cycle starting from early identification and formulation. The specific financing modality of the RMCE start-up project through a Contribution Agreement (CA) with the Common Market for Easter and Southern Africa (COMESA) 1 as international organisation needed The Evaluation Process Flow and Phases: The evaluation methodology and flow basically follows the standard evaluation phases prescribed by EuropeAid and at the basis of the ToR: inception phase, desk phase, field phase and synthesis phase. In view of the compressed evaluation period (a three month period only in accordance with the original ToR), the inception and desk phases have been combined and integrated in one clustered desk phase. The desk phase inception sub-phase has been executed home based and the desk phase finalisation sub-phase on-the-spot in Zambia and Mauritius in accordance with the ToR. The field mission to Zambia and Mauritius took place in the period from 21 April to 19 May (incl. international travel). The standard contents and results of each of these phases are common knowledge and generic, and thus also apply to the current RMCE mid-term evaluation. The main difference is that the present evaluation basically concerns an institutional / organisational evaluation of an organisation in a regional setting based on an EU Contribution Agreement with host government of Mauritius counterpart funding. This requires more explicit and comprehensive attention for management concerns, for organisational development, institutional strengthening and networking aspects, and especially also in this particular case of RMCE for legal and financial sustainability issues. Participatory Evaluation Process, Evaluation Ownership and Ethical Principles: A maximum involvement of the key stakeholders (both RMCE and network of institutional stakeholders / partners) in the evaluation process has been strived for in order to strengthen the evaluation as a joint exercise to enhance self-assessment, evaluation ownership, co-thinking and learning. Impartiality, objectivity, transparency and the other ethical and methodological standards have been diligently pursued to guide the evaluation process and its results. These ownership enhancement and ethical principles have guided the evaluation team internal discussions throughout the evaluation process. For all matters, close coordination has been pursued with the designated EUD evaluation manager at EUD Lusaka as well as with the EUD Mauritius for the more country specific issues. Balance of Reflection and Policy/Strategic Outlook: As this formally is a Mid-Term Evaluation which in the process de facto converted into an ex-post evaluation, the evaluation analysis strived for a balance between reflective, evaluative aspects on the one hand and pro-active forward looking aspects and recommendations for the future on the other. The latter aspects have been given special 1 European Union Contribution Agreement with an International Organisation; Contribution Agreement Ref. No. FED/2010/ Decision Number Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 3

15 attention, especially also in view of the ToR requirement of evaluation functionality to identify key lessons and propose practical recommendations for follow-up actions. 1 Evaluation Process, Phases and Main Activities The Main Evaluation Phases and Activity Clusters with Outputs: For each of the four main RMCE evaluation phases, a set of main activities / activities with outputs has been identified in accordance with the Terms of Reference (Chapter 3.2 evaluation approach / process) at the onset of the evaluation process. In the process, this preliminary list of planned activities / activity clusters with outputs by main MTE phase has been updated based on the feedback received from the evaluation manager and key stakeholders and as per the evolving evaluation process needs. The actual list of main activities / activity clusters by main evaluation phase is summarized in the below overview table. Table 1 : Evaluation Tasks, Main Activities, Activity Clusters with Outputs by Main Evaluation Phase Evaluation Phase Tasks / Main Activities / Activity Clusters with Outputs Code Description Code Description Desk Phase - Inception Desk Phase Finalisation Field Phase Synthesis Phase Receipt and review of the most relevant project documents and documents shaping the wider strategy / policy framework Review and comments on the suggested evaluation issues / questions with draft proposal of possible amendments, if any Review, compilation and clustering of evaluation questions and evaluation components related to the evaluation criteria 1.4 Draft description of the analysis strategy 1.5 Draft time schedule of field visits and meetings 2.1 Systematic review of relevant available documents sub-questions into 2.2 Briefing meetings and interviews in Lusaka at EUD Zambia and COMESA Secretariat (RAO) 2.3 Preparation and presentation of an indicative methodology (including data collection tools and methods) 2.4 Preparation of detailed work plan for field phase 2.5 Briefing meetings and introductory interviews in Mauritius with EU Delegation Mauritius, Ministry of Finance, IOC Mauritius and other key stakeholders (possibly by video / teleconference) 2.6 Preparation of the data collection tools for the field phase Meetings and interviews in Mauritius with key stakeholders (incl. EU Delegation, RMCE staff, the IOC, Government of Mauritius, private sector, other national and regional key stakeholders concerned Possible re-contacts and/or in-depth interviews / consultations with the different RMCE in- & external stakeholders and ROs as RMCE owners Collection, processing and harmonisation of data coming from different sources (incl. from structured data collection) Preparation of Aide Mémoire (as provisional summary final draft report) and of multi-media presentation Debriefing meeting with main national and regional key stakeholders (the latter through videoconferencing) Further structuring, processing and analysis of all collected information as compilation of report annexes Feedback from key stakeholders on structured processed information / compilation of draft final report annexes 4.3 Preparation and submission of draft final report 4.4 Comments by key stakeholders on draft report and processing of comments 4.5 Preparation and submission of final report 4.6 Approval of final report by EUD Evaluation Manager 1 Terms of Reference chapter 2.1 Evaluation Objectives Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 4

16 The Evaluation Tools Documents Study: The tools for evaluation data collection and analysis in first instance pertain to the study and analysis of RMCE and related key strategic documents and other key secondary information sources. This includes the key documents mentioned under ToR Annex I, those made available during the briefing meetings, the relevant documents which can be downloaded from the ROs and RMCE related websites, and other relevant documents made available by stakeholders in the course of the evaluation interviews. Documents of special relevance include, amongst others: (i) The RMCE constitution and bylaws, the Contribution Agreement and legal documentation; (ii) Policy and strategic steering documents, documents of the Board of Directors and of the Project Implementation Committee; (iii) Long-term and mid-term strategies; (iv) Annual work plans, progress and results reports, interim evaluations and reviews; (v) Organisational charts, institutional and networking charts of stakeholder groups, function descriptions of RMCE departments and units; (vi) Mission reports, relevant internal documentation and e-correspondence with ROs, EUD, BoD and PIC; (vii) Training plan, curricula, programmes, training reports and summary assessments; (viii) Budgeting, financial, accounting and audit documents and reports, etc. The list of consulted documents and selective bibliography is included under Annex 2. 1 The listed documents are clustered along the three main sources as: (1) RMCE documents; (2) EU documents, and; (3) Other documents (e.g. from institutional stakeholders, other Development Partners, etc.). Availability and Quality of Documents and/or Documentation: Documents on concrete operations (e.g. trainings), operational management and financial management proved quite difficult to obtain as not readily available, but only partial, draft and/or scattered, if available at all. In the majority of cases, the documents were not readily available in the RMCE Secretariat Office. A special batch of financial and other corporate documents requested by the team for the governance, legal and financial analysis were only provided to the team on the occasion of the Debriefing meeting. The list of documents requested from the RMCE which was sent to RMCE Office / Secretariat at the onset of the field phase only saw partial returns. For inventory purposes and also for performance evaluation purposes, these documents were classified in eight categories: (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) Documents required by the Board / Supervisory Bodies Staff documents Reports required as per the Comesa-RMCE Implementation Agreement Corporate documents Governance Communications Operational documents Other documents A summary table of RMCE compliance with requested financial and performance evaluation related documents by the evaluation team is included under Annex 7 to this report 2. Of the total of 81 formally requested documents a total of 50 documents (or 61.7%) have not been submitted for one reason or another (in quite a number of cases because reportedly not available or not developed / worked out), even after different follow-ups. The Consultations of Key Stakeholders and Knowledgeable Persons: A main challenge, particularly during the evaluation desk phase finalisation and field phase, was the identification, selection and availability of key knowledge persons and representatives of key institutional stakeholders. This in first instance required an inventory of these key stakeholders groups, representatives and key knowledgeable persons. The representative selection of these institutes and persons has been done in coordination with the EUD evaluation manager. The selection in first instance concerns the institutional members of the evaluation reference group, as per the ToR: 1 2 See annexes pages 8 to 14. Annex 7 is on annexes pages 64 to 68. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 5

17 COMESA Secretariat, Government of Mauritius (Ministry of Finance and Economic Development, Ministry of Foreign Affairs, Regional Integration and International Trade, Ministry of Tertiary Education, Science Research and Technology, etc.), EU Delegation in Mauritius, the Indian Ocean Commission (IOC), and the Inter-Regional Co-ordination Committee (IRCC) Secretariat. The intention was to also cover the other three Regional Organisations in the ESA-IO region (SADC, EAC, IGAD) and other key regional stakeholders via structured e-survey questionnaires. Primary interviewees also included key management and staff position holders of RMCE. An added constraint hereby was the availability of these key RMCE persons due to turnover and resignations. It however was possible to still interview the RMCE former Executive Director (ED) and the former Chief Technical Advisor (CTA) via teleconferencing / skype. Other key institutional stakeholders and individual knowledgeable persons were added in the process, as for example the Tertiary Education Commission, the Mauritius Research Council, the Board of Investment (BOI), the Registrar of Companies, the Mauritius Institute of Directors, Prime Partners Limited (as RMCE company secretary and accounting firm), the Mauritius Chamber of Commerce and Industry. Other Regional and Bilateral Initiatives: In view of the recent developments, extra attention has been given to complementarity and niche area analysis of RMCE vis-à-vis other related regional initiatives as the IMF support Regional Training Centre (RTC) for Sub-Saharan Africa (still under preparation being established) or the IMF African Technical Assistance Centre for Southern Africa (Afritac South) also based in Mauritius, and the conceptual emergence of a University for Regional Integration 1. Both the institutional and e-networking potentials with other centres and the niche areas positioning of RME vis-à-vis these centres have been have been given special focus attention. This analysis also involved consultations with other multilateral organisations as the World Bank and bilateral donors with a representation in Mauritius as for example the Agence Française de Développement (AFD). The Field Mission Schedule of Meetings and Events: A total of 33 such stakeholder meetings / interviews took place during the field phase (8 in Zambia and 25 in Mauritius) The full list of meetings and events during the evaluation field mission to Zambia and Mauritius is included as Annex 1 to this report. 2 The Port Louis office of the legal and financial expert in the team was most instrumental in the practical organisation of the programme of meetings in Mauritius. De debriefing meeting at the end of the field visit organised by the European Delegation to Mauritius covered both RMCE stakeholders based in Mauritius and via videoconferencing stakeholders in other capitals in the region (notably Lusaka in Zambia and Dar es Salaam in Tanzania). Individual and Group Interviews: Most interviews were set as individual interviews. The actual interviews in most cases however turned out to be group interviews, with two or more key stakeholders present. In the case of the interview with the Mauritius Ministry of Finance and Economic Development (MoFED) not less than seven persons participated in the interviews. Most interviews took the format of semi-structured interviews, with the evaluation team pursuing a series of discussion topics through guiding questions. However, these questions basically served as guidance only to keep the discussions on track and focuses, while at the same allowing for enough flexibility to further explore issues more in-depth or to allow for exchanges on topics emanating from the discussion process. During these interviews, additional documents were made available on many occasions in both hard and/or soft copy, or were sent electronically by afterwards as a follow-up. In view of the quasi-open nature of the interviews, the average duration of the interviews was quite long, varying from mostly one hour and a half to up to three hours enabling in-depth exchanges and discussions. Of most interviews, summary minutes have been developed for internal team discussion and reporting purposes. The E-Survey Questionnaire for the RMCE Key Stakeholders: Since the evaluation field phase has been executed in Mauritius only without visits to other countries in the region, in Europe or elsewhere and in view of the above limitations in direct availability of key institutional and individual stakeholders, 1 2 As for example included in the recommendations from the COMESA Council and Summit Meeting of August/September 2010 in Swaziland See annexes pages 2 to 7. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 6

18 the Evaluation Team has developed structured e-questionnaires to still be able to reach out to and to effectively engage these key parties in the evaluation process. A copy of this e-questionnaire template is included under Annex 3 to this report 1. Opportunities for key stakeholders to reply to the evaluation key topics and questions in a more structured and formal way were provided both during the field phase (latter part, including through the debriefing meeting) and the synthesis phase (e.g. when feeding back the draft report compilation of annexes). The main parts of this e-questionnaire, also intended to provide for a stronger basis for more quantitative evaluation assessments, are the following: 1. Identification of responding RMCE key stakeholder 2. Description of past or ongoing involvement in / relationship with RMCE 3. Main positive characteristics and actual strengths RMCE 4. Main limitations, main challenges and/or weaknesses 5. Main lessons learnt 6. Main areas of improvement and/or critical success factors 7. Most important components / dimensions of regional integration 8. Continued validity of 2009 RMCE Business Plan (BP) core areas of Regional Integration services 9. Regional Integration priority topics, subjects, elements to focus on 10. Summary assessment of RMCE governance and governance structure 11. Summary assessment of legal structure 12. Summary assessment of financing structure 13. Summary assessment of strategic and operational management 14. Summary assessment complementarity to and collaboration with other institutes 15. Assessment of RMCE capacity strengthening services received / benefitted from 16. Main expectations towards RMCE regarding capacity building for regional integration 17. Other observations, suggestions and/or recommendations Legal Aspects, Financial Analysis and Performance Audit: As per the ToR and extra highlighted by the EU Evaluation Manager during the briefing and field phase debriefing events, extra evaluation attention has been directed to legal aspects and to financial analysis and audit components. Special evaluation findings chapters have been reserved in the report for that purpose. The audit approach and methodology has been risk based. Risk areas (referred to as weaknesses, or more positively as challenges) are identified in relation to the eight investigated evaluation components 2 in the report s evaluation findings chapter 4. As such, the audit process and audit risk analysis offer business knowledge and recommendations for process and control improvements. International Standards on Auditing (ISA s) and good corporate governance rules are adapted and applied for the proper conduct of the audit. The performance audit analysis thereto is intended to cover: (i) Legal framework; (ii) Materiality level; (iii) Project profile; (iv) External exposure on accounts, and; (v) Internal control procedures. Special Evaluation Tools: Clustered compilations of evaluation analytical tools and tables are included under the annexes to this report as per the below overview table. Table 2 : Compilations of Evaluation Analysis Tables and Figures in the Report Annexes Annex N o Annex Title Annexes Pages 5 Selective analytical tables and figures on RMCE design and support project implementation Financial analysis tables of the EC 10 th EDF support to the RMCE Summary table of RMCE compliance with requested financial and performance evaluation related documents by the evaluation team The E-survey mini-questionnaire with the RMCE Board and Other Key Stakeholders is on annexes pages 15 to 20 (Annex 3) See the 8 sub-chapters under report chapter 4 hereafter, entitled Main evaluation components findings in relation to the evaluation criteria and questions Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 7

19 The Evaluation Components Based on the Evaluation Criteria and Evaluation Questions The Evaluation Criteria and Questions as Basis: In accordance with the ToR, the evaluation of the EC s 10 th EDF support to the start-up of the RMCE has been executed along the main OECD-DAC standard evaluation criteria of relevance, effectiveness, efficiency, sustainability and impact in a balanced way with also special attention for the standard additional EC evaluation criteria of coherence, added value and EC-EU visibility, and added value. In addition, management, organisational-institutional, networking, legal and financing-financial aspects have been given explicit and focused attention in the framework of this basically institutional review, as per the ToR. Also the Paris Declaration on Aid Effectiveness principles of ownership, alignment, harmonisation, development results and mutual accountability have inspired the evaluation s analytical framework. The other main strategic driving force of the evaluation analysis are the RMCE evaluation questions and issues as incorporated in the ToR in relation to the respective standard DAC and EC evaluation criteria. This broad list of guiding questions have been further harmonized, synthesized and clustered to make the evaluation manageable and further focused. The Main RMCE Evaluation Components / Dimensions: As such, a reduced number of eight main RMCE evaluation components (dimensions) has been arrived at based on the ToR, and as further updated and substantiated based on the desk phase documents study and field phase interviews and meetings. These evaluation dimensions also have formed the structure of the evaluation preliminary draft report presented as Aide Mémoire 1 and discussed during the debriefing session with the main key stakeholders at the end of the field mission. These 8 evaluation components are the following: 1. Quality of project preparation and project design 2. Strategic focus and niche areas 3. Institutional and governance aspects 4. Legal analysis 5. Operations and operational management 6. Financial analysis 7. Project effects and impact on regional integration 8. Visibility assessment The Matrix of Evaluation Components, Evaluation Criteria and Evaluation Questions: Each of these eight components is explicitly related to one or more standard criteria, while in the other direction the evaluation components have been formulated and selected in such way as to cover all OECD-DAC and EU standard evaluation criteria in a balance way. Moreover, the evaluation components/dimensions are also linked to clusters of related RMECE evaluation questions / issues. The ensuing matrix of RMCE evaluation components, evaluation criteria and evaluation questions is presented in the summary table on the next page. This matrix has been at the basis of the structuring of the evaluation analysis and of evaluation reporting accordingly. 1 With the exception of component 8 visibility assessment which has been further worked out after the field mission during the synthesis phase. A selection of key slides from the evaluation Aide Mémoire debriefing presentation of 17 May 2013 is included under Annex 10 to this report. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 8

20 Table 3 : Matrix of Evaluation Main Components in relation to the Evaluation Criteria and to the Evaluation Questions Main RMCE Evaluation Components (1) Related OECD-DAC and EU Standard Evaluation Criteria (2) Related RMCE Evaluation Questions / Issues (3) 1 Quality of project preparation and project design 2 Strategic focus and niche areas 3 Institutional and governance aspects 4 Legal analysis 5 Operations and operational management 6 Financial analysis 7 Project effects and impact on regional integration 8 Visibility assessment Relevance Added Value Relevance Added Value Effectiveness Sustainability Coherence (Ownership) Efficiency Sustainability (Ownership) Efficiency Coherence Sustainability Efficiency Coherence Sustainability Impact Visibility Impact Quality of RMCE overall design and management structure Key Performance Indicators in business plan and AWP Availability of baseline data to measure progress Institutional and market risk analysis and mitigation Planned and unplanned effects on regional economic integration Quality of RMCE overall design and management structure Key Performance Indicators in business plan and AWP Alignment of activities with EC policies and strategies EU RMCE support project complementarity / coordination with EU Member States interventions Unity in strategic vision between main stakeholders Contribution of actual governance structure and operational strategy to RMCE objectives Organisation of events pipeline between GoM and RMCE Refocused RMCE with better clarification and streamlining of institutional structure Unity in strategic vision between main stakeholders Institutional and market risk analysis and mitigation Compatibility RMCE status as private firm with EU-Comesa Contribution Agreement Refocused RMCE with better clarification and streamlining of institutional structure Organisation of events pipeline between GoM and RMCE Quality of RMCE overall design and management structure Activities on target (budget and time) HR recruitment and office installation as planned / obstacles Technical and political challenges for RMCE full operation BoD and PIC decisions implementation ToR and KPAs of Executive Director Efficiency of channeling EU funds through Comesa FA Refocused RMCE with better clarification and streamlining of multi donor financing Alternative profit making mechanism to make RMCE more financial independent Activities on target (budget and time) Signs of impact so far Meeting of initial expectations Level of initial expectations (realistic, ambitious) Project strategy and activities in field of visibility Information, education and communication (IEC) strategy and materials Visibility results and impact in beneficiary region and EU countries Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 9

21 Notes: (1) (2) (3) RMCE evaluation main components: As derived from the evaluation ToR and further updated & substantiated based on the desk phase documents study and field phase interviews and meetings, and forming the structure of the evaluation aide mémoire presented and discussed during the debriefing session at the end of field mission. - Standard OECD-DAC evaluation criteria: Relevance, effectiveness, efficiency, impact and sustainability. - Additional standard EU Evaluation Criteria: Coherence and added value, plus also visibility as special concern (in line with the Communication and Visibility Manual for European Union External Actions - Update of 2010). - In view of specific importance: Paris Declaration principle of ownership is added as (minimally) secondary criterion. RMCE evaluation questions: Based on the Evaluation Terms of Reference, as amended, and further synthesized / clustered. Same question may pertain to / maybe relevant for more than one main evaluation component. 3. The Regional Multidisciplinary Centre of Excellence and EU 10 th EDF Support 3.1. EU Support to RMCE in Historic and Regional Perspective: Background and Rationale Background and Chronology Genesis and Early Developments: The genesis of the thinking on the needs for a Multidisciplinary Centre of Excellence goes back to the early years of this millennium. In the January 2005 United Nations Conference on Small Island Developing States (SIDS) in Mauritius, the European Commission expressed in-principle interest in a centre to build capacity to deal with issues arising from globalization with the aim of overcoming capacity constraints and reducing brain drain which may jeopardize the sustainable development of the SIDS. At the Indian Ocean Commission (IOC) Summit of July 2005 in Antananarivo, the Government of Mauritius (GOM) reiterated the importance of this initiative and requested that action be taken by the regional bodies to set up a Regional Multidisciplinary Centre of Excellence (RMCE). It was realized that a SIDS-only focus might not be sustainable and in view of the growing needs at the regional level to build capacity across sectors, the concept was broadened to become regional. The initial concept was further developed in consultation with the EU, the World Bank and the IMF. The GOM sought the support of the regional organisations of which it was a member and the proposal was endorsed by the Common Market for Eastern and Southern Africa (COMESA), the Indian Ocean Commission (IOC) and the Southern Africa Development Community (SADC). The Centre would be expected to address the capacity building needs pertaining to regional integration in East Africa, Southern Africa and the Indian Ocean. An Advisory Group consisting of representatives of all the ESA-IO regional organisations, the World Bank and the European Commission was established by COMESA to guide the initiative into a support project / programme and to ensure quality of the preparatory activities. The Feasibility Study: A feasibility study funded by the European Union under the ESA-IO 9 th EDF Funding and technically supervised by the World Bank was executed in The study concluded to the technical feasibility of an RMCE covering three niche areas 1, regionally owned and with Mauritius as host and facilitator. The RMCE stakeholders meeting - validation workshop on the RMCE feasibility report held on 8-9 May 2007 in Nairobi was co-chaired by the World Bank and the Inter-Regional Co-ordinating Committee (IRCC) and participated in by the regional organisations, the European Commission and member countries of the region, including all ACP members of the IOC. The main recommendations of the study were validated and it was decided to prepare a funding request under the 10 th EDF for presentation at the next meeting of the IRCC. The 13 th meeting of the IRCC held in October 2007 requested a specific meeting of the ESA-IO regional organisations to 1 Further discussed under evaluation findings chapter 4.1 on project preparation and design. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 10

22 confirm their consensus on an RMCE support project and the way forward. The project idea focused on the development of human and institutional capacities for the promotion of regional economic integration and was structured to benefit all Member States of the five ESA-IO regional integration organisation (besides COMESA and SADC, also IGAD, EAC and IOC), In compliance with the principles of subsidiarity, COMESA would lead the project, also given its involvement from the start and its broad coverage of ESA-IO region Member States. The specific, dedicated meeting of the five regional organisations on the 10 th EDF RMCE project financing proposal took place on 23 February The subsequent 14 th meeting of the IRCC of February 2008 noted the conclusions of the ROs special meeting and decided to make the project a priority for the region in the ESA-IO 10 th EDF programming. The Business Plan: Consultations with the EC within the framework of the IRCC led to the conclusion that there was a need for a business plan which could be used to mobilize funding for the implementation of the project to support a cost-effective and financially sustainable RMCE. An initial business planning issues paper was further discussed and endorsed at a workshop held under the auspices of IRCC and COMESA in Nairobi in July 2008, during which the decision was taken to go ahead with the business plan. The business plan reconfirmed the relevance and added value of the RMCE, also in relation to other regional and national training centres working in related policy areas, in as much as the RMCE would provide for the only coordinated centre for regional-level training and advisory services in regional economic integration in the ESA-IO region. The business plan also concentrated on governance, organisational, managerial and operational aspects of the Centre with special focus on the market analysis, training curricula and service offerings, human resources, complementarity with other training/advisory centres, implementation planning, costs, revenue, cost recovery and financial planning, and monitoring and evaluation. This business plan was developed and adopted by the five Regional Organisations, in partnership with the European Union and the World Bank. EC Support Project Preparation: The EC internal preparation process of the EU Support Project followed the standard path as spelled out in the EC Programming, Project Cycle Management and related policies and guidelines, including the elaboration, quality control by the Quality Support Group (QSG) and approval of the subsequent tools in this cycle. Initially, the national envelope of the European Commission in Mauritius managed the proposal, but as the Centre became regional in scope, the proposal was transferred to the RSP-RIP regional envelope and managed by the EU Delegation in Lusaka, Zambia. The Identification Fiche for Project Approach (PIF) was compiled in March 2009 and the Action Fiche 9AF) was prepared for approval as part of the Annual Action Programme by the ESA-IO Region Member States Committee. An RMCE start-up support envelope of EUR 5.6 million under the 10 th EDF ESA-IO envelope, appraised by COMESA, was approved in November The Contribution Agreement under the 10 th EDF RIP: According to the Business Plan, the RMCE would initially receive support from Cooperating Partners and would gradually seek autonomous means of financing until it becomes self-financing. Under the 10 th EDF ESA-IO Regional Indicative Programme (RIP), the EU project in support to the RMCE intended to provide the necessary start-up support in terms of funding in the first three years, with counterpart funding by the host country (Mauritius). Pursuant to this business plan, a Contribution Agreement between COMESA (as lead implementing RO) and the EU was signed on 21 December 2010, following the signing of the Host Country Agreement between Mauritius and the RMCE (then already incorporated as a not-for-profit company in Mauritius). The RMCE Board was represented for that purpose by the former Secretary General of the Indian Ocean Commission, at that time also the Chair of the IRCC. Pending the mobilisation and effective transfer of the Contribution Agreement budgetary resources, COMESA as Regional Authorising Officer (RAO) authorized IRCC funding support to facilitate the kick-start of the RMCE. As such IRCC funded the initial interim directors and part of some meeting costs. The Regional Perspective The Initial National Perspective: The early 2000s Government of Mauritius plans for a Multidisciplinary Centre of Excellence were part of a broad national conversion strategy which heavily focused on economic transition, including use of knowledge-based industries as a source of value- Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 11

23 added growth for the economy. 1 Initially the RMCE related initiatives aimed to complement government and private sector initiatives to expedite the country s transition from a production to a knowledge-based economy. By 2004, the analysis particularly focused on the model provided by the International Monetary Fund (IMF) led Africa Technical Assistance Centres (AFRITACs), of which one (AFRITAC-South) is based in Port Louis. Table 4 : Regional Integration Organisation (RIO) Membership of Countries in the Eastern & Southern Africa and Indian Ocean (ESA-IO) Region (1) Countries in the Eastern and Southern African - Indian Ocean (ESA-IO) Region Membership of Tripartite RIOs in ESA-IO Region Membership of Other RIOs in EAS-IO Region COMESA EAC SADC IGAD IOC Number of Memberships All RIOs Tripartite RIOs 1 Angola x Botswana x Burundi x x Comoros x x D.R.Congo x x Djibouti x x Egypt x Eritrea x x Ethiopia x x Kenya x x x Lesotho x Libya x Madagascar (2) x x x Malawi x x Mauritius x x x Mozambique x Namibia x Reunion Island x Rwanda x x Seychelles x x x Somalia x South Africa x Sudan x x Swaziland x x Tanzania x x Uganda x x x Zambia x x Zimbabwe x x 2 2 N o of Member States Notes : (1) Status as of May 2013 (2) Madagascar membership of SADC suspended (situation May 2013) 1 Source: RMCE Feasibility Study (2007); pp. 8-9 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 12

24 The Special Attention for the SIDS: A boost to the concept and concrete initiatives was given by the UN Conference to review the implementation of the programme of action for the sustainable development of Small Island Developing States (SIDS) of January 2005 in Mauritius and which has set the initial geographical focus of the RMCE on the small islands. It however was soon found out that such set up would not be a viable neither a sustainable option. Moreover, a strong need for capacity development on cross-sectoral and thematic economic and other national development issues was underscored by the Member States and Regional Organisation in the ESA-IO region of which Mauritius itself is member, and then particularly regarding regional integration issues. The validity, feasibility, relevance and appropriateness of such geographical focus on the Eastern and Southern Africa Indian Ocean (ESA-IO) region has been confirm in both the feasibility study and the business plan at the basis of the design of the EU Contribution Agreement (CA) support project to the RMCE, which were approved by the Regional Organisations (through the umbrella IRCC) and / on behalf of their Member States. From this then emanated the thematic focus of RMCE capacity strengthening training and services on regional integration issues with a geographical focus on the ESA-IO Region. The ESA-IO Regional Integration Organisations and Member Countries: Table 4 on the previous page gives an overview of the total of 28 Member States in the Eastern and Southern African Indian Ocean (ESA-IO) Region, with for each an indication of their membership to one or more of the five Regional Organisations in the ESA-IO Region. Of these, the Common Market for Eastern and Southern Africa (COMESA), the East African Community (EAC) and the Southern African Development Community (SADC) constitute the Tripartite RIOs of the region. The other two RIOs are the Inter-Governmental Authority on Development (IGAD) and the Indian Ocean Commission (IOC). Individual MS membership of the RIOs varies from 5 to 19, with all RIOs having overlapping memberships. Individual countries number of RIO s memberships varies from 1 to 3 (with 5 countries who are member of 3 RIOs, amongst which Mauritius, the host country of the RMCE). The Capacity Strengthening Needs Assessment: The feasibility study of June 2007, one of the key documents at the basis of the EU support project of the RMCE, reports on the outcome of the capacity strengthening needs assessment with the five ROs in the ESA-IO Region. The below table 5 shows the priority areas for regional integration capacity strengthening by the 5 RIOs, with for each of these priority areas a number of concrete particular needs. It should be clarified that the needs assessment only concerned economic and financial themes and thus is biased vis-à-vis the wide plethora of regional integration themes (including those on political and social integration). Capacity building on economic cooperation and regional integration is the most common central theme and priority need identified by the five RIOs, followed by both trade, customs and investment related themes on the one hand and monetary and fiscal issues on the other. These focal areas for capacity strengthening identified by the respective Regional (Integration) Organisations were clustered in five core areas where competencies needed to be strengthened in the region to facilitate economic integration: i. Macroeconomic harmonization ii. Cross-border trade and transit iii. Cross-border financing iv. Business development and investment v. Common regional sector policy, including infrastructure The strategic thematic focus of the RMCE (or the lack thereof) and its evolutions over time is one of the eight central evaluation components/dimensions 1. The related standard evaluation criteria (OECD-DAC and EU) and the main corresponding evaluation questions and sub-questions have been summarily presented in matrix table format here before Chapter 4.2 on RMCE strategic focus and niche areas. See table 3 for a summary overview of the evaluation main components, their related evaluation criteria and evaluation questions Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 13

25 Table 5 : RMCE Priority Strategic Sectoral / Thematic Focal Areas for Capacity Building on Regional Integration as per the RMCE Feasibility Study of June 2007: Priority Areas for Regional Economic Community (REC) Capacity Building Regional Economic Community (REC) Priority Areas Particular Needs 1 COMESA 1 Trade, customs and monetary affairs 1 Harmonization of customs procedures 2 Investment promotion and private sector development 2 Development of a regional investment framework 3 Development and harmonization of payment, clearing and settlement systems 2 EAC 1 Trade, investments and industrial development 4 Drafting regional commercial policy 1 Macroeconomic policy coordination 2 Monetary and fiscal policy 2 Harmonization of fiscal and monetary policies 3 Free movement of capital 4 Trade liberalization and development 5 Enhancing supply capacity in productive sectors 6 Relations with other RECs and international organisations 3 IGAD 1 Economic cooperation and integration 1 Harmonisation of policies in transport and trade 2 Promotion of tourism 3 Coordination of Economic Partnership Agreements 4 IOC 1 Economic cooperation 1 International trade in good and services 2 Regional representation in international forums 5 SADC 1 Economic Cooperation and Regional Integration 1 Trade facilitation 2 Harmonization of customs procedures. 3 Training and capacity-building in Central Banks. 4 Development and harmonization of payments, clearing and settlements systems. (1) Source: RMCE Feasibility Study; EC-WB; 28 June 2007; Page The Contents and Modalities of the EU Support Project Objectives and Expected Results Objectives: As per the RMCE start-up project Contribution Agreement with COMESA 1, the overall objective of the RMCE start-up support project is to contribute to improved regional integration and regional cooperation policy decision making processes and regulatory quality in the ESA-IO Region. The specific objective is the improvement of knowledge, managerial skills and competences in 1 Contribution Agreement FED/2010/ of 21 December 2010 Annex 1 Description of the Action Regional Multidisciplinary Centre of Excellence Start-Up Project Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 14

26 Regional Economic Integration among relevant stakeholders: Regional Organisations (ROs), key ministries, agencies, civil society and especially the private sector. Expected Results: The EU support in the initial period is intended to facilitate the start-up of the RMCE and provides the necessary leverage to start collecting fees from its services and to mobilise additional support from other cooperating partners to sustain the Centre and expand its services. EU contribution would be used to provide technical assistance, contribute to the initial investment in training needs, purchasing of ICT equipment and support to the ROs, their Member/Partner States (including non-state actors which are eligible for support) in attending training courses. Contribution from Member/Partner States was to be introduced gradually as part of an exit strategy (see Business Plan). During the start-up phase, focus would be place on setting up the core components of the Centre to position it as a viable and sustainable regional training and knowledge dissemination institution. Under the CA, the three main expected results with core activities are defined as follows: Result 1: RMCE is effectively established i) Recruit interim Project Manager and fill in key long term positions of the RMCE ii) Set up the organisational structure and management systems as per governance arrangements, iii) Set up infrastructure and acquire adequate teaching, telecommunications, office and transport equipment to facilitate the programmes iv) Establish operations plan Result 2: Skill building and training services are operationalised i) Develop detailed course curricula ii) Prepare course logistics iii) Undertake marketing actions iv) Carry out training courses Result 3: Advisory services and policy dialogue support with regard to REI related issues are available i) Develop detailed conference programme ii) Develop advisory services iii) Carry out special studies Location and Duration: The support project covers all Member States / Partner States of the ESA-IO Region of the 10 th EDF. The CA also stipulates that the headquarters of the Centre will be located in Mauritius as approved by the 24 th Council of Ministers of COMESA. The additional operational costs resulting from the Centre s location in Mauritius, estimated at about 6% of the total training costs, would be offset through the host Government s financial support as part of its overall proactive contribution to the Centre s success. 1 The EU support project was planned to have a duration of 41 months starting from the signing of the Contribution Agreement on 21 December 2010, hence until 20 May The CA will end latest by 21 June 2014 with the period of execution ending by 21 June Monitoring and Evaluation: The CA stipulates that a monitoring and evaluation framework needs to be established at the beginning of the project so that baseline date are captured and monitored. The M&E system would need to be gradually enhanced as the successive reports are produced. As per the CA provisions, the M&E function is under the responsibility of the Executive Director until the Operations Department is functional. The Annual Work Plans would need to include SMART indicators under each result area, which will be used as yardstick to measure progress and results of the implementation of the project Financing and Implementation Modality The Implementation Modality: The RMCE start-up project is implemented through a Contribution Agreement (CA) signed between COMESA and the EC. The overall responsibility for the 1 The CA in this connection further details that the Mauritian Government has already made an allocation of EUR 130,00 within the 2009 budget and committed EUR 200,000 annually over the subsequent budgets. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 15

27 implementation of the project rests with the Secretary General of COMESA, acting as Regional Authorising Officer. The CA furthermore foresees that, once the RMCE management structure is in place, COMESA may delegate the implementation of AWPs partly or wholly to the institution, in accordance with COMESA s grant mechanism, as provided by the COMESA Financial Rules and Regulations. In that event, the CA stipulates that implementation will be made on the basis of COMESA rules and regulations, but that fiduciary responsibility for the project will remain with COMESA. 1 Total Project Budget: The total RMCE start-up project estimated costs is 6,466,000 Euro of which 5,6m (or 86.61% of the total) is funded by the EC in grant format. The Government of Mauritius contribution of 723,000 Euro (or 11.18%) would be used to fund part of the initial investments and recurrent overhead costs such as rent and administrative staff. As initial provision for gradual auto-financing and financial sustainability, the CA further foresees that marginal costs for consultancy services estimated at 143,000 Euro (or 2,21%) would be financed by revenues generated by fees for these. Breakdown by Main Budget Lines: The below table 6 is the summary budget with breakdowns (i) for the three key result areas and cross-cutting costs, (ii) by main budget items / budget lines, and (iii) by source of funding (EC, GoM or fee based). As far as the KRAs are concerned, result 2 on skills building and training services is allocated by far the largest budget (53.6% or more than half of all project resources), followed by result 1 regarding the effective establishment of the RMCE (20.54% of the total budget) with rather marginal resources (8.18%) planned for result 3 on regional integration related advisory services. Table 6 : Budget of the Contribution Agreement (CA), with both EU-COMESA and Government of Mauritius (GoM) - Budgetary Inputs and with Breakdown by Project Results (Key Result Areas) - in Euro Main Budget Items / Budget Lines Result 1 : RMC is effectively established Result 2 : Skills building and training services operationalized Result 3 : REI related advisory services and policy dialogue available Operations Support Audit & Communi Evaluations cations & Visibility Contingency Totals EC GoM EC GoM EC Fee Based EC GoM EC EC EC GoM EC GoM Other Grand Staff Emoluments and staff development costs 723, , , ,000 1,744, ,000-1,848,000 Technical support and Capacity Building 277,000 2,594, , ,000 14,000 3,271, ,000 3,414,000 Operational expenses 62,000 34,000 27, ,000 56, , , ,000 Hardware and software equipment 100,000 70, ,000 70, ,000 Transport equipment 46,000-46,000-46,000 Finance Charges 28,000 28, ,000 Audit fees 138, , ,000 Contingencies 174,000 35, ,000 35, ,000 Totals 1,190, ,000 3,465, , , , , ,000 56, ,000 35,000 5,600, , ,000 6,466,000 Source: Contribution Agreement, Annex Further details on the governance and management structure are discussed in the evaluation findings on RMCE institutional and governance aspects (chapter 4.3) and on RMCE operations and operational management (chapter 4.5). Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 16

28 The budget breakdown by main budget items / budget lines shows more than half of the resources allocated to capacity building and technical support (3.414m or 52.80%), basically in relation to result two % of the budget is allocated to staff emoluments and staff development costs, almost equally shared by results 1 and 2. Provisions for operational expenses amount to 9.48% of the total budget. As also can be directly seen from the below summary budget figure 2, the other CA cost components all are minimal and amount to maximum 3% of the total budget each (2.63% for hardware and software equipment; 2.13% for finance charges, 0.71% for transport equipment, and 2.13% for audit fees. The contingency provision represents 3.23% of the total CA budget. Annual Budget Breakdown: The annual budget breakdown for the initially planned 41 months project period (Figure 3) shows the bulk of resources budgeted for the second and third project year (Financial Years 2012 and 2013) both at about 35% of the total budget after the initial take-off year. Both the project take-off first year and the fourth phasing out year are budgeted a reduced rate of about 15%. This annual budgeting pattern thus is in line with a regular life cycle of a project. The foreseen pre-financing schedule in the Contribution Agreement consisting of four annual pre-financing instalments based on approved work plans and annual reports follows about the same pattern. The first prefinancing tranche for calendar year 1 amounting to 814,855 is automatically transferred to the TA contracting party (COMESA) upon signing of the Contribution Agreement, in accordance with the general rules and regulations governing EU Contribution Agreement. The support project is explicitly defined in the Contribution Agreement as a Joint Management Action and not a Multi-donor Action for all purposes of the Agreement. 4. Main Evaluation Components Findings in Relation to the Evaluation Criteria and Questions 4.1. Project Preparation and Design Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 17

29 A. Observations and Findings Consultative and Ownership Building Preparation Process: The thinking about the creation of a Multidisciplinary Centre of Excellence goes back to the early years 2000 and got a strong institutionalization boast following the 2005 UN Conference on Small Island Developing States (SIDS) in Mauritius. 1 The initial focus on the SIDS got reoriented and broadened to encompass all countries of the Eastern and Southern Africa and Indian Ocean (ESA-IO) region, covered by the five Regional (Integration) Organisations. Whereas the Government of Mauritius from the very onset has been one of the (if not the most important) main proponents of a Multidisciplinary Centre of Excellence, the idea got much stronger international resonance and effective support when its regional focus got more pronounced and capacity strengthening for regional integration became its main orientation, if not raison d être. The first Steering Committee meeting of the Regional Multidisciplinary Centre of Excellence held on November 2009 was organised with the aim to consider key issues for the start-up of the RMCE and to agree on the way forward. The main proponents of this meeting were COMESA (SC chair), Mauritius (vice-chair) and the IOC (rapporteur), with the Inter-Regional Coordinating Committee (IRCC) providing Secretarial services to the Steering Committee. Also attending the meeting were Mauritius (as host country of the RMCE) and Zimbabwe (as Chair of COMESA) and representatives of four ROs (COMESA, IGAD, IOC and SADC ). Also the Development Partners (DPs) have been well involved in the preparation process spearheaded by the European Commission, together with the World Bank, the African Development Bank and the Agence Française de Développement. Other DPs as the Commonwealth Secretariat also were involved in the establishment of the RMCE, be it in a more indirect way 2. As such, a broad leverage platform was aimed for from the very onset of the process to bestow the RMCE creation initiative with the necessary political and institutional leverage to ensure its relevance, viability and, ultimately, sustainability. Key Issues Kept Lingering On: On the other hand, the set of key tasks of the Steering Committee (SC) as a transitory arrangement that would enable the stakeholders to launch the process of RMCE operationalisation until it would be legally established, already provides a summary of the issues which kept on hampering Centre operations throughout the period it benefited from EU support, despite this broad political and institutional support playing field aimed at from the very onset, including: (i) The legal form of the RMCE; (ii) Its governance structure; (iii) Conversion of strategic orientations in operational work plans; (iv) The creation of a donor coordination platform specifically for the project; (v) Terms of Reference for the Interim Project Manager, resp. RMCE Executive Director. This for example is evidenced by the agendas and records of the subsequent Board meetings and of the Project Implementation Committee (PIC) meetings, and further confirmed by the annual operational work plans, and by periodic and ad hoc reports and notes on RMCE operations. Identified Niche Areas and Established Feasibility: As part of the preparation process to create the RMCE and to facilitate its take-off through a start-up project funded by the EU, the Councils of three ESA-IO regional organisations (COMESA, SADC and IOC) with coordination support from the IRCC decided in December 2005 to conduct a feasibility study on the setting up of the RMCE in Mauritius. The study was funded by the European Commission and executed through a Trust Fund with the World Bank. It was completed in February 2007 and endorsed by the IRCC in June The objective of the study was to assess the feasibility of establishing a Regional Multidisciplinary Centre of Excellence in Mauritius to serve as capacity building hub for the COMESA, SADC, EAC, IGAD and IOC regions. The study concluded that such Centre would be more effective if it were to address economic capacity needs in common to country and regional groupings. In addressing such common needs, a centre would reduce coordination and delivery costs and increase effectiveness by focusing geographic coverage carefully on service delivery niches. The report proposed a centre combining three focuses which are technically feasible within existing ICT infrastructure and which would be mutually reinforcing: (i) Component 1 focusing on national macroeconomic management services, with 1 2 More details on the background and chronology of the process leading to the creation of the RMCE are provided under preceding chapter 3.1 EU Support to RMCE in Historic and Regional Perspective: Background and Rationale. The report of the RMCE Second Steering Committee Meeting of 12 March 2010 in Nairobi, Kenya, for example refers to a joint initiative of the Commonwealth Secretariat with COMESA and Mauritius to organise a Conference on Trade in Services, scheduled for April Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 18

30 the report mentioning that this component is closely based on the IMF-led Afritac model which at that time still was under consideration for being established in Mauritius (Afritac South); (ii) Component 2 of regional integration services would assist COMESA, EAC, IGAD, IOC and SADC and their member states, fulfilling a niche facilitation role by providing independent technical and policy analysis and capacity support on key issues in the regional integration and harmonization pipeline, and; (iii) Component 3 on Small Island and Landlocked States (SILS) economic vulnerability services, extending the regional economic analyses to support management of the economic impacts of vulnerability issues affecting the three Small Island Developing States (SIDS) and the ten Landlocked Developing Countries (LDCs) of the ESA-IO region. RMCE Actual Operational Focus vis-à-vis Identified Niche Areas and Established Feasibility: In the light of these identified niche areas with ascertained sustainability potentials, it is quite remarkable, if not difficult to understand, that the RMCE in its start-up years highly (if not uniquely) concentrated on component 1 activities and services, whereas the feasibility study already indicated the presence of other well established players in this area. Even so, if not more, remarkable is that component 2 on regional integration services to the ESA-IO Regional Organisations and their member states identified as thé niche areas has not been strategized, let alone operationalized, by RMCE in these years. This more or less also pertains to the services to the SIDS. In their comments to the 2 nd annual work plan submitted by RMCE management, both the RMCE Board of Directors (BOD 3 rd meeting) and the Project Implementation Committee (PIC 2 nd meeting) argued to more solidly and fundamentally (re- )focus RMCE to these two niche areas where it s added value lies in accordance with its Constitution and with the EU supported Start-Up Project (SUP) Contribution Agreement (CA) objectives. The Business Plan Market Analysis and RMCE Feasibility: The ROs through the IRCC endorsed the feasibility study and the COMESA Council then further directed the COMESA Secretariat to explore the possibility of mobilising 1 e funds from the European Commission (EC) to support an RMCE start-up project. As part of this preparation process, a Business Plan was drawn up under the auspices of the IRCC. The Business Plan strengthens the findings of the feasibility study with regard to the value added for the RMCE, but more explicitly zeroed in on component 1 services, leading to the identification of the five core areas where competencies needed to be strengthened in the region to facilitate economic integration. The market analysis undertaken in the preparation of the Business Plan provides evidence that there is an excess demand for skills in the ESA-IO region in the area of regional integration and that there is a need to develop a comprehensive approach to build capacity in regional integration. More specifically, the analysis shows that capacity building is required both by regional organisations and governments, especially key ministries and agencies in the forefront of design, implementation and monitoring of regional economic integration policies. Furthermore, the analysis shows significant private sector needs through intermediary organisations as Chambers of Commerce and Industry and business associations with regard to developing managerial capacity to improving their outreach on regional markets. Whereas the feasibility study concluded to a general feasibility of an RMCE, the underlying assumptions on cost recovery and financial sustainability / selffinancing in the Business Plan, particularly with regard to the envisioned timeframes, have been somewhat optimistic, for sure in retrospect based on the knowledge gained from implementation experiences to date. Two Key Strategic Documents Kept as Basis Without Further Updating: The Feasibility Study and the Business Plan have been used as formal basis and justification of the RMCE Start-Up Project as they are considered uniformly accepted by all key stakeholders concerned. There is no evidence of the contrary, but there also is no evidence that both documents have been thoroughly, in-depth discussed amongst the key stakeholders to ensure internalisation and due ownership. As further discussed in the next chapter on the RMCE strategic focus and niche areas, there is also no evidence of a further validation or updating of these two documents based on new insights emerging from initial operational experiences and/or aligning them with evolving policy priorities and changes in the broader 1 As discussed in the background and rationale chapter 3.1 here before, these five core areas where competencies needed to be strengthened in the region to facilitate economic integration are: (i) Macroeconomic harmonization, (ii) Cross-border trade and transit, (iii) Cross-border financing, (iv) Business development and investment, and (v) Common regional sector policy, including infrastructure. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 19

31 environment over time, e.g. with other institutions positioning themselves in the market. This lack of such strategic updating is at the basis of ad hoc evolving priority setting for RMCE operations as is clear from the different Board meetings without formal basis in an updated feasibility study / market analysis or in structured needs assessments with the key stakeholders. It also led to incremental supply driven operational planning and services programme management. The Complexity of the Project Identification and Formulation Process: The later phases of the comprehensive and inclusive preparation process of the RMCE start-up project were in line with the prescribed steps for project approach based EU support interventions in line with the EC s Project Cycle Management (PCM) principles, process and tools. The feasibility study as basis for the preparation of the Identification Fiche with provisions for presentation at and screening by the Office Quality Support Group (oqsg) at EU Headquarters, launch of inter-service consultation and presentation to MS Committee. The preparation of the Business Plan was integral part of the formulation process and served as major input for the Action Fiche of the Start-Up Project for EDF 10 funding under the ESA-IO Regional Strategy Paper / Regional Indicative Programme (RIP), which determined the aid method / method of implementation of the project as Joint Management with the Common Market for Eastern and Southern Africa (COMESA) through a Contribution Agreement. The different and complex consultations with the different key stakeholders concerned in the region resulted in a protracted preparation process with the last crucial steps and documents needing to be accomplished in a relatively short period at the end of the financial year 2010 (according to different interviewed key stakeholder parties, hurriedly in a too short period). This pertains to the finalisation and approval / conclusion of: (i) The Constitution of RMCE as a Private Company Limited by Guarantee; (ii) Its registration under the Companies Act 2001 of the Republic of Mauritius; (iii) The Host Country Agreement between Mauritius and RMCE; (iv) the Implementation Agreement between COMESA and the RMCE, and finally (v) The Contribution Agreement between the EU and COMESA as overall responsible party for the implementation of the programme as Regional Authorising Officer (RAO). All needed to be finalised in the last month of December of Financial Year 2013, which according to different interviewed parties has influenced the quality of documents, and particularly the alignment and harmonization between the different documents (especially between the Contribution Agreement and the Implementation Agreement, and between the Implementation Agreement and the Constitution and Hosting Agreement). 1 The Project LogFrame 2 and Key Performance Indicators: As an intrinsic requirement for any EU financing agreement (including Contribution Agreements), a Logical Framework is attached as annex to the RMCE SUP Contribution Agreement signed on 21 December The LogFrame duly reflects the three key result areas of the support project under the project s overall objective and project purpose / specific objective as stipulated in the Description of the Action annexed as integral part of the Contribution Agreement. The indicators formulated at the objectives levels however are very vague and do not provide a basis for results performance measurement or empirical assessment, the more since lacking baseline data and target setting (neither interim, e.g. mid-term targets, nor final and ex-post targets) and as such not providing a solid comparative / benchmarking basis for performance monitoring, mid-term reviews, final and ex-post evaluations of higher end results (outcomes and impact). The indicators included in the LogFrame for the direct results level (=outputs) do not have targets. The Project LogFrame as Strategic and Operational Management Tool: There is no evidence that the LogFrame has been used as a management tool, neither for strategic nor for operational management. No updates of the LogFrame have been made in the course of RMCE SUP implementation. The original LogFrame is attached in its original version to the 2 nd Annual Narrative and Expenditure Report for the year 2012 and to Mid-Year Narrative and Expenditure Report for the first half year of 2012 as an annex, without any further updating however or further reference made to. Also, the LogFrame has not been converted into / has not been used for the development of a targeted implementation plan or global work plan, and the latter (and its updates) thus not has been 1 2 The RMCE legal framework is further discussed under chapter 4.4 hereafter. A copy of the original, initial Logical Framework of the RMCE Start-Up Project included under the annexes to the signed Contribution Agreement and forming integral part of it, is attached to this report under Annex 8. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 20

32 used for the development of the annual operational plans. The three project Key Result Areas (establishment RMCE, training services and advisory services) were designed to be implemented sequentially to a large extent. But with the delays in actual start of the activities and of personnel recruitment, the pressure mounted to show results almost simultaneously for KRAs 1 and 2, which negatively affected performance and quality of both KRAs. It turned out not to be possible to have the house in order well first before engaging with the clients in terms of quality service delivery. Moreover, the supervisory expectations 1 to demonstrate outcomes and impact of the RMCE capacity building events at the level of the participating states in terms of follow-up commitments by the respective Governments for the complex and multifaceted issues at stake and on such short notice and as a result of single events only (ref. the impact issues of attribution and time lag ) may have been too premature and ambitious. M&E Framework and Key Performance Indicators: The Contribution Agreement includes the development of a Monitoring and Evaluation framework as one of the key activities under result 1 on the effective establishment of RMCE. This framework needs to be established at the beginning of the project so that baseline data can be captured and progress and results can be monitored. The system is expected to gradually evolve as successive reports are produced. It needs to be based on targeted performance indicators for each level of the results chain (output, outcome and impact), for which also baseline data should be collected as retroactive start-off benchmarks. This M&E function is an ED responsibility until the Operations Department becomes functional. In its deliberations on the annual work plans submitted by management, the Board kept stressing the importance of linking the proposed activities to the objectives and to define clear outputs for each activity, to facilitate performance measurement, monitoring and evaluation in terms of enhancing capacity for formulating and implementing policies related to regional integration on the basis of targeted Key Performance Indicators. 2 However, no evidence was found in the reporting of the design and effective operationalisation of an M&E system. The subsequent (semi-)annual reports keep referring to the M&E Framework as a priority for the next period. It also should be noticed that no programme manager has been in place throughout the project period under review and that in the organisational chart included in the work plan for (which partly also covered 2013) only provisions for the posting of a Monitoring and Evaluation Manager are foreseen in Hence one cannot conclude to a prioritisation of M&E system framework design and operationalisation under the RMCE start-up support project. This urged the engagement of the IRCC M&E Expert in the redesign process of the M&E Framework as from the end of RMCE Location and Host Country: The justification for the physical location of the RMCE in Mauritius relates to the particular interest of the Mauritius Government as part of its macroeconomic conversion strategy to develop, if not prioritize, knowledge services. Moreover Mauritius has relatively extensive ICT infra and usage and proactive interest in becoming an education and knowledge hub collaborating with Eastern and Southern Africa. Furthermore its multiculturalism and bilingual / multilingual culture allow it to service both Anglophone and Francophone countries, and also through it has shown proactive commitment (incl. financial commitment) to meet certain costs as host country of the Centre. Pilot training courses with a regional outlook were successfully held utilizing a well established conferences and training infrastructure in a conducive environment. It for that matter is quite remarkable that despite these potentials and guarantees, the RMCE office physical premises up to the present are not meeting the minimum standards for an international learning centre and that the planned removal to the Ebene high tech campus / knowledge hub area still has not taken place despite the plans to move there in Spring It is recalled in this connection that setting up of the infrastructure and acquiring adequate teaching, telecommunications, office and transport equipment to facilitate the programmes is one of the key activities under RMCE SUP result 1. At the broader strategic and policy level, the Mauritius Government remains strongly committed to its strategic pursuit As evidenced e.g. from communications between the Board and the ED in April 2012 in relation to the Regional Doing Business Conference 2012 in Botswana held on March 2012 E.g. minutes of the 1 st meeting of the RMCE Board of Directors held on 3 September 2010; Items 9.1 and 9.2 on p.7 Op. Cit.; Figure 2 Expected RMCE Staff Complement and Structure by End Minutes of the 2 nd Project Implementation Committee (PIC) meeting of 13 December 2011; Item 3.4; p.2 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 21

33 of becoming an international / regional knowledge hub and, as confirmed during the different evaluation meetings with Government as well as with private sector organisations / non-state actors. The Mauritian Ministry of Foreign Affairs has regional integration even included in its name Ministry of Foreign Affairs, Regional Integration and International Trade and has a special Department on Regional Integration. This Ministry with an explicit mandate on regional integration matters however is not representing the Government of Mauritius in the RMCE Board. Whereas this regional integration perspective of Mauritius continued interest in an international learning centre on regional integration as RMCE is evident from different official meetings 1, documents and publications up to the present, further substantiated in the different evaluation interviews, it is somewhat remarkable that key protagonists of RMCE as an international learning centre of excellence for regional integration capacity building do not necessarily proactively pursue this priority focus. 2 Geographical Coverage and Concentration: The need for a focused RMCE has been underscored by all stakeholder parties and highlighted in the RMCE key documents. This pertains to both thematic concentration in terms of regional integration capacity building topics and geographically in terms of covered countries (the ESA-IO Region states). Nevertheless this thematic focus is not evident in the operational plans and in the actual activities executed under the project 3, neither is the geographical focus, with countries from outside of the region also participating in RMCE training events. 4 Also, whereas the CA refers to the five ESA-IO Regional Organisations and their 28 Member States as the geographical focus of the RMCE SUP, on different occasions also the Small States Network for Economic Development (SSNED) and covered states are referred to as priority target beneficiaries / clientele of the Centre. The Board 5 for example stated amongst the priorities for 2012 the development of training curricula and courses for implementation in 2013 related to small states and regional integration. B. Summary Strengths / Achievements and Weaknesses / Challenges Strengths / Achievements: - The rational sequencing of the phases and sub-phases in the preparation process from identification to formulation - The formal and transparent adherence to the EU Project/Programme Cycle Management (PCM) guidelines of the project preparation process (fiches, CA documents, quality support mechanisms, etc.) - The iterative consultation process and relentless participatory efforts to get all parties on board to build ownership - The conduct of a comprehensive feasibility study as basis for the RMCE SUP preparation process - The ex-ante development of a business plan as basis for the action fiche and Contribution Agreement (CA) Description of the Action Weaknesses / Challenges: As an example of a recent public pronouncement, the speech by the Hon. Minister of Foreign Affairs, Regional Integration and International Trade of the Republic of Mauritius at the Sixth Conference of African Ministers in Charge of Integration; Balaclava, Mauritius; 18 April 2013 For example, just by way of illustration, in the debriefing meeting at the end of the field mission at the EU Delegation, ESA-IO Regional Organisations were referred to as theoretical, philosophical constructions estranged from reality. As is further discussed in the next chapter. By way of example: The participation of Gambia and Ghana in the IMFI Financial Market Analysis Course of 23 Jan 03 Feb Minutes of the 3 rd RMCE Board meeting; Item 4(e) - Financial strategy and plan; p.8 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 22

34 - The more than five years between the project concept and the actual start of RMCE operations; - No actualisation / updating of the feasibility study (e.g. no updated needs assessment); - The 2007 Business Plan as basis for actual EU Start-Up Support project operations, formally starting in January 2011 only after the signing of the FA, but actually only with the fielding of RMCE international staff (ED) by mid-2011 only; - Different Development Partners (DPs) having taken the lead at different stages of the preparation process (UN, WB, EU) and complex set of regional proponents (5 ROs, IRCC, Member States); - The actual validation of the feasibility study presumed self-financing and financial sustainability in a period of 8 years and full operational capacity in a period of 5 years with the result that institutional and market risks have not been taken fully into account - No evidence of an updated and systematic needs assessment at the level of the main targeted clientele / key stakeholders, including the five regional (integration) organisations, the 28 member states, and both public and private sectors, as such a failure to provide a more solid basis for mitigating potential risks emanating for an in principle demand based and market segmented services programme; - No conversion of the project design (e.g. LogFrame) into a multi-annual strategic plan / rolling plan; - Absence of targeted Key Performance Indicators as basis for results-based performance monitoring and evaluation and non-establishment of the baseline as benchmarking basis to measure progress; - Discrepancy between the ambitious project design, objectives and expected results and the actual RME organisational structure and (under-)staffing Strategic Focus and Niche Areas A. Observations and Findings Evolving Needs and Market Positioning: The 2007 feasibility study at the basis of the RMCE concept and in turn of the EU start-up support project design starts from the premise that needs are dynamic, not static. 1 It thereto refers to the 2005 DAC report entitled The Challenge of Capacity Development which emphasized capacity development rather than building to imply a flexible long term process rather than starting with a preconceived design. The implication is that rather than adopting a product approach akin to manpower planning, it is more effective to adopt a process of needs identification to achieve flexibility. The feasibility study thus argues for a flexible demand based approach to capacity building services delivery rather than on a preconceived set of sectorial or thematically delineated topics. As transpiring from the subsequent annual work plans submitted by RMCE management to the Board, there is no evidence of such adaptation to evolving needs and/or expressed policy priorities. On the contrary, this lack of adaptation in the process became one of major points of friction. The feasibility also argues that the centre should cooperate with other centres over technical and geographic coverage rather than compete with them, but at the same time that it should define for itself the niche areas where is can provide added value in terms of services not provided by these other centres. Recent trends in world trade an evolving economic, social and institutional conditions mean that capacity building must address issues and events beyond national targets and prerogatives. The other consideration being simply one of efficiency: In a situation of high needs and limited capacity to deliver, a centre should complement not duplicate similar service providers. Moreover relating capacity building needs to commonalities in regional (integration) priorities would enable benefiting from economies of scale within delivery niches. This translates in the case of RMCE into a regional focus, and more particularly a focus on the ESA/IO Region for issues 1 RMCE Feasibility study (2007); Chapter 3.2 Capacity Building Needs and Delivery ; pp Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 23

35 related to capacity development and strengthening on regional integration issues, with the five ESA/IO Regional (Integration) Organisations as niche area conduit for delivering these services at the regional level and at the level of the Member States. Whereas this is explicitly foreseen in the RMCE SUP design and strategic documents as the Contribution Agreement s Description of the Action, it is less evident from the concrete capacity strengthening actions included in the RMCE operational plans and concrete activities. On the other hand, the CA in its concern to be focused retained the five key areas of action identified in the Business Plan without provisions for possible updates to better align the services offering with changed priorities or a (rapidly) changing broader environment. Also despite the changed priorities identified by the Board, the proposal of RMCE management to engage in a more structured needs assessment was declined by the Board. 1 The RMCE Niche Focal Areas in the RMCE SUP Design Documents: The 2007 feasibility study concluded, based on the above principles and market assessment, to the viability and sustainability of an RMCE with regard to three particular niches: (i) The geographic gap in the capacity of the Afritacs to service all countries in the region; (ii) The role to facilitate regional integration by providing independent policy analysis of technical aspects of pending regional integration issues and capacity building services related to them (thus without any specific, pre-determined sectorial or thematic prioritization), and; (iii) A need for support in identifying and managing the economic aspects of vulnerability issues affecting the SILS. With the Afritacs meanwhile well established and their capacity spanning over all countries of the region (by Afritac South in Port Louis, Mauritius and Afritac East in Dar es Salaam, Tanzania), RMCE s updated niche areas are especially related to capacity development services for regional integration in areas identified / prioritized by the market (ROs, Member States, private sector) and thus without predetermined restrictions (above item ii) and on SILS management of vulnerability issues, the latter confirmed in the latest (3 rd ) Board Meeting of December 2011, with special focus on small states and regional integration. In this perspective, the limitation of the RMCE key focal areas to the five economic integration areas where competencies needed to be strengthened as provided for in the Business Plan as the basis of the RMCE SUP Contribution Agreement may be understandable in the perspective of a necessary focusing of the RMCE and the EU support thereto, but it did not provide for the necessary flexibility to adapt to changing priorities and needs inherent to a demand based services programme. It may be noted in this respect that on the occasion of an RMCE introductory presentation at the RMCE Consultative Meeting with the Regional Organisations at the Comesa Secretariat in Lusaka on 12 May , at the early stages of the support project, the RMCE Acting Director presented a list of not less than 22 Regional Integration capacity building topics compiled from different sources for further discussion. These topics covered different niche areas of capacity building for regional integration in the economic, political, social and ecological fields, hence not limited to economic-financial issues for which other service providers meanwhile had positioning themselves well in the market. On the occasion of the first RMCE Board meeting this holistic perspective of regional integration not being limited to economics and trade was highlighted in inaugural speeches stressing that regional integration does not only regard trade, but also refers to broader issues on market, social and political integration. 3 Actual Service Delivery Modalities: Based on the analysis and recommendation contained in the feasibility study and especially in the Business Plan, the design of the RMCE start-up project provided for two main service delivery modalities for capacity strengthening on regional integration: (i) Capacity development skills upgrading and training activities / events, and (ii) advisory services and policy dialogue support. These are the two most prominent key result areas (out of the three) in the project s LogFrame, with the project implementation strategy in first instance concentrating on training activities and events to strengthen internal capacities and generate demand based business on the training and related topics before reaching out with follow-up more in-depth and customized consultancy services on regional integration related topics. In the project period under review only training activities have been focused on and the 2012 work plan also indicates that the advisory services are only for a later Item 4(a) Institutionalising needs assessment on the agenda of the 3 rd Board meeting of 12 December 2011 The list of 22 strategic focal areas presented at the regional consultative meeting is incorporated in Table 5.8 on page 52 of the compilation of annexes to this report. As for example included in the opening statement by the COMESA Assistant Secretary General; p.3 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 24

36 point in time, without further specifying. Only securing funding for a peer to peer support programme based on the Ease of Doing Business peer to peer learning pilot workshops held in 2010 and 2011 in cooperation with the World Bank is foreseen. For the training services (KRA-2), the RMCE 2012 strategy, work plan and budget foresees for main forms: (i) Short training courses (between 5 and 15 days up to 30 participants); (ii) Themed workshops (between 2 and 5 days up to 30 participants), (iii) Themed conferences (between 1 and 2 days between 50 to 100 participants), and (iv) with / without certification). The advisory and consulting services (KRA-3) in a later stage are expected to be partly externally commissioned and income earning. They are envisioned in two formats: (i) Direct commissions from clients / stakeholders (Regional Organisations, Member States, private firms, etc.) and will be fee based, Contracting, funding and managing the identified team of experts would be the responsibility of the commissioning client, and; (ii) Development of peer to peer support programmes for identified groups working on specific reforms. Member States benefitting from such programme support would be expected to contribute financially and/or in kind to the programme. The Added Value Niche Area of Regional Integration Network Hub and Clearinghouse: The above two capacity strengthening service delivery modalities of training and consultancy services being pursued as a priority in fact relate to the more classical modalities of capacity strengthening, and do not exploit the full potentials provided in the digital age in terms of e-networking and e-learning. In the key RMCE preparation documents, it was precisely in these rapidly expanding sectors that the added value of Mauritius as hosting country was identified and then by extension also of the RMCE itself. As confirmed in different interviews, RMCE s added value in relation to its niche area on capacity strengthening for regional integration might be especially in positioning itself as a network hub and clearinghouse of good/best practices and lessons leant on regional integration from stakeholders, intermediaries and partner institutions (as spokes of the network). RMCE niche services would be related to this function of network hub and clearing house and include management of the interactive regional integration virtual platform / portal, including, amongst others: e-newsletter, discussion forums, think-tank chat boxes, e-conferences, video- and teleconference, distance training/teaching and learning, portal website maintenance with decentralised content uploading possibilities (including seminar/workshop/conference papers, minutes, etc.), e-library, e - follow-up sessions and peer-to-peer learning processes as a follow-up to conferences and seminars, e-coaching sessions as part of consultancy / advisory services and processes, etc. Also links to the social media could be explored in pursuing outreach multiplier effects. Moreover, the idea of an RMCE as an e- network hub, clearing house and centre of excellence on regional integration capacity building would also be in line with the vision of a lean institute in terms of staffing and operational costs which if both cost-efficient and especially cost-effective in terms of support services and facilitation of sustainable regional integration processes. It is positive to note that the initial seeds for such third major support project component are already planted in the Contribution Agreement under result 3, be it not yet as a full-blown sub-component or core activity. 1 Also the RMCE operational work plan for 2012 makes initial reference to such role under the work plan chapter on information and advisory services under the heading Online information services and portal for information exchange. 2 Regional Ownership and Mauritius as Hosting Country: The RMCE key design and strategic documents including the feasibility study, the business plan and the Contribution Agreement are clear in their assertion that the implication of a regional centre is that ownership would be regional not national. All conclude that for the reasons mentioned earlier 3, and in view of the high level of government commitment, Mauritius is a suitable base for the Centre, but it would be as the host and facilitator not the owner. The ownership is to remain at the regional level. This also has far reaching implications for the RMCE s governance structure and culture, as further discussed in the next chapter The provision concerned reads: Assess, after the completion of an initial consolidation period, the feasibility of distance training and if feasible introduce on a pilot basis deriving from existing training programme materials. Develop the RMCE s in-house information center, and if appropriate, an expertise portal. Op. Cit.; p.6; The first paragraph under this heading foresees that this function and services will be developed incrementally between and will be underpinned by a variety of information and resources networks that RMCE will build in partnership with other organisations. See the paragraph on RMCE Location and Host Country under the preceding chapter 4.1 Project Preparation and Design. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. 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37 Market Analysis - From a Supply Driven to a Demand Based RMCE Catering to both Public and Private Sector Needs: The market analysis undertaken in the context of the 2009 Business Plan at the basis of the EU Start-up Project Contribution Agreement concluded in support of the Feasibility Study that satisfactory levels of potential demand for the Centre s training and other services do exist from the Governments of RECs / ROs member countries and also from the private sector. The main focus, the study concludes, however needs to be on public sector training for Government departments, agencies, parastatals, councils and equivalent bodies. It is realized that attracting adequate demand from these entities will require adapted and adequate promotion and tapping private sector demand in support. The study furthermore concluded 1 that this will require a proactive and innovative approach by the Centre s management, to create a substitute at the RMCE for current senior executive level training.. There is no evidence that RMCE management has been in a position yet to design such market segmented promotion and marketing strategy, let alone has started implementing it. So far, it basically has been implementing / administering fully packaged training products from partner agencies (basically IMF-Afritac and WB) as part of what RMCE management refers to as externally commissioned training services on an individual basis, (relatively) isolated basis. 2 Interviews conducted in the framework of the current evaluation pointed out that probably the most appropriate institutional intermediary to reach out to these key partners / clients / institutional targets in the Member States would be the Regional Organisations established organs and committees (Ministerial committees, sub-committees, tripartite committees, Senior Official Meetings, etc.). This was also attested to by interviewed private sector entities in relation to the regional committees, councils and/or forums of ROs wherein they are represented or of which they are members. For the different regional organisations, reference was made in this context to e.g. the COMESA Business Council (CBC), the Association of SADC Chambers of Commerce and Industry (ASCCI), the SADC Business Forum (SBF), the East African Business Council (EABC), the Union des Chambres de Commerce et de l Industrie de l'océan Indien (UCCIOI), the IGAD Business Forum (IBF), etc. Attempt to Reach an Encompassing Strategic Focus and the Challenge of Effective Operationalisation: As in its initial years of its operations RMCE in first instance needed to struggle to establish itself and run a few externally commissioned training events with key partners, there was not a deliberate attempt or substantive initiative to come up with or contribute to a holistic, encompassing strategy for regional integration and to pursue its capacity development mandate along these lines. The one exception maybe is the initiative regarding a road map for accelerating economic transformation in Africa with special focus on the Eastern and Southern Africa region. During its 2 nd meeting of 16 June 2011, the RMCE Board of Directors discussed 3 the paper submitted by Management and noted that that the paper provided a unifying theme for the intervention of RMCE in support of the regional integration policy agenda to accelerate regional economic integration and formally link the proposed policy reform initiative to the capacity building programme of the RMCE. The three main areas included in the agenda on regional economic integration included: (i) Lessons learned from successful integration of regional and global markets; (ii) Central pillars for a successful programme of accelerated economic transformation in Africa, and; (iii) Operational and delivery of the proposed road map. The initiative thus was intended not to be limited to theoretical-academic brainstorming and discussions on a holistic approach and strategy for regional integration incorporating economic, political and other dimension of regional integration but also proactively pursuing such strategy by means of a monitored road map. The Board decided that the RMCE Management should consult at Tripartite Level to see how the capacity building process could be enhanced and that the outcomes of these consultations should be integrated into the Work Plan 2012 proposed by management for Board ratification at the next Board meeting. The Board also agreed that the proposed roadmap be circulated for comments to the different stakeholders and requested Management to develop a matrix format regarding the activities undertaken by the different regional RMCE Business Plan (2009); p.5 An overview table of the four (4) training activities implemented with financial support from the EU Contribution Agreement in Financial Years 2011 and 2012 is included under annex 5.1 to this report and is further discussed under chapter 4..5 Operations and Operational Management hereafter. Minutes of the 2 nd RMCE BOD Meeting (2011), pp Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 26

38 organisations. It further decided that the proposal would also be submitted to the Project Implementation Committee for discussion at its meeting to be held in September 2011 where support from a wide range of potential donors should be sought. However, there is no evidence of substantive follow-up given to the strategic initiative other than a joint meeting of the COMESA Ministers of Finance and Central Bank Governors held in July 2011 to consider the proposed road map and subsequently adopted by its Council of Ministers and the discussion by the SADC Ministers of Finance in October The envisioned brainstorming event in Italy under sponsorship of the Government of Mauritius Ministry of Finance and Economic Development, in February 2012 for REC and country representatives to discuss the roadmap, as a collaboration between RMCE and the Rockefeller Foundation and CSAE, did not take place given insufficient numbers of regional and country representatives committed to attend, as reported in the RMCE mid-year narrative and expenditure report covering the first half of There are no references to the roadmap initiative in the minutes of the 2 nd meeting of the Project Implementation Committee (PIC) and there is no evidence on further follow-up initiatives. As such, the road map may be an example in case of a two-ways disconnect between the RMCE policy making and actual operationalisation levels,. It also is illustrative of an integrated, multi-dimension strategic approach to capacity development for regional integration disproportionally narrowed down to one dimension / component of macro-financial and monetary sectoral/thematic dimension of regional integration. It also provides further evidence of the crucial importance of, amongst others, effective and systemic progress and results performance monitoring and follow-up. LogFrame and M&E Framework Not Used as tools for Ensuring Strategic Focus: A LogFrame is a strategic tool not only to ensure that a project/programme strategy is geared towards the achievement of development results, not only with regard to the design of the project/programme but also for its actual implementation. As indicated earlier, there is no evidence that the LogFrame of the RMCE Start-Up Project attached to the Contribution Agreement also has been effectively used for ensuring result-based management of the start-up project. The initial LogFrame has never been updated and its original version is just attached as an annex to the subsequent RMCE annual reports and work plans. As can be gleaned from the work plans and progress reports, from the RMCE Board discussions of these and from the individual activities themselves, RMCE start-up programme management generally has been activities management (the execution of a number of training / capacity building events as an end in itself) rather than result management (the execution of capacity building activities from the explicit perspective of producing results to contribute to the achievement of the project objective of contributing to regional integration). This lack of results orientation is also evident that there are no key performance indicators with explicit targets and timelines, let alone progress and results reporting on these. Also the work plan implementation schedules in the annual work plans cum budget take the format of simplified Gantt charts without KPIs target setting. There is no evidence of an explicit or systematic focus on cross-cutting issues as for example gender, environment or human rights. De Facto Evolving Strategic Priorities for RMCE Capacity Building Expressed by the Board: The above table 7 is a summary presentation of the evolving priority strategic focal areas for regional integration capacity building as transpiring from subsequent RMCE key strategic documents and event. The table shows that the first two documents, the EU-COMESA Contribution Agreement on start-up support to RMCE and the Business Plan developed earlier during the project formulation phase are fully aligned (identical even) with regard to the identified strategic focal areas for RMCE. Divergence emerges and accumulates between these original design documents and the strategic priorities expressed by the Board on the occasion of its discussions of the annual reports and work plans submitted for approval (see lines 3 to 6 of the above summary table for the 1 st, 2 nd and 3 rd Board meetings. But even within the same Board discussion, different sets of priorities emerge from the Board discussions of the annual report on the completed year in comparison with the discussions of the annual report for the coming year, as can be gleaned from lines 5 and 6 in the above table related to the Third Board of Directors meeting of 12 December This short-term volatility of strategic 1 2 Minutes of the 3rd SADC Board Meeting of 12 December 2011; Item 3.17; p.6 RMCE Start-Up Project Mid-Year Narrative and Expenditure Report for the Period 1 January 2012 to 30 June 2012 submitted to RMCE Board Directors and PIC Members by Circulation; August 2012; p.3 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 27

39 priorities obviously is not an ideal basis for solid anchoring of operational plans in longer term strategies. Table 7 : RMCE Priority Strategic Sectoral / Thematic Focal Areas for Capacity Building on Regional Integration as per RMCE Key Policy and Strategy Documents / Events RMCE Key Strategy Document / Event 1 Business plan for RMCE 1 Macroeconomic harmonisation 2 Cross-border trade and transit 3 Cross-border financing (Short-)List of Strategic Focal Areas for Regional Integration (RI) Capacity Building 4 Business development and investment 5 Common regional sector policy 1 Macroeconomic harmonisation Remarks, if any Five core areas identified in the Business Plan where competencies need to be strengthened in the region to facilitate economic integration 2 EU-COMESA Contribution Agreement on Support to RMCE 2 Cross-border trade and transit 3 Cross-border financing 4 Business development and investment The five core areas identified in the Business Plan are also integrated in the Contribution Agreement 5 Common regional sector policy 3 First Board of Directors (BoD) meeting (3 September 2010) 1 Ease of Doing Business (WB) 2 Budget and Public Expenditure Management 3 Food security 4 Climate change 5 Involving private sector in infrastructure Discussed under Item 10 "Proposal for Donors": Five key areas for RMCE to focus on. Source: BoD Minutes, p. 8 4 Second Board of Directors meeting (16 June 2011) 1 Lessons learned from successful integration regional and global markets 2 3 Central pillars for a successful programme of accelerated economic transformation in Africa Operationalisation an delivery of the proposed road map for accelerated economic transformation in Africa: Eastern and Southern Africa Discussed under item 10 "A proposed roadmap for accelerating economic transformation in Africa: Eastern and Southern Africa", three main areas on Regional Economic Integration 1 Climate change 5 Third Board of Directors meeting (12 December 2011) 2 Food security 3 Ease of Doing Business 4 Public Financial Management (in collaboration with the IMF Training Institute and the Government of Mauritius Discussed under item 12 "RMCE activity report " - regional workshops 5 Regional procurement reforms and contract management 1 Doing business and improving competitiveness 6 Third Board of Directors meeting (12 December 2011) 2 Trade policy 3 Labour migration 4 Small states and regional integration Discussed under item 4 "Operational Strategy and 2012 Workplan and Budget 5 General training course on regional integration topics in modular format. Persistent Operational Programming of Capacity Building on Economic-Financial Themes: The RMCE work plan for 2012 submitted to the BOD for approval in December 2011, confirmed the RMCE capacity building services to be focusing on the five core regional integration topics as identified in the Management Plan developed during the project preparation phase focusing on capacity strengthening for regional economic integration. Issues of global significance requiring regional responses, such as climate change, food security, global health, and the environment, were mentioned, but only would be addressed in the longer term, hence not in the 2012 work plan as such. In the same way, also the other none economic and financial integration topics highlighted and prioritized by the Board in its 3 rd meeting of 12 December 2011 were not addressed in the 2012 work plan as submitted by RMCE management (e.g. on labour migration, small states and regional integration, general training courses Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 28

40 on regional integration topics in modular format). In short, a fixation on economic and financial issues persisted in the operational plans and it is not clear whether this depended on deliberate strategic prioritization or was caused by more pragmatic reasons, including the ready availability of packaged courses commission by preferential partner institutes or funding agencies / donors (e.g. IMFI - IMF Afritac, or World Bank). The below table 8 gives an overview of RMCE s priority strategic sectoral / thematic focal areas for capacity building on regional integration included in the annual work plans submitted by RMCE Management to the Board for approval. Table 8 : RMCE Priority Strategic Sectoral / Thematic Focal Areas for Capacity Building on Regional Integration - As per RMCE Operational Plans and Events RMCE Key Operational Document / Event (Short-)List of Strategic Focal Areas for Regional Integration (RI) Capacity Building Remarks, if any 1 RMCE Work Plan and Budget for Collaborative initiatives in the Programme of Doing Business and Competitiveness (Ease of Doing Business Initiative - Kigali, Rwanda (16-18 March 2011, and; Ease of Doing Business Initiative - Botswana (Oct - Nov 2011) - with WB and ECDPM Strategic initiatives and operations included in the RMCE 2011 work plan 2 Regional procurement reforms and contract management (regional workshop) 3 Public Financial Management ( peer-to-peer learning event and technical assistance) - with IMF Training Institute 2 RMCE Work Plan and Budget for Cross-border trade and transit / Business development and investment - with CSAE and Rockefeller Foundation Business development and investment (Doing Business and Competitiveness Programme) - with World Bank and ECDPM Public financial management (procurement, PFM-risk based internal audit) - with World Bank Group Strategic initiatives and operations included in the RMCE 2012 work plan: Core topics coverage (only projects for which funding secured) 4 Macro-economic harmonisation / Cross-border finance and banking (financial market analysis, Macroeconomic management in resource rich countries, Issues in economic and monetary integration; Monetary and exchange rate policies; Economic policies for financial stability - with IMFI 5 Trade integration policy (Challenges facing small developing states) - with CEFEB 6 Regional management of infrastructure - with ADI 7 Macro-economic management - with CEFEB 3 Actual RI Capacity Building Events shouldered by EC 10th EDF Support Project (Contribution Agreement with Comesa) 1 2 Focus Area of building productive capacity for global competitiveness; First Ease of Doing Business event: Sharing Reform Experiences, using peer to peer learning model (with IMF Institute; Kigali, Rwanda, Mar 2011 IMFI Financial Market Analysis (FMA) Course - Regional course on macroeconomic management and fiscal policy issues (with IMF Institute; Mauritius, 23 Jan - 03 Feb 2012) For 2012 events: Description based on respective Aides Mémoire submitted by RMCE to COMESA 3 Focus Area of building productive capacity for global competitiveness; Regional Conference to Improve the Ease of Doing Business in Eastern and Southern Africa - Regional peer learning event (Botswana, 19 Mar - 02 Apr 2012) 4 Focus Area of regional integration policies and practice: Issues in Economic and Monetary Integration (EMI) - Training course provided by IMF Institute (Mauritius, June 2012) Eroding Alignment of Work Plans and Activities with Board and PIC Priorities: A gradually growing divergence has been observed between the strategic priorities and actual activities under RMCE result area 2 proposed by RMCE Management as included in the RMCE Annual Work Plans and Budgets and the RMCE Board of Directors (BOD) priorities as emanating from the Board Discussions of these Work Plans. An example in case of this divergence between actual RMCE annual work planning and budgeting and Board priorities expressed in reaction to these plans Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 29

41 presented for approval are the decisions of the Third Meeting of the RMCE Board of Directors held in Mauritius on 12 December The seven strategic initiatives and operations included in the RMCE 2012 work plan for which funding is secured by management are included in the above summary table 8 (2 nd cluster). As per the Minutes of this 3 rd BOD meeting 1, based on the Board discussions Management was requested to work on a strategic orientation of a 5 year plan taking into account the main objectives and role of RMCE and furthermore the Board agreed priorities for 2012 summarized to cover the following three: (i) To design and implementation of the Doing Business and Improving Competitiveness initiative; (ii) To investigate the development of training curricula and courses for implementation in 2013, related to: (a) Trade policy topics; (b) Labour migration; (c) Small states and regional integration, and; (d) General training course addressing regional integration topics in modular format, and (iii) To de-prioritise macroeconomic training courses and Public Financial Management programmes where the links to regional integration and RMCE value added was unclear. 2 This advice signified as drastic re-writing of the 2012 work plan as far as RMCE key result area 2 on skills upgrading and training service, the most important core KRA of the RMCE SUP. Resulting Non Approval of Training Activities for FY 2012: This Board decision was supported by the Project Implementation Committee (PIC) on the occasion of its 2 nd Meeting, held right after the Board meeting. The PIC made its decision even more explicit by explicitly listing of proposed training activities not adopted for funding and those which might be approved still subject to the provision of more substantive information on expected results and outcomes or after modifications made. As such, only 4 of the total of 28 training services proposed by management for implementation in 2012 got endorsed by the BOD. Remarkably, despite this divergence in priorities and non-alignment of the operational and steering programme levels, the Board did not endorse the management proposal for institutionalising needs assessment with the Regional Organisations and the Member States as part of the RMCE operational strategy , and thus enabling management to get a comprehensive, structured and direct feedback on priorities and felt needs of the key stakeholders. The Underscored Need for an Updated Needs Assessment not Endorsed: Comprehensive, participatory and regularly updated needs assessments at the level of the different key institutional stakeholders, stakeholder groups and clients is essential for a demand based services provision centre as RMCE. The early RMCE Steering Committee set up to guide the preparations for the official set-up of the RMCE and the EU RMCE Start-Up Project already recognized this as early as in spring by urging that the Regional Organisations would be consulted in order to ensure that their training needs are taken into account when preparing the RMCED work plans. However, the needs assessment conducted way back in on the occasion of the RMCE feasibility study never was updated ever since despite the apparent need thereto as repeated on different occasions. This need was also strongly underscored by the RMCE SUP Project Implementation Committee (PIC) on the occasion of its 1 st meeting of 05 September 2011 by stressing that The Committee discussed and agreed that for the strategic orientation of RMCE as an organisation, the work plan should be needsbased to continue effectively to the key objectives. In the strategic development process, it is important for key stakeholders to reflect on the training activities and advisory services that could effectively help in the process of regional integration. The Committee strongly recommended to the Board that needs assessment before the Workplan 2012 be carried out. 5 A proposal was worked out and included in the combined RMCE operational strategy and 2012 work plan and budget for institutionalizing needs assessment with its clients, and as a starting point with the RECs. The proposal was debated in the 3 rd Board meeting of 12 December but remarkably was not endorsed, with the further BOD advice for the Executive Director to write to the Secretary Generals / Op. Cit.; pp. 8-9 Source: Minutes of the 3 rd Meeting of the Board of Directors held in Mauritius on 12 December Item 4(e) Financial Strategy and Plan; pp. 8-9 Op. Cit.; Item 4(a) of the BOD agenda; pp. 7-8 Report on the RMCE Second Steering Committee Meeting of 12 March 2010; Nairobi, Kenya; p.4 Minutes 1 st Meeting of the RMCE Project Implementation Committee of 05 September 2011; Item 4 Other RMCE Activities ; p. 3 Minutes 3 rd Meeting of RMCE Board of 12 December 2011; Item 4(a); pp. 7-8 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 30

42 Executive Secretaries of the five ESA-IO Regional Organisations to seek explicit support to this activity. There is no evidence of further actions taken or results achieved. B. Summary Strengths / Achievements and Weaknesses / Challenges Strengths / Achievements: - An in principle / in theory focused RMCE start-up project is strived for, as is clear from the project preparation and design documents including the 2007 feasibility study and the 2009 business plan and from the Contribution Agreement; - An in principle geographical focus aspired for in the preparation documents and in the Contribution Agreement for RMCE to cover the Eastern and Southern Africa and the Indian Ocean (ESA-IO) Region covered by the Five Regional Organisations (COMESA, SADC, EAC, IOC and IGAD) and consisting of 28 member countries; - Identification of a limited number of core areas of services for the support project to concentrate on with original focus on regional integration capacity strengthening of Member States (public and private sector) through the Regional Organisations; - Logical sequencing of skills building and training services as first result area as basis for more specific and in-depth advisory services and policy support dialogue; - Intended focus on capacity needs of REI stakeholders at policy and operational levels; - Unquestioned need for and potential added value of an RMCE focusing on niche areas for regional integration capacity strengthening in the broad sense, by all stakeholders in the region and in the Development Partners community, including the EU Member States. Weaknesses / Challenges: - Overall the intended project focus got lost during project implementation and services tended to be provided on an incremental au-jour-le-jour ad hoc planning; - Priorities on regional integration expressed by the Board tended to evolve on an annual basis away from the original RMCE SUP design and priorities in a broader context of a gradually deepening two-way disconnect between Board and management; - The LogFrame has not been used as a management tool, has not been updated and has not been the basis for the development of an implementation plan / global work plan and operational plans derived from these; - The M&E framework to measure or empirically asses project progress and results has not been developed yet, while the indicators in the LogFrame are rather vague at the higher results level and generally do not have target setting or baseline values; - The 2007 needs assessment at the basis of the feasibility study and the RMCE start-up project has not been updated and proposals to get needs assessments institutionalized got blocked; - Training services provision has not been demand based but supply driven and consisting of a limited number of unrelated single-shot externally commissioned training events; - Operational programming of capacity building events has been persistent on economic, financial and monetary aspects despite a gradually louder demand from the stakeholders to also cover other dimensions of regional integration; - Services delivery consisted of a series of ad hoc training events with RMCE more or less a mere conduit / vehicle for packaged training events commissioned by third parties (in casu IMF and World Bank; - Throughout, the focus on regional integration was secondary at best and was only explicitly present in the Issues in Economic and Monetary Integration (EMI) course of June 2012; Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 31

43 - The peer-to-peer learning dimension of capacity building has not been proactively and systematically pursued, and in fact only partly materialized in connection with the ease of doing business conference in Gaborone of March 2012; - There is no evidence of a pursuit or exploration of the Regional Organisations / Board expressed priorities and niche areas in the other dimensions of regional integration processes, e.g. with regard to regional political cooperation, human and social development, environment, amongst other. - The RMCE potential high added value niche area of regional integration capacity building (e-) network hub and clearinghouse has not been explored yet Institutional and Governance Aspects A. Observations and Findings The RMCE s Unitary Board of Directors Model: The 2007 Feasibility Study at the basis of the creation of the RMCE proposed to establish two legal governance entities, a Centre (i.e. the RMCE itself), and a Trust (not-for-profit company or foundation), but at the same time the Study considered that this Governance structure would be simple. The 2009 Business Plan drafted as part of the preparation process for the EU start-up support project of RMCE concurred in principle with the feasibility study recommendation that the Governance structure of the RMCE be kept relatively simple and accordingly agreed with the recommendation for a single entity supervising the Centre s director and management, which would combine the functions of both academic and administrative oversight. 1 As the feasibility study left the choice open for a not-for-profit company or foundation, the management plan indicated as possible Governance structures a Corporate entity, a Trust, or an International Institutional Body. The Government of Mauritius as potential host country tabled a first draft of Articles of Incorporation along the unitary board model. Based on this proposal, the RMCE was set up as a not-for-profit limited company under a supervisory Board of Directors, as preferred option to a Trust under a Board of Trustees, or a Foundation under a Council. 2 Governance Provisions in RMCE s Constitution and Amendments: The Board: The Constitution of the Regional Multidisciplinary Centre of Excellence as a Private Company originally foresaw at least 2 and at most 9 Directors. The original Board consisted of 8 Directors: the Government of Mauritius as hosting country, the heads of the five regional organisations of the ESA-IO Region (COMESA, SADC, EAC, IOC and IGAD), and the heads of the African Centre of Economic Transformation (ACET) and the Small States Network for Economic Development (SSNED). The membership of the Board comprises three Founding Members (COMESA, IOC and Mauritius) which have permanent seats on the Board. The institutional chairs of the Board have been COMESA, IOC and Government of Mauritius. Throughout, the Government of Mauritius has been represented by the Ministry of Finance and Economic Development (MoFED). Every Director has one vote and Board resolutions are passed based on a simple majority of Directors present. Some Issues on Board Membership: At its first meeting of 3 September 2010, the Board decided to increase the maximum number of Directors to 11 and appointed two additional Directors, a professor of the London School of Economics (LSE) and the Director of Training of the African Economic Research Consortium (AERC). 3 Proposals to expand the number of Board Members to 15 4 provoked RMCE Business Plan (2009); Chapter 7. Governance and Management; pp The Business Plan also refers to alternative structures, such as that of the IDEP in Dakar, which has a Governing Council (of 20) with both an Executive Committee (for implementation monitoring) and an Academic Board. Other entities such as the AERC and the ACBF have three tier structures with separate academic/technical oversight. Legal aspects of the RMCE are further discussed in Chapter 4.4 hereafter. Table 5.3 with the RMCE BOD composition as an outcome of the 1 st BOD meeting of 3 September 2010 is included under Annex 5 to this report on Annexes page 25. Table 5.5 with the latest BOD composition as of 28 May 2013 can be found on page 28 of the Annexes. Minutes of the 3 rd Board Meeting of 12 December 2012; p.10 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 32

44 a negative reaction of the RMCE SUP Project Implementation Committee (PIC) that such increase will have financial implications and may also create a top heavy governance structure. and requested that this comment be communicated to the Board. 1 The pressure for a bigger board moreover is not in line with a lean RMCE with skeleton staffing up to the present still. In the process, the need for a greater country representation on the RMCE Board was tabled and the 2rd BOD meeting of 12 December 2011 requested management to work together with Comesa on such proposal. There is no evidence of any follow-up action with concrete results. 2 A (partially) rotational board membership as originally considered in the RMCE SUP preparation documents has not materialized, also not for the Government of Mauritius seat although the Ministry of Foreign Affairs, Regional Integration and International Trade as well as the Ministry of Tertiary Education, Science, Research and Technology have shown proactive interest, as confirmed during different evaluation interviews. Remarkable also is that the EU as by far largest financing source of the RMCE has not been a Board member of the RMCE. On the occasion of its first meeting, the representative of the Government of Mauritius informed that according to the rules only Board members and their alternates should attend Board meetings, that the EC as strong partner of RMCE had been invited to form part of the Board but that no response had been received. In that context, the EC could attend the meetings when issues concerning the EC Contribution Agreement were discussed. 3 Board Meetings and Functioning: A total of 3 Board of Directors meetings have been held: (i) 1 st BOD meeting on 3 September 2010 in Labourdonnais Waterfront Hotel in Port Louis, Mauritius; (ii) 2 nd meeting on 16 June 2011 in the Link Hotel, Mauritius, and (iii) 3 rd meeting on 12 December 2011 at La Plantation Resort, Mauritius. Up to this day, it has not been possible to convene a fourth meeting of the Board, originally scheduled for May 2012, despite at least 5 attempts according to the corporate secretary, since lack of adequate response by the Board members so that a minimum quorum could not be reached. The PIC not only reacted to the Board s intention to increase the number of Board members, but also to the number of Board meetings. The EU as member of the PIC and as financing agency of the RMCE Start-Up Project (PUC) reacted to this that it was considering limiting the EDF funding for board meetings to the initial number of Directors and to one meeting a year. 4 As cost-saving measure to reduce the number of Board meetings, two days meetings could be considered. The foreseen possibility for the Board to meet electronically or via videoconferencing, other cost-saving alternatives, has not materialized. And Dysfunctions: A summary overview of the main agenda points of three RMCE Board of Directors meetings 5 is included as Table 5.6 under the Annexes to this report. As can be gleaned from this summary table, Governance issues kept being high on the agenda of the respective Board meetings, prompting different key stakeholders interviewed for the evaluation to remark that the Board in first instance needed to look after itself so much that there was little time left to discuss substantive policy and/or strategic matters and providing solid directions and guidance to direct operations and assure their monitoring, as attested to during different interview meetings with stakeholders. Attending to the Board s needs and requirements also allegedly took disproportionately high shares of RMCE Director and staff time as further pointed out during these interviews. Examples in case are the discussions on the composition of Board, the number of members, the distinction between Directors and Members, the special rules and regulations on Board travel, the relationship and information sharing with the Project Implementation Committee, the minimum hotel category for Board meetings, amongst others. On the other hand, it is quite normal of course that at the very onset of the creation of an institution, that governance issues get high priority attention, even more so for a rather complex set-up as RMCE, so much so that the effective establishment of the RMCE is one of the three key result areas of the EU start-up support project. But then of course in first instance in relation to issues beyond the Board s own governance. Governance and capacity issues let the Executive Director early 2013 to draft the Terms of Reference for a performance audit of the Board and to seeking advice in Minutes of the 1 st PIC Meeting of 5 September 2011; Item 5.3; p.4 Table 5.5 with the latest BOD composition as of 28 May 2013 can be found on page 28 of the Annexes. Minutes of the 1 st Board Meeting of 3 September 2011, Item 2; p.2 Minutes of the 3 rd Board Meeting of 12 December 212, p. 9 This table 5.6 is included on pages of the compilation of annexes to this report. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 33

45 this context from for example the Mauritius Institute of Directors (MID). Another contentious issue which kept on hampering Board harmony and functionality was the actual unbalanced power situation within the Board. Whereas formally all Board members had equal voting powers, the actual situation was one of unbalanced power sharing emanating from the fact that one of the Board Members, COMESA, as overall responsible party / Regional Authorising Officer (RAO) of the RMCE Start-Up Project as such de facto controlled the majority of the financial resources of the RMCE 1. In the same way, the representation of the Government of Mauritius as hosting country of the RMCE as capacity strengthening services provider for regional integration as holistic concept solely by the Ministry of Finance and Economic Development and not at par with other key Government entities concerned / mandated as the Ministry of Foreign Affairs, Regional Integration and International Trade and the Ministry of Tertiary Education, Science, Research and Technology, were repeatedly brought to the attention of the Evaluation Team during different interviews as not appropriate, if not dysfunctional for a multidisciplinary centre aiming at operational and academic excellent in regional integration matters. During different evaluation interviews, apart from the Board s lack of strategic directions and leadership and two-ways disconnect with management, also it s lacking teeth in effectively monitoring and following-up on the Institutes operations was mentioned. As an example in case is the initiative to distribute to the Board member and other stakeholders concerned of the African Development Bank (AfDB) list of capacity building organisations for possible networking with. This issue was a special topic during both the 1 st and 2 nd Board Meetings but there is no evidence that effective action has been taken accordingly and has led to the results aspired for. The RMCE SUP Project Implementation Committee (PIC) and the Quality of Communications: The Contribution Agreement of the EU Start-Up Project support to RMCE with COMESA as overall responsible party for project implementation stipulates 2 that the implementation will be guided by a Project Implementation Committee (PIC) composed of the RMCE, the EC, the IOC, the Government of Mauritius and the COMESA Secretary General (or his representative) who will chair the Committee. There also is a provision for the co-optation of other cooperating partners (CPs) who may join in to fund the RMCE. This so far has not happened. In its 3 rd meeting of 12 December 2012, the Board approved the ToR of the PIC including the amendment that the PIC would allocate resources for activities approved by the Board with regard to activities funded by PIC members (the latter specified during the 2 nd PIC Meeting of 13 December 2012) based on the provision by the EU that Discussions in the PIC on Annual Work Plans will not pre-empt the decision by the implementing or cooperating partners on what activities will eventually be financially supported. Also in this connection, the CA stipulates that the PIC will be responsible for ex-ante validation of the Work Plans and the Annual Activity Reports before they are formally submitted for approval to the RMCE Board. In reality this exante validation of AWPs and AARs could not take place, since the two PIC meetings both took place right after the Board meetings (respectively on 5 September 2011 and 13 December 2011, even despite the explicit PIC request on the occasion of its first meeting to meet next ahead of the next Board meeting so that they could shape the programme plans before submission to the Board for approval 3. As such the PIC was not in a position to provide advice on the annual work plans and reports submitted by management to the Board. This probably also was one of the reasons for the PIC harsh cutting / non endorsement 4 of the majority of the training proposals for 2013 with indicative funding allocations for EU provided funds, thus confirming the earlier decisions taken by the Board on the occasion of its 12 December 2011 meeting. The above is just one illustration of the general quality of information flows between RMCE Management, Baard and PIC. The need for improvement in communications was already expressed by the PIC during the 1 st PIC meeting of 5 September 2011, as evidenced by the minutes 5 : The Committee noted the need to improve the flow of information between the Board and the Committee A more detailed financial analysis is provided hereafter under Chapter 4.6. Op. Cit.; Chapter Overall responsibility, governance and management structure; p.12 Minutes of the 1 st PIC Meeting of 5 September 2011; Agenda item 5.3 Board Operations Minutes of the 2 nd PIC Meeting of 13 December 2012; Agenda Item RMCE Work Plan and Budget Op. Cit.; p.4 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 34

46 The RMCE Sub-Committees: Another crucial Governance level of an international learning institute as RMCE are the Sub-Committees directly reporting to the Board or Council. This pertains to both (i) technical / academic quality assurance related committees as for example the committees on curricula / courses, on research or on outreach / development impact, etc. and; (ii) governance and organisational / institutional management related committees as for example on finance, internal audit, human resources, procurement, marketing, etc. In the case of RMCE, the initiatives and discussions virtually uniquely if not only pertained to the latter category of Sub-Committees under the Board. The discussions concerned in the 2 nd meeting of the BOD on 16 June 2011 concerned the composition of an Audit and Finance Committee and a Human Resources and Procurement Committee, the first with three Board members under the chairmanship of the Government of Mauritius, the second with four Board members with the IOC as chair. The 3 rd Board meeting of 12 December then endorsed the reconfiguration of the RMCE Sub-committee structure to consist of the following three: (i) Finance and Procurement Committee, (ii) Human Resources (HR) Committee, and (iii) Audit Committee, thus with a splitting of the original Audit and Finance Committee in two separate Committees. The new Company Secretary was directed, upon arrival, to develop the Terms of Reference / Composition of the Subcommittees for circulation to the Board members. However, no evidence was found of the actual constitution and operationalization of these Sub-Committees following this decision making by the Board. The Special Governance Committee (SGC): The 2 nd Board meeting of 16 June 2011 also decided to the creation of a Special Governance Committee (SGC) 1 to guide the Management in between Board meetings on key policy matters, and thus to act as a kind of Executive Committee. Its members would be the Board founding members of the RMCE having permanent seats in the Board: COMESA and IOC as founding Regional Organisations and Mauritius as host country and founding member of the RMCE. In view of the individual liability of Directors in line with the RMCE s legal status as a Private Company Limited by Guarantee, is was deemed essential that Management ensures that decisions of the SGC are ratified by the full Board. From the minutes of the 3 rd Board meeting can be derived that members of the Board were not comfortable with the setting of the Special Governance Committee on a permanent basis and more so, on the setting up of so many Sub-Committees, taking into account the size of RMCE and the financing of the meetings. 2 No evidence was found of further action on the actual creation and operationalisation of this Special Governance Committee. RMCE Rules and Regulations: Three sets of draft rules and regulations have been prepared by an external consultant with funding by the African Development Bank (AfDB) and submitted by the RMCE Officer-in-Charge to the 2 nd Board meeting of 16 June 2011 for comments: (i) Financial rules and regulations; (ii) Procurement rules and regulations, and (iii) Staff rules and regulations. The amended rules, as reviewed by the Executive Director with expert advice from an international consultancy company and by COMESA internal audit were submitted to the Board for comments particularly related to the issue of Delegated Financial Authority 3. The Board decided that the proposals for revisions would be circulated to Board Members with a request for views and comments by 31 January 2012 at the latest. There is no evidence of further follow-up action neither of the final approval of the RMCE Rules and Regulations. As documented 4, requests from RMCE staff members to the Executive Director to discuss the regulations in order to get a better understanding of the rules (particularly of the financial rules, including the difference between the RMCE rules and procedures and COMESA rules and procedures and which takes precedence) remained unattended to. The RMCE Executive Director and Predecessor Positions: As per its Constitution, RMCE as a private company is headed by an Executive Director (ED), appointed by the Board. The ED is accountable to the Board for all operations of the RMCE and is a non-voting member of the Board. Delays in the recruitment procedure results in the ED s offer of appointment sent on 28 July 2011 with Minutes of the 2 nd Board Meeting of 16 June 2011; Item 6.b(i) Governance Structure for RME; pp Minutes of the 3 rd Board Meeting of 12 December 2011; Item 5(b) Other Subcommittees Terms of Reference; pp As further discussed hereafter under chapter 4.6 on financial analysis RMCE Staff Meeting - Suggested Agenda ; Document provided to the Evaluation Team on the occasion of RMCE staff interviews. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 35

47 1 August 2011 as official start date, hence more than seven months after the official start date of the EU supported RMCE Start-Up Project. As per the original contract, the appointment was for 36 months up to 31 July 2014, subject to a probationary period of six calendar months based on a positive performance evaluation based on the terms of the Performance Contract agreed with RMCE through the Chairman of the Board of Directors. 1 The ED s 10 key performance areas (plus a generic one) are explicitly listed in the Offer of Appointment. 2 The time before the recruitment and assumption of duties saw different other persons at the head of the RMCE. A Technical Advisor (TA) was hired by COMESA in June 2010 to assist in setting up the RMCE and served in that position for 10 months to 31 March 2011 under a base contract which was extended twice. A Mauritian academic was contracted as RMCE Officer-in-Charge funded by the Inter-Regional Co-ordinating Committee (IRCC) for the subsequent three month period from 01 April to 30 June 2011, and thereafter served as consultant to the RMCE on a part-time basis from 01 July to 31 August 2011, and thereafter until 30 November 2011 as events manager funded by RMCE from Contribution Agreement funds. It goes without saying that these frequent changes in leadership and the short-term type of contracts from different origins cannot but have had an impact on the continuity and smoothness of the preparation and operationalisation process of the RMCE. The ED Performance Appraisal: As per the provisions of the Executive Director s appointment contract 3, a performance appraisal was due after the six month probationary period from 01 August 2011 to 31 January The action was endorsed by the 3 rd RMCE Board of Directors meeting 4 including its format and procedures after amendments of the paper submitted by the Government of Mauritius pertaining to this appraisal of the ED. A sub-committee was constituted consisting of the BOD Chair, one other member of the Board (IOC) and an External Expert Advisor assisting the Sub- Committee to ensure an impartial, objective, confidential and professional manner (IRCC M&E Expert). A comprehensive performance appraisal scoring and indexing tool based on clustered performance criteria was developed for this purpose. The structured, participatory process was determined to consist of a self-assessment report by the ED, the assessment report by the Sub- Committee, an interview of the Sub-Committee with the ED, all serving as basis for the final assessment report with conclusions and recommendations. The appraisal process however never got completed as the ED remained unavailable for the personal interview with the Sub-Committee despite different follow-ups and new dates set for the interview, reportedly for reasons of disagreement with the appraisal methodology and procedures and with the outcome of the Sub-Committee s draft preliminary assessment. 5 An early cessation of duties by the incumbent as of [date] is documented. RMCE as Networking Centre and Complementarities with other Institutes: Both the 2007 feasibility study and the 2009 business plan at the basis of the EU start-up support project of RMCE stress the complementarity of RMCE with other training/advisory centres. This particularly holds for an RMCE concentrating on its niche core mandate of provision of regional integration capacity building services to key stakeholders in the ESA-IO Region. 6 Especially the potentials for an RMCE positioning itself as a network hub are underscored with alliances to other centres, institutes and organisations (enetworking, clearinghouse functions, outsourcing, training collaboration, peer reviews, etc.). EU Executive Director Revised Offer of Appointment; 28 July 2011; Art. 7. Op. Cit.; p.2 Article 7 Annual Performance Contract Minutes of the 3 rd Board Meeting of 12 December 2012; Item 9(b); pp The assessment of the Executive Director after the probationary on the Board agenda was considered by the Board based on a paper submitted by the Government of Mauritius. The Chairman tabled an amended version of the paper focusing more on outcome based indicators. The Board adopted the amended version of the paper subject to two amendments: (i) With regard to the designation of the Sub- Committee: Sub-Committee is empowered to make a decision on the basis of the performance assessment on the continued engagement of the Executive Director which will then be endorsed by the Board, and; (ii) With regard to the process forward, removal of the last paragraph which reads: In the event the Sub-Committee decides not to proceed with the current Executive Director, the Chair will take steps for the recruitment of a replacement. As for example evidenced in the ED s letter to the Chairman of the RMCE Board of Directors dated 9 April 2012 and the electronic message to the BOD Members of 2 May For a more detailed discussion, see the previous chapter 4.2 on RMCE strategic focus and niche areas. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 36

48 support to RMCE for this networking function is provided for under Start-Up Project Key Result Area 3 on advisory services and policy dialogue support. Also the Contribution Agreement stresses the need for RMCE to position itself as a networker focusing on niche areas where it can add value and ensure / maximize complementarities with other training / advisory centres at regional level. Through a survey of training services supply, the business plan showed that none of the existing institutions provides a comprehensive human resources capacity building package to the Regional Organisations. Meanwhile, institutes as the also in Mauritius based IMF Afritac South have firmly established themselves in their niche market high expertise areas of financial and monetary cooperation capacity building. But as also transpired from the evaluation interviews, this should be seen by the RMCE as an opportunity than a threat. The main opportunity is for RMCE to network with the Afritacs and similar institutes (both facilitator / organiser of externally commissioned services from these network partners as outsourcer of such requested services from its core clientele constituted by the Regional Organisation. At the same time, RMCE further builds on its own niche areas of competence within the holistic concept of regional integration, which still substantive areas of unmet demand. It would require an assertive RMCE positioning itself in the market rather than executer / organiser of externally commissioned ad hoc training events from third parties, which has been the main source of business so far. In line with the FA, special reference should be made in this context to the opportunities for an RMCE positioning itself in the market of regional integration training, advisory and networking services complementary to the actions under for example the Regional Integration Support Programme ( ) in specific areas where continuous training are required to facilitate the implementation of agreed policies and regulations. There is no evidence that so far the RMCE has proactively or systematically explored and pursued the above niche areas potentials and complementarities. The other unexplored potential concerns the reaching out to and collaboration with the private sector, and especially than through its regional and national organisations (apex Chambers of Commerce and Industry, Employers Confederations, etc.) and special bodies under / associated with the Regional Organisations 1 B. Summary Strengths / Achievements and Weaknesses / Challenges Strengths / Achievements: - RMCE governed by a Board of 11 Directors in which the Regional Organisations are duly represented, apart from Mauritius as host country and (added later) academic institutions. - The representation of the five Regional Organisations in the Board in principle should guarantee a duly owned and demand based RMCE strategic focus and a demand driven RI capacity strengthening services provision; - The Board, further supported by the Project Implementation Committee (PIC) in principle should guarantee results oriented project oversight and monitoring; - The existence of other regional capacity strengthening service providers of excellence in principle should make for strong and vibrant institutional networking opportunities. - The comprehensive and solid RMCE establishment preparatory studies and documents and the participatory development process of both the Centre and the EU Start-Up Project should guarantee a smooth take-off of duly owned RMCE operations. Weaknesses / Challenges: - The complex and top-heavy governance structure, consisting of a Board of Directors (as further expanded in the process), Sub-Committees, a Project Implementation Committee, a Special Governance Committee, COMESA as Regional Authorising Officer, Mauritius as hosting country, the Inter-Regional Co-ordinating Committee, etc. proved not conducive to, if not an impediment to smooth and dynamic Centre operations; 1 Amongst others: CBC, ASCCI, SBF, EABC, UCCIOI, IBF, etc. Further discussion under previous chapter 4.2 Strategic Focus and Niche Areas, Paragraph on Market Analysis - From a Supply Driven to a Demand Based RMCE Catering to both Public and Private Sector Needs Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 37

49 - The main funding agency (the European Union) is not represented in the Board; - The complex and top-heavy governance structure for only a skeleton RMCE office / operational structure required RMCE management and staff to disproportionally invest time in servicing this governance structure, and as such depriving them of the necessary time to adequately focus on the core business of training and capacity building operations and services addressed to the Centre s clientele and key stakeholders; - Board meetings where mostly attended by Alternates on behalf of the Directors themselves, depriving the Board from the necessary authority and gist, further amalgamated by a widening disconnect between policy making and strategic directions and their effective implementation and operationalisation due to lack of performance monitoring and follow-up; - The overall quality of the communications between the Board and the Project Implementation Committee hampered mutually reinforcing governance responsibilities visà-vis the Centre and the Start-Up Project; - The inability to convene a 4 th Board meeting despite several attempts because of a persisting absence of the necessary quorum to convene such meeting may point at a disinterest, a policy/strategic cleavage in the Board and/or personality issues; - COMESA as one of the five ROs in the Board at the same time is the Regional Authorising Officer (RAO) bearing overall responsibilities for the RMCE Start-Up Project brings with it an actual unbalance in the Board s internal power distribution, if not situations of potential conflict of interest, which proved very negative for actual RMCE functioning and operations; - The Board meetings agendas tended to be dominated by legal and administrative issues, hampering its overall responsibility for overall policy making and strategic directions; - Personality issues negatively affected Board effectiveness and overall functioning, and ultimately as transpiring from interviews the actual functioning of the Centre itself. Different attempts for a depersonalisation of the issues remained largely unsuccessful. - The delayed recruitment and fielding of the Executive Director affected overall Centre performance and the contractually foreseen performance assessment after the six months probationary period was at the basis of an early cessation of the ED s services. The ED departure without replacement brought with it a standstill of operations for the months to come. - The RMCE rules and regulations got never officially approved and there was doubt with staff about how to apply them, especially also in relation to the COMESA rules and regulations applicable to Contribution Agreement support. - With the RMCE focus mainly on establishing itself and on executing externally commissioned capacity building / training event, no substantive actions have been noted yet to establish the RMCE as a network centre and to pursue complementarities with other Institutes in the business. 4. Legal Aspects A. Observations and Findings Legal Aspects and Governance Issues: The Regional Multidisciplinary Centre of Excellence was incorporated on 29 March 2010 as a not-for-profit private company limited by guarantee in accordance with the provisions under the Companies Act 2001 of the Republic of Mauritius and is hosted by the Government of Mauritius based on a Host Country Agreement. The EU Start-Up Project support to RMCE is governed by an EU Contribution Agreement with COMESA as Regional Authorizing Officer bearing final responsibilities for the implementation of the Agreement signed on 21 December For that purpose, an Implementation Agreement was signed between COMESA and RMCE on 8 December The governance structure and issues associated with this specific set-up Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 38

50 are discussed under the preceding chapter 4.3 on institutional and governance aspects. The present chapter on legal aspects especially zeroes in on the RMCE s legal status as Private Company under Mauritian Law and alternatives thereto, more particularly as a Foundation, and its hosting by Mauritius. RMCE s Constitution of a Private Company Limited By Guarantee: The company has adopted a Constitution which stipulates the procedures of the Board and the legal functionality of the Company. A local company acts as the appointed company secretary of RMCE and also the accounting function is outsourced to them. The Constitution s chapter on Objects 1 lists nine specific tasks / key activities and one generic, in summary: (1) Undertake capacity building programmes with the regional integration agenda being the core theme; (2) Provide technical assistance to the region and small island states to formulate and implement policy reforms; (3) Promote economic growth and international trade; (4) Provide technical assistance that concentrates existing capacity resources to enable service providers, funding agencies and stakeholders to collaborate in the delivery of capacity building services; (5) Serve as a regional hub for capacity building in COMESA,EAC,IGAD,IOC SADC and member countries; (6) Co-operate and hold joint venture activities with other institutions; (7) Assess the needs of the target audience and to advance their interests and to provide facilities, services and benefits for them, including organising conferences, seminars, workshops and training and other events; (8) Undertake and promote research and development, and to publish, disseminate or otherwise make available the useful results of such research; (9) Provide services and facilities to any organization or institutions, and (10) any other activities conducive or incidental to the attainment of the above objectives. Elements of a Necessarily Combined Legal and Governance Analysis: Some of the elements emanating from the legal analysis of RMCE as a private company with (good) governance dimensions include the following 2 : (i) Ownership issues as the private company status has been the major theme of Board and PIC discussions on several occasions. RMCE is seen to be a Mauritian owned concept and ownership by the other key parties concerned is not much felt by the different stakeholders interviewed. The decision making power and processes are felt to be much Mauritian influenced and driven; (ii) Legal and related administrative matters led to regular, lengthy discussions and debates on non-strategic matters, taking (too much) valuable time away from the more urgent and direct strategic and operational concerns at hand; (iii) The private company structure with the Contribution Agreement, Implementation Agreement and Host Country Agreement going with it, all proved to be administratively too heavy to work with and to operate efficiently and effectively. (iv) As per the Contribution Agreement and the Implementation Agreement based on it, RMCE is mandated to follow COMESA rules for all actions and expenditures financed through this Regional Organisation based in Lusaka, Zambia. For many interviewed stakeholders this was difficult to understand as all actions and even small payments needed to follow COMESA principles and rules which delayed the action processes and execution, with a delegated financial authority not in place. 3 Examples in case are the issue of the ED transportation costs, causing lengthy and heated debates on who would finance, the EU or the Mauritian Government; (v) Piecemeal and non-timely availability of budgetary resources cited as one of the major execution problems. As per the CA and Implementation Agreement, fund releases would be in tranches based on the work plans, but the reality was one of partial releases only with actual disbursements /transfers much delayed. (vi) Too much time needed to be spent on trying to get the necessary clearances, as this was often hampered by the different stakeholders not reaching the necessary consensus. With such complex governance and management structure, decision making processes became too cumbersome and time consuming; (vii) The personal liability of the Board members emanating from the legal status of RMCE as a private company caused the Board and individual Board members to be overcautious and defensive, resulting in delays if not avoidance of the necessary decision making needed for Centre operations. (viii) Short term perspective of RMCE in terms of engagement for instant operational services which were externally commissioned rather than from a strategic perspective; (ix) The lack of a longer term financing Under Chapter 3 of the Constitution. More details in prior chapters 4.1 Project preparation and design and 4.3 Institutional and governance aspects. Financial aspects are discussed in more detail under Chapter 4.6 Financial Analysis hereafter. Discussed in the 3 rd Board meeting of 12 December Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 39

51 perspective made the recruitment of staff difficult as career paths were not clear to potential candidates; (x) RMCE having a regional perspective and primarily being run by a national Ministry of Finance, as least as is the perception of many of the interviewed stakeholders, was indicated as difficult to comprehend. The absence of the Ministry of Foreign Affairs and Regional Integration, which is officially mandated for regional integration matters in the RMCE decision making has been repeatedly pointed at. It in this respect it was argued that RMCE having a regional perspective needed to be seen more in an international relations, diplomatic context, and therefore also needed to be more strongly projected as such/.the most appropriate Ministry to play the diplomatic role is the Ministry of Foreign affairs.leaving the Ministry of foreign affairs out of the picture would not help in achieving the regional objectives of an organization such as the RMCE. (xi) Under the current structure there is the risk of the largest donors / contributors in terms of RMCE financing will have a disproportionately high influence / power in Board decision making. At present, Mauritius being the host country is seen to play a dominant role and COMESA being the financing RAO is seen to be dominant as well. There have been different representations in this direction; (xii) This rather negative picture moreover is compounded by assertions that a consensus between these two main players often was difficult to achieve on both crucial and minor issues, which contributed to a general polarization in the Board as emerged from different interviews. RMCE Compliance with Governance Requirements, Including Those from a Private Company: For the evaluation s governance, legal and financial analysis of the RMCE Start-Up Project, an inventory has been made of documents the RMCE would need to supply in compliance with the different requirements concerned by RMCE as a private company and as signatory party to legally binding agreements as the Contribution Agreement, Implementation Agreement and Hosting Agreement and of good corporate governance in general. As referred to earlier in the introductory chapter on the evaluation tools 1, these required documents have been in clustered in eight types: (i) Documents required by the Board / Supervisory Bodies; (ii) Staff documents; (iii) Reports required as per the Comesa-RMCE Implementation Agreement; (iv) Corporate documents; (v) Governance; (vi) Communications; (vii) Operational documents, and; (viii) Other documents. This concerns a total of 81 requested documents of which a total of 50 (or 61.7%) have not been made available for one reason or another. Annex 7 to this report has the overview table of RMCE compliance in terms of submission of the requested documents concerned, clustered for the above eight categories. A summary table of RMCE compliance with requested financial and performance evaluation related documents by the evaluation team is included under Annex 7 to this report 2. Of the total of 81 formally requested documents a total of 50 documents (or 61.7%) have not been submitted for one reason or another (in quite a number of cases because reportedly not available or not developed / worked out), even after different follow-ups. On the legal governance side, also since the RMCE was not yet fully established, the following were not complied with, amongst others, as far as the Contribution Agreement and the Implementation Agreements are concerned: (i) As required by the Contribution Agreement: (i) The Audit Committee, its charter and meetings were not in place / implemented as required by the CA; (ii) The Internal Audit Manual is not yet ready; (iii) RMCE operational plans have not been prepared with targeted Key Performance Indicators (e.g. AWP 2012 and following); (iv) MOUs for partnerships with shared resources have not been worked out; etc. (ii) As required by the Implementation Agreement: (i) Internal audit procedures, (ii) Asset Safeguard procedures; (iii) Preparation of quarterly management accounts; (iv) Monitoring reports and documentation; (v) Design and operationalisation of monitoring and evaluation framework; (vi) Preparation of medium term operational strategy; (vii) Preparation of Audit work plan AWP; (viii) Updates of Intervention Framework; (ix) Communication and Visibility plan; (ix) Internal control procedures manual; (x) Training curriculum and courses; (xi) Consolidated general ledger; (xii) Function description of RMCE organisational units; (xiii) 2012 audited account; (xiv) Detailed training reports 1 2 Chapter 2 Evaluation Methodology, Process and Tools Annex 7 is on annexes pages 64 to 68. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 40

52 The Foundation as Possible Alternative Legal Structure for the RMCE: From different interviews during the evaluation field phase, a Foundation as alternative, more appropriate legal structure for RMCE emerged. From the meeting at the Office of the Registrar of Companies it was learned that in July 2012 The Foundations Act was enacted by the Parliament of Mauritius to provide a legal basis for the setting up of Foundations in Mauritius. 1 As far as the RMCE is concerned, the Foundation legal structure has the main advantage that it avoids the connotation of a private company and is more appropriate for a higher learning, networking and services institute with a regional / international outlook catering to both the regional and national levels and to both the public and private sectors. The Council of Members structure enables effective ownership by the Regional Organisation, the Member Countries, Private Sector Organisations, and effective networking other Partner institutes and actors active in the field of regional integration and related topics. Important is the equality between the members and the ability to better have all parties on board with such Foundation structure geared towards the common good of all in the region through participation in and ownership of capacity development processes for regional integration. The functions, strategic decisions and operational decisions should not be seen as being influenced by the host country, the highest contributing country, or by any country or bloc of countries, or by any single person or interest group, public or private. The other key principle for the Foundation is to ensure the necessary execution authority and operational flexibility to the Executive Director in managing such centre, under the proactive policy and strategic guidance of the Council, based on approved overall work plans and annual work programmes cum budgets and their progress and results monitoring based on targeted Key Performance Indicators agreed upon by all parties concerned. In short, a proactive facilitative, supportive governance structure is required as broader enabling environment for dynamic and results oriented performance management of such institute. It also requires an Executive Director with the rare combination of high managerial qualities, diplomatic skills, academic-professional excellence, cultural sensitivities, team builder and networker, international exposure and genuinely committed to regional integration. A Possible New Name as RMCE-RI Foundation: As the time of the incorporation of the RMCE as a not-for-profit private company limited by guarantee in March 2010 there was no other appropriate legal structure in place in Mauritius, suitable for a regional centre as RMCE. As from July 2012 it is possible to register as a Foundation under the Foundation Act. Since this requires a discontinuation of the current RMCE as company and would need to have Foundation in its title, it may be deemed appropriate to at the same time highlight Regional Integration in the Centre s title to make clear its overall objective and at the same time highlighting its delineated niche area. Regional Multidisciplinary Centre of Excellence for Regional Integration Foundation as possible new name (with RMCE-RI as possible acronym) at the same time shows elements of continuity in balance with a new, more focused Centre in the pursuit of holistic regional integration support and facilitation through capacity strengthening. Some Highlights of the Foundation Act for an RMCE-RI Foundation: The Foundation Act 2012 which came into operation on 1 July 2012 has a number of provisions which would be particularly relevant for the RMCE, comparable to foundation acts / laws in other parts of the world considered as appropriate structure for institutes with a research, higher education or similar mandate or purpose. In the context of regional or international organisations with country and regional membership the Foundation structure also served as legal basis. Some excerpts of the 2012 Foundation Act particularly relevant to RMCE: (i) Section 3(3)(b) specifies that the object of a Foundation may be to carry out a specified purpose, ; (ii) Section 7(1) A Foundation shall be a charitable Foundation where it has as its exclusive purpose of object - (b) the advancement of education (f) any other purpose beneficial to the public in general; (iii) Section 7(2) A Foundation shall be a charitable Foundation, notwithstanding the fact that (d) the charitable objects are pursued in Mauritius or elsewhere and are beneficial to the community in Mauritius or elsewhere ; (iv) Section 8 requires a Charter of Foundation; (v) Section 8(1)(d) Makes possible the endowment of property which shall be the initial assets of the foundation; (vi) Section 12 (1): Powers and Obligations stipulates that anyone who endows assets to a foundation after its registration shall not acquire the powers of a founder 1 The Foundations Act; Proclamation No. 30 of 2012 and Act No. 8 of 2012; Published as Legal Supplement to the Government Gazette of Mauritius No. 67 of 30 June Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. 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53 as a result protects the Foundation against possible power abuse of funding sources; (vii) Section 13 stipulates that the Secretary can be a management company or a person; (viii) Section 29 on personal liabilities of officers and members of Council pertains to liabilities arising from any fraud, wilful misconduct or gross negligence committed by such person; Section 51(1): Foundations are subject to the Income Tax Act, just as any other body. Summary Comparison Foundation versus Private Company: The below table below shows the main highlights of a summary comparative analysis of the Foundation structure against a private company structure along 12 features / characteristics. Table 9 : Summary Comparison of RMCE Legal Status Options: Foundation versus Private Company Comparison Features / Characteristics Private Company Structure (Existing Situation) Foundation Structure (Proposed Alternative Structure) 1 Name of the company Company name ends with "limited " Organisation name ends with "Foundation " 2 Motive / main objective / goal Profit making objective prevails with any activity authorised under the laws or Mauritius Non-profit making objective prevails as a Charitable foundation where it would have as its exclusive purpose or object "the advancement of education", though other objects may be possible. In many countries, the preferred legal structure for similar entities with educational, national or regional knowledge, skills and/or capacity strengthening purposes 3 Legal Status The legal status is registered with a constitution of the company The legal status is registered with a Charter of the Foundation 4 Constitutional Provisions on Governance Structure The constitution calls for the establishment of a Board of Directors The constitution calls for the establishment of a Council and its Council Members. The procedures are laid down for the appointment of the Council or of a Protector or of a Committee of Protectors, and of its powers and duties 5 Ownership Privately owned, has a more private connotation and ends with "ltd" projecting a private benefit cause Is seen as having communal or even regional ownership and name ends with a "Foundation". Referring to an underlying good cause 6 Initial Assets of the Foundation A willing Host country may endow assets to the foundation which shall be the initial assets of the Foundation and will remain the assets of the Host country.these may be defined in the charter or the articles of the Foundation. 7 Articles of the Foundation The Articles of the Foundation define all rules and conditions in relation to distribution of assets, regulation of the affairs of the Foundation etc., and these are signed by each member of the Council 8 Taxes Pay taxes at normal rates as per the Income tax law Pay taxes at normal rates as per the Income tax law ( for exemption, derogation needs to be applied for ) 9 Name of Governance Board Board of Directors Council of Foundation. 10 Main Responsibilities Board / Council Conducts the affairs of the Company in the best interest of its shareholders Conducts the affairs of the Foundation and in the best interest of the Foundation 11 Personal Liabilities Directors and officers may be personally liable for all the liabilities of the Company Nothing in the Charter or Articles shall relieve, release or excuse a person (every officer of the foundation and member of a council) from any liability arising from fraud, willful misconduct or gross negligence committed by such person. 12 Annual Registration Fee MUR 2,500 (about 60 EUR) MUR 9,000 (about 215 EUR) Selective Elements of a Foundation s Governance Structure for Consideration to Ensure its Independence and Ownership by all Members and Stakeholders: The Foundation can receive equal founders funds (contributions ) as the seed capital from different founder members for the proper set up of the new RMCE-RI Foundation. Members can be individual countries or groups of Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 42

54 countries (regional organisations), grouped private sector organisations, individuals, other institutes or groups of institutes, etc. Founding members can/will have permanent seats and equal ratios /footings can/need to be adopted in terms of numbers. Seats may be represented at the Council by appointed Heads of Ministries, Secretary Generals or their representatives of groups / blocs of countries, appointed representatives of member states. After the founders share is replenished, other members may also contribute to the foundation as ordinary members in the basket funds. The proportion of contributions for budgeted activities in the basket fund may be in proportion to the number of confirmed participants or other methods may be envisioned to ensure that no member state or bloc of member states or any other configuration of members can claim to own the Centre s programmes, projects or initiatives projects as owning the activity. The above are some loose initial reflexions only intended only to stimulate the debate on both fundamental principles and operational modalities. Obviously, the legal and governance issues of a possible new RME-RI Foundations need to be duly studied, discussed and agreed upon by all stakeholders concerned to ensure the broadest common ground and ownership possible. Flexibility under the Foundation Act: For that purpose, the broadest flexibility needs to be guaranteed by the Foundation structure under the Foundation Act. In this connection, reference is made, amongst others, to: (i) Section 47 stipulating that a Foundation under the law of another State may make application for re-domiciliation in Mauritius as a Foundation, and in the other direction also Section 47(6) stipulating that a foundation under the Act may re-domicile and register under the law of another State; (ii) The Foundation Act provides specifically under Section 7(1)(b) for a charitable Foundation status where it has as its exclusive purpose or object the advancement of education, but this per section 7(1)(f) also pertains to any other purpose beneficial to the public in general. The Host Agreement: In December 2010 a hosting agreement was signed between the Government of Mauritius and the RMCE. Under this host agreement, the Government of Mauritius commits amongst others to provide office space, funding for administrative support staff and transport equipment. Mauritius as host country already made an allocation of 130,000 Euro in 2009 and committed about 200,000 Euro annually over the successive budgets. Annual commitments of 15 million Mauritian Rupees have been made in the 2012 and 2013 budget as contribution to RMCE. As learned from different interviewed parties, the hosting agreement ultimately was signed under time pressure in order to be able to have the RMCE Start-Up Project Contribution Agreement still signed before the end of the Financial Year From the multiple correspondence between COMESA as Regional Authorizing Officer / final responsible party for the EU start-up support project and the Ministry of Finance and Economic Development representing the host Government of Mauritius, on the preparation and the execution of the host agreement between GoM and the RMCE, it was learned that there have been quite some contentious issues back and forward on both RMCE s status as a private company and COMESA as responsible party of the Contribution Agreement, and particularly on the difficult alignment of both legal constructions. This particularly pertained to: (i) The legal capacity and the not granting of privileges and immunities to the RMCE (the COMESA Legal Counsel originally had used the Host Agreement between COMESA and the Republic of Zambia as precedence and model, based on the status of international organisation accorded to COMESA), (ii) the payment of Value Added Tax, (iii) financial management issues, (iv) on the personal liability of Board members, (v) on the appointment of the External Auditor, etc. But also within the Board dissatisfaction with the host country agreement is documented. In the minutes of the 1 st Board meeting of 3 September for example is reported that There was a consensus that the MoU as circulated did not make provision for much support to RMCE. 2 Request for an Exemption Derogation (not Provided in the Act): From the above is clear that the new RMCE (possibly as an RMCE-RI Foundation) needs to request for a derogation from the host country Government to exempt the Institution from taxes, duties and other liabilities as stipulated in the current Foundation Act. Also, the new RMCE-CI Foundation preferably should be given diplomatic status in accordance with the Vienna Convention of 18 April 1961 on Diplomatic Relations, to enable it 1 2 The Contribution Agreement for the RMCE Start-Up Project between COMESA and the EU was signed on 21 December Minutes of the 1 st RMCE Board Meeting of 3 September 2010; Iitem 5.4 Host Country Agreement ; p.4 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. 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55 to be established and act as a regional centre. The above reservations vis-à-vis the present Host Agreement of the RMCE need to be offset by these derogations and amendments of the hosting agreement, or by a new hosting agreement in case for a new RMCE-RI Foundation or other legal structure is opted for. B. Summary Strengths / Achievements and Weaknesses / Challenges Strengths / Achievements: - The RMCE legal status as a not-for-profit private company limited by guarantee was adopted in the absence in March 2010 in the absence of other legal structures at that time and because the RMCE did not qualify for a status as international organisation; - The substantive efforts that went into trying to establish the best possible and most adequate legal structure for RMCE, involving different key stakeholders as documented - The inclusive participatory preparation and final approval of the multitude of legal and administrative documents at the basis of the RMCE. Weaknesses / Challenges: - A (too) heavy and complex legal structure consisting of different layers and components (Contribution Agreement, Implementation Agreement, Hosting Agreement, Private Company Limited by Guarantee) hampered, instead of facilitated, smooth RMCE operations; - Disproportionate amounts of Board and Management time and energy needed to be put into legal and administrative matters which otherwise could have been invested in strategic and operational issues; - A private company legal status does not fit well for a regional centre catering to regional integration facilitation and with Regional Organisation and countries in its governance structure / Board; - In the process the incompatibility between CA requirements and the operational flexibility required for effectively and efficiently running a regional training and capacity building institute with final responsibilities vested in a third party became more apparent; - RMCE management and staff needed to serve two masters (COMESA for the FA, and GOM-MOFED for other issues) which were not in line on quite a number of occasions / for quite a number of issues; - Uneasiness between the other Board Members and the Government of Mauritius about provisions in the hosting agreement and in the Contribution agreement soured relations, particularly between the Hosting Country and the RAO / RO responsible for the Contribution Agreement; - Time pressure at the end of FY 2010 to have all documents and agreements signed to enable the signing of the Contribution Agreement brought with it that not all legal documents were properly synchronized. - Only partial RMCE compliance with Governance requirements, including those from a private company - The preference of a Foundation as possible alternative legal structure for the RMCE based on the Mauritius Foundation Act of 2012 would need to be given serious consideration. - In one go, also a more appropriate and focused new name for the Centre, possibly Regional Multidisciplinary Centre of Excellence for Regional Integration Founding, in short RMCE-RI Foundation, would be welcome. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 44

56 4.5. Operations and Operational Management A. Observations and Findings CA Start-Up Project and RMCE Operations Based on Annual Work Planning and Reporting: As per the project Contribution Agreement, the RMCE start-up project needs to be implemented through successive annual work plans (AWPs), to be prepared in relation to the three project Key Result Areas (KRAs) and the core activities / interventions as detailed in the LogFrame, which is attached to the CA for updating in the process. These AWPs would need to include Key Performance Indicators (KPIs) under each KRA to measure implementation progress and results. For that purpose two Work Plans and Budget have been prepared by RMCE management for approval by the RMCE Board of Directors, respectively for calendar years 2011 and There is no evidence of work plans prepared for the subsequent years 2012 and The 2012 work plan and budget included elements for a medium-term strategy and was submitted under the combined title Strategy, Work Plan and Budget. As far as progress reporting in concerned, only one Annual Narrative and Expenditure Report covering the period from 22 December 2010, the start of the project, until 31 December 2011 has been submitted. The second progress report submitted was a Mid-Year Narrative and Expenditure Report for the first half of the year 2012 (1 January to 30 June 2012) submitted by the departing ED in August There is no evidence of submission of an annual narrative and expenditure report covering the whole calendar year 2012, neither for the subsequent year As per the operating procedures, the RMCE Start-Up Project annual plans and report needed to be submitted to the Inter-Regional Co-ordinating Committee (IRCC) for comments and endorsement to the RMCE Board of Directors for discussion and final approval. In spite of the IRCC request to have its meetings organised ahead of the BOD meetings, amongst others to facilitate prior discussions of the work plans and reports, the two RMCE PIC meetings held 2 actually took place right after the Board Meeting, actually depriving the PIC of this proactive quality assurance and endorsement opportunity and mandate. The RMCE 2011 and 2012 Annual Work Plans cum Budgets and Annual Reports: As per the Board Records, the RMCE annual work plan and budget for FY 2011 was discussed during the 1st BOD meeting of 3 September 2010, but its revised final version only was approved by the 2nd BOD meeting of 16 June 2011, thus halfway the year concerned causing budgetary resources for that year only to be available in the latter part of the year. The 2011 report and 2012 work plan have been submitted in time for discussion by the Board during its 3 rd meeting of 12 December and by the PIC in the back-to-back meeting of the following day. Both report and plan got in principle approval by the Board, however subject to (substantive) revisions. There is no evidence that these revisions have been effected, neither is their evidence of a final approval of the 2012 work plan, which ultimately would lead to IRCC Plenary Meeting of 20 February 2013 to recommend closure of the RMCE Start- Up Project. Initially it all had looked quite positive with in the minutes of the 2 nd Meeting of the Project Implementation Committee recorded that: The PIC noted the progress made by RMCE in 2011 under the EU Funded RMCE Start Up Project, and the fact that the RMCE Board, at is meeting held on 12 December 2011, had adopted the EU SUP 2011 Narrative and Expenditure Report. 3 The 2011 and 2012 work plans and budgets and associated reporting, their technical contents in relation to the three project Key Result Areas and protracted (non-)approval processes are discussed in some more detail right hereafter Another source of information on RMCE operations planning and execution are the Handover reports by the successive incumbent (interim) heads of RMCE, including (i) A 2010 RMCE activity report by the RMCE Technical Advisor, (ii) A handover report prepared by the RMCE Technical Advisor covering the period June 2010 to March 2011; (iii) A handover report prepared by the RMCE Officer-in-Charge covering the period from April to August 2011, and; (iv) An RMCE Handover Report as of August 2012 by the outgoing RMCE Executive Director. Respectively on 5 September and 13 December Op. Cit.; p.4 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 45

57 Major Delays in 2011 Work Plan Approval and Actual Implementation Delayed Work Plan Approval and Funds Transmission: As can be gleaned from the Annual Narrative and Expenditure Report of December 2011 giving an account of the RMCE Start-Up Project (SUP) progress made in 2011 against the 2011 Work Plan and Budget, and summarily referred to in the rationale for the 2012 strategy, work plan and budget submitted for RMCE Board Discussion on 12 December , delays early in the year 2011 resulted in the 2011 RMCE Work Plan and Budget approved with much delays, half way the year concerned, in July EU Contribution Agreement funds were made available after that date. The 2011 work plan basically focused on results 1 (RMCE establishment) and 2 (training and skills upgrading). Activities on result 3 would be starting the next FY Delays in Result 1 Effective Establishment of RMCE : For much of the year, the RMCE Office consisted on a limited, part time, and geographically disbursed staffing complement with the Executive Director assuming duties on 01 August With regard to RMCE SUP Result 1 (effective establishment of RMCE), as at the end of December 2011 RMCE staffing consisted of just two full time personnel: the Executive Director (in place on 1 August 2011) and an administrative assistant who joint on 8 December 2011 as Operations Coordinator. Two of the other full time administrative staff identified at interviews held in October 2011 (Company Secretary and ED Personal Assistant) would be joining in the first quarter of 2012 and recruitment for the post of Administrative and Finance Manager was still on-going. Delays in Result 2 Skills Building and Training Services Operationalised : This all impacted on much delayed implementation of 2011 work plan activities for result 2 (Skills building and training services operationalisation), several of which were simply rolled forward for delivery in 2012 (and as such included in the 2012 Work Plan and Budget). In fact, only the first Ease of Doing Business event held in Kigali, Rwanda in March 2011 was executed in FY The second event originally planned for November 2011 in Botswana was postponed to March 2012 on the request of the Government of Botswana. The two other workshop events included in the 2011 Work Plan and planned with the World Bank Group to take place in November/December 2011 were both put on hold when it was realised that the standard turnkey Expected Financial Output (EFO) Agreement being proposed by the World Bank Group offered insufficient financial accountability in relation to funds provided under the EU Contribution Agreement. 3 Non-Submission and Approval of Final Work Plan and Budget for the Year 2012 The BOD Discussion of the Work Plan and Budget for 2012 Submitted by RMCE Management:: As far as the RMCE work plan and budget for 2012 prepared by RMCE management and submitted to the Board of Directors for discussion and approval on the occasion of the 3 rd BOD meeting of 12 December 2012 is concerned, according to the meeting minutes 4 After discussions, the Work Plan and Budget 2012 was approved by the Board, however with two key changes: (i) Non adoption of items 2.4, 2.5 and 2.6 for funding under the EU Contribution Agreement with invitation to the GoM to look into the matter of funding for item 2.6 (what? see work plan), and (ii) The requirement to reallocate the released funds from these cancelled activities toward development of regional RMCE Strategy, Work Plan and Budget 1 Jan 31 Dec 2012, Draft; December 2011 Chapter 1.2 Progress to End 2011 ; pp. 3-4 And then taking two forms as per the 2012 work plan submitted for Board approved in December 2011: (i) Advisory and consulting services emanating from direct commissions from RECs, Member States, private firms, etc. and for a fee, and also in the format of peer to peer support programmes for identified groups working on specific reforms through MS financing, and (ii) Online information services and portal for information exchange. For 2012, priority would be given to developing and securing funding for a peer to peer support programme on Ease of Doing Business in conjunction with the World Bank, ECDPM, COMESA and the (to be resurrected) Doing Business Steering Committee. Op. Cit.; pp. 4 Op. Cit.; Item 4.0 Operational Strategy and 2012 Work Plan and Budget ; pp. 8-9 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 46

58 integration related curricula development and academic quality assurance of the same. Moreover, concern was raised that expenses were made in contradiction with the budget. The PIC Discussions of the 2012 Work Plan and Budget: The EU SUP 2011 Narrative and Expenditure Report was discussed by the Project Implementation Committee (PIC) at its second meeting of 13 December 2011, directly following the 3 rd BOD meeting of the day before. More substantive discussions on the 2011 annual report and 2012 work plan however were held under another agenda item regarding institutionalising needs assessment (item 7) and particularly regarding the 2012 RMCE work plan and budget (item 8). The ED informed the Committee that the Board at is meeting held on 12 December 2011 considered the Operational Strategy and Work Plan and Budget for 2012 together, and of the key arrears identified by the Board on that occasion. The ED was requested by the Board, and confirmed by the PIC 1, to recast the 2012 Work Plan and Budget taking into account: (i) the main objectives and role of RMCE defined as Contribute to improved regional integration policy decision making processes in the Eastern and Southern Africa Indian Ocean Region, by improving knowledge, managerial skills and competences in regional integration among relevant stakeholders, (ii) Board-agreed priorities for and (iii) list of activities. For that the Board requested to submit a list of criteria at the next Board meeting pertaining to the selection of activities and intervention areas to be funded. During the Dec 13 PIC meeting, also the EU Delegation stated that they were not comfortable with some of the activities/courses proposed by Management. PIC Members pointed out that RMCE should play a key role leading to the development of regional integration / eliminating barriers of the RECs and to work towards achieving the main objective of RMCE as a centre of excellence. But at the same time was argued as reflected in the minutes 3 : However, the support/involvement of all players was required in the region. The Actual Non-Endorsement of the Training Programme: The PIC advice included a broader list of training activities under result 2 not adopted for funding under the EU Contribution Agreement (total of 9). For four other activities (2.3, 2.7, 2.14 and 2.15), EU indicated its willingness to consider funding provided a clearer case could be made for the link between these events and regional integration outcomes and duplication of EU funding (i.e. 2.7 Afritac) and duplication of activities (i.e. AfDB workshop on infrastructure) are avoided. BOD and PIC advised management to reallocate the released funds from these cancelled activities towards regional integration related curricula development, academic quality assurance of the same and additional sessions of the activities considered more useful/demanded. In summary: Of the total of 18 training services proposed by RMCE management in the annual work plan cum budget for financial year (of which thirteen for which the 2012 budget makes provision for funding) with a total estimate cost of 1,199,661 under project Key Result Area 2 Training Services Delivery, only 5 (or slightly more than one fourth) events were endorsed without comments by both the RMCE Board of Directors and RMCE Project Implementation Committee, 9 (or half of the total) were not adopted by the PIC and 4 would possibly be approved by the PIC in case of a better justification in terms of regional integration outcomes and avoidance of duplication of EU funding (e.g. Afritac South PFM course) or activities (e.g. AfDB workshop on infrastructure). Three training activities were not approved by both the BOD and PIC. No Evidence of 2012 Work Plan and Budget Updating and Approval: There is no evidence as to the satisfactory completion of this RMCE internal amendments process of the 2012 Annual Work Plan Minutes of the 2 nd meeting of the RMCE Project Implementation Committee held at La Plantation Resort, Balaclava, on Tuesday 13 th December 2011; Item 7 Institutionalising Needs Assessment and especially Item RMCE Work Plan and Budget ; pp. 4-6 Board agree priorities for 2012, as explicitly reiterated in the minutes of the 2 nd PIC meeting of 13 December 2011 under Item 8, point (ii): (a) Design and implementation of the Doing Business and Improving Competitiveness initiative; (b) Investigate development of training curricula and courses for implementation in 2013, related to: (1) Trade policy topics; (2) Labour migration; (3) Small states and regional integration in coordination with the IOC Secretariat; (4) General training course addressing regional integration topics in modular format, and; (3) De-prioritise macroeconomic training courses and Public Financial Management programmes where the links to regional integration and RMCE value added is unclear. Op. Cit.; Item 8, Par 2; p.5 See Table 2 Funded Training Services by Core Topic, 2012 on page 12 of the RMCE Strategy, Work Plan and Budget 1 Jan 31 Dec 2012 Draft for RMCE Board Discussion on 12 December 2011; December Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 47

59 and Budget (produced by Management and approved by the Board) and official submission of the approved AWP to COMESA bearing overall managerial responsibility for the RMCE start-up project Contribution Agreement, through the Project Implementation Committee (PIC) as endorsement entity of Board decisions having CA budgetary repercussions. The different evaluation interviews conducted at COMESA confirmed the RAO never having officially received the RMCE 2012 annual work plan cum 2011 annual report and thus also not being able to act upon it. This ultimately would be considered as a breach of CA contractual obligations and the formal rationale for the IRCC decision on the occasion of its 23 rd Plenary Meeting of 20 February 2013 in Arusha, Tanzania, to recommend the RMCE start-up project for closure and the request to COMESA as RAO for de-commitment and possible re-allocation of the funds to the AAP 2013 ESA-IO Pipeline. 1 Some Selective Salient Characteristics of RMCE Support Project Operations and Operational Management: (i) The annual work planning and reporting cycle for the RMCE Start-Up Project was not new to RMCE as for the Centre, as the first plan and report submitted for FY 2011, in fact already concerned the Centre s second cycle, hence some practice and routines must have been in place already ahead of / at the start at the RMCE Start-Up Project. The turnover of persons at the helm of the organisation (Technical Advisor, Officer-in-Charge, Executive Director) and the short duration of contracts (needing to be extended) however did not make it possible to capitalize on experiences gained on-the-job. The delayed recruitment and fielding of the Executive Director substantially impacted on RMCE operations; (ii) Throughout, from the very onset on the Board and PIC in their different meetings repeated the need for the operational plans to be clearer and more detailed, more outputs and results oriented with use of targeted Key Performance Indicators to enable monitoring, follow-up and evaluations 2 ; (iii) Operational planning was merely confined to incremental activities management of a limited number of ad hoc, stand-alone activities externally commissioned, rather than the product of pro-active, strategic results-based planning and programming, with follow-up actions. This for example led the Board, iin its reaction to the activity report , to request management to submit a summary table on each activity and how it was financed, incorporating also the follow-up actions undertaken 3 ; (iv) On the other hand, the attempt from Management to introduce elements of somewhat more strategic medium-term over a 2-3 year period in the annual work plan for 2012 were rebuked by the Board, so have been the initiatives for institutionalizing needs assessment to provide a more strategic outlook of the RI capacity strengthening programme and services and to make them more demand-based 4 ; (v) A general lack of strategic focus and alignment of operational activities with the RMCE objective of capacity strengthening and services provision for regional integration, further compounded by the lack of a performance monitoring & evaluation framework and system. Training and Capacity Development Strategy and Modalities Training Modalities and Core Areas: As included in the 2012 work plan submitted by RMCE management for approval by the Board, different modalities of training / capacity building are foreseen in the longer run including: (i) Short training courses of between 5 to 15 days; (ii) Themed workshops of typically 2 5 days duration; (iii) Themed conferences of typically 1-2 days, and (iv) Distance learning courses, with or without certification. Thematically, as per the RMCE management plan, for 2012 and 2013, development of training services would be in three of the core regional integration topic areas, as identified in the feasibility study and included as priority thematic areas in the Contribution Agreement, namely: (i) Macro-economic management, (ii) Cross-border trade, transit and infrastructure, and (iii) Business development of investment. But meanwhile BOD and PIC thematic priorities had evolved with regard to avoidance of duplication of offerings by other regional and Source: Conclusions and Recommendations of the 23 rd IRCC Plenary Meeting of 20 February 2013, Arusha, Tanzania; p.7 E.g. Minutes of 1 st Board Meeting of 3 September 2010 documenting the Board s request for clearer outputs of activities (p. 7), or the Minutes of the 3 rd Board meeting of 12 December 2011 requesting management to ensure that future reports be more specific and detailed. Minutes of the 2 nd Board Meeting of 16 June 2011; Item 12; p. 15. A for example evidenced from the Minutes of the 3 rd Board Meeting in relation to Item 4 on the Agenda; pp. 7-9 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 48

60 international capacity development players and concerns about effective focus on outcomes and impact generation with regard to regional integration. Phased Capacity Development Training Programme: RMCE s phasing of training strategy as included in its 2012 work plan is claimed to be dependent on the pattern of demand as well as the RMCE s capacity. Training demand is expected to materialise through proposals for training services in two main ways: (i) from outside agencies, institutions or enterprises (i.e. externally commissioned ), and (ii) in-house (i.e. RMCE commissioned ) The work plans furthermore provides that the securing of partnership arrangements for designing, organising, delivering and funding of training services will parallel the growth of training demand. Partnerships can take on a variety of forms. For 2012, the majority of training activities is scheduled to be externally commissioned, jointly funded, and provided free to participants. The intention is that, as RMCE capacity and experience develops, an increasing proportion of training services will be RMCE commissioned, with a growing percentage of its costs being shared with training service providers and recovered in the form of fees from participants and their parent organisations. Number of Actual Training and Capacity Strengthening Events: In the two year period covered by the annual work plans for FY 2011 and FY 2012 a total of 4 (four) RMCE training / capacity strengthening events have been executed funded from Start-up Project CA resources, all 4 externally commissioned and executed in collaboration with other institutes. Some interviewed parties referred to taxing and unsettling governance, procedural and financial issues and a lack of sufficient professional staff with high turnover as among the main reason for this relatively humble performance of the institute over the two year period. The one event in 2011 (of the initially planned three) pertains to the three day March 2011 First Ease of Doing Business Initiative (EDBI) pilot event in Kigali, Rwanda in collaboration with the World Bank and ECDPM, programmed as a sharing reform experiences event applying a peer-to-peer learning model. The three events in FY 2012 all took place in the first half year when the ED was still around. The two training events co-organised with / commissioned by the IMF Institute (IMFI) are on macro-economic, monetary and financial matters: The 23 January 03 February IMFI Financial Market Analysis Course and the June IMFI Issues on Economic and Monetary Integration (EMI) course, both organised in Mauritius. The three day Table 10: List of RMCE courses financed from the EU-Comesa Contribution Agreement in 2011 and 2012 Courses Conducted by Main Focus Area Venue Activity Start date Activity End date Total Estimated Costs ( ) Main Source of Funding Remarks 1 First Ease of Doing Business event: Sharing Reform Experiences, using peer to peer learning model World Bank and ECDPM WP 2011 Result Area 2 Activity Core topic: Business development and investment: Kigali, Rwanda 16-Mar Mar-11 29,634 EU-Comesa Contribution Agreement The Govt of Mtius agreed to cover expenditures over and above EUR 114,575 up to the total budgeted amount of the course of EUR 172,830. 3rd BOD meeting: Refund of Rs million 2 IMFI Financial Market Analysis Course IMF Institute WP 2012 Result Area 2, Activity R Core topic: Mauritius - Macro-economic Le Mauricia harmonization / Hotel cross-border finance and banking 23-Jan Feb ,675 EU-Comesa Contribution Agreement The Govt of Mtius agreed to cover expenditures over and above EUR 114,575 up to the total budgeted amount of the course of EUR 172,830 3 Regional Conference to improve the ease of doing business in Eastern and Southern Africa World Bank and ECDPM WP 2012 Result Area 2, Activity Core topic: Business development Botswana - and investment: Gaborone Building productive capacity for global competitiveness 28-Mar Mar ,160 EU-Comesa Contribution Agreement 2012 budget allocations under TEC 0202.R2.2 ( 89,160 ) and TEC 0601 R3.1 ( 20,000 ) 4 Issues in Economic and Monetary Integration (EMI) IMF Institute WP 2012 Result Area 2, Activity Mauritius - Core topic: Macroeconomic Grand Bay Conference harmonization / Center cross-border finance and banking 18-Jun Jun ,440 EU-Comesa Contribution Agreement WP 2012 estimated costs: EUR 114,575 Source: For 2012 events: Aide Mémoires of RMCE events submitted to COMESA for approval. For 2011 events: Work Plan and Budget 2011 and 3rd Meeting of RMCE BOD Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 49

61 Regional Conference to Improve the Ease of Doing Business in Eastern and Southern Africa, as the 2011 event also co-organised with the World Bank and ECDPM, took place in Gaborone, Botswana, from 28 to 28 March The above table 10 gives a summary overview of these 4 RMCE courses financed from the Contribution Agreement. Some Observations on the Executed Training / Capacity Strengthening Events: (i) Absence of training reports: For the first EDB event and the two IMF courses, in the absence of training reports, the table is based on information contained in the Aide Mémoire prepared for each by RMCE as a sort of project proposal with budget for approval by COMESA in application of the rules and regulations of the Implementation Agreement based on the Contribution Agreement. Of the 2 nd EDBI conference in Gaborone, an overall training report is available. (ii) Of the four courses, only the fourth course on economic and monetary integration has an explicit regional integration focus. Such focus indirectly also was present in the Gaborone EDBI conference. (iii) All RMCE training events have been externally commissioned and co-executed with international organisations / institutes (resp. World Bank & ECDPM, and IMF Institute for Capacity Development; (iv) These events were singular, oneshot undertakings without actual peer-to-peer learning process follow-up initiatives. 1 The Regional EDBI Conference in Botswana had as objective the encouragement of post-conference peer-to-peer learning exchanges, possibly in a network setting. However, there is no documentary evidence as to what extent this has actually happened and what role RMCE has possibly played in any such postconference exchanges or further initiatives. (v) As no detailed training reports have been prepared, it is impossible to have summary figures of actual training costs, as financing originated from different sources, mainly from EU-CA financing through COMESA but also from the Mauritius government, the co-organising partners as WB or IMFI, private companies (in the case of EDBI courses) and/or other third parties associated with the event, and no detailed financial reports are available on the training events. (vi) In the absence of financial reports, it also is impossible to make an assessment of the selffinancing level / cost recovery level of these training / capacity strengthening events, e.g. through participation fees or sponsoring by the private sector. (vii) The Aides Mémoires contain information on the expected number of participants, but in the absence of training reports no analysis can be made of the actual number and types of participants. As per these Aides Mémoires, for the IMFI courses these were respectively 20 and 30 participants, mostly coming from the ESA-IO Region but also from outside, as for example from Gambia and Ghana. The comprehensive report on the EDBI conference in Gaborone, Botswana mentioned a total of 137 participants, coming from both government and private sectors. (viii) As per the summary scoring sheets provided by the IMF-Afritac Office to the Evaluators, the Course on Financial Market Analysis 2 got an overall average satisfaction score of 4.6 on 5, whereas the course on Economic Issues in Regional Integration got an average participants satisfaction score of 4.7 on 5. This last course was followed by an outreach event with EU involvement Permanent Understaffing of the RMCE Office 3 : As discussed here earlier under the institutional and governance aspects Chapter 4.2, both in the documents and in the interviews, the RMCE governance structure has been characterized as top-heavy, with governance issues absorbing disproportionate Also other courses executed before or outside the EU supported RMCE Start-Up Project had this one-shot, ad hoc nature. This for example is evidenced by the report on the RMCE Second Steering Committee Meeting of 12 March 2010 in Nairobi, Kenya in relation to the COMESA-RMCE Conference on Trade in Services originally scheduled for April 2010 with the cooperation of the Commonwealth Secretariat. In the IMF-Afritac cover mail of the summary appreciation scores of the joint RMCE IMF Institute for Capacity Development joint training courses in the years , two more joint RMCE-IMFI course in April 2011 are included: Two courses on Macroeconomic Management and Financial Sector Issues in April 2011, one in English and one in Mauritius. Since not in the RMCE Start-Up Project records, it is assumed that they have been executed by RMCE outside of the EU funded project. But then, these two courses are also not included in the comprehensive Table 2 on funded training services by core topic in included in the Strategy, Work Plan and Budget for 2012, neither have these courses been discussed in the RMCE Board Meetings. Also, the title of table with statistics on participants satisfaction refers to the joint RMCE-IMFI Financial Market Analysis training course of 13 Jan 03 Feb 2012 with a different title, namely as Regional Course on Macroeconomic Management and Fiscal Policy Issues. The position of the Executive Director is not discussed here, as discussed earlier already under chapter 4.3 on institutional and governance aspects. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 50

62 levels of time and resources. This is in strong contrast with the actual staffing of the RMCE Office which has been permanently in a state of appalling understaffing, particularly in comparison to the huge and complex tasks ahead. Some even referred to RMCE as an institute with too many generals and too few soldiers. Others referred to the RMCE Office as being de facto reduced to a mere Secretariat of the Board, lacking the time and resources to concentrate on the real issues at hand in running a regional centre of excellence on a multi-faceted and multi-dimensional concept as regional integration. Moreover, the centre has been marred by personality clashes between management and the Board, and also within the Office, as was repeatedly brought to the attention of the Evaluation Team in virtually all meetings it had. Another symptom of the underlying crisis, if not of the alienation of the RMCE governance level from the actual operational level is the location, the size and the condition of the RMCE office itself, not commensurate with the status of a regional centre of excellence. 1 Personnel Policy Fluctuations: As is clear from the RMCE design documents and subsequent governance and management documents (e.g. Minutes of Board and PIC, annual plans and budgets, etc.), a lean structure not only of governance but also of the organisation / secretariat has consistently been envisaged for the RMCE. However, there never has been an indication as to how small or how big the organisation would be envisioned to be. As outcome of the discussions on the governance structure on the occasion of the 2 nd meeting of the Board of 16 June 2011 for example is noted vaguely that 2. The RMCE shall have a Board of Directors, an Executive Director and such other officers and staff as it may consider necessary. 2 Another staffing characteristic is the priority attention given to the staffing and recruitment for administrative and financial personnel to the detriment of the more programming and professional staffing looking after the content, the products and the services to the stakeholders and clients. The staffing decision of the Board on the occasion its 2 nd meeting of 16 June 2011 for example pertains to the recruitments for three posts of (i) Administrative and Finance Manager, (ii) Administrative Assistant, and; (iii) Personal Assistant to the Executive Director, plus for the appointment of (iv) Company Secretariat. At the same time the extension of the services of a Local Company for both accounting and company secretarial duties were confirmed to continue until further notice (in practice: until this very month). In addition, the need for what was referred to as programme managers to define/develop concrete programmes and services on capacity development, thus work on content, was underscored. However, in commenting on the ToR for these Regional Programme Managers, the Board stressed that key responsibilities needed to include to mobilise funding for the programme. 3 In that context, the recruitment of a programme manager for the EDBI programme was discussed by the Board under the Item on the RMCE 5-year plan for Resource Mobilisation. 4 The idea of Regional Programme Managers (individual or Institution) for each core programme was kept but the actually planned recruitment was dropped for reasons of absence of funding 5 and replaced by an umbrella position of Operations Coordinator. The Coordinator assignment started on 8 December 2011 for a 2 year period. The actual assignment had a duration of six months (08 Dec Jun 12) and thus ended prematurely. The Staffing under the Executive Director: No administrative or other staff was in place at the moment Executive Director joined duties as of 1 August The previous Officer-in-Charge s contract funded by IRCC was extended to August 2011 and then converted into a position of Events Manager. Based on a paper submitted by management with regard to RMCE staff appointment, planned recruitment and adopted grading and remuneration structures the recruitment of three staff was ratified by the Board on the occasion of its 3 rd Meeting on 12 December 2011: (i) Company Secretary; (ii) Operations Coordinator, and; (iii) Personal Assistant. Decision making on the proposed Also the broad discussions in the Board of Directors on an issue as the ED s transport may not be expected in relation to a regional/international centre of excellence. Minutes of the 2 nd BOD meeting of 16 June 2011; Item 6(b)(i) on pp Op. Cit.; pp Op. Cit.; Item 3.13 RMCE 5-Year Plan for Resource Mobilisation, sub-title Programme Manager Minutes of the 3 rd Board meeting of 12 Dec 2011; Discussed under Item 3.5 Events : The Executive Director informed the Board that the appointment of a Programme Manager (Individual or Institution) to define and monitor programmes has ben kept in abeyance until funding be secured. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 51

63 position of Administrative and Finance Manager was not firm for reasons related to the ongoing recruitment process. Despite the ratification of the appointment of the Company Secretary, the 3 rd Board meeting minutes report that the Board had decided to also extend the contract of the local company to continue providing Company Secretary as well as Accounting services to the RMCE as temporary cover for the Company Secretary and Administrative and Finance Manager positions. 1 There is no evidence that the two approved positions of Company Secretary and Administrative and Finance Manager (with the latter already announced and ToR approved as early as on the occasion of the 1 st Board meeting of 02 September 2010 together with the ED position) have ever been filled-up, with consequently the local company actually continuing providing both Company Secretary as well as Accounting services to the RMCE up to this moment. Prioritized, Planned and Actual Staffing: As per the FY 2012 work plan submitted by the Executive Director, RMCE capacity was expected to be developed through the building of outside partnerships and establishing good communications facilities on the one hand, and further strengthening its internal staff capacity by hiring, in addition to the administrative staff hired in professional staff (2 programme managers, a marketing and communications manager, an IT / Web content specialist) and 3 additional support staff (book keeper / clerk, driver and office attendant). For 2013, this staffing would be further extended by an M&E Manager and one more Programme Manager with, possibly, programme assistant(s). The Board in its 3 rd meeting of 12 December 2011 discussed the organisational structure and staffing proposed by the Executive Director and recommended to combine the functions of Driver and Office Attendant, and of Marketing & Communications and IT Specialists, with the position of Marketing & Communications specialist not required. In an effort to strengthen in-house capacities for training on regional integration issues, it recommended the creation of a post of Policy and Curricular Officer. Also the idea to have Programme Managers for each core programme with a performance contract focused on outcomes was further pursued. There is no evidence that any of the above positions was ever filled, leaving the RMCE to operate on a skeleton personnel basis consisting of the Executive Director, the Operations Coordinator and a Personal Assistance, with company secretariat and accounting services outsourced to a local private company. With the departure of the Executive Director by the end of August 2011, the RMCE office disintegrated. A revitalisation is being by the Government of Mauritius as spearheaded by the Ministry of Finance and Economic Development starting some time in Spring this year 2013 with the reappointment of the earlier Officer-in-Charge. B. Summary Strengths / Achievements and Weaknesses / Challenges Strengths / Achievements: - The first year annual work plan and budget for financial year 2011 prepared by RMCE management was approved by the Board and PIC and was financed as integral part of the Start-Up Project Contribution Agreement under the CA first pre-financing for calendar year 1 budgeted at 814,855; - In the 2 year period covered by the RMCE 2011 and 2012 work plans a total of four training / capacity building events have been executed by the RMCE - One draft annual report covering the year 2011 and one semi-annual report for the first half of the year 2012 have been submitted by RMCE management to the Board and PIC for consideration and approval; - Institutional contacts are starting to be established with different other institutes / organisations in the perspective of possible future collaboration; - Actual learning from experiences are gradually emerging as for example evidenced by the 2 nd Ease of Doing Business Initiative (EDBI) in Gaborone, Botswana, which builds on the good practices and lessons learned from the first EDBI workshop under the CA the year 1 Minutes of the 3 rd Board of Directors meeting of 12 December 2011, Item 6(b) Prime Partners Ltd contract extension ; pp Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 52

64 before in Kigali, Rwanda, including a stronger focus on capacity building for regional integration issues and on proactive facilitation of sustained cross-border peer-to-peer learning from each other processes; Weaknesses / Challenges: - An appalling permanent actual understaffing of the RMCE Office (ED, Operations Officer and Secretary only as its biggest manpower constellation at any point in time during the period under review) in relation to the tasks at hand, further complicated by delayed recruitments and personnel turnover, kept hampering Centre operations throughout; - No Board and PIC endorsed final first year (2011) annual report and second year (2012) annual work plan has been officially received by COMESA by early 2013, leading to the recommendation of the 23th IRCC Plenary Meeting to close the Start-Up Support project financed by the EU through a Contribution Agreement with COMESA as Regional Authorizing Officer; - The submitted annual work plans are not derived from a strategic plan and are not conclusively aligned with the SUP LogFrame - There are no targeted key performance indicators with baseline data at any level of the support project s results chain and as such not forming the basis for annual working planning, performance monitoring and reporting; - Work planning and implementation of activities tended to be ad hoc and incremental, in the broader context of activities management rather than results management; - The CA financed individual training activities (via aide mémoire ) and the other expenditures (including equipment) actually required external prior approval from COMESA on a case to case basis; - In the first project year, only one RMCE training activity was executed and in the second year three, all of which were externally commissioned and executed in close collaboration with these international institutes / organisations (2 with IMFI and 2 with WB), symptomatic for a general situation whereby RMCE is utilized by well-established institutes as mere conduit for executing pre-packaged activities; - Generally, the regional integration focus of the training / capacity building events is not clear, neither are the selection criteria of the participants (e.g. trainings included participants from outside ESA-IO Region consisting of 28 countries; - There are no overall training reports with narrative and financial sections, list of participants, detailed participants evaluation reports, all compiled and integrated in a document, making it very difficult to assess these events in terms of contents, participation, financial aspects and follow-up / results (outputs, outcome and impact); - Much delayed transfer of 1 st year CA resources to RMCE by the middle of 2011 only, in turn causing much delayed centre activities; - The financing of the RMCE capacity building events is scattered over different agencies and sources and not transparent; - Inadequate and sub-standard office premises not worthy of a centre with regional excellence ambitions; - Reported personality clashes and harsh tones of different mail exchange are symptomatic of a generally not so positive RMCE organisational culture (both within the governance and operational levels as between them); - Internal divisions within the host Government on both the strategic directions of the Centre and its actual operations cause the RMCE to be perceived as under the tutelage of the Ministry of Finance and Economic Development solely, as transpiring from the interviews. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 53

65 4.6. Financial Analysis A. Observations and Findings The CA Budget and Tranches: The EU funded RMCE start-up project is implemented on the basis of a Contribution Agreement (CA) signed between COMESA as Regional Authorising Officer (RAO) and the European Commission on 21 December 2010 for a project duration of 42 months until 21 June EU budgeted resources under the CA amount to 5.6 million Euro with a Government of Mauritius contribution as host country equivalent to 723,000 Euro. 1 Budgetary provisions are made for the three key result areas of the support project (effective establishment of RMCE, Skills building and training services, and advisory services and political dialogue support). The successive annual work plans with budgets for the following year together with the annual narrative and financial reports of the just preceding year duly approved by both the RMCE Board and Project Implementation Committee (PIC) will form the basis for the successive tranches releases as stipulated in the Contribution Agreement. With the signing of the CA came a first pre-financing authorization for calendar year 1 in the amount of 814,855 Euro 2, of which COMESA received a total transferred amount of 748,855 Euro as total actually budgeted. COMESA is entitled to utilize these CA resources to incur expenditures on behalf of RMCE or to transfer funds to RMCE in Mauritius for expenditures in accordance with the approved annual work plans and budgets as governed by the Implementation Agreement signed by COMESA and RMCE.. Separate RMCE financing by the Government of Mauritius is within the framework of the Host Agreement with the RMCE, established as a Not-For-Profit Private Company Limited by Guarantee under Mauritian Law. Other Financing Sources and a Comprehensive Financial Analysis and Audit: For the financial period between 29 March to 31 December 2010 preceding the CA, all RMCE expenditures were paid from the contribution it received directly into its bank account from the Government of Mauritius. There have not been EU transactions under the CA in 2010, but occasional specific EU funding was received indirectly in that period still from other EU sources 3. As per its Terms of Reference, the present evaluation only relates to the RMCE start-up project under the CA, but obviously a comprehensive performance and financial analysis or audit would need to cover all funds made use of by RMCE regardless their origin. General Observations and Findings of the Financial Analysis: Since it very start up to this day, RMCE does not have its own accounts department and there also is no officer having the required qualifications and technical knowledge regarding accounts and the accounting function. The accounting and finance function is outsourced to a local Mauritian consulting company 4 which at the same time also is the Company Secretary. The accounts are processed in the company s premises and the documents are also physically kept in their place, thus different from the RMCE office. This is an issue not without importance as COMESA as RAO only finances projects provided the responsible recipient organisation has a solid and reliable accounting system managed by sufficiently qualified personnel. This requirements also stems from COMESA s recognition by the EU as qualifying itself for EU funding by means of Contribution Agreements The overall budget, the budget breakdowns by project result area, by type of expenditures and by financial year, and the financing and implementation modalities are presented under earlier Chapter 3.2 The Contents and Modalities of the EU Support Project on pages 14 to 16 of this report. EU-COMESA Contribution Agreement Ref. No. FED/2010/ Decision Number ; Article 4 Narrative and financial reporting and payment arrangements providing an overview of the pre-financing tranches by calendar year, and Annex I Description of the Action Chapter 4 Implementation and Budget As for example the financing of the position of the Officer-in-Charge ahead of the assumption of duties by the Executive Director on 1 August Prime Partners Ltd, with office location at the 15 th floor of the Air Mauritius Building, Saint Louis, Mauritius Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 54

66 There is no visibility / transparency regarding the funding of RMCE or RMCE activities by other parties, national or international. There is no consolidated accounting information available for the different RMCE courses funded from different sources (national and international), by different Development Partners or by a mix of Development Partners. This information should have been visible from / available in the general ledger, if only there had been one. This absence of a general ledger system does not provide assurance that the accounts are correct and reconciled in their entirety. The absence of the accounting function in RMCE also implies that there is no accounting supervisory function established, which also hampers solid assurance for the proper use of EU funds. For that matter there is no segregation of duties on processes, one of the basic principles underpinning the accounting function. A series of basic documents crucial for the current evaluation could not be obtained. These include for example: (i) Quarterly management accounts as required by the Implementation Agreement; (ii) Consolidated monthly management accounts comprising both the Euro and Mauritian Rupee (EUR and MUR) accounts, and both the accounts kept at COMESA and at RMCE office; (iii) The 2012 accounts (cashbook, general ledger and reports) from COMESA are still awaited at the time of this report writing; (iv) The Consolidated General ledger (GL) in EUR and in MUR, the absence of which limits the assurance that the accounts are complete and correct, and for that matter also the audit trail is limited; (iv) Consolidated cost and actual expenditures figures for each workshop / course / event organised (both EUR and MUR components) (v) Accounts are prepared in Excel rather than making us of an accounting software package; (vi) Other documents not found, include for example: Monitoring report; Medium-term operational strategy; Budget and budget working details by activity; Detailed budget / cost estimates; Internal audit written procedures. Non-compliance with the 2011 Financial Rules and Regulations was noted with regard to the following: - Rule 34: Non establishment of the Reserve Fund - Rule 51: Non establishment of the Purchase committee - Rule 52: Non establishment of the Contracts Committee - Rule 54: Payments No evidence that payments were recorded into the accounts as of the date the payments were made - Rule 61: Maintenance of accurate and proper records Journal and ledgers have not been established The accounts for financial years 2010 and 2011 have been audited. The 2012 accounts are not yet ready to be audited. It was noted that the 2011 accounts were submitted with delays. It is general good practice to meet the deadlines as stipulated by the Registrar of Companies. Ideally the RMCE Office should have had its own accounts and finance department. The accounting system at the RMCE should have been able to provided us, evaluators, and others the following reports: - A general ledger system with the detailed transactions of the RMCE both in Euro and MUR, and consolidating expenses incurred by both COMESA and RMCE Mauritius office; - Consolidated accounts in Euro and in MUR, be it expensed by COMESA or by Mauritius RMCE office; - A separate account exposure per RMCE course run and per workshop consolidated for payments made by COMESA and by Mauritius RMCE office. Applied Risk Based Evaluation Approach and Methodology and Outputs: As the above general ledger system has not been established at the RMCE office, only the Euro account of Mauritius office and the Mauritian Rupee account for Mauritius office could be accessed for the evaluation. As per the RMCE Implementation Agreement, outsourced accounting figures have been sent to COMESA head office for consolidation, but no reports are available yet. As such it was not possible to get the full picture of the accounts, and as such the evaluators only were able to look at the EU support to RMCE Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 55

67 Office in Mauritius. For that, the evaluation team took stock of the documents available at the RMCE. Accounting documents were only submitted to the evaluators at the field mission debriefing session held on 17 May The reports submitted were in Excel version, as no accounting software is being used to produce a general ledger providing the detailed accounts by account heads. The entries have been examined and the eligibility of expenses investigated by tracing the payments to their invoices, bank statements, and aides mémoire through which transactions had been approved for payment. As there was no accounting system in place, as such also no assessment of such system could be made. It also was not possible to make an assessment of the supervisory function as there was none since the accounting function was outsourced to a third party consultant. The applied risk based approach to evaluation covered the tracing of high value items (payments), fixed assets purchases and other payments to their source documents. Tables 5, 6 and 7 under financial analysis Annex 6 to this report 1 provide a detailed analysis of all transactions for the years 2011, 2012 and 2013 up to 31 March which have been effected by RMCE in its Euro account. In these tables, each material item / transaction has been traced to its source document and eligibility has been ensured. In case there are issues on the transaction, these are highlighted in the tables and reservations are commented on. EU Funds Usage by the RMCE Mauritius Office: The below Table 11 gives the summary totals of the transactions recorded in the RMCE Mauritius Euro account for the years 2011, 2012 and 2013 up to the 31 st of March. In 2011 and 2013 there were only a few transactions, while most of the transactions occurred in A total of 383, Euro has been banked in the RMCE Mauritius Euro account and out of this 329, Euro (or 43.96%, less than half see figure 4 on the next page) have been actually spent, leaving a balance of 54, Euro as at 31st of March 2013 which is 14.15% of the total transferred RMCE funds. Broken down by RME LogFrame results, the vast majority of the expenditures are in relation to result 2 skills building and training with 242, Euro or almost three quarters (73.57%) of all expenditures. The total expenditures for result 1 related to the establishment of the RMCE amount to 82, Euro, or 24.94% of the total expenditures so far. Table 11: Summary Receipts and Payments EU Fund Usage by the RMCE Mauritius Office as at 31 March 2013 (Euro Account Only), with Breakdown by Year and by LogFrame Result - In Euro Calendar Year Receipts and Payments (RMCE Mauritius Euro Account MCB HO) Total Receipts Total Payments Balance Balance in % of Receipts Breakdown of RMCE Mauritius Euro Account Payments by RMCE LogFrame Results Result 1: Result 2: RMCE Skills Building Establishment and Training Result 3: Advisory Services Other , , , % 9, , , , % 72, , , Totals 383, , , % 82, , , Totals Budgeted / Transferred per the First Pre-financing Tranche upon Signing of the Contribution Agreement 748, , , , Balance 419, , , , Fund Usage (Actual Payments in % of Budgeted) 43.96% 31.16% 54.63% % Source: Contribution Agreement, Annex 3.2, and; RMCE Mauritius Euro Account 1 Table 5: MCB Euro account only (RMCE Mauritius) for the year ended 31 December 2011 (with balances as per cash book and per bank statement) Annexes page 49 Table 6: RMCE cash book euro account 01 Jan 31 Dec 2012 (in Euro) with cross-checked validations and allocation of expenditures to RMCE results as included in the RMCE Support Project LogFrame Annexes pages Table 7: RMCE cash book euro account 01 Jan 31 March 2013 (in Euro) Annexes page 54 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 56

68 This total of 329,190 Euro expenditures by the RMCE Mauritius on its MCB Mauritius Euro account representing only 44% or less than half of the CA first pre-financing tranche transferred to RMCE Mauritius for the first year of operations indicate strong absorptive capacity issues of the RMCE. To bring all even more in perspective, these expenditures represent less than 6% of the total Contribution Agreement budget, which is visualized in the second above figure. From this absorptive capacity issue, strong organisational, managerial and governance dysfunctionalities of the RMCE so far may be deduced. At the same time, as can be gleaned from the beside Figure 6 virtually all expenditures were recorded in 2012 (96.99%), more particularly in the first half of the year when the Executive Director was in position, further attesting to the need for a strong management and full staffing of the Centre. As the reported total expenditures only relate to the RMCE Mauritius Euro Account, the proportional figures of these total expenditures in relation to for example the total CA 1 st year budget (38,38%) and the total CA 1 st pre-financing tranche (40.40%) indicate that also the other entities entitled to make expenses in relation to RMCE as for example COMESA central office need to be included in the analysis to come to a more complete, holistic assessment of financial managerial performance of the RMCE. As the expenditures breakdown under above table 4a shows, fund usage has been lowest with regard to Start-Up Project LogFrame Result 1 on the establishment of RMCE, which already is indicative particularly against the background of the huge challenges in the organisation and operationalisation of the RMCE office and having it staffed as envisioned / necessary. Summary Expenditures by Type / Nature of Expenditures: The below Table 12 and Figure 7 show the detailed expenses by type / nature of expenditures (Account Heads) covering the period from 01 January 2011 to 31st March 2013, date of last bank statement made available. The breakdown of the total expenditures in the amount of 329, Euro incurred on the RMCE Mauritius MCB Euro Account is done over 12 main expense categories as shown in the table rows. By far the largest expenses in the amount of 247, Euro were incurred in relation to the conducted training courses / capacity development events, which is 75.10% or more than three quarters of all expenditures. A also visualized in Figure 8 hereafter, the two courses externally commissioned by the Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 57

69 Table 12 : Summary Expenditures by RMCE by Type / Nature of Expenditures and by Year for the Period (MCB Mauritius Euro Account) - In Euro Type / Nature of Expenditures Year in EUR Total In % of Total 1 Board Meeting 9, , , % 2 Professional services 6, , % 3 New Business Development 5, , % 4 Ease of Doing Business 32, , % 5 FMA course (IMF) 99, , % 6 EMI conference 114, , % 7 MIOD sub-workshops % 8 Bank Charges % 9 Car Purchase 32, , % 10 Computer equipment 15, , % 11 Office equipment % 12 Other overheads % Totals in EUR 9, , , % in % Total 3.00% 96.99% 0.00% % - Total expenditures (MCB Mauritius Euro account) in % of RMCE budget Expenditures in % total budget 5,600, % Expenditures in % 1st year budget 857, % Expenditures in % of 1st pre-financing tranche 814, % (1st disbursement = 95% pre-finance of 1st year budget) Total expenditures on Training / Capacity Building (MCB Mauritius Euro account) Total expenditures on training / capacitiby building 247,201 In % total expenditures (MCB Account) 329, % In % of 1st year budget technical support & cap. build. 665, % IMFI had far larger cost sharing repercussions for RMCE compared to the two Ease of Doing Business workshops / conferences co-organised with the World Bank and ICDPM. The purchase of the office car and computer equipment for the RMCE office were also imputed on the RMCE Mauritius Euro Account in The expenditures for the three Board meetings (of which the last two combined with PIC back-to-back meetings) charged against the RME Mauritius Euro account amounted to 21,489 Euro (or 6.53% of the total expenditures), or an average of about 7,163 Euro per meeting. It should be reiterated that all the here reflected figures concern expenditures charged against the RMCE Mauritius Euro account and thus not necessarily reflect the full costs or expenditures for these different categories of expenditures. For example, these figures do not incorporate any expenditures made Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 58

70 against the Mauritian Rupee account, the RMCE Euro account of COMESA as Regional Authorising Officer, the Government of Mauritius account established for RMCE, or the accounts from any other sponsoring / collaborating partner institution or other third party. Detailed Tables and Figures: The full set of financial tables and figures at the basis of this financial analysis is included under Annex 6 to this report. The index of tables and figures can be found on the overview pages on annexes pages Financial Self-Sufficiency and Internal RMCE Commissioning of Training: As per its Constitution and per the SUP Contribution Agreement, RMCE is tasked with achieving financial selfsufficiency. Accordingly it will need to progress from 100% external commissioned training services with the RMCE itself meeting the majority of costs (as has been the case in the 2011 and also 2012 work programmes) to a partnership model with other organisations accompanied by an increasing degree of cost sharing and revenue generation. As per the 2012 AWP, the target should be to have a significant proportion of RMCE service ownership and outside coverage and fee payment by In the longer run, the goal for RMCE therefore should be to proactively develop its own managed training programmes, hiring outside academic/training resources either individually or through institutions and to subcontract outside professional and academic help either through partner organisations (networks and twinning) or through individuals. This may take the format of modular training courses of one to three weeks duration on regional integration topics along business school lines with accredited certification, or of 2-5 day Regional Organisations commissioned workshops on policy specific or technically specific topics and based on priorities identified by the REC Committees. In the 2012 RMCE work plan it is realised that on the basis of the operational strategy a major requirement during 2012 and the coming years is to move away from the current model of externally commissioned courses. However, in the list of 18 courses included for (possible) implementation in 2012, there is no such move to RMCE commissioned capacity building services offerings visible. On the contrary, all 18 proposed training / capacity development events are externally commissioned by well-established and reputable international institutions with their own widely recognized added value in the subject fields (e.g. IMF Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 59

71 Institute, IMF Afritac South, World Bank Group, Rockefeller Foundation, ECDPM, SSNED, etc.). Also, there is a need to be more selective in prioritizing trainings and training topics along the criterion of their effective contribution to regional integration. Out of the four events co-organized by RMCE only the Regional Conference to improve the ease of doing business in Eastern and southern Africa held in Gaborone, Botswana, in March 2012 had a more direct link and on closer reach to Regional Integration. The courses Financial Market Analysis (FMA) and the Economic and Monetary Integration (EMI) were more of the academic type and their capacity building perspective in accordance with the rationale of the RMCE and per the objectives of the RMCE Start-Up Project is not so clear. It may be recalled that in the 3rd RMCE Board meeting held on 13 December 2011 it was decided that RMCE should de-prioritise macroeconomic training courses and Public Financial Management programmes where the links to regional integration and the RMCE value added vis-à-vis other well established and reputable institutions are not so obvious. Major Absorptive Capacity Issues: Whereas the above Figure 9 shows the relative importance of the expenditures for training and other capacity development events is very substantive in relation to other CA expenditures and thus attesting to the RMCE expenses mainly directed toward capacity development services delivery towards its main stakeholders / clients, the other above Figure 10 shows that much more could have been done with the available funds as almost two thirds of the Contribution Agreement first year budget for technical support and capacity building has not been used, attesting to major RMCE absorptive capacity issues. Some Specific Issues Emanating from the Financial Analysis: Three specific issues have come across while executing the financial analysis which deserve some special attention for appropriate action taken: (i) VAT refund: As VAT expenses are ineligible under the EU financing rules and regulations, the VAT refund needs to be claimed as soon as possible from the Mauritius Revenue Authority (MRA) in order to avoid problems which may arise from waiting longer, especially since no RMCE Accounts Department is in place and services are outsourced through temporary contracts. So far no action has been noted in this direction; (ii) Vehicle for the ED: The car for the Executive Director was purchased with urgency. The unit was purchased straight away without authorization of the Procurement Committee needed. Also, no documents on the Board approval for the purchase were found. Its present physical location is unclear; (iii) New Business Development: A total of 4, Euro was spent on air ticket and per diems for the New Business Development event in Arusha/Tanzania wherein only the ED participated. This item does not appear in any work plan or other programming document, whereas evidence of approval by COMESA was found in the records. CA Tranches Releases and Actual Transfers: A total amount of 748,855 Euro was budgeted to be spent for the period ending 31 December Of this approved budgeted amount, 711, Euro was credited to the COMESA Euro account in relation to the approved work plan for 2011.The amount received was lower than the amount foreseen in the Contribution Agreement (first pre-financing for Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 60

72 Calendar Year 1 amounting to 814,855 Euro and Forecast second pre-financing for Calendar Year 2 budgeted at 1,884,889 Euro) 1 in recognition of the reduced number of months available to implement activities approved in the 2012 work plan. This credited amount to the COMESA Euro account was gradually released to RMCE Mauritius Euro account as per the activities that were carried out during the period up to 31 st March 2013, cut-off date for this analysis. An total amount of 26,139 Euro was released in 2011, and 346, Euro in 2012 to the RMCE Euro account kept in Mauritius. The COMESA ledger for 2012 was not available to cross-verify the amounts transferred from the RMCE Euro account kept at COMESA. The EU fund transfer amounting to 711, Euro has been used to pay for expenses incurred by COMESA on behalf of RMCE and also by RMCE Mauritius for its operations A total of 54, Euro is left in the RMCE Euro bank account in Mauritius as at 31 March The accounts from COMESA were not made available to the evaluators, as such it was not possible to confirm the amount remaining on the RMCE Euro account kept by COMESA as at the cut-off date of this evaluation. As further detailed in the preceding Chapter 4.5 on operations and operational management, the final revised work plan and budget for 2012 incorporating the comments from the Board and the PIC, have not been submitted to Comesa as RAO and per the CA also the overall responsible entity for the implementation of the Contribution Agreement and as such no further releases or transfers were affected, with ultimately the project recommended for closure by the IRCC Plenary meeting on 20 February 2013 Other Issues Emerging from the Financial Analysis Documents Study and Interviews: (i) Throughout the financial function in RMCE has been marred by major institutional and personnel constraints. These issues are broadly covered in the preceding report chapters concerned 2. This particularly pertains to the absence of an accounting unit / department in RMCE despite this being a topic discussed by the Board from the very onset and recommendations made accordingly. Amongst others, the recruitment of the Finance and Administrative Manager on the agenda from the early start of the RMCE never materialized; (ii) The internalization of the accounting function within the RMCE Office never materialized as the RMCE position of Company Secretary was never filled despite Board decision to start and follow-up on the recruitment 3 ; (iii) Financial information is very scattered and only partially available / accessible, hence the need for a consolidated accounting system. This was also noted by the Board when discussing financial management and commissioning the 2011 audit. The minutes of this 3rd Board meeting in this regard read 4 : The Board noted the forecasted expenditure and balance of Euro and Mauritian Rupee fund and the need to audit and account for all expenditures in the 2011 annual financial statement as it was mandatory ; (iv) The RMCE Start-Up Project being financed through a Contribution Agreement, it has not been possible for the evaluators to use the EC CRIS 5 Database for its financial analysis, while this is the official source of financial and contracting information made use of for project evaluations. The CRIS printout of 23 April 2013 on the RMCE Start-up Project obtained from EUD for example does not contain a detailed listing of individual contracts and expenditures beyond the overall tranche releases to COMESA as overall responsible party for CA implementation; (iv) Although delegated financial authority to the ED (and the Administrative and Finance Manager, once recruited and assuming duties) was formally granted by the Board, the actual situation remained of necessary compliance with the provisions of the Contribution Agreement for the RMCE Start-Up Project with COMESA bearing overall responsibilities for the implementation of the project. Agenda items 5(d) and 5(e) of the 3 rd meeting of the RMCE Board 6 capture the deadlock emanating from these two systems and the interpretations given, negatively affecting operational management as was confirmed by different interviewed parties Contribution Agreement; Article 4. Especially Chapters 4.3 Institutional and governance aspects:, 4.4 Legal aspects ; and 4.5 Operations and operational management. Recruitment for the staff position of Company Secretary was ratified by the Board on the occasion of its 3 rd Meeting on 12 December 2011 Op. Cit.; Item 7 on the Agenda; pp EuropeAid's Common RELEX Information System Op. Cit.; pp Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 61

73 B. Summary Strengths / Achievements and Weaknesses / Challenges Strengths / Achievements: - Continued perseverance of RMCE management and staff in attempting to comply with the various requirements of sound financial management and accounting despite all constraints and, particular, despite the absence of a qualified financial and administrative staff member in the RMCE office; - Attempts to come up with Financial Rules and Regulations and Procurement Rules and Regulations for approval by the Board for introduction in the RMCE office; - The attention given by RMCE Board and PIC to financial reporting and to accounting matters; Weaknesses / Challenges: - Only piecemeal and scattered financial information and reporting is available making it very difficult if not impossible to make a comprehensive, in-depth financial performance analysis; - Crucial financial and related documents and information was only made available to the evaluators at the moment of the field mission debriefing session; - Because of this limited availability of financial information and also as the evaluation focus is on the EU start-up project assistance to RMCE, only a financial analysis of the RMCE Mauritius MCB Euro Account could be made (hence not of the Mauritius Rupee account or of the accounts with COMESA as RAO and bearing overall RMCE SUP project implementation responsibilities; - There is no established financial management and accounting function in the RMCE Office and there is no segregation of duties in the accounting function - The approved office positions of Administrative and Finance Manager and of Company Secretary been not been filled up; - RMCE accounting is outsourced to a local consultancy company, which also is entrusted with the responsibilities of Company Secretary, thus leaving the door open to possible conflicts of interest; - Only part of the RMCE and project management documents are available within the RMCE office premises and financial and accounting records and documents are physically kept outside of the RMCE premises; - There is no regular financial management reporting; - All financial records are in Excel spreadsheet format and no accounting software package is in use: - The financial reporting included in the annual narrative and financial reports is basic and the 2011 financial reporting was contested by the RMCE Board and PIC, leading them to request for further clarifications and information to enable final approval; - The reviewed Financial Rules and Regulations and the Procurement Rules and Regulations have not been approved or effectively introduced and implemented; - There are no comprehensive, encompassing financial reports available with consolidated figures on the conducted training and capacity building events; - More in general, there is no reconciliation and consolidation of incomes and expenditures in Euro and Mauritian Rupees, neither with the figures from other partner / funding partners; - The fixed assets register does not show the locations of several assets; Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 62

74 - The VAT refund has not yet been reclaimed and there is no indication of an intention to do so; - Incompatibilities between the financial management requirements emanating from the RMCE start-up project Contribution Agreement and the Implementation Agreement on the one hand and the RMCE hosting agreement and constitution as a private company limited by guarantee kept requiring disproportionate time and energy from management and governance levels and kept hampering smooth project implementation at the operational level; - The delegated financial authority to the RMCE Executive Director (and the Administrative and Finance Manager) has not materialized yet and this kept hampering smooth project implementation and RMCE financial management; - Delayed submission of annual operational and financial reports caused delays in approval and release of tranche funds for the next year; - Delayed transfer of funds to RMCE Mauritius for financial year 2011 by the middle of the year only caused delays in actual implementation of activities and of the project in general; - Limited EU Funds usage by the RMCE Mauritius Office and limited absorptive capacity of the whole RMCE set-up in general; 4.7. Effects and Impact on Regional Integration A. Observations and Findings The Focus of Project Design on Regional Integration Outcome and Impact: The design of the RMCE start-up project is highly results oriented. This in first instance pertains to its direct results, thus its outputs, in terms of effective establishment of the RMCE, of training and other capacity strengthening services to its identified main stakeholders /clients, and of advisory services and policy dialogue support services. But it probably even more applies to the project s higher result, hence the project s effects and impact, in terms of contribution to improved regional integration and regional cooperation policy decision making processes and regulatory quality in the ESA-IO region, as clearly stipulated in the Contribution Agreement s objectives and reflected in the Project s Logical Framework attached to the CA. 1 The project therefore has an outcome and impact focus on capacity development through training and services to Regional Organisations, Member States, private sector organisations, Non-State Actors and other stakeholders in the region with the aim to enhance regional cooperation and integration. Hence also its strategic and operational focus on cooperation with and capacity strengthening services to the five Regional Organisations and their Member States. This explicit results orientation of the RMCE to regional integration and cooperation outcomes and impact is also clear from the special attention given in the RMCE Business Plan and in the CA itself to the establishment in the beginning of the project of a monitoring and evaluation framework to set targets on outcome and impact key performance indicators and the collection of baseline data thereon to enable measurement of project progress and results. The Concept of Regional Integration and Its Proactive Pursuit: Whereas the project design document are explicit and clear with regard to this regional integration focus, this is not necessarily even clear in the actual project implementation and concrete operations. Part of this is related to different interpretations given to the concept of regional integration and particularly which focus areas should be concentrated on. Whereas the CA based on the Business Plan focuses on five areas of economic integration, the holistic concept of economic integration covering also political, social, ecological regional integration at the basis of the RMCE feasibility study has been the subject of continued exchanges and discussions between the main stakeholders concerned, as for example is 1 RMCE Start-Up Project Contribution Agreement of 21 December 2010: Objectives on page 6 of the CA Description of the Action and Logical Framework attached as Annex 1 thereto. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 63

75 documented in the minutes of the successive Board meetings. From the interviews with a broad range of RMCE key stakeholders this consensus (building) on the Centre s strategic focus and niche areas emanated as a crucial, if not the single most factor, in ensuring project and by extension RMCE impact on regional integration. This strategic focus and the niche areas of the RMCE as regional centre and the different issues at stake are extensively discussed in a prior chapter of this report. 1 In order to further highlight this focus on capacity strengthening for regional integration and stress the Centre s added value and niche area vis-à-vis other regional and international institutes and organisations, it is further illustrated that this strategic focus and impact pursuit preferably is incorporated in the name itself of a possible new centre, e.g. as Regional Multidisciplinary Centre of Excellence for Regional Integration Foundation, in short RMCE-RI Foundation. 2 Too Early for Impact Measurement or Assessment: Of course it is much too early, if it already makes sense at all, in the context of a mid-term evaluation and now of a de facto ex-post evaluation in view of the IRCC Plenary Meeting recommendation to close the project, to already now think of actual impact measurement of the RMCE and its operations. This is too premature and the issue is simply too complex, not to talk about the substantive methodological reservations related to causality, attribution and time lag related issues of impact measurement and assessment. This was underscored already in the 1 st Meeting of the Project Implementation Committee (PIC) of 5 September 2011,of which in the minutes is realistically reflected: The operating context is complex and it is going to take time to forge and grow the many relationships with customers, partner service providers and funders that will make RMCE a success. Reaching full capacity will take time and according to the Business Plan it is not expected before At best can be assessed if the RMCE and its operations have been effectively geared towards sustainable impact generation vis-à-vis regional integration and the necessary preconditions have been adequately set for that. Actual Impact / Higher Results Focus of RMCE Strategy and Operations: Are briefly summarize hereafter a number of features of RMCE and of RMCE start-up project operations which are of direct or indirect relevance for the assessment of their actual outcome/impact orientation towards regional integration facilitation through capacity strengthening: (i) (ii) (iii) Not only in the design documents and the CA itself, but also in policy speeches and Board discussions, this necessary strategic outlook on multidimensional regional integration of the RMCE is underscored. Just by way of illustration some excerpts from the speech of the Assistant Secretary General of COMESA at the launch of the first RMCE Board Meeting: But regional economic integration does not only regards trade, it also refers to broader issues on market, social and political integration The RMCE should be a centre where the officials in our government, in our regional institutions, as well as the private sector and the civil society, can come and receive the relevant information, can be consulted on their needs and can set a network to be developed in order to progress towards regional integration. There is not naivety in our ambition. We know that our mission is not only to centralize and provide information but also to monitor and follow up on the implementation of the training, peer learning, and advisory services that the RME will provide ; However, in the process actual RMCE operations tended to lose out of sight this strategic impact focus. Of the four conducted training / capacity building events, three did not have an explicit regional focus as ad hoc, one-shot events without follow-up. Two proved to be academic courses on specific macro-economic, financial and monetary issues. Only the Ease of Doing Business in Eastern and Southern Africa conference in Gaborone, Botswana of March 2012 had this explicit impact generation focus with the event designed to be a catalyst of sustainable networks of peer-to-peer learning from each other, with proactive facilitation by RMCE; An illustration of the attempts to focus RMCE operations and the monitoring & evaluation of these more on outcomes, are a number of communications between the ED and the Chair of Chapter 4.2 on pages 23 to 32. Further discussions under earlier chapter 4.4 on legal aspects. Minutes of the 1 st Project Implementation Committee (PIC) meeting of 05 September 2011; p. 2 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 64

76 (iv) (v) (vi) (vii) the BOD of early April 2012 after the March 2012 Gaborone Regional Ease of Doing Business Conference 2012, co-organised by RMCE with the World Bank, ECDPM and the Government of Republic of Botswana, and with private sector sponsorship from Barclays Bank Botswana. The following excerpt is self-explanatory: The introduction of an M&E component to the EDBI was welcomed by delegates. The resultant Draft Review of Reform Progress Report and Draft Monitoring and Evaluation Framework were presented to the EDBI Steering Committee (SC), who held their third meeting in the margins of the Gaborone Conference. RMCE served as Secretariat to the Steering Committee. But only anecdotal evidence that the two earlier conferences led to a few countries adopting best practices learned at the conferences and that several countries organised their own bilateral visits on reform topics on the back of contacts made at the conferences. As these past conferences were run without an M&E framework or clear statement of objectives it was not possible to measure impact in any more meaningful terms. Evidence of reform progress more broadly is captured by the Doing Business Indicators RMCE tabled a draft M&E framework at the SC linked to the adoption of a broader EDBI programme, however there was no discussion of this by the Steering Committee. There was also no discussion of a collective targeting on improvement in rankings across the region. I imagine that commitment to such collective objectives would need to emerge from a political process between Member States rather than a peer to peer learning conference that represents only one very small part of the reform process underway. The initiatives undertaken under the inspiration of RMCE towards a stronger regional integration focus already were a main step forward. The RMCE Board already asking for / stimulating follow-up actions after the earlier EDBI / competitiveness workshop of November The RMCE as private company under Mauritian law tended to be seen by the stakeholders as a national undertaking rather than a regional Centre. Moreover, the representation of the Government of Mauritius in the Board as host country by the Ministry of Finance and Economic Development was perceived by many interviewed parties as enticing a disproportionate focus on monetary, financial and macro-economic aspects of regional integration. Many interlocutors preferred this to be seen balanced by the more holistic perspective which could have been brought in by a more firm representation in the Board of the Ministry of Foreign Affairs, Regional Integration and International Trade which has regional integration matters integral part of its mandate, and by the more academic and scientific perspective of the Ministry of Tertiary Education, Science, Research and Technology; Despite the design and operationalisation of the RMCE Monitoring and Evaluation (M&E) Framework a recurrent agenda point and actual discussion topic of the different subsequent RMCE Board Meetings and PIC Meetings, this framework never got designed, let alone operationalised. With the skeleton personnel of the RMCE Office, nobody particular was in charge of M&E matters. As an indication of the actual relative importance given to the function, in the proposed organisational chart and staff recruitment plan presented by the ED to the 3 rd Board meeting, the recruitment of an M&E officer was only foreseen for the end of the following year, and thus actually as secondary priority. 2 In view of the vital strategic importance to keep the RMCE and its operations focused on regional integration impact, on different occasions interviewed parties by the evaluators made proposals in the direction of a Regional Integration Capacity Strengthening Impact Advisory Committee to be included in the new RMCE institutional chart to ensure strategic RI focus of the operations and on the other hand to inspire the Board on regional integration strategies and key operations. The Logical Framework never got updated and the results Key Performance Indicators (output, outcome and impact levels) did not get targeted, neither were baseline data collected to enable impact assessments / evaluations in a later stage. 1 2 Minutes of the 2 nd Board meeting of 16 June 201. RMCE Strategy, Work Plan and Budget 1 January 31 December 2012; Draft for RMCE Board discussion on 12 December 2011; December 2011; pp. 7-8 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 65

77 (viii) (ix) Whereas initially the pursuit of networks with other institutes and the conclusion of Memorandums of Understanding (MoUs) was proactively pursued as documented in the minutes of the Board meetings (e.g. with ACET, SSNED, etc.) this pro-activeness vanished in the process, with the RMCE focusing more on the execution of externally commissioned training courses / capacity building events; As no RMCE website has been designed yet, the potentials of the electronic media to enhance visibility or to promote networking, or as tools for facilitating post-event peer-to-peer learning could not be explored further systematically; B. Summary Strengths / Achievements and Weaknesses / Challenges Strengths / Achievements: - The huge unmet demand for capacity strengthening on regional integration has been strongly underscored by all key parties and stakeholders concerned on the occasion of the many stakeholder interviews during the field mission - The regional integration focus is strongly embedded in the RMCE design documents and enshrined in the Contribution Agreement: The goal of RMCE and of EU s 10 th EDF support to RMCE is capacity strengthening for regional integration; - There is an active ongoing debate in the Board on the concept and dimensions of regional integration and RMCE s contribution thereto; - As per the RMCE project design, the regional integration facilitation is mainly through the five ESA-IO Regional Organisations (COMESA, SADC, EAC, IOC and IGAD); - The necessary Regional Integration (RI) results (outputs, outcome and impact) focus of training and other RMCE capacity strengthening events and guided processes is strongly underscored by the RMCE Board and PIC; - The March 2012 Regional Ease of Doing Business Conference in Gaborone, Botswana is a good practice example of an RMCE event proactively pursuing capacity building for regional integration objectives through promotion / facilitation of post-event sustained and sustainable peer-to-peer learning networks. Weaknesses / Challenges: - Consensus building on the holistic concept of regional integration and the proactive pursuit thereof is a still ongoing process, with not all key parties fully bought into it yet; - RMCE established as private company under Mauritian law is more seen as a national centre and not (yet) by all as a regional institute promoting regional integration; - No RMCE monitoring and evaluation framework is in place yet to ensure results orientation and performance management accordingly. There are hardly any key performance indicators with target setting and with baseline data collected; - There is no dedicated M&E function in the present RMCE organisational chart and the recruitment of a monitoring & evaluation officer has been delayed / postponed; - The RMCE website has not been designed yet, and hence it cannot be used as tool for facilitating networking, peer-to-peer learning, exchanges of good/best practices. - There is no proactive facilitation of networking on regional integration issues yet to maximize multiplier effects in reaching out for capacity strengthening Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 66

78 4.8. Visibility Assessment A. Observations and Findings Provisions for Communication and Visibility in the CA and Preparatory Documents: As per the RMCE Start-Up Project Contribution Agreement, the importance of strengthening of RMCE communications and visibility is underscored as a key component of the RMCE strategy and operations. Paragraph 5.4 of the CA Description of the Action 1 has as explicit title Communication and Strategy and stipulates that this needs to be ensured through publications, annual and policy reports and the websites of the ROs and the RMCE itself. The CA also indicates that the Regional will refer to the EC funding, unless this affects the achievement of the objectives. 2 Special budgetary resources are foreseen in the Contribution Agreement for communication and visibility. But these provisions in the CA not only refer to the support project itself, more important is that communication and visibility are defined a special core activity of the Centre itself under its overall training and capacity strengthening strategy for regional integration. Communication and visibility are highlighted to be of utmost importance for the RMCE to be known by its potential beneficiaries, but also by other donors as well as counterparts at national level to promote its services and diversify its financial support. The Annual Work Plans (AWPs) need to make due allowance for information, communication and visibility activities. The CA furthermore stipulates that special attention needs to be given to make the actions suitable for awareness-raising of civil society in general on the activities undertaken under the banner of the EAS-IO Regional Strategic Plan / Regional Indicative Plan (RSP/RIP). As specific activities under this strategy are mentioned: (i) Marketing actions undertaken through missions to Member States and Regional Organisations and other stakeholders, and close communication links to be kept between the Centre and the decision makers for human development in all targeted agencies, and; (ii) The RMCE website which also needs to be developed into an important marketing tool. The CA with this is entirely in line with the 2009 Business Plan at the basis of the Contribution Agreement, which elaborates on the Centre s marketing strategy as part of the BP s market analysis. 3 Also in the 2007 joint EU-WB RMCE Feasibility Study multiple references are made to the importance of a strong communication and visibility strategy and operations to ensure its feasibility and sustainability. Communication and Visibility Provisions in RMCE Plans and Actual Operations: Whereas the CA and the RMCE feasibility study, business plan and other crucial design and strategic documents are explicit about the crucial importance of comprehensive, integrated strategy and operations for enhancing the Centre s communication and visibility, actual RMCE governance initiatives generally tended to be lukewarm towards the issues at stake and actual centre operations rather marginal at best. This for example is illustrated by the following, amongst others: (i) (ii) In the proceedings of the first Board meeting of 3 September 2010, no reference is made to the need for a special communication and visibility strategy or a marketing plan, as it was indicated that the RMCE Business Plan could be used to market the RMCE. 4 Explicit provisions are incorporated in the RMCE work plan for financial year with regard to communication and visibility. A rather vague and general reference is made that various marketing actions will be undertaken to build awareness and promote the services that will be Op. Cit.; p.14 Provisions for communication and visibility are integral part of the EC s external cooperation programmes and projects. Full details are provided in the 2010 update of the Communication and Visibility Manual for European Union External Actions. Business Plan of the proposed RMCE, Final draft for Stakeholder Discussion; IRCC / COMESA / SADC / EAC / IOC / IGAD in partnership with the EU and World Bank; 29 May 2009; Chapter 3.4 Marketing Strategy ; pp Minutes of the 1 st Board Meeting of 2 September 2010; Item 5.3 Events ; p. 4 RMCE Work Plan and Budget 2011.; Chapter 1.2 Key Policy Strategies; pp. 5-6; and; Activity 2.5 Plan on Communication and Visibility Strategy ; pp Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 67

79 (iii) (iv) (v) (vi) (vii) (viii) offered by the Centre once these services have been embedded into a clearly defined RMCE strategy and programme. Nevertheless, a budgeted Plan on communication and visibility strategy is explicitly incorporated in the work plan as a special activity, with the dual objective of building ownership and reputation of the centre and to comply with EU visibility guidelines. As expected outputs are mentioned: a marketing brochure about the Centre, the development of an interactive and database driven web site, the launching of the website with initial content, and adverts run in regional and international press. The RMCE Board on the occasion of its 1st Meeting of 3 September 2010 discussed and approved the proposed ToRs for the design and implementation of the RMCE website and marketing communications plan under a special agenda topic, and requested management to start building the expertise database. Up to this day, there however is no evidence of the actual execution of these planned and approved activities. It is remarkable and rather difficult to understand that despite the Board s strategic prioritisation of communication and visibility, of the different staffing positions proposed by Management, it deemed that the post for marketing and communications would not be required for the operational strategy and the 2012 work plan 1 It was suggested to combine this function with the IT function. From the minutes there is no evidence that the agenda item 4(f) on marketing and visibility was effectively discussed. The RMCE Project Implementation Committee (PIC) from its end kept stressing the crucial importance of strengthening communication and visibility of the Centre as is evidenced from the discussions and recommendations of both PIC Meetings of 5 September and 13 December On the occasion of the 1 st PIC meeting for example the concern of the EU Delegation was registered that for the Ease of Doing Business event held in November 2010 there was no visibility of the EU despite it having funded the training and that for the future it should be ensured that donors are given due visibility. 2 The PIC action recommendation was for the Executive Director to come up with a proposal at the next PIC meeting on how to enhance visibility of COMESA, EU and Mauritius at the events. On the occasion of the 5 September 2011 PIC meeting the RMCE Executive Director however noted that there was a need to phase the work on communication and visibility to match the services RMCE was able to deliver. Veering away from a comprehensive, proactive visibility strategy focusing on the targeted stakeholders, interest groups and clients, the ED explained the initial priority would be to prepare a prospectus which could be used to attract funding from other donors. The recommended action was for the ED to establish a timeline for conducting the consultancy. No further specific recommendations or follow up was given to the design of the website or to the marketing and communications campaign approved by the Board. This signalled a de facto redirection of the RMCE visibility and marketing strategy in the direction of possible funding partners. A de facto limitation and shrinking of the marketing and communication strategy and plan to a mere building of an expertise database (thus basically an internal IT undertaking) is indirectly confirmed by the minutes of the 3 rd Board meeting which in relation to the discussion of the proposed ToRs for the design and implementation of the RME website and marketing communication plan only report that The Board noted that Management was building up the expertise database. 3 A paper on Communication and Visibility Plans for RMCE Supporters was prepared by management for discussion in the 3 rd Board meeting of 12 December 2011 and 2 nd PIC meeting right thereafter. According to management, the communication and visibility strategy would be developed and operationalised in the first quarter of 2012 based on a table of activities approved by the Board. In this 2 nd PIC meeting the EU expressed its appreciation of the action taken following the earlier discussions in the 1 st PIC meeting for higher visibility of Minutes of the 3 rd Board Meeting of 12 December 2011; Item 4(d) Organisational structure and staffing; p.8. Op. Cit.; p.2 and Item 5 Visibility Strategy ; pp. 3-4 Op. Cit.; Item 3.21; p. 6 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 68

80 (ix) (x) (xi) (xii) the RMCE and the start-up project. The Committee approved the proposal for developing communication an visibility plans for RMCE supporters and requested the ED to coordinate with EU Delegation in Mauritius to follow-up on the EU communications and visibility plan. There is no evidence of any concrete action undertaken by RMCE in follow-up to these Board and PIC decisions. There is no reporting on any initiatives undertaken regarding communication and visibility undertaken in the following periods. The Mid-Year Narrative and Expenditure Report for the Period 1 January to 30 June 2012 prepared by the Executive Director for submission to the RMCE Board of Directors and PIC Members in August 2012 is restricted to one sentence only under the heading Website design and promotion services as: The consultancy proposed by the ED in March to take the design work forward, was not approved by COMESA. 1 Up to this moment of evaluation reporting, there is no evidence of an RMCE website, neither of an approved communication and visibility strategy, neither of concrete promotion and visibility materials of the RMCE; As far as the visibility of the four training / capacity building events organised by RMCE with support from the Start-Up Project are concerned, only in relation to the fourth Regional Conference to Improve the Ease of Doing Business Conference in Gaborone, Botswana, of 28 to 30 March 2012, initiatives for a broader media coverage are reported on. The present RMCE Office physical premises do not contribute to a positive image of the Centre. B. Summary Strengths / Achievements and Weaknesses / Challenges Strengths / Achievements: - The Financing Agreement includes specific provisions for communication and visibility not only in relation to the Start-Up Project (SUP) but also as a core activity under result 2 on training and capacity building for regional integration. Explicit budgetary resources are foreseen for the communication and visibility strategy; - Also the RMCE Business Plan and the respective annual operational plans include explicit provisions for marketing, communication and visibility; - In all Board and PIC meetings the RMCE communication and visibility strategy has been a special item on the agenda; - In the Project Implementation Committee (PIC) meetings, special attention is given to communication and visibility matters including requests for RMCE to further strengthen its communication and visibility strategy and to undertake concrete actions. Weaknesses / Challenges: - Despite the attention given at Governance level to RMCE communication and visibility issues as evidenced for example from the Minutes of the Board and PIC Meetings, this has not materialized in substantive concrete initiatives and actual activities; - The proposed position of marketing and communication officer was not approved, but incorporated under the ICT officer position; - The RMCE website has not been developed and actual ICT work is basically limited to database building of available expertise and of partner institutes; - The communication and visibility strategy prepared by management for the 3 rd Board meeting of 12 December 2012 with an action plan for operationalisation during the first 1 RMCE Start-Up Project Mid-Year Narrative and Expenditure Report for the Period 1 January 2012 to 30 June 2012; August 2012; p. 7 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 69

81 quarter of 2012 was not implemented, with no actions undertaken except for the database work. The proposed consultancy to work out the communication and visibility plans was not approved; - The discussions on the RMCE communication and visibility strategy in the process got reoriented from a focus on the targeted stakeholders and clients in the region to a strategy focusing on attracting other funding; - With the exception of the fourth RMCE training / capacity strengthening event organised in the period under review in March 2012 in Gaborone, Botswana, there is no evidence of specific efforts to enhance the visibility of RMCE; - The actual size, condition and location of the present RMCE office do not contribute to a positive image of the Centre. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 70

82 5. Overall Summary Assessment and Summary Conclusions 5.1. Overall Summary Assessment The crucial importance of and substantive unmet need for capacity strengthening on regional integration is underscored by all RMCE key stakeholders concerned, hence attesting to the continued relevance of the EU financed RMCE support project and by extension of the RMCE as a centre of excellence for capacity development on regional integration. There is documented, and strongly reaffirmed, evidence of Mauritius strategic objective and commitment by both the public and private sectors and the non-state actors to become a regional education hub of excellence for regional integration. The combination of these two elements, in principle, should provide for a solid and sustainable basis for a vibrant and dynamic Regional Multidisciplinary Centre of Excellence on Regional Integration (RMCE-RI) in Mauritius at the service of the stakeholders in the ESA-IO region, conditional to its due ownership by these main stakeholders concerned and to a conducive overall enabling environment. The different elements of such necessary multi-dimensional enabling environment are further elaborated on and assessed in this evaluation report based on an analysis of eight main evaluation components arrived at in relation to the evaluation criteria and questions, to wit: (i) Project design quality and updating; (ii) Strategic focus and concentration on niche areas; (iii) Institutional and governance structure and culture; (iv) Legal and regulatory framework; (v) Operations and operational management; (vi) Financial management; (vii) Effects and impact on regional integration; (viii) Communication and visibility. In relation to the 10th EDF start-up support to the RMCE is evidenced that this necessary broader enabling environment of the RMCE have been inadequate and dysfunction. This is further aggravated by a lack of ownership of key stakeholders, a deepening governance crisis further compounded by personality clashes between key proponents, an absence of strategic focus and results orientation, sub-standard managerial and operational performance in terms of results, efficiency and effectiveness and financial performance. Operational performance and outputs have been unsatisfactory and financial absorptive capacity insufficient. The combination of these different factors is seriously jeopardizing potential project impact and sustainability already at this early stage of the project. Moreover, the current RMCE status, structure and performance is not projecting a positive image for actual / potential donors or for actual / potential partners, neither for the targeted Regional Organisations, Member States and key stakeholders from both public and private sectors. The recommendation of the 23 rd IRCC Plenary Meeting of 20 February 2013 earlier this year to close the current 10 th EDF start-up support project to the RMCE therefore is further validated and reinforced by the findings of the present independent evaluation 5.2. Summary Conclusions by Main Evaluation Analysis Component 1. Project Preparation and Design The rationale and continued relevance of the project and the RMCE in terms of aiming to address the huge unmet needs regarding capacity development for regional integration are uncontested, as strongly underscored in all documents and by all parties concerned; The iterative consultation process and relentless participatory efforts to get all parties on board of the RMCE start-up project preparation process was highly appreciated and instrumental in building ownership of the project and of the RMCE in general; The rational sequencing of the different phases and sub-phases in the preparation process and the formal adherence to the EU Project/Programme Cycle Management (PCM) guidelines as well as the completion of solid preparatory exercises as a comprehensive feasibility study and a business plan, all guaranteed a solid basis for the RMCE start-u project design and strategy. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 71

83 However, as evidenced by the actual implementation experiences, there were some flaws in the project design with regard to its assumptions, pre-conditions and necessary broader enabling environment of the project and the centre in general, particularly with regard to legal and governance issues and the financing modality through a contribution agreement. Delays in the start of the project in combination with a rather protracted project preparation process without further design updates brought with it that changes in the broader environment meanwhile (incl. the emergence of other institutional players) and evolving capacity development for regional integration needs were not sufficiently reflected in the final project design as approved (e.g. with regard to concentration on high added value niche areas); There is no evidence that after the feasibility study conducted in early 2007, an updated and systematic needs assessment has ever been conducted at the level of the main targeted clientele / key stakeholders, including the five regional (integration) organisations, the 28 member states, and both public and private sectors, in the covered ESA-IO region, thus resulting in a missed opportunity to provide a more solid basis for mitigating potential risks emanating for an in principle demand based, evolving and market segmented services programme; The project LogFrame has not been converted into a multi-annual strategic plan / rolling plan at the onset of the project, with target setting on measurable, or at least objectively verifiable, key performance indicators for all levels of the results chain for effective use by the RMCE, and thus the LogFrame has never been used for / has never been effectively guiding strategic and operational management of the project, and by extension of the Centre itself; A general discrepancy is noted between the ambitious Centre and project design, objectives and expected results on the one hand and the actual RMCE organisational structure and, especially, its skeleton staffing throughout on the other. 2. Strategic Focus and Niche Areas An in principle / in theory sectoral-thematically and strategically focused (on capacity development for regional integration) RMCE start-up project is strived for with an in principle geographical focus on the ESA-IO region, as is evident form the project preparation and design documents, including the Contribution Agreement s description of the action. The explicit identification of a limited number (= 5) of core areas of capacity development for regional economic integration identified in the Business Plan in principle should guarantee focused and added value training and capacity development services on regional integration for the target clientele in the member states of the ESA-IO region (from both public and private sectors) through the five Regional Organisations. A logical sequencing is envisioned of skills building and training services as first result area as basis for more specific and in-depth advisory services and policy support dialogue, both conditional to the effective establishment and operationalisation of the RMCE itself; Despite this theoretically intended project focus, in reality this strategic focus actually got lost during project implementation as capacity development events actually tended to be organised and services provided on an incremental au-jour-le-jour ad hoc basis, as externally commissioned events for which RMCE was invited to co-organise, thus more or less reducing RMCE to an empty shell as a mere conduit / vehicle only for the delivery of prepackaged training events externally commissioned by well-established third parties (in casu IMFI and World Bank). No results based performance monitoring evaluation and evaluation framework and systems has been put in place and no needs assessment has been undertaken to reconfirm the validity and relevance of the project / Centre s focus or to propose reorientations and thus to make capacity development services more demand based; Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 72

84 Table 11 : RMCE Priority Strategic Sectoral / Thematic Focal Areas for Capacity Building on Regional Integration : Clustered Focal Areas, based on Evaluation Documents Study and Interviews Cluster of RI Sectoral / Thematic Focal Area 1 Regional economic integration topics (Short-)List of Strategic Focal Areas for Regional Integration (RI) Capacity Building, by Cluster 1. Macroeconomic stability, harmonisation and convergence; 2. Cross-border trade and transit; 3. Cross-border financing; 4. Business development and investment; 5. Customs cooperation; 6. Goods and services market integration; 7. Diversification and expansion of competitive productive sectors; 8. Regional financial and monetary cooperation; 9. Regional development finance mobilisation; 10. Enhancement of quality and competitiveness of goods and services; 11. Regional infrastructure; 12. Sustainable cross-border tourism etc. 2 Regional political integration topics 1. Democratic governance; 2. Human rights; 3. Elections; 4. Conflict mediation and resolution; 5. Rule of law; 6. Security issue; 7. Political cooperation and integration; 3 Human & social development and environment regional integration topics 1. MDGs and HDI; 2. Migration and migrant work 3. Human trafficking; 4. Consumer protection; 5. Climate change; 6. Environment protection; 7. Biodiversity 8. Renewable energy; 9. Public health issues; 10. HIV-AIDS; 11. Epidemiology; 12. Education; 13. Human resources development; 14. Regional Qualifications Framework; 15. Harmonised Consumer Index; 16. Multicultural society, 17. Social cohesion; 18. Social security and protection Operational programming of capacity building events has been persistently on economic, financial and monetary aspects despite a gradually louder demand from the stakeholders to also cover other dimensions of regional integration. There is no evidence of an active pursuit or exploration of priorities and niche areas in the other dimensions of regional integration as expressed / prioritized by the Regional Organisations or by the RMCE Board e.g. with regard to human and social development, environment, or aspects of regional political cooperation, Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 73

85 amongst other. The below Table 11 provides an overview of clustered priority focal areas for regional integration capacity building based on the study of the RMCE documents (especially Board meeting minutes, work plans, etc.) and transpiring from the numerous evaluation interviews conducted with key stakeholders; There is no evidence that the RMCE potential high added value niche area of regional integration capacity building (e-) network hub and clearinghouse has not been effectively explored; The focus of the RMCE training / capacity development events on regional integration was secondary at best (if not completely absent), and also the peer-to-peer learning dimension of capacity building has not been proactively and systematically pursued, and in fact is only evident form the ease of doing business conference in Gaborone of March 2012; 3. Institutional and Governance Aspects The complex and top-heavy governance structure for only a skeleton RMCE office / operational structure in the first years of operations required RMCE management and staff to disproportionally invest time in servicing this governance structure, and as such depriving them of the necessary time to adequately focus on the core business of training and capacity building operations and services addressed to the Centre s clientele and key stakeholders; Board meetings where mostly attended by Alternates on behalf of the Directors themselves, depriving the Board from the necessary authority and gist, further amalgamated by a widening disconnect between policy making and strategic directions and their effective implementation and operationalisation due to lack of performance monitoring and follow-up; The overall quality of the communications between the Board and the Project Implementation Committee hampered mutually reinforcing governance responsibilities vis-à-vis the Centre and the Start-Up Project; The inability to convene a 4th Board meeting despite several attempts because of a persisting absence of the necessary quorum to convene such meeting may point at a disinterest, a policy/strategic cleavage in the Board and/or personality issues; COMESA as one of the five ROs in the Board at the same time is the Regional Authorising Officer (RAO) bearing overall responsibilities for the RMCE Start-Up Project brings with it an actual unbalance in the Board s internal power distribution, if not situations of potential conflict of interest, which proved very negative for actual RMCE functioning and operations; The Board meetings agendas tended to be dominated by legal and administrative issues, hampering its overall responsibility for overall policy making and strategic directions; Personality issues negatively affected Board effectiveness and overall functioning, and ultimately as transpiring from interviews the actual functioning of the Centre itself. Different attempts for a depersonalisation of the issues remained largely unsuccessful. The delayed recruitment and fielding of the Executive Director affected overall Centre performance and the contractually foreseen performance assessment after the six months probationary period was at the basis of an early cessation of the ED s services. The ED departure without replacement brought with it a standstill of operations for the months to come. With the RMCE focus mainly on establishing itself and on executing externally commissioned capacity building / training event, no substantive actions have been noted yet to establish the RMCE as a network centre and to pursue complementarities with other Institutes in the business. On the next page is a possible draft institutional chart of a Regional Multidisciplinary Centre of Excellence for Regional Integration Foundation (RMCE-RI Foundation) as network hub for regional integration capacity building. It is an attempt to capture, synthesize and address Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 74

86 Figure 11 : Possible Draft Institutional Chart of an RMCE-RI Foundation as Network Hub for Regional Integration Capacity Development V.6-25 July 2013 Draft for Discussion Purposes Only GoM Key Entities (MoFARIIT, MoFED, MoTESRT, etc.) COMESA, EAC, SADC IOC, IGAD, Other EU, WB, UN, AfDB, Other (tbc) Other Multilateral and Bilateral Development Partners Regional Employers and Business Organisations (CBC, ASCCI, SBF, EABC, UCCIOI, IBF, etc.) Government of Mauritius (1-2) Independent RI Expert / Authority (3) Tripartite ESA-IO Regional Integration Organisations (4-5) Other ESA-IO Regional Integration Organisations (6) Founding Development Partners (7-8) Other Development Partners (Multi & Bi) (9) ESA-IO Regional Private Sector Organisations (10-11) RMCE-RI Foundation Council (11 Members) RI Curricula Advisory Committee RI Capacity Development Impact Advisory Committee Procurement and Finance Committee RI Applied Reseach and Services Advisory Committee RMCE-RI Foundation Office Five ESA RIOs Twinning CEs Managing Director COMESA, SADC, EAC, IGAD and IOC Deputy Director Performance Planning and Monitoring Unit Other Centres of Excellence on RI matters: Afritacs S & E, IMF RTC, ECDPM, UNU-CRIS, Pan African University, etc. Member States Member States Key Regional lntegration Stakeholders (Public & Private Sectors) E-Networking & Clearinghouse Unit Core RI-KRAs Unit 1 on Economic Integration Core RI-KRA Unit 2 on Political Cooperation Core RI-KRA Unit 3 on Human, Social & Environment Reg. Issues Institutional Networking Unit Admin and Finance Unit Other ROs & RIOs AU, ACP, ECOWAS, ASEAN, CARICOM, MERCOSUR, SSNED, etc. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 75

87 some of the main issues transpiring from the evaluation discussions and documents study in relation to the main evaluation questions, criteria and dimensions, including for example: Governance; regional integration focus; holistic concept of regional integration; outputs and result orientation; regional integration effects and impact; peer-to-peer learning; internal inhouse capacity building; external networking and twinning, e-networking hub and clearinghouse functions, academic excellence, performance planning, monitoring & evaluation; a more appropriate legal status commensurate with a regional / international organisation, amongst others. 4. Legal Aspects The substantive efforts into trying to establish the best possible and most appropriate legal structure for RMCE resulted in RMCE acquiring the status of not-for-profit private company structures at that time and because the RMCE did not qualify for the status of international organisation. A (too) heavy and complex legal structure consisting of different layers and components (Contribution Agreement, Implementation Agreement, Hosting Agreement, Private Company Limited by Guarantee) was at the basis of persistent, extensive and taxing governance issues causing frictions amongst the key stakeholders and was not instrumental in facilitating smooth RMCE operations, on the contrary; The private company legal status, including the implied liability issues, proved not to fit well for RMCE as a regional centre geared towards regional integration facilitation and with Regional Organisations and Member States in its governance structure / Board, and contributed to a deepening governance crisis; In the process the incompatibility between Contribution Agreement requirements and the operational flexibility required for efficiently and effectively running a regional training and capacity building institute with final responsibilities vested in a third party became more apparent; The preference of a Foundation as possible alternative legal structure for the RMCE based on the Mauritius Foundation Act of 2012 would need to be given serious consideration as confirmed by different consulted parties during the evaluation field visit. And then in one go, also a more appropriate and focused new name for the Centre, possibly Regional Multidisciplinary Centre of Excellence for Regional Integration Founding, in short RMCE-RI Foundation, may need to be thought of. Such structure however can only be explored meaningfully if international agreements and country obligations towards international institutions take precedence. The below figure 12 on the next page is an excerpt of the above institutional chart Figure 11, showing a possible two tiered governance structure for consideration and facilitation of further discussions. Such enabling governance structure necessary needs to be lean and facilitative, while at the same time ensuring due participation / representation of all main stakeholders groups in the RMCE Council (incl. host government, Regional Organisations, founding and other Development Partners, regional private sector organisations, and independent regional integration expert / authority in the RMCE Council). A combination of permanent and rotating Council membership may be envisaged, with the maximum number of Board members limited (e.g. to 11 maximum); 5. Operations and Operational Management An appalling permanent actual understaffing of the RMCE Office (ED, Operations Officer and Secretary only as its biggest manpower constellation at any point in time during the period Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 76

88 under review) in relation to the tasks at hand, further complicated by delayed recruitments and personnel turnover, kept hampering Centre operations throughout; No Board and PIC endorsed final first year (2011) annual report and second year (2012) annual work plan have been officially received by COMESA by early 2013, leading to the recommendation of the 23th IRCC Plenary Meeting to close the RMCE Start-Up Support project financed by the EU through a Contribution Agreement with COMESA as Regional Authorizing Officer; Figure 12: Possible two tiered governance structure of RMCE-RI Foundation Council GoM Key Entities (MoFARIIT, MoFED, MoTESRT, etc.) COMESA, EAC, SADC IOC, IGAD, Other EU, WB, UN, AfDB, Other (tbc) Other Multilateral and Bilateral Development Partners Regional Employers and Business Organisations (CBC, ASCCI, SBF, EABC, UCCIOI, IBF, etc.) Government of Mauritius (1-2) Independent RI Expert / Authority (3) Tripartite ESA-IO Regional Integration Organisations (4-5) Other ESA-IO Regional Integration Organisations (6) Founding Development Partners (7-8) Other Development Partners (Multi & Bi) (9) ESA-IO Regional Private Sector Organisations (10-11) RMCE-RI Foundation Council (11 Members) Actual operations have been rather limited and piecemeal. The submitted annual work plans are not derived from a strategic plan (developed in a later phase only) and are not conclusively aligned with the SUP LogFrame. There are no targeted key performance indicators with baseline data at any level of the support project's results chain and as such these could not form the basis for result-based annual working planning, performance monitoring and reporting. Work planning and implementation of activities tended to be ad hoc and incremental, indicative for a broader context of RMCE activities management rather than results management; The CA financed individual training activities (via "aide mémoire") and the other expenditures (including equipment) actually required external prior approval from COMESA on a case to case basis, depriving the Centre from its necessary operational autonomy, flexibility and agility; In the first project year, only one RMCE training activity was executed and in the second year three, illustrative for the low levels of output performance. All of these events were externally commissioned and executed in close collaboration with these international institutes / organisations (2 with IMFI and 2 with WB), symptomatic for a general situation whereby RMCE is utilized by well-established institutes as mere conduit for organising pre-packaged training and other capacity building events; Generally, the regional integration focus of the training / capacity building events is not clear, neither are the selection criteria of the participants (e.g. trainings included participants from outside ESA-IO Region consisting of 28 countries. With the exception of the Gaborone event, there are no overall training reports available with narrative and financial sections, list of participants, detailed participants' evaluation reports, all compiled and integrated in a document, making it very difficult to assess these events in terms of contents, participation, financial aspects and follow-up / results (outputs, outcome and impact); Actual learning from experiences however is gradually emerging as evidenced by the 2nd Ease of Doing Business Initiative (EDBI) in Gaborone, Botswana, which builds on the lessons Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 77

89 learned from the earlier EDBI workshop in Kigali, Rwanda, including a stronger focus on capacity building for regional integration issues and on proactive facilitation of sustained cross-border peer-to-peer learning from each other processes; The much delayed transfer of 1st year CA resources to RMCE by the middle of 2011 only in turn caused much delayed centre activities. Financial management is also hampered by the scattered financing of the RMCE capacity building events from different agencies and sources, as such affecting transparency; Reported personality clashes and harsh tones of different mail exchanges are symptomatic of a generally not so positive RMCE organisational culture (both within the governance and operational levels as between them); Internal divisions within the host Government on both the strategic directions of the Centre and its actual operations caused the RMCE to be perceived as under the sole tutelage of the Ministry of Finance and Economic Development only, as evidenced by the interviews. The below Figure 13 is a broad outline of a possible organisational chart of the RMCE-RI Foundation office and is taken from the overall institutional chart Figure 11. It argues for a Managing Director and a Deputy Director position, with the latter assisting / taking special responsibilities for the internal coordination and operational management of the Centre, enabling the former to allocate more time for external relations and networking for effective regional integration capacity development. It also shows the organisational anchoring of the two functions in the organigramme of both (i) internal capacity strengthening for holistic regional integration capacity development (three clustered core KRAs), and (ii) external institutional networking with key e-networking and clearinghouse functions. Results-based performance planning and monitoring is to be institutionally anchored right under the Managing Director with in addition a direct reporting line to the RMCE-RI Foundation Council. Figure 13 : Possible Organisational Chart RMCE-RI Foundation (outline only) RMCE-RI Foundation Office Managing Director Deputy Director Performance Planning and Monitoring Unit E-Networking & Clearinghouse Unit Core RI-KRAs Unit 1 on Economic Integration Core RI-KRA Unit 2 on Political Cooperation Core RI-KRA Unit 3 on Human, Social & Environment Reg. Issues Institutional Networking Unit Admin and Finance Unit 6. Financial Analysis Limited EU Funds usage by the RMCE Mauritius Office and limited absorptive capacity of the whole RMCE set-up in general; Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 78

90 The delayed submission of duly approved operational and financial reports caused delayed releases of funds, in turn causing delays in actual implementation of activities and of the project in general. The non-submission of the final approved annual work plan cum budget for financial year 2012 together with the final approved annual narrative and financial report for 2011 ultimately led to the IRCC Plenary Meeting s recommendation to close the project on 20 February 2013; Only piecemeal and scattered financial information and reporting is available making it very difficult if not impossible to make a comprehensive, in-depth financial performance analysis. Incompatibilities between the financial management requirements emanating from the RMCE start-up project Contribution Agreement and the Implementation Agreement on the one hand and the RMCE hosting agreement and constitution as a private company limited by guarantee kept requiring disproportionate time and energy from management and governance levels and kept hampering smooth project implementation at the operational level. There is no established financial management and accounting function in the RMCE Office and there is no segregation of duties in the accounting function. RMCE accounting is outsourced to a local consultancy company, which also is entrusted with the responsibilities of Company Secretary, thus leaving the door open to possible conflicts of interest. The approved office positions of Administrative and Finance Manager and of Company Secretary been not been filled up. All financial records are in spreadsheet format and no accounting software package is in use. Non-compliance with essential financial management and accounting principles and/or requirements is noted, including amongst others: Only part of the RMCE and project management documents are available within the RMCE office premises and financial and accounting records and documents are physically kept outside of the RMCE premises. There is no regular financial management reporting. There are no comprehensive, encompassing financial reports available with consolidated figures on the conducted training and capacity building events. More in general, there is no reconciliation and consolidation of incomes and expenditures in Euro and Mauritian Rupees, neither with the figures from other partner / funding partners. The fixed assets register does not show the locations of several assets. The applied risk based approach to financial evaluation covering the tracing of high value items (payments), fixed assets purchases and other payments to their source documents shows eligibility issues. The reviewed Financial Rules and Regulations and the Procurement Rules and Regulations have not been approved or effectively introduced and implemented. The VAT refund has not yet been reclaimed and there is no indication of an intention to do so. 7. Effects and Impact on Regional Integration The huge unmet demand for capacity strengthening on regional integration has been strongly underscored by all key parties and stakeholders concerned on the occasion of the many stakeholder interviews during the field mission, attesting to the continued relevance of the support project and of an RMCE-RI in general; This regional integration focus is strongly embedded in the RMCE design documents and enshrined in the Contribution Agreement. There has been an active ongoing debate in the Board on the concept and dimensions of regional integration and RMCE s contribution thereto Consensus building on the holistic concept of regional integration and the proactive pursuit thereof is a still ongoing process, with not all key parties fully bought into it yet. This has been posing governance issues and confirms the need for continued consensus building and policy dialogue; The necessary Regional Integration (RI) results (outputs, outcome and impact) focus of training and other RMCE capacity strengthening events and guided processes is strongly Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 79

91 underscored by the RMCE Board and PIC. But as far as actual RMCE operations are concerned, this has only been effectively pursued by the March 2012 Regional Ease of Doing Business Conference in Gaborone, Botswana which can serve as a good practice of an RMCE event proactively pursuing capacity building for regional integration objectives through promotion / facilitation of post-event sustained and sustainable peer-to-peer learning networks. RMCE established as private company under Mauritian law is seen by many key stakeholders as a national centre and not as a regional institute promoting regional integration, as emerged from the different evaluation interviews; There is no RMCE monitoring and evaluation framework in place yet to ensure results orientation and performance management accordingly. There are hardly any key performance indicators with target setting and with baseline data collected to guide results oriented Centre operations. There also is no dedicated M&E function and the recruitment of a monitoring & evaluation officer has been delayed / postponed; Figure 14 : Institutional Provisions for RMCE-RI Academic Excellence and Regional Integration Impact RMCE-RI Foundation Council (11 Members) RI Curricula Advisory Committee RI Capacity Development Impact Advisory Committee Procurement and Finance Committee RI Applied Reseach and Services Advisory Committee RMCE-RI Foundation Office The above Figure 14 is an excerpt of the overall institutional chart Figure 11 showing the necessity to institutionally anchor regional integration results management and impact focus in the RMCE organisational chart and broader institutiogramme, as was also discussed during different evaluation interviews. This may pertain to the establishment of special (sub-) committees under the RMCE-RI Foundation Council overlooking the regional integration focus of the main RMCE-RI Foundation capacity strengthening service areas: (i) The Regional Integration (RI) Capacity Development Impact Advisory Committee; (ii) The RI Curricula Advisory Committee, and; (iii) The RI Applied Research and Services Advisory Committee. These (sub-)committees at the same time may also play an important role in the quality assurance of RMCE-RI Foundation activities, processes and products. There is no proactive facilitation of networking on regional integration issues yet to maximize multiplier effects in reaching out for capacity strengthening. The RMCE website has not been designed yet, and hence it cannot be used as tool for facilitating networking, peer-to-peer learning, exchanges of good/best practices on regional integration. The below Figure 15 on the next page as excerpt of the overall institutional chart Figure 11 visualizes the possible RMCE-RI Foundation as a networking hub for regional integration capacity strengthening, with four main clusters of network partners / network nodes: (i) The five ESA-IO Regional organisations and their established structures of Committees, Sub- Committees, Senior Officials Meetings, Public-private sector joint meetings, etc. ; (ii) The 29 Member States of the ESA-IO Region (both public and private sectors); (iii) Twinning Centres of Excellence on regional integration matters (Afritacs, WB, Pan African University, ECDPM, UNU-CRIS, etc.,), and; (iv) Other Regional Organisations / Regional Integration Organisations as for example AU, ACP, ECOWAS, ASEAN, CARICOM, MERCOSUR, SSNED, etc. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 80

92 There is a need more explicit targeting of and linking with private sector organisations. Similarly, further linking with academic think tanks on regional integration in the region and beyond needs to be aimed at via academic and student exchanges, and via institutionalised twinning arrangements Figure 15 : RMCE-RI Foundation as Networking Hub for Regional Integration Capacity Strengthening RMCE-RI Foundation Office Five ESA RIOs Twinning CEs Managing Director COMESA, SADC, EAC, IGAD and IOC Deputy Director Performance Planning and Monitoring Unit Other Centres of Excellence on RI matters: Afritacs S & E, IMF RTC, ECDPM, UNU-CRIS, Pan African University, etc. Member States Member States Key Regional lntegration Stakeholders (Public & Private Sectors) E-Networking & Clearinghouse Unit Core RI-KRAs Unit 1 on Economic Integration Core RI-KRA Unit 2 on Political Cooperation Core RI-KRA Unit 3 on Human, Social & Environment Reg. Issues Institutional Networking Unit Admin and Finance Unit Other ROs & RIOs AU, ACP, ECOWAS, ASEAN, CARICOM, MERCOSUR, SSNED, etc. Whereas RMCE the start-up project still needed to concentrate on the actual establishment of the Centre and on developing its training and other capacity development products, it was too early still to focus on its special advisory services let alone on its function and services as networking hub and clearing house for regional integration capacity strengthening. Such function poses special challenges as: (i) Enhancing reach, quality and sustainability of partnerships and networks. This includes an evolvement of organiser of one-shot training events to facilitator of sustainable peer-to-peer networks; (ii) Priority concern for the follow-up, outcomes and impact of the training and capacity development event, with training events not an end in themselves but as start or accelerator of networking processes with multiplier effects (including maximization of Training of Trainers effects); (iii) Establishment of RMCE as a clearing house of good/best practices on regional integration, including virtual networking, tele-, video- and e-conferencing, e-discussion platforms and forums; interactive website maintenance, networking via the social media, etc. 8. Visibility Assessment Whereas the CA and the RMCE feasibility study, business plan and other crucial design and strategic documents are explicit about the crucial importance of comprehensive, integrated strategy and operations for enhancing the Centre s communication and visibility, actual RMCE governance initiatives generally tended to be lukewarm towards the issues at stake and actual centre operations rather marginal at best; Despite the attention given at Governance level to RMCE communication and visibility issues as evidenced for example from the Minutes of the Board and especially of the PIC Meetings, this has not materialized in substantive concrete initiatives and actual activities; The proposed position of marketing and communication officer was not approved, but incorporated under the ICT officer position; The RMCE website has not been developed and actual ICT work is basically limited to database building of available expertise and of partner institutes; The discussions on the RMCE communication and visibility strategy in the process got reoriented from a focus on the targeted stakeholders and clients in the region to a strategy focusing on attracting additional / other funding; Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 81

93 With the exception of the fourth RMCE training / capacity strengthening event organised in the period under review in March 2012 in Gaborone, Botswana, there is no evidence of specific efforts to enhance the visibility of RMCE in any of the events organised; The actual size, condition and location of the present RMCE office do not contribute to a positive image of the Centre. 6. Recommendations 6.1. Overall Recommendation Based on the evaluation findings and strengths/weaknesses analysis on the eight main evaluation analysis components combining the evaluation criteria and evaluation question, the evaluation supports the recommendation by the IRCC Plenary Meeting of 20 February 2013 to close the 10 th EDF supported RMCE start-up project. At the same time, in view of the vast and still growing unmet needs in the ESA-IO region for capacity development for regional integration as documented and confirmed by the many key stakeholders interviewed during the evaluation field mission, the evaluation recommends the consideration of a follow-up updated and redesigned project under the 11 th EDF with an international Technical Assistance (TA) component for a remodelled Regional Multidisciplinary Centre of Excellence for Regional Integration Foundation (RMCE-RI Foundation hereafter referred to as the new Centre ). To adequately prepare for this phase II multi-annual support project to the new RMCE-RI Foundation, an interim transitory, transformation and revitalization support (possibly under Framework Contract (FWC) assistance modality) is recommended to adequately prepare for this new, empowered and results oriented RMCE-RI Foundation focused on capacity strengthening for regional integration and operating in a necessary conducive overall enabling environment. This preparatory and set up phase should be given sufficient time (say one year) so that the new RMCE-RI Foundation can establish itself properly before going for visibility campaigns and actual capacity strengthening services delivery to its stakeholders clientele in the region Specific Recommendations by Main Evaluation Analysis Component 1. Project Preparation and Design The necessary preparation for the 11 th EDF Phase II support project to a new RMCE (possibly RMCE-RI Foundation) necessarily as an iterative, participatory process involving all main stakeholders to ensure project, and more importantly, new RMCE / RMCE-RI Foundation ownership; The new project and RMCE to maximally build and capitalize on the lessons learned and good practices from the earlier support project and RMCE implementation experiences so far; Special attention given to the project s assumptions, pre-conditions and necessary broader enabling environment and to mitigate as much as possible any risks related to these in the (one year) interim/transition phase. The outcome of the feasibility and risk analysis conducted at the end of the interim phase will be at the basis of decision making on the phase II assistance; An updated and detailed LogFrame with targeted Key Performance Indicators at all levels of the results chain and baseline values for all higher results levels (outcome and impact) to be developed in close consultation with and agreed upon by the key stakeholders concerned; Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 82

94 A multi-annual implementation plan / global work plan to be developed based on the LogFrame with interim and annual targets on the KPIs for all indicators to ensure results oriented strategic planning as basis for annual operational work planning, and thus to better align strategic and operational planning 2. Strategic Focus and Niche Areas The overall focus of the new Centre on capacity development for regional integration to be made more explicit and to be subscribed to by all stakeholders concerned, with preferred incorporation of this strategic and niche area of capacity building for regional integration in the Centre s new title itself (e.g. RMCE-RI Foundation, as referred to earlier); The conduct of an encompassing needs assessment with all key stakeholder groups concerned (Regional Organisations, Member States, partner institutes, public and private sectors, NSAs, academy) with regard to their capacity development needs on regional integration; The new Centre s geographic focus to be ensured on the Eastern and Southern Africa Indian Ocean (ESA-IO) region covered by the five Regional Organisation (COMESA, SADC, EAC, IOC and IGAD), plus possibly in addition (need, desirability and feasibility to be determined further) the Small States Network for Economic Development (SSNED); New Centre strategizing, work planning and actual activities implementation effectively geared towards contributing to this overall goal (alignment of operational planning and management with strategic planning and management); Within this confirmed added value niche area of capacity building for regional integration of the new Centre, provision of services of the different dimension and sub-dimensions of regional integration as determined by the needs assessment, thus holistically cover the economic, political, social, environmental and other main dimensions of regional integration; Pursuit of maximum complementarity to and networking with other regional integration capacity building institutes and avoidance of thematic / sectoral overlaps or duplication (e.g. especially in the macro-economics, finance and monetary fields in relation to for example the IMF Afritacs, amongst others); Maximum complementarity and mutually reinforcing effect of the two core service types of training / capacity building and more specific, customized advisory services on regional integration to be strategically pursued and operationally worked out; More systematic exploration and effective pursuit of RMCE potential high added value niche area of regional integration capacity e-network hub and clearinghouse in addition to the two above two more traditional areas of services. 3. Institutional and Governance Aspects Further strengthening / capacity building of the new Centre s governance structure to enable them to play a more proactive policy making and strategic priorities setting role on the one hand and to enhance their performance monitoring and follow-up capacities of the new Centre on the other; Assurance of a lean governance structure but at the same time one that duly covers all stakeholders interests. A two tiered maximum representative governance structure may be considered to keep all on board, but at the same time to keep the structure manageable and effectively instrumental in guiding Centre management and operations; Assurance of a sound and conducive power balance between all new Centre council members; Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 83

95 Revisiting of the present dual governance structure of RMCE Board and Project Implementation Committee, e.g. by making DP s integral part of the governance structure; Ensuring due representation of the private sector in the RMCE governance structure, and same for academic or independent expertise; Assurance of equal representation of the five ESA-IO Regional Organisation in the Board structure, e.g. by avoiding that one prevails over the others e.g. by having all or disproportionate powers over new Centre funding and learning from past experience; Exploration of alternative modalities for a more balanced representation of the Government of Mauritius as host country of the New RMCE especially as far as the Centre s three main stakeholder Ministries are concerned; Exploration of more efficient and facilitative modalities of EU financial support channelling to the new Centre, learning from the past experiences with the Contribution Agreement modality through one of the ROs, while at the same time still guaranteeing the project s regional perspective and EU project implementation modalities accordingly as rooted in the 11 th EDF RSP-RIP for the ESA-IO Region; Selection of the new Centre s managing director on grounds of best meeting that rare combination of high managerial qualities, diplomatic skills, academic-professional excellence, cultural sensitivities, team builder and networker, international exposure and genuine commitment to regional integration; Consideration of the possible draft institutional chart for the new Centre (RMCI-RI Foundation) included in this evaluation report 1 as possible basis for further discussion on the new Centre as network hub for regional integration capacity building, and as such directly or at least indirectly covering issues as: Governance; regional integration focus; holistic concept of regional integration; outputs and result orientation; regional integration effects and impact; peer-to-peer learning; internal in-house capacity building; external networking and twinning, e-networking hub and clearinghouse functions, academic excellence, performance planning, monitoring & evaluation; a more appropriate legal status commensurate with a regional / international organisation, amongst others. 4. Legal Aspects Revisiting of the present (too) heavy and complex legal structure consisting of different layers and components based on lessons learned from the past to ensure smooth governance relations between the different key actors concerned and to effectively facilitate new Centre operations; Consideration of the legal structure of a Foundation under the Mauritius Foundation Act of 2012 as a more appropriate legal basis for the new Centre commensurate with its status of international learning centre and focus on regional integration; Assurance that such structure honours international agreements and country obligations towards international institutions take precedence; Consideration of a new name for the new Centre in line with this legal structure and at the same time to explicitly reflect its niche area focus and overall goal in its name itself. Suggested for consideration: Regional Multidisciplinary Centre of Excellence for Regional Integration Foundation (or in short: RMCE-RI Foundation); Development of the constitution and bylaws of the new Centre and its registration accordingly; Review of the present Hosting Agreement between the Government of Mauritius and the RMCE based on past experiences and lessons learned (e.g. in relation to personal liability 1 Figure 11 on page 75 and Figure 12 on page 77 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 84

96 issues of Board Members and staff, VAT payment, etc.), and adaptation of the Agreement to the new legal structure of the New Centre. Request for Exception Derogation from the Host Country Agreement. The Vienna Convention of 18 April 1961 on Diplomatic Relations may serve as further source of information and inspiration. 5. Operations and Operational Management Development of and agreement on an organisational chart for the New Centre in line with its mandate, strategic objectives and key result areas; Assurance of adequate, timely available and high quality professional and administrative staff to fill all these positions in line with the recruitment plan and overall personnel policy; Consideration of the draft organisational chart outline 1 for the New Centre included in this evaluation report as basis for further discussions on the most appropriate structure and staffing of the New Centre, with special attention for: (i) Provision for two positions of Managing Director and a Deputy Director at the helm of the New Centre, with the latter assisting / taking special responsibilities for the internal coordination and operational management of the Centre, enabling the former to allocate more time for external relations and networking for effective regional integration capacity development; (ii) The organisational anchoring of the Centre s two main functions in the organogramme, to wit: (a) internal capacity strengthening for holistic regional integration capacity development (three clustered core KRAs), and (b) external institutional networking with key e-networking and clearinghouse functions. (c) Results-based performance planning and monitoring is to be institutionally anchored right under the Managing Director with in addition a direct reporting line to the RMCE-RI Foundation Council. The different operational units within the Office empowered to function as business centres (matrix type organisation) with performance targets; The design, programming and operationalisation of an integrated results based performance planning, monitoring and evaluation system to facilitate performance management and accountability, with internal monitoring as basis for external reporting and monitoring; The LogFrame based Implementation Plan / Global Work Plan to serve as basis for the development of annual operational plans and budgets, with use of the IP/GWP s targeted Key Performance Indicators for all results chain levels, in turn serving as basis for the quarterly progress and annual consolidated progress and results reports; Facilitation of the introduction of combined performance planning and budgeting and of consolidated progress and results reporting based on a set of agreed upon targeted Key Performance Indicators together with consolidated financial reporting along these lines as basis for financing decisions and funds releases; Assurance of consolidated narrative and financial reporting on each training / capacity development event, and particularly of those co-organised and/or co-financing by third parties; The proactive pursuit of networks with other institutes for the joint organisation of events, but especially of e-networks in connection with the Centre s increasingly important function as e- network hub and clearinghouse for regional integration capacity development; Provision for a special Performance Planning and Monitoring Unit directly reporting to the Managing Director and with a direct line to the Foundation Council; For the about one year interim, transition phase international expertise may be considered e.g. through the EC Framework Contract (FWC) facility, whereas for the 11 th EDF Phase II support 1 Figure 13 on page 78 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 85

97 project to the new RMC possibly the inclusion of a long-term Technical Assistance (TA) component may be given special consideration. Physical establishment of the new Centre s office in premises commensurate with its status as regional centre, as planned earlier 6. Financial Analysis Exploration of the best financing modality to facilitate decentralized financial management of an empowered new RMCE Office based on approved work plans and budgets and approved operational and financial reports; To ensure Regional Organisations ownership of the Centre and to ensure the Centre s focus on demand driven capacity development services delivery to and through the five ROs of the ESA-IO region, the feasibility and concrete modalities of a funding system through / engaging all ROs needs to be explored as a matter of priority. Such modality can be facilitated by the Foundation legal structure, which provides for possible financing mechanisms as for example endowment funds, proportional annual contributions by members, basket funding, etc.; Proactive scouting for partnerships with other multilateral and bilateral Development Partners for pooling resources Facilitation of the introduction of combined performance planning and budgeting and of consolidated progress and results reporting based on a set of agreed upon targeted Key Performance Indicators together with consolidated financial reporting along these lines as basis for financing decisions and funds releases; A combination of fixed and variable tranches progress and results Key Performance Indicators in combination with financial utilisation indicators is to be envisaged for that purpose; EU support to a phase II multi-annual support project to the new Centre may be considered along these lines under the new 11 th EDF; Particularly vis-à-vis the present RMCE practice of an outsourced accounting function, assuring this function s integration within the new Centre s office under a special Administrative and Finance Unit; The introduction of a computerized accounting system producing consolidated accounts encompassing all operations and financial transactions of the new Centre; Review of the draft Financial Rules and Regulations and of the Procurement Rules and Regulations in line with the Centre s new legal status and ensure their approval and effective application; Establishment and effective operationalisation of audit and internal control functions and systems, including the preparation of regular management accounts for control and monitoring purposes, and with all accounts kept updated, monthly reconciled and readily available for decision making purposes; In relation to the closure of the present project, finalise and validate the fixed assets register and ensure reclaim of the VAT refund; Convene the RMCE Board as soon as possible to decide on the use of any unspent balances under the present 10 th EDF start-up project, both Euro and Mauritian Rupees accounts as the full amount needs to be re-allocated as per the recommendation of the 23rd Plenary Meeting of the Inter-regional Co-ordinating Committee (IRCC) to close the project and to COMESA as RAO to request for de-commitment and possible re-allocation. 7. Effects and Impact on Regional Integration Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 86

98 Ensure that all new Centre operations are explicitly and consistently geared towards capacity development for Regional Integration; Ensure that the recommendations contained under the above main evaluation analysis component 2 on the new Centre s strategic focus and niche areas on capacity development for regional integration are duly attended to maximize new project and Centre s effects and impact on regional integration; This in first instance relates to consensus building amongst the key stakeholders on the niche areas of capacity development for regional integration within a holistic regional integration concept for the new Centre to focus on, while at the same time guaranteeing flexibility of possible needs to refocus over time; For that purpose, engage in a comprehensive needs assessment exercise with all key stakeholders to determine updated priority capacity development needs for regional integration; Effectively use the results of this needs assessment, fed back and finalised during a regional conference with all key stakeholders, in combination with a market analysis as basis for the design of both the new support project and the new Centre s strategic plan; Ensure that the Centre s results based performance monitoring and evaluation framework and all activities are focused on regional integration impact; Institutionally anchor this regional integration focus in both the new Centre s organisational chart (operational units) and Governance structure (e.g. in a special Regional Integration Capacity Strengthening Impact Advisory Committee; a RI Curricula Advisory Committee, a RI Applied Research and Services Advisory Committee); To ensure this regional integration focus, maximally engage the five Regional Organisations of the ESA-IO Region in all governance issues and operations of the new Centre and focus on the ROs as priority target beneficiary or conduit of the Centre s capacity development services; In the same venue, engage as much as possible the private sector through its regional organisations as both target client and conduit of the new Centre s services; Furthermore, pursue networking and linking with academic think tanks and other centres of excellence on regional integration in the region and beyond via academic and student exchanges, and/or via institutionalised twinning and networking arrangements; Consideration of the possible draft institutional chart for the new Centre (RMCI-RI Foundation) included in this evaluation report as possible basis for further discussion particularly in relation to the excerpt 1 which visualizes the possible RMCE-RI Foundation as a networking hub for regional integration capacity strengthening, with four main clusters of network partners / network nodes: (i) The five ESA-IO Regional organisations and their established structures of Committees, Sub-Committees, Senior Officials Meetings, Public-private sector joint meetings, etc. ; (ii) The 29 Member States of the ESA-IO Region (both public and private sectors); (iii) Twinning Centres of Excellence on regional integration matters (Afritacs, WB, Pan African University, ECDPM, UNU-CRIS, etc.,), and; (iv) Other Regional Organisations / Regional Integration Organisations as for example AU, ACP, ECOWAS, ASEAN, CARICOM, MERCOSUR, SSNED, etc. Give special attention to the design and operationalisation of the niche area function of the new Centre as network hub and clearing house for regional integration capacity strengthening. This particularly pertains to: (i) Enhancement of the reach, quality and sustainability of partnerships and networks. This also implies a gradual evolvement of the new RMCE as organiser of one-shot training events to a facilitator of sustainable peer-to-peer networks; (ii) Special attention for the follow-up, outcomes and impact of the training and capacity development events, with training events not an end in themselves but as start or accelerator 1 Figure 15 on page 81. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 87

99 of networking processes with multiplier effects (including maximization of Training of Trainers effects), and: (iii) Establishment of RMCE as e-networking hub and clearing house of good/best practices on regional integration, including virtual networking, tele-, video- and e- conferencing, e-discussion platforms and forums; interactive website maintenance, networking via the social media, etc. 8. Visibility Assessment Finalisation and approval of the communication and visibility strategy with operational plan, and assurance of its actual implementation; Establishment of the communication and visibility function as integral part and core function of the new Centre, with adequate budget and human resources allocation; The early removal to new office premises commensurate with its status as regional centre; Compliance with the EU-EDF general requirements on communication and visibility as formally determined for all its external cooperation programmes and projects, and in accordance with the 2010 updated manual concerned Design, development and regular maintenance of the new Centre s website not only for visibility purposes but especially as main instrument for the Centre s nice area function as e- networking hub and clearinghouse for capacity development on regional integration. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 88

100 List of Annexes Annexes Page List of meetings and events of the evaluation team on the occasion of the field mission to Zambia and Mauritius (21 April 19 May 2013) List of consulted documents and selective bibliography E-survey mini-questionnaire with RMCE Board and other key stakeholders Preliminary draft institutional chart of a possible RMCE Foundation as network hub for regional integration capacity building Selective analytical tables and figures on RMCE design and support project implementation Financial analysis tables of the EC 10 th EDF support to the RMCE Summary table of RMCE compliance with requested financial and performance evaluation related documents by the evaluation team Logical Framework of the RMCE Start-Up Project Original terms of reference of the RMCE evaluation assignment Selective excerpts from the evaluation aide mémoire debriefing presentation at the end of the field mission Reactions from stakeholders to the draft evaluation report compilation of annexes submitted on 25 June Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annexes DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 1

101 Annex 1 List of meetings and events of the evaluation team on the occasion of the field mission to Zambia and Mauritius (21 April 19 May 2013) 1.1. Briefing meetings in Lusaka, Zambia 1.2. Meetings and events in Mauritius Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 1 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 2

102 List of Meetings and Events Date Time Name and Title of Persons Met / Event Place / Office N o Sun 21 Apr 15:25 Mon 22 Apr 12:30 Arrival Mr. Homduth Seeburn, Legal and Financial Expert, in Lusaka with SA 64 Arrival Mr. Ruddi Vaes, Evaluation Team Leader, in Lusaka with SA 62 14:00 14:45 Evaluation Team Meeting Hotel Evaluation briefing meeting with EUD Lusaka: 15:00 16:00 - Mr. Gilles Hervio, Ambassador Head of Delegation - Mr. Daniel Hurtado Dominquez, First Secretary Head of Section Regional Cooperation - Mr. Mwembe Sichula, Programme Officer, Regional Cooperation / Integration EU Delegation, Lusaka 16:00 18:30 In-depth briefing discussions and documents sharing at EUD Lusaka - Mr. Daniel Hurtado Dominquez, First Secretary Head of Section Regional Cooperation - Mr. Mwembe Sichula, Programme Officer, Regional Cooperation / Integration EU Delegation, Lusaka Tue 23 Apr 09:00 12:30 12:30 17:45 Meeting with RISP Coordinator in charge of RMCE: - Mr. Eloi M. Kwete, RISP Coordinator, COMESA - Dr. Khutula Sibana, Technical Advisor - EU-IRCC Liaison Officer Meeting with Integrated Regional Coordination Committee (IRCC): - Dr. Luc Zwaenepoel, Monitoring & Evaluation, Regional Development, Project Management COMESA Secretariat, Lusaka IRCC Office in COMESA Secretariat Building, Lusaka 18:30 Dinner with Dr. Luc Zwaenepoel, IRCC Meetings at EU Delegation with: Wed 24 Apr 09:00 10:45 - Mr. James Mc Nulty, Results Advisor, First Secretary - Mr. Mwembe Sichula, Programme Officer, Regional Cooperation / Integration EU Delegation, Lusaka 11:00 12:15 12:15 13:30 15:00 Meeting at COMESA with: - Mr. Dev Haman, Director, Budget and Finance - Mr. Xavier Bakunzi, Finance Expert Meeting at COMESA with - Mr. Brian Chigawa, Director, Legal and Institutional Affairs Departure for Mauritius via Johannesburg (SA 8165 and SA 190) COMESA Secretariat, Lusaka COMESA Secretariat, Lusaka Thu, 25 Apr 15:40 Arrival in Mauritius with SA 190 International Travel Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 1 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 3

103 Date Time Name and Title of Persons Met / Event Place / Office N o Fri, 26 Apr 09:00 18:15 Team work at office of Mr. Homduth Seeburn (Inventory of evaluation documents, work planning and strategizing, brainstorming on evaluation data collection and analytical tools Evaluators (Mr. Seeburn s) Office, Port Louis Sat, 27 Apr 09:00 17:00 - Documents study - Work on evaluation tools (e-questionnaire, etc.) - Work on financial and performance audit tools Hotel Evaluators Office and Home based Sun, 28 Apr AM - PM Documents study, analysis and conceptualisation Hotel - Home Mon, 29 Apr 09:30 11:00 11:00 17:00 Briefing meeting at EU Delegation in Mauritius: - Mr. Alessandro Mariani, Ambassador Head of Delegation - Mrs. Corinne Pay, Project Manager Team work on schedule of meetings, documents inventory, planning and strategizing - Meetings schedule EU Delegation Office, 8 th floor, St. James Court, St Denis street, Port Louis Evaluators Office, Port Louis Tue, 30 Apr 08:30 12:00 13:00 18:00 - Individual team members work on strategizing, e- questionnaire an evaluation analytical tools - Financial and legal analysis tools and inventorisation of compliance issues / documentation Evaluators Office Hotel Home (Public Holiday) - Documents inventorisation and study Wed, 01 May Day - Work on evaluation conceptual and analytical framework and tools Hotel - Home - Matrix of evaluation questions, judgment criteria and indicators Thu, 02 May 09:30 12:30 14:00 15:30 16:00 18:00 Meeting at RMCE - Mrs. Minakshi Bahadoor, Personal Assistant - Administrative Officer, RMCE - Mr. Swaraj Kowlessur, RMCE Company Secretary and Accounting Officer Meeting with Moore Stephens - Mr. Arvin Rogbeer, Managing Partner / Director - Mr. Ashvin Mawven, Manager Team Work planning, strategizing and brainstorming, practical arrangements RMCE Office, 6 th floor, Baroda Building, Port Louis Moore-Stephens Office, 6 th Floor, Newton Tower, Port Louis Evaluators Office Fri, 03 May 07:45 09:15 Evaluation team breakfast meeting Hotel 10:00 12:00 Meeting at Registrar of Companies, Ministry of Finance - Mrs. D.P. Chinien, Registrar of Companies, Companies Division - Director Insolvency Service - Ms. Z. Tin Loi, Principal Companies Officer, Companies Division Registrar of Companies Office, One Cathedral Square, Jules Koenig Street, Port Louis Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 1 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 4

104 Date Time Name and Title of Persons Met / Event Place / Office N o Fri, 03 May 13:00 16:00 16:30 17:30 Meeting at RMCE - Dr. Roubina T.D. Juwaheer, Officer-In-Charge / Consultant - Mrs. Minakshi Bahadoor, Personal Assistant - Administrative Officer, RMCE End-of-week wrap-up session and planning meetings next week RMCE Office, 6 th floor, Baroda Building, Port Louis Evaluators Office Sat, 04 May Day - Work programming, documents inventorisation, study and analysis, e-questionnaire preparation, conceptualization, - Financial and legal documents inventorisation, processing and analysis Hotel Home Restaurant - Team meeting and socializing Sun, 05 May Day Documents study, analysis and conceptualisation Hotel - Home Meeting at Ministry of Foreign Affairs, Regional Integration and International Trade: Mon, 06 May 10:30 13:15 - Mr. Mooniswar Dev Phokeer, Director Cooperation Division - Mr. Ramesh Ghunsam, Principal Co-operation Analyst, Regional Integration Division - Mr. Sachin Dev Khundoo, Senior Cooperation Analyst, Regional Integration Division Ministry of Foreign Affairs, 9 th floor, Newton Tower, Sir William Newton Street, Port Louis 13:30 15:30 Team members individual work Evaluators Office 16:30 18:00 Tue, 07 May 10:00 12:30 12:30 13:45 14:30 15:30 15:30 18:00 Wed, 08 May 09:30 10:30 11:00 12:15 13:30 17:30 Thu, 09 May 10:00 11:15 Meeting at Mauritius Institute of Directors (MIOD) - Mrs. Jane Vallis, Chief Executive Officer Meeting with Prime Partners Limited (RMCE Company Secretariat): - Mr. Swaraj Kowlessur, Director Prime Partners Limited and RMCE Company Secretary & Accounting Officer Meeting with Mrs. Anjena Runganaikaloo, former RMCE Operations Coordinator Meeting with Mauritius Employers Federation - Mr. Vincent de Labauve d Arifat, President Team discussions and updating of meeting documents and records Meeting at the EU Delegation to Mauritius: - Mrs. Cecile Tassin-Pelzer, Counsellor - Head of Cooperation Section Meeting with the World Bank: - Mr. Raphael Munoz Moreno, Country Representative and Senior Economist - Mr. Vasish Ramkhalawon, Operations Officer Mauritius and Seychelles Individual team work on legal and fin analysis and institutional framework analysis Meeting at Afritac South IMF Regional Technical Assistance Centre: - Mr. Vitalij Kramarenko, Afritac South Coordinator 1st Floor, Raffles Tower, 19 Cybercity, Ebene RMCE Office, 6 th floor, Baroda Building, Port Louis RMCE Office, 6 th floor, Baroda Building, Port Louis Precigraph Office, Pailles Evaluators Office EU Delegation Office, 8 th floor, St. James Court, St Denis street, Port Louis World Bank Mauritius Office, 3 rd floor Medine Mews Building, Port Louis Evaluators Office and hotel Afritac South Office, 15 th Floor, Bank of Mauritius Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 1 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 5

105 Date Time Name and Title of Persons Met / Event Place / Office N o Thu, 09 May 13:00 17:00 Fri, 10 May 10:00 11:30 14:30 16:45 Sat, 11 May 08:00 16:00 Sun, 12 May 08:00 12:00 18:00 19:45 Mon, 13 May 08:00 16:00 16:00 17:45 Conceptualisation and team discussions on RMCE legal, governance and institutional issues Preliminary draft institutional chart for brainstorming purposes Meeting with Board of Investment (BOI), Mauritius: - Mrs. Khoudija Boodhoo (tbc coordination issue) - Mr. Veekramsingh Gowd, Manager Meeting with Ministry of Finance and Economic Development (MoFED): - Mr. Ali Mansoor, Financial Secretary and RMCE Chairman of the Board - Mr. Kamlesh Rughoonath, Analyst - Mr. Prakash Hurry - Mr. Sooniren Mootoo, - Mr. Mootoo soondiren, Conference and social functions manager - Mrs. Rachna Ramsurn - Ms. Prateema Kutwaroo - Documents study - Work on financial and performance audit tools - Debriefing presentation structure - Drafting questionnaire Board Members (Directors and Alternates based on list provided by RMCE) Legal and financial analysis, documents processing, Board questionnaire, Evaluation matrix of EQs, JCs and indicators - Interview via teleconference / skype call with Mrs. Helen Mealins, Former Executive Director, RMCE - Team meeting and discussions on evaluation analysis. Work on RMCE financial and performance analysis. Further development of institutional analysis and framework. Finalisation of Board and Key Stakeholders Questionnaire. - Interview via teleconference call with Mrs. Bernarda Zamora, Former Chief Technical Advisor to RMCE and now with the EC Joint Research Centre in Sevilla Evaluators Office BOI Office, New Catedral Building, 10 th floor Prime Minister s Office Government Centre, Port Louis Hotel Evaluators Office and Home based Hotel Evaluators Office and Home based Skype: helen.mealins helenmealins@gmail.com Evaluators Office Hotel and home Skype: bernarda.zamora bernarda.zamora@ec.europa.eu bernardazamora@gmail.com Tue, 14 May 09:30 10:45 11:00 12:30 15:00 18:30 Wed, 15 May 10:15 11:15 Meeting with Tertiary Education Commission (TEC): - Mr. Arunen Valaydon, Head Research & Planning - Mrs Karoona Charitar, Head, Finance Division - Mr. Dharmarajoo Moonisamy, Deputy Financial Controller Meeting with Mauritius Research Council (MRC): - Dr. Arjoon Suddhoa, Executive Director Team discussions on field phase findings. Financial & legal analysis framework. Reflections on evaluation progress status reporting to EUDs Meeting at the Agence Française de Développement (AFD) Regional Agency for Mauritius and Seychelles: - Mrs. Laurence Breton-Moyet, Director - Mr. Abendra Patten, Project Officer Level 4, TEC Building (ex MCA Building), Reduit Level 6, Ebène Heights 34, Cybercity, Ebène Evaluators Office AFD Office, 3rd floor, Dias Pier Bldg, Le Caudan - Waterfront, Port-Louis Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 1 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 6

106 Date Time Name and Title of Persons Met / Event Place / Office N o Wed, 15 May 11:45 17:30 Team work on evaluation analysis debriefing and aide mémoire presentation Evaluators Office And thereafter: hotel & home Thu, 16 May 04: Preparation aide mémoire presentation Hotel and home 11:30 13:15 14:00 15:30 16:00 17:30 19:00 24:00 Meeting with Mauritius Chamber of Commerce and Industry (MCCI): - Mr. Raju Jaddoo, Secretary-General Designate Meeting at the Indian Ocean Commission (IOC): - Mr Jean Claude de l Estrac, Secretary-General - Mr. Raj Mohabeer, Chargé de Mission Meeting with Integrated Regional Coordination Committee (IRCC): - Mr. Vikramdityasing Bissoonauthsing, IRCC Coordinator Team work on finalisation of debriefing meeting preps (aide mémoire powerpoint and debriefing documents) MCCI Business School, Plot MEF-MCCI Building, Ebène IOC Office, 3 rd Floor, Blue Tower, Rue de l Institut, Ebene IOC Office, 3 rd Floor, Blue Tower, Rue de l Institut, Ebene Hotel and home Fri, 17 May 08:00 11:00 Preparations for debriefing meeting 11:30 13:00 Debriefing meeting at the EU Delegation in Mauritius, with videoconferencing with key stakeholders based in Lusaka and Dar es Salaam Office and EU Delegation Port Louis EU Delegation Office, 8 th floor, St. James Court, St Denis street, Port Louis Sat, 18 May 15:40 Sun, 19 May 08:55 Departure Mr. Ruddi Vaes, Evaluation Team Leader, from Mauritius with SA 193 Arrival Brussels Airport with SA 7836 and travel to home residence Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 1 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 7

107 Annex 2 List of consulted documents and selective bibliography 2.1. RMCE Documents 2.2. EU Documents 2.3 Other Documents Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 2 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 8

108 Annex 2.1: RMCE Documents Aide Mémoire by RMCE to COMESA regarding IMFI Financial Market Analysis Course, 23 Jan 03 Feb 2012; Approved on 24 January Aide Mémoire by RMCE to COMESA regarding the Regional Conference to Improve the Ease of Doing Business in Eastern and Southern Africa; March Aide Mémoire by RMCE to COMESA regarding the IMF Institute training course on Issues in Economic and Monetary Integration (EMI); Gaborone, June Annual Narrative and Expenditure Report for the Period 22 December 2010 to 31 December 2011, Submitted to the Second Project Implementation Steering Committee of 13 December 2011, Plantation Hotel, Mauritius. Business Plan for the proposed Regional Multidisciplinary Centre of Excellence (RMCE) IRCC/COMESA/SADC/EAC/IOC/IGADin partnership with the EU and World Bank; Final draft for stakeholders discussion, prepared by GBRW, Inc. David A. Phillips and Joseph Pelzman; Nairobi, May CEFEB Mission Report to Mauritius regarding Possible Support to the RMCE; November Common Market for Eastern and Southern Africa (COMESA); RMCE Project Coordinator s Report for the Period 21 December 2010 to 31 December Common Market for Eastern and Southern Africa (COMESA); RMCE Financial Statements for the Period 21 December 2010 to 31 December Constitution of a Private Company Limited by Guarantee Denominated Regional Multidisciplinary Centre of Excellence; Republic of Mauritius Office of the Registrar; March Common Market for Eastern and Southern Africa (COMESA); Different documents of the Office of the Secretary General related to the RMCE legal status and the hosting agreement between the Government of the Republic of Mauritius and the RMCE. Contract of Services between RMCE and Prime Partners Ltd. for Financial Management and Accounting Services for the period 01 July 31 December Draft communication on the 2012 priority capacity development events and needs Summary assessment framework; RMCE Executive Director; December Draft Report of the RMCE Sub-Committee for the Performance Summary assessment of its Executive Director and various correspondence on the subject matter, April-May Employment Contract for the Post of Administrative Assistant, Signed 25 November Evaluation statistics on participants satisfaction with four RMCE-IMF training courses conducted in ; International Monetary Fund Afritac South. Feasibility Study for a Regional Multidisciplinary Centre of Excellence (RMCE) to be based in Mauritius - Consultancy study funded by the European Commission supervised by the World Bank; Educo Pty Ltd, Canberra, Australia; 28 June Final Report on the Technical Assistance to Assist COMESA Secretariat with Setting Up a Regional Multidisciplinary Centre of Excellence; Period of Contract: 3 June 31 October 2010; Prepared by Bernarda Zamora, RMCE Technical Advisor; 16 December Handover Report 2011, Covering the Period June 2010 March 2011; by Bernarda Zamora, Technical Advisor Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 2 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 9

109 Handover Report 2011 Relevant Information to Serve as Induction to the New Executive Director and Summarizing Relevant Contacts, Access to Documentation and Ongoing and Future Projects for RMCE ; by Dr. Thanika Juwaheer; RMCE Officer-In-Charge; September Handover Report, August 2012 Organisational Challenges for Board Consideration; by Helen Mealins, RMCE Executive Director; August Hosting Agreement between the Government of Mauritius and the Regional Multidisciplinary Centre of Excellence; December Implementation Agreement between the Common Market for Eastern and Southern Africa and the Regional Multidisciplinary Centre of Excellence on the Implementation of the Regional Multidisciplinary Centre of Excellence Start-Up Project under the 10 th EDF; 8 th of December Independent Contracting Agreement between RMCE and contractor for events management and staff and consultant appointments in the period 1 Sep to 30 Nov 2011 signed on 31 October 2011; and; Letter of Confirmation for the Position of Interim Director RMCE 01 April Lists of participants in the June 2012 Economic and Monetary Integration (EMI) Training Course and in the Ease of Doing Business in Eastern and Southern Africa Conference / Course of June 2012 and other related documents on the three RMCE events conducted in 2012 (handed over by the RME Officer-in-Charge to the Evaluators under cover letter dated 07 May 2013; Mid-year Narrative and Expenditure Report for the Period 1 January 2012 to 30 June 2012, Submitted to RMCE Board Directors and PIC Members by Circulation; August 2012 Minutes of the 1 st Meeting of the Board of Directors of RMCE held in the Conference Room of Labourdonnais Waterfront Hotel, Port Louis, Mauritius on Friday 3 rd September (Also included in the 1 st BoD file: Agenda, Board briefing paper for discussion, RMCE Constitution, Letter of acceptance by different Board members, work plans Sep-Dec 2010, Jul-Dec 11, RMCE organization structure, TOR of the Director, RMCE logo, Letter of change in Registered office); Minutes of the 2 nd Meeting of the Board of Directors of RMCE held in the Ebony Conference Room of the Link Hotel on Thursday 16 th June Minutes of the 3 rd Meeting of the Board of Directors of RMCE held at la Plantation Resort, Balaclava, Mauritius on Monday, 12 th December (Also included in the 3 rd BoD file: Matters Arising, Minutes of previous meeting, ToR Project Implementation Committee,, ToR s of other Sub-Committees, Prime Partners contract extension, 2011 EU Support Narrative and Expenditure Report, RMCE financial strategy plan, RMCE 2012 strategy work plan and budget); Minutes of the 1 st Meeting of the Project Implementation Committee (PIC) of the RMCE held in the Cyber 2 Conference Room of The Link Hotel on 05 September 2011 Minutes of the 2 nd Meeting of the Project Implementation Committee (PIC) of the RMCE held at La Plantation Resort, Balaclava on 13 December Performance Agreement and Appraisal Record of the RMCE Executive Director for the Review Period 1 August January Performance Agreement and Appraisal Record of the RMCE Operations Coordinator for the year Presentation by the RMCE Interim Director on the occasion of the RMCE Stakeholders Consultative Meeting of 12 May 2011 at the COMESA Secretariat in Lusaka; Position Descriptions of the RMCE Company Secretary and of the Administration and Finance Manager (drafts); Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 2 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 10

110 Proposals on New Governance Structure for RMCE Comparisons with SSNED; PowerPoint Presentation, Report of the First Steering Committee Meeting of the Regional Multidisciplinary Centre of Excellence, Port Louis, Mauritius, November 2009; Document Number CS/RMCE/STEERING/I November Report on the Recruitment of RMCE Executive Director, 16 June Report of the Second Steering Committee Meeting of the Regional Multidisciplinary Centre of Excellence; Nairobi, Kenya, 12 March Report / Record of Proceedings on the RMCE Regional Doing Business Conference / Training Course 2012: Sharing Reform Experiences, Botswana, March Resolution of the Directors of the RMCE on the occasion of the 1 st RMCE Board meeting of 3 September 2010 on the increase of the maximum number of directors of 9 to 11. RMCE Activity Report 2010; Port Louis, Mauritius; RMCE Board Directors Travel Policy; March RMCE Capacity Summary assessment Report; Moore Stephens; Port Louis, Mauritius; February RMCE Capacity Summary assessment Report Phase II; Moore Stephens; Port Louis, Mauritius; June RMCE Corporate Documents (copies provided by the Company Secretary to the Evaluation Team per cover letter dated 06 May 2013), including: Certificate of incorporation; Business Registration Card; Board Composition and History and Filing with Registrar of Companies; Annual Return 2010 and 2011, and; Host Country Agreement between the Government of Mauritius and the RMCE. RMCE Draft Operational Strategy ; January 2012; 38pp. plus annexes (status unknown). RMCE Financial Rules and Regulations 2011, June 2011 (Annex 3). RMCE Procurement Rules and Regulations 2011, June 2011 (Annex 4). RMCE: Proposals on Governance and Financing Drawing from Afritac South (AFS) Experience; Government of Mauritius; September 2012 RMCE Revised Offer of Appointment of Miss Helen Mealins as Executive Director of the RMCE for 36 months starting 1 August 2011; Port Luis; 01 August RMCE Signed Company Profile by the Company Secretary, signed 28 May RMCE Staff Meeting on Finance and Procurement Rules and Regulations; Proposed Agenda and Correspondence; May-June RMCE Staff Rules and Regulations; 2011 RMCE Stakeholders Meeting, Nairobi, May 8 th and 9 th 2007; Conclusions and Recommendations for Consideration by RMCE Advisory Group; 15 May RMCE Work Plan and Budget; 1 January 31 December RMCE Work Plan and Budget; 1 January 31 December 2012; Draft for RMCE Board Discussion on 12 December 2011; December Rules and Procedures for the Technical Committee on the Regional Multidisciplinary Centre of Excellence; Date and status of this document is unknown. Selective E-correspondence between RMCE Executive Director, Board Members, COMESA, EUD Lusaka and IRC on RMCE management, steering, procedures and related issues Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 2 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 11

111 Service Contract between COMESA and Moore Stephens for Consultancy Services on an Summary assessment of financial and management capacity of the RMCE in line with the provisions of the COMESA-RMCE Implementation Agreement under the Contribution Agreement; 18 February Service Contract between COMESA and Dr. Thanika Devi Juwaheer to assist in the RMCE start-up phase as caretaker manager; 30 March Service Contract between COMESA and Dr. Thanika Devi Juwaheer for services to assist on an interim basis in the day-to-day management of RMCE and prepare hand over to the appointed Executive Director from 01 June to 31 August 2011; 18 July Signing off letter by the RMCE Executive Director Helen Mealins addressed to the Board, 17 August Summary of Decisions Taken at the 2 nd Project Implementation Committee (PIC) held on Tuesday 13 December Summary of Decisions Taken at the 3 rd Board Meeting held on Monday 13 December Summary Report on RMCE Events Held in Statement by the Assistance Secretary General of COMESA during the 1 st Board Meeting of the RMCE on 3 September 2010 in Port Louis, Mauritius. Terms of Reference for Appraisal of RMCE Board Effectiveness; RMCE Executive Director; 9 April RMCE Base Financial and Internal Audit Documents RMCE Account Listing for 2011, by COMESA RMCE copies of Bank Statements MUR account from 8th Oct 2010 to 29th March 2013 RMCE copies of Bank Statements EUR account from 8th Oct 2010 to 29th March 2013 RMCE Bank Reconciliation Statements, by RMCE Company Secretary (8 in total period August 2012 March 2103). RMCE Euro Cashbooks (for Euro account in Mauritius only) and Schedules, by RMCE Company Secretary ( 3 in total : 2011, 2012 and 2013 as of March 2013 in Excel format). RMCE Internal Audit Management reports for 2011 and 2012 carried out by COMESA internal auditors RMCE Mauritian Rupee (MUR) Cashbooks and Schedules, by RMCE Company Secretary (2 in total: FY 2010 and 2011 In Excel format). RMCE Payroll Summaries for the Project Operations Officer and the Administrative Support Officer RMCE Financial Statements for the Period from 29 March 2010 (date of incorporation) to 31 December 2010; Compilation of documents received by the Evaluation Team from the Company Secretary per cover letter dated 06 May RMCE Financial Statements for the Year ended 31 December 2011; Compilation of documents received by the Evaluation Team from the Company Secretary per cover letter dated 06 May Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 2 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 12

112 Annex 2.2 : EU Documents Action Fiche for EDF10 ES-IO RSP/RIP Regional Multidisciplinary Centre of Excellence (RMCE) start-up project 2009/ EC Common Research Information System (CRIS); Detailed Contract Form of the Regional Multidisciplinary Centre of Excellence (RMCE) start-up project - No 2010/ ; Printout dated 23 April EC Common Research Information System (CRIS); Detailed Decision Form of the Regional Multidisciplinary Centre of Excellence (RMCE) start-up project - No 2010/ ; Printout dated 22 April European Union Contribution Agreement with an International Organisation Contribution Agreement Ref. No. FED/2010/ Decision Number ; Special Conditions; 21 December European Union Contribution Agreement with an International Organisation Contribution Agreement Ref. No. FED/2010/ Decision Number ; Special Conditions Annex 1: Logical Framework; 21 December European Union Contribution Agreement with an International Organisation Contribution Agreement Ref. No. FED/2010/ Decision Number ; Special Conditions Annex 3.1: Indicative Budget of the Contribution Agreement; 21 December Identification Fiche for Project Approach Regional Multidisciplinary Centre of Excellence; 9 March Minutes of the Meeting between COMESA and EU held on 30 January 2013 at EU Embassy Offices, Lusaka, Zambia; Minutes of the Meeting between COMESA and EU held on 15 March 2013 at COMESA Headquarters, Lusaka, Zambia; Point 11 on RMCE evaluation. Regional Strategy Paper and Regional Indicative Programme European Union in the World; European Community and Region of Eastern and Southern Africa and the Indian Ocean; Strasbourg, 25 November RMCE checklist for formulation phase project approach; Format of 12/10/2007 IRCC internal status report on RME implementation; December 2011 Annex 2.3 : Other Documents Asia-Europe Foundation; Articles of Association of Asia-Europe Foundation; The Companies Act (Chapter 50); Approved at the 25 th Board of Governors meeting of 8 December 2010; Singapore. Board of Investment of Mauritius; Mauritius Your Investment and Business Hub Mauritius, a Knowledge Hub in the Making. Common Market for Southern and Eastern Africa (COMESA); Draft Financial Rules and Regulations November 2005 Edition. Common Market for Southern and Eastern Africa (COMESA); Procurement Implementation Rules, November 2005 (with Amendments by the Council, 2007). Government of Mauritius; The Foundations Act Proclamation No. 30 of 2012 and Act No. 8 of Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 2 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 13

113 International Monetary Fund, Africa Regional Assistance Centre South (AFS) Afritac South; Annual Report 2012; October International Monetary Fund, Africa Regional Technical Assistance Centre South (Afritac South); Work Program for FY 2013 (May 01, 2012 April 30, 2013) and Results-Based Management; 08 March International Monetary Fund, IMF Institute for Capacity Development; 2013 Training Catalog Inter-Regional Co-ordinating Committee (IRCC); Compilation of documents prepared by the IRCC for the RMCE MTR evaluators (both hard copies and e-copies); 22 April Inter-Regional Co-ordinating Committee (IRCC); Agenda and Organisation of Work, List of Participants, Conclusions and Recommendations of the 23 rd IRCC Plenary Meeting of 20 February 2013 in Arusha, Tanzania. Maldives-Mauritius Joint Economic Commission; Agreed Minutes of the Meeting Held at Port Louis, Mauritius, on March Mauritius Chamber of Commerce and Industry (MCCI) Business School; Various training courses curricular. Mauritius Employers Federation; Annual Report Mauritius Institute of Directors; Directors Forum Best Practice Guidelines for the Appointment of Directors; September Mauritius Institute of Directors; Training, Education and Corporate Services folder on Promoting Corporate Governance Across the Board/ Mauritius Research Council; Strategic Plan Mauritius Research Council; Newsletter; February Mid-Term Evaluation of 10thEDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) - Proposed Methodology / Tender Proposal of the Consortium Led by DFC; Draft; 05 March 2013 Ministry of Finance and Economic Development; Letter to the Government of the People s Republic of China on Collaboration under China-Africa Partnership, including Directorship of RMCE; 06 July Ministry of Foreign Affairs, Regional Integration and International Trade; Strategic Plan Mission Statement, Overview of Strategic Priorities, Key Performance Areas and Asset Management. Ministry of Foreign Affairs, Regional Integration and International Trade; Speech by Hon A. Boolell, Minister of Foreign Affairs, Regional Integration and International Trade of the Republic of Mauritius at the Sixth Conference of African Ministers in Charge of Integration; Intercontinental Hotel, Balaclava, Mauritius, 18 April Tertiary Education Commission of Mauritius; List of Indicative Priority Fields of Study 2009/2010; January Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 2 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 14

114 Annex 3 E-survey mini-questionnaire with RMCE Board and other key stakeholders Sections of the Questionnaire: 1. Identification of respondent 2. Brief description of involvement in / relationship with RMCE 3. Main positive characteristics, main actual strengths 4. Main limitations, challenges and/or weaknesses 5. Main lessons learned 6. Main areas of improvement / critical success factors 7. Most important components / dimensions of regional integration 8. Continued validity of 2009 RMCE Business Plan (BP) core areas of regional integration services 9. Priority topics, subjects, elements of regional integration for RMCE to focus on 10. Summary assessment of RMCE governance structure 11. Summary assessment of RMCE legal status 12. Summary assessment of RMCE financing structure 13. Summary assessment of strategic and operational (incl. financial) management 14. RMCE complementarity to and collaboration with other institutes 15. Summary assessment RMCE capacity strengthening services received / benefited from 16. Main expectations towards RMCE with regard to capacity strengthening for Regional Integration 17. Any other observations, suggestions and/or recommendations Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 3 DFC S.A.U. CCM-CG Consortium Draft Final Report - July 2013 Page 15

115 Evaluation of the EU 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) (April-May 2013) E-Survey Mini-Questionnaire with RMCE Board and Other Key Stakeholders Kindly fill-out and return to the Evaluation Team not later than Friday, 24 May 2013, to: Mr. Ruddi Vaes ( ruddi.vaes@telenet.be ) with copy to Mr. Homduth Seeburn ( san_seeburn@intnet.mu ) 1. Brief identification of yourself as responding RMCE key stakeholder Name of responding RMCE key stakeholder (first & family name) Position / designation Name of organisation / institute / ministry City and country Telephone number address V.4-14 May Brief Description of Your Own Past or Ongoing Involvement in / Relationship with RMCE Position or title / main subject of involvement Brief description of your involvement, inputs and/or activities Covered period (date from - date to) Brief self- Summary assessment of your contribution to / inputs into RMCE Strengths / positive elements Challenges / elements for improvement Self-rating on 0-10 scale From (dd/mm/yy) To (dd/mm/yy) 3. What according to you have been the main positive characteristics, the main actual strengths of the RMCE so far (Pls. list maximum 5 in order of importance, with the most important first) What according to you have been the main limitations, the main challenges and/or weaknesses of the RMCE so far (Pls. list maximum 5 in order of importance, with the main limitation, challenge or weakness first) Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 3 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 16

116 Based on your above analysis of RMCE strengths and weaknesses so far, what according to you are the main lessons learned for RMCE in the future as a Regional Multidisciplinary Centre of Excellence for capacity building on regional integration? (Pls. list maximum 5 in order of importance / priority, with the most important first) Based on your above analysis of RMCE strengths and weaknesses so far, what according to you are the main areas of improvement and/or critical success factors for RMCE in the future as a Regional Multidisciplinary Centre of Excellence for capacity building on regional integration? (Pls. list maximum 5 in order of importance / priority, with the most important first) What are the most important components / dimensions of regional integration for your Organisation / in your opinion? And for which components / dimensions do you expect RMCE to provide services / added value ) (Pls. provide a score on a 0 to 10 scale for both) Main components / dimensions of regional integration and expectations towards RMCE Please include score (0 to 10 scale) in the boxes Regional Integration Dimension 0-10 score: Importance RMCE Role 1. Economic cooperation and integration 2. Political cooperation and integration 3. Human development and social aspects 4. Environmental aspects 5. Other (pls. specify) 8. The 2009 Business Plan at the basis of RMCE operations identified the following five core areas for the Centre on which competencies needed to be strengthened to facilitate regional integration. As of the present, how would you rate the continued importance and relevance of these 2009 Business Plan core areas of Regional Integration services on a 0-10 scale? And how crucial do you consider RMCE s continued role as service provider for these, taking into consideration other service providers? (Pls. provide a score on a 0 to 10 scale for both) 2009 RMCE Business Plan identified five core areas on which competencies needing to be strengthened: Continued importance Please include score (0 to 10 scale) in the boxes 2009 Business Plan core areas 0-10 score: Importance RMCE Role 1. Macroeconomic harmonisation 2. Cross-border trade and transit 3. Cross-border financing 4. Business development and investment 5. Common regional sector policy Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 3 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 17

117 9. On which topics / subjects / elements of regional integration does the RMCE need to focus especially / with priority in your opinion and/or for your organisation in terms of so far unmet capacity development needs? (Pls. list maximum 10 topics in order of importance / priority, with the most important first some example topics based on evaluation documents study and emanating from evaluation interviews are summarized below this table just for information / reference purposes only Examples of subjects by RI topics cluster (non-exhaustive, just for reference / illustration purposes only): 1. Economic integration subjects: Macroeconomic stability, harmonisation and convergence; Cross-border trade and transit; Cross-border financing; Business development and investment; Customs cooperation; Goods and services market integration; Diversification and expansion of competitive productive sectors; Regional financial and monetary cooperation; Regional development finance mobilisation; Enhancement of quality and competitiveness of goods and services; Regional infrastructure; Sustainable cross-border tourism etc. 2. Political cooperation: Democratic governance; Human rights; Elections; Conflict mediation and resolution; Rule of law; Security issue; Political cooperation and integration; 3. Human and social development and environment: MDGs and HDI; Migration; Human trafficking; Consumer protection; Climate change; Environment protection; Biodiversity Renewable energy; Public health issues; HIV-AIDS; Epidemiology; Education; Human resources development; Regional Qualifications Framework; Harmonised Consumer Index; Multicultural society, Social cohesion; Social security and protection, etc. 10. Summary Summary assessment of RMCE Governance structure (with special focus on RMCE Board composition and functioning) Summary assessment score of RMCE governance structure and board composition & functioning (0-10 scale) Brief explanation / justification of score (strengths and weaknesses) Suggestions for improvement, if any 11. Summary Summary assessment of RMCE s legal structure (as private company limited by guarantee in accordance with Mauritian Companies Act 2001) Summary assessment score of RMCE legal structure (0-10 scale) Brief explanation / justification of score (strengths and weaknesses) Suggestions for improvement, if any Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 3 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 18

118 12. Summary Summary assessment of RMCE financing structure (Host Government contribution, EU Contribution Agreement via COMESA, RIOs and MS contributions, auto-generated resources, cost-recovery, private sector, etc.) Summary assessment score of RMCE financing structure (0-10 scale) Brief explanation / justification of score (strengths and weaknesses) Suggestions for improvement, if any 13. Summary Summary assessment of RMCE strategic and operational (incl. financial) management Summary assessment score of RMCE strategic and operational (incl. financial) management (0-10 scale) Brief explanation / justification of score (strengths and weaknesses) Suggestions for improvement, if any 14. Summary Summary assessment of RMCE complementarity to and collaboration with other institutes Summary assessment score of RMCE complementarity to and collaboration with other institutes (0-10 scale) 6 Brief explanation / justification of score (strengths and weaknesses) Suggestions for improvement, if any 15. Overall Summary assessment of the RMCE capacity strengthening services received / benefited from (if not applicable, pls. include N.A., if none received so far, pls. include none ) Summary assessment score of the RMCE services received / benefited from (0-10 scale) Brief description of RMCE services received / benefited from Brief Summary assessment of the services Suggestions for improvement, if any Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 3 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 19

119 16. From the perspective of your organisation / institute / ministry, what are the main expectations towards RMCE with regard to capacity building for Regional Integration? What are according to you RMCE s niche areas / main added value in the years to come? (Pls. list maximum 5 in order of importance / priority, with the most important first) Please describe / list below any other observations, suggestions and/or recommendations you may have vis-à-vis the Regional Multidisciplinary Centre of Excellence (RMCE)!!! Thank you very much for your most appreciated cooperation!!! Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 3 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 20

120 Mid-Term Evaluation of the EU 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 4 : Possible Draft Institutional Chart of an RMCE-RI Foundation as Network Hub for Regional Integration Capacity Development V.6-25 July 2013 Draft for Discussion Purposes Only GoM Key Entities (MoFARIIT, MoFED, MoTESRT, etc.) COMESA, EAC, SADC IOC, IGAD, Other EU, WB, UN, AfDB, Other (tbc) Other Multilateral and Bilateral Development Partners Regional Employers and Business Organisations (CBC, ASCCI, SBF, EABC, UCCIOI, IBF, etc.) Government of Mauritius (1-2) Independent RI Expert / Authority (3) Tripartite ESA-IO Regional Integration Organisations (4-5) Other ESA-IO Regional Integration Organisations (6) Founding Development Partners (7-8) Other Development Partners (Multi & Bi) (9) ESA-IO Regional Private Sector Organisations (10-11) RMCE-RI Foundation Council (11 Members) RI Curricula Advisory Committee RI Capacity Development Impact Advisory Committee Procurement and Finance Committee RI Applied Reseach and Services Advisory Committee RMCE-RI Foundation Office Five ESA RIOs Twinning CEs Managing Director COMESA, SADC, EAC, IGAD and IOC Deputy Director Performance Planning and Monitoring Unit Other Centres of Excellence on RI matters: Afritacs S & E, IMF RTC, ECDPM, UNU-CRIS, Pan African University, etc. Member States Member States Key Regional lntegration Stakeholders (Public & Private Sectors) E-Networking & Clearinghouse Unit Core RI-KRAs Unit 1 on Economic Integration Core RI-KRA Unit 2 on Political Cooperation Core RI-KRA Unit 3 on Human, Social & Environment Reg. Issues Institutional Networking Unit Admin and Finance Unit Other ROs & RIOs AU, ACP, ECOWAS, ASEAN, CARICOM, MERCOSUR, SSNED, etc. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 4 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 21

121 Annex 5 Selective analytical tables and figures on RMCE design and support project implementation Page List of RMCE courses financed from the EU-Comesa Contribution Agreement - Summary of the Aide Mémoires Summary comparison of RMCE legal status options: Foundation versus Private Company RMCE Board of Directors (BoD) composition as an outcome of the first BoD meeting of 3 September RMCE fixed assets register May RMCE Board of Directors composition as at 28 May 2013 as per the Company Secretary records Summary overview table of the main agenda points of the three RMCE Board of Directors meetings RME priority strategic sectoral / thematic focal areas for capacity building on regional integration - A. As per RMCE key policy and strategy documents / events RME priority strategic sectoral / thematic focal areas for capacity building on regional integration - B. As per RMCE operational plans and events RME priority strategic sectoral / thematic focal areas for capacity building on regional integration - C. Clustered focal areas, based on evaluation documents study and interviews RME priority strategic sectoral / thematic focal areas for capacity building on regional integration - D. RMCE feasibility study Priority areas for Regional Economic Community (REC) capacity building Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 22

122 5.11 Regional Integration Organisation (RIO) membership of countries in the Eastern and Southern Africa and Indian Ocean (EA-IO) Region Example of RIO strategic priorities and Key Result Areas for the coming five year programme ( ) towards Regional Economic Integration: Case of SADC Trade, Industry, Finance and Investment (TIFI) Directorate RMCE evaluation main components in relation to the evaluation criteria and to the evaluation questions Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 23

123 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.1 : List of RMCE Courses Financed from the Contribution Agreement - Summary of Aide Memoires Courses Conducted by Main Focus Area Venue Activity Start date Activity End date Total Estimated Costs Main Source of Funding Remarks 1 IMF Financial Market Analysis Course IMF Result Area R 2.5 Mauritius - Le Mauricia Hotel 23-Jan Feb ,675 EU-Comesa Contribution Agreement The Govt of Mtius agreed to cover expenditure over and above EUR 114,575 up to the total budgeted amount of the course of EUR 172,830 2 Regional Conference to improve the ease of doing business in Eastern and southern Africa World Bank Building productive capacity for global competitiveness Botswana - Gaborone 28-Mar Mar ,160 EU-Comesa Contribution Agreement 2012 budget allocations under TEC 0202.R2.2 ( 89,160 ) and TEC 0601 R3.1 ( 20,000 ) 3 Issues in economic and Monetary Integration (EMI) IMF WP action fiche R 2.9 Mauritius - Grand Bay Conference Center 18-Jun Jun ,440 EU-Comesa Contribution Agreement Source: Aide Mémoires of RMCE events submitted to COMESA for approval Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 24

124 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.2 : Summary Comparison of RMCE Legal Status Options: Foundation versus Private Company Camparison Features / Characteristics Private Company Structure (Existing Situation) Foundation Structure (Proposed Alternative Structure) 1 Name of the company Company name ends with "limited " Organisation name ends with "Foundation " 2 Motive / main objective / goal Profit making objective prevails with any activity authorised under the laws or Mauritius Non-profit making objective prevails as a Charitable foundation where it would have as its exclusive purpose or object "the advancement of education", though other objects may be possible. In many countries, the preferred legal structure for similar entities with educational, national or regional knowledge, skills and/or capacity strenghtening purposes 3 Legal Status The legal status is registered with a constitution of the company The legal status is registered with a Charter of the Foundation 4 Constitutional Provisions on Governance Structure The constitution calls for the establishment of a Board of Directors The constitution calls for the establishement of a Council and its Council Members. The procedures are laid down for the appointment of the Council or of a Protector or of a Committee of Protectors, and of its powers and duties 5 Ownership Privately owned, has a more private connotation and ends with "ltd" projecting a private benefit cause Is seen as having communal or even regional ownership and name ends with a"foundation". Referring to an underlying good cause 6 Initial Assets of the Foundation A willing Host country may endow assets to the foundation which shall be the initial assts of the Foundation and will remain the assets of the Host country.these may be defined in the charter or the articles of the Foundation. 7 Articles of the Foundation The Articles of the Foundation define all rules and conditions in relation to distribution of assets, regulation of the affairs of the Foundation etc., and these are signed by each member of the Council 8 Taxes Pay taxes at normal rates as per the Income tax law law Pay taxes at normal rates as per the Income tax law law ( for exemption, derogation needs to be applied for ) 9 Name Governance Board Board of Directors Council of Foundation. 10 Main Responsibilities Board / Council Conducts the affairs of the Company in the best interest of its shareholders Conducts the affairs of the Foundation and in the best interest of the Foundation 11 Personal Liabilities Directors and officers may be personally liable for all the liabilities of the Company Nothing in the Charter or Articles shall relieve, release or excuse a person (every officer of the foundation and member of a council) from any liability arising from fraud, wilful misconduct or gross negligence committed by such person. 12 Annual Registration Fee MUR 2,500 MUR 9,000 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 25

125 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.3 : RMCE Board of Directors (BoD) Composition as an Outcome of the 1st BoD Meeting of 3 September 2010 (1) Name Organisation Position in Organisation RMCE Board Position 1 Mr. Ngwenya S. COMESA Secretary Geneal Chairman 2 Mr. Mansoor A. Ministry of Finace & ED, GoM Financial Secretary Director 3 Mr. D'Offay C. IOC Executive Secretary Director 4 Dr Amoako K.Y. ACET Founder & President Director 5 Eng. Maalim M.M IGAD Executive Secretary Director 6 Amb. Mwapachu J. EAC Secretary General Director 7 Dr. Salomao T.A. SADC Secretary General Director 8 Prof. Briguglio L. SSNED Director Director 9 Prof. Ahmad E. LSE Professor Director (1) 10 Dr. Obwona M. AERC Director of Training Director (1) (1) As an outcome of this meeting the Board decided to increase the maximum number of Directors from 9 (as stipulated in the Constitution) to 11. The two additionally apointed Directors were: Dr. Ehtisham Ahmad of LSE and Dr. Marios Obwona, Director of Training, African Economic Research Consortium. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 26

126 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.4 : RMCE Fixed Assets Register - May 2013 Seq. N o in This List RMCE Ref. Number FY Acquired Item Date Received Description Registration/ Serial Number Quantity Location Purchase price MUR (vat incl) Paid out of EU Fund 1 Xerox photocopier 01-Jan-11 Xerox / L509212LE HM Office Not RMCE asset Laptop 01-Jan-11 Dell - old F15SB4J/07062/DF7 32-4BC2D-G627K Laptop 01-Jan-11 Dell inspiron N5110 DH3WRP1/FQC storage /obsolete 1 MTB office Mobile phone handset 08-Aug-11 Blackberry A HM 20, Motor Vehicle 05-Apr-12 Nissan Qashqai 1 On road 1,250,000 1,250, Laptop 11-Jan-12 HP Probook 4530S CNU13755VD 1 ED Office Cabinet 38, Laptop 11-Jan-12 HP Probook 4530S CNU13755PJ 1 MTB office 38, Laptop 11-Jan-12 HP Probook 4530S CNU13755TI 1 AR office 38, Laptop 11-Jan-12 HP Probook 4530S CNU13755RP 1 cabinet drawer- HM 38, Laptop 11-Jan-12 HP Probook 4530S CNU13755RS 1 cabinet drawer-hm 38, Laptop 11-Jan-12 HP Probook 4530S CNU13755QK 1 JP office 38, Docking station 11-Jan-12 HP USB, Ref AY052AA JP112908FC 1 storage 5, Docking station 11-Jan-12 HP JP A 1 MTB office 5, Docking station 11-Jan-12 HP JP112908F8 1 AR office 5, Docking station 11-Jan-12 HP JP112908FA 1 ED office 5, Docking station 11-Jan-12 HP JP Storage 5, Laptop Lock 11-Jan-12 HP storage Laptop Lock 11-Jan-12 HP storage Laptop Lock 11-Jan-12 HP storage Laptop Lock 11-Jan-12 HP storage Laptop Lock 11-Jan-12 HP storage Laptop Lock 11-Jan-12 HP storage LCD Monitor Screen 11-Jan-12 VS13239 view sonic RWS ED Office-table 7, LCD Monitor Screen 11-Jan-12 VS13239 view sonic RWS MTB Office 7, LCD Monitor Screen 11-Jan-12 VS13239 view sonic RWS Storage 7, LCD Monitor Screen 11-Jan-12 VS13239 view sonic RWS storage 7, LCD Monitor Screen 11-Jan-12 VS13239 view sonic RWS storage 7, LCD Monitor Screen 11-Jan-12 VS13239 view sonic RWS AR Office 7, Printers 11-Jan Printers 11-Jan Printers 11-Jan DVD symantec 18-Jan-12 HP Laser JetPro P1606dn VNC3M AR office 9,775 HP Laser JetPro P1606dn VNC3M MTB office 9,775 HP Laser JetPro P1606dn VNC3M storage 9,775 endpoint protection Storage 1, Keyboard&mouse 18-Jan-12 Logitech SY143UK /MK260 1 ED Office 1, Keyboard&mouse 18-Jan-12 Logitech SY143UK /MK260 1 MTB Office 1, Keyboard&mouse 18-Jan-12 Logitech SY143UK /MK260 1 AR Office 1, Keyboard&mouse 18-Jan-12 Logitech SY143UK /MK260 1 Storage 1, Keyboard&mouse 18-Jan-12 Logitech SY143UK /MK260 1 Storage 1, Keyboard&mouse 18-Jan-12 Logitech SY143UK /MK260 1 Storage 1, product key 18-Jan-12 Microsoft Office. 1 Storage 17, product key 18-Jan-12 Microsoft Office product key 18-Jan-12 Microsoft Office FBDRG-D74BB- RJ6V6-P9Q4K- RBBTF H26PT-Q24G-CDVDJ- 6XFTK-X69VW 1 Storage 17,394 1 Storage 17, product key 18-Jan-12 Microsoft Office J89FM-3W8FD- VJDCT-MJGD-3W3PP 1 Storage 17,394 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 27

127 Seq. N o in This List RMCE Ref. Number FY Acquired Item Date Received Description Registration/ Serial Number Quantity Location Purchase price MUR (vat incl) Paid out of EU Fund product key 18-Jan-12 Microsoft Office FKVBH-94KBR- 8RDB2-V22JT-XPV3V 1 Storage 17, product key 18-Jan-12 Microsoft Office FC9V7-69HXF-8VJVH- YJV9W-DWHBY 1 Storage 17, Server 02-Feb-12 HP Microsoft Server B21 1 ED office 10, Telephone Handset 22-Dec-11 Beetel DF ED office 3, Telephone Handset 22-Dec-11 Beetel DF Table / AR office 3, Telephone Handset 22-Dec-11 Beetel DF JP office 3, Telephone Handset 22-Dec-11 Beetel DF Table/ MTB office 3, Telephone Handset 22-Dec-11 Beetel DF cabinet drawer-ed 3, Docking station 03-Feb-12 HP JP113501D7 1 storage 5, Essential USB 2.0 Port 03-Feb-12 HP DC5V/ / MTB 4, Essential USB 2.0 Port 03-Feb-12 HP DC5V/ / AR 4, Essential USB 2.0 Port 03-Feb-12 HP DC5V/ / ED 4, Essential USB 2.0 Port 03-Feb-12 HP DC5V/ / storage 4, Essential USB 2.0 Port 03-Feb-12 HP DC5V/ / storage 4, Essential USB 2.0 Port 03-Feb-12 HP DC5V/ / storage 4, Hard Disk Server 03-Feb-12 CZ113501AM 1 SERVER 35, HP Monitor screen 03-Feb-12 HP / A12364B1B SERVER Keyboard Server 03-Feb-12 HP BAUET00VBY3S9 1 SERVER -ED office Laptop carry case 03-Feb-12 HP 1 cabinet drawer-hm Laptop carry case 03-Feb-12 HP 1 cabinet drawer-hm Laptop carry case 03-Feb-12 HP 1 MTB-Laptop Laptop carry case 03-Feb-12 HP 1 AR-Laptop Laptop carry case 03-Feb-12 HP 1 ED Office Cabinet Laptop carry case 03-Feb-12 HP 1 JP-Laptop Pro Notebook Battery 03-Feb-12 HP Pro Notebook Battery 03-Feb-12 HP Pro Notebook Battery 03-Feb-12 HP Pro Notebook Battery 03-Feb-12 HP Pro Notebook Battery 03-Feb-12 HP Pro Notebook Battery 03-Feb-12 HP CT:6BSLF01BJOYA6 M / QK646AA CT:6BSLF01BJOYA6J / QK646AA CT:6BSLF01BJOYA6 G / QK646AA CT:6BSLF01BJOYA6 K / QK646AA T:6BSLF01BJOYA6F / QK646AA CT:6BSLF01BJOYA 6H / QK646AA 1 Storage 2,300 1 Storage 2,300 1 Storage 2,300 1 Storage 2,300 1 Storage 2,300 1 Storage 2, Binder Machine 5-Ap-12 C MTB Office 13, Paper Shredder 5-Ap-12 REX ,908,100,055 1 JP Office 11,615 Totals as per the RMCE List 1,867,563 1,250, Mar 12 Euro 15, Missed out from the register (folio 19)? Computer equipments set 562, ,638 Overall Totals for RMCE Assets In Euro 2,430,201 1,812,638 In % of Total 57.28% 42.72% Summary of Fixed Assets Paid out of the EU Fund Location MUR MUR (EU Fund) 5 Motor Vehicle 05-Apr-12 Nissan Qashqai 1 On the road 1,250,000 1,250, Computer equipments set 25-Mar-12 Euro 15, Totals Missed out from the register (folio 19)? Not known 562, ,638 1,812,638 1,812,638 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 28

128 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.5 : RMCE Board of Directors (BoD) Composition as at 28 May 2013 as per the Company Secretary Records Name Position 1 Mr Ali Mansoor Chairman/Director 2 Mr Ahmad Syed Ehtisham Uddin Director 3 Mr Amoako Kingley Director 4 Mr Bissoonauthsing Vikramdityasing Director 5 Mr Briguglio,Uno Pascal Director 6 Mr Jean Claude De Lestrac Director 7 Mr Maalim Eng.Mahboub Director 8 Mr Ngwenya,Sindiso Ndema Director 9 Mr Obwona Marios Director 10 Mr Salomao Tomaz Augusto Director 11 Mr Sezibra Richard Director 1 Mr. Ung,Jao Samuel Caholo Alternate Director to Mr Salomao 2 Mr Yufnalis Alternate Director to Mr Maalim Prime Partners Ltd Company Secretary Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 29

129 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.6 : Summary Overview Table of the Main Agenda Points of the Three RMCE Board of Director Meetings (1) 1st Board Meeting Labourdonnais Waterfront Hotel, Port Louis, Mauritius Friday, 03 Sep 2010 (10:15-14:15) Present: 4 Board Members and 3 Alternates plus In Attendance: 9 persons 2nd Board Meeting The Link Hotel, Port Louis, Mauritius Thursday, 16 Jun 2011 (10:00-17:00) Present: 3 Board Members and 4 Alternates plus In Attendance: 12 persons 3rd Board Meeting La Plantation Resort, Balaclava, Mauritius Monday, 12 Dec 2011 (09:00-20:30) Present: 4 Board Members and 5 Alternates plus In Attendance: 13 persons 1 Appointment of the chairman 1 Adoption of the agenda 1 Adoption of agenda 2 Representative of European Commission as Board Member or as Observer 2 Approval of minutes of proceedings of 1st Board meeting 2 Approval of minutes of proceedings of 2nd Board meeting 3 Appointment of additional directors: 1. Appointment of 5 additional directors 2. Proposed appointment of 2 other directors 3. Increase in number of directors on the Board 3 Matters arising 1. Appointment of Additional Directors 2. Increase in number of Directors 3. Board rules 4. Development Partners (mngt tasked to secure funds) 5. Events 6. Host country agreement 7. Implementation agreement 8. Extension contract of Technical Adviser 9. Administrative and Finance Manager 10. Proposal for Donors 11. First accounting period 12. Appointment of auditors 3 Matters arising: 1. Appointment of Additional Directors 2. Increase in number of Directors 3. Board rules - Article 23 of the Constitution 4. Development Partners (mngt to secure funds) 5. Events 6. Implementation agreement 7. First accounting period 8. Appointment of Executive Director 9. Appointment of Interim Administrative Staff prior to substantive recruitment 10. Appointment of Legal Counsel 11. Appointment of Company Secretary 12. Governance of RMCE: Approval of Financial, Procurement and Staff Rules 13. RMCE 5-year plan for resource mobilisation 14. Modus operandi with donors and RMCE Governance structure 15. Membership of Project Implementation Committee (PIC) - ToR 16. Appointment of Regional Programme Managers and ToRs 17. Proposed Roadmap for Accelerating Economic Transformation in Africa: Eastern and Southern Africa 18. Financial position as at 15 June RMCE activity report Proposals for new office premises and location costs 21. Proposed ToRs for design and implementation of RMCE website and marketing communications plan 22. Adhoc expert meeting "Addressing Challenges of Macroeconomic Policy Convergence in the SADC Region 23. Thanking of donors: AfDB and other Donors 24. Date and venue of 1st meeting of Project Implementation Committee (PIC) - Noted as held on 05 Sep Database for experts 26. Memorandum of Understanding with ACET and SSNED 27. Tax services 4 Board rules 4 Staff recruitment of RMCE 1. Appointment of Executive Director 2. Appointment of interim Administrative staff prior to substantive recruitment 3. Appointment of Legal Counsel for RMCE 4. Appointment of Company Secretary for RMCE 4 Operational Strategy & 2012 Work Plan and Budget - six elements: a) Institutionalising needs assessment b) Service sequencing, provision and growth c) Strategic partnerships d) Organisational structure and staffing e) Financial strategy and plan f) Marketing and visibility 5 RMCE start up project implementation status: 1. Terms of Reference consultancy services - AFD 2. Development partners (networking) 3. Events (to market RMCE) 4. Host Country Agreement 5 Governance of RMCE: Approval of Financial, Procurement and Staff Rules: BoD took note of: (i) Financial rules and regulations (ii) Procurement rules and regulations (iii) Staff rules and regulations 5 Corporate governance: a) PIC ToR and matters arising from 1st PIC Meeting held 05 September 2011 b) Other Sub-committee's Terms of Reference (Finance and Procurement Committee, Human Resources Committee, and Audit Committee c) RMCE Rules and Regulations: Staff Rules and Regulations and Employee Handbook; Financial Rules and Regulations; Procurement Rules and Regulations d) Delegated financial authority e) RMCE-COMESA Implementation Agreement 6 The start up project management structure: 1. Implementation Agreement 2. Setting up of a Project Implementation Committee 6 Modus operandi with donors and RMCE governance structure: (a) RMCE 5-year plan for resource mobilisation (b) Modus operandi with Donors and Governance Structure for RMCE: (i) Governance structure for RMCE (ii) Composition of Audit and Finance Committee and Human Resources and Procurement Committee 6 Staffing a) Update on administrative staff appointments and programme management recruitment b) Prime Partners ltd contract extension 7 Organisation chart 7 Membership of Project Steering Committee and ToRs 7 Financial Management a) 2011 Financial expenditure report b) Commissioning the 2011 Audit 8 Staff matters: 1. ToR of Executive Director 2. Extension of contract of Technical Adviser 3. Administrative Manager 8 Appointment of Regional Programme Managers and ToRs 8 EU Start Up Project 2011 Narrative and Financial Report : Board adopted the EU SUP 2011 Narrative and Expenditure Report Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 30

130 1st Board Meeting Labourdonnais Waterfront Hotel, Port Louis, Mauritius Friday, 03 Sep 2010 (10:15-14:15) Present: 4 Board Members and 3 Alternates plus In Attendance: 9 persons 2nd Board Meeting The Link Hotel, Port Louis, Mauritius Thursday, 16 Jun 2011 (10:00-17:00) Present: 3 Board Members and 4 Alternates plus In Attendance: 12 persons 3rd Board Meeting La Plantation Resort, Balaclava, Mauritius Monday, 12 Dec 2011 (09:00-20:30) Present: 4 Board Members and 5 Alternates plus In Attendance: 13 persons 9 Work Plan 1. 1st Work plan September to December nd Work plan January 2011 to December Endorsement of RMCEs revised Work Programme Any Other Business a) RMCE Board travel and accommodation policy b) Assessment of the Executive Director after the probationary period (by 3 member sub-committee) c) Labour mobility-proposal for RMCE engagement d) Performance based allocation systems (PBAS) seminar e) Date of next Board Meeting (17-18 May 2012) b) Summary of Decisions of the Board 10 Proposal for donors (5 Key Areas) 10 RMCE's support to Regional Economic Integration: Proposed road map for accelerating economic transformation in Africa: Eastern and Southern Africa 11 Logo 11 Financial matters: Financial status of RMCE as at 31 May Opening of bank accounts and authorised signatories 12 Activities undertaken by RMCE and donor support 2010 to date 13 First accounting period Appointment of auditors 14 Proposals for new Office Premises of RMCE and location costs Proposal ToRs for design and implementation of RMCE website and Marketing Communication Plan 15 Change of registered office 15 Data and venue of the next meeting 16 Next meeting 16 Any other business: 1. Ad hoc experts meeting: "Addressing challenges of macroeconomic policy convergence in the SADC region" 2. Thanking of donors: AFDB and other donors 3. Date and venue of 1st meeting of Project Steering Committee 4. Database for experts 5. Memorandum of Understanding with ACET and SSNED 6. Tax services / returns 17 Any other business: 1. Business Plan 2. Letter of Recognition (1) Based on the minutes of these three RMCE Board of Directors' meetings provided to the Evaluation Team. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 31

131 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.7 : RMCE Priority Strategic Sectoral / Thematic Focal Areas for Capacity Building on Regional Integration, A. As per RMCE Key Policy and Strategy Documents / Events (1) RMCE Key Strategy Document / Event 1 Business plan for RMCE 1 Macroeconomic harmonisation 2 Cross-border trade and transit 3 Cross-border financing (Short-)List of Strategic Focal Areas for Regional Integration (RI) Capacity Building 4 Business development and investment 5 Common regional sector policy 1 Macroeconomic harmonisation Remarks, if any Five core areas identified in the Business Plan where competencies need to be strengthened in the region to facilitate economic integration 2 EU-COMESA Contribution Agreement on Support to RMCE 2 Cross-border trade and transit 3 Cross-border financing 4 Business development and investment The five core areas itentified in the Business Plan are also integrated in the Contribution Agreement 5 Common regional sector policy 1 Ease of Doing Business (WB) 3 First Board of Directors (BoD) meeting (3 September 2010) 2 Budget and Public Expenditure Management 3 Food security 4 Climate change Discussed under Item 10 "Proposal for Donors": Five key areas for RMCE to focus on. Source: BoD Minutes, p. 8 5 Involving private sector in infrastructure 4 Second Board of Directors meeting (16 June 2011) 1 Lessons learnd from successful integration regional and global markets 2 3 Central pillars for a successful programme of accelerated economic transformation in Africa Operationalisation an delivery of the proposed road map for accelerated economic transformation in Africa: Eastern and Southern Africa Discussed under item 10 "A proposed roadmap for accelerating economic transformation in Africa: Eastern and Southern Africa", three main areas on Regional Economic Integration 1 Climate change 5 Third Board of Directors meeting (12 December 2011) 2 Food security 3 Ease of Doing Business 4 Public Financial Management (in collaboration with the IMF Training Institute and the Government of Mauritius Discussed under item 12 "RMCE actvity report " - regional workshops 5 Regional procurement reforms and contract management 1 Doing business and improving competitiveness 6 Third Board of Directors meeting (12 December 2011) 2 Trade policy 3 Labour migration 4 Small states and regional integration Discussed under item 4 "Operational Strategy and 2012 Workplan and Budget 5 General training course on regional integration topics in modular format. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 32

132 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.8 : RMCE Priority Strategic Sectoral / Thematic Focal Areas for Capacity Building on Regional Integration B. As per RMCE Operational Plans and Events RMCE Key Operational Document / Event 1 RMCE presentation for Regional Organisations 1 Cross-Cutting Issues (gender, youth, socio-environmental health, climate,, knowledge society, statistics & cooperation and Aid for Trade ) 2 Building Productive capacity for Global Competitiveness 3 Compliance and Governance systems of RECs 4 Maritime infrastructure 5 Customs Management, regulations and tariff alignments 6 Public Procurement reforms and Contract Management 7 Public Expenditure Management Initiative (PEFA) and Budgetary reforms 8 Training on Macro- economic management and financial sector issues 9 Intellectual Property Rights 10 ICT development and innovation skills in the information/knowledge economy 11 Entrepreneurship Management 12 Ease of Doing Business Initiative 13 Climate change and Environmental Protection 14 Coastal Management and Marine Protection 15 Food security (Short-)List of Strategic Focal Areas for Regional Integration (RI) Capacity Building 16 Tourism and competitiveness strategies 17 Promotion of Information Technology and Nano technology 18 Regional Transport Policy and Strategy through the COMESA Infrastructure Fund 19 Trade Facilitation and Trade development 20 Physical Regional Infrastructure in Transport, ICT and Energy; 21 Renewable policy framework 22 Peace building,conflict resolution and prevention and security Remarks, if any Presented at the RMCE Consultative Meeting with the Regional Organisations (12 May 2011, Comesa Secretariat, Lusaka) by the RMCE Acting Director 2 RMCE Work Plan and Budget for Collaborative initiatives in the Programme of Doing Business and Competitiveness (Ease of Doing Business Initiative - Kigali, Rwanda (16-18 March 2011, and; Ease of Doing Business Initiative - Botswana (Oct - Nov 2011) - with WB and ECDPM Strategic initiatives and operations included in the RMCE 2011 work plan 2 Regional procurement reforms and contract management (regional workshop) 3 Public Financial Management ( peer-to-peer learning event and technical assistance) - with IMF Training nstitute 3 RMCE Work Plan and Budget for Cross-border trade and transit / Business development and investment - with CSAE and Rockefeller Foundation Business development and investment (Doing Business and Competitiveness Programme) - with World Bank and ECDPM Public financial management (procurement, PFM-risk based internal audit) - with World Bank Group Strategic initiatives and operations included in the RMCE 2012 work plan: Core topice coverage (only projects for which funding secured) 4 Macro-economic harmonisation / Cross-border finance and banking (financial market analysis, Macroeconomic management in resource rich countries, Issues in economic and monetary integration; Monetary and exchange rate policies; Economic policies for financial stability - with IMFI 5 Trade integration policy (Challenges facing small developing states) - with CEFEB 6 Regional management of infrastructure - with ADI 7 Macro-economic management - with CEFEB Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 33

133 RMCE Key Operational Document / Event (Short-)List of Strategic Focal Areas for Regional Integration (RI) Capacity Building Remarks, if any 4 Actual RI Capacity Building Events shouldered by EC 10th EDF Support Project (Contribution Agreement with Comesa) 1 2 Focus Area of building productive capacity for global competitiveness; First Ease of Doing Business event: Sharing Reform Experiences, using peer to peer learning model (with IMF Institute; Kigali, Rwanda, Mar 2011 IMFI Financial Market Analysis (FMA) Course - Regional course on macroeconomic management and fiscal policy issues (with IMF Institute; Mauritius, 23 Jan - 03 Feb 2012) For 2012 events: Description based on respective Aides Mémoire submitted by RMCE to COMESA 3 Focus Area of building productive capacity for global competitiveness; Regional Conference to Improve the Ease of Doing Business in Eastern and Southern Africa - Regional peer learning event (Botswana, 19 Mar - 02 Apr 2012) 4 Focus Area of regional integration policies and practice: Issues in Economic and Monetary Integration (EMI) - Training course provided by IMF Institute (Mauritius, June 2012) Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 34

134 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.9 : RMCE Priority Strategic Sectoral / Thematic Focal Areas for Capacity Building on Regional Integration C. Clustered Focal Areas, based on Evaluation Documents Study and Interviews Cluster of RI Sectoral / Thematic Focal Area 1 Regional economic integration topics (Short-)List of Strategic Focal Areas for Regional Integration (RI) Capacity Building, by Cluster 1. Macroeconomic stability, harmonisation and convergence; 2. Cross-border trade and transit; 3. Cross-border financing; 4. Business development and investment; 5. Customs cooperation; 6. Goods and services market integration; 7. Diversification and expansion of competitive productive sectors; 8. Regional financial and monetary cooperation; 9. Regional development finance mobilisation; 10. Enhancement of quality and competitiveness of goods and services; 11. Regional infrastructure; 12. Sustainable cross-border tourism etc. 2 Regional political integration topics 1. Democratic governance; 2. Human rights; 3. Elections; 4. Conflict mediation and resolution; 5. Rule of law; 6. Security issue; 7. Political cooperation and integration; 3 Human & social development and environment regional integration topcis 1. MDGs and HDI; 2. Migration and migrant work 3. Human trafficking; 4. Consumer protection; 5. Climate change; 6. Environment protection; 7. Biodiversity 8. Renewable energy; 9. Public health issues; 10. HIV-AIDS; 11. Epidemiology; 12. Education; 13. Human resources development; 14. Regional Qualifications Framework; 15. Harmonised Consumer Index; 16. Multicultural society, 17. Social cohesion; 18. Social security and protection Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 35

135 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.10 : RMCE Priority Strategic Sectoral / Thematic Focal Areas for Capacity Building on Regional Integration D. RMCE Feasibility Study - Priority Areas for Regional Economic Community (REC) Capacity Building (1) Regional Economic Community (REC) Priority Areas Particular Needs 1 COMESA 1 Trade, customs and monetary affairs 1 Harmonization of customs procedures 2 Investment promotion and private sector development 2 Development of a regional investment framework 3 Development and harmonization of payment, clearing and settlement systems 2 EAC 1 Trade, investments and industrial development 4 Drafting regional commercial policy 1 Macroeconomic policy coordination 2 Monetary and fiscal policy 2 Harmonization of fiscal and monetary policies 3 Free movement of capital 4 Trade liberalization and development 5 Enhancing supply capacity in productive sectors 6 Relations with other RECs and international organisations 3 IGAD 1 Economic cooperation and integration 1 Harmonisation of policies in transport and trade 2 Promotion of tourism 3 Coordination of Economic Partnership Agreements 4 IOC 1 Economic cooperation 1 International trade in good and services 2 Regional representation in international forums 5 SADC 1 Economic Cooperation and Regional Integration 1 Trade facilitation 2 Harmonization of customs procedures. 3 Training and capacity-building in Central Banks. 4 Development and harmonization of payments, clearing and settlements systems. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 36

136 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.11 : Regional Integration Organisation (RIO) Membership of Countries in the Eastern & Southern Africa and Indian Ocean (ESA-IO) Region (1) Countries in the Eastern and Southern African - Indian Ocean (ESA-IO) Region Membership of Tripartite RIOs in ESA-IO Region Membership of Other RIOs in EAS-IO Region COMESA EAC SADC IGAD IOC Number of Memberships All RIOs Tripartite RIOs 1 Angola x Botswana x Burundi x x Comoros x x D.R.Congo x x Djibouti x x Egypt x Eritrea x x Ethiopia x x Kenya x x x Lesotho x Libya x Madagascar (2) x x x Malawi x x Mauritius x x x Mozambique x Namibia x Reunion Island x Rwanda x x Seychelles x x x Somalia x South Africa x Sudan x x Swaziland x x Tanzania x x Uganda x x x Zambia x x Zimbabwe x x 2 2 N o of Member States Notes : (1) Status as of May 2013 (2) Madagascar membership of SADC suspended (situation May 2013) Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 37

137 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5: Summary Analytical Tables and Figures Table 5.12 : Example of RIO Strategic Priorities and Key Result Areas for the Coming Five Year Programme ( ) towards Regional Economic Integration: Case of SADC Trade, Industry, Finance and Investment (TIFI) Directorate 1. List of TIFI Strategic Priorities for the Five Year Period Rank Description of TIFI Strategic Priority Weight 1 Enhancing intra- and extra-sadc trade 20% 2 Diversification and expansion of productive sectors in the region 20% 3 Enhancing quality and competitiveness of goods and services 15% 4 Enhancing macroeconomic stability and convergence 15% 5 Promotion of a conducive investment environment 10% 6 Facilitation of development finance mobilisation 10% 7 Enhancing regional financial and monetary cooperation 10% Total 100% 2. List of TIFI Key Result Areas (KRAs) for the Five Year Period TIFI Key Result Areas (KRAs) for the Five Year Period Rank Title of Updated TIFI Strategic KRA Weight Enhancing intra and extra SADC trade through market integration, trade facilitation 1 20% and customs cooperation, and conclusion of international trade agreements 2 Diversification and expansion of competitive productive sectors in the region 20% Coordination of regional financial and monetary cooperation and mobilisation of 3 20% regional development finance Enhancement of quality and competitiveness of goods and services through 4 regulatory support frameworks for trade, industry and investment and for consumer 15% and environment protection 5 Achievement and sustenance of macroeconomic stability and convergence 15% Promotion of a conducive intra-sadc and foreign direct investment environment 6 10% covering tax coordination and related matters Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 38

138 Table 5.13 : RMCE Evaluation Main Components in relation to the Evaluation Criteria and to the Evaluation Questions Main RMCE Evaluation Components (1) Related OECD-DAC and EU Standard Evaluation Criteria (2) Related RMCE Evaluation Questions (3) 1 Quality of project preparation and project design 2 Strategic focus and niche areas 3 Institutional and governance aspects 4 Legal analysis 5 Operations and operational management 6 Financial analysis 7 Project effects and impact on regional integration Relevance Added Value Relevance Added Value Effectiveness Sustainability Coherence (Ownership) Efficiency Sustainability (Ownership) Efficiency Coherence Sustainability Efficiency Coherence Sustainability Impact Quality of RMCE overall design and management structure Key Performance Indicators in business plan and AWP Availability of baseline data to measure progress Institutional and market risk analysis and mitigation Planned and unplanned effects on regional economic integration Quality of RMCE overall design and management structure Key Performance Indicators in business plan and AWP Alignment of activities with EC policies and strategies EU RMCE support project complementarity / coordination with EU Member States interventions Unity in strategic vision between main stakeholders Contribution of actual governance structure and operational strategy to RMCE objectives Organisation of events pipeline between GoM and RMCE Refocused RMCE with better clarification and streamlining of institutional structure Unity in strategic vision between main stakeholders Institutional and market risk analysis and mitigation Compatibility RMCE status as private firm with EU-Comesa Contribution Agreement Refocused RMCE with better clarification and streamlining of institutional structure Organisation of events pipeline between GoM and RMCE Quality of RMCE overall design and management structure Activities on target (budget and time) HR recruitment and office installation as planned / obstacles Technical and political challenges for RMCE full operation BoD and PIC decisions implementation ToR and KPAs of Executive Director Efficiency of channelling EU funds through Comesa FA Refocused RMCE with better clarification and streamlining of multi donor financing Alternative profit making mechanism to make RMCE more financial independent Activities on target (budget and time) Signs of impact so far Meeting of initial expectations Level of initial expectations (realistic, ambitious) Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 39

139 Notes: (1) (2) (3) RMCE evaluation main components: As derived from the evaluationtor and further updated & substantiated based on the desk phase documents study and field phase interviews and meetings, and forming the structure of the evaluation aide mémoire presented and discussed during the debriefing session at the end of field mission. Standard OECD-DAC evaluation criteria: Relevance, effectiveness, efficiency, impact and sustainability Additional standard EU Evaluation Criteria: Coherence and added value In view of specific importance: Paris Declaration principle of ownership is added as (minimally) secondary secondary criterion. RMCE evaluation questions: Based on the Evaluation Terms of Reference, as amended, and further synthesized / clustered. Same question may pertain to / maybe relevant for more than one main evaluation component. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 5 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 40

140 Annex 6 Financial analysis tables and figures on the EC 10th EDF support to the RMCE Tables 6.1 Summary audited accounts for the two year period ended 31 December 2011 Balance sheet (including grants received from EU-COMESA and Government of Mauritius Summary audited accounts for the two year period ended 31 December 2011 Profit and loss statement / Income statement (including grants received from EU-COMESA and Government of Mauritius) Budget of the Contribution Agreement (CA), with both EU-COMESA and Government of Mauritius (GoM) budgetary inputs and with breakdown by project results (Key Result Areas) in Euro Annual budgets of the Contribution Agreement (indicative) and budgeted yearly disbursements as per the Contribution Agreement a Summary receipts and payments EU fund usage by the RMCE Mauritius Office as at 31 March 2013 (Euro account only), with breakdown by year and by LogFrame result - In Euro RMCE cash book MCB Mauritius Euro account for the year ended 31 December 2011 in Euro (with balances as per cash book and per bank statement) RMCE cash book MCB Mauritius Euro account 01 Jan 31 Dec 2012 (in Euro) with cross-checked validations and allocation of expenditures to RMCE results as included in the RMCE Support Project LogFrame RMCE cash book MCB Mauritius Euro account 01 Jan 31 March 2013 (in Euro) RMCE cash book MCB Mauritius Euro account 01 January March 2013 (in Euro) RMCE Euro account in the books of Comesa: Receipts and payments for the year Summary disbursements to RMCE by type / nature of expenditures and by year for the period (MCB Mauritius Euro account) - In Euro Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 41

141 Figures 6.1 Budget of the EC-Comesa Contribution Agreement for the RMCE Start-Up Project, by main budget line (in 1,000 ) Budget of the EC-Comesa Contribution Agreement for the RMCE start-up project, by financing source (in ) Budget of the EC-Comesa Contribution Agreement for the RMCE start-up project, by main budget line and by financing source (in 1,000 Euro and in % of RMCE budget line Annual budgets of the EC-Comesa Contribution Agreement, in 1,000 Euro (period ) Summary RMCE expenditures by main type (MCB Mauritius Euro Account) in Euro Summary RMCE Mauritius expenditures by year (MCB Mauritius Euro Account), in Euro a RMCE Mauritius actual expenditures (MCB Mauritius Euro account payments) as proportion of the total CA budget b RMCE Mauritius actual expenditures (MCB Mauritius Euro account payments) as proportion of the total CA 1 st year budget c RMCE Mauritius actual expenditures (MCB Mauritius Euro account payments) as proportion of the total CA 1st pre-financing tranche d RMCE Mauritius actual expenditures (MCB Mauritius Euro account payments) as proportion of the CA 1 st pre-financing tranche transferred to RMCE Mauritius RMCE expenditures on training / capacity building, by main capacity building activity (period 2011 May 2013), in Euro a RMCE expenditures for capacity building as proportion of CA total expenditures (MCB Mauritius Euro account) b RM expenditures for capacity building as proportion of the CA first year budget for technical support and capacity building Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 42

142 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Financial Analysis Table 1: Summary Audited Accounts for Two Year Period Ended 31 Dec Balance Sheet (includes grants received from EU-COMESA and Government of Mauritius) Actual Figures Year Ended 31 Dec 12 Year Ended 31 Dec 11 From 29 Mar 2010 to 31 Dec 2010 (not Available ) in Rs in Rs Assets Property, plant and equipment - 174,225 - Current Assets Accounts receivables - 335,426 - Cash and cash equivalents - 23,729,838 15,098,911 Total current assets - 24,065,264 15,098,911 Total assets - 24,239,489 15,098,911 Equity and Liabilities Reserves Accumulated fund - 14,322,957 2,382,957 Liabilities Current liabilities Other payables and accruals - 2,422, ,954 Deferred income - 7,494,358 11,940,000-9,916,532 12,715,954 Excess of Income over Expenditure - 24,239,489 15,098,911 Notes: 2010 accounts approved by the Board on 25th Oct accounts approved by the Board on 8th jan 2013 Auditors : Pricewaterhouse Coopers Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Draft Final Report - September 2013

143 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Financial Analysis Table 2: Summary Audited Accounts for Two Year Period Ended 31 Dec Profit and Loss Statement / Income Statement (includes grants received from EU-COMESA and Government of Mauritius) Actual Figures Year Ended 31 Dec 12 Year Ended 31 Dec 11 From 29 Mar 2010 to 31 Dec 2010 (not Available ) in Rs in Rs Income Contribution received - 32,368,367 3,280,000 Expenditure Staff costs - 875, ,260 Telephone expenses - 110,015 6,181 Seminar expenses - 9,212, ,432 Printing, postage and stationery - 390,540 1,255 Office expenses - 17,843 4,830 Overhead expenses - 103,377 - Professional fees - 494,000 46,451 Rent ,243 Audit fees - 178, ,000 Bank charges - 4, Exchange loss EU component expenses - 9,041,225-20,428, ,043 Excess of Income over Expenditure - 11,940,000 2,382,957 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Draft Final Report - September 2013

144 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Financial Analysis Table 3 : Budget of the Contribution Agreement (CA), with both EU-COMESA and Government of Mauritius (GoM) Budgetary Inputs and with Breakdown by Project Results (Key Result Areas) - in Euro Main Budget Items / Budget Lines Result 1 : RMC is effectively established Result 2 : Skills building and training services operationalized Result 3 : REI related advisory services and policy dialogue available Operations Support Audit & Communi Evaluations cations & Visibility Contingency Totals EC GoM EC GoM EC Fee Based EC GoM EC EC EC GoM EC GoM Other Grand Staff Emoluments and staff development costs 723, , , ,000 1,744, ,000-1,848,000 Technical support and Capacity Building 277,000 2,594, , ,000 14,000 3,271, ,000 3,414,000 Operational expenses 62,000 34,000 27, ,000 56, , , ,000 Hardware and software equipment 100,000 70, ,000 70, ,000 Transport equipment 46,000-46,000-46,000 Finance Charges 28,000 28, ,000 Audit fees 138, , ,000 Contingencies 174,000 35, ,000 35, ,000 Totals 1,190, ,000 3,465, , , , , ,000 56, ,000 35,000 5,600, , ,000 6,466,000 Source: Contribution Agreement, Annex 3.1 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 45

145 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Financial Analysis Table 4 : Annual Budgets of the Contribution Agreement (Indicative) and Budgeted Yearly Disbursements as per the Contribution Agreement Main Budget Items / Budget Lines Total Contingencies Grand Total Staff Emoluments and staff development costs 147, , , ,683 1,726,999 Technical support and Capacity Building 665,480 1,205,327 1,121, ,081 3,344,700 Operational expenses 20,000 32,412 22,094 14,795 89,301 Hardware and software equipment 17,211 65,000 17, ,000 Transport equipment - Finance Charges 2,000 8,000 8,000 10,000 28,000 Grants and Donations - Audit fees 6, , ,000 Contingencies - Totals 857,742 1,938,949 1,922, ,559 5,426, ,000 5,600,000 Planned Payments / Disbursements Year Year Year Year Year % Pre-finance for the year 814,855 1,842,002 1,826, ,231 5% of the budget of last year 42,887 96,947 96,138 35,328 Total Annual Disbursements (CA) 814,855 1,884,889 1,923, ,369 35,328 5,426,000 Contingencies 174,000 Total Budget and contingencies 5,600,000 Source: Contribution Agreement, Annex 3.2 Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 46

146 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Financial Analysis Table 4a : Summary Receipts and Payments EU Fund Usage by the RMCE Mauritius Office as at 31 March 2013 (Euro Account Only), with Breakdown by Year and by LogFrame Result - In Euro Calendar Year Receipts and Payments (RMCE Mauritius Euro Account MCB HO) Total Receipts Total Payments Balance Balance in % of Receipts Breakdown of RMCE Mauritius Euro Account Payments by RMCE LogFrame Results Result 1: Result 2: RMCE Skills Building Establishment and Training Result 3: Advisory Services Other , , , % 9, , , , % 72, , , Totals 383, , , % 82, , , Totals Budgeted / Transferred per the First Pre-financing Tranche upon Signing of the Contribution Agreement 748, , , , Balance 419, , , , Fund Usage (Actual Payments in % of Budgeted) 43.96% 31.16% 54.63% % Source: Contribution Agreement, Annex 3.2, and; RMCE Mauritius Euro Account Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 47

147 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Financial Analysis Table 5 : MCB Euro Account only (RMCE Mauritius) for the Year Ended 31 Dec 2011 (with Balances as per Cash Book and per Bank Statement) PV No Date Details Dr Euro Cr Euro 3rd Board Meeting Bank Charges Balance b/d 01/01/ Bk Statement 15/06/2011 Bank Charges Bk Statement 30/06/2011 Bank Charges Bk Statement 29/07/2011 Bank Charges Bk Statement 31/08/2011 Bank Charges Bk Statement 15/09/2011 Bank Charges Bk Statement 30/09/2011 Bank Charges Bk Statement 31/10/2011 Bank Charges Bk Statement 30/11/2011 Bank Charges Bk Statement 12/07/2011 Bk Statement 12/09/2011 Inward Transfer- 3rd Board Meeting Bank Charges-Transfer Commission 26, Bk Statement 12/09/2011 DSA for Board Members 9, , Bk Statement 15/12/2011 Bank Charges Bk Statement 30/12/2011 Credit Interest 0.11 Bk Statement 30/12/2011 Bank Charges Balance c/d 16, Totals 26, , , Summary Euro Balance as per Cash Book Balance as per Bank statement 16, Difference - Reconciled Difference - Forex Balance as per Cash Book 16, Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 48

148 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Financial Analysis Table 6 : RMCE Cash Book Euro Account 01 Jan - 31 Dec 2012 (in Euro) with Cross-Checked Validations and Allocation of Expenditures to RMCE Results as included in the RMCE Support Project LogFrame Identification of Cash Book Transaction and Amounts (in Euro) Transactions by RMCE Main Activity / Expenditures Type Nature of Transaction and Cross-Checking WorkPlan Reference Breakdown of Expenditures by RMCE Project Result / Expenditure Type Seq. N o Bank Statement or PV No Cash Book Transaction Details Date Details Debits (Dr) Amount (in Euro) Credits (Cr) RMCE Board of Directors Meeting Travel Professional Services RMCE Events (Conferences, Seminars, Workshops, Training Courses) Ease of Doing Business New Business Development IMFI Workshop EMI Conference MIOD Sub & Workshop Bank Charges and Overheads Office Vehicle Office, Equipment and Vehicle Computer Equipment Office Equipment Office Arrangement Nature / Description of Transaction Explanation Cross checked against Special Amounts Result Area Activity / Focus Area Result 1 Result 2 Result 3 Operational support Unallocated Bk Statement 01/01/ , Bk Statement 20/01/2012 Inward Transfer- Hertz 1, Bk Statement 20/01/ Bk Statement 26/01/2012 Inward Transfer- Professional Services Inward Transfer- IMF Workshop 2, , Rental of Car for the ED /For operational support For operational support For operational support Was paid out of MUR a/c,now refunded Fees received from COMESA for Prof Services Ltd Received from COMESA - For workshop IMF Financial Market Analysis (FMA) Bank Statement, Invoice, Transfer instruction and Aide Memoire Bank Statement and Transfer instruction and Aide Memoire Bank Statement and Transfer instruction and Aide Memoire 4 Bk Statement 27/01/2012 Withdrawal (IMFI) 4, , Payment for DSA - for Participants IMF - FMA workshop Bank Statement and Transfer instruction and Aide Memoire Result 2.5 Training Services Delivery 4, Bk Statement 27/01/2012 Withdrawal(IMFI) 6, , Refund of Airtickets IMF - FMA workshop Bank Statement and Transfer instruction and Aide Memoire USD 8,765 Result 2.5 Training Services Delivery 6, Bk Statement 27/01/2012 Bank Charges- Transfer Commission(IMFI) Bank charges IMF - FMA workshop Bank statements Result 2.5 Training Services Delivery Bk Statement 31/01/2012 Credit Interest 0.01 Interest Bank statements 8 Bk Statement 02/02/2012 Inward Transfer- Mimosa Purchase of Purchase of Bank Statement and shredder and Binder shredder and Binder Transfer instruction and /Operational support /Operational support Aide Memoire 9 Bk Statement 02/03/2012 Withdrawal There was Shortage of DSA on IMF FMA- Shortfall in payment of Transit fees and refund of airtickets There was Shortage of DSA on IMF FMA- Shortfall in payment of Transit fees and refund of airtickets Bank Statement and Transfer instruction and Aide Memoire Result 2.5 Training Services Delivery Bk Statement 02/03/2012 Withdrawal 2, , Bk Statement 02/03/2012 Bank Charges-Transfer Commission (EMI) There was Shortage of DSA on IMF FMA- Shortfall in payment of Transit fees and refund of airtickets There was Shortage of DSA on IMF FMA- Shortfall in payment of Transit fees and refund of airtickets Bank Statement and Transfer instruction and Aide Memoire Bank charges Bank statements Result Bk Statement 02/06/2012 Transfer to MUR Account 6, , Bk Statement 21/02/ /02/ /02/ /02/2011 Inward Transfer- Purchase of car Transfer (IMFI) to Mrs. S.K. Mwesigye and Mr. G.Ssonka- USD 2,390 Transfer (IMFI) to Mr. Helder Magaia - USD 1, ABC Motors- Purchase of Car (Rs 1,250,000) Paid to Professional Services for temporary support staff-driver/it tecnician/adm assisstant 25, Purchase of car 1, , Refund of air Tickets 1, , Refund of air Tickets 32, , Paid to Professional Services for temporary support staff-driver/it tecnician/adm assisstant Received from COMESA Purchase of Vehicle Nissan Qashqai Reg No: 2497Apr 12 Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement USD 3,311 Result 2.5 Training Services Delivery Training Services Delivery Hetz-Operational Result 1 & support & Result 1 for Op support Establishment and fuctioning of RMCE 1,250,000 Result 1- Result 2.5 Result 2.5 Result 1 Result 1- Establishment Training Services Delivery Training Services Delivery R1 RMCE is effectively established 6, , , , , Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 49

149 Identification of Cash Book Transaction and Amounts (in Euro) Transactions by RMCE Main Activity / Expenditures Type Nature of Transaction and Cross-Checking WorkPlan Reference Breakdown of Expenditures by RMCE Project Result / Expenditure Type Seq. N o Bank Statement or PV No Cash Book Transaction Details Date 17 Bk Statement 28/02/ Bk Statement 03/01/2012 Details Inward Transfer- Purchase of Computer Equipment Bank Charges - Transfer Commission (ABC Motors) Debits (Dr) 14, Amount (in Euro) Credits (Cr) RMCE Board of Directors Meeting Travel Office Arrangement Professional Services RMCE Events (Conferences, Seminars, Workshops, Training Courses) Ease of Doing Business New Business Development IMFI Workshop EMI Conference MIOD Sub & Workshop Bank Charges and Overheads Office Vehicle Office, Equipment and Vehicle Computer Equipment Office Equipment Nature / Description of Transaction From COMESA -for equipment purchase Explanation Received from COMESA Cross checked against Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Special Amounts Result Area Result 1 Activity / Focus Area R1 RMCE is effectively established Bank charges Bank charges Bank statements Result 1 R Result 1 Result 2 Result 3 Operational support Unallocated 19 03/05/2012 Transfer to MUR Account- Purchase of Computer Equipment - Rs 587, , , Various Computer Equipment Various Computer Equipment Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement 562, Result 1- R , /06/2012 Transfer (BM) to Mr. Dave Pullis (Refund of Air Ticket) 1, , Bank Statement, Refund of Air Ticket - Refund of Air Ticket - Invoice,Transfer instruction Board Meeting Board Meeting and Aide Memoire agreement Result 1- R1.4 1, Bk Statement 03/06/ Bk Statement 03/06/2012 Bank Charges Transfer Commission ( S.K. Mwesigye & G.Ssonka) Bank Charges Transfer Commission ( Mr. H. Magaia) Bank charges Bank charges Bank statements Result 1- R Bank charges Bank charges Bank statements Result 1- R /06/ PV 24 of /06/2012 Transfer (BM) to Dr. Edward Brown (Refund of Air Ticket)- USD 5,754 Transfer (BM) to BS Travel Management Ltd (BlueSky) - Rs 394,573 4, , Air tickets 10, , Air tickets Refund of Air Ticket - Board Meeting Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Bank Statement, Travel agency -Board Invoice,Transfer instruction Meeting and Aide Memoire agreement Result 1- R1.4 4, Result 1- R1.4 10, /07/2012 Inward Transfer- Herts 1, Car Rental Funds from COMESA for Hertz Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Operational Operational Support Support 26 Bk Statement 14/03/ Bk Statement 14/03/2012 Bank Charges - Transfer Commission (Blue Sky) Bank Charges- Transfer Commission (Mr. Dave Pullis) 28 14/03/2012 Inward Transfer- 7, /03/ Bk Statement 14/03/2012 Bank Charges- Fax Instruction Bank Charges (Dr. E. Brown) Bank charges Bank charges Bank statements Result 1- R Bank charges Bank charges Bank statements Result 1- R Funds from COMESA Funds from COMESA Against Trf Notice Bank charges Bank charges Bank statements Result 1- R Bank charges Bank charges Bank statements Result 1- R Bk Statement 15/03/2012 Bank Charges Bank charges Bank charges Bank statements Result 1- R PV 29 of /03/2012 Air Mauritius Ltd ( Rs 706,720) 18, , Tickets IMF-FMA course - Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Result 2 Act 2.5Training Services Delivery 18, PV 30 of /03/2012 Aviation Holding (Rs 27,600) Tickets IMF -FMA workshop Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Result 2 Act 2.5Training Services Delivery PV 31 of /03/2012 Pascal Computers Ltd (Rs 154,640) 4, , IMF -FMA workshop Bank Statement, Rental of Computer Invoice,Transfer instruction equipment during the and Aide Memoire EMI workshop agreement Result 2 Act 2.5Training Services Delivery 4, PV 32 of /03/2012 La Nouvelle Bonne MarmiteLtee ( Rs 380,710) 10, , IMF -FMA workshop Provision of Lunch and Tea Breaks Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Result 2 Act 2.5Training Services Delivery 10, PV 33 of /03/2012 Le Mauricia Hotel ( Rs 1,531,450.39) 40, , IMF -FMA workshop Acomodation for participants for FMA course Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Result 2 Act 2.5Training Services Delivery 40, PV 34 of /03/2012 Casa Villa Ltd (Rs 32,540) IMF -FMA workshop FMA Workshop Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Result 2 Act 2.5Training Services Delivery Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 50

150 Identification of Cash Book Transaction and Amounts (in Euro) Transactions by RMCE Main Activity / Expenditures Type Nature of Transaction and Cross-Checking WorkPlan Reference Breakdown of Expenditures by RMCE Project Result / Expenditure Type Seq. N o Bank Statement or PV No Cash Book Transaction Details Date Details Debits (Dr) Amount (in Euro) Credits (Cr) RMCE Board of Directors Meeting Travel Office Arrangement Professional Services RMCE Events (Conferences, Seminars, Workshops, Training Courses) Ease of Doing Business New Business Development IMFI Workshop EMI Conference MIOD Sub & Workshop Bank Charges and Overheads Office Vehicle Office, Equipment and Vehicle Computer Equipment Office Equipment Nature / Description of Transaction Explanation Cross checked against Special Amounts Result Area Activity / Focus Area Result 1 Result 2 Result 3 Operational support Unallocated 38 PV 35 of /03/2012 MT - ADSL Services (Rs 55,890) 1, , FMA Workshop Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Result 2 Act 2.5Training Services Delivery 1, Bk Statement 04/10/ Bk Statement 04/10/ Bk Statement 04/10/ Bk Statement 04/10/ Bk Statement 04/10/ Bk Statement 04/10/2012 Bank Charges (Mauritius Telecom) Bank Charges ( Pascal Computers) Bank Charges (Aviation Holding) Bank Charges (La nouvelle Bonne Marmite) Bank Charges (Le Mauricia Hotel) Bank Charges ( Casa Villa) Bank charges Bank statements Result Bank charges Bank statements Result Bank charges Bank statements Result Bank charges Bank statements Result Bank charges Bank statements Result Bank charges Bank statements Result 2 Act 2.5Training Services Delivery Act 2.5Training Services Delivery Act 2.5Training Services Delivery Act 2.5Training Services Delivery Act 2.5Training Services Delivery Act 2.5Training Services Delivery /04/2012 Transfer Inwards- MIOD (Membership Fees) Registration fees for Company /ED Rs 3,000 Result 1- R1.4-Strengthen corporate governance 46 27/04/ Bk Transfer 05/09/ Bk Statement 15/05/2012 Transfer Inwards- New Business Development MIOD- Subscription and Workshop costs (Rs 22,500) Bank Charges (MIOD- Subscription & Workshop) 7, Bk Statement 22/05/2012 Inward Transfer - Hertz 1, New Business Development -Not budgeted in the Work Plan New Business Development -Not budgeted in the Work Plan /Held in Tanzania MIOD workshop Approved by COMESA but not in the work plan Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Bank charges Bank statements Result 1- Refund received for Payments made out of MUR account Result 1- Activity New Business Development not budgeted in the work plan R.1 -Establishment and function of RMCE R.1 -Establishment and function of RMCE Operation support Bk Statement 30/05/2012 Inward Transfer -MIOD (June 2012 Seminar Fees) R.1 -Establishment and function of RMCE 51 Bk Transfer 30/05/2012 Pascal Computer Services Ltd- EMI Course (Rs191,500) 5, , EMI Bank Statement, Rental of Computer Invoice,Transfer instruction equipment during the and Aide Memoire EMI workshop agreement Result 2 R2.9-EMI 5, Bk Transfer 30/05/2012 Tropical Paradise Co Ltd ( Suffren) - EMI (Rs 1,131,750) 30, , EMI Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Result 2 R2.9-EMI 30, Bk Transfer 30/05/2012 BS Travel Management Ltd -(Ease of Doing Business-Botswana)- Rs 1,187,565 32, , EMI Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Result 2 R2.9-EMI 32, Bk Statement 31/05/2012 Inward Transfer- EMI- for Econmic and Monetary Integration course 137, EMI -Fund received from COMESA - 55 Bk Statement 06/05/ Bk Statement 06/05/ Bk Statement 06/05/2012 Bank Charges- Transfer Commission- Pascal Computers Bank Charges- Transfer Commission- Tropical Paradise Co Ltd Bank Charges- Transfer Commission- BS Travel Management Ltd (ease of Doing Business) Bank charges Bank statements Result 2 R2.9-EMI Bank charges Bank statements Result 2 R2.9-EMI Bank charges Bank statements Result 2 R2.9-EMI Bk Statement 06/12/2012 Deposit ( Balance on DSA - Board Meeting Dec 2011)- USD , Excess from Board Meeting from DSA Result 2 R2.9-EMI - 59 Bk Transfer 26/06/2012 MIOD- Workshop fees for June Rs 9, MIOD workshop Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Result 2 R2.9-EMI Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 51

151 Identification of Cash Book Transaction and Amounts (in Euro) Transactions by RMCE Main Activity / Expenditures Type Nature of Transaction and Cross-Checking WorkPlan Reference Breakdown of Expenditures by RMCE Project Result / Expenditure Type Seq. N o Cash Book Transaction Details Bank Statement or Date Details PV No Amount (in Euro) Debits Credits (Dr) (Cr) RMCE Board of Professional Directors Services Meeting Travel ated RMCE Events Bank (Conferences, Seminars, Workshops, Training Courses) Charges and New Overheads Ease of IMFI EMI MIOD Business Doing Workshop Conference Sub & Development Business Workshop Office, Equipment and Vehicle Office Office Computer Office Arrangement Vehicle Equipment Equipment Nature / Description of Transaction Explanation Cross checked against Special Amounts Result Area Activity / Focus Area support Result 1 Result 2 Result 3 Operational Unalloc- Bank Statement, 60 Bk Statement 14/06/2012 Withdrawal (EMI) DSA- EUR , , DSA for EMI Invoice,Transfer instruction and Aide Memoire agreement Result 2 R2.9-EMI 14, Bk Statement 14/06/2012 Bank Charges-Transfer Commission (EMI) Bank Charges Bank statements Result 2 R2.9-EMI Bank Statement, 62 Bk Statement 14/06/2012 Withdrawal (EMI) Expenses-Rs 19, Printing and other expenses Various expenses Invoice,Transfer instruction and Aide Memoire agreement Result 2 R2.9-EMI Bk Statement 15/06/2012 Bank Charges Bank statements Result 2 R2.9-EMI Bk Statement 18/06/2012 Inward Transfer- Blue Sky 31, Sent by COMESA for EMI Bank statements Mrs. Helen Mealins- Tickets & DSA - New 65 Bk Transfer 25/06/2012 Business Development - Rs82,585 2, , This activity was This activity was not Bank Statement, not in the work Plan in the work Plan and Invoice,Transfer instruction and only approved only approved by and Aide Memoire by COMESA COMESA agreement This activity was not in the work Plan and only approved by COMESA 2, BS Travel Management Ltd -(New Business 66 Bk Transfer 25/06/2012 Development)- Rs 100,069 2, , This activity was This activity was not Bank Statement, not in the work Plan in the work Plan and Invoice,Transfer instruction and only approved only approved by and Aide Memoire by COMESA COMESA agreement This activity was not in the work Plan and only approved by COMESA 2, Ms. Anjena Runganaikaloo -DSA & 67 BK Transfer 25/06/2012 Airport Transfer- New Business Development- Rs 4, Bank Statement, Invoice,Transfer instruction and Aide Memoire agreement Result 2 R 2.2-Doing Business Bank Charges- Transfer 68 Bk Statement 26/06/2012 Commission- MIOD Meem Ltd- EMI- 69 Bk Transfer 28/06/2012 Photocopy services - Rs 19, Deposit - Excess DSA 70 Bk Statement 07/05/2012 (EMI) (Euro 5,575) R.1 -Establishment Bank statements Result and function of RMCE Bank Statement, Copies -Meem Invoice,Transfer instruction Result 2 R2.9-EMI Services - and Aide Memoire agreement Bank statements /Aide 5, EMI Memoire 71 Bk Statement 07/05/2012 Deposit - Excess DSA (EMI) (Rs 3,285) EMI-refund from excess withdarwal Bank statements /Aide Memoire Bank Charges- Transfer 72 Bk Statement 07/05/2012 Commission- Ms. A. Runganaikaloo Bank Charges- Transfer 73 Bk Statement 07/05/2012 Commission- Mrs. H.Mealins Bank Charges- Transfer Commission- BS Travel 74 Bk Statement 07/05/2012 Management ) ( Re: Rs 100,069) BS Travel Management 75 Bk Transfer 07/09/2012 Ltd (Rs 1,124,335) Tropical Paradise Co Ltd 76 Bk Transfer 07/09/2012 (Rs 1,222,783.50) Bank Charges- Transfer Commission - BS Travel 77 Bk Statement 07/12/2012 Management Lts (Re: Rs100,069) Bank Charges- Transfer 78 Bk Statement 07/12/2012 Commission- Tropical Paradise Co Ltd Bank Charges- Transfer 79 Bk Statement 13/07/2012 Commission- Meem Ltd EMI Bank statements Result 2 R2.9-EMI EMI Bank statements Result 2 R2.9-EMI EMI Bank statements Result 2 R2.9-EMI , EMI Result 2 R2.9-EMI 30, , , , EMI Result 2 R2.9-EMI 32, Result 2 R2.9-EMI Bank statements Bank statements Result 2 R2.9-EMI Bank statements Result 2 R2.9-EMI Bk Statement 14/09/2012 Bank Charges Bank statements Result 2 R2.9-EMI Bk Statement 14/12/2012 Bank Charges Bank statements Result 2 R2.9-EMI Balance c/d 54, , , , Total 373, , , , , , , , , RMCE Results as per LogFrame Result 1 Result 2 Result 3 RMCE is effectively Established Skills Building and training services are operationalised Advisory Services and policy dialogue support with regard to REI related issues are available Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 52

152 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Financial Analysis Table 7 : RMCE Cash Book Euro Account 01 January - 31 March 2013 (in Euro) Identification of Cash Book Transaction and Amounts (in Euro) Transactions by RMCE Main Activity / Expenditures Type Seq. N o Cash Book Transaction Details Bank Statement or PV No Date Details Debits (Dr) Amount (in Euro) Credits (Cr) RMCE Board of Directors Meeting Travel EMI Conference Professional Services RMCE Events (Conferences, Seminars, Workshops, Training Courses) Ease of Doing Business New Business Development IMFI Workshop MIOD Sub & Workshop Bank Charges and Overheads 1 Bk Statement 01/01/2013 Balance b/f 54, Bk Statement 15/03/2013 Bank Charges Balance c/d Totals 54, , , Reconciliation Statement as at 31 March 2013 Balance as per Cash Book 54, Balance as per bank statement 54, Difference - unpresented (54,277.12) - Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 53

153 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Financial Analysis Table 8 : RMCE Cash Book Euro Account 01 January March 2013 (in Euro) Identification of Cash Book Transaction and Amounts (in Euro) Cash Book Transaction Details Amount (in Euro) Seq. N o Bank Statement or PV No Date Details Receipts Payments Financial Year : Bk Statement 15/06/2011 Bank Charges Bk Statement 30/06/2011 Bank Charges Bk Statement 29/07/2011 Bank Charges Bk Statement 31/08/2011 Bank Charges Bk Statement 15/09/2011 Bank Charges Bk Statement 30/09/2011 Bank Charges Bk Statement 31/10/2011 Bank Charges Bk Statement 30/11/2011 Bank Charges Bk Statement 12/07/2011 Inward Transfer- 3rd Board Meeting 26, Bk Statement 12/09/2011 Bank Charges-Transfer Commission Bk Statement 12/09/2011 Cash Withdrawal 9, Bk Statement 15/12/2011 Bank Charges Bk Statement 30/12/2011 Credit Interest Bk Statement 30/12/2011 Bank Charges 0.02 Sub-Totals for Financial Year , , Financial Year : Bk Statement 20/01/2012 Inward Transfer- Hertz 1, Bk Statement 20/01/2012 Inward Transfer- Professional Services 2, Bk Statement 26/01/2012 Inward Transfer- IMFI Workshop 114, Bk Statement 27/01/2012 Withdrawal (IMFI) 4, Bk Statement 27/01/2012 Withdrawal(IMFI) 6, Bk Statement 27/01/2012 Bank Charges- Transfer Commission(IMFI) Bk Statement 31/01/2012 Credit Interest Bk Statement 02/02/2012 Inward Transfer- Mimosa Bk Statement 02/03/2012 Withdrawal Bk Statement 02/03/2012 Withdrawal 2, Bk Statement 02/03/2012 Bank Charges-Transfer Commission (EMI) Bk Statement 02/06/2012 Transfer to MUR Account 6, Bk Statement 21/02/2012 Inward Transfer- Purchase of car 25, /02/2012 Transfer (IMFI) to Mrs. S.K. Mwesigye and Mr. G.Ssonka- USD 2,390 1, /02/2012 Transfer (IMFI) to Mr. Helder Magaia - USD 1, , /02/2012 ABC Motors- Purchase of Car (Rs 1,250,000) 32, Bk Statement 28/02/2012 Inward Transfer- Purchase of Computer Equipment 14, Bk Statement 03/01/2012 Bank Charges - Transfer Commission (ABC Motors) /05/2012 Transfer to MUR Account- Purchase of Computer Equipment - Rs 587, , /06/2012 Transfer (BM) to Mr. Dave Pullis (Refund of Air Ticket) 1, Bk Statement 03/06/2012 Bank Charges Transfer Commission ( S.K. Mwesigye & G.Ssonka) Bk Statement 03/06/2012 Bank Charges Transfer Commission ( Mr. H. Magaia) /06/2012 Transfer (BM) to Dr. Edward Brown (Refund of Air Ticket)- USD 5,754 4, PV 24 of /06/2012 Transfer (BM) to BS Travel Management Ltd (BlueSky) - Rs 394,573 10, /07/2012 Inward Transfer- Herts 1, Bk Statement 14/03/2012 Bank Charges - Transfer Commission (Blue Sky) Bk Statement 14/03/2012 Bank Charges- Transfer Commission (Mr. Dave Pullis) /03/2012 Inward Transfer- 7, /03/2012 Bank Charges- Fax Instruction Bk Statement 14/03/2012 Bank Charges (Dr. E. Brown) Bk Statement 15/03/2012 Bank Charges PV 29 of /03/2012 Air Mauritius Ltd ( Rs 706,720) 18, PV 30 of /03/2012 Aviation Holding (Rs 27,600) PV 31 of /03/2012 Pascal Computers Ltd (Rs 154,640) 4, PV 32 of /03/2012 La Nouvelle Bonne MarmiteLtee ( Rs 380,710) 10, PV 33 of /03/2012 Le Mauricia Hotel ( Rs 1,531,450.39) 40, PV 34 of /03/2012 Casa Villa Ltd (Rs 32,540) PV 35 of /03/2012 MT - ADSL Services (Rs 55,890) 1, Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 54

154 Identification of Cash Book Transaction and Amounts (in Euro) Cash Book Transaction Details Amount (in Euro) Seq. N o Bank Statement or PV No Date Details Receipts Payments Financial Year : Bk Statement 04/10/2012 Bank Charges (Mauritius Telecom) Bk Statement 04/10/2012 Bank Charges ( Pascal Computers) Bk Statement 04/10/2012 Bank Charges (Aviation Holding) Bk Statement 04/10/2012 Bank Charges (La nouvelle Bonne Marmite) Bk Statement 04/10/2012 Bank Charges (Le Mauricia Hotel) Bk Statement 04/10/2012 Bank Charges ( Casa Villa) /04/2012 Transfer Inwards- MIOD (Membership Fees) /04/2012 Transfer Inwards- New Business Development 7, Bk Transfer 05/09/2012 MIOD- Subscription and Workshop costs (Rs 22,500) Bk Statement 15/05/2012 Bank Charges (MIOD- Subscription & Workshop) Bk Statement 22/05/2012 Inward Transfer - Hertz 1, Bk Statement 30/05/2012 Inward Transfer -MIOD (June 2012 Seminar Fees) Bk Transfer 30/05/2012 Pascal Computer Services Ltd- EMI Course (Rs191,500) 5, Bk Transfer 30/05/2012 Tropical Paradise Co Ltd ( Suffren) - EMI (Rs 1,131,750) 30, Bk Transfer 30/05/2012 BS Travel Management Ltd -(Ease of Doing Business-Botswana)- Rs 1,187, Bk Statement 31/05/2012 Inward Transfer- EMI- for Econmic and Monetary Integration course 137, , Bk Statement 06/05/2012 Bank Charges- Transfer Commission- Pascal Computers Bk Statement 06/05/2012 Bank Charges- Transfer Commission- Tropical Paradise Co Ltd Bk Statement 06/05/2012 Bank Charges- Transfer Commission- BS Travel Management Ltd (Ease of Doing Business) 58 Bk Statement 06/12/2012 Deposit ( Balance on DSA - Board Meeting Dec 2011)- USD , Bk Transfer 26/06/2012 MIOD- Workshop fees for June Rs 9, Bk Statement 14/06/2012 Withdrawal (EMI) DSA- EUR , Bk Statement 14/06/2012 Bank Charges-Transfer Commission (EMI) Bk Statement 14/06/2012 Withdrawal (EMI) Expenses-Rs 19, Bk Statement 15/06/2012 Bank Charges Bk Statement 18/06/2012 Inward Transfer- Blue Sky 31, Bk Transfer 25/06/ Bk Transfer 25/06/ BK Transfer 25/06/2012 Mrs. Helen Mealins- Tickets & DSA - New Business Development - Rs82,585 BS Travel Management Ltd -(New Business Development)- Rs 100,069 Ms. Anjena Runganaikaloo -DSA & Airport Transfer- New Business Development-Rs 4, , , Bk Statement 26/06/2012 Bank Charges- Transfer Commission- MIOD Bk Transfer 28/06/2012 Meem Ltd- EMI- Photocopy services - Rs 19, Bk Statement 07/05/2012 Deposit - Excess DSA (EMI) (Euro 5,575) 5, Bk Statement 07/05/2012 Deposit - Excess DSA (EMI) (Rs 3,285) Bk Statement 07/05/2012 Bank Charges- Transfer Commission- Ms. A. Runganaikaloo Bk Statement 07/05/2012 Bank Charges- Transfer Commission- Mrs. H.Mealins Bk Statement 07/05/2012 Bank Charges- Transfer Commission- BS Travel Management ) ( Re: Rs 100,069) 75 Bk Transfer 07/09/2012 BS Travel Management Ltd (Rs 1,124,335) 30, Bk Transfer 07/09/2012 Tropical Paradise Co Ltd (Rs 1,222,783.50) 32, Bk Statement 07/12/2012 Bank Charges- Transfer Commission - BS Travel Management Lts (Re: Rs100,069) Bk Statement 07/12/2012 Bank Charges- Transfer Commission- Tropical Paradise Co Ltd Bk Statement 13/07/2012 Bank Charges- Transfer Commission- Meem Ltd Bk Statement 14/09/2012 Bank Charges Bk Statement 14/12/2012 Bank Charges Sub-Totals for Financial Year , , Financial Year : Bk Statement 15/03/2013 Bank Charges 8.83 Sub-Totals for Financial Year 2013 Grand Totals RMCE Euro Account Period 01 Jan March , , Balance left in Euro account as per the bank statement dated 31 March , Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 55

155 Table 9 : RMCE Euro Account in the Books of COMESA: Receipts and Payments for the Year Seq. N o Account Code Budget Line Analysis Code Name Journal No. Transaction Reference JV12/09/2011 Description FUNDS PAID TO LUCY TO BE DEDUCTED FROM HER SALARY 2nd Base /Reporting Amount Dr / Cr Debit (Dr in ) 1, D 1, CHQ DSA FOR BOARD MEETING 2, D 2, CHQ00066 AIMPREST FOR BOARD MEETING 26, D Credit (Cr in ) JV12/02/2011 IMPREST RET -1, C -1, JV12/08/2011 TKTS FOR RMCE -21, C -21, JV12/09/2011 FUNDS PAID TO LUCY TO BE DEDUCTED FROM HER SALARY -1, C -1, JV12/11/2011 BANK CHARGES FOR JUNE DEC C JV12/09/ JV12/10/ JV12/07/2011 UNUSED TKTS FOR MR KWETE BOARD MEETING UNUSED UNUSED TKT FOR DA BOARD MEETING IMPREST IMPREST BANKED ON SECRETARIAT ACCOUNT 1, D 1, , D 1, , D 2, JV12/12/2011 TKTS FOR SG BOARD MEETING -2, C -2, JV12/13/2011 BALANCE BALANCE DUE TO COMESA -1, C -1, RMCE /11 PAYMENT TO RISP2 TO BE REFUNDED 2, D 2, JV12/04/2011 ADVERTSMENT COSTS -1, C -1, JV12/05/2011 ADVERTSMENT COSTS -1, C -1, JV12/06/2011 ADVERTSMENT COSTS -1, C -1, JV12/07/ RT DSA AS PER ATTACHED FOR INTERVIEWS FUNDS FROM EU 2011 WORK PROGRAMME -4, C -4, , D 711, CHQ HELEN SALARY AND CLAIMS -19, C -19, CHQ HELEN SALARY AND CLAIMS -14, C -14, CHQ DSA FOR BOARD MEETING -2, C -2, CHQ00054 MOBILE TELEPHNE FOR ED C CHQ00055 HELEN SALARY AND CLAIMS OCT -12, C -12, CHQ00056 CANCELLECD CHQ 0.00 C CHQ00056 CANCELLED CHQ 0.00 D CHQ00058 HELENS TKTS -1, C -1, CHQ00059 HELEN SALARY AND CLAIMS NOV -12, C -12, CHQ00060 PROFFESSIONAL FEES -2, C -2, CHQ00061 CANCELLECD CHQ 0.00 C CHQ00061 CANCELLECD CHQ 0.00 D CHQ00062 CANCELLECD CHQ 0.00 C CHQ00062 CANCELLECD CHQ 0.00 D CHQ00063 HELENS CLAIMS -1, C -1, CHQ00064 CANCELLECD CHQ 0.00 C CHQ00064 CANCELLECD CHQ 0.00 D CHQ00065 CANCELLECD CHQ 0.00 C CHQ00065 CANCELLECD CHQ 0.00 D CHQ00066 EXPENSES FOR THE BOARD MEETING -26, C -26, CHQ00068 HELENS SALARY DEC -12, C -12, CHQ00069 KWETE DSA -2, C -2, RMCE /11 RMCE /11 RMCE /11 RMCE /11 RMCE /11 TKTS AND DSA FOR MEETING -48, C -48, WORKSHOP COSTS KIGALI MEETING -30, C -30, EXPENSES FOR COMMITTEE MEETING -2, C -2, KWETE DSA C BLUE SKY TKT FOR ED -1, C -1, JV11/1/2011 NOV BANK CHARGES C JV8/1/2011 BANK CHARGES C JV9/1/2011 SEPT BANK CHARGES C JV10/01/2011 BANK CHARGES C JV12/01/2011 BANK CHARGES FORV DEC C Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 56

156 Seq. N o Account Code Budget Line Analysis Code Name Journal No. Transaction Reference JV12/08/ JV12/08/2011 Description LA PLANTATION RESORT RMCE BOARED MEETING EXPENSES TKT REFUNDABLE -EAC FOR RMCE BOARD MEETING 2nd Base /Reporting Amount Dr / Cr Debit (Dr in ) Credit (Cr in ) -6, C -6, , C -4, JV12/02/2011 HELENS DSA MALAWI -2, C -2, JV12/03/2011 PROFF FEES -2, C -2, JV12/05/2011 TKT KWETE FOR BOARD MTG -1, C -1, JV12/07/2011 CAR HIRE NOVEMBER C JV12/09/2011 DEVI JUWAHEER FEES -9, C -9, JV12/1/2011 CAR HIRE FOR ED HERTZ CAR HIRE -1, C -1, JV12/05/2011 EXPENSES FOR ED TRANSPORT REFUND -6, C -6, JV12/04/2011 PROVISION FOR AUDIT FEES -6, C -6, RT PROFESSIONAL NON ESTABLISHED STAFF PROFESSIONAL NON ESTABLISHED STAFF PROFESSIONAL NON ESTABLISHED STAFF PROFESSIONAL NON ESTABLISHED STAFF PROFESSIONAL NON ESTABLISHED STAFF FUNDS FROM EU 2011 WORK PROGRAMME -711, C -711, CHQ HELEN SALARY AND CLAIMS 19, D 19, CHQ HELEN SALARY AND CLAIMS 14, D 14, CHQ00055 HELEN SALARY AND CLAIMS OCT 12, D 12, CHQ00059 HELEN SALARY AND CLAIMS NOV 12, D 12, CHQ00068 HELENS SALARY DEC 12, D 12, TRAVEL EXPENSES- OFFICIAL 1410 JV12/07/2011 CAR HIRE NOVEMBER D TRAVEL EXPENSES- OFFICIAL 1410 JV12/1/2011 CAR HIRE FOR ED HERTZ CAR HIRE 1, D 1, MEETINGS AND WORKSHOPS 1410 JV12/05/2011 TKT KWETE FOR BOARD MTG 1, D 1, MEETINGS AND WORKSHOPS 1962 JV12/08/2011 IMPREST RETIREMNT BOARD MEETING 16, D 16, MEETINGS AND WORKSHOPS 1962 JV12/08/ MEETINGS AND WORKSHOPS 2204 JV12/09/ MEETINGS AND WORKSHOPS 2212 JV12/10/2011 TKT REFUNDABLE -EAC FOR RMCE BOARD MEETING UNUSED TKTS FOR MR KWETE BOARD MEETING UNUSED UNUSED TKT FOR DA BOARD MEETING IMPREST 4, D 4, , C -1, , C -1, MEETINGS AND WORKSHOPS 2560 JV12/12/2011 TKTS FOR SG BOARD MEETING 2, D 2, TRAVEL EXPENSES- OFFICIAL 1412 CHQ00058 HELENS TKTS 1, D 1, TRAVEL EXPENSES- OFFICIAL 1412 RMCE /11 BLUE SKY TKT FOR ED 1, D 1, MEETINGS AND WORKSHOPS 1412 CHQ00069 KWETE DSA 2, D 2, MEETINGS AND WORKSHOPS MEETINGS AND WORKSHOPS MEETINGS AND WORKSHOPS 1412 RMCE /11 RMCE /11 RMCE /11 TKTS AND DSA FOR MEETING 25, D 25, WORKSHOP COSTS KIGALI MEETING 30, D 30, KWETE DSA D MEETINGS AND WORKSHOPS 1915 JV12/02/2011 IMPREST RET D MEETINGS AND WORKSHOPS 1916 JV12/07/2011 IMPREST BANKED ON SECRETARIAT ACCOUNT -2, C -2, MEETINGS AND WORKSHOPS 1962 JV12/08/2011 IMPREST RETIREMNT BOARD MEETING 5, D 5, RECRUITMENTS EXPENSES 1925 JV12/07/2011 DSA AS PER ATTACHED FOR INTERVIEWS 4, D 4, TRAVEL EXPENSES- OFFICIAL 1410 JV12/02/2011 HELENS DSA MALAWI 2, D 2, TRAVEL EXPENSES- OFFICIAL 1412 CHQ00063 HELENS CLAIMS 1, D 1, TRAVEL EXPENSES- OFFICIAL 2561 JV12/13/2011 BALANCE BALANCE DUE TO COMESA 1, D 1, MEETINGS AND WORKSHOPS 1915 JV12/02/2011 IMPREST RET D MEETINGS AND WORKSHOPS 1962 JV12/08/ RECRUITMENTS EXPENSES 1412 RMCE / RECRUITMENTS EXPENSES 1916 JV12/05/2011 LA PLANTATION RESORT RMCE BOARED MEETING EXPENSES RECRUITMENT FOR RMCE DSA AND TICKETS EXPENSES FOR ED TRANSPORT REFUND 6, D 6, , D 22, , D 6, RECRUITMENTS EXPENSES 1924 JV12/04/2011 TKT FOR INTERVIEWS 1, D 1, RECRUITMENTS EXPENSES 1924 JV12/05/2011 ADVERTSMENT COSTS 1, D 1, RECRUITMENTS EXPENSES 1924 JV12/06/2011 ADVERTSMENT COSTS 1, D 1, CONSULT TRADE, CUSTOMS AND MONETARY 1410 JV12/03/2011 PROFF FEES 2, D 2, Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 57

157 Seq. N o Account Code Budget Line Analysis Code Name CONSULT TRADE, CUSTOMS AND MONETARY CONSULT TRADE, CUSTOMS AND MONETARY Journal No. Transaction Reference Description 2nd Base /Reporting Amount Dr / Cr Debit (Dr in ) 1410 JV12/09/2011 DEVI JUWAHEER FEES 9, D 9, CHQ00060 PROFFESSIONAL FEES 2, D 2, AUDIT FEES 1916 JV12/04/2011 PROVISION FOR AUDIT FEES 6, D 6, MEETINGS AND WORKSHOPS 1962 JV12/08/2011 IMPREST RETIREMNT BOARD MEETING D BANK CHARGES 1413 JV11/1/2011 NOV BANK CHARGES D BANK CHARGES 1413 JV8/1/2011 BANK CHARGES D BANK CHARGES 1413 JV9/1/2011 SEPT BANK CHARGES D BANK CHARGES 1416 JV10/01/2011 BANK CHARGES D BANK CHARGES 1416 JV12/01/2011 BANK CHARGES FORV DEC D BANK CHARGES 2233 JV12/11/2011 BANK CHARGES FOR JUNE DEC D Office Equipment 1412 CHQ00054 MOBILE TELEPHNE FOR ED D System Balancing Transaction System Balancing Transaction Credit (Cr in ) Rounding difference 0.00 C 0.00 Rounding difference C Total Debits and Total credits in the books of COMESA (2011) , , Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 58

158 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Financial Analysis Table 10 : Summary Expenditures by RMCE by Type / Nature of Expenditures and by Year for the Period (MCB Mauritius Euro Account) - In Euro Type / Nature of Expenditures Year in EUR Total In % of Total 1 Board Meeting 9, , , % 2 Professional services 6, , % 3 New Business Development 5, , % 4 Ease of Doing Business 32, , % 5 FMA course (IMF) 99, , % 6 EMI conference 114, , % 7 MIOD sub-workshops % 8 Bank Charges % 9 Car Purchase 32, , % 10 Computer equipment 15, , % 11 Office equipment % 12 Other overheads % Totals in EUR 9, , , % in % Total 3.00% 96.99% 0.00% % - Total expenditures (MCB Mauritius Euro account) in % of RMCE budget Expenditures in % total budget 5,600, % Expenditures in % 1st year budget 857, % Expenditures in % of 1st pre-financing tranche 814, % (1st disbursement = 95% pre-finance of 1st year budget) Total expenditures on Training / Capacity Building (MCB Mauritius Euro account) Total expenditures on training / capacitiby building 247,201 In % total expenditures (MCB Account) 329, % In % of 1st year budget technical support & cap. build. 665, % Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 6 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 59

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164 Annex 7 Summary table of RMCE compliance with requested financial and performance evaluation related documents by the evaluation team I. Documents required by Board / Supervisory Bodies II. III. IV. Staff documents Required reports as per the Comesa RMCE Implementation Agreement Corporate documents V. Governance VI. VII. VIII. Communications Operational Other documents Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 7 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 65

165 Evaluation of EC 10th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 7 : Summary Table on RMCE Compliance with Requested Financial and Performance Evaluation Related Documents by the Evaluation Team (1) Doc. Seq. N o Type / Subject of Document Mandating Source for Document Description / Title of Document Status of documentation submitted/non submitted by RMCE Interim Status (Comments by RMCE Company Secretary) Non Compliance (as of 28 May 2013) Not Submitted I. Documents required by Board / Supervisory Bodies 1 Board of Directors (BoD) meetings Minutes / proceedings of all Board Meetings Minutes of 1st, 2nd and 3rd Board Meetings submitted 2 Project Implementation Committee (PIC) meetings Minutes of all PIC meetings Minutes of 1st and 2nd PIC Meetings submitted 3 Steering Committee meetings Minutes of all SC meeting As per RMCE records, documents are not available Not made available x Documents requested by the 2nd Board of Directors meeting (16 June 2011) Reference to minutes paragraphs 4 (a) First accounting period March 2010 to 31 Dec 2010 filed with the ROC on 6th Oct 2011 Para 3.7 Accounts and General Ledger and Audited Accounts Audited Accounts for period ended 31 December 2010 Consolidated General Ledger not obtained. Only separate schedules submitted x 5 (b) Executive Director - signed contract of employment on 28 July 11 (assumed duty as from 1st Aug 2011) Para 3.8 Contract of employment and scheme of duties / TOR Contract of Employment of Helen Mealins submitted 6 7 (c) Prime Capital Partners: Appointed company secretary from Nov 12 and assumed duty as from Feb Provision of Accounting and secretarial Services Para 3.11 Contract of Service & TOR Contract of Service & TOR Letter of appointment and contract of Prime Partners Ltd submitted 8 (d) Report on review of financial procurement and staff rules with advice from Linpico Consultants and Comesa Para 3.12 Report Report not submitted by former ED Not made available x 9 (e) Doing Business Initiative operationalisation Para 3.13 Report on the initiative Action not implemented by previous former ED Not implemented x 10 (f) Work plan and budget 2012 approved Para 4 Work Plan schedule and budget Not finalised by former ED Not made available x (g) RMCE Sub-committees recommended Finance and procurement Human resources Audit Committee Composition of subcommittee and TOR Composition of subcommittee and TOR Composition of subcommittee and TOR Proposed action is pending following departure of Executive Director. Composition of previous Sub-Committees approved by Board on 16 June 2011 included in Board Minutes of 16 June 2011 Not implemented Not implemented Not implemented x x x 14 (h) Company Secretary to develop the TOR / Composition for each subcommittee and special Governance committee Para 5 Composition of subcommittees and TOR Not implemented Not implemented x 15 (i) Operational strategy Report on operational strategy Not submitted by former ED Not made available x II. Staff Documents 16 Organisational chart and functional responsibilities / function descriptions or organisational units Approved organisation structure submitted. For functional responsibilities see contract of each staff. Missing not submitted by former ED Function descriptions not made available x 17 Contract of employment of all staff Submitted Job descriptions / Scheme of duties of those staff List of all staff recruited and separated, incl. employment contracts Performance reports and appraisals on each staff As per respective contract Submitted Submitted Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 7 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 66

166 Doc. Seq. N o Type / Subject of Document Mandating Source for Document Description / Title of Document Status of documentation submitted/non submitted by RMCE Interim Status (Comments by RMCE Company Secretary) Non Compliance (as of 28 May 2013) Not Submitted 21 Employment Contract - Ms. Anjena Runganaikaloo - Operations Coordinator Employment contract Contract of employment of Ms. Anjena Runganaikaloo 22 Service contracts Dr Thanika Jawaheer (part time contracts ) Officer in charge -Funded by IRCC Jun-Aug 11 Events Manager -Funded by RMCE thru CA funds Sep-Nov 11 Contracts dated 01 April 2011 and 03 October 2011 submitted III. Required Reports as per the COMESA - RMCE Implementation Agreement (with reference to IA Articles concerned) 23 Audited accounts IA-Art 4.5, Art 16.1 All reports regarding these Articles RMCE Company Accounts for 2010 and 2011 submitted Accounts being worked out 2012 Audited accounts not yet available x 24 Internal audit procedures IA-Art 4.4 All reports regarding this Article Internal Audit function carried out by COMESA 25 Asset Safeguard procedures / Asset Register IA-Art 4.3, Art.17 All reports regarding these Articles Asset Safeguard Procedures not submitted by former ED. Asset register submitted Procedures not available x 26 Quarterly Management Accounts IA-Art 13.2 All reports regarding this Article Accounting system not established by former ED Not available x 27 Mid Year Narrative and Financial Reports IA-Art 13.2 All reports regarding this Article Submitted 28 Annual Narrative and Financial Reports IA-Art 13.2 All reports regarding this Article Submitted 29 End of Programme Final Report IA-Art 13.2 All reports regarding this Article Submitted Not Applicable 30 All documentary evidence of disbursements Documentary evidence / Payment Vouchers / Bank statements and approvals Copies of Bank Statements submitted. Payment vouchers and documentary submitted 31 Payroll IA-Art 10.3 All reports regarding this Article Schedule and copies of payroll for staff under the GoM budget submitted. As regards former ED, payroll was kept at COMESA. ED payroll not available x 32 Imprest account IA-Art 12.2 All reports regarding this Article Cash Book - Euro Account dedicated for funds received from COMESA submitted under - To cross reference. Main imprest account is kept by COMESA General ledger format not made available x 33 Monitoring report and documentation IA-Art 7.2 All reports regarding this Article Not worked out by former ED Not implemented x 34 Monitoring and evaluation framework IA-Art 5.1 All reports regarding this Article Not worked out by former ED Not implemented x 35 Medium Term Operational strategy IA-Art 5.2 All reports regarding this Article Not worked out by former ED Not implemented x 36 Audit Work Plan (AWP) IA-Art 5.4a All reports regarding this Article Not worked out by former ED Not implemented x 37 Intervention Framework IA -Art 4.a All reports regarding this Article Not worked out by former ED Not implemented x 38 Narrative work plan IA -Art 4.b All reports regarding this Article Not submitted by former ED Not implemented x 39 Budget IA -Art 4.c All reports regarding this Article Not submitted for former ED Not implemented x 40 Budget working details by activity IA -Art 4.d All reports regarding this Article Not submitted by former ED Not implemented x 41 Detailed budget cost estimates IA-Art 6.2 All reports regarding this Article Not submitted by former ED Not implemented x 42 Comesa rules and procedures of recruitment of staff IA-Art 9.1 All reports regarding this Article Submitted 43 Payroll system IA-Art 10.3 All reports regarding this Article Accounting system not implemented by former ED Not implemented 44 Specific Action Plans for visibility IA-Art 20.2 All reports regarding this Article Not worked out by former ED Not implemented x 45 Internal control procedures manual Copies of all Manuals (HR, IT, Marketing, Finance, Administration, etc..) 46 Financial Rules of the RMCE Copy of the RMCE financial rules Submitted Internal Audit function carried out by COMESA for time being Procedure Manual Not Implemented x x IV. Corporate Documents 47 RMCE feasibility study report Submitted 48 RMCE business plan Submitted 49 Hosting Agreement between Mauritius and RMCE Submitted Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 7 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 67

167 Doc. Seq. N o Type / Subject of Document Mandating Source for Document Description / Title of Document Status of documentation submitted/non submitted by RMCE Interim Status (Comments by RMCE Company Secretary) Non Compliance (as of 28 May 2013) Not Submitted 50 Details of courses and trainings carried out Aide Memoires for 3 courses scheduled in 2012 (on CA account), however only consolidated report for EDB, none for FMA and EMI. FMA and EMI reports not made available x 51 Attendance reports for all training programmes Attendance reports for FMA and EDB not available. Attendance for 3 days EMI course in June 2012 submitted. The rest is available for verification-submitted FMA and EDB not made available X 52 Company Secretarial documents Compilation of Secretarial documents submitted - However, difficult to judge on completeness 53 RMCE Corporate documents since incorporation to date Copy of Certificate of Incorporation, Business Registration Card, Constitution with Amendments, and Annual Returns 2010 and Board Composition Board Composition and history, filing with Registrar of Companies 55 PIC Composition Submitted 56 Composition of RMCE Supervisory Board (constituted in April 10 in replacement of the Project steering Committee) Board composition since incorporation of RMCE submitted 57 Reports from the RDBI (regional doing business Conference 2012 ) held between March 2012 in Gaborone Botswana. M&E component inclusion was well accepted Full Report Report was submitted by on 08 May 2013 V. Governance (CA stands for "Contribution Agreement") 58 Audit committee charter Not submitted by former ED Not Implemented x 59 Audit committee composition not yet implemented Not Implemented x 60 Audit committee minutes of meetings No meeting held Not Held x 61 Internal Audit Manual 62 Internal Audit reports Submitted 63 Copy of the constitution of RMCE Submitted Internal Audit Function carried out by COMESA Not Implemented x 64 RMCE operations plans Not submitted by former ED Not Available x 65 MOU with partnerships in shared resources -Result 2 CA.Para (i) Not submitted by former ED Not Available x 66 Survey on the RMCE Board that was supposed to be commissioned by the Director and to be done by MIOD Report by MIOD Survey not commissioned by former ED Not available x VI. Communications 67 Official communications between RMCE, Govt of Mauritius,,EUD, IOC, COMESA, IRCC, etc. Communication documents Compilation submitted (however difficult to check on completeness and also on the status of documents) 68 Visibility and communication plan Not yet worked out Not Implemented x VII. Operational 69 Course Curricula and training programmes 70 Marketing actions 71 List of all courses run under the FA CA.Para (iii) CA.Para (ii) Not submitted by former ED Not Implemented x Not submitted for former ED Not Implemented x 3 FA funded courses for 2012 submitted; no info on other courses or events Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 7 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 68

168 Doc. Seq. N o Type / Subject of Document Mandating Source for Document Description / Title of Document Status of documentation submitted/non submitted by RMCE Interim Status (Comments by RMCE Company Secretary) Non Compliance (as of 28 May 2013) Not Submitted 72 Events / Training Attendance sheets Attendance Sheet submitted for EMI (3 days). For the other 2 courses, attendance sheets not available. Attendance Sheet submitted for EMI (3 days). For the other 2 courses, attendance sheets not available. x 73 Events / Training Reports with evaluation summary and sheets No training report submitted for IMA and EMI (only individual participants satisfaction scoring sheets shared). IMA and EMI not available x VIII. Other Documents 74 Board agreed priorities for 2012: (a) Design and implementation of the "doing business and improving competitiveness " initiative (b) investigate development training curricula and courses for implementation in 2013, and; (c) deprioritise macroeconomic training courses and public financial management courses where the links to regional integration and RMCE value added are unclear Any report or analyses following these Board decisions Not submitted by former ED Not Submitted x 75 RMCE Draft Operational Strategy 2012 to 2016 prepared by Linpico Consultants, January 2012 Draft report Not submitted by former ED Not Submitted x 76 RMCE employee Handbook Not submitted by former ED Not submitted x 77 RMCE staff rules and regulations Submitted Not available x 78 RMCE financial rules and regulations Submitted Not available x 79 RMCE procurement rules and regulations Submitted Not Available x 80 Detailed financial reports (accounts, general ledgers, bank recons, etc.) For accounts kept at RMCE Office (Mauritius) submitted Consolidated General ledger not submitted x 81 Training Needs Assessment reports Not submitted by former ED Not submitted x Number of requested documents not made available or not implemented/developed: 50 out of 81 or 61.7% 50 Notes: (1) List finalised based on status of documents submission by the RMCE Company Secretary as of 28 May Interim status comments by RMCE (Company Secretary). Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 7 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 69

169 Annex 8 Logical Framework of the RMCE Start-Up Project Expected Results Core Activities / Interventions Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 8 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 70

170 Regional Multidisciplinary Centre of Excellence start up project (RMCE sup) - ESA-IO Region 10 th EDF RSP/RIP LOGICAL FRAMEWORK ( Attachment 1 to Annex 1 of the Action Fiche - Description of the Action ) Expected Results Intervention Logic Indicators Source of Verification Assumptions Result 1: RMCE is effectively established 1.1 Legal entity established by month 5 of the project 1.2 Provisional office and training space available by month 2 of the project 1.3 Core professional and management staff in place by month 12 of the project 1.4 Permanent office and training space secured by month 40 of the project 1.5 Agreements in place with partnerships and new Donor Partners 1.6 Financial Statement Model prepared Mauritius Registrar of Companies RMCE annual report Feedback reports Monitoring and Evaluation reports End of Term Review Construction plan of Knowledge Hub is on schedule Result 2: Skill building and training services are operationalised 2.1 Short courses, workshops and peer to peer learning activities in key REI topics prepared as per needs by month 12 of the project. 2.2 Number of people trained in key REI topics by end of the project. 2.3 Cumulative progress in several core areas of REI 2.4 Database of experts and shared resources with partnerships RMCE annual report and website Monitoring and Evaluation reports End of Term Review Supply of other training services in the region remain fairly stable within the medium term; Relative prices of high quality training in the region and outside the region remain fairly stable within the medium term Result 3: Advisory services and policy dialogue support with regard to REI related issues are available 3.1 In-house information centre, and expertise portal available by month 40 of the project 3.2 Number of short seminars and conferences held by month 40 of the project 3.3 Number of studies commissioned to RMCE and effectively carried out by month 42 of the project RMCE annual report and website Monitoring and Evaluation reports End of Term Review Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 8 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 71

171 Core Activities/ Interventions : Result 1: RMCE Effectively established - Recruit interim Project Manager and fill in key long term positions - Set up governance arrangements, organisational structure and management systems - Set up infrastructure and acquire equipment - Establish operations plan - Establish Financial Statement Model - Achieve Agreement with partnerships and new Donors Partners Result 2: Skill building and training services are operationalised - Define the RMCE programme in the wider objective of REI - Agree MOU with partnerships on shared resources - Carry out training courses and peer to peer learning - Plan on communication and visibility strategy Result 3: Advisory services and policy dialogue support with regard to REI related issues are available - Develop conference services - Develop advisory services and undertake special studies Means : - Regional Steering Committee/ RMCE Board - Provisional office and training space (to be made available by host country) and equipment - Interim Project Administrator - Director and core administrative staff - Long term training staff - Short term training (visiting) staff (on demand) and experts - Consultancy services Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 8 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 72

172 Annex 9 Original (*) Terms of Reference of the RMCE evaluation assignment (*) At the onset of the evaluation process, on the occasion of the evaluation briefing sessions in Lusaka, the evaluation ToR got updated from the originally envisioned Mid Term Evaluation to a de facto ex-post evaluation following the unanimous recommendation of the 23rd IRCC plenary meeting of February 2013 to close the RMCE support project. SPECIFIC TERMS OF REFERENCE Mid-Term Evaluation of the 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) FWC BENEFICIARIES LOT No 10: Trade, Standards and Private Sector EuropeAid//C/SER/Multi 1 BACKGROUND 1.1 Context Developments in the Regional Integration process in the Eastern, Southern Africa and the Indian Ocean (ESA-IO) region strongly suggested that there was increased demand for capacity-building, specifically in the field of regional economic integration, both by the public sector and the private sector, to ensure that opportunities offered by deeper integration could be fully exploited. Capacity building initiatives are addressed in a number of ways, including through sectoral programmes funded by cooperating partners. However, as Regional Organizations (ROs) are called upon to attend to a growing number of needs of global importance, it was believed that Capacity Building should be institutionalised as a permanent function, to enable their member countries to participate fully in regional issues, as well as preparing them in making national positions on new regional ones. The idea of establishing a Regional Multidisciplinary Centre of Excellence (RMCE) was conceived in 2005, at a UN Conference in Mauritius. With support from the EU and the heads of the ROs, the project was decided following a feasibility study funded by the EU in 2006/07, and subsequently in 2007, a Business Plan was developed and adopted by the five Regional Organisations (COMESA, SADC, EAC, IGAD and IOC) in partnership with the European Union and the World Bank. The feasibility study identified five core areas where competencies need to be strengthened in the region to facilitate economic integration: - macroeconomic harmonization, - cross-border trade and transit, - cross-border financing, - business development and investment, and - common regional sector policy, including infrastructure The vision was to have a regionally owned training and advisory centre, and a forum for dialogue, serving as a capacity building and expertise hub for the COMESA, EAC, IOC, IGAD and SADC regional development initiatives. It was intended to improve Member States professional capacity for Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 9 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 73

173 addressing issues of Regional Economic Integration (REI) with a comprehensive approach, and capacity needs of key REI stakeholders at policy as well as operational levels. 1.2 Support to the RMC According to the Business Plan, the RMCE would initially receive support from Cooperating Partners and will gradually seek autonomous means of financing until it becomes self-financing. Under the 10 th EDF ESA-IO Regional Indicative Programme, the project in support to the RMCE project intended to provide the necessary start-up support, in terms of funding, for the first three years, with counterpart funding of the host country (Mauritius). Pursuant to this business plan, a Contribution Agreement between COMESA (as lead implementing RO) and the EU was signed in December 2010, for an amount of EUR 5,600,000, equivalent to 88.56% of the total estimated cost of EUR 6,323,000. Details are shown in the table below: Project Reference Project Title Amount Allocated (EUR) Total Cost (EUR) FED/2009/ RMCE Start-up Project EU 5,600,000 Mauritius 723,000 6,323,000 The RMCE start-up support programme is mainly aimed at setting up the core components of the centre and to position it as a viable and sustainable regional training and knowledge dissemination institution. Basic facilities and support are provided by the host country, which has already made budgetary commitments to the project. Support from other cooperating partners will be sought during this stage in order to accelerate the scaling up of the RMCE to its full capacity. 1.3 Structure and Operations The RMCE was registered as a not-for-profit private company limited by guarantee by the Mauritian Registrar of Companies on 29 March The Constitution of the RMCE was adopted as proposed in the RMCE business plan. The reference documents are: the Constitution of a private company signed in March 2010 and the Agreement between the Government of Mauritius and RMCE signed in December At the time of incorporation of the Company, the three founding members were COMESA, IOC and the Government of Mauritius. As the hosting country, the Government of the Republic of Mauritius incurs costs and obligations, in terms of a budget vote in its national budgets, to support the project by contributing to the initial investment and meeting part of the recurrent overhead costs including rental. The RMCE is currently governed by a Board of Eleven Directors comprising representatives of regional and academic organisations and the host Government. A Planning and Implementation Committee (PIC) composed of the management of RMCE, the EU, IOC, the Government of Mauritius and COMESA has been established to monitor the implementation of the EU-funding component (the start-up project). The Business Plan considered that the RMCE could reach full capacity over a period of 5 years, and become self-sustaining over a period of 8 years. The RMCE governance has proved complex (i.e. Centre established under Mauritian private law but start-up phase managed to a large extent as a donor project implemented through a contribution agreement between the EU and COMESA). As a result, during implementation some concerns have been raised regarding RMCE s legal status, its internal control system, audit and taxation issues among other issues. Due to different views on legal and administrative issues, as well as policy direction between the main project stakeholders, the approval of the work plan 2012 and the EU disbursements to the project through COMESA were put on hold in 2012 and have not resumed yet. The resignation of the Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 9 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 74

174 Executive Director of the Centre (also Project Manager of the project) in June 2012 further affected the implementation of the project. Other Regional organisations (EAC, IGAD) have also expressed concerns on the legitimacy of their membership on the Board in the prevailing structure and governance conditions. 1.4 Objectives and Expected Results of the project The overall objective of the RMCE start-up project is to contribute to improved regional integration and regional cooperation policy decision making processes and regulatory quality in the ESA-IO Region. The specific objective is the improvement of knowledge, managerial skills and competences in Regional Economic Integration among relevant stakeholders: Regional Organisations (ROs), key ministries, agencies civil society and especially the private sector. The EU support in the initial period of three years is intended to facilitate the start-up of the RMCE and provides the necessary leverage to start collecting fees from its services and to mobilise additional support from other cooperating partners to sustain the Centre and expand its services. EU contribution would be used to provide technical assistance, contribute to the initial investment in training needs, purchasing of ICT equipment and support to the ROs, their Member/Partner States (including nonstate actors which are eligible for support) in attending training courses. Contribution from Member/Partner States was to be introduced gradually as part of an exit strategy (see Business Plan). Specifically under the EU funding (Contribution Agreement with COMESA) the expected results and the core activities were stipulated as follows: Result 1: RMCE is effectively established i) Recruit interim Project Manager and fill in key long term positions of the RMCE ii) Set up the organisational structure and management systems as per governance arrangements, iii) Set up infrastructure and acquire adequate teaching, telecommunications, office and transport equipment to facilitate the programmes iv) Establish operations plan Result 2: Skill building and training services are operationalised i) Develop detailed course curricula ii) Prepare course logistics iii) Undertake marketing actions iv) Carry out training courses Result 3: Advisory services and policy dialogue support with regard to REI related issues are available i) Develop detailed conference programme ii) Develop advisory services iii) Carry out special studies 2. DESCRIPTION OF THE ASSIGNMENT 2.1 Evaluation Objectives The assignment will cover the Mid-Term Evaluation of the RMCE. It will provide the decision-makers in the ROs of the ESA/IO region, in the relevant EU services and other stakeholders with sufficient information to: a) Make an overall independent Summary assessment about the past and present performance of the RMCE, paying particular attention to achievements made to date against targets, the Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 9 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 75

175 impact of the Centre's actions against its objectives and the expected and delivered role of the EU start-up funding (in the framework of the Contribution Agreement signed with COMESA). b) Identify governance, legal and operational issues which are having or have had an impact on the expected outcome of the programme. In particular, assess the advantages and disadvantages of the Centre's legal status (private company) in comparison with other possible status (agency of a regional organisation, international organisation, etc.). c) Assess the adequacy of the Centre s internal control and management systems at the various levels and make policy-oriented recommendations which would guide prospective donors and co-operating partners in setting up effective internal controls and management systems for future similar projects. This Summary assessment should also look at the size and composition of the Board of Directors. d) Assess the implementation capacity of the RMCE and the cooperation relationships it has established so far. e) Assess the potential complementarities and risk of duplication between the RMCE and other emerging initiatives such as the IMF Regional Training Centre for Sub-Saharan Africa in Mauritius 1 and the conceptual emergence of the University for Regional Integration (cf. Recommendations from COMESA Council and Summit in August/September 2010, Swaziland). Assess whether the RMCE remains relevant in the context of the new initiatives and explore opportunities offered by the IMF regional training centre. f) Identify key lessons and propose practical recommendations for follow-up actions. 2.2 Issues to be studied The evaluation study responds to the requirements of the mid phase of the project cycle and also to the need to reconsider the project in light of the circumstances that have hindered its implementation and the new initiatives that may affect its relevance. The consultants shall verify, analyse and assess in detail the issues outlined in Annex 3 "Layout, structure of the Final Report". The list of issues is not intended to be exhaustive. The questions refer to the five evaluation criteria endorsed by the OECD- DAC (relevance, effectiveness, efficiency, sustainability and impact), and to the EC-specific evaluation criteria (EU added value and coherence). The consultants are requested to verify, analyse and assess the integration and impact in the project of any cross cutting issues that they may deem relevant to the intervention. The consultants are required to use their professional judgement and experience to review all relevant factors and to bring these to the attention of the ESA/IO ROs and the EU. 3. METHODOLOGY For methodological guidance the consultant will refer to the Europe Aid s Evaluation methodology website: and also to the Europe aid Delivery Methods PCM - Project Approach Guidelines ( 1 The International Monetary Fund (IMF) is establishing a Regional Training Center (RTC) for Sub-Saharan Africa in Mauritius with a mandate on the training of government officials on the formulation and implementation of macroeconomic policies as well as related statistical and legal frameworks. It is scheduled that the RTC will start operations (training) in 2013 with courses and seminars covering macroeconomic policymaking and financial programming, public finance, exchange rate and monetary policies, economic integration, and financial sector issues, including banking supervision, in complementarity with the capacity building mandate of the IMF African technical assistance centre for Southern Africa (Afritac South) based in Mauritius. The RTC would also seek to host training by other international and regional organizations in their respective areas of expertise. This would raise a challenge of duplicity with the RMCE but it is not yet clear if the RTC will have a clear cut role in design and delivery of training addressing the regional integration thematic and issues. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 9 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 76

176 Methodological guidance for the evaluation of integration of cross-cutting issues (environmental sustainability, gender, good governance and human rights) may be found in the same above web link. 3.1 Management and steering of the Evaluation The evaluation is managed by the EU Delegation to Zambia with the assistance of a reference group consisting of the following members: The COMESA Secretariat The Government of Mauritius The EU Delegation in Mauritius The Indian Ocean Commission (IOC) The IRCC Secretariat The reference group member's main functions are: To aggregate and summarise the views of their respective organisations and to act as an interface between the consultants and the organisations, thereby supplementing bilateral contacts. To ensure that the evaluation team has access to and has consulted all relevant information sources and documents related to the project/programme. To validate the Evaluation Questions. To discuss and comment on notes and reports delivered by the evaluation team. To assist in feedback of the findings, conclusions, lessons and recommendations from the evaluation. 3.2 The evaluation approach / process The evaluation approach should be developed and implemented as presented below (for further details consult the evaluation methodology website above mentioned). Once the external evaluation team has been contractually engaged, the evaluation process will be carried out through three phases: a Desk Phase, a Field Phase and a Synthesis Phase, as described below: Desk Phase Inception In the inception stage of the Desk Phase, the most relevant project documents should be reviewed (see list on Annex 1), as well as documents shaping the wider strategy/policy framework. On the basis of the information collected the evaluation team should: Be able to describe the development co-operation context. Be able to briefly comment on the RMCE Business Plan, the annual work plans, the Planning and Implementation Committee and Board of Directors meetings. Comment on the issues / evaluation questions suggested or, when relevant, propose an alternative or complementary set of evaluation questions justifying their relevance. Develop the evaluation into sub-questions identify provisional judgment indicators and their verification means, and describe the analysis strategy. Draft the time schedule for site visits Desk phase - Finalisation Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 9 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 77

177 In the finalisation stage of the Desk Phase, the evaluation team should carry out the following tasks: Review systematically the relevant available documents (see Annex 1); Present an indicative methodology to the overall Summary assessment of the RMCE Interview the project management, i.e. the RMCE Executive Director and key staff including previous staff and officer-in-charge where available, and the EU delegations in Zambia and Mauritius. Present each evaluation question stating the information already gathered and their limitations provide a first partial answer to the question, identify the issues still to be covered and the assumptions still to be tested, and describe a full method to answer the question. Identify and present the list of tools to be applied in the Field Phase. List all preparatory steps already taken for the Field Phase. Submit its detailed work plan with an indicative list of people to be interviewed, surveys to be undertaken, dates of visit, itinerary, and name of team members in charge. This plan has to be applied in a way that is flexible enough to accommodate for any last-minute difficulties in the field. At the end of the desk phase a desk report shall be prepared (see section 5) Field phase The Field Phase should start upon approval of the Desk Phase report by the evaluation manager. The evaluation team should: Hold a briefing meeting in Lusaka, Zambia, with COMESA (RAO of the project), the IRCC Secretariat and the EU Delegation in Zambia and another briefing meeting in Mauritius with the EU Delegation in Mauritius, RMCE staff, the IOC (current Chair of the Board of Directors) and the Government of Mauritius. Ensure adequate contact and consultation with, and involvement of, the different stakeholders and ROs as owners of the RMCE; working with the relevant regional organisations during the entire assignment. Use the most reliable and appropriate sources of information and harmonise data from different sources to allow ready interpretation. Summarise its field works at the end of the field phase, discuss the reliability and coverage of data collection, and present its preliminary findings in a meeting with COMESA (RAO of the RMCE), the RMCE key staff, the Government of Mauritius and the EU Delegations in Zambia and Mauritius. This meeting will take place in Mauritius. COMESA and the EU Delegation in Zambia may participate by video conference Synthesis phase This phase is mainly devoted to the preparation of the draft final report. The consultants will make sure that: Their Summary assessments are objective and balanced, affirmations accurate and verifiable, and recommendations realistic. When drafting the report, they will acknowledge clearly where changes in the desired direction are known to be already taking place, in order to avoid misleading readers and causing unnecessary irritation or offence. If the evaluation manager considers the draft report of sufficient quality, he will circulate it for comments to the reference group members and convene a meeting (via video-conference) with the participation of the evaluation team if deemed necessary. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 9 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 78

178 On the basis of comments expressed by the reference group members, and collected by the evaluation manager, the evaluation team has to amend and revise the draft report. Comments requesting methodological quality improvements should be taken into account, except where there is a demonstrated impossibility, in which case full justification should be provided by the evaluation team. Comments on the substance of the report may be either accepted or rejected. In the latter instance, the evaluation team is to motivate and explain the reasons in writing Quality of the Final Evaluation Report The quality of the final report will be assessed by the evaluation manager in the EU Delegation in Zambia using a quality Summary assessment grid (see annex 4). 4. EXPERT S PROFILE 4.1 Number of Requested Experts The evaluation team will be composed of two (2) experts: One senior expert: One senior expert: Team leader, 32 working days Financial/Legal Expert, 30 working days The composition of the team of experts should be balanced to enable complete coverage of the different aspects of project evaluation (evaluation methods and techniques) as set out in these terms of reference, including cross-cutting issues. 4.2 Profiles required Expert 1 - Team leader, specialist in management of Learning Institutions, Senior Category Degree in Economics, Educational Sciences, HR management, or related fields Recent experience in International Learning projects, academic cooperation Recent experience in institutional and organisational Summary assessment Recent experience in programme Evaluation and Monitoring of Advanced Technical and Managerial training Demonstrated knowledge of the Cotonou Agreement and EDF implementation Demonstrated knowledge of the EC Project Cycle Management Experience in Organisation and Institutional Capacity Recent experience (past 5 years) in the ESA-IO region Recent experience in regional or political economic integration policies and issues would be an advantage Expert 2 Financial/Legal Expert, Senior Category Degree and/or Professional Qualification in Law, Business Administration, Financial Management, Accounting or related fields. Experience with audits of development aid programmes and projects funded by national and/or international donors and institutions. Demonstrated knowledge of relevant Mauritian laws, regulations and rules. This includes but is not limited to taxation, social security and labour regulations, accounting and reporting. Demonstrated knowledge of the Cotonou Agreement and EDF implementation. Demonstrated knowledge of the EC Project Cycle Management. Recent experience (past 5 years) in the ESA-IO region would be an advantage. Experience in Evaluation and Monitoring of Programmes would be an advantage. Experience in institutional and organisational Summary assessment would be an advantage. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 9 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 79

179 Common features: All experts will have excellent analytical, conceptual, and reporting skills, as well as perfect command of English, the working language of the assignment. Knowledge of French will be an added advantage. 4.3 Working language The working language of the assignment is English. 5. LOCATION AND DURATION 5.1 Starting period and duration It is expected that the assignment shall commence as soon as possible after the signature of the specific contract but no later than 15 March The overall duration for the assignment is 90 calendar days for the total performance period, This amounts to 32 working days for expert 1 (=longest duration), and 30 working days for expert 2. This overall duration shall cover desk study during preparatory stage, consultation with relevant stakeholders as well as time dedicated to preparing Draft and Final Evaluation reports. The date on which the Contracting authority formally approves or rejects the Final Evaluation report will be considered the end date for the purpose of this contract. This approval/rejection shall be communicated to the Consultant in writing. The dates mentioned in the table may be changed with the agreement of all parties concerned. 5.2 Tentative Work plan The table below describes the activities, location and duration of the assignment. The deadline for submission of the Final Report is 30 May Activity Place Expert 1 Team Leader (Working days) Expert 2 (Working days) Desk Phase Inception home 1 day 1 day Travel to Zambia 1 day 1 day Meeting with EU Delegation Lusaka, IRCC Secretariat, COMESA (RAO) Lusaka, Zambia 2 days 2 days Travel to Mauritius 1 day 1 day -Briefing EU Delegation/Ministry of Finance, IOC Mauritius Preparation and submission of desk report with a proposed list of interviews and visits Field Phase Field Assignment + travel days if necessary Synthesis Phase In-country drafting of provisional final report Debriefing with main stakeholders Mauritius 1 day 1 day Mauritius 5 days 5 days Mauritius + (to be determined) 6 days 6 days Mauritius 6 days 6 days Mauritius + video conference 1 day 1 day Travel to home country 1 day 1 day Preparation and submission draft report Home 4 days 3 days Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 9 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 80

180 Reference Group Meeting Home (videoconference) 1 day 1 day Finalisation and submission final report Home 2 days 1 day TOTAL 32 days 30 days 6. REPORTING The reports must match quality standards. The consultant will submit the following reports in English: 1. Desk Report (of maximum 40 pages, excluding annexes) to be submitted at the end of the desk phase. 2. Draft final report (of maximum 50 pages) using the structure set out in Annex and taking due account of comments received. Besides answering the evaluation questions, the draft final report should also synthesise all findings and conclusions into an overall Summary assessment of the project/programme. The report should be presented within seven days from the receipt of the reference group's comments. 3. Final report with the same specifications as mentioned under 3 above, incorporating any comments received from the concerned parties on the draft report, to be presented within seven days of the receipt of these comments. Distribution of all reports in electronic version will be as follows: Contracting Authority: EU Delegation in Zambia RAO (COMESA) IOC (Chair of the RMCE Board) Ministry of Finance (Mauritius) IRCC Secretariat EU Delegations: Tanzania, Djibouti, Mauritius, Botswana Other Regional Organisations: EAC, IGAD, SADC Additionally, the following will receive 2 copies each in paper of the final report: Contracting Authority: EU Delegation in Zambia EU Delegation in Mauritius RAO (COMESA) Ministry of Finance (Mauritius) IOC The consultant will include as an Annex the DAC Format for Evaluation Report Summaries (see Annex 5). The report is to be disseminated under the full responsibility of the Commission. 7. ADMINISTRATIVE INFORMATION 7.1 Interviews Phone interview with the proposed Team leader will be organised if felt necessary by the Contracting Authority before finalising the evaluation of offers received. 7.2 Succinct methodology A succinct methodology, including backstopping resources by the firm and a breakdown for the financial offer, will have to be presented with the offer. Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 9 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 81

181 ANNEX I AVAILABLE DOCUMENTS (to be provided at the start of mission) Contribution Agreement signed on 21/12/2010 between COMESA and EU Implementation agreement between COMESA and RMCE Legal documentation of the RMCE incorporated as a private firm in Mauritius Minutes of the meetings of the Board of Directors and the Project Implementation Committee (PIC) of Regional Multidisciplinary Centre of Excellence (RMCE) All Operational and Strategic Plans of RMCE, prepared for all BoD and PIC meetings Training needs Summary assessment reports, programmes and training materials prepared Evaluation sheets of participants TOR, contract, and performance evaluation of the Executive Director RMCE Activity and Progress reports of the RMCE RMCE Business Plan and Marketing plan of the RMCE Mission reports of Executive Director Minutes of RMCE meetings, relevant s send to ROs, BoD and PIC Visibility and Communication plan of the RMCE Events Plan, Jointly organised by the Government of Mauritius and RMCE AfDB-funded institutional reports of RMCE Other internal documentation and RMCE training material Documents on IMF Regional Training Centre Note: The evaluation team has to identify and obtain any other document worth analysing, through its interviews with people who are or have been involved in the design, management and supervision of the project / programme. Resource persons to collect information and data are to be sought in the EC services, implementing body and the ESA/IO RO s Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 9 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 82

182 Annex 10 Selective excerpts from the evaluation aide mémoire debriefing presentation at the end of the field mission, Conference Room, EUD Port Louis, Friday, 17 May 2013 (with videoconferencing connection with Lusaka, Zambia and Dar Es Salaam, Tanzania) Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 10 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 83

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185 Evaluation Process Aligned with four standard evaluation process phases: Inception, desk, field and synthesis Specific process characteristics: Combined desk and field phases and limited synthesis phase Self re-orientation from mid-term review to ex-post evaluation in line with IRCC decision Project evaluation de facto in combination with organisational - institutional evaluation Evaluation of the EU 10 th EDF Support to the RMCE: End of Field Phase Aide Mémoire Introductory Presentation by the Evaluation Team at the Debriefing Session with the RMCE Key Stakeholders, EUD Office, Mauritius, 17 May Evaluation of EC 10 th EDF Support to the Regional Multidisciplinary Centre of Excellence (RMCE) Annex 10 DFC S.A.U. CCM-CG Consortium Final Report - September 2013 Page 86

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