Marys Medicine

Project appraisal document

FOR OFFICIAL USE ONLY
Report No: PAD614 INTERNATIONAL DEVELOPMENT ASSOCIATION PROJECT APPRAISAL DOCUMENT PROPOSED GLOBAL PARTNERSHIP FOR EDUCATION GRANT IN THE AMOUNT OF US$100 MILLION REPUBLIC OF UGANDA TEACHER AND SCHOOL EFFECTIVENESS PROJECT Education Global Practice Eastern Africa Country Cluster 1, AFCE1 Africa Region This document has a restricted distribution and may be used by recipients only in the performance of their official duties. Its contents may not otherwise be disclosed without World Bank authorization. CURRENCY EQUIVALENTS (Exchange Rate Effective August 6, 2014) Ugandan Shilling ABBREVIATIONS AND ACRONYMS African Development Bank Bills of Quantity Basic Required Minimum Standards Coordinating Agency Certificate for Teacher Education Proficiency Chief Administrative Officer Country Assistance Strategy Coordinating Centre Community Child Care Program Centre Coordinating Tutors Construction Management Unit District Education Officer Directorate of Education Standards District Inspectors of Schools Disbursement-Linked Indicators District Service Commission Environment Category Early Childhood Development Early Childhood Education Education Development Partner Early Grade Reading Assessment Education Management Information System Eligible Program Expenditures Education Service Commission Environmental and Social Impact Assessment Environmental and Social Management Framework Environmental and Social Management Plans Education Sector Consultative Committee Education Sector Strategic Plan Forum for Education NGOs in Uganda Finance Management Gross Domestic Product Global Partnership for Education Information communication Technology Inspectorate of Government International Labour Organization Instruction Materials Instructional Materials Unit Indigenous People Indigenous People Planning Framework Joint Budget Support Framework Local Education Group Local Governments Monitoring and Evaluation Millennium Development Goals Ministry of Education and Sports Ministry of Finance, Planning and Economic Development Ministry of Public Service National Assessment of Progress in Education National Curriculum Development Centre Output Budgeting Tool Operational Policy/Bank Procedures Operational Risk Assessment Framework Physical Cultural Resources Proposed Development Objective(s) Procurement and Disposal Unit Public Financial Management Project Implementation Manual Primary Leaving Exams Primary Teacher College Primary Teacher Education Quality Enhancement Initiative Resettlement Policy Framework Regional Vice-President School Facility Grant School Improvement Plans School Management Committees Technical Assistance Teacher Inspection Education Training Teacher Development Management System Trainers of Trainers Uganda National Examinations Board The United Nations Children's Fund Universal Primary Education Universal Primary Education and Training Project United States Agency for International Development United States Dollars Regional Vice President: Country Director: Philippe Dongier Senior Global Practice Director: Claudia Maria Costin Practice Manager: Task Team Leaders: Andreas Blom/ Elizabeth Ninan Teacher and School Effectiveness Project
TABLE OF CONTENTS
Annex 4: Operational Risk Assessment Framework (ORAF) . 86 Annex 10: Social Assessment…………………………………………………………………126 PAD DATA SHEET
Teacher and School Effectiveness Project (P133780) PROJECT APPRAISAL DOCUMENT
0000009057 Report No.: PAD614 Basic Information
B - Partial Assessment Lending Instrument Fragile and/or Capacity Constraints [ ] Investment Project Financing Financial Intermediaries [ ] Series of Projects [ ] Project Implementation Start Date Project Implementation End Date Expected Effectiveness Date Expected Closing Date Senior Global Practice Country Director Regional Vice President Claudia Maria Costin Philippe Dongier Approval Authority
Approval Authority This is a grant from the Global Partnership for Education which is approved by the Vice-President of the Africa Region. Borrower: Government of Uganda Responsible Agency: Ministry of Education and Sports Dr. Rose Nassali Lukwago Permanent Secretary Telephone No.: 256-41-425-7200 Email: [email protected] Project Financing Data(in US$ Million)
Total Project Cost: Total Bank Financing: Financing Source
Education for All - Fast Track Initiative Expected Disbursements (in US$ Million)
Proposed Development Objective(s)
The proposed Project Development Objective is to support the Government in improving teacher and school effectiveness in the public primary education system. Components
Component Name
Cost (US$ Millions)
Component 1 Effective Teacher Component 2 Effective Schools Component 3 Implementation Support and Capacity Building Institutional Data
Practice Area / Cross Cutting Solution Area
Cross Cutting Areas
Fragile, Conflict & Violence Public Private Partnership Sectors / Climate Change
Sector (Maximum 5 and total % must equal 100) Co-benefits % Co-benefits % Primary education I certify that there is no Adaptation and Mitigation Climate Change Co-benefits information applicable to this project. Theme (Maximum 5 and total % must equal 100) Human development Education for all Compliance
Does the project depart from the CAS in content or in other significant Does the project require any waivers of Bank policies? Have these been approved by Bank management? Is approval for any policy waiver sought from the Board? Does the project meet the Regional criteria for readiness for implementation? Safeguard Policies Triggered by the Project
Environmental Assessment OP/BP 4.01 Natural Habitats OP/BP 4.04 Forests OP/BP 4.36 Pest Management OP 4.09 Physical Cultural Resources OP/BP 4.11 Indigenous Peoples OP/BP 4.10 Involuntary Resettlement OP/BP 4.12 Safety of Dams OP/BP 4.37 Projects on International Waterways OP/BP 7.50 Projects in Disputed Areas OP/BP 7.60 Legal Covenants
Recurrent
Frequency
Project coordination team Description of Covenant
The MoES shall maintain during Project implementation a fully operational Project coordination team comprising a Project coordinator, a deputy Project coordinator, a procurement specialist, a financial management specialist, a civil engineer, an early grade reading specialist, a monitoring and evaluation specialist, a quantity surveyor, and other staff as may be agreed with the World Bank. Recurrent
Frequency
Designation of local government Description of Covenant
The Recipient shall designate and enable, at all times during the implementation of the Project, the respective Local Governments, to be responsible for, inter alia, implementation of respective Subprojects under Part 2 (b) of the Project, all in accordance with the provisions of the Project Implementation Manual (including the School Facilities Grant Guidelines). Recurrent
Frequency
Verification of DLI Protocol Description of Covenant
The Recipient shall, in each Fiscal Year during the implementation of the Project and prior to disbursing any payment for Eligible Program Expenditures (against the achievement of DLIs), carry out, in accordance with TOR acceptable to the World Bank and elaborated in the Project Implementation Manual, an independent verification of the delivery of said DLIs for which payment is requested. Recurrent
Frequency
Assign environment and social safeguard Description of Covenant
Engage not later than six (6) months of the Effective Date, or such other date as may be agreed with the World Bank, and thereafter assign to the Project coordination team at all times during implementation of the Project, an environmental specialist and a social safeguards specialist with qualifications, experience, and terms of reference satisfactory to the World Bank. Recurrent
Frequency
Procurement audit Description of Covenant
The Recipient shall: (1) not later than eighteen (18) months after the Effective Date; (2) not later than thirty (30) months; and (3) not later than forty-two (42) months after the Effective Date, carry out under terms of reference satisfactory to the World Bank, an audit of contracts procured in the preceding Fiscal Year ("FY") and furnish the audit reports to the World Bank. Conditions
Source Of Fund
Agreement is duly authorized and ratified by all necessary governmental actions Description of Condition
Article V. 5.01. (a) the execution and delivery of the Grant Agreement on behalf of the Recipient has been duly authorized or ratified by all necessary governmental action Source Of Fund
Adopted the Project Implementation Manual Description of Condition
Article V. 5.01. (b) the Recipient has prepared and adopted the Project Implementation Manual in accordance with the provisions of Section I.B.1 of Schedule 2 to the Grant Agreement Source Of Fund
Adopted Annual Work Plan and Budget Description of Condition
Article V. 50.1 (c) the Recipient has prepared and adopted the Annual Work Plan and Budget for Fiscal Year 2014/2015 in accordance with the provisions of Section I.B.2 of Schedule 2 to the Grant Agreement Source Of Fund
Established fully operational Project coordination Description of Condition
Article V. 5.01. (d) the Recipient has established a fully operational Project coordination team in accordance with the provisions of Section I.A.1 of Schedule 2 to the Grant Agreement. Team Composition
Bank Staff
Senior Procurement Senior Procurement Adriana M. Da Cunha Program Assistant Language Program Amina Debissa Denboba E T Consultant Elizabeth Ninan Dulvy Senior Education Senior Education Senior Environmental Senior Environmental Sheila Byiringiro Paul Kato Kamuchwezi Financial Management Financial Management Program Assistant Program Assistant Harriet E. N. Kiwanuka Program Assistant Program Assistant Barbara Kasura Magezi Senior Public Sector Christine Makori Innocent Mulindwa Senior Education Senior Education Franklin Mutahakana Constance Nekessa- Social Development Social Development Christiaan Johannes Elijah Ayieko Osiro Environmental Specialist Environmental Specialist GENDR Chandrashekhar Pathak Shwetlena Sabarwal Senior Finance Officer Senior Finance Officer Development Specialist Development Specialist Operations Officer Non Bank Staff
Teacher Motivation and Teaching Methodology Specialist Dr. Sri Ram Bhagut Mathe Civil Works Specialist Curriculum and Teacher Training Consultant Locations
Location
Planned Actual
Comments
Administrative
Division
STRATEGIC CONTEXT
A. COUNTRY CONTEXT
Uganda has one of the youngest populations in the world (53 percent under 15 years
of age), due to a relatively high population growth rate (3.2 percent). Around 80 percent of
the population is rural, making Uganda the second most rural economy in Africa. Poverty in
Uganda has declined over the last 20 years. The poverty headcount declined from 56 percent in
1992 to 24 percent by 2009/10. However, inequality persists within and across regions. Uganda
may reach at least two of the eight Millennium Development Goals (MDGs) by 2015—the
country has halved poverty and is addressing gender inequality, and has made progress towards
many others.
The country has a record of impressive growth, prudent macroeconomic
management and structural reform; however this has recently come under test. Since 2009,
growth has remained below historical trends as domestic and exogenous shocks weighed
economic activity down. Despite an expansionary fiscal policy, economic activity in 2011/12
slowed down to about 3.5 percent.
Uganda has decentralized its service delivery to a large extent. Government's
decentralization policy (announced in 1992) and a range of additional policy initiatives – have over time devolved substantial powers, functions, and resources to Local Governments (LGs). LGs now run as fully fledged elected governments with legislative and executive powers. They have extensive service delivery responsibilities in areas such as health, education, water, transport, and environmental management, receive and raise significant fiscal resources, hire and fire staff and prepare and execute five year development plans and annual budgets. However, there is a perception of increasing corruption. Despite a strong anticorruption
legal framework, Uganda has struggled to translate its anti-corruption laws into practice. Local public opinion polls indicate that petty corruption is increasing. In addition, Uganda suffers from "quiet corruption"—the failure of public servants to deliver goods or services paid for by governments—such as teacher and health worker absenteeism. To return to sustained high growth and poverty reduction, Uganda faces a diverse
set of challenges, including a renewed attention to education. Uganda needs to address
infrastructure bottlenecks, increase agricultural productivity and value addition, reintegrate
northern Uganda, manage urbanization, and strengthen its human capital base. Renewed
attention to education is particularly important in light of the considerable impact that human
capital has on labor market income, youth employment, reduced fertility, and urbanization,
which is the key factor for a substantial demographic dividend in the decades to come.
B. SECTORAL AND INSTITUTIONAL CONTEXT
Uganda has made great progress in expanding access to education. The introduction
of universal primary education (UPE) in 1997 led to significant gains in primary enrollment, which increased from about 3 million pupils in 1998 to 8.4 million pupils by 2010 (Annual School Census 2010). There were approximately 20,500 primary schools in Uganda in 2010, 62 percent of which were public schools. This expansion in primary education has been pro-poor. Studies indicate that the UPE policy effectively improved access to primary education for children of poor families. The expanded access to primary education has led to gender parity in primary enrollment. The 2011 World Development Indicators show the Net Enrollment Rate for Uganda to be at 94 percent, with parity between girls and boys. However, the progress against achievement of the MDG goal of universal primary
education is slow due to low completion rates. Although the absolute number of pupils
completing gradually increases as a consequence of the growing sizes of each cohort, a
significant percentage of those who enter primary school do not reach the final primary grade.
Primary completion rates for Uganda - measured by the international definition of survival to the
start of the last grade in primary - were at 55 percent for 2011, down from 58 percent in 2008.
The national measurement for completion - cohort survival to end of primary grade 7 - showed a
grimmer picture of only 33 percent completing primary education. These rates have not shown
much improvement over the past decade. As a result, Uganda is unlikely to achieve the primary
education MDG that was previously thought to be within reach. Low quality of education service
delivery appears to be playing the important role in low primary completion. This is attested by
high repetition rates (at about 10-12 percent p.a.) which are linked with high rates of
discouragement and dropout at the primary school level.
Many of those who remain in primary education do not achieve minimum levels of
literacy and numeracy. In 2012, less than half the Primary grade 6 pupils tested by National
Assessment of Progress in Education (NAPE) were proficient in literacy (41 percent) and
numeracy (45 percent). In cross-country assessments (SAQMEC), Uganda pupils scored in the
lowest one-third of countries.
Plausible explanations for low completion rates and low learning outcomes can be
found at different levels of the education service delivery chain. In addition, learning
outcomes are driven by some factors that are outside the school system and manifest at the
household level. Within the education service delivery chain, issues can be identified at the
teacher level, the school level, and the national level:
Teacher Level
Teachers are key determinants of student achievement but there are several constraints to effective service delivery on the part of teachers in Uganda. These constraints relate to the three key dimensions of performance – competency, effort, and resourcing: • Teacher competencies are inadequate. In order to deliver effective teaching, teachers
must have adequate content knowledge and pedagogical skills. In Uganda, teachers appear to be deficient on these dimensions, particularly with respect to teaching of early grade literacy and numeracy, and knowledge on the primary curriculum introduced in 2008. Results from teacher tests conducted by Uganda National Examinations Board (UNEB) in 2011 show that 75 percent of the tested teachers did not meet the expected proficiency level in numeracy and about half did not meet the proficiency level in oral vocabulary. In 2013, The World Bank's Service Delivery Indicators found similarly that 4 out of 5 teachers did not possess the minimum knowledge in English, Math and Pedagogy when tested. 1 Deininger 2003. • Teacher time on task is low and absenteeism is high. In 2013, the Service Delivery
Indicators carried out representative, unannounced visits to schools and found that 27 percent of public teachers could not be found in the school at the time of enumerator visits. A further 26 percent of the teachers were not found in class and teaching. On the whole, teaching time loss in Uganda is estimated to be in the range of 30-40 percent of the officially scheduled teaching time. Absence rates are even higher for head-teachers, with head-teachers being 13 percentage points more likely to be absent than regular teachers. • Low teacher presence and effort can be linked to gaps in motivation, incentive, and
accountability mechanisms for teachers, as well as poor management of teachers. In a
teacher survey (2007), when asked to provide information on important sources of low
attendance, as many as 40 percent of teachers listed poor remuneration as being the most
important issue, showing low motivation. Further, teachers in Uganda are poorly
incentivized to exert effort given that teacher compensation is not directly linked to
performance. Staff performance appraisals have no direct impact on teacher salaries. In a
2012 survey, around 40 percent teachers claimed that they perceive no link between their
performance and rewards in the education system. Key informant interviews reveal that
there are often long periods of delay between teacher appointment and confirmation which
adversely impacts teacher motivation. Also, there are inconsistencies between the payroll,
personnel data and the census data that plague the public service, including the education
sector. Improving human resource management of teachers at the school level as well as
district and central levels is important for higher teacher motivation, accountability, and
performance. Further, increased number and frequency of inspections are desirable to raise
accountability for teacher presence.
• There are gaps in teacher supervision. Only one in every four schools reported having
been visited by a district inspector or a Centre Coordinating Tutor (CCT) during the 12 months prior to the 2009/10 UNHS survey. It was also found that district-level officers (District Education Officers and District Inspectors) were the least frequently reported visitors to schools in comparison to other visitors. This is unfortunate, since teacher absenteeism studies reveal that districts with higher levels of inspection generally have lower absence rates. • Teacher availability and distribution is improving. By May 2013, Uganda registered
about 131,800 qualified primary teachers on Government payroll, translating into a pupil to teacher ratio of 54:1 for public primary schools. This indicates improvements from 68:1 and 66:1 recorded in November 2011 and June 2012 respectively. A key contributor to this positive trend is the revision of the teacher allocation formula for primary schools which enables schools access to a teacher per grade as a minimum threshold for respective school teacher ceilings. Inequitable teacher deployment across and within districts, as well as between lower and upper primary grades within same schools was also identified in 2 Okurut 2012. 3 Habyarimana 2008. 4 Uganda Teacher Policies, SABER Country Report, 2012. 5 Habyarimana 2008. FY2009/10 as one of the binding constraints to education service delivery through the development partners led Joint Budget Support Framework (JBSF) and the World Bank's Poverty Reduction Support Credit (PRSC) dialogue. Implementation of equitable teacher deployment norms with special focus on hard-to-reach/hard-to-stay (HTR/HTS) districts coupled with regular guidance to head-teachers to put equal emphasis to both lower and upper grades at school level for quality education has generated positive results over time. Between 2010 and 2012, all HTR/HTS districts registered significant improvements in Pupil Teacher Ratio (e.g. from 97:1 to 68:1 in Kotido district and from 82:1 to 69:1 in Kaabong district); and average differences between pupil to teacher ratios of upper and lower primary grades are reported to be declining. Teacher recruitment and deployment continues to be monitored at the macro level through JBSF/PRSC efforts. • Teachers lack sufficient teaching and learning materials. The availability of appropriate
teaching and learning materials is a critical determinant of the quality of education service delivery. The student to textbook ratio was 14 in 2013 according to the Service Delivery Indicators for Uganda. In addition, while the new thematic curricula have been rolled out for primary education and the corresponding teaching materials have been developed; they have not as yet been purchased and distributed. School Level
• Accountability channels at the school level need strengthening. Analysis of teacher
absenteeism in Uganda also shows that there is a negative association at the school level between parental involvement (parental contributions of resources and frequency of parent meetings) and teacher absence, attesting to the importance of accountability mechanisms. This research is supported by qualitative evidence in the form of key informant interviews with District Education Officers and Head-teachers which suggests that cumbersome rules and lack of enforcement of standards lead to low teacher accountability for absenteeism and time-on-task. Procedures for the appointment and dismissal of teachers are complex and unwieldy. Thirteen separate steps are required for the appointment of a teacher and the procedures for dismissal are almost as lengthy. There are no external evaluations of individual teacher performance. The inspectorate performs school inspections, but these inspections are meant to provide information on the overall performance of the school, rather than on the performance of each individual teacher, since not all teachers are observed during school inspections. • At the school level, there is evidence of weak governance and support systems. A 2011
study indicates that School Management Committees (SMCs) have limited capacity to execute the legislated functions - only one in four SMC members expressed awareness of key functions like planning and monitoring of education programs in school. In addition, only 32 percent of interviewed SMC members considered school development planning a key responsibility of SMC members. Evidence from the Basic Required Minimum Standards (BRMS) baseline survey also points to low school compliance to established standards and procedures in a number of areas. This further attests to weak school governance systems. 6 Habyarimana 2008. 7 Weber 2010. 8 Uganda Teacher Policies, SABER Country Report, 2012. 9 Mulindwa et al 2013. • Parental involvement in school management varies considerably. The Joint Budget
Support Framework (JBSF) has identified the low parental and community participation in education programs as one of the binding constraints to quality education in Uganda. However, focus groups discussions show that parental involvement can vary considerably, particularly among urban and rural schools (lower participation in rural schools). Policies have been put in place to ensure information provision for enhancing parental participation in school management. However, implementation of these measures is imperfect. For instance, based on 2010 QEI survey data, it is clear that not all schools issue child-specific performance report cards as required by law (only 40 percent of the sampled schools reported doing so). • Lack of facilities at the school level is also contributing to low student learning
outcomes. Uganda's population growth adds about 80,000 children of school entry age
each year (a rate of about 1 percent per annum). At a rate of 50 pupils to one, this growth
translates into an annual need of 1,600 additional classrooms and teachers, just to maintain
class sizes. However, in 2010/11, only a little over 1,000 classrooms were added. In a
2011 sample-based survey, 14 percent of schools were found holding at least some classes
without any physical facilities; and an estimated 950 schools have more than 4 classes held
in open air at the same time. For these classes, weather, noise and other disruptions
severely impact learning. Lack of physical facilities also manifests in terms of sanitation.
The 2010 QEI report shows that there are some districts where less than 20 percent of
schools have separate sanitation facilities for girls. This leads to higher drop out of girls,
especially in the upper grades.
System Level
There are some notable constraints at the system level as well. It appears that pupils
enter primary school without adequate preparation. The net enrollment rate for early childhood education (ages 3-5) is estimated at 14 percent (2011). The Government recognizes the importance of early childhood education (ECE) and officially children aged 3 to 5 years old are expected to be enrolled in pre-primary institutions. The Government's policy is that provision of pre-primary education in Uganda is private sector led and self-financed. ECE enrolment is therefore constrained by limited household income. There is very low coverage of operations especially in the rural areas. However, a number of initiatives mostly led by UNICEF and non-state civil society actors, target disadvantaged areas, but none are large scale. There is need for clearly articulated strategic vision which identifies scalable models for ECD provision in the country. Further, key informant interviews also show that there are gaps in terms of ECE instructor competencies leading to low quality of services provided and consequently children being less prepared for school entry. The share of education within the national budget has shown a declining trend over
the last six years from 18.8 percent in 2003/04 to 14.6 percent budgeted for 2012/13; while
the share of infrastructure, public administration, and security have increased to meet urgent
infrastructure shortcomings. Overall, the public investment in education in Uganda in 2012/13
was 2.7 percent of GDP, which places the country as one of the ten countries in Africa that invest
the least of public funds in education. Further, competing priorities within the education sector
including scaling up of secondary and tertiary education has led to a decline in per capita
investment into primary education in real terms. The Government has committed to maintain the
budget share going to education during the coming three years as a minimum.
The development partners support the ESSP and coordination is effective. The Local
Education Group (LEG) includes UN-agencies, such as UNICEF (current lead partner), UNESCO, ILO and UNFPA; multilateral partners, such as the AfDB, European Union and the World Bank; and bilateral partners, such as the Belgium Embassy and Technical Cooperation, Irish Aid (outgoing lead partner), Japanese Cooperation (JICA) and USAID. The proposed Global Partnership for Education (GPE) financed operation will build upon and scale-up existing and evaluated donor-financed programs and be designed and implemented in a coordinated manner. Annex 7 presents the most recent mapping of development partners support to primary and pre-primary. C. RATIONALE FOR THE PROJECT
Education is central for ending extreme poverty and boosting shared prosperity. In addition to the financing provided (US$100 million), this project and the World Bank will bring value-added to improve primary education in Uganda through technical expertise, implementation support, and global knowledge from a large number of similar support operations within primary education. The World Bank, with the financial help of GPE, has equally invested in analytical work using the World Bank's System Assessment and Benchmarking for Education Results (SABER) with tailored recommendations for the Ugandan system, which this project will help implement. This value-added is reflected in the innovative results-based financing model and the shift in focus from education inputs to improvements in the education system underlying this project. Secondly, this project is part of four on-going or planned projects in education, which yields substantial economies of scale within technical assistance, implementation support, and monitoring. For example, this project benefits from experiences from another project for substantially improved instructional material procurement and civil work contracting process. Lastly, the project has synergies with other World Bank projects for public service delivery, such as the Poverty Reduction Support Credits, the Public Service Performance Enhancement and the Local Government Management and Services Delivery Project. D. HIGHER LEVEL OBJECTIVES TO WHICH THE PROJECT CONTRIBUTES
World Bank support to Government's program within education is contained in the
Uganda Country Assistance Strategy (CAS) of FY10/11-14/15 (Report No. 54187-UG)
Similar to the National Development Plan, the CAS focuses on human capital development,
together with infrastructure development, agriculture, as well as improving efficiency and value
for money in public spending. The proposed GPE support is thus consistent with CAS Strategic
Objective 3 – strengthening human capital development together with CAS outcome 3.1 –
improved access to and quality of primary and post primary education. Sector funding is
provided through World Bank supported projects including the recently closed Universal Post
Primary Education and Training (UPPET) Project phase I, and the UPPET phase II project and
the Skilling Uganda project that are currently under preparation.
Government of Uganda's Education Sector Strategic Plan (ESSP) 2007-2015,
updated in 2010, focuses comprehensively and candidly on the above sector challenges. The
key objective for primary education in the ESSP is improving the quality of primary education to
help ensure pupils' mastery of basic numeracy and literacy. To achieve this objective, the ESSP
emphasizes reducing high repetition rates in primary grades, teacher training and provision of
learning materials on the new thematic curriculum, and reducing teacher absence, while
recognizing the need for efficient interventions and improved monitoring and evaluation and accountability for meeting standards. This project is designed within the objectives and implemented through existing national programs in the ESSP so as to achieve ownership, sustainability and build capacity. The proposed project is also aligned with the World Bank's education strategy –
learning for all - which focuses on improving learning outcomes, early childhood
development, and building a high-quality knowledge base. The higher order objective of the
program is improvements in pupils' learning outcomes in literacy and numeracy for primary
education. However, a three year time horizon might not be sufficient to significantly impact
student performance in standardized tests. In light of this and in order to truly capture the
pathways of change, PDO indicators include measurable outcomes that are predictive of
education quality, particularly in relation to teachers. Student learning outcomes will also be
monitored throughout the program.
The project is built around the GPE priorities in terms of focus on teacher
effectiveness, early grade literacy and numeracy, enhancing aid effectiveness through a proposed result-based approach, and a focus on girls having access to a safe and supportive learning environment. PROJECT DEVELOPMENT OBJECTIVE(S)
The proposed Project Development Objective is to support the Government in
improving teacher and school effectiveness in the public primary education system.
B. PROJECT BENEFICIARIES
The project beneficiaries will be:
• An estimated 8,100,000 pupils will benefit from new textbooks, 1,000,000 from improved teacher effectiveness in early grade reading teaching, 112,000 from new class-rooms, and 80,000 from trained childhood caregivers. • Approximately 20,800 teachers in primary schools will benefit through training in teaching early grade reading, improved in-service tutoring, early childhood education, and school leadership. • 8,000 school management committee members and head teachers who will receive • Parents and communities with children in schools covered under the program who will indirectly benefit from higher quality education, greater information and enhanced voice in school management. • Staff in the Ministry of Education and Sports as well as district staff managing teachers and education service delivery who will receive training. 23. The targeting of the project will be national for certain activities. For some activities, targeting will be confined to those districts that have weak performance indicators on learning outcomes. C. PDO LEVEL RESULTS INDICATORS
The PDO-level results indicators are provided in Table 1 with definitions in Annex 1.
Table 1: PDO-level results indicators
Outcome Indicator Latest available Number of teachers trained in early grade reading in local languages and English and at least two Early grade reading assessments Number-of-pupils-per-textbook in English and math for pupils in grades P1-P7 Percentage of teachers present in public schools in targeted districts Number of targeted schools with less than 3 permanent classrooms Note: baselines are from a national sample and not only from targeted schools/districts. PROJECT DESCRIPTION
This project is centered on improving education service delivery at the school and
classroom level to realize meaningful gains in student achievement in primary grades. It
comprises of the following three components: Component 1: ‘Effective Teachers', amounting to
US$31.4 million, focuses on improving teacher quality and performance, specifically related to
pedagogical approach for early reading, use of instructional material for teaching, and presence
in school. These dimensions are highly predictive of student achievement, and it is expected that
there are considerable margins for improvement; Component 2: ‘Effective Schools', amounting
to US$45.8 million, seeks to improve the overall school environment – in the form of enhanced
school management, accountability, and learning conditions including school facilities;
Component 3: ‘ Implementation Support and Capacity Building', amounting to US$14.9 million,
will finance monitoring and evaluation, implementation, and capacity-building support on the
level of the education system; and US$7.9 million under the unallocated category.
Taken as a whole, activities are formulated to yield comprehensive returns in the short term in terms of perceptible improvements in education service delivery. The focus on teacher effectiveness will be complemented by support to school effectiveness in order to most efficiently translate into improved education service delivery. In addition, the Project promotes well-performing sustainable institutions and administrative systems that would generate returns over the medium to long term. Targeting of the project activities will take place at two levels – National and District. Two types of activities will be targeted nationally: Activities that help strengthen the overall learning environment at the school level; and activities aimed at system improvements. Other activities will be targeted at the district level; primary in the 69 districts where less than half the pupils meet proficiency levels in literacy and numeracy at Primary 3 (NAPE 2011 data) will be the focus of the project's district level activities. A. PROJECT COMPONENTS
Component 1: Effective Teachers US$ 31.4 million
Under the project, teacher effectiveness will be promoted through implementing a program of actions designed to strengthen effectiveness of early grade literacy instruction at the classroom levels, including: (a) Improving teacher and instructor competencies (content, knowledge, skills and pedagogy) and practices for the delivery of the early grade numeracy and literacy primary school curriculum, targeting: (i) Primary teachers and instructors, through, inter alia: (A) scaling up the early grade reading program for primary grades 1-3. It will benefit approximately 1,000,000 pupils and 12,100 teachers and tutors; and (B) strengthening in-service teacher training, through: (aa) conducting a national assessment of progress in education among in-service teachers and graduate teacher trainees; and (bb) implementing activities designed to improve in-service tutors' performance, such as: scaling up of the certification for teacher education proficiency program for 400 tutors; development of a strategic plan for the rollout of a continuous assessment framework for teacher trainees; alignment of coordinating centers with administrative and primary teachers college zoning systems; and strengthening the capacities of coordinating centers; and (ii) Early childhood education ("ECE") providers and caregivers, through, inter alia: (A) rolling out of the community child care program targeting 4,000 in-service caregivers; and (B) preparation of ECE instructors' proficiency program. The expected results linked to disbursement are the numbers of Early Grade Reading (EGR) teachers trained, tutors certified, and ECE instructors trained (DLI 1). (b) Provision of an estimated 6.5 million pieces of instructional material, including: (i) instructional materials and teacher guides for said early grade reading program; (ii) literacy and numeracy instructional materials (including non-textbook materials for primary grades 1-3 and textbooks for primary grades 4-7), and teacher reference materials; (iii) copies of curricula and teacher guides for public and private schools; and (iv) brail and other learning materials for children with disabilities. The expected result linked to disbursement is the number of verified delivered pieces of instructional material (DLI 2). (c) Strengthening the capacity of the Directorate of Education Standards for teacher supervision with a view to enhancing accountability, in particular: (i) design, development and implementation (including related training) of an appropriate ICT-based teacher inspection reporting system; (ii) strengthening the capacities of district inspectors for carrying out school inspections; and (iii) scaling up of the associate assessor's school inspection model in selected districts. Inspections will be scaled up in 4,000 schools in approximately 30 districts. Districts will be randomly selected among the districts already participating in the early grade reading program and the 27 lowest performing districts as measured through the 2013 Primary Leaver Exams. The expected result linked to disbursement is numbers of schools inspected at least once per term with reports filed in the real-time system (DLI 3). Component 2: Effective Schools US$ 45.8 million
The above initiatives are designed to directly improve teacher performance. To provide a supportive enabling environment for these changes to take root, the project will also include a direct focus on school effectiveness by: (a) Carrying out of a program of activities designed to strengthen school governance, leadership, management and accountability, in particular: (i) implementation of a comprehensive training program targeting head-teachers; and (ii) strengthening the capacity and effectiveness of school management committees (SMC), all through the provision of training and acquisition of goods for the purpose. An expected 2,000 schools in an estimated 30 districts will receive training. These will be selected among the lowest performing 50 districts, excluding districts where other school management programs are being undertaken. The expected results linked to disbursement are the number of schools with trained head-teachers and SMCs (year 1) and the numbers of schools with information on usage of school funding publically displayed (year 2 and 3) (DLI 4). (b) Provision of Performance and Needs-based School Facility Grants to District Local Governments for implementation of Subprojects designed to enhance the quality of learning environments in priority schools. The sub-projects will finance construction of class-rooms, functioning girls and boys toilets, and access to water in the needy schools. Approximately 293 schools are targeted across the country. The expected results linked to disbursements are number of schools where procurement is concluded (year 1), construction is completed (year 2), and finished construction meets pre-defined quality standards (year 3) (DLI 5), and timely and accurate financial management information (DLI 6). Component 3: Implementation Support and Capacity Building US$14.9 million
This component will finance advisory, technical, and capacity-building activities, (a) Improving the enabling environment for provision of quality ECE, in particular: (i) carrying out of a comprehensive review of ECD policy and operational standards and developing an implementation plan; (ii) enhancing the capacities of staff at the national and district levels as well as centre management committees for implementation, supervision, monitoring and evaluation of the revised ECD policy; and (iii) dissemination of said revised ECD policy. (b) Developing and implementing an efficient ICT-based integrated school data management system so as to enhance monitoring and evaluation, accountability, transparency and planning at the local and national levels, all through the provision of technical advisory services, training, operating costs and acquisition of goods for the purpose. (c) Strengthening management of the teacher payroll system, implementation of the scheme of service and teacher management, all through the provision of technical advisory services, training, operating costs and acquisition of goods for the purpose. (d) Strengthening the capacity of MoES for day to day implementation, coordination and management of Project activities (including procurement, financial management, environmental and social safeguards, monitoring and evaluation, supervision and reporting aspects) and verification of results, all through the provision of technical advisory services, training, operating costs and acquisition of goods for the purpose. (e) Preparation of an education sector strategic plan. US$7.9 million remains as Unallocated. This funding is expected to be allocated to:
price contingencies, project activities for which the budget was downscaled during appraisal (improvements to the Scheme of Service for evaluation and promotion of teachers, training of caregivers for Early childhood education, ECD policy review, and Inspections), and well performing project activities, and/or unforeseen activities with a high impact on the Project Development Objective. Allocations would be made subject to detailed budget, work-plans and clear cost justification. B. PROJECT FINANCING
Lending Instrument
The proposed Operation will be financed through the Investment Project Financing
(IPF) instrument. Grant disbursements will be made against selected key education budget line
items referred to as Eligible Program Expenditures (EPEs), up to capped absolute amounts. The
event and amount of grant disbursements will be based on the achievement of pre-specified
results, referred to as disbursement-linked indicators (DLIs), determined in partnership with the
Ministry of Education and Sports (MoES). The project also includes a small technical assistance
(TA) component which finances capacity building activities and strengthens fiduciary, safeguard
and monitoring and evaluation systems.
The DLI approach within an Investment Project Financing instrument has been tried for over five years in the education sector with success. Experiences show that this results-based instrument increases focus on achieving results, strengthens the Government's own programs and project sustainability, which raises the development effectiveness of the support. The Program-for-Results (P4R) instrument was not pursued because it requires full assessment and reliance upon government fiduciary procedures, which the current governance situation suggests is not advisable. The proposed lending instrument allows for detailed fiduciary monitoring of key programs supported under the project, which is preferable. Project Cost and Financing
Table 2: Project Cost and Financing
Project Components
Project cost
IDA (GPE) Financing
% Financing
1. Teacher Effectiveness 2. School Effectiveness 3. Technical Assistance Total Costs
Total Financing Required
C. LESSONS LEARNT AND REFLECTED IN PROJECT DESIGN
The project design builds extensively upon lessons learnt given the emergent lessons
from impact evaluation of education projects in Africa and the rich set of evaluations from
Ugandan education projects:
(a) Lessons from a large number of education projects in Africa indicate a need to simplify project design and include only a limited number of activities into the project in order to achieve the full implementation with the prevailing capacity; (b) Lessons from other GPE and primary education projects and analytical work question the impact on learning from more educational inputs, such as classrooms, without enhancing the effectiveness with which these inputs are being used. Therefore, classrooms are constructed in needy schools where teachers, the head teacher, and the School Management Committee already demonstrate an acceptable level of efforts and functioning; (c) Prior results-based financing projects demonstrate that focus on results increases substantially during design and implementation when disbursements are linked to results; (d) On construction of schools and textbook procurement, the project in particular builds upon the experiences from the Uganda Post Primary Education and Training (UPPET), which indicates that the local governments have more fiduciary capacity than the school management. Also, the use of revised textbook procurement procedures and standardized bidding documents lowered the cost by more than half. Further, the UPPET experiences indicate the need to strengthen overall project coordination and construction oversight in the MoES. Therefore, school construction will be managed by the local governments with additional capacity at the central level for supervision, and textbooks will be procured using international best practice procedures; (e) Experiences from the Quality Enhancement Initiatives in the 12 lowest performing districts in Uganda which were financed by several development partners from 2009 to 2012 suggest that a combination of more educational inputs and improved accountability of teachers and school can yield substantial increases in key indicators. Lessons from this project and other education projects in Uganda also point to the importance of consistently involving all stakeholders, including the District Education Officer (DEO) and the Chief Administrative Officer (CAO), in order to generate a focus and understanding for change; and (f) Rigorous research has also been leveraged for designing specific project activities. For example, empirical evidence shows that mere public provision of instructional material – even when they reach the schools – leads to unpredictable effects on learning outcomes. This could be due to several reasons including: (i) ineffective because of their inherent (low) quality or the inability of teachers to use them, (ii) public textbooks provision 10 Hanushek, E., and J. A. Luque (2003): "Efficiency and Equity in Schools around the World", Economics of Education Review, 20, 481-502; Kremer, M.and A. Holla (2009). "Improving Education in the Developing World: What Have We Learned from Randomized Evaluation", Annual Reviews of Economics, I (19); Glewwe, P. (2002). "Schools and Skills in Developing Countries: Education Policies and Socioeconomic Outcomes", Journal of Economic Literature, 40, 436-482; Kreuger, A. (2003): "Economic Considerations and Class Size", Economic Journal, 113, 34-63. 11 This was the case in a randomized IE in Kenya where textbooks were written in English although this is only the third language for most students (Glewwe, P., M. Kremer, and S. Moulin. (2008). "Many Children Left Behind? Textbooks and Test Scores in Kenya", American Economic Journal: Applied Economics.1(1), pp. 112-135. could crowd-out households' own contribution and consequently not affect the overall availability, (iii) textbooks could simply be sub-optimally utilized.It was thus decided that, to maximize effective use, distribution of instructional material will be accompanied by public information on schedule delivery, and monitoring of actual textbook access and use on the part of pupils. A. INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS
Project implementation will be mainstreamed in the Ministry of Education and
Sports (MoES) using existing institutional establishments. The overall responsibility for
project implementation lies with the Permanent Secretary, with day to day implementation under
the aegis of the Department of Education Planning. The MoES shall maintain a fully operational
implementation team, with functions and responsibilities agreed with the World Bank, including,
inter alia, the responsibility to coordinate and monitor the carrying out of the Project. The
implementation team shall: (i) at all times during Project implementation, be led by a Project
Coordinator and a Deputy Project Coordinator that are assisted by focal points for each project
activity from the relevant MoES units and from other relevant Ministries as well as adequate
professional and administrative staff (including procurement, financial management, and civil
work specialists) operating under terms of reference satisfactory to the World Bank; and (ii) not
be frequently replaced during implementation. Relevant units under the MoES will be
responsible for specific project sub-components consistent with the statutory provisions that
prescribe their mandates, notably:
The Teacher and Instructor Education Training department will have the overall responsibility for the teacher training and improved teacher support using the recently piloted model by MoES and supported by USAID. USAID will finance technical assistance for this scale-up, through the School Health and Reading Program (SHRP) implemented by the Research Triangle Institute (RTI). The Pre-primary and Primary department will: Implement the instructional material procurement and distribution sub-component. Implement the School Management and head-teacher training building upon delivery models by development partners and civil society. Coordinate, support and monitor- through the Construction Management Unit - the implementation of the School Facility Grant, which will be implemented jointly by the District Education Office and the School Management Committee. 12 Such phenomenon was reported in Zambia and India in the case of school grants (Das, J. et al. (2010) "School Inputs, Household Substitution, and Test Scores", NBER Working Paper no. 16830). 13 It is argued, in the context of a randomized evaluation in Sierra Leone (S. Sabarwal, D. Evans, A. Marshak (2012), "Textbook Provision and Student Outcomes: The Devil in the Details", World Bank draft report), that the absence of impacts on student performance is a consequence of a large majority of the books being stored by school administrators, instead of being distributed to students. This behavior on the part of school administrator is shown to be partly due to smoothing behavior in the face of high uncertainty (future distribution) regarding Government policies and programs. Carry out the policy review, policy studies, and evaluation of the Early Childhood Education activities under Component 3. Specifically, this will be the role of the Pre-primary unit. The Directorate of Education Standards (DES) will guide and coordinate the scaling up of the inspectorate, which will primarily be undertaken by the District Inspectorate of Standards (DIS). DES will also be responsible for the integrated ICT real-time school reporting, targeted beneficiary feedback, enhanced teacher supervision and inventory management system. Local governments will implement the school grants, teacher motivation, and the
scaled-up inspections in line with the decentralized education service delivery. As noted
above, the Ministry of Education and, for the teacher motivation part, the Ministry of Public
Service (MoPs) will remain with the overall oversight and guidance. Adherence to the existing
implementation guidelines by the local governments will be strictly monitored. These include the
School Facility Grant (SFG) guidelines and the procedures for the implementation of the Scheme
of Service.
34.
The Local Education Group (LEG) comprised of development partners and civil society
organizations serves as an advisory and coordinating group as per the GPE institutional arrangements. Further, the LEG will monitor the Government's commitment to at least maintain the share of the budget going to education in the coming 3 years. 35. Assessments undertaken in the course of project design indicate a need to strengthen
the capacity of key units of the MoES. These include: the Planning department which will
coordinate the project, Procurement and Disposal Unit (PDU), Finance and Administration
(F&A) as well as the Construction Management Unit (CMU) for timely and quality execution of
project activities. Further, effort to strengthen capacity of respective local governments to
execute their tasks will be undertaken. This is financed under Component 3. More detailed
implementation arrangements and capacity assessments are described in Annex 3, while Annex 5
presents the planned implementation support from the World Bank.
B. RESULTS MONITORING AND EVALUATION
There are four general monitoring systems that will yield information on PDO,
intermediate, and higher-order indicators. These systems are:
Student and teacher assessments of pupils in Grades P3 and P6 in English and local language literacy and Mathematics conducted by UNEB. Further, UNEB will carry out two Early Grade Reading Assessments. Results from these assessments will provide data on the higher order objective of the project – improvements in student learning outcomes; Data from school inspections which capture information in a standardized questionnaire on teacher, head-teacher, and student presence, teaching practices, school management and administration. This information will be used for improvement and accountability purposes at the district level. Frequency of inspections and provision of real-time inspection data to DEOs, schools, and other stakeholders is being facilitated under the project, in part through ICT-based platforms using smart phones for data collection, improving workflows of staff and creating automated reporting for quantitative information. These data will feed directly into the project M&E and provide information on several intermediate indicators. Data from an Integrated ICT real-time reporting system and the EMIS. The Integrated ICT system will be comprised of individual software components that will either be scaled up from existent pilots or new pieces of software. Pilots to be scaled up include EduTrac which collects real-time school-level data directly from head-teachers, teachers, and SMC members and U-Report which collects data from project beneficiaries. New software will strengthen the DIS and create an electronic inventory system. These data sources will complement the EMIS data which has traditionally been collected in Uganda through an annual school census. This scaled-up data collection system will also be used as a source of M&E information for the project. Data from unannounced school visits collected as a part of project-specific monitoring. These school visits will gather information for teacher effectiveness indicators through classroom-observations, and will serve as the source of information on subprogram implementation progress and performance monitoring indicators, including relevant DLIs. Component 3 includes support for this. In order to broaden program impact and at the same time build-in credible evaluation and learning opportunities for future programs and policy design, non-national activities will be implemented in an estimated 67 targeted districts, see technical appraisal section for more information. This will allow for a rigorous measurement of the relative cost - and development - effectiveness of different intervention combinations. Lastly, third-party assessments on a sample basis will be carried out to verify the achievement of the DLIs and satisfactory completion of large procurement contracts, notably textbooks and school construction. Annex 1 and Annex 3 have additional information on monitoring and evaluation for the project. C. SUSTAINABILITY
This GPE project supports the Universal Primary Education (UPE) program of Government that has been under implementation since 1997. The need to focus on teacher and school effectiveness for improved quality of education continues to dominate sector discourse, and is consistent with the Education Sector Strategic Plan (ESSP) 2007-2015. Program implementation has been mainstreamed into the work program of the respective departments and units of the MoES. This is likely to strengthen government systems and procedures (planning, budgeting, financial management, procurement and M&E), and therefore make changes sustainable. Fiscal sustainability is expected to be moderate given a relatively low share of the project financing will go to recurrent costs. However, this also depends upon the Government's ability to increase funding for primary education in the future. KEY RISKS AND MITIGATION MEASURES
A. RISK RATINGS SUMMARY TABLE
Risk Category
Stakeholder Risk
Implementing Agency Risk
Project Risk
- Social and Environmental - Program and Donor - Delivery Monitoring and Sustainability - Other: Financial Management - Other: Local Languages Overall Implementation Risk
B. OVERALL RISK RATING EXPLANATION
Governance challenges are substantial. In the recent past, some development grants
have been suspended from Uganda citing irregularities with the way the grant funds were being used. Further, the World Bank has experienced corruption in the education sector in Africa, including transfers to ghost teachers and transfers to schools diverted to government staff as well as irregularities in textbook and school construction contracts. To mitigate governance risks, including fraud and corruption that may be encountered during project implementation: (i) enhance transparency in the bidding process, notably by involving both district, school official as well as community members in the construction; (ii) revise and detail the national guidelines for the School Grant Facility, in particular around bidding and construction supervision; (iii) improve the procurement process and documents for procurement of instructional materials; (iv) use of third-party monitoring as well as unannounced school visits, (v) implementation of ICT solutions for reporting, notably for school inspections; (vi) provision of more information to all levels of the system (teachers, head-teachers, district officials and ministerial staff) in order to raise demand for accountability, and (vii) the technical assistance will include support to improve the timeliness and accuracy of the teacher payroll system. Annex 9 provides a broader discussion on the country and sector specific governance challenges and proposes activities to be implemented alongside the project. This also takes cognizance of the new strategic approach to improving governance as agreed upon in the CAS progress report, dated August 1, 2013. 41. Stakeholder risks are currently rated as moderate, but could increase due to a
potential teacher strike. A teacher strike over teacher welfare would have an adverse impact on
the sector and the project, not only in terms of the direct loss of instructional time, but also in
terms of the negative impact on trust within the education sector affecting teachers accountability
and motivation, which are two critical aspects that this project seeks to improve.
42.
Capacity to implement the project is a substantial risk. Project implementation will be
fully mainstreamed in the Ministry of Education and Sports (MoES) using existing units and their capacity. This provides for sustainability, but also results in extra workload for the existing staff. Further, there is a need for proper inter-ministerial coordination to ensure effective implementation of the project. The potential risks affecting the proper and well-coordinated implementation of the project will be mitigated through: (i) additional staff or consultants as deemed necessary, four departments have been identified; (ii) working with development partners to jointly provide implementation support to this project; (iii) reduce the number of project activities and keep project activities simple to reduce the capacity required; and (iv) scale-up existing programs and pilots. The risks related to delivery monitoring and sustainability are substantial because of
the challenge in monitoring delivery of education in a large number of primary schools and because of the risk to sustainability from recent fiscal constraints that have resulted in a decline in the budget share going to education in Uganda. The project will lower the risk of monitoring by strengthening the Government's monitoring system for example through scaled-up inspections, and combine it with project-specific monitoring activities, notably unannounced school visits and third party audits of textbook delivery and classroom construction as described in the section on M&E. Despite the commitment of the Government of Uganda to education, the share of education within the national budget has shown a declining trend over the last six years. A continued decrease in the budget allocation for the education sector could jeopardize the sustainability of the project activities, as these will to a moderate degree require continued financing. APPRAISAL SUMMARY
A. ECONOMIC AND FINANCIAL ANALYSIS
Economic Analysis. A cost-benefit (CB) analysis of the project is conducted using the
present discounted value (PDV) method. The project interventions around teacher and school effectiveness are expected to improve primary completion rates. Accordingly, current and future economic benefits and costs are formulated in terms of increased primary school completion rates (from 67 percent to 90 percent). In line with the standard practice in CB analyses of education investments, the economic benefits are estimated by using lifetime adult labor earnings while the economic costs are estimated using schooling expenditures. Based on these assumptions, the project is viable on economic grounds with an estimated Net Present Value (NPV) of US$ 106.1 million with a corresponding internal rate of return (IRR) of 27 percent. The corresponding benefit cost ratio is 4.3. The relatively high benefit cost ratio is predominantly explained by the wide gap in economic returns between primary school graduates and those who do not complete primary school cycle. Projected economic returns are expected to represent a lower bound, given externalities associated with improving quality of primary education are not taken into account. Likely important social benefits from the project include increased participation in public life, potential reductions in risky behaviour, inter-generational effects not considered in individual returns, and peer and neighbour effects in learning outcomes. Financial Analysis: Actual MoES education spending in 2011-12 was 1,332 billion
Ugandan shillings of which about 47 percent was spent on primary education. Hence, the per year project budget translates into 5.5 percent of total MoES budget on primary education. Maintaining project activities beyond the life of the project is expected to increase annual recurrent costs by approximately US$ 6 million (based on high assumed rates of depreciation for 14 For a discussion of such effects in the context of other African countries refer to (respectively) della Porta (2000), Agüero and Bharawadj (2011), Nimubona and Vencatachellum (2007) and Duflo et al. (2011). textbooks and motorbikes for inspections). This comes to about 1 percent of the MoES current yearly spending. This increase in recurrent cost is absorbable provided Government commitment to primary education is sustained beyond the life of the project, and projected economic growth is realized. However beyond the project lifetime, the projected growth in the student population will continue to increase demand for classrooms, new teacher hires, and instructional material, which will again require policy choices and renewed financial commitments to education. B. TECHNICAL
The project's technical design is informed by multiple data sources (EMIS, UNEB student testing data, DHS survey, school-level data collected as a part of background diagnostics); a considerable body of Uganda-specific research and analyses on primary education; and international evidence. The design was influenced by a key technical consideration – focus on improving student learning outcomes through improved service delivery combined with increased inputs. The identified levers for change for service delivery are strengthened incentive and accountability mechanisms for teachers and head-teachers, combined with increased competences within areas of shortcomings such as early grade literacy instruction and knowledge of the curriculum. This choice has been informed by both the identified gaps in education service delivery in Uganda and international empirical evidence. Hence, the links between the development outcomes and the service delivery improvements (i.e., DLIs) are based on plausible ceteris-paribus predictions that are in line with the latest research and development discourse. Targeting: Targeting of the project will take place at two levels – National and District.
• National level targeting for activities that help strengthen the overall learning environment at the school level (instructional material and school facilities); and for activities that are aimed at system improvements (teacher inspections systems and improvement in teacher payroll system). • District level targeting will be done given the limited resource envelope and capacity. At this level, the targeting approach is to focus on areas that currently exhibit poor outcomes on early grade literacy and numeracy as measured through the PLE 2013 exam or the NAPE 2011 student assessment. The specific targeting is: (i) Teacher training on early grade literacy will be targeted to 24 of these 69 districts. These 24 districts are those that meet local language requirements for scale-up of the early grade literacy model. (ii) Enhanced inspection will be implemented in 4,000 schools from around 57 districts randomly selected from the 30 districts participating in the early grade literacy and from among the 69 lowest performing districts at the NAPE 2011 assessment. (iii) SMC and head-teacher training will be implemented in 2,000 schools from around 30 districts randomly selected from a pool of 50 lowest performing districts at the PLE 2013 exam, excluding districts where other projects are training in school leadership. Note that there will be overlap between (i), (ii) and (iii). Which district gets which package will be determined through a process of random selection. This strategy allows for credible 15 Note that teacher training will also be scaled up in 6 additional districts which are not included in the 69 districts described above. evaluation and learning opportunities within the project. Specifically, it allows for measurement of the relative cost-effectiveness of enhanced inspections, enhanced teacher professional management, and scaled-up teacher training in improving student outcomes, and combinations thereof. C. FINANCIAL MANAGEMENT
51. Financial management capacity. The Permanent Secretary of the MoES will be the
overall accounting officer, while the day-to-day accounting functions will be undertaken by the
Accounts section headed by the Assistant Commissioner. An assessment of the financial
management arrangements including guidelines and procedures has been undertaken to identify
existing capacity gaps and how best they could be addressed to ensure quality and efficient
project implementation. In addition, capacity of district level management teams for the schools
construction has been reviewed to enable efficient management of the school level grants and
district level inspections. The already established system funds disbursement mechanism to
districts will be utilized, and a financial tracking system of all disbursements will also be
instituted for timely reporting. At the district level, a separate project account will be used.
Further, timely and accurate financial management reporting from the districts to the national
government is a disbursement result. For audits, Ministry and LG internal auditors will be relied
on in their work regarding internal control reviews while external financial audits and value for
money audits will be carried out by the Supreme Audit Institution – Office of the Auditor
General (OAG) as mandated by the law. A number of financial management risks exist, which
are described along with mitigation actions in the detailed FM assessment in Annex 3 and in the
risk analysis in Annex 4. Overall the financial management risk is substantial after mitigation
measures.
52. Disbursement of project funds will be a function of achievement of a set of indicators
for Component 1 and 2. These Disbursement-Linked Indicators (DLIs) are presented in Annex
1c. They have been finalized based on the following criteria: (i) to the extent possible, the
selected DLIs reflect the priority elements in the ESSP for the project interventions; (ii) they
include intermediate results, implementation performance targets that build incrementally over
the life of the Project to improve education service delivery, and (iii) they capture results that are
critical to achieving the Project‘s development outcomes. The DLIs are independent of each
other from a disbursement point of view. Disbursement for Component 3 will be based upon
expenditures. Under Component 1 and 2, the World Bank's indicator–linked disbursements will
be against selected parts of the project's budget of eligible activities. These expenditures are
clearly identifiable in GoU financial management information system and are referred to as
Eligible Program Expenditures (EPEs). The Eligible Program Expenditures consist of the major
project activities, notably expenditures for school construction and textbooks, which constitute
the largest activities and the areas of substantial fiduciary risk. Further, salaries to teachers are
part of the EPEs.
D. PROCUREMENT
53. The procurable Eligible Expenditures are: Instructional Materials (US$14.8 million), the School Facilities (US$43.8 million). Further there are procurable items within the Implementation Support and Capacity Building component (US$14.9 million). Procurement of these eligible expenditures and within the TA component shall follow the World Bank guidelines: Guidelines: Selection and Employment of Consultants under IBRD Loans and IDA Credits and Grants by World Bank Borrowers" published by the World Bank in January 2011; Guidelines: Procurement of Goods, Works and Non-consulting Services under IBRD Loans and IDA Credits and Grants by World Bank Borrowers" published by the World Bank in January 2011; Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants", dated October 15, 2006 and updated January 2011. Other procurements for smaller project activities shall be conducted in accordance with the Government of Uganda procurement procedures. At Central Government level, procurement shall be conducted by the Ministry of Education and Sports. In order to strengthen Ministry capacity, a Procurement Specialist shall be hired to conduct procurement under the project. The Ministry shall be responsible for hiring of the technical assistance and procurement of instructional materials. For the School Facilities, Procurement and Contract management shall be the responsibility of the individual beneficiary districts. The district capacity shall be strengthened by: (i) developing standard bidding documents; (ii) hiring of additional engineers to supervise construction, and (iii) involving the School Management Committee in the construction supervision. Revised SFG guidelines have been prepared, and the beneficiary districts once selected shall be sensitized on these revised guidelines. The detailed description and process is provided in Annex 2 under the detailed description of sub-component 2.2. The overall risk for procurement is high with a residual risk of Substantial after implementation of mitigation measures. The key risks to procurement are: (i) major delays in procurement due to lack of adequate staff with appropriate experience in procurement in both the procurement and technical departments; (ii) weak interdepartmental coordination which exacerbates these delays; (iii) weaknesses on contract administration resulting in cost escalations, delayed or incomplete deliveries and substandard deliveries, (iv) corruption and irregularities in contracting and contracts management; (v) high costs as a result of delays in payments to providers; and (vi) inadequate review and oversight. These will be mitigated through: (i) hiring additional staff in the procurement and technical departments prior to project effectiveness; (ii) training in procurement and contract administration; (iii) establishing a contract management and reporting system including independent verification of quality, timeliness and completeness of delivery; (iv) regular Internal Audit of procurement processing and contract administration to assess adherence to agreed business standard and timely remedial action; and (v) requiring of transparency in reporting of beneficiaries and progress through posting on the web. E. SOCIAL (INCLUDING SAFEGUARDS)
The project triggers OP 4.12, Involuntary Resettlement due to the potential need for
resettlement for site specific civil works of basic school facilities envisaged to include: (i) construction of 3 – 7 classrooms, with an average of 1 – 2 classroom blocks; (ii) construction of two 5-stance pit latrines in each selected school. The number of schools to benefit is not expected be more than 300. The specific sites will be determined prior to project effectiveness based on performance based selection criteria drawing from a list of 962 schools that do not meet the basic minimum infrastructure standards for quality education, the majority of which are rural based. Through the school facility grant program, the project will support an undertaking of low scale and limited civil works to existing public primary schools. However, there may be limited possibilities of displacement of land and land use. The School Facility Grant program will only be available to schools where land ownership and an absence of displacement issues have been
verified. This seeks to reduce and avert possible conflicts in selected priority beneficiary schools.
The Resettlement Policy Framework (RPF) from the on-going WB-supported UPPET project
was reviewed, lessons incorporated and adopted to guide the implementation of this project. The
RPF prepared was disclosed in the World Bank InfoShop on September 5, 2013, and in country
on September 16, 2013. The RPF specifies the process of preparing, reviewing, approving and
implementing the subsequent Resettlement Action Plans (RAPs) before relevant civil works are
initiated. Should resettlement issues be identified, appropriate RAPs will be prepared in
consultation with the affected individuals and communities to address specific impacts, proposed
mitigation measures and compensation issues. Preparation and implementation of the RAPs will
be based on the laws of Uganda and the World Bank policy on Involuntary Resettlement (OP/BP
4.12). Other social impacts will be addressed through the environmental and social management
framework (ESMF).
The project triggers the social safeguard policy OP 4.10 Indigenous Peoples. The
project is covering areas inhabited by the Ik in Kaabong District in Karamoja region and Batwa
in four districts in South Western Uganda; namely Kasese, Kisoro, Bundibugyo and Kanungu. A
social assessment (SA) confirmed the existence of the Indigenous People (IPs) in all these 5
districts, with 20 priority identified schools (Kaabong 2, Kasese, 2, Kisoro, Bundibugyo and
Kanungu 16). An Indigenous People Planning Framework (IPPF) to address the issues of IPs
was prepared, consulted upon and was disclosed in the World Bank InfoShop on September 5,
2013, and in country on September 16, 2013. The IPPF sets out the measures that the
Government will use to ensure the IPs will receive culturally appropriate social benefits and any
adverse effects are avoided, minimized, mitigated or/and are integrated in the project.
Community empowerment tools will be specifically tailored to reach and impact the IPs in line
with the action plans defined.
F. ENVIRONMENT (INCLUDING SAFEGUARDS)
Environmental Assessment OP/BP 4.01 is triggered because the project will support
civil works activities with a potential to generate localized, site-specific environmental impacts. The project will take place in selected public primary schools, where construction of classrooms and sanitation facilities will be done. During construction, the generic impacts may include, among others, dust and noise pollution, occupational safety of workers and the nearby members of the public, and construction waste management. In order to comprehensively address and guide implementation of environmental and social aspects of the project, an Environmental and Social Management Framework (ESMF) was prepared. The preparation of the ESMF was largely consultative involving stakeholders at various national consultations, see Annex 6. The ESMF was disclosed in the World Bank InfoShop on September 5, 2013, and in country on September 16, 2013. The ESMF provides the environmental screening process to be followed during project development, a framework for development of Environmental and Social Management Plans (ESMPs) where necessary, including monitoring and reporting formats. A grievance handling mechanism has been provided in the ESMF and this will be included in the Project Implementation Manual. Upon confirmation of the project locations, the sub projects will be grouped by district and respective sets of environmental and social impact assessments (ESIA) prepared by the Government. Simple ESMPs will be developed to guide site implementation of mitigation measures. All the structures to be constructed and/or rehabilitated shall follow standard construction norms, including gender and disability requirements. At the MoES, an Engineer in the CMU has been assigned to oversee implementation of environmental aspects. The safeguards capacity of the MoES is recommended to be reinforced through involvement of the respective District Environment Officers, District Engineers and District Community Development Officers, who will specifically undertake environmental screening and participate in the development and implementation of the EMPs, including reporting. This however, calls for very good coordination and involvement of the District Officers. In addition, the CMU will be technically supported by an Environmental Consultant who will be hired on a retainer basis to ensure implementation of the ESMF requirements. The policy on Physical Cultural Resources OP/BP 4.11 is triggered because the project
will support investments in civil works and may affect Physical Cultural Resources during earthworks and associated excavations. A chance finds procedure has been included in the ESMF to take care of management of any Physical Cultural Resources that may be found. The respective ESIAs that may be undertaken will include site specific Physical Cultural Resources investigation, assessment and management. G. OTHER SAFEGUARDS POLICIES TRIGGERED (IF REQUIRED)
Not applicable.
Annex 1a: Results Framework and Monitoring
Country: Uganda
Project Name: Uganda Teacher and School Effectiveness Project (P133780)
Results Framework
Project Development Objectives
The proposed Project Development Objective is to support the Government in improving teacher and school effectiveness in the public primary education system. Project Development Objective Indicators
Cumulative Target Values Responsibility for Frequenc Methodolo Data Collection Number of teachers trained in early MoES through Basic grade reading in local languages and Administr Education Department English with at least two Early grade ative data and Independent reading assessments Number-of-pupils-per-textbook in ced visits MoES through M&E and English and math for pupils in grades P1- Independent Verification Number of targeted schools with less MoES through CMU and than 3 permanent classrooms Independent Verification Percentage of teachers present in public MoES through M&E schools in targeted districts Intermediate Results Indicators
Cumulative Target Values Responsibility for Frequenc Methodolo Data Collection Direct project beneficiaries Female beneficiaries Type Supplemental MoES through Basic Number of Certification for Teacher Administr Education and Education Proficiency (C-TEP) ative data Independent Percentage of schools in targeted districts MoES through IMU provided with standard kit of instructional material for grades P1-P3 or P1-P7 as a part of project interventions Number of schools in targeted districts MoES through DES for which at least two school inspection reports have been filed per year MoES through Basic Number of schools in targeted districts Education Unit in where SMCs and Head-teachers have received training as a part of project Number of schools in targeted districts M&E unit in the MoES where information on UPE grants is made publicly available to the Number of targeted schools with SMC approved School Improvement Plans on school facility grant under the project Number of additional classrooms built or MoES through CMU and rehabilitated at the primary level Independent Verification resulting from project interventions. No. of focal points, Center Management Committees, and District Education Officers in targeted districts trained on informant M&E unit in the MoES the draft education sector ECD policy Draft ECE Policy developed Payroll system Technical Assistance Draft ESSP prepared Learning Assessments under the projects (Early Grade Reading Assessments and MoES through UNEP NAPE Grade 3 and 6) Higher level objective indicators tracked during project implementation:

NAPE Grade 3 Literacy NAPE Grade 3 Numeracy NAPE Grade 6 Literacy NAPE Grade 6 Numeracy Primary completion rate (UIS definition) Note: no targets are set for the higher level objectives given that these objectives are influenced in a substantial ways by factors outside the scope of the project. Definition for the primary completion rate: Total number of new entrants in the last grade of primary education, regardless of age, expressed as a percentage of the population at the official entrance age to the last grade of primary. This indicator, known as Gross Intake Rate to the Last Grade of Primary Education, is a proxy measure of primary completion rate. Source of primary completion rate is GPE secretariat and UNEB for NAPE results. Annex 1b: Results Framework and Monitoring
Country: Uganda
Project Name: Uganda Teacher and School Effectiveness Project (P133780)
Results Framework
Project Development Objective Indicators
Description (indicator definition etc.) 1. Number of teachers trained in early grade Number of teachers for grades P1-P3 in targeted districts trained as a part of project interventions reading in local languages and English and at [ALSO A DLI]. To fulfill this indicator, the teacher training has to been accompanied by at least least two early grade reading assessments two early grade reading assessments. 2. Number-of-pupils-per-textbook ratio in Percentage of pupils, grades P1-P7, in targeted districts found using textbooks during English, and math for pupils in grades P1-P7 unannounced visits to the school. Data collected through Classroom observation in randomly-selected, statistically representative (at the district level) sub-sample of schools in targeted districts 3. Number of targeted schools with less than 3 Number of targeted schools with less than 3 permanent classrooms. The definition of a permanent permanent classrooms classroom is included in the Operational Manual. 4. Percentage of teachers present in public Percentage of full-time teachers present in public schools in targeted districts during schools in targeted districts unannounced visits. At the time of the unannounced visit of the enumerator, the location of all the full-time teachers of the school will be verified and the percentage of full-time teachers found to be present in the school at the time of the visit will be reported. Data collected through randomly-selected, statistically representative (at the district level) sub-sample of schools in targeted districts. Intermediate Results Indicators
Description (indicator definition etc.) IRI 1. Direct project beneficiaries Direct beneficiaries are two categories: (i) Pupils benefiting which is calculated as the sum of the number of pupils benefiting from new textbooks (estimated conservatively at 8 million as the expected number of English textbooks grade 4-7 (2,700,000) times the expected textbook-pupil ratio (3)); pupils receiving improved teaching of early grade reading (12,100 trained teachers times an assumed 85 pupils per teacher); 40,000 children in early childhood centers (4,000 caregivers trained times 10 children per caregiver), and 112,000 pupils benefiting from new classrooms and toilets (280 new schools times 400 per school); (ii) 20,800 teacher being trained in early grade reading technics (12,100 teachers), the certificate of teacher education proficiency (700 teachers and tutors), early childhood education (4,000 caregivers), and school leadership (2,000 head teachers and 2,000 deputy head teachers) Supplemental Value: Female beneficiaries (percentage). IRI 2. Female beneficiaries Based upon enrolment data 50 percent of pupils are girls and 40 percent of teachers are females. IRI 3 Number of Certifications for Teacher Number of issued certifications for Teacher Education Proficiency (C-TEP) Education Proficiency (C-TEP) IRI 4. Percentage of schools in targeted Number of schools in targeted districts provided with standard kit of instructional material for districts provided with standard kit of grades P1-P4 as a part of project interventions. [ALSO A DLI] instructional material for grades P1-P4 or P1-P7 as a part of project interventions IRI 5. Number of schools in targeted districts Number of schools in targeted districts for which at least two school inspection reports have been for which at least two school inspection filed per year. Filed inspection reports must imply data from reports is available in the DES reports have been filed per year central database [ALSO A DLI] IRI 6. Number of schools in targeted districts Number of schools in targeted districts where SMCs and Head-teachers have received training as where SMCs and Head-teachers have received a part of project interventions training as a part of project interventions IRI 7. Number of schools in targeted districts Number of schools in targeted districts where information on UPE grants (receipts and where information on UPE grants is made expenditure) is made publicly available to the community. 'Publicly available' is defined as publicly available to the community information displayed/reported in a way that is easily accessible to the general public. This does not include information displayed within the offices of school administrators. Data collected through school visits undertaken in randomly-selected, statistically representative (at the district level) sub-sample of schools in targeted districts. IRI 8. Number of targeted schools with SMC Number of targeted schools with SMC approved SIPs on school facility grant under the project approved School Improvement Plans (SIPs) on school facility grant under the project IRI 9. Number of additional classrooms built This indicator measures the number of additional classrooms constructed or rehabilitated at the or rehabilitated at the primary level resulting primary level through the World Bank-funded program. In most cases, it is expected that the from project interventions. baseline value for this indicator will be zero (‘0'). The baseline might not be zero, for example, for an additional financing IL operation. This indicator will be used to calculate the "decline in shortfall of classrooms at the primary level". TTLs should report on the progress of this indicator only if it is relevant to the project, that is, if the project aims to reduce the shortfall of classrooms at the primary level. Please visit the EdStats database to view the shortfall of classrooms at the primary level by country. IRI 10. No. of focal points, Center No. of focal points, CMCs, and District Education Officers in targeted districts trained on the Management Committees, and District reviewed education sector ECD policy Education Officers in targeted districts consulted or trained on the draft ECE policy IRI 11 Draft ECE Policy developed The draft ECE Policy has been developed, consulted with stakeholder, and shared with the LEG, including the World Bank. IRI 12. Pay-roll system Technical Assistance A consultant report meeting the ToRs have completed and shared within the government and with IRI 13. Draft ESSP prepared A draft ESSP has been prepared and shared with the LEG for comments. IRI 14. Learning Assessments under the Summary reports of the learning assessments have been released publicly. projects (Early Grade Reading Assessments and NAPE Grade 3 and 6) Annex 1c: Disbursement Linked Indicators for Financing Agreement

Disbursement Linked
Action to be Completed
Amount of the
Amount Allocated
Indicator ("DLI")
(Disbursement Linked Result ("DLR")
Financing
per DLR for the
Allocated
Calculation
(expressed in
(expressed in US$)
DLI 1: Enhanced
DLR 1.1: Terms of reference for training firm
DLR 1.1: 1,500,000 effectiveness of early developed for C-TEP, and training content and grade instruction plan finalized for early grade reading and ECD through provision of DLR 1.2: 1,500,000 training to in-service DLR 1.2: Training firm contract awarded for C-
TEP, training materials procured for early grade reading and ECD care givers. which US$637 per DLR 1.3: In-service teachers (early grade
teacher trained) reading and C-TEP), ECD care givers trained and names published on MoES website. DLI 2: Provision of
DLR 2.1: Invitation for bids for the first cycle
DLR 2.1: 500,000 instructional materials for instructional materials issued to bidders for literacy and following issuance of no-objection. numeracy on the new thematic primary DLR 2.2: Procurement contracts for instruction
DLR 2.2: 500,000 materials concluded and signed. DLR 2.3: Delivery of textbooks and any
additional items such as storage boxes published which US$2.12 per textbook delivered) DLI 3: Enhanced
DLR 3.1: ICT system designed.
DLR 3.1: 1,000,000 effectiveness and DLR 3.2: Schools in targeted districts inspected
DLR 3.2: 1,900,000 and reports filed in the system and published (of which US$475 online for the previous term. per report filed in DLI 4: Strengthening
DLR 4.1: Term of reference for consulting firm
DLR 4.1: 250,000 the capacity of head- developed and approved. teachers and SMCs and stakeholders. DLR 4.2: Contracts of training providers
DLR 4.2: 250,000 signed; training content and beneficiary school list agreed and published online; and MoES, LGs, and schools informed and list published DLR 4.3: 1,500,000 DLR 4.3: Schools with head teachers and SMCs
(of which US$750 trained; and information on universal primary education grants (revenue and expenditures) publically displayed at school. Disbursement Linked
Action to be Completed
Amount of the
Amount Allocated
Indicator ("DLI")
(Disbursement Linked Result ("DLR")
Financing
per DLR for the
Allocated
Calculation
(expressed in
(expressed in US$)
DLI 5: Provision of
DLR 5.1: Schools identified and communicated
DLR 5.1: 2,000,000 to LGs and regional workshops carried out. Need-based School Facility Grants to help DLR 5.2: Pre-construction site visits carried out
DLR 5.2: 4,080,000 meet prioritized basic to confirm ground conditions and site layout, all input standards at the contractors procured and awarded. 14,571 per school with a contractor DLR 5.3: Schools with construction progress
certified and reported online. 34,680,000 (of which: US$51,000 per school when construction reaches 30% completion; an additional US$ 29,143 per school when construction reaches 70% and 90% completion; and an additional US$14,571 per school when construction reaches 100% completion) DLR 6: Adequate quarterly financial reports,
Strengthened financial including reporting on SFG and inspection, (of which US$5,714 published online for the last two fiscal quarters per district financial timely reporting by participating districts within 61 days after each quarter ends. Annex 1d: Detailed Disbursement Linked Indicators: Planned disbursement and targets over time
31-Dec-14
30-Jun-15
31-Dec-15
30-Jun-16
31-Dec-16
30-Jun-17
31-Dec-17
Early grade teacher Disbursements are based on number of teachers trained for training firm contract Disbursements are based on number of ECD caregivers trained, assessed, and accredited ECD teacher trained Early grade
Disbursement is based on no. of C-TEP trained, assessed, & accredited literacy
training
Semi-Annual Targets completion DLI Unit Price per 1,500,000
1,500,000
13,700,000
l material
Disbursements are based on number of books distributed Semi-Annual Targets completion DLI Unit Price per 1,061,538
2,123,077
5,307,692
5,095,385
14,800,000
Inspections
Disbursements are based on no. of schools with filed inspection reports Semi-Annual Targets completion DLI unit price per 1,000,000
2,900,000
31-Dec-14
30-Jun-15
31-Dec-15
30-Jun-16
31-Dec-16
30-Jun-17
31-Dec-17
(1) Training providers Disbursements are based on number of beneficiary schools that trained Head teachers procured and contract and SMCs & UPE grants is made publicly available to the community (2) training content & school list agreed (3). MoES, LGs, and schools informed. training
completion DLI unit price per beneficiary school 2,000,000
Site Appraisals carried Disbursements are based on number of schools at: out to confirm ground conditions and site layout; Regional roofed, plastered, (All furniture workshops carried out. awarded(no after this date) Disb. per school Cumulative Disb. Number of schools 2,040,000
2,040,000
2,040,000
14,280,000
8,160,000
8,160,000
4,080,000
40,800,000
Transfer (incl advs) 31-Dec-14
30-Jun-15
31-Dec-15
30-Jun-16
31-Dec-16
30-Jun-17
31-Dec-17
Expected Output/targets Disbursements are based on number of districts (GPE SFG targeted) that submitted timely (within 30 days after the quarter) and accurate quarterly financial reports (SFG and inspection where applicable) Timely and
accurate
Financial
completion DLI unit price per beneficiary district 3,000,000
Transfers
Annex 1e: DLI protocol
Detailed definition and list of documents to be submitted as
Documents and information available
DLI results in short part of the withdrawal process
upon request for verification
Enhanced effectiveness of early grade instruction through provision of training to in-service teachers
DLR 1.1 Training • Certify that training materials are ready for print for teachers • Training materials ready for print content and plan for and learners, including teacher guides and primers for • List of Beneficiary primary schools P1teachers, teacher learners. • List of P1 teachers, ECD caregivers, training under C- • List of beneficiary primary schools identified per language teachers to be trained under C-TEP by group, and certify that the specific names of teachers to be name to be trained trained per school has been identified. • Training schedule • Training schedule ready for P1 teachers, ECD caregivers, teacher training under C-TEP in 2015 DLR 1.2 Training • Contract for printing and delivery signed by June 1, 2015. material for P1 and • The final number of material procured, unit cost, total cost, suppliers' names are published online training and ECD • Signed contracts with delivery schedule are published online caregivers procured on-time DLR 1.3 No. of • Number of teachers trained in early grade reading instruction • List(s) of the trained teachers/caregivers teachers trained in in Local language and English as per the length and content with the name, mobile phone, title, early grade, C-TEP agreed in the Project Implementation Manual. school of employment, and district. Each • Names of teachers/caregivers trained are published online by teacher should sign for his/her participation and completion. • List of teacher trainers (tutor) for each training sessions with name, title, CCT, and mobile phone. Instructional material
• Invitation for bids for the first cycle for instructional materials Newspaper advertisement and/or website Invitation for bids issued to bidders following issuance of no-objection. with the invitation DLR 2.1 Signed 1st • The first contract for printing of instructional material signed contract for printing following the agreed procurement procedures • The signed contract is published online • Number of books distributed by school according to the • Certification by the printer and/or books distributed contract, including a correct delivery of the number of distributor that the work has been specified books to the specified schools and any additional completed according to the contract items, such as storage boxes (if required). This list is • Third party report including the overall published on-line. An annual third-party verification of a assessment of the findings and a sample of at least 10% of the beneficiary schools (or as summary from each school visit. otherwise agreed between the World Bank and the government) where at least 90% of the sampled schools must have received the instructional material specified in the contract. The organization or firm carrying out the third party verification and the ToRs must be acceptable to both the government and the World Bank. Inspections
DLR 3.1 ICT-system • Inception report, service level agreements, procurement designed and • Field testing reports, iterative software releases, feature backlog, updated process workflows. • Usability and QA test plan, final software product. • Training curricula, operational manual. • Final report, technical and maintenance documentation, DLR 3.2 Number of • Online inspection reports filed per term for both previously Inspection reports are filed online, the report Inspections filed in filed schools and new schools. includes necessary data, such as date of inspection, location, teacher present (with list of teachers and head-teacher's name), etc. SMC and HT Training
DLR 4.1 Training • Training material and manual developed aligned to the BRMS plan and content and other relevant national policy framework, and including relevant training for the GPE project • Draft RFP for contract training providers • Training schedule • Identified school leadership teams that will be trained DLR 4.2 RFP issued • The names of training providers are published online • Signed contracts are published online training providers DLR 4.3 No of • List of trainings are published online by district by school, • List of school disclosed UPE grant statements are published disclosed UPE grant (online and visible at school property, which can be outside of principals' office) SFG school construction
• The list of schools selected as per the process and criteria • The list of schools with the number of described in the PIM learners enrolled in each school • Report from a third party sample of at least 10% of the • Third party sample report selected schools that confirm that at least 80% of the selected • At least 2 inspection reports from the schools meet the eligibility criteria. preceding school term where the school • Both criteria and selected schools are published online. met the required criteria • Third party report is published online • Certification from the CAO that the district capacity is available, including names of the officers and contacts of the required staff DLR 5.2 Contractor • Invitation to Bids are published online • Approved Bid Evaluation Reports • List of contractors are published online recommending contract award • List of schools and contract value are published online • Signed contracts are published online • Supervision reports are published online by district, by • Reports of site visits by construction schools where the school, and by contractor supervisory staff buildings are 30%, 70%, 90% completed respectively DLR 5.3 Building • Publish the List of completed schools with completed civil • Certification of school completion from verified completed District and SMC/HT for all completed • Certify that District and SMC/HT have certified school completion for all completed schools submitted for funding • Certification issued at end of Defects and publish the certified information online Liability Period by SMC/HT for all • Certification that the website for school construction has completed schools photos of all completed schools submitted for funding and publish the certification online • A third-party verification of a sample of at least 50% of the beneficiary schools (or as otherwise agreed between the World Bank and the government) where at least 80% of the sampled schools must meet the quality stipulated in the contract building. The organization or firm carrying out the third party verification and the ToRs must be acceptable to both the government and the World Bank, and published it online DLR 5.3.Verified • District and SMC/HT certification of school furniture and • Certification of supply of furniture from Furniture installed published online District and SMC/HT for all completed • Website with photos of the classrooms with furniture and • A third-party verification of a sample of at least 10% of the beneficiary schools (or as otherwise agreed between the World Bank and the government) where at least 80% of the sampled schools must meet the quality stipulated in the contract building. The organization or firm carrying out the third party verification and the ToRs must be acceptable to both the government and the World Bank, and published online Timely and accurate Financial Management for SFG
DLR 6 No. of SFG • Detailed report from MoFPED showing beneficiary Districts Quarterly specifically designed that have submitted quarterly reports through a specifically Accountability "Form B" reports districts submitting designed Accountability "Form B" as per LG requirements. • A third-party verification of a sample of at least 50% of the Financial reports for beneficiary districts with at least 75% of them meeting SFG within 61 days required reporting standards certified by the accounting officer of LG. Annex 1f: Theory of Change / Results Chain
Activity Outputs Comp 1.1: Teacher/ECE instructor training Enhancement of teacher/ECE instructor (DLI 1 on number of teachers trained) competency and skills (PDO indicator #1 on number of teacher trained) teaching Comp 1.2: Provision of instructional Presence of supporting material for effective instruction and learning (DLI 2 on instructional material provided) (PDO indicator #2 on instructional material use) Comp 1.3: Increased supervision through more frequent and meaningful inspections Percentage of teachers present in public (DLI 3 on inspections & intermediate indicators schools in targeted districts (UNEB data) on inspection frequency and data availability) (PDO indicator #4 on teacher presence) Comp 2.1: Training for Head-teachers & Enhanced school-level management (DLI 4 on enhanced transparency of UPE grant SMCs (IRI 6. on School leadership trained) (EMIS data) management) Comp 2.2: School grants to meet Improved level of resourcing of schools for prioritized infrastructure needs at the investments in complementary inputs (PDO indicator #3 on availability of classrooms) school level (DLI 5 on school facility grants) Comp 3: Information on school Informed decision-making by internal performance provided to internal & stakeholders; community involvement; and external stakeholders pressure from external stakeholders to (IRI on TA completion, ECE strategy, and ESSP improve school performance (IRI on TA completion, ECE strategy, and ESSP Annex 2: Detailed Project Description
Teacher and School Effectiveness Project
The Project Development Objective is to support the Government in improving teacher and school effectiveness in the public primary education system. In this section, details on each of the Uganda GPE components and activities are presented. For each component, information provided includes: primary objectives, detailed motivation, and detailed set of activities. Note that institutional and implementation arrangements are described in Annex 3, while Annex 1f presents the results chain, which delineates the main channels through which the proposed activities are expected to engender improvements in the PDO-level indicators. Further, the draft project implementation manual prepared by the Government provides further descriptions of the project activities. Component 1: Effective Teachers (US$31.40 million)
3.
This project is centered on improving education service delivery at the classroom level. This objective necessitates a focus on improving teacher quality and performance because these
are dimensions which are highly predictive of student achievement and where considerable
margins for improvement exist. Largely building upon ongoing and scalable programs, the
project will promote teacher effectiveness through: (i) teacher competency, (ii) teacher resources
and support, and (iii) teacher motivation and accountability.
1.1 Improving teacher competencies (US$13.70 million)
This subcomponent will aim at improving teacher and instructor content knowledge and pedagogy to deliver the numeracy and literacy curriculum. The sub-component specifically focuses on teachers of the early grades (primary 1-3), and the transition year (primary 4) of the primary school cycle. This will be complemented with support to improve quality and frequency of in-service teacher support. Further, the sub-component will improve teacher/instructor competencies in Early Childhood Education. The subcomponent is motivated by evidence that indicates that primary teacher content knowledge is low. Results from teacher tests conducted by UNEB in 2011 show that about half the tested teachers did not meet the expected level in oral vocabulary and three quarters did not attain the expected competencies in numeracy; while only 18 percent of primary 3 and 6 teachers scored in the highest performance category (90-100 percent) on the primary 6 literacy test which is the expected norm for teachers. Teachers should have full mastery of the curriculum they teach, and the low performance levels observed indicate a need to improve teachers' literacy and numeracy content knowledge. Further, achievement levels of pupils are only half that of their teachers on the same test items drawn from the curriculum they are supposed to cover. This indicates low teacher effectiveness. 1.1.1. Improving teacher competencies and instructional practices in early grade numeracy
and literacy for the primary school curriculum (US$11.65 million)
This sub-component will scale-up an on-going early grade reading program to improve the reading ability of children in early grades in 12 local languages and English. The program aims to expand to benefit an additional 1,270,000 pupils in 2,600 primary schools in 27 districts through improved teacher knowledge and pedagogy of 12,000 early grade teachers. The local languages were selected by MoES based on language readiness criteria which include existence of orthography including dictionary and proportion of native speakers of the respective language; while for districts, the existence of an approved district language board was an additional consideration. The specific goals of the EGR program are: Language
Read & understand Read & understand Read & write grade & Language
grade & age appropriate age appropriate text appropriate text Produce simple oral Ready to read & write For standardization and quality assurance, the scale-up of the EGR will draw from the national team of trainers of trainers (TOTs) as well as instructional materials that have been developed by the technical assistance agency in partnership with the National Curriculum Development Centre (NCDC) in both English and the 12 local languages. The number of teachers trained in EGR will double from 12,000 to 24,000 teachers, a critical mass of teachers conversant with early grade literacy pedagogy; while the number of learners targeted will also be doubled. The scale up of the EGR under GPE will entail: (i) Provision of EGR Materials, notably Pupil primers and Teacher guides in 12 Local Languages and English. Each student will receive her own primer. This is financed by sub-component 1.2; (ii) Teacher Training, which follows a cascading model; and (iii) Early Grade Reading Assessment (EGRA) as well as other monitoring and support supervision. A central activity in the program is training of the Early Grade Teachers in how to teach reading effectively. A cascade model for teacher training will be used in the scaling up of Early Grade Reading. A cadre of Master Trainers will be trained, who will in turn train a trainers of trainers: (CCTs, Language Tutors, ECD Tutors, PTC and NTC Lecturers) who will in turn train the EGR teachers. The master trainers will be drawn from MoES and Institutions of Higher Learning such as Universities and National Teachers Colleges. Technical guidance will be provided on how to organise and conduct the early grade reading training a various levels. The trained and supported Master Trainers are expected to facilitate the training of trainers in the GPE districts and supervise and support the training of teachers by the trainers. The 3 cascading levels of teacher training specifically include: Training of Master Trainers in EGR. The Master trainers will be coached by the Program to run a five day Training of Trainers (TOTs) that will follow. The Master trainers will be drawn from MoES and Institutions of Higher learning such as Universities and NTCs. (ii) Training of Trainers in EGR and CCT Orientation. CCTs, Language Tutors and ECD Tutors from the GPE EGR cluster Core PTCs will be trained by the Program as TOTs in EGR. This will be to prepare them for the teacher training that will follow. These trainers will be expected to facilitate a five – day training of EGR teachers. The TOT and that of teachers will take place during the school holidays. (iii) Training of teachers in EGR. Teachers from the GPE districts will be trained in EGR grade reading by the CCTs, Language Tutors and ECD tutors from the GPE Core PTCs. The Program will offer guidance on how to organise and conduct the EGR teacher training. The TIET Department is expected to play the leading role. (iv) Refresher teacher training. The EGR teacher trained will also get refresher training. This will help consolidate their techniques in Early Grade Reading following the initial training they received. Support to improve the quality and frequency of the in-service teacher training will complement the Early Grade literacy program. This seeks to improve pedagogical approaches at the target districts of the early grade program and beyond. The following strengthening activities will be undertaken: • Implementing tutors' and teacher support for early grade numeracy to enable improvements in numeracy instruction with special focus on early grades. PTC tutors and district inspectors will be trained in targeted districts while a sample of head-teachers and in-service teachers will be trained per CCT catchment area, including the northern region which registers the lowest education outcomes in comparison with other regions. • Scaling up Certification for Teacher Education Proficiency (C-TEP) program for teacher tutors providing in-service training and support to teachers. The CCTs will receive improved pedagogical mastery with sensitivity to gender; Certification for Teacher Education Proficiency (C-TEP) for improved pedagogical mastery that focuses on reflective practice, action research and gender responsive instructional norms amongst in-service tutors. • Re-mapping of the Coordinating Centers for effective reach of the out-reach tutors (CCTs) to schools for enhanced teacher support, roll-out of the continuous assessment framework for teacher trainees. In specific terms, the following will be undertaken with support from the GPE using the established in-service teacher training system. (a) Assessment of teacher competencies in the numeracy and literacy curriculum they instruct by conducting national assessment of progress in education (NAPE) among in-service teachers; and teacher trainees exiting teacher training colleges. (b) Improving in-service tutors' performance by: (i) technical assistance towards the development of a strategic plan for the roll-out of the continuous assessment framework for teacher trainees; and remapping of coordinating centres (CCs) for alignment with both administrative and PTCs zoning systems; (ii) resourcing CCs with requisite materials and equipment to enhance the delivery of in-service teacher training programs; and (iii) logistical support to CCTs based on clearly identified need for improved in-school technical support to head-teachers and teachers. 1.1.2 Improving competencies of early childhood education (ECE) providers for improved
readiness to primary education among learners. (US$2.05 million)
The objective of this sub-component is to improve the content knowledge and skills of instructors/care givers in ECD centers. This subcomponent will aim at improving school readiness for young children below 6 years of age through the provision of adequate training to instructors to enable them to acquire the expected skills. The latter will be equipped with the desired competencies to enable them deliver quality care and education services. Improving the provision of quality ECE is crucial to the realization of quality education in Uganda, particularly given the lack of readiness for formal school at grade 1 and current low rates of primary school completion. Early gaps in cognitive skills jeopardize children's capacity and motivation to learn upon primary school entry thereby leading to high rates of student drop-out, and low rates of primary completion. Evidence suggests that poor quality ECE teacher preparation in Teacher Education Institutions results in poor literacy and numeracy outcomes for young children and diminished readiness for primary school. Uganda has 92 existing ECE Teacher Education Institutions which are managed by the private sector in terms of administration and funding. While the Government is responsible for policy implementation and operational guidelines, it has no control on issues related to employment, recruitment, and admissions of ECE instructors. A number of recent accomplishments are notable, undertaken with support from UNICEF: (i) national sensitization undertaken; (ii) harmonized curriculum on ECE Teacher Education developed and disseminated to all institutions; and (iii) registration and licensing process of caregivers, Teacher Education institutions, and ECD centers established. In many of these existing ECE centers, practical and child friendly learning experiences for holistic development and readiness for the children are lacking. Acquisition of desired emergent skills among young children is at risk. TIET aims to ascertain that existing practitioners acquire the required qualification to meet the registration and licensing standards and to develop a bridging course for those who are significantly below the expected competencies. The proposed activity will build upon ongoing efforts by the Government, and use existing formal government structures, for training and registering of teachers. The following will be undertaken to improve content knowledge and skills of ECE caregivers to effectively deliver early learning programs: • Expanded roll-out of the Community Child Care Program (CCCP) for community ECD providers (i.e., Certificate in ECD Teacher Education program targeting caregivers - in-service); and • Technical assistance towards the finalization and preparedness of Early Childhood Education (ECE) instructors' proficiency program targeting already practicing ECD caregivers engaged in the provision of pre-school education programs for children 3-5 years of age (i.e., Certificate in ECD Teacher Education targeting tutors/instructors - in-service). The CCCP will target 4,000 caregivers in Faith-Based Organization supported community ECD centers, specifically those licensed. UNICEF is currently supporting the MoES to train national trainee of trainers (ToTs), attached to government core Primary Teacher Colleges (PTCs), who in turn will train caregivers in FBO ECD centers. Building upon this ongoing effort, the Project will support the expansion of the CCCP PTC catchment areas where the CCCP is currently being implemented. The ECE instructors' proficiency program targets ECE tutors/caregivers with basic qualifications in Teacher Education. The PTC-attached national ToTs will serve as the Master Trainers for the ECE instructors' proficiency program and the FBO trainee of trainers. The program will be implemented in close collaboration with Ugandan tertiary education (mainly Kyambogo University) using the regional Teacher Development Management System (TDMS) in-service model. This model provides for face to face sessions, on job assignments and mentoring, and offers continuous assessment, summative assessment, reflective practice, assesses practicum, and material production.
1.2 Providing equipment and instructional materials (US$14.80 million)
The objective of this sub-component is to improve learner access to, and utilization of, instructional materials for enhanced teaching-learning processes. The revised primary education curriculum was fully rolled out in 2012. However, adequate provision of requisite text book and non-textbook materials to facilitate curriculum delivery is constrained by the low resource allocations, compromising the quality of teaching-learning processes. The numeracy and literacy materials to support the delivery of the reformed curriculum (the P1-P3 learners' materials) consists of wall charts, math cards, math and English practice books, readers in English and various local languages; as well as textbooks for English and Mathematics. School observations reveal limited availability of instructional materials compounded by very limited access by learners due to weak utilization practices. In regard to the EGR program, development of primers and teacher guides for grades 1 & 2 (in English and the 12 local languages) have been prepared, while materials for grades 3 & 4 will be developed in 2014. The support through this project will go towards the following: (a) Printing of instructional materials (English and the 12 local languages) for grades 1-2 in Year 1; and grades 3-4 in Year 2, as well as teacher guides for use in the scale-up of the EGR model (supported in component 1.1). This targets the GPE EGR program districts only. (b) Provision of instructional materials (textbook for grades 1-7) literacy (English) and numeracy materials for primary school pupils (primary 1 to 7); as well as teacher reference materials. (c) Provision of 2 copies of curricula, teacher's guides to both public and private schools. (d) Provision of brail and other learning materials for children with disabilities to improve their right to quality education. Procurement processes for the instructional materials to be supplied by the project will be initiated in Year 1 and completed by the end of Year 2 of the project, at the latest to ensure delivery of the material prior to project closure. No procurement of instructional material will be allowed under the project in the last year of the project. The DLIs for this sub-component include: completed inventory of instructional material and agreement on procurement guidelines and standard bidding documents (Year 0); procurement of instructional material (Year 1); and number of textbooks delivered to the schools (Years 2 and 3). 1.3 Enhancing Teacher Supervision (US$2.90 million)
This sub-component aims at enhancing the effectiveness of teacher and school inspections as an instrument for teacher supervision and accountability. This will be accomplished through: (a) increased frequency (at least twice a year inspections in all schools in targeted districts) of inspections in targeted districts, (b) more efficient information recording and dissemination, and (c) creation of effective feedback-loops with teachers and other stakeholders. The issue of insufficient and low quality inspections is noted in the ESSP as being an important factor in explaining low quality of primary education. This sub-component directly supports the ESSP strategy on addressing this gap. The activities will include the following: (a) In Year 1, design and implementation of ICT-based system improvements that enable more effective and timely recording and dissemination of inspection reports. This activity will include provision of necessary equipment (in the form of smart phones) and corresponding training to District Inspectors, District Education Officers, and relevant staff from District Education Standards. All training will be carried out by DES. Some part of this activity will also be supported through Technical Assistance under sub-component 3.2. Details for this are provided under detailed project description of 3.2; (b) In Year 1 and 2, training of DISs/MISs and DEOs on internal school based assessment, evaluation and education quality improvement in targeted districts. All training will be carried out by DES; (c) In Year 1, provision of appropriate transport for DISs/MISs and DFPOs (34 districts); (d) In Year 1, 2, and 3, support implementation of the ‘Associate Assessors' model: The Associate Assessor Model has been in existence since 2002 and was conceived as a way to increase the Directorate's capacity to monitor schools. Under this model, individuals are identified from the community or nominated by the community based on their experience/specialization in the education sector. This pool often includes retirees (teachers, head-teachers, CCTs) or current employees who serve in other capacities and areas in the system. These individuals are trained in the inspection process and asked to provide inputs into the inspection reports for schools. They are used on a part-time basis as need arises in the inspection process, and their work is monitored by the inspectors. Under this project this model will be scaled up to enhance community supervision of schools and teachers through unannounced visits (34 districts). The DLIs for this sub-component include: procurement of all training material and transport for DIS (Year 0); ICT-based system for real-time filing of inspection reports by District Inspection Officers in place (Year 1); and Number of schools in targeted districts where inspection reports were filed at least twice a year (Years 2 and 3) Component 2: Effective Schools (US$45.8 million)
The focus on teachers will be buttressed by improvements in the overall school environment – in the form of enhanced school management, accountability, and learning
conditions. The complementary focus on schools is aimed at enabling improved teacher
competencies to most effectively translate into improved education service delivery.
2.1 Enhancing school leadership, management, and accountability (US$2 million)

30.
This sub-component aims at strengthening school governance and results management. It will include the following activities: a) Head-teacher training: This training will be executed in the form of a comprehensive package designed to address the most critical gaps in head-teacher performance. The training package will include: (i) training on leadership, utilization of the UPE grant and school planning; (ii) training on HR management and payroll issues; (iii) training on school supervision/ internal school based assessment and evaluation; (iv) school learning outcomes; and (v) for relevant schools, training on BRMS indicators, school grant application process, monitoring of construction etc. The training provider(s) will be contracted to carry out this training. b) Enhancing the effectiveness of School Management Committees: This activity will involve training and awareness programs targeted at SMCs on: (i) planning for school development, including use of the UPE grant, (ii) preparing and managing budgets, (iii) monitoring teacher and pupil performance, (iv) school report cards (see below), and (v) for targeted schools, basic technical training for carrying out supervision of construction activities under school facilities grants (see below). This activity will also include phasing in of an ICT-based capacity development program (SMSs), coupled with regular provision of relevant written materials. The DLIs for this sub-component include: finalization of training content (Year 0); number of schools where SMC members and Head-teachers have received training (Year 1), and
impact of the training in terms of better and more transparent school management of the UPE
grant by publicly posting the expenses and revenue of the schools (Year 2).
2.2 Providing needs-based performance linked school grants for basic school facilities
(US$43.8 million)
This activity aims at enabling 290 well managed schools to meet prioritized basic requirements and minimum standards (BRMS) for quality learning. This sub-component will be targeted at relatively well managed schools that fall below the minimum BRMS for learning environments. The minimum BRMS for safe and hygienic learning environments for primary schools constitute one permanent and furnished classroom block of 3 classrooms, a gender and disability friendly five-stance pit latrines, a water harvesting system, and an administration block with a library to enable effective execution of school duties by various duty bearers. Child friendly learning environments enhance student performance and completion of education especially for girls. Such environments have to be safe and hygienic, and sensitive to the needs of girls. Selection process and criteria (i) Eligibility long list: All Government schools that have less than 3 permanent classrooms will be a part of the long list of eligible schools for SFG. These 962 schools located in 105 districts have been identified based on EMIS 2012 data and a school verification exercise. (ii) Eligibility short list (effort-based): This long list of eligible schools will be visited by either the CCT, the inspectorate, or if desirable an independent firm to collect data on effort-based short-listing criteria. The visit will be unannounced. During these visits the following information will be collected: a. Verification that the school meets the eligibility criteria: i. is a Government school ii. has less than 3 permanent classrooms iii. More than 300 pupils iv. has valid proof of land ownership v. Head-teacher is hired and has reported at least 15 days in the previous 30 b. Collection of effort data: i. The names of SMC members, whether Minutes of at least one SMC meeting for the last term are available, and existence of a school improvement plan ii. Head teacher presence iii. Percentage of teachers (out of all permanent teachers in the school) present during the unannounced visits iv. Percentage of teachers that have a lesson plan or scheme of service (out of all the teachers present during the unannounced visit). From the information collected, only verified eligible schools (those that meet the above
five eligibility criteria) are maintained on the verified long list. The verified eligible
schools will be ranked according to their level of effort following this formula:
Effective SMC
Head teacher
Teachers'
School and
presence
presence
Teacher
Effort score
5 points for a list of names with the presence (0% teachers present or 100%) *0.25 *0.25 school improvement plan 10 additional points for minutes of a SMC meeting within the current or last term (iii)Selection of schools from the long list will take place in two rounds. a. In the first round, one verified eligible school will be selected within each of the 105 districts. First, if there is one of these schools within the sub-county, then this school is selected. If there are several schools that are the only public school within the sub-county, then the school with the highest Effort score is selected. Second, the school with the best effort score within the district is selected. However, in all instances, all selected schools must meet a minimum level of effort: • 50% teachers presence • Head teacher hired and present at least 15 days out the last 30 school days • Established School Management Committee with names of SMC members b. In the second round, the remaining estimated 188 school facility grants will be allocated. A share of the available grants will be allocated to each region of Uganda (Northern, Eastern, Western, and Central). The allocated share will be proportional to the region's share of verified eligible (needy) schools of the national total (962). Within each region, the verified eligible schools will be ranked according to the School and Teacher Effort score. The top scoring schools on the effort ranking will be selected until all School Facility Grants have been allocated for that region. (iv) If there are less than 293 schools in the long list of verified eligible schools; then the entire list will receive the SFG, and the remaining funding will be freed up for other project activities. 35. Communication and Monitoring: There will be a three month period between the creation of the eligibility long list and the final selection of schools for SFG. This period will be used for a communication campaign to the long listed schools and districts to inform them about the effort-based shortlisting criteria. During the three month period, school inspectors will visit the long-list of schools at least once and reinforce the effort-based shortlisting criteria. SFG package 36. The SFG package should enable a school to achieve the following: • at least one furnished classroom per grade (P1-P7); • two (2) gender and disability responsive 5-stance sanitation facilities; • one 2-stance latrine for teachers • a safe water source, which is expected to be two 5,000 liter water tanks in most cases • an administration block • For schools in the HTR/HTS districts, the package will also include two teacher housing units, one 2-stance latrine, two kitchens, and one up to 5,000 liter water tank 37. Procurement and Contract Management Arrangements: Procurement will be done by each beneficiary district or centrally at MOES following national competitive bidding and advertised at district level. Further procurement arrangements are as follows: • Engineering assistance will be hired and responsible for (a) supporting the districts in procuring the contractors; (b) supervision of works and take part in the certification. • Contracts to be packaged at district level into sizable amounts, with the expectation that in the most cases, each district will have a single contractor for all schools in the district rather than split them by school • Funds to be released to districts in 2 tranches • Involvement of SMCs in monitoring and certification of at least 2 key stages of work • Disclosure of summary contract information on scope, duration and contract sum to allow monitoring by SMCs and civil society • Independent /audit review of procurement and civil works quality as part of DLI verification 38. Issues addressed by this approach • Benefit from the quicker and more economic district procurement and contract • Management of costs by allowing contractors to quote by district rather than applying uniform rates across districts irrespective of individual district costs • Independent supervision of works to increase bidder confidence at LG level, address risks of collusion with contractors at district level, and further strengthen quality of works • Engineering assistance will increase district capacity while also providing quick information provision at central level • Engineering will assure stronger due diligence on selected contractors • Single contractor at district level ensures a reasonable sized contract to attract high capacity contractors 39. Making effective use of engineering supervisory capacity • Strong central level supervision by CMU after strengthening of CMU • Clear performance targets will be designed for the MoES and supervisory engineers tied to demonstrated supervision visits • Consideration of use of cellphone monitoring with website publishing of photos Key process steps and dates 1. Sensitization of districts/local governments on the program – October 2015 2. Conduct data assessment of long listed schools – November 2015 3. Finalize designs and Bill of Quantity (BoQ) for the school facilities and prepare model bidding document December 2015 4. First tranche of funds released to districts - December 2015 5. LGs with support from CMU and SMC conduct procurement – January 2015 16 Procurement of Contractors shall be conducted at Central Level by Ministry of Education for District Local Governments that are established not to have functional capacity in procurement and contract management. The functional capacity is measured by the following: at least a Contracts Committee, at least 1 procurement officer and at least one graduate engineer. Details of the procedures will be contained in the Project Implementation Manual. 6. Civil works commencement – January 2016 7. Support to the supervision of school works by Engineering Assistants to reinforce the district engineering staff - January 2016 8. Accountability for 1st tranche and release of 2nd tranche January 2016 9. Complete civil works – August 2017 latest In all instances, procurement of civil works must have been completed and contracts signed and shared with MoES by December 31, 2015. This will substantially reduce the risk of non-completion of civil works by the closing date of the project. School Facility Grants for which the civil works contracts have not been signed and communicated by that date will be revoked. Implementation modality: Disbursement of the school grant as well as implementation modalities will be consistent with the GPE School Facilities Grant Guidelines (SFG) for primary schools, under the overall supervision of district local governments. Standard MoES infrastructure designs and Bills of Quantity (BoQs) for respective facilities will be used. The revised SFG guidelines will be used to guide all operations of this sub-component. Lessons learnt from UPPET will be used to improve the effectiveness of implementation procedures for provision of primary school facilities, such as safeguarding against weak contractors; enhancing school level supervision for quality and timely delivery by contractors; as well as ensuring consistency between specifications and BoQs prior to contracting processes. School level participation of SMCs and head-teachers in contract management will also be closely monitored. The DLIs for this sub-component include: selection of construction sites (Year 0); procurement for construction concluded (Year 1); construction completed or contracts cancelled (Year 2); and quality control of completed construction undertaken (Year 3). Component 3: Implementation Support and Capacity Building (US$14.9 million)
This component will finance advisory, technical, and capacity-building support in order to reach project objectives. It includes the following sub-components:
3.1 Early Childhood Development policy review and advocacy for improved enabling
environment for the provision of quality early childhood education (US$900,000)
The objective of this sub-component is to enhance the enabling environment for quality Early Childhood Education (ECE) provision for improved school readiness for children aged 3-5 years. A key challenge in mainstreaming and implementing ECD in Uganda is that key stakeholders are not sufficiently aware of what ECD is and its significance. One of the major gaps in attaining effective ECD outcomes is the need for a planned and systematic communication and advocacy effort to market ECD and to create the conditions for its acceptance and implementation in the country. To this end, GPE support will focus on preparing the foundation and policy environment to adequately meet existing gaps and increasing needs for early learning and to plan a potential scale up of the provision of quality ECE services. The program will support the Ministry of Education and Sports to undertake the • Review ECD policy (including the existing different models of delivery) and develop a costed implementation plan to harmonize experiences and competencies among ECD practitioners and centers. • Enhance capacities of national and district government staff and centre management committees (CMCs) to enable them to effectively implement the revised ECD policy: guiding, supervising, monitoring and ensuring that basic requirements and minimum standards (BRMS) are maintained in the delivery of ECD services and programs. • A planned and systematic communication and advocacy effort to market ECD and to create the conditions for its acceptance and implementation in the country. 3.2 Integrated ICT real-time school reporting, targeted beneficiary feedback, enhanced
teacher supervision and inventory management system (US$4 million)
A critical part of this support is aimed at creating mechanisms for collecting real-time data on school functioning through mobile phones and display it in an integrated analyzed way both on the web as a single dashboard and in automated customized reports for district officials, ministry officials and development partners. This system will incorporate four sources of information: 1) real-time monitoring of school performance (EduTrac); 2) regular feedback from citizens (U-Report); (3) DES district inspectors enabled with smartphones; and 4) data from a District Grant Inventory System. The four sources of information will be triangulated to cross-verify each other and increase overall data accuracy. The information is intended to be used for monitoring and evaluation, management of the accountability of service delivery, and long term planning. The integrated ICT real-time monitoring system will include four sources of information: Real-time school reporting: EduTrac will be supported to collect and analyze school
performance data submitted by reporters in real-time. EduTrac is a mobile phone based, open-source, real-time data collection system. This data is submitted by head teachers, teachers or members of the School Management Committee and sent via SMS to the district office, where it populates a dashboard automatically. Because this system uses SMS, it can be used effectively in remote, rural areas. This activity includes the trainings of teachers, SMCs and districts and the provision of related telecom costs. UNICEF, to date, has rolled EduTrac out to 4,000 schools across 35 districts and this project intends to scale the system to the entire country within three years. Citizen Feedback and Targeted Beneficiary Feedback: Using U-Report, citizen
feedback can be collected through engaging individuals in dialogue around subjects specific to Uganda- Teacher and School effectiveness project. U-Report uses mobile technology to amplify the voice of citizens and foster dialogue among themselves and with parliamentarians on issues critical to their livelihoods. There are over 220,000 U-Reporters across Uganda who respond to a set of SMS polls or questions asking for information on specific issues, their experiences as well as opinions. The results are mapped at the district level, returned to the respondents, featured in traditional media sources like weekly television and radio shows and the newspaper, and shared with parliamentarians to inform their legislative work. Improved ICT-Based Inspections: School inspectors capture information in a
standardized questionnaire on teacher, head-teacher, and student presence, teaching practices, school management and administration. The issue of insufficient and low quality inspections is noted in the ESSP as being an important factor in explaining low quality of primary education. This sub-component directly supports the ESSP strategy on addressing this gap. Smart phones running mobile applications will be used by inspectors to digitally replicate the survey forms. In year one, a digital system will be developed to integrate the data collected by the phones. This will move the inspectors from a paper based system to a digital one. This activity will include provision of necessary equipment (in the form of smart phones) and corresponding training to District Inspectors, District Education Officers, and relevant staff from District Education Standards. This activity will also be accomplished through: (a) increased frequency (at least twice a year inspections in all schools in targeted districts) of inspections in targeted districts, (b) more efficient information recording and dissemination, and (c) creation of effective feedback-loops with teachers and other stakeholders. This data can: Reduce data entry errors and the time it takes to collect and analyze the data Improve the effectiveness of inspectors by using images and geo-location (e.g. inspectors can record GPS coordinates of schools and take photos of the latrines) Automatically compile and analyze information Match M&E data and flag discrepancies Enable paper/electronic reporting Further, there is funding for improved integration of Data Management should needs,
usage and capacity be present. The data collected from U-Report, EduTrac, and the
school inspectors can be merged to provide district and federal government a platform for
Integrated Data Management. The data could be both displayed as a web based dashboard
and delivered as automated customized reports.

3.3 Support to Teacher Payroll and Information Management (US$3.0 million):
This sub-component aims to enhance teacher motivation and ensure salary payments goes to meritorious teachers only by supporting work to streamline management and transparency of the payroll process. These factors are viewed to have a significant effect on the promotion of a more positive and supportive professional environment for teachers. Teacher pay in Uganda has become increasingly problematic as budget shortfalls have prevented pay raises throughout the sector. Compounding this issue is the fact that teacher salaries can be often delayed due to administrative inconsistencies and backlogs. Teachers can face delays in access to payroll and confirmation in post exceeds the expected 6 month period. At the school level, head teachers do not always have key tools for staff management such as updated school-level payroll information, whereas possession of such information could significantly ease staff management and ensure only meritorious teachers are paid. Technical assistance in the form of consultancies, workshops, training, capacity building and limited goods will be undertaken to: a. Generate a uniform accounting of teachers in the country by school and district teacher mapping, the project will finance a representative independent verification process of the current information in MoPS payroll system and staff lists generated at school level by the Head Teacher. b. Identify causes of delayed access to payroll based on dialogue with responsible players at district levels. c. Identify options to enhance information dissemination on teacher payroll right through to the school level for improved school level accountability. Following discussion on the above options with stakeholders, a further set of project activities in the form of a detailed workplan will be agreed upon and implemented. This could for instance include improving the workflow and access of information between schools and district headquarters to central government level and improving the capacity of the District Service Commissions, Human Resources officers, and Head Teachers in the effective management and use of this information. This sub-component could also support consultancies or initiatives to increase teacher motivation through enhanced implementation of an ongoing program (Scheme of Service (SoS)) that promotes high-performing teachers.
3.4 Support to M&E for project monitoring (US$3.8 million)
To enable effective execution of the M&E function for the project, support including consultancies, equipment, operational costs, will be provided to undertake M&E activities for the project and the sector. This specifically encompasses consultancies for independent verification of results (DLIs) and M&E through unannounced school visits. This includes support to UNEB for undertaking the student assessments and strengthening UNEB's capacity.
3.5 Technical assistance and operational costs for implementation of project activities
(US$ 2.2 million) A number of project activities will require technical expertise to complement the MoES capacity, most notably: (a) the design of the early grade maths/numeracy module including appropriate instructional materials; and (b) implementation support for the Scheme of Service. This will also include Technical assistance for supporting implementation of school facility grants with special focus on supervision of the district based procurement and school level activities for compliance with procedures and established standards. This will finance additional consultants needed for project implementation, associated goods and operational costs.
3.6 Technical assistance for generating ESSP for the next cycle (US$1.0 million)
The project will support the development of the next cycle of the ESSP 2016-2020 that will be coordinated by the Education Planning Department. Annex 3: Implementation Arrangements
Teacher and School Effectiveness Project

Project Institutional and Implementation Arrangements
1.
Project implementation will be mainstreamed in the Ministry of Education and Sports (MoES) and local governments using existing institutional establishments consistent with the decentralised governance system for Uganda that governs primary education service delivery. Project administration mechanisms National level
The Government shall designate, at all times during the implementation of the Project, the MoES to be responsible for prompt and efficient oversight of implementation of activities under the Project, and shall take all actions, including, the provision of funding, personnel and other resources necessary to enable the MoES to perform said functions. Within the MoES, the overall responsibility for project implementation lies with the Permanent Secretary, who also oversees all technical heads of departments. The Planning unit will coordinate all Project activities on a daily basis. The MoES shall maintain, at all times during Project implementation, a fully operational Project coordination team comprising a Project coordinator, a deputy Project coordinator, a procurement specialist, a financial management specialist, a civil engineer, an early grade reading specialist, a monitoring and evaluation specialist, a quantity surveyor, and such other staff as may be agreed with the World Bank, all with qualifications and experience, and terms of reference acceptable to the World Bank. This project coordination team shall be engaged no later than the Project Effectiveness date. 3. Relevant directorates and departments under the MoES will be responsible for specific project sub-components consistent with the statutory provisions that prescribe their mandates, notably: The Pre-Primary and Primary department will: Guide and oversee the implementation of the Early Grade Reading program consistent with existing implementation arrangements. The implementation will be assisted by technical assistance financed by the USAID, and led by a technical assistance firm. Implement the instructional material procurement, provision, and distribution sub-component through its Instructional Material unit. Implement the School Management and head-teacher training building upon delivery models by development partners and civil society with assistance from the Directorate of Education Standards. Carry out the policy review, policy studies, and evaluation of the Early Childhood Education activities through the ECE unit. Undertake development of the early grade mathematics module under Component 3. The Teacher and Instructor Education Training department will coordinate all in-service teacher support efforts provided through the Coordinating Center Tutors' (CCT) framework; and maintain collaboration with the pre-primary and primary education department for effective implementation of the EGR program. In addition, they will implement the teachers' continuous assessment and Certification for Teacher Education Proficiency (C-TEP) initiatives and lead the remapping exercise for CCTs all of which are targeted at improving the teacher development and support system. TIET will also be responsible for training of the ECE instructors under Component 1 in coordination with DES and NCDC. The Directorate of Education Standards (DES) will guide and coordinate the scaling up of school inspection, which will primarily be undertaken by the District Inspectorates of Standards (DIS). The Integrated Data Management Platform will also be run out of the DES team due to its focus on improving management and accountability within the primary school system. The platform will be run by a team of people consisting of a program manager, regional coordinators, data analysts and IT support. The servers and IT support will sit within the IT Division of the MoES. The Education planning department will: o Coordinate, support and monitor the implementation of the School Facility Grant in partnership with the Construction Management Unit (CMU). These programs will be implemented primarily by the District Local Governments in collaboration with the School Management Committees. o Be responsible for implementation of Component 3 of the project through the Project Coordination Team. o Maintain close collaboration with all implementing departments to ensure timely planning and adequate resourcing of project interventions through the work plans. o Initiate assessments to measure progress made against the agreed DLIs and project results in line with the results framework. Further, support and facilitation from MoFPED and from MoPS will be important for overall implementation as well as timely and well managed flow of funds; and facilitation of the technical assistance for the teacher pay-roll system, respectively. 5. The 2010 institutional capacity assessment for the education sector indicates a vacancy rate of about 30 percent in the departments highlighted above in comparison to the revised and approved education sector establishment of 2009. The situation has not changed to date coupled with relatively high staff turnovers due to transfers to other sectors and retirement. Drawing from lessons learnt with ongoing development partner supported projects, capacity challenges will be mitigated against by extending technical assistance to especially the education planning department that houses the project coordination function, the pre-primary and primary education department that coordinates most of the project activities and the Construction Management Unit to enable timely planning and implementation of project activities. Eight positions have been identified as critical and the hiring of these is a necessity for the project implementation team to be complete which is an effectiveness condition. PROJECT IMPLEMENTATION PLAN A. Institutional and implementation arrangements for the Project Ministry of Education and Sports
Education Planning Department
Headed by GPE National Project Coordinator Component 1: Effective Teachers Component 2: Effective Schools Component 3: Support and Capacity building MoES Level
Instr. Materials) District Level
School/Center Level
Teachers/Centers = Coordinating or Reporting Responsibility Sub-national level
District level. The delivery of primary education is decentralized with overall implementation of programs devolved to the district local governments under the overall management of the District Chairpersons (political head) and Chief Administrative Officers (technical head). Specific to education, the District Education Officer (DEO) manages the district directorate of education, and directly reports to the CAO. The DEO will coordinate the activities of the following organs involved in project implementation: • The District Inspectorate of Standards (DIS). The district inspectorate division constituted by district inspectors of schools will be charged with the day to day inspection of schools including training and deployment of the associate assessors to support the scaling-up of inspection in schools. The guidelines and standards used are set by the DES at the national level. • District Engineering Departments. The departments oversee the civil works in schools that will be undertaken under the school grants sub-component with support from the Engineering Assistants hired directly by the MoES. Infrastructural designs and technical specifications used are developed by the MoES, and closely monitored by the CMU to ensure adherence. • District Procurement Units. The units will take charge of contracting processes for the firms that will undertake the civil works in schools under the school grants sub-component, consistent with the School Facilities Grant (SFG) guidelines for primary schools. • District Human Resource Management Units – formally known as Personnel Officers will be consulted as part of the technical assistance on the teacher payroll system. Primary Teacher Training Colleges and Centre-Coordinating Levels • PTC tutors. Teacher training will be undertaken by a national Team of Trainers (ToTs) constituted by tutors (pre-service and in-service) drawn from Core Primary Teacher Training colleges. • In-service tutors also known as Centre Coordinating Tutors (CCTs). The CCTs will provide teacher training as well as mentoring and requisite teacher support to teachers of lower primary and transition grade from the schools that will be selected consistent with the EGRA implementation model. All CCTs will report to their respective PTC- Deputy Principals Outreach (DPOs); and all PTCs report directly to the Commissioner TIET at the national level. • School Management Committees (SMCs) and Head-teachers will help oversee the performance of district contracted construction firms in schools, as well as the delivery of instructional materials. • Monitor teacher improvements in attendance and instructional practices in the Financial Management, Disbursements and Procurement
Financial Management
10.
The operation will use the country financial management system for planning and budgeting, accounting and financial reporting, treasury management and flow of funds are internal controls, including internal audit. At the central government level, the Permanent Secretary will be the overall accounting officer to oversee all activities of the program assisted by the Under Secretary while the day-to-day financial management functions will be led by the head of accounts, in this case the Assistant Commissioner Accounts. Since the program is targeting selected Primary Schools in the local governments across the country having aspects of civil works, the World Bank had earlier carried out a diagnostic study to evaluate the three approaches to execute civil works, i.e., at central level MoES, District level and School level. The assessment evaluated the capacity and cost effectiveness at these levels and concluded that, though it was less costly at school level, there was little capacity to execute such works. It was more costly to execute works centrally using the MoES' CMU. Arrangements for the Project are that construction will be managed at the Local Government (LG) level in collaboration with School Management Committees (SMC). The District Chief Administrative Officer (CAO) will be the accounting officer at that level. This implementation modality is being used by Government to mitigate risks of capacity and accountability at school level. Funds flow arrangements between the World Bank, Ministry of Finance, MoES, Bank of Uganda and to LGs are in place as per government systems and satisfactory for most programs. The Ministry is currently implementing a US$150 million IDA project with a large civil works component which has given them good exposure to World Bank requirements. Implementation of this project has a number of challenges relating to fiduciary compliance at school level and more effective monitoring at the ministry level. These lessons learnt have informed the identification of risks and design of mitigation measures to ensure effective program implementation. Central Government: Central Government transfers account for over 90 percent of local
government budgets. The performance of the PFM system at the Central Government is therefore of critical importance to Local Governments. Progress in Public Financial Management in Uganda over the last decade has been mixed. Uganda has had a successful implementation of the Integrated Financial Management Systems (IFMIS) at the Central Government level; and has also completed successful pilots to use the IFMIS system for Local Government in 2012/13, but it still suffers from government weaknesses in financial management. That being said, the quality of Annual Accounts has improved. A locally developed budget preparation and reporting tool – Output Budgeting Tool – has been rolled out to all spending units; the National Audit Office has been provided with legislative and financial autonomy and is currently one of the strongest in Africa. Internal audit and procurement is improving and the Oversight Committees of Parliament are active and relatively effective. The independent Program audit is envisaged, tailored to the needs of the Program. Overall the financial management risk is substantial after mitigation measures.
Some of the key risks and challenges that currently exist at the national and LG level are the following: Budget Execution: In FY11 and FY12, the budget was subjected to many supplementary
requests which amounted to over 27 percent of the total approved budget. Development partners and Civil Society organizations felt that the significant size and composition of recent years' supplementaries point to a decline in the quality of planning and budgeting processes. Cash management: Whereas significant cash management challenges were reported in
the period pre-dating the FY 2011/12, exemplified by a proliferation of public accounts in commercial banks which posed significant regulatory challenges, coupled with declining predictability at the time of cash releases to government institutions, Government has shown a sustained commitment to achieve fiscal and debt consolidation through a series of reforms. The monthly cash releases have since been aggregated into quarterly releases; cash flow planning at the commencement of every fiscal year is premised on approved quarterly work plans and access to subsequent quarterly cash releases strictly based on attainment of the previous quarterly work plan targets. In addition, the introduction of the Treasury Single Account (TSA) to achieve fiscal consolidation has been rolled out initially to all institutions on the IFMS. Through the TSA, quarterly cash releases for all Votes are held in the TSA at the Bank of Uganda and on a needs basis, daily cash requirements based on approved invoices are transferred to the individual general accounts of institutions to enable them to settle those approved invoices, while residual balances are maintained on the TSA. Compliance with Administrative Rules and Regulations: A major challenge to the
PFM system in the country is the culture of impunity and weak compliance with rules and regulations. A study by MoFPED in 2011 came to the conclusion that the Public Finance and Accountability Act (PFAA) 2003 and the Public Procurement and Disposal of Public Assets Acts 2003 / Local Government PPDA regulations 2006 were the most flouted laws at all levels of government. The type of PFM violations varied markedly between sectors with the most common being flouting of accounting procedures followed by irregular procurement practices; improper budgeting and implementation; false accounting and embezzlement respectively. The findings of MoFPEDs study are confirmed by repeated observations in both Internal Audit and External Audit reports that there is little follow up action taken on audit findings. Despite these challenges, there are improvements in PFM in Uganda as documented in audit findings as well as through the initiative to introduce a new Public Finance Act that has provisions designed to address some current weaknesses such as the increase in supplementary budgets and through limiting reallocations between votes. At the Central Government level, the number of entities with a clean audit opinion increased from 40 percent to almost 60 percent in the last three years, and at the local government level the increase was from 26 percent to 45 percent. Staffing: There is inadequate funding for staff positions in LG's – but there is also the
challenge of the relatively low level of pay for critical skills needed. It is a serious matter of concern that around half of the positions of Chief Administrative Officers have officers in acting capacity in districts as well as 43 percent of positions of Chief Finance Officers and 51 percent positions of Principal Internal Auditors. In most LG and the municipalities half the positions of Municipal Engineers are empty along with 50 percent of Principal Education Officers. Project funds flow – The Project funds will flow from the Treasury to the MoES and the
LGs. Disbursement can take place on a semi-annual or annual basis, dependent upon the frequency of the independent verification of DLIs. The Government's SFG and LGMSD programs currently use funds flow mechanisms to disburse funds to all LGs nationally and the Program will use these channels which have been well established over the years. Once the Sectoral Steering Committee, in this case the Education Sector Consultative Committee (ESSC) has verified the assessment results by an independent assessment and the amounts to be disbursed for each of the DLIs determined, the World Bank will be notified. Once the World Bank is satisfied, the total amount linked to each of the DLIs will be disbursed from the World Bank to the GoU Treasury on the dollar account (Designated Account A) in the central Bank (Bank of Uganda - BoU) in a single tranche. The funds will be disbursed from the BoU to the selected LGs implementing the program on an annual or a bi-annual basis, on the advice of the MoES, as under the current government SFG program using the current funds flow mechanism which are well established under the government inter-government fiscal transfer system. The Treasury will also release funds related to project activities for the MoES. The following summarizes the steps to be followed for disbursing funds under the Program: Step 1 – assessment by an independent team and calculation of Program amounts for each DLI, except for the initial advance disbursement to MoES to help provide funds for the government to achieve a first DLI value or disbursements not linked to any indicator (for Component 3). Step 2 – verification by the ESSC of the assessment results and the DLIs amounts Step 3 – PS/MoES through MoFPED, request for disbursement of funds from WB to Designated Account (A) based on the verified assessments results, DLIs amount, and the Eligible Program Expenditures report. Similar request is done for disbursement to DA B based on the IFR. Step 4 – the World Bank transfers funds to Designated Account A in BoU and notifies the client through client connection. Step 5 – PS/MoES prepares a schedule for the transfer of funds to the District LG based on the respective scores and sends instructions to the BoU to transfer funds to the DLG. BoU transfers the funds through EFT to the DLG General Fund Account. Step 6 – each District/ LG transfers Program funds from its general account to dedicated Project account as under the current government SFG program. The funds flow chart below summarizes how Program funds will flow from the
World Bank to GoU and then District LGs. The GPE funds would follow a results-based
financing modality with designated account at the Ministry of Finance. This would work as
follows:
- There are a set of DLIs for each year of the project; starting with Year 0 (2014) - preparatory activities. - At effectiveness – Year 0 (November 19, 2014) amounts will be transferred to the Treasury in a designated GPE account. - For every 6 months, the World Bank will disburse to the Government GPE designated account upon: (i) fulfillment of respective DLIs - independently certified; and (ii) fulfillment of its obligation/eligibility; and (iii) evidence of the eligible program expenditure.
Funds Flow

DESIGNATED ACCOUNT (B) IN BOU DESIGNATED ACCOUNT (A) IN MoES GPE ACCOUNT 1 (UGX) MoES GPE ACCOUNT 2 (UGX) DISTRICT GENERAL FUND DISTRICT EDUCATION ACCOUNT FOR GPE FUNDS • The US$ 100 million Grant includes $7.9 million in unallocated funds. This includes $3 million for SoS; $1.9 million for ECE instructor training; $1.1 million for inspection and $1.9 million for the ECD policy. Audits: Ministry and LG internal auditors will be relied on in their work regarding internal control reviews while external financial audits and value for money audits will be carried out by the Supreme Audit Institution – Office of the Auditor General (OAG) as mandated by the law. The results of these audits could form part of the annual performance assessments to inform DLIs. Disbursement Linked Indicators. The disbursements for Component 1 and 2 of the
Project are conditional on the achievement of agreed program implementation performance and progress targets that are presented in Table 2 in Annex 1. These are identified as Disbursement Linked Indicators (DLIs). Retroactive disbursement up to the amount of US$3 million will be available for
expenditures undertaken under Component 3.
Advances for results to be achieved and eligible expenditures will be available as per
agreement between the World Bank and the Government as a function of clearly
demonstrated needs for advances during implementation. In order to enable the Government
of Uganda to fully and adequately fund the budget needs of the education program given cash
flow constraints, notably, an advance for contracting of construction companies will be necessary
for the districts, and similarly an advance for the contracting of publishing companies will be
required for the instructional material provision. This is standard for these procurement contracts.
Actual expenditures against the advance so made will be documented in the first Interim
Financial Report to be submitted by the GoU upon effectiveness.
Eligible Program Expenditures. Under Component 1 and 2, the World Bank will
finance, up to a capped amount and subject to any deductions equivalent to the price of unmet DLIs, particular expenditures which are a part of the project's budget of eligible activities. These expenditures are clearly identifiable in GoU financial management information system and are referred to as Eligible Program Expenditures. Following a sector-support program principle, the World Bank/GPE funds would not be separately tracked and the World Bank will accommodate withdrawal applications from the Grant as long as the overall expenditures eligible under the EPEs are more than or equal to the amount to be withdrawn from the Grant, and fiduciary oversight of the funding is acceptable to the World Bank. However, unless otherwise agreed, not more than 70 percent of the amount to be disbursed will be applied against reimbursement of expenditures in the EPE for employee-related expenses and the remaining 30 percent will be applied against total expenditures in the rest of the EPEs so that the disbursements are not all applied towards salaries. This will only be applied when expenditures for the School Facility Grant and the Instructional material will start to be incurred, expected around mid-term review due to the time necessary to undertake procurement and make the first deliverables on construction and textbooks. The expenditure mechanism satisfies Bank policy and in particular the three pillars in OP 6.00, namely, (a) the expenditures are productive and necessary for the success of the sector program; (b) they contribute to solutions within a fiscally sustainable framework; and (c) acceptable oversight arrangements are in place. A brief description of EPEs under the Project is provided below. (i) Performance and Needs-Based School Facility Grant Type: Recurrent Budget Vote: Vote 500-850 Description. School Facility Grant Oversight. The grants are transferred directly to a LG special account for the SFG. Funds are spent in accordance with SFG guidelines for FM and procurement which have been agreed with the World Bank. (ii) Eligible expenditures for Instructional Material Type. Recurrent Budget Vote: Vote 13 Description. Instructional Material for Primary education (iii)Employee related expenses of Pre-primary and Primary education functions of all district local governments Recurrent Budget Vote: 500-850 Description: Pay and allowances for district and provincial employees of the School Education Department. Oversight: Salaries are subject to overall payroll controls which are considered adequate with the implementation of the project's technical assistance and financial management activities, including a teacher mapping exercise. Personnel records are maintained at the Ministry of Public Service
Procurement
26.
As part of the project, Government of Uganda is expected to invest: (i) $14.8 million for provision of instructional materials under Component 1, and (ii) US$43.8 million for construction of school facilities under Component 2. These have been defined as part of the Eligible Program Expenditures. Further, US$14.9 million from Component 3 will finance technical assistance. Only the procurement under Component 3, the instructional materials, and the school facilities construction procurement will be conducted in accordance with Bank guidelines. The procurement under the grant will be conducted by the following agencies Procurement
Responsible Agency
Instructional materials (US$14.8 million) Ministry of Education and Sports Construction of School Facilities in up to 290 The respective Local Governments except schools (US$43.8 million) that do not meet the where they are deemed not to have functional basic minimum standards for quality service capacity in procurement and contract delivery. 17 Defined to include at least a Contracts Committee, at least 1 procurement officer and at least one graduate engineer Implementation Support and Capacity Building Ministry of Education and Sports (US$14.9 million) Use of National Procurement Procedures

28.
For the EPE and Component 3, all contracts procured at the national level following National Competitive Bidding (NCB) and other lower procurement procedures such as Shopping, may follow the national public procurement law (the Procurement and Disposal of Public Assets Authority (PPDA) Act, 2003) and attendant regulations. These procedures have been reviewed by the World Bank and found to be acceptable, except for the following provisions, which will not be applicable under this project: Application of Domestic Preference under NCB. Domestic Preference shall only be applied under ICB. Charging of fees for dealing with bidder complaints at procuring entity level. The procuring entities shall not be allowed to charge fees for dealing with complaints. Selection of Consultants: The procedures for Selection of Consultants under the PPDA Act shall not apply. Only the World Bank's guidelines shall apply for selection of all Consultants under the project. Disqualification of Bidders for not purchasing the bidding documents from the Ministry of Education or the District Local Government shall not apply. Ineligibility shall in addition to firms suspended by PPDA extend to firms debarred or suspended by IDA. Paragraph 6 (1) (b) of the 4th schedule of the Act restricting contract amendments to an aggregate amount of 25% of the original contract amount. Regulation 53 (9) Restricting the use of bid securing declarations to restricted domestic bidding and quotations procurement. The declaration may also applied for National Competitive Bidding. Under the proposed project, procurement processing under the project shall also in addition to the World Bank guidelines comply with the national approval system except where the two conflict, that is when the World Bank Guidelines will take precedence. Specifically, the Contracts Committees shall perform their oversight functions at every key procurement stage as required by the PPDA Act, and contracts shall be subjected to the Solicitor General's clearance where applicable. Procedure for Shopping: Shopping shall follow the Request for Quotation (RFQ)
procedures as defined in the PPDA Act and attendant regulations. These procedures have been reviewed by the World Bank and found to be satisfactory subject to the exceptions under para above. The thresholds for Quotations Method under the PPDA Act shall not apply. Arrangements for Procurement of Contractors for School Facilities Construction
Procurement of contractors shall be conducted by the respective LGs in which they are located. The procurement shall follow National Competitive Bidding procedures and overall implementation shall be guided by the School Facilities Grant (SFG) Guidelines. The guidelines shall be revised to address recent implementation challenges. The following arrangement shall specifically apply in procurement of contractors and supervision of construction Procurement within a district shall be aggregated to the extent possible to ensure cost effectiveness and attract competent contractors to participate. In this regard there shall be only 1 lot for all schools within the district expect where the contract amount is estimated to be too large to attract the expected caliber of contractors Standard Bidding Documents and designs and BoQ shall be prepared by the Ministry and subjected to the World Bank review in one package before being customized for the respective districts. A joint invitation for bids shall be published by the Ministry across districts. Bids shall be received and opened in the respective districts. Bids shall be evaluated by a District evaluation team but including at least 1 Ministry member preferably a Civil Engineer Procurement of Contractors shall be conducted at Central Level by Ministry of Education for District Local Governments that are established not to have functional capacity in
procurement and contract management. The functional capacity is measured by the following: at
least a Contracts Committee, at least 1 procurement officer and at least one graduate engineer.
Details of the procedures will be contained in the Project Implementation Manual. Supervision
(including certification of payment) shall be done jointly by the Districts and the Ministry.
Procurement Thresholds to be applied in the Procurement Plan
Expenditure
Contract Value Threshold
Procurement
Contracts Subject to
Category
Prior Review
US$5,000,000 and above Below US$5,000,000 As specified in PP Below US$100,000 US$ 500,000 and above Below US$500,000 As specified in PP Expenditure
Contract Value Threshold
Procurement
Contracts Subject to
Category
Prior Review
With firms above US$300,000 Quality and Cost With individuals above With firms up to US$200,000 Qualifications/Other With Individuals up to 4. Non-consulting US$500,000 and above Below US$500,000 As specified in PP Sole source / direct As specified in PP terms of reference Procurement Plan and Procurement Packages
A procurement plan has been prepared and is available on the project file. A summary covering contracts subject to international competition is indicated below. Goods and Works
Inspection
Estimated
Procurement
Contract Description
Amount in
Closing-
Contract
Acceptance
printing of learner primers and 1,921,624.61 ICB teachers guides for EGR for P1 and P2 in clusters 1, 2 and 3 printing of learner primers and 1,080,224.15 ICB teachers guides for EGR for P2, P3 and P4 in Clusters 1, 2 and 3 Print of Non- textbook materials for P1 and P2 curriculum materials (Curr, TGs and TRBs) Lot 1 and printing of TIET modules for 45 PTCs Lot 2 Procurement of Textbooks and 10,297,727.84 ICB Teachers' Guides: Lot 1: Mathematics P1-P7 and Lot 2: English P1-P7 Procurement of Disability Friendly
18 A shortlist of consultants for services estimated to cost less than US$300,000 equivalent per contract may consist
entirely of national consultants in accordance with the provisions of paragraph 2.7 of the Consultant Guidelines.
19 Consultancy services estimated to cost below US$5,000 equivalent will not be subject to prior review by the Bank
subject to their inclusion in the agreed Procurement Plan.
Goods and Works
Inspection
Estimated
Procurement
Contract Description
Amount in
Closing-
Contract
Acceptance
Materials (hearing assistive devices) Desiggn supply and installation of 20-Dec-2014 22-Jul-2015 Inspection information system 185 motor bikes for TIET, DES and 1,054,500.00 ICB Solar powered computer systems for PTCs and CCs (laptops, speakers, vidio camera, web- camera, projector screen, solar panel and batteries) Consultants
Estimated
Submission/
Selection
Prior/ Post
Contract
Description
Training of 4,000 school administrators Lot 1: Central, Lot 2: Eastern, Lot 3: Northern and Lot 4: Training of 10,000 SMC members Lot 1: Central, Lot 2: Eastern, Lot 3: Northern and Lot 4: Western Hire of independent firm to carry out bi-annual assessments for the project for the 3 years under PCU Development of SBD and Guidelines for procurement of Instructional Review of the existing and development of new Education Sector Procurement Risks and mitigation measures

Ministry of Education and Sports
The MoES has a long established Procurement and Disposal Unit (PDU) which is responsible for all procurement activities. While some capacity has been built over the years, there is a need for continuous capacity building due to the Government's policy of 3 year staff rotation. There are major delays in procurement and overall weak contract administration including major payment delays resulting in delayed or incomplete delivery and high costs. A summary of the key risks and mitigation measures is indicated below
Ministry of Education and Sports
Risk Factor
Mitigation Measure
Timing and
Responsibility for
Implementation
Internal Manuals Insufficient practical Prepare manual to elaborate Prior to Effectiveness and Clarity of the experience among the procurement arrangements as part of Procurement procurement Unit and the project preparation as a condition of Contracts Committees leading project effectiveness to delays or wrong Organize mentorship or training Within 6 months of programs to build confidence and effectiveness / WB skills in procurement Inadequate arrangements and Project to support the development of packaging of procurement for manual and standard bidding instructional materials documents for the procurement of (IM)leading to high costs Insufficient staffing within the Hire Procurement Specialist with Prior to Effectiveness Ministry to handle the experience and skills in IDA Ministry and Project Procurement and insufficient skills and experience in IDA procurement leading to delayed implementation and poor procurement outcomes Procurement Inadequate oversight on Conduct 6 monthly internal audit of MoES Internal Audit Planning and procurement and monitoring (i) timeliness of procurement, (ii) / Every 6 months Procurement of progress against plan timeliness of delivery, (iii) Quality of Oversight leading to delayed goods delivered and (iv) timeliness of payment. Audit to be done and reported on at least 6 monthly as a covenant in agreement. Thereafter monitor implementation of recommendations Procurement Insufficient technical staff to Hire additional staff especially within Prior to Effectiveness support procurement leading the CMU (at least 4 Engineering Management to poor quality bidding staff) to augment Ministry capacity. documents, providers and contract management Delays in project or increase Strengthen contract management and Within 6 months of Management and in claims due to slow contract reporting schemes with PDU effectiveness and Administration responsible for reporting on overall progress on contract implementation Delayed payments to and recommending measures to providers leading to high costs address delays including (i) and slow implementation enforcement of penalties for delays, Risk Factor
Mitigation Measure
Timing and
Responsibility for
Implementation
Substandard goods or works, (ii) better management and loss of benefits, shortened enforcement of securities, (iii) timely Hire sufficient technical staff to Poor management of support contract administration performance and advance guarantees leading to weak Partner with non-state actors to mitigation measures for monitor delivery of instructional materials and construction of schools Substandard goods and works while providing sufficient due to Inadequate verification information for monitoring of of delivery and adherence to standards and weak beneficiary involvement Conduct independent verification of works and instructional materials as part of DLI monitoring using an independent firm with terms of reference and qualification satisfactory to IDA Governance, Falsification of bidder Due diligence to be conducted on Fraud and qualifications and bank veracity of bidder qualifications prior Implementation / Corruption guarantees leading to hiring of to contract award. Also verify unqualified contractors guarantees prior to release of funds
District Local Governments
Risk Factor
Mitigation Measure
Timing and
Responsibility for
Implementation
Internal Manuals Insufficient guidance on the SFG Manual to be prepared to guide Prior to Effectiveness and Clarity of the procurement arrangements procurement and contract Procurement Organize training and sensitization programs to build confidence and skills in procurement for the core procurement (January participating district staff Oversight Inadequate audit of MoES shall hire consultants with Mid Term and End of procurement by PPDA due to ToR satisfactory to the IDA to limited coverage conduct joint FM and Procurement at midterm and end of project Insufficient staffing within the Ministry to support procurement and Local Governments to support supervision of works in the districts implementation / procurement and contract through Ministry Engineers and Engineering Assistants and to do joint works certification with LGs Procurement Inadequate advertising leading Ministry to run a central advert to a low bidder response ensuring disclosure of adequate Management procurement / MoES Alteration of pre-disclosed bid District Contracts Committees to be Risk Factor
Mitigation Measure
Timing and
Responsibility for
Implementation
evaluation criteria during the sensitized to check for adherence to Delays in project or increase MoES to support LGs in Management and in claims due to slow contract management of contracts Administration Delayed payments and inadequate supervision leading to high costs and slow implementation Substandard goods or works, loss of benefits, shortened project life Governance, Falsification of bidder Due diligence to be conducted on Fraud and qualifications and bank veracity bidder qualifications prior to Implementation / Corruption guarantees leading to hiring of contract award. Also verify unqualified contractors guarantees prior to release of funds Substandard goods and works Collaborate with non-state actors like due to Inadequate verification the Uganda Contracts Monitoring of delivery and adherence to Coalition to monitor procurement ad contract management Lack of bidder confidence Disclosure of Best Evaluated bidder Prior to contract leading to low participation notice on the noticeboard and the PPDA Tender portal to specify reasons for not selecting bidder MoES to conduct road shows with Contractors Associations to build bidder confidence in the transparency
Frequency of procurement supervision
Supervision / Implementation Support Post Review Frequency: 20% of contracts

Environmental and Social (including safeguards)
35.
Key Environmental Impacts. The project is envisaged to take place in selected public primary schools, where construction and rehabilitation of classrooms and sanitation facilities will be done. The civil works activities have potential to generate localized, site-specific environmental impacts. Environmental impacts associated with such civil works are encountered mostly during construction and very few during operation phase. During construction, the generic impacts may include among others dust and noise pollution, occupational safety of workers and the nearby members of the public, construction waste management, and so on. The impacts will be managed through provision of safety gear to all workers, minimization of dust by water sprinkling and regulating traffic at the construction site and neighboring establishments. The construction sites will be cordoned off to avoid access by the pupils and non-construction staff. The schools to be selected are in rural areas and the sanitation facilities to be constructed are pit latrines which will not require use of water. Provision of improved sanitation facilities in schools is expected to have a positive impact on improved health status of pupils and teachers resulting from proper disposal of faecal matter and reduced pollution of water sources through indiscriminate disposal of human waste. However, when the pit latrines get full, they will be emptied using cesspool emptier and the sewage taken to the nearest sewage treatment plant operated by National Water and Sewerage Corporation (NWSC) for treatment and disposal. The classrooms to be rehabilitated or constructed will provide conducive working and learning environment to teachers and pupils. After construction, all the construction debris will be removed from the sites and disposed of in accordance with guidance which will be provided by ESMPs. Environmental Safeguard Policies triggered and Safeguard instruments used
Because of the localized, predictable/known and readily mitigateable impacts, the project was assigned Environmental Category B. The following environmental safeguard policies were triggered: a. Environmental Assessment OP/BP 4.01 is triggered because the project will support
civil works activities with a potential to generate localized, site-specific environmental impacts. In order to comprehensively address and guide implementation of environmental and social aspects of the project, the Uganda Post Primary Education and Training (UPPET) project Environmental and Social Management Framework (ESMF) was adopted, revised by Ministry of Education and Sports and applied to this project. The adoption and revision of the UPPET ESMF for use in this project was largely consultative involving wide-stakeholder groups that included Ministry of Education and Sports, Ministry of Lands Housing and Urban Development, District Education Officers, District Engineers. The consultations also involved conducting the GPE validation workshops in November 2012 and May 2013 and these involved government ministries, NGOs, CSOs, DPs and the World Bank. The ESMF has identified environmental impacts generic to the proposed project developments and an environmental screening process will be implemented. The ESMF has also provided a framework for development of ESMPs where necessary, including monitoring and reporting formats. grievance handling mechanism has been provided in the ESMF and this will be included in the Project Implementation Manual (PIM). A chance finds procedure has also been included in the ESMF. Upon confirmation of the project locations, the sub projects will be grouped by district and respective sets of site specific environmental assessments undertaken and project briefs prepared by the MoES. ESMPs will be developed under each project brief to guide site implementation of mitigation measures. Mechanisms for implementation of the safeguard requirements shall be included in the PIM and project financing agreements. Specific Management measures of the waste generated during construction and operation will be provided in the ESMPs. b. Physical Cultural Resources OP/BP 4.11: This is triggered because the project will
support investments in civil works and may affect physical cultural resources during earthworks and associated excavations. In order to take care of any physical and cultural resource that may be found during the civil works, the project ESMF has included chance finds procedure and management. The respective ESIAs to be undertaken (compilation of Project Briefs & ESMPs) will include site specific PCRs investigation, assessment and management. Social (including Safeguards) The project is expected to have significant positive social impact especially lifting up long-term educational standards. The project expects to raise the quality of basic minimum standards in schools including improving the learning environment in selected beneficiary schools, the majority of which are rural based including schools from vulnerable indigenous Peoples communities. The project will undertake low scale and limited civil works on classrooms, and pit-latrines in selected existing public primary schools, with limited possibilities of land acquisition/ displacement of land use. The project will also cause a concentration and presence of some construction workers at construction sites. The sites drawn from the 450 national public list of schools will be selected using agreed scientific criteria informed by infrastructure needs assessments that have been undertaken by the Ministry of Education and Sports; but also cautious of regional balance for equity. The project thus has a built-in selection criterion for final beneficiary schools for screening land ownership and use prior to the implementation and start of any constructions works. The project triggered OP 4.12 Involuntary Resettlement because of the envisaged
limited displacement of land use due to construction classrooms, and pit-latrines in existing public schools. There will be no land acquisition because schools without proof of land ownership will not be supported by the project. The design of this project was informed by: a) experience/guidelines of the School facility Grant (SFG) implementation model under which funds are channeled and construction is implemented through district structures; and b) lessons and experiences learnt from the implementation performance of the social safeguards under the World Bank funded Uganda Post Primary Education and Training (UPPET) Project. The UPPET resettlement policy framework (RPF) was reviewed and adapted to guide the implementation of this project. Conclusions from the UPPET RPF review: The review of the project RPF is informed
by the following lessons/conclusions from the performance of the implementation of the previous related project under MoES: (a) The MoES' implementation and reporting on UPPET RPF including basic screening of the projects before commencement of civil works was weak. No Resettlement Action Plans (RAPs) were prepared and no guided compensations were made according to the RPF in a few schools where involuntary displacement of land uses and livelihoods occurred. The schools resolved the compensation issues through informal community mechanisms; (b) The implementation of GPE Teacher Effectiveness project will follow the school facilities grant (SFG) approach, whose implementation is by District Local government institutions and the School Management Committees (SMCs). This will require a structured chain of capacity to be developed (from MoES, the District Education Department, District Works Department as well as the SMC) to comply with implementing the RPF and other social issues identified; (c) The MoES as well as the Local Governments have capacity gaps to facilitate effective implementation of the World Bank's social safeguard policies including involuntary resettlement policy (OP 4.12), and (d) That the failure to identify and appropriately deal with the land acquisition issues according to the Bank recognized system through application of the RPF under UPPET, MoES did not get the opportunity to experience the development of specific sub-project RAPs and using the recommended grievance redress mechanisms. Key review recommendations: (i) through the Grant Agreement, it is MoES' legal
commitment to adhere to the implementation of social safeguard requirements of the project. Social screening of each construction sub-project will be undertaken and documented prior to commencement of any civil works, and appropriately prepare RAPs where relevant; (ii) For effective implementation, monitoring and reporting of social issues including inequality gaps of regions/districts with schools below BRMS for schools infrastructure, with possible land use displacement, the MoES will require a designated staff or hired consultant on a retainer basis at the Ministry Headquarters to coordinate the implementation, monitoring and reporting. At Local Governments, MoES will involve relevant structures such as the District Education Officer, District Inspector of Schools and District Engineer in close collaboration with Community Development Officer and SMC in conformity with the SFG approach. These social safeguard focal persons from the relevant structures including the SMCs will require sensitization and on-the-job training to understand and implement of the involuntary land displacement issues according the World Bank policy OP 4.12 on Involuntary Resettlement. The RPF specifies the process of preparing, reviewing, approving and implementing the subsequent Resettlement Action Plans (RAPs) before relevant civil works are initiated. Although the project aims at existing schools, during implementation for the project activities, should resettlement issues be identified, appropriate RAPs will be prepared in consultation with the affected individuals and communities to address specific impacts, proposed mitigation measures and compensation issues. This will be in line with selection criteria for beneficiary institutions and schools under component 2 (school effectiveness). Preparation and implementation of the RAPs will be based on the laws of Uganda and the World Bank policy (OP/BP 4.12). Other social impacts resulting from construction of classrooms, and teacher's houses have be addressed through the environmental and social management framework (ESMF). The project triggered the social safeguard policy OP 4.10 Indigenous Peoples. The
project is covering areas inhabited by the Ik in Kaabong District in Karamoja region and Batwa in 4 districts South Western Uganda; namely Kasese, Kisoro, Bundibugyo and Kanungu The total potential priority schools identified in the project are 28; with the following allocations: Kasese (2 potential schools); Kisoro (2 potential schools); Bundibugyo (6 schools) and Kanungu (16 schools), and Kaabong (2 schools). A social assessment undertaken in the districts of Kaabong for the Ik and in Kasese, Kisoro, Bundibugyo and Kanungu districts for Batwa confirmed their existence. i) Ik in
Karamoja region: Two schools were potential priority schools. However, district visits and
consulations indicated that the Ik were only resident in Kamion subcounty but not Lolelia Sub-
county, thus leaving only one priority school - Timu Primary School in Kamion subcounty.
Further information established that Timu Primary school was a 'community' school but not a
government/public school as reported in the education management information system. This
implied the school cannot be a priority school as the project will only focus on public schools,
disqualifying Timu Primary school by selection criteria. There, project will not affect
school/community for the Ik of Karamoja region. ii) The Batwa of south-western Uganda:
The Batwa are found in all the four districts and have potential priority schools identified by the
MoE - Kasese (2 potential schools); Kisoro (2 potential schools); Bundibugyo (6 schools) and
Kanungu (16 schools), with the biggest number being under Kanungu District. Results from the
social assessment were integrated in the design of the project to ensure that the project avoids
any potential adverse effects on the community and to ensure that any feasible effects are
minimized or/and mitigated. The screening and social assessment was undertaken through an
informed and consultative process, with full respect of the rights and cultures of the IPs people
and other community stakeholders.
44.
An indigenous People's Planning Framework (IPPF) based on the SA was prepared,
consulted upon and disclosed before project appraisal. The IPPF sets out the measures that the Government will ensure the IPs will receive culturally appropriate social benefits and any adverse effects are avoided, minimized, mitigated or/and are integrated in GPE project. Community empowerment tools will be specifically tailored to reach and impact the IPs in line with the action plans defined. Gender Mainstreaming: The social assessment recognized the project's broader focus in
addressing binding constraints to raising quality and standards to pupils' numeracy and literacy achievement as measured by their performance across of genders. However, the assessment recommends that the project will pay attention to particular gender based challenges contributing to low standards and quality for girls rather than boys in schools related to teachers including regional imbalances, hard to reach and post conflict areas in order to contribute to sustainable improvement. The challenges included: 1) Poor learner readiness for primary resulting from; a) gender disparity in numbers of male and female teachers in schools on a regional basis that has serious implications on enrolment and success of the girl children, b) poor performance of girls across all regions; c) high dropout rates of girls due to the sexual and gender based violence (even within schools). It is recommended that the project will encourage female role models in schools to promote pass rates for females; promote benefiting districts to take affirmative action to address gender imbalance in recruitment and training as well as interventions to reduce absenteeism. 2) Low teacher effectiveness of female teachers due to: a) less time for in-service training; b) denial for maternity leave; c) inadequate training and qualifications as well as low job satisfaction for female teachers. It is recommended that the project promotes fair and equal distribution of teacher responsibilities in schools. 3) Weak school management manifesting in low representation of women on the committees and school/education related gender issues not articulated in SMCs. An assessment of the school management committees will be reviewed with the intention to improve representation of the women as well as promote training of SMCs on gender issues in the school setting. 4) The female teachers suffer more low teacher motivation because they are paid less due to less qualification, many do not have leadership positions in schools, less upgrading /in-service opportunities and poor school work environment including no accommodation. The project will support teacher houses including improving design and quality of accommodation in the selected schools which may resolve this challenge; and promote equal and fair distribution of responsibilities. The arrangements for implementation and monitoring the resettlement and compensation activities (where applicable) will fit in the overall monitoring program (including the school selection criteria) of GPE, which will fall under the overall responsibility of the Construction Management Unit (CMU) of MoES in coordination with Social Development Consultant (to be recruited) and District Education Departments under the responsibility of the District Works Department (District Engineer). Periodic evaluations will be made to establish which schools were associated with displacement of land use and livelihood in order to determine whether project affected persons (PAPs) have been compensated and any grievances settled according to the grievance mechanism provided. Successful implementation of the RPF, IPPF and ESMF will rely on the following: a) MoES designating a personnel /recruiting a social development consultant to work in close collaboration with District Education Department to ensure that the RPF, IPPF and ESMF are fully owned, activities are screened and appraised adequately; b) Regular monitoring and reporting on the track performance of activities (even when there have been no triggers in schools). The designated staff/social development consultant will provide technical advice on the social management and mitigation planning to ensure that the RPF and social aspects within the ESMF are fully implemented and reported upon. The GPE project will also provide necessary capacity building for the designated personnel in order for the staff to expand knowledge and understanding on resettlement issues within the Ministry and line implementing District departments. Summary of Safeguard Policies Trigger Status
Safeguard Policies
OP/BP 4.01 is triggered because the project will support civil Assessment OP/BP 4.01 works activities, including earthworks, excavation, and provision of sanitation facilities. Compliance has been ensured through the ESMF and site specific ESIAs where need arises, and the chance finds procedure. ESMPs will be developed to guide site implementation of mitigation measures. Mechanisms for implementation of the safeguard instruments shall be included in the PIM and project financing agreements. Natural Habitats OP/BP OP 4.04 is not triggered because the project will not support any work on natural habitats. Forests OP/BP 4.36 OP 4.36 is not triggered because the project will not affect the management of forests and neither will it support forest logging operations. Pest Management OP OP 4.09 is not triggered because the project will not involve use of Physical Cultural OP 4.11 is triggered because project investments involve civil Resources OP/BP 4.11 works and may affect physical cultural resources through the earthworks and excavations. Compliance will be ensured through the ESMF and site specific ESIAs where necessary and the chance finds procedure. The respective ESIAs that may be undertaken (compilation of Project Briefs & ESMPs) will include PCRs investigation, assessment and management. Indigenous Peoples OP 4.10 is triggered because the priority schools identified fall with the IP inhabited areas of Ik in Karamoja region and Batwa and South Western region of Uganda. A screening and social assessment confirmed the existence of IPs in the districts of project operation, namely Kaabong, Kisoro, Kasese, Bundibugyo and Kanungu, with a total of pre-selected 20 priority schools in the five districts. An IPPF was prepared to guide the subsequent development and implementation of Indigenous Peoples Plans (IPPs) during project implementation. Involuntary Resettlement OP 4.12 is triggered because the project has potential to cause OP/BP 4.12 displacement of land uses without resulting in physical relocation due to limited civil works for construction of classrooms, teachers' houses and latrines in already existing public primary schools. The PAD sets out that final selection of the schools to benefit will be based on agreed scientific criteria informed by infrastructure needs assessments that have been undertaken by the Ministry of Education and Sports. Compliance will be ensured through the Resettlement Policy framework (RPF) and site specific Resettlement Action Plans (RAPs). A Resettlement Policy Framework (RPF) used under UPPET project was adopted, revised and applied to this project. The RPF specifies the process of preparing, reviewing, approving and implementing the subsequent Resettlement Plans (RAPs) before relevant civil works are initiated. Safety of Dams OP/BP OP 4.37 is not triggered because the project will not support or Projects on International OP 7.50 is not triggered because the project will not affect any Waterways OP/BP 7.50 international waters. Projects in Disputed OP 7.60 is not triggered because the project will not be Areas OP/BP 7.60 implemented in disputed areas. All the structures to be constructed and/or rehabilitated shall follow standard construction norms, including gender and disability requirements. Disclosure of Safeguard Instruments
The ESMF and RPF have been approved and disclosed in September 2013 both in- country and at Infoshop. After confirmation of project sites selected, where necessary ESIAs and ARAPs will be prepared before any construction works begin and disclosed both in-country and at Infoshop. In the event that ESMPs suffice as determined through the screening process provided in the ESMF, independent ESIAs will not be undertaken.
Capacity for Safeguards Implementation

Ministry of Education and Sports (MoES) will take lead in the implementation of the safeguard requirements of the project, and will be assisted by the relevant District Local Governments. At the MoES, an Engineer in the Construction Management Unit (CMU) has been assigned to oversee implementation of environmental land use displacement aspects. The safeguards capacity of the MoES is recommended to be reinforced and strengthened through involvement of the respective District Environment Officers, District Engineers and District Community Development Officers, who will specifically undertake environmental screening and participate in the development and implementation of the EMPs, including reporting. The District Level staff will be expected to submit progress reports to CMU who in turn will compile the environmental and social progress reports and submit them to the Project Coordination Unit. This however, calls for very good coordination and involvement of the district officers, who in most cases are not well facilitated resource-wise to undertake day to day work. In order to strengthen the capacity of CMU and/or any other unit designated for additional management of social safeguards, an Environmental/Social Development Consultant shall be hired on a retainer basis. The basic functions will include preparation of Environmental and Social Management Plans (ESMPs), RAPs, IPPs, monitoring and reporting implementation of environmental and social aspects. In addition the Environmental/ Social development consultants will undertake capacity building of relevant safeguard designated staff of MoES Planning Unit, CMU, Districts, SMCs and communities on implementation of the environmental and social aspects. In addition, monitoring exercises will also involve School Management Committees, whose capacity shall be developed by CMU, District staff and the hired consultants. As earlier indicated, Town/Municipal or District Environmental Officers have requisite training and expertise to undertake necessary monitoring without added technical capacity enhancement. For social safeguards, Community Development Officers social knowledge would be enhanced to support the implementation and monitoring of social issues including the RPF and IPPF. Financial facilitation would however be necessary for their effective participation. However, a better understanding and appreciation of safeguard requirements may need to be enhanced through discussion of modalities for implementation of the project ESMF, RPF and IPPF. The project will provide necessary training to the environmental and social personnel in the districts. The Project Coordination team will need to include Environmental and Social Development Specialists to ensure implementation of environmental and social aspects under the Project. These specialists need to be brought on board six months after the Project becomes effective. The Environmental and Social Development Specialists of the World Bank will undertake Implementation Support Supervision and provide guidance where necessary. Safeguards in Legal Documents: The government's commitment to implement the
provisions of the safeguards instruments (ESMF, RPF and IPPE with the resultant ESIAs or ESMPs, ARAPs and IPPs) are included as specific obligations in the project legal documents. Monitoring & Evaluation 55. There are three major general monitoring systems that will yield information on
PDO, intermediate, and higher-order indicators. These systems are the (i) student and teacher
assessments conducted by UNEB, (ii) data from school inspections, (iii) data from EMIS. These
will be supplemented by data from unannounced school visits collected by the M&E unit and/or
UNEB as a part of project-specific monitoring.
UNEB administers student assessments to Grades P3 and P6 in English and Mathematics,
in a nationally representative sub-sample of schools. These are referred to as the National Assessment of Progress in Education (NAPE). Discussions are underway to include targeted GPE schools as a part of the NAPE sample during project duration. Results from these assessments will provide data on the higher order objective of the project – improvements in student learning outcomes. In addition, discussions are underway to leverage existing UNEB assessments to provide additional information on teacher competency and pedagogical practices. These additional monitoring activities will be supported through TA and DLIs. School inspections are carried out monthly and capture information in a standardized
questionnaire on teacher, head-teacher, and student presence, teaching practices, school management and administration of key activities. Design of questionnaires and data collection modalities for school inspection are being strengthened under the project. Specifically, frequency of inspections and provision of real-time inspection data to DEOs, schools, and other stakeholders is being facilitated under the project, in part through ICT-based platforms. These data will feed directly into the project M&E and provide information on several intermediate indicators. EMIS data has traditionally been collected annually in Uganda through a school census.
However, pilots are underway to support the collection of real-time school-level data directly from head-teachers, teachers, and SMC members. To the extent possible, the project will leverage promising, ongoing initiatives that provide real-time data on school functioning through mobile phones (such as Edutrac or other initiatives). MoES and the World Bank team will consult with partners to identify the most effective available tool – with a proven track-record – and that follows global standards and best practices for interoperability and sharing data across systems that can be scaled up during the project duration and become a sustainable system-wide M&E tool. This scaled-up data collection system will also be used as a source of M&E information for the project. Feedback loops and harmonization will be emphasized to link the M&E of the project with EMIS indicators and planning data used by MoES. Teacher effectiveness indicators will be collected using unannounced checks and
classroom-observations in a statistically representative random sub-sample of schools targeted by the program. Frequency of checks is expected to be once every two terms. Data collection protocol, instruments, and timetable will be designed under the leadership of the M&E unit in MoES and UNEB. Actual data collection will be undertaken by trained enumerators from UNEB. The project will also have its own dedicated monitoring system, which would provide more detailed information for assessing project implementation progress and performance. This dedicated monitoring system will function primarily through systematic unannounced school visits for targeted schools and serve as the source of information on subprogram implementation progress and performance monitoring indicators, including relevant DLIs. These unannounced checks will be undertaken in a statistically representative random sub-sample of schools targeted by the program. Data collection protocol, instruments, and timetable will be designed under the leadership of the M&E unit in MoES. Actual data collection will be undertaken by trained enumerators from the M&E unit. Frequency of checks is expected to be once every two terms. Possibilities of triangulating direct beneficiary feedback with M&E data are being
explored (possibly using the UReport platform as validation for M&E data). Potential indicators
that can be validated through this platform are identified in the Results Framework (Annex 1).
20 TA includes provision for instrument creation, pre-test, and training for classroom observations. Customized modules will be created (based on international standards, adapted to local conditions and specific in-service training provided under the program) and experience from similar undertakings in other countries will be leveraged. 21 TA includes provision for instrument creation, pre-test, and training for classroom observations. Customized modules will be created (based on international standards, adapted to local conditions and specific in-service training provided under the program) and experience from similar undertakings in other countries will be leveraged. Under the project TA, specific steps will be undertaken to assess data issues - with respect to coverage, regularity, reliability, use, and dissemination of the data - and address them. Third-party assessments: Implementation progress and performance of selected
subprograms will be assessed through reviews, validations, and process and impact evaluations
conducted by third parties contracted by the project, financed by TA, and with technical and
advisory support from the World Bank and other development partners. Reflecting their
importance, several third-party assessments are embedded into the DLIs (see Annex 1) and their
satisfactory execution and completion would also be assessed as part of the overall assessment of
the achievement of the relevant DLIs.

Role of Partners
Role
• Facilitating communication (currently) • Fostering a strong local education group • Coordinating the appraisal and endorsement of the • Coordinating applications to the Global Partnership for Education Fund • Facilitating monitoring and evaluation: • Facilitating general reporting to the GPE about education sector progress • Reapplying for GPE support • Informing the Secretariat regarding changes in government contacts • Facilitating and informing regarding changes to the Development Provide the financial support for its contractor and Contractor to Technical support towards training of tutors and supervision of teacher training to support scale up Development • Technical support & supervision of the ICT based school data collection system/Edutrac • Technical support to ECD through TA and regular monitoring of progress Development Undertaking validation exercises of budget allocations to education sector Costing Plan
MoES Lead
Component 1: Effective Teachers
Sub-Component 1.1: Improving Teacher Competencies
Sub-component 1.1.1: Provision of in-service training for tutors and teachers at early grades
Mapping of selected languages Teacher training Basic Education
Early Grade Reading Assessment (EGRA) Monitoring and Support Supervision Provision of necessary logistical support to center coordinating tutors (CCTs) based on clearly identified need. Instructional materials and Equipment to CCs and PTCs Capacity Building for TIET Development of implementation strategy for the continuous assessment program for teacher trainees Scale-up the Teacher Education Proficiency (C-TEP) course for tutors including materials printing and training. Conduct NAPE amongst in-service teachers and second year trainees exiting teacher training colleges. Sub Total
11,640,000
Sub-component 1.1.2: Improving competencies of early childhood education
(ECE) instructors for improved pupil readiness for primary
Roll-out the Community Child Care Program (CCCP) for community ECD providers. Technical Assistance for preparedness of Early Childhood Education (ECE) tutors/caregivers' proficiency program Basic Education
Reviewing and printing training materials for use in the ECE training programs.
Sub Total
2,060,000
Component 1.1 sub-total
13,700,000
Sub-compone nt 1.2: Providing equipment and instructional materials
Print and distribute early grade literacy materials to support the scale-up of the EGR model in the implementing districts only (English and local language primers as well as teacher guides). Procure and distribute instructional materials (non-textbook for grades 1-3 and textbook for grades 4-7) with special focus on the pre-qualified literacy and numeracy materials for primary school pupils (primary 1 to 7); as well as teacher reference materials. EGR materials printing, packaging, and distribution Procure and distribute disability friendly learning equipment & materials
Sub Total
14,800,000
Sub-component 1.3: Enhancing teacher supervision
Aligning and Printing thematic inspection guidelines and training manual Provision of transport for inspections Train DISs/MISs and DEOs on school based assessment, evaluation and education quality improvements Support scale up of the Associate Assessors inspection model. Training of stakeholders on internal evaluations Sub Total
2,900,000
Component 1
31,400,000
Component 2: Effective Schools
2.1. Enhancing school leadership, management and accountability
Scale-up ongoing head-teacher leadership training models Basic Education
SMC training
Sub Total
2,000,000
2.2. Enhancing realization of basic requirements and minimum standards for quality
education
Communication strategy and awareness raising of district and beneficiary school management teams& disbursement of grants to beneficiary schools Pre-constructions site visits, preparing bid docs District Local
Support for Infrastructure development in beneficiary schools 42,880,000 Gov'ts
Monitoring by Districts Engg, Engg Assis, consultants, and HQ staff Sub Total
43,800,000
Component 2: Effective Schools
45,800,000
Component 3 : Implementation Support & Capacity Building (Technical Assista
3.1. Implementation support on ECD policy review
Conduct technical studies: Evaluation of ECD policy implementation including existing models &P1 baseline study. Conduct consultative meetings for consensus building to guide ECD policy review process at both national and regional levels Basic Education
Documentation of revised: (a) ECD policy and operational standards; (b) ECE learning framework; (c) Basic requirements and minimum standards; (d) development of costed action plan for ECD
policy and operational standards.
Sub Total
3.2 Technical Assistance for ICT
Scale up of the ongoing Edutrac initiative Software Development Provide ICT based equipment to support data capture (smart phones); hardware and services Project Management and Consultants Training of inspectors Sub Total
3,990,000
3.3. Support Teacher Payroll
Technical Assistance for teacher mapping and pay roll management system Develop and disseminate guidelines on recruitment and deployment MoPS/MoESHR
Monitoring implementation Activities to improve teacher pay-roll and management Sub Total
3,040,000
3.4. Capacity building for monitoring and evaluation & assessment
Strengthening UNEB undertake quality competency based NAPE 3, 6 assessment Conducting a Impact Evaluation (mid-term and final) of the GPE Project(including procurement of consultant) Skills capacity enhancement and training of M&E staff on specialized M&E Skills including gender analysis (phased over the Quarterly monitoring of the implementation of GPE project output activities consistent with agreed results framework (a total of 12 exercise in three years) Retooling of the M&E Section (Administrative and logistical support including equipment i.e audience response systems, electronic survey tools, laptops, digital cameras, office equip) M&E- Independent verifications M&E-Procurement audits Planning
Sub Total
3,767,000
3.5 Technical assistance for the design and implementation of project activities
including capacity development.
Public awareness of GPE interventions
Annual GPE stakeholders workshops to review activity
performance results by Independent Verification firms and
Recruitment and salary for 12 staff
1,080,000
Office Equipment Vehicles (5)- coordination, basic education, M&E, DES, CMU Daily operations Sub Total
2,207,000
3.6. Development of the next ESSP Cycle.
1,000,000
Component 3
14,904,000
Total Unalloc ated
7,900,000
100,000,000

Operational Risk Assessment Framework (ORAF)
Uganda: Teacher and School Effectiveness Project (P133780)
Project Stakeholder Risks Stakeholder Risk
Risk Description: Risk Management:
1. The number of activities has been slightly reduced to raise likelihood of timely and proper 1. Stakeholder capacity to implement the project is mixed. There is capacity at the 2. The proposed project activities build upon existing programs to limit the need for additional Ministry level to implement, but with implementation capacity. shortcomings in coordination, attention to details, and ability to provide support to the Resp: Both Status: Compl Stage: Both Recurrent: sub-national level local governments. Local government capacity to oversee schools Risk Management:
that will participate in the project is moderate due to logistical and staffing 3. Capacity development at various levels has been prioritized in the project design to ensure quality challenges. School level management and timely project implementation. The capacity of training institutions will be addressed through capacity is weak with resultant challenges provision of specialized technical assistance. to implementation of school based Resp: Both Status: In Stage: Both Recurrent: components. Teacher training institutions also have moderate capacity to support improvements in the teacher training programs aimed at strengthening teacher instructional practices. Risk Management:
2. Transparency and accountability in 4. Clearly defined MoUs will be agreed upon with the relevant development partners. project implementation poses a substantial Resp: Both Status: In Stage: Imple Recurrent: 19-Nov-2015 Frequency risk due to weak oversight and non- adherence to rules and regulations most

especially at the local government and Risk Management:
5. Strategies that enhance transparency and accountability of project operations has been agreed between Government and development partners; and inbuilt in the project design to enable 3. Reliance on development partners' collaborative and institutionalized arrangements. These strategies include training of SMCs, disclosure technical assistance for the implementation of beneficiaries on the website, and increased inspections as part of the project activities. These will be of specific project activity areas such as the complemented by Third-party monitoring by non-state actors including civil society. Early Grade Initiative and early learning poses a moderate risk. Resp: Both Status: In Stage: Imple Recurrent: Implementing Agency (IA) Risks (including Fiduciary Risks) Capacity
Risk Description: Risk Management:
1. Capacity development of district directorates of education and school management committees to 1. Project implementation capacity is support learning is an integral objective of this project, through planned project interventions. The mixed. There is high level capacity at the project draws in technical assistance from development partners, notably USAID and contractors, and ministry level to provide strategic and UNICEF to support MoES in project implementation. policy oversight to project activities. The sector dialogue and collaboration with Resp: Both Status: In Stage: Both Recurrent: development partners including willingness to reform policies and operational practices is strong and positive. However, timely planning and implementation of project activities calls for additional personnel and Risk Management:
logistical support in key units. School level management systems is however, very 2. Logistical and human resource requirements will be identified through technical and fiduciary weak and pose a substantial risk to quality assessments; and provided to strengthen key implementing departments. and timely implementation of school based 3. A full time Deputy Project Coordinator supported by the project will be instituted to work with the activities. Coordinator and team especially on aspects that call for MoES' attention for the effective realization of the project preparation and implementation, including: (i) the ESSP implementation progress 2. Procurement remains very slow. Delays assessment; (ii) the financing framework for the ESSP over the coming 3-4 years including clear in payments still impede the timely assessment of the financing gap; (iii) coordination of departments to ensure effective implementation planning and integration of GPE project activities and budgets; (iv) development of the draft

delivery of the required inputs for project procurement plan for the project; and (v) timely development of the environmental and social implementation with some providers not safeguards frame works for the project including ensuring their disclosure. paid for over 6 months. Supervision of Resp: Both Status: In Stage: Both Recurrent: 19-Nov-2014 Frequency construction remains weak with non- enforcement of the remedies in the Risk Management:
3. Effective delivery of instructional 4. To mitigate against procurement related risks, the following decisions have been taken: materials could be challenging: text books -Procurement will be done by the local government and not the schools; could be delivered to the schools with no -A deadline of 1 ½ year has been established for completion of procurement of civil works, and 2 years need for instructional materials or text for instructional material. books could be delivered to schools where the text books will be stored rather than Resp: Both Status: Compl Stage: Prepa Recurrent: used for teaching. This will significantly affect the expected outcomes of the project. Risk Management:
5. Standards procurements documents will be developed. 4. Fiduciary capacity of the MoES is adequate. Funds disbursements to primary 6. Training will be provided to build the capacity of the local government. schools has been ongoing since 1997 with 7. Independent verification of effective delivery of textbooks will be conducted before suppliers are systemic improvements informed by Public paid. Expenditure Tracking Studies (PETS). To- Resp: Both Status: In Stage: Both Recurrent: date, funds are directly sent to school accounts eliminating all forms of diversion between the centre and the schools. Financial and accounting guidelines are also existent. Annual audits are also Risk Management:
undertaken. A long established Procurement and Disposal Unit (PDU) 8. An advance will be provided to ensure timely start of project implementation. responsible for procurement activities 9. The team will hold regular meetings with Finance counterparts to discuss and ensure timely release exists, and substantial capacity has been built through ongoing projects like the Resp: Bank Status: Not Stage: Imple Recurrent: UPPET. There is however, need to strengthen the capacity of the accounts section to support GPE project financial activities for timely operations. Institution of strategies that protect project resources

either through the financial or procurement processes at all levels is also necessary. 5. Timely release of government funding is critical to effective and timely implementation of proposed activities. Slow release of government funding results in delay in the implementation of project activities. 6. Disbursement through Consolidated Fund attracts risks associated with budget credibility as well as delays in release of funds with an average delay period of 45 days; which increases uncertainty from the implementation agency end. Governance
Risk Description: Risk Management:
1. A project implementation manual that further clarifies roles and responsibilities of key players will There is continued teacher and head- be developed to guide project operations; coupled with capacity development of key staff to ensure teacher absenteeism and lack of adherence to established rules and regulations including World Bank procedures. information and community oversight on the issue. Overall governance situation Resp: Both Status: In Stage: Both Recurrent: poses a substantial risk to project operations due to weak oversight and non- adherence to rules and regulations most especially at the local government and Risk Management:
2. Intensive support supervision will be provided at all levels. 3. Training of SMCs and increased inspections will be undertaken. Resp: Both Status: In Stage: Imple Recurrent: Fraud and Corruption
Risk Description: Risk Management:
Prevalence of petty and in some instances Anti-fraud and anti-corruption strategies will be inbuilt in the project design for implementation. These high level corruption is widely reported include: (a) involvement of the Inspectorate of Government in project monitoring; and (b) engagement posing a high risk to project of non-state actors in project monitoring like CSOs. Resp: Both Status: In Stage: Both Recurrent: Risk Description: Risk Management:
1. Intensive engagement with the respective players including line sectors like Local Government and 1. The design poses a moderate risk to public service has been undertaken in collaboration with the comprehensive local education group for project success. The project mainly focuses the GPE. The dialogue with Government remains strong driven by the need and desire to reform for on systemic improvements that impact better learning outcomes. learning most especially teacher training and support systems, as well as school Resp: Both Status: In Stage: Both Recurrent: based management and supervisory structures. Innovative approaches that enhance teacher motivation and school level performance will however be introduced whose design and Risk Management:
implementation may call for more multi-sectoral engagements and capacity 2. The Bank team will continue to closely collaborate with the government project implementing team. Resp: Both Status: In Stage: Both Recurrent: 2. The success of the proposed ECD related activities requires careful review and design the review ECD policy (including feasible financial outlays). Social and Environmental
Risk Description: Risk Management:
The social and environmental assessment has been undertaken, including a review of UPPET ESMF The social and environmental risk is low and RPF, which were adapted for this program. In order to reinforce the Ministry's capacity, District due to the low risk nature of the project Environment Officers, District Community Development Officers, District Engineers and District activities. Civil works under the project is Education Officers will be involved during project implementation. In addition, MoES will hire a at a moderate scale and limited to already consultant for managing, monitoring and reporting social and environmental issues. existing schools. The likely environmental and social impacts are known and readily Resp: Client Status: In Stage: Both Recurrent: 19-May-2015 Frequency mitigateable. However, the limited monitoring and reporting of implementation of Social and Risk Management:
Environmental aspects of the projects by MoES and its implementing institutions Continuous dialogue on social and environmental compliance condition to ensure effective could affect project implementation. The implementation, monitoring and reporting will be undertaken. ministry has only a part-time staff Resp: Both Status: In Stage: Both Recurrent: designated to manage and oversee the social and environmental related issues of the project. There is weak capacity to implement, monitor and report as observed from the previous projects. Program and Donor
Risk Description: Risk Management:
Duplication of efforts is possible due to the The project design has built upon existing ongoing development partner supported initiatives. Again the ongoing but small scale donor supported dialogue between Government and development partners supporting respective projects is strong and initiatives in the area of teacher training positive which will enable informed programming to avoid duplication. and school management capacity Resp: Both Status: In Stage: Prepa Recurrent: Delivery Monitoring and
Risk Description: Risk Management:
1. A clear monitoring and results framework with clear and measurable indicators has been developed Innovative interventions that call for new in consultation with all stakeholders. The monitoring and evaluation unit will also be strengthened to indicators may pose a challenge to sector support this project function. Technical supervision missions of the World Bank and full involvement monitoring processes. Unannounced visits of the development partners will further contribute to this area. are relatively more technical. High-quality and reliable implementation of these new Resp: Both Status: In Stage: Both Recurrent: approaches is at risk. Logistical and human resource constraints at various levels may also substantially constrain regular field oversight of project activities especially at the respective school sites. Risk Management:
2. Intensive training and refresher training will be provided to a well-defined enumerator team within the M&E unit of the MoES. 3. Additional TA will be provided as required. 4. Data will be triangulated via third party monitoring and direct beneficiary feedback. This approach has been tested under the UPPET project and it works well. Resp: Client Status: In Stage: Both Recurrent: Risk Management:
5. Regular monitoring of project progress will be mainstreamed in the day to day SWAp of the MoES by regular updates to the high-level and multisectoral education sector consultative committee (ESCC). Issues affecting progress including identification of strategic actions will be done in collaboration with the LEG. Resp: Both Status: In Stage: Both Recurrent: Other (Optional)
Risk Description: Risk Management:
1. The agreed results will be designed carefully and cautiously to ensure feasibility within the available Financial Management: time-frame, while still demonstrating real improvement. 1. Disbursement Linked Indicators (DLI) 2. In addition, an advance will be provided in a Project account (for DLIs) upon project effectiveness to approach. The proposed results-based ensure funding is available for immediate implementation. financing mechanism (DLI approach) 3. The validation protocol has been designed to ensure timely and effective disbursements of GPE requires that GPE funding would reimburse funds upon achievement of expected and agreed results. the eligible expenditures based upon the 4. To mitigate against the risk of bureaucratic delays, the Team is closely looking into how to reduce achievement of the agreed results. Funds the extent to which progress on one component hinges on progress in the others. would be disbursed into the Project Resp: Both Status: In Stage: Both Recurrent: 30-Jan-2015 Frequency account. This approach differs from the traditional financing modalities and requires prerequisites to ensure an effective implementation of the proposed activities Risk Management:
in a timely manner. In addition, the 5. The MoFPED has committed in a letter to the GPE Secretariat that education sector expenditures approach requires that sequential yearly excluding donor projects are projected to increase from UShs 1.473.39 billion in FY 2015/16 to UShs disbursements are triggered through a third 1.540.24 billion in the FY 2016/17, and increase further to UShs 1.827.34 billion in FY 2017/18. party validation process to confirm Education sector spending as a percentage of domestic expenditure is projected to increase from achieved results. 14.14% in FY 2014/15 to 15.41% and 15.5% in subsequent years. The LEG will continue to monitor education expenditure to ensure it increases during the period of the Project. 2. Additionality of GPE financing. The issue of additionnality should be carefully Resp: Both Status: In Stage: Imple Recurrent: addressed in order to ensure that GPE financing is in no way foreseen as a substitute to government financing for the education sector. 3. Bureaucratic delays. Given the proposed financing mechanism, bureaucratic delays could prevent the achievement of agreed results, especially with a design that relies on coordination among several departments. Other (Optional)
Risk Description: Risk Management:
In order to mitigate the risk of teachers' availability to teach in local languages, only the large language groups will mainly be considered during this first phase-in stage. One of the proposed project activities is the Resp: Both Status: Compl Stage: Prepa Recurrent: scale-up of the Early Grade Reading (EGR) initiative which promotes learning in local languages. While this model has a strong government support (approved in 2007), indicating a low level of risk, it posed a few challenges as follows: 1. Low parental support for promoting learning in local languages. Thus, parents may choose to shift their children schools to where this initiative has not been implemented. This may equally generate a larger movement of parents around this issue. 2. Teacher deployment system does not take into consideration the inability of teachers to teach in a specific local language. This will cause a notable challenge regarding teacher availability to teach in local languages. 3. Perceived discrimination against smaller language groups given that the initiative mainly looks at the large language groups. Overall Implementation
Substantial
Risk Description: The overall risk for this operation is rated substantial, mainly due to the operating environment and low implementation capacity. Governance challenges in Uganda are substantial with some donors suspending their aid in recent years citing irregularities in budget support operations. The Government of Uganda has been undertaking measures to strengthen management of development projects and programs. Specifically, this Project has sought to minimize governance risks by: (i) enhancing transparency in procurement processes for school construction and purchase of instructional materials; (ii) use of third-party monitoring as well as unannounced school visits, (iii) implementation of ICT solutions for reporting, notably for school inspections; (iv) provision of more information to all levels of the system (teachers, head-teachers, district officials and ministerial staff) in order to raise demand for accountability, and (v) technical assistance to improve the timeliness and accuracy of the teacher payroll system. The potential risks affecting the proper and well-coordinated implementation of the project will be mitigated through: (i) hiring additional staff or consultants as deemed necessary; (ii) working with development partners to jointly provide implementation support to this project; (iii) keeping project activities simple to reduce the capacity required, and (iv) scaling up existing programs and pilots. Annex 5: Implementation Support Plan
GPE Teacher and School Effectiveness Project
Institutional Capacity Assessment and Capacity Enhancement Strategy
Project Responsibilities
Capacity Assessment
Proposed capacity enhancement measures
No.
I: Ministry of Education and Sports
1.
Overall project coordination The MoES vacancy rate is For sustainability purposes, continued dialogue with and oversight over all project estimated at about 30 Government to ensure vacant establishments are filled through activities by the following: percent; thus its capacity to established mechanisms. In addition, the MoES will be implement the project provided with additional personnel through consultancy within the 3 year schedule recruitments to enable timely and quality implementation of the would be significantly project. The details per department are presented below. (a) Education Planning Government has assigned One (1) Deputy Coordinator will be recruited through a national Department – Project the Assistant Commissioner competitive process. coordination role. Planning and Budgeting as overall coordinator. One (1) Monitoring and Evaluation Consultant will be recruited However, the project poses in the M&E Unit to support the lead officer for the GPE additional responsibilities to monitoring & evaluation activities. ensure timely and quality coordination of all Independent assessment of DLIs complementing existing implementing departments. systems will also be instituted. Government will deploy sufficient staff to support the implementation of the Project. (b) Pre-primary and primary Only 8 of the 11 established One (1) GPE Technical Officer/project manager position in the education department – the user positions in the department pre-primary and primary education department will be department overall technical are filled; while 3/18 are supported by the project; to support the Commissioner execute coordination of all the software due to retire in 2014. all aspects of the GPE project under the department's purview activities undertaken by for timely reporting to the project coordination team. different departments & Capacity to implement Recruitment will be done through a national competitive furnishing the coordination safeguards is also very weak process. team with timely information at the MoES/departmental One (1) Technical Officer – early grade program to support the on progress; as well as ensuring level. department undertake the scale-up activities as planned in compliance with social & consultation with the USAID/RTI team. environmental management safeguards. Environmental and social development consultants (on retainer basis) to support the department implement the project in line with ESMF, RPF and IPPF developed. Construction management unit  Capacity of the CMU For timely and quality oversight to the school level civil works (CMU): (i) Technical oversight has been built over managed by the districts, the following will be done: over districts to ensure time through the • 5 additional full time civil engineering consultants – and compliance with SFG ongoing World Bank one quantity surveyor will be added to the CMU team. • An ICT based construction site reporting system will also project. Four (4) full (ii) Monitoring the time engineering • Capacity of engineering assistants will be enhanced for implementation of the consultants have been effective monitoring of the socio-environmental impacts of environmental safeguards added to the existing civil works projects using checklists. requirements shall be stock of CMU staff in undertaken by the CMU. addition to logistical support to ease operations (vehicles and computers). MoES also has in place a district support structure in form of ‘engineering assistants' that work with district level engineers to oversee school works.  Engineering Assistants in CMU will be responsible for supervising construction activities at beneficiary primary schools. Each Engineering Assistant is commonly in charge of supervising school construction in several (5 or 6) districts. Financial Management Unit – The financial flow and One (1) Accounts Assistant will be contracted to support the oversee funds flow, reporting accounting system has been UPPET supported financial management consultant for the two and audits. assessed as sound including operations. the internal audit system. With support from the UPPET, a financial management consultant was contracted and can ably handle GPE project financial operations. Procurement and Disposal Unit The MoES has in place a One (1) procurement specialist will be recruited to specifically (PDU) undertake PDU that executes all handle all procurement work under the project in constant procurement of instructional procurement activities in liaison with the technical departments. materials and technical consultation with the assistance consistent with World Bank guidelines. Capacity challenges of the Unit are manifest in major delays in procurement processes and weak departmental coordination. Directorate of Education The DES is established and Training will be provided to District Inspectors, District Standards (DES) – undertake staffed to about 80 percent Education Officers, and relevant staff from District Education scale up of the Edutrac/U- capacity. However, the Standards on the use of ICT-based inspection system. Report in addition to oversight institution of ICT based over district level inspection inspection systems pose a activities under the school challenge in terms of skills effectiveness component. development and additional personnel and logistical requirements to kick-start the process. II: Subnational levels
(a)
District Local Government staff As of June 2012, staffing Capacity enhancement, scale up of the associate assessors' in the target districts will be levels of local governments innovation, regular capture of key school level processes, responsible for overall project with respect to strategic updated inspection tracking system as well as logistical support oversight, funds management positions all of which have a towards inspectorate divisions of local governments are some of and monitoring of especially bearing on project the interventions to be supported by the project in target the following interventions: (a) operations was estimated an districts. procurement and management average of 50 percent. This of school facility grant sub- includes positions of the In regard to procurement under the school facility grant sub-component; (b) scaling up Chief component, districts without procurement officers will be school inspection activities; (c) Administrative/Executive advised to delegate the procurement to the MoES to ease ensuring adherence to Officer (CAO), Chief operations. established fiduciary and public Finance Officer (CFO), Continuous dialogue with the Government to ensure optimal service management guidelines Procurement and Disposal staffing at the local government levels continues through the pertinent to respective Officer (PDO), District Joint Budget Support Framework (JBSF) in partnership with interventions under support by Education Officer (DEO), other development partners. the project; (d) ensuring take- District Engineer in all the off of the ICT based system 121 districts was estimated District Environment Officers will also be involved in the improvements at this level. at 50 percent. Evidence also monitoring and reporting implementation of safeguard indicates that school level requirements. supervision by inspectors is at a low of 25 percent per year due to understaffing and weak logistical provisions which limits regular capture of school level processes for informed policy discourse. Lack of regular skills enhancement opportunities also hampers quality inspection processes. Core Primary Teachers' Capacity of tutors to support Strengthening the capacity of CCTs in pedagogy for effective Colleges and Coordinating teacher improvements in scale up of improved teacher methodologies is one of the major Centre Tutors (CCT) in the pedagogy is oft-reported to components of the project. Coordinating Centers will be catchment areas of target be weak, compounded by resourced with materials and equipment for improved teacher districts will undertake teacher logistical constraints both of instruction; while logistical support will also be provided for training and provide regular which inhibit quality and needy CCTs in target districts. The coordinating centres will teacher support in regard to regular teacher support; as also be remapped with support from the project. classroom processes in well as overload. partnership with head teachers. Schools will be the core Weak management Capacity enhancement of School Management Committees beneficiaries of project practices have been (SMCs) and head teachers is one of the core activities supported interventions assuming good observed at the school level by the project under the school effectiveness component. leadership and management manifest in high teacher practices at this level. (23%) and learner SMCs will also monitor project implementation and will be absenteeism (33%). equipped with basic skills to monitor socio-environmental impacts during and after project implementation. Implementation Support Plan
Resource Estimate
Partner Role
(in staff weeks – SWs)
Leadership and Coordination • TTLs (12 SWs) Overall coordination and supervision of project activities for quality preparation and timely start of Fiduciary preparations and oversight • Financial Management Specialist • Training for client teams (financial management and procurement) • Procurement Specialist (6 SWs) • Disbursement planning and monitoring. • Training of client procurement team including • District oversight and guidance for procurement of school civil works • Support towards preparation of procurement • Procurement reviews for EPEs including equipment for instructors and Component 3 activities. Technical guidance and oversight at start of project • Education Specialist (5 SWs) strategic interventions: • Operations officer (12 SWs) technical support • Early Grade Reading (EGR) scale up planning and • Public Service Management towards training of Specialist (3 SWs) • Teacher motivation and accountability. • ICT Specialist (3 SWs) • Inspection scale up. • Consultant Engineer/s (3 SWs) teacher training to • School civil works through districts. support scale up. UNICEF technical support to ECD through TA and regular monitoring of progress. Safeguards • Social safeguards • Social Development Specialist/s • Environmental safeguards • Environment Specialist/s (3 SWs) Monitoring (including budget allocations) and • Project monitoring & evaluation UNICEF technical evaluation specialists/consultants (5 SWs) • Systems for reporting against results framework supervision of the • Reporting for DLIs ICT based school • External validation • Impact evaluations • M&E systems strengthening European Union (EU) undertaking validation exercises of budget allocations to education sector. Leadership and Coordination • TTLs (20 SWs) • Overall coordination and supervision of project • Ensuring timely assessments of progress made on • Regular support supervision to implementing • Field work to implementing sites. Technical guidance and oversight at start of project • Education Specialist (7 SWs) strategic interventions: • ICT Specialist/consultant (5 SWs) implementation • Operations officer (20 SWs) • Continued support to implementation of the Early • Public Service Management TA. Grade Reading (EGR) scale-up & and ICT based Specialist (5 SWs) pedagogical support for teachers. • Consultant Engineer/s (5 SWs) • Ensuring timely and quality design of early grade numeracy module. • Quality implementation and monitoring of progress made with the ECE instructors training. • Ensuring timely ECD policy and standards review and dissemination. • Ensuring effective utilization of supplies. • Continued support to school report cards and inspection scale-up; and monitoring community and school improvements. • Review of respective TA products resulting from Fiduciary Oversight Financial Management • Ensuring timely procurement & adherence to Specialist (8 SWs) Procurement Specialist (10 implementation of • Ensuring compliance to financial management SWs) ECE interventions guidelines including audits and post audit actions. through TA and support to dissemination events. Monitoring (including budget allocations) and • Project monitoring &evaluation UNICEF technical evaluation specialists/consultants (11 SWs) • Progress made on against results framework supervision of the • Reporting for DLIs ICT based school • Ensuring functional and timely external validation • Mid-line impact evaluations. • Functionality of established education sector school based M&E systems. • Validation of budget allocations. (EU) undertaking validation exercises of budget allocations to education sector. Safeguards • Social Development Specialist/s Social safeguards Environmental safeguards • Environment Specialist (5 SWs) Skills Mix Required
Number of
Skills needed
Staff Weeks
Number of Trips
Minimum of 8 over 4 Task Team Leader/s Field trips to project sites as and Senior Education Specialist/s Based in country. Minimum of 8 over 4 Operations Officer Field trips to project sites as and Procurement Specialist/s Based in country when required. Field trips to project sites as and Financial Management Specialist/s Based in country Public Service management and Field trips to project sites as and Based in country governance Specialist when required. Field trips to project sites as and Social Development Specialist Based in country Environmental Management Field trips to project sites as and Based in country Monitoring and evaluation Based on contract A firm may be needed to specialists /consultants undertake the external validation. Based on contract Sr. ICT Specialist/s Field travel will be required as part of contract execution – Based on contract Sr. Consultant - Civil Engineer/s whether or local or international. Estimated costs for implementation support and supervision for 1st year:
unit cost with
Staff weeks
Item Total (US$)
Staff costs
overhead, (US$)
Sr. Education Specialist Operation officer Sr. Procurement specialist Financial Management specialist Civil work specialist Total cost of Staff
International travel Total travel
The role of Partners for supervision is described in Annex 3 Implementation Arrangements. Annex 6: Project Preparation Consultations
GPE Teacher and School Effectiveness Project
This annex summarizes the process for the preparation of Uganda's GPE project for teacher and school effectiveness. As the nominated Supervising Entity for the project, the World Bank has been closely working with the Ministry of Education and Sports (i.e., the Managing Entity) and the Chair of the Education Development Partners (EDPs) (i.e., the Coordinating Agency), and in close consultation with the Local Education Group (LEG) for the effective preparation of the GPE project. The preparation of this project has involved multiple development partners and education stakeholders who are keen to work together to improve the learning outcomes of pupils in primary education in Uganda. Throughout the GPE application process, a range of consultation activities and meetings have taken place to capture the views and insights of the many education stakeholders. The Team acknowledges and commends the continuing support and guidance received from the Coordinating Agency (CA). The regular LEG meetings convened by the CA included consistent updates and discussions around the proposed GPE project. The Team further reiterates its appreciation for the involvement, engagement as well as the valuable inputs and support from the Civil Society Organizations (CSOs) through the Forum for Education NGOs in Uganda (FENU). Figure 1 below summarizes the major consultative activities undertaken in preparation of the project: In September 2012, the Local Education Group (LEG) for the GPE in Uganda was constituted under the leadership of the Belgian Embassy (Lead/Coordinating Agency in 2012), to discuss modalities of how to proceed with the design for the project in a bid to ensure a participatory and consultative process. Government through the GPE Coordinating Team assumed full responsibilities of the Managing Entity. The current membership of the LEG includes lead technical officers from all departments and agencies that will be involved in the implementation of the project, development partners, representatives of local and international civil society organizations led by FENU, and the Uganda National Teachers Union (UNATU). Clarity of roles amongst the Coordinating Agency, Managing Entity and Supervising Entity was obtained consistent with the GPE guidelines. In October 2012, agreement was reached within the LEG on the need to hold a national stakeholders' workshop to generate consensus on strategic issues affecting quality of education in Uganda. Operational principles of the LEG were also agreed including transparency, information and communication channels, as well as timely delivery of outputs for respective players. Key milestones were also agreed which enabled development of a harmonized timeline responsive to the GPE Secretariat and World Bank procedures and guidelines. In November 2012, the GPE stakeholders' workshop was organized to build consensus
and harmonize the project interventions focus areas. This workshop has been instrumental in the design of the project. The workshop comprised participants from the Ministry of Education and Sports departments; the Education Development Partners; Civil Society Organizations; Foundations Bodies; and District Education Offices. At the end of the full day workshop, the following salient constraints to learning achievements were agreed upon in conformity with the November 2012 workshop aide memoire: a) Inadequate preparedness of children for primary education; b) Inadequate teacher motivation; c) Inadequate school governance and accountability; and d) Inadequate pedagogical skills for primary teachers. In April 2013, GPE project preparation consultative meetings were held to advance project preparation. As a part of this effort, extensive discussions were held with officials from the Ministry of Education and Sports (MoES), line ministries of Finance Planning & Economic Development, and Public Service, EDPs, education NGOs, and other education stakeholders; both bilaterally and through working groups, on the design of the GPE project. The World Bank team and MoES officials also undertook field visits to primary schools, Primary Teacher Colleges (PTCs), and ECD centers. Since April 2013, project design meetings have been conducted with the existing Government working groups: ECD, basic education, teacher education, and education standards. Each working group was assigned specific thematic areas, and guidelines were provided to facilitate discussions. Each of the four working groups developed a draft results chain and proposed activities for their respective thematic area. The outputs from the working groups (in combination with discussions with government counterparts, development partners, and (CSOs) formed the foundation of the overall project design. The Team commends the high level of commitment and effort exhibited by the working groups, evidenced by their expeditious delivery of quality inputs during the discussion and project preparation process. In May-June 2013, GPE project pre-appraisal meetings were held as part of the ongoing efforts to advance preparations for the project. Extensive discussions were held with officials from the Ministry of Education and Sports (MoES), Ministry of Finance Planning & Economic Development, and Ministry of Public Service, development partners, education NGOs, and other education stakeholders; bilaterally and through working groups. The World Bank team and MoES officials also undertook field visits to Apac and Lira districts to discuss project interventions with district officials, as well as head teachers & teachers, parents, and pupils of sampled schools. Substantial progress has been achieved since the April preparation meetings, in particular due to the outputs generated by the MoES-led working groups and the MoES staff. The working group members deserve praise for their work. In May-June 2013, several focus group discussions (FGD) were held to capture the views and insights of the target beneficiaries and local stakeholders. FGDs were held with School Management Committees (SMC) and teachers in select sample schools. In addition, FENU has been leading and communicating main messages from country-wide consultations on project related activity areas from over 70 CSOs. The feedback received from these FGDs and consultations constitute valuable inputs for the effective design of the project. On May 31, 2013, a GPE validation workshop was held by the Planning Department in the MoES to ensure that all education stakeholders are harmonized around the agreed activities and overall design of the project. More specifically, the workshop objectives included: (i) to critique, authenticate and ratify the activity proposals put forward by the GPE working groups; (ii) to further present an opportunity for stakeholders to input into the proposals put forward by the working groups; and (iii) to discuss and generate consensus on the key activities that will be supported by the GPE Catalytic Fund. The relevant commissioners presented the proposed activities for each of the project components and USAID presented potential ideas for improvement of literacy and numeracy in Uganda. Participants further discussed in breakout groups about: the relevance of proposed activities, the activity related expected outcomes, the technical assistance required to achieve the expected results and the feasibility of the projected timeframe. In addition, FENU shared valuable contributions on the ongoing application process (including the need to ensure that GPE funding does not substitute the government education sector budget; the appreciation and importance of the proposed ECD activities; the crucial need for the provision of adequate technical assistance for the success of the project; and other specific comments suggested to refine the project components). Similarly, the Coordinating Agency (CA) extended the closing remarks with helpful guidance on the way forward. In its remarks, the CA commended the GPE project design focusing on investment in teachers and schools as an avenue to improve quality learning outcomes. It noted that teachers form the backbone of the education system and focusing on their effectiveness is the correct way to go to deliver on quality education. At the school level, the CA advised to continue looking at strengthening the school governance and encouraged the Team to ensure that there is more parental and community involvement in education. The CA finally applauded the unified position, participation, and invaluable inputs from FENU throughout the process. From May 2013 through May 2014, there have been bi-monthly updates on the preparations between the World Bank and the Government of Uganda with the LEG. This has included discussions on the obligations of the Government towards education investment in education, the level of per-diems in the projects, the selection of schools for the School Facility Grant program and teacher housing, the number of vehicles and motorbikes, implementation modality, among other aspects of the project. The LEG has advised and approved the advances made in preparation during this time. In conclusion, the on-going consultative GPE project preparation has resulted in numerous positive outcomes:  Alignment with country priorities: the participatory nature of this process has ensured that
project objectives are clearly aligned with country priorities;  Better project design and full ownership: this consultative process has enabled better design
of the proposed project, with full ownership and support from the relevant education stakeholders which will eventually increase its impact with full cognisance of challenges and collective identification of mitigation measures;  Awareness raising: the numerous consultations undertaken were critical for creating
awareness around the significant constraints impeding the achievement of quality primary education in the country; and  Building on what already exists: this consultative process ensured that GPE project
interventions build upon what already exist and compliment work that is already being done by the Ministry through the Quality Enhancement Initiative (QEI) programme and various education partners such as UNICEF, USAID etc. who equally focus upon strengthening the education system. This further demonstrates the strong partnership that underpins the relationship between all actors in the education sector. Figure 1: Summary of GPE Project Preparation Consultation Meetings
Annex 7: Mapping of Development Partners Support
GPE Teacher and School Effectiveness Project
Primary education (Latest available version 2009-2011)
Support to Quality Project Mentoring CCTs, head teachers and teachers, support to implementation of BRMS. Karamoja using Mentoring and Coaching Approaching Supporting the MoES in developing a functional and comprehensive EMIS database solution that will enable relevant stakeholders at Ministry headquarters and District Education Offices to access critical data for sector analysis, strategic planning, and monitoring and evaluation purposes. UNITY provides technical support to the Ministry of Education and Sports (MoES) in order to improve the quality of education at the primary level while focusing on the northern and eastern regions of Uganda that were negatively affected by conflict. Construction of classrooms, teacher accommodation and latrines, recruitment of additional teachers to settlement schools, improve quality and school enrolment, promoting safe learning environment, procurement and delivery of school materials, promoting community involvement and participation through various education committees. Arua, Nebbi, UGX 3.100 Community re-ownership of West-Nile schools through training of SMC's, bikes for CCTs/DIS, adult literacy, teacher houses and woodlots. $4 million to WFP Training P1-4 teachers in curriculum. Implementation of the Thematic Curriculum in QEI and Moroto districts Break barriers to primary education via developing a model on better access to UPE schools and informing/influencing policy level on inclusion of child labor in education policies Support to achieve BRMS through strengthening TDMS with International Educators. School gardens for improved community participation and food security. Enabling knowledge, policy, legislative and budgetary environment created for keeping children learning and increase the percentage of enrollment in P1. In districts of additional emphasis, realize access to child friendly water and sanitation facilities in schools. Agogo, Lamwo, Amuru, Abim, Kotido, Moroto, Kaabong, Napak, Nakapiripirit, Amudat, Kyenjojo, Kyegegwa, Bundibugy Ntoroko, Mubende. The program will support the MoES in the area of early grade reading, in order to improve pupils' reading skills. It will also include support to HIV/AIDS education and the Ministry's Education Management Information System (EMIS). Through this program, USAID hopes to increase pupils' success and retention in school, promote health-seeking behaviors, and lay the foundation for the socio-economic benefits that have been demonstrated to accrue from pupils' education attainment.
Pre-primary Education
UNITY provides technical support to the Ministry of Education and Sports (MoES) in order to improve the quality of education at the primary level while focusing on the northern and eastern regions of Uganda that were negatively affected by conflict. Construction of classrooms, teacher accommodation Primary Education and latrines, recruitment of additional teachers to settlement schools, improve quality and school enrolment, promoting safe learning environment, procurement and delivery of school materials, promoting community involvement and participation through various education committees. Enabling knowledge, policy, legislative and budgetary environment created for keeping children learning and increase the percentage of enrollment in P1. In districts of additional emphasis, realize access to child friendly water and sanitation facilities in schools. Agogo, Lamwo, Amuru, Abim, Kotido, Moroto, Kaabong, Napak, Nakapiripirit, Amudat, Kyenjojo, Kyegegwa, Bundibugyo, Ntoroko, Mubende. Annex 8: Economic and Financial Analysis
Teacher and School Effectiveness Project
The economic analysis discussed here examines the returns to ‘Uganda Teacher and School Effectiveness Project' in terms of improved school completion rates. This analysis suggests that the project is viable on economic grounds with an estimated Net Present Value (NPV) of US$106.1 million with corresponding internal rate of return (IRR) of 27 percent. These estimates present the lower bound of project's expected returns given that (i) only one (private) outcome is included as a part of the benefits of the program, and (ii) we have attempted to be conservative in our assumptions in all cases where discretion was exercised in this analysis. Project Benefits
The principal benefits expected from the project are higher completion rates in primary grades. These are expected to emerge from improvements in teacher competencies, teacher effort, enhanced school accountability and improved school facilities in targeted schools. In order to undertake a benefit-cost analysis corresponding to increased completion rates. We first take stock of estimated increase in primary enrolment (from 8.3 million in 2012 to an estimated 8.4 million in 2017). From past statistics, pupils' dropout is evident and significant after grade 5 (i.e., about 200,000 pupils drop out). We therefore assume that after the project implementation, completion rate will be 90 percent and the project benefits would be accrued for 7 more years after project implementation. To express the benefits in monetary terms, we compute the forgone earnings i.e., US$348 for primary education level and then obtain the equivalent earnings for a number of pupils who successfully complete primary cycle. These benefits are assumed to spread over the seven year period after project implementation. Key assumptions made and data sources used in the benefit-cost analysis are outlined below: (a) we assume that the primary completion rate will increase from 67 percent (MoES 2012) to 90 percent by 2017; (b) discount rate on the benefits and costs streams over the project cycle is assumed to be 10 percent (see Ssewanyana, Okoboi & Kasirye 2012). Uganda's population growth adds about 350,000 children of school entry age each year (a rate of about 5.3 percent per annum). At a rate of 50 pupils to one teacher, this growth translates into an annual need of 7100 teachers per year, just to maintain optimal class sizes. Besides, the current labour force participation rate is 78.7 percent (UNHS 2009/10). From the demand side point of view, annual private education costs incurred (i.e., on school fees, transport, uniform and sports kits, books and scholastic materials and other school expenses) by households will be fixed at US$282. From a gender perspective, given the population growth of 2.2 percent (as per 2002 national census), girls in-take ratio would reduce alongside an increase in girls' enrolment by 5 percent by 2017, and gender equality assumed to be 50-50 by end of project cycle. For labour productivity estimates, we assume that entry into the labour force is at 17 years and people work 22 The Primary completion rate is defined as the total number of pupils who registered for PLE in 2010 regardless of age. Expressed as a percentage of the projected population at the official primary graduation age 12 for P7. until the age of 60. The estimates consider that pupils can get returns to labour at early age and in reality there may be a majority of them who would start earning at later age. Economic Returns to Primary Education
To estimate the effect of increased schooling attainment (years of completed schooling) on private economic returns to education. We partly estimate the Mincerian (1974) wage earnings function to demonstrate the individual/private differential earnings for different education level/schooling years and work experience. The dependent variable in this case is the log of wage earnings regressed against set of dummies for primary, secondary, tertiary, and post schooling experience, working hours. Years of forgone earnings are assumed to be 2 (for primary), 6 (secondary) and 4 (tertiary) respectively. In this calculation, we expect primary education to demonstrate higher private economic returns at the basic education level. The estimations of economic returns to primary education are based upon the Uganda National Panel Survey (2009) that suggests how much different levels of education increase individuals' income-earning ability as presented in Table 1. We also quantify the increased earnings of the primary school graduates over pupils who do not complete the cycle-for the pupils who remain in school and acquire learning as a result of the improved teacher and school effectiveness. The wage equation is estimated that related to differences (in logarithmic form) in wages for different levels of education, years of experience and working hours. The results imply that at basic education, primary education yields high private and social returns than secondary, thus justifying the need for further investment in primary education. The results further indicate that: (a) across all levels of education, private economic returns are higher than social returns due to higher resource costs of investment, (b) for basic level of education, the rate of return to an additional year of education in Uganda is above 20 percent for both males and females in urban and rural areas; and (c) economic returns also rise with increases in working time, and with diminishing marginal returns on work experience. Table 1: Rate of Return to Education Investment in Uganda (%)
Rate of Return
Secondary
Tertiary
Years of forgone earnings Source: Uganda National Panel Survey, 2009. Note: Social Rate of Return estimates are based on directly observable monetary costs to schooling and foregone earnings as suggested by Summers, 1992.
Project Costs
The total project costs is set at US$100 million to cover three components of teacher effectiveness (35%), school effectiveness (50%) and technical assistance (15%). The grant includes the total economic costs expected to be incurred in the implementation and running of the project, including investment costs, recurrent costs, and the opportunity cost of time for those pupils projected to remain in the educational system longer (and hence remain out of the labour market). Specifically, the main component of the project will be instructional material procurement, provision, and distribution sub-component, School Management and head teacher training, School Facility Grant, Early Childhood Education activities, teacher training and improved teacher support, Scheme of Service and School reporting cards program. The implicit unit cost of the student is estimated at US$12. At the 10 percent discount rate, the total present value of the benefits is US$119.2 and the opportunity costs are calculated based upon the average annual income of a primary graduate (US$348) estimated from UNPS (2009) data. We can interpret this cost as the foregone earnings by same group of pupils who were estimated to survive through the primary cycle in school. At this labour market rate, we estimate a total opportunity cost of US$430 million for the seven year period after project completion. Project Costs and Benefits
The estimates of net present value of benefits and internal rate of return can be achieved by considering the flow of costs and benefits over the life of the project and the working life of pupils affected by the project implementation. However, this realization is assumed to occur while the graduate is at least 11 years old, so no flows are calculated beyond the age of 60. Table 2 provides summary estimates of the benefit-cost ratio and internal rate of return. The economic analysis examines the returns to the project in terms of increased completion rate at primary education cycle, since there is no readily available data on teacher effectiveness. The benefit-cost ratio is estimated at 4.3 and the project yields the net present value of US$106.1 million over the 11 year period with an internal rate of return of 27 percent, thus suggesting the viability of the project on economic basis. The high benefit-cost ratio may be partly explained by the wide gap in economic returns between primary school graduates and those who do not complete primary school cycle.
Table 2: Benefit-Cost Ratio and Internal Rate of Return
Investments/Costs Benefits

Sensitivity Analysis
Since the quantitative measure of NPV and IRR are based on assumptions, for instance, fixing some parameters to be time invariant. But what if economic situations change, would the bottom line results also change and by how much? We therefore conduct sensitivity analysis to provide a way to show how project outcomes would be affected and how responsive or sensitive those outcomes would be to changes in the values of specific project variables. To assess the extent to which changes in the assumptions affect the expected benefits of the project, we provide three scenarios: first is a reduction in project benefits by 10 percent and 20 percent; second is when there is possible project delay by 1 year; and thirdly, an increase in discount rate from 10 percent to 15 percent due to economic conditions. The summary results from the three scenarios suggest that the project would be justifiably stable. However, there would be more economic losses in situations of project delay (by 1 year) than other scenarios. We anticipate that: completion rate would rise by 23 percent; labour force participation will not decline below 79 percent despite an increase in primary graduates; and no dropouts and no grade repetition since the project is partly meant to seek to increase teacher effectiveness. Table 3: Sensitivity analysis based on reduction of benefits and increase in discount
rate
Reduction in
Discount
Benefits
20% 1 year
Total Benefit (US$ millions) 430 Benefit Cost Ratio Net Present Value (US $) Internal Rate of Return (%) Unit cost Analysis: The cost effectiveness analysis for this section focuses on unit cost
comparisons of textbooks (US$14.8 million) and school construction (US$43.8 million) for components 1 and 2 of the project, respectively. The unit cost of the major project activities are compared with unit costs in other projects. In short, although unit costs of textbooks are higher than those in other SSA countries, unit cost of school construction is lower. Both are in line with unit costs from other education projects in Uganda. Textbooks. Component 1 focuses on teacher resources through provision of instructional
materials, including teacher reference materials, on the new primary curriculum. This will be implemented at a national scale. The result linked to disbursement is the number of schools with the standard kit of instructional material. The following table provides cost estimates of provision of textbooks and teacher guides for different grades. Book Types
Unit cost
Learner Primers and Teachers' Guides for P1-4 Non-textbook materials for P1 and P2 Curriculum Printing of Instructional Materials for TIET English textbooks and teachers' guides for P1-P7 Mathematics textbooks and teachers' guides for P1-P7 Guides for CCT, Inspectors, and other colleges Weighted Average unit cost

Comparison of unit cost of textbooks
Cote d'Ivoire
Uganda GPE
textbooks
Source: World Bank Project Implementation Completion Reports 13. The unit costs for textbooks presented in the table above (averages at US$1.98) are higher than recent unit costs achieved from recently concluded World Bank financed projects in Africa, but the estimated Uganda unit costs are not out of line. It should be noted that a simple unit cost comparison as the above hides a lot of differences between countries and textbooks and contracts that genuinely explain unit cost difference; for example number of pages, quality of paper, distribution costs, competition level among printers, etc. We find the current estimation to be reasonable as an estimate. The costs provided are estimates and the actuals could differ from the estimates due to distribution costs, levels of competition, market conditions, and procurement processes. The teams are fully committed to achieve the lowest costs possible. Experience from the Uganda UPPET education project shows that attention and adherence to the competitive procurement methods is the most critical step to achieve the lowest costs. Through open and competitive procurement, the UPPET project achieved a reduction in the unit cost of textbooks in Uganda by a factor 2 for textbooks for secondary education. The project will aim to develop and strengthen mechanisms aimed at reducing costs and increasing access to textbooks. A study on "Strategies for Addressing the High Textbook Costs/Low Textbook Availability Problem in Sub-Saharan Africa" provides guidance on mechanisms that can be used to reduce costs and improve availability of textbooks. The authors emphasize that cost efficiency can be achieved through establishing sustainable and transparent systems needed to: Select cost-effective TLM packages by taking into account TLM cost when developing the curriculum and making evidence-based choices with respect to the most cost-effective balance between e.g., textbooks, teachers' guides, school and/or class libraries and (increasingly) between written and electronic TLM. (ii) Improve governance and effectiveness of procurement including by using price and physical production specifications as key factors in textbook evaluation and contracting and civil society organizations in monitoring book availability, quality and costs. (iii) Develop and implement cost reduction strategies by reviewing the full scope for reducing the total annual costs of providing all pupils with the required TLM package. (iv) Monitor each school's textbook availability and need for annual replenishment and hold school managers accountable for effective textbook use and safe storage. (v) Ensure predictable and sustainable financing for timely book procurement and delivery.

16.
School Infrastructure. Component 2 of the project focuses on increasing effectiveness
of schools and improving school infrastructure. The component focuses on improving basic 23 Birger Fredriksen and Sukhdeep Brar "Strategies for Addressing the High Textbook Costs/Low Textbook Availability Problem in Sub-Saharan Africa" school facilities (class-rooms, functioning girls and boys toilets, and access to water) in schools not meeting the minimum criteria and basic standards of at least 3 permanent classrooms. For the school to be selected, the teachers and School Management Committee must meet reasonable minimum standards of teacher presence and SMC meetings. This support is implemented as part of the existing School Facility Grant program, which is a national program. Comparisons of unit costs are provided on a per classroom basis. Projected unit cost estimates of school construction and furniture for each classroom for the GPE project are provided below: Unit Costs of Classroom
Classroom + furniture (18 desks + teacher table and chair) These unit costs are in line with costs from other school construction programs in Africa, and with costs from a World Bank financed project in Uganda (see table below). As with the
case of textbooks, simple unit cost comparison for classroom construction such as the one shown
in the table must be taken with a grain of salt, because more detailed information on quality and
material of construction, remoteness of location, and size can explain differences between unit
costs. Again, the key for cost-effectiveness is good procurement process and construction
supervision.
Comparison of unit cost of construction for classrooms
d'Ivoire
GPE
(estimate)
Unit cost for
construction of 1
class room
(US$)
Financial Analysis: This project is expected to have relatively small and sustainable
fiscal impacts on government finances. Although the education sector has the largest share of the total government recurrent expenditure in Uganda, public outlays on education have been lower compared to international standards and the Sub Saharan Africa average and have shown a declining trend in recent years. Public spending on education sector in 2010/11 was 5.3 percent of GDP and 13.0 percent of government budget, with declining proportions over the past decade. Moreover, the proportions allocated to primary education have been gradually declining with high shares shifting to secondary education. 20. Before 2007, the outturns on development expenditures for primary education were quite high and the development budget vote function was mainly funded from domestic sources. The public sector management approach saw donor support directed to the National budget (basket funding). Analysis shows that budgets have not yet been decentralized to the Local Government levels completely as yet. Also, local government budgets for education have been diminishing or fluctuating greatly because of interference in the revenue generation and weak revenue collection machinery. It is hoped that this project will build capacity of local governments and school
management (as the frontline education service providers) for effective school inspection and
teacher supervision, thus making the teaching and learning more effective.


GDP and Education Spending
(Bill. UGX)
2007/08 2008/09
(Mill. UGX)
c Local Government 847,760 1,039,355 1,264,574 1,244,600 1,256,535 % of Expenditure a Value added by economic activity at current prices, Bill shs. Fiscal years b Includes recurrent, domestic development and external development c includes districts and urban authorities Source: Uganda Bureau of Statistics & Ministry of Finance, Planning and Economic Development.
Sustainability
21.
MoES education spending in 2011-12 was estimated at 1,970 billion Ugandan shillings of which about 52 percent was spent on primary education. Hence, the per year project budget translates into 8.4 percent of total MoES budget on primary education. Keeping salary costs for school employees fixed at the FY2012-13 level, maintaining project activities beyond the life of the project is expected to increase annual recurrent costs by approximately US$6 million (based on high assumed rates of depreciation for textbooks and motorbikes for inspection). This comes to about 2 percent of the MoES current yearly spending. Assuming relatively stable shares to primary education in Government spending, this increase in recurrent cost is absorbable provided Government commitment to primary education is sustained beyond the life of the project. Annex 9: Governance and Accountability Action Plan (GAAP)
GPE Teacher and School Effectiveness Project

A. Introduction
1.
This Governance and Accountability Action Plan (GAAP) names the key governance challenges and describes the planned actions in Teacher and School Effectiveness project to meet those challenges. The GAAP aims to improve governance and accountability for resources for the primary education sub sector through fostering transparency and accountability in the use of GPE funds. The GAAP draws on existing governance diagnostics in the education sector to identify key project specific and overall sector wide steps that could be undertaken to address governance challenges in the sector. Over the last five years, several analytical studies have been undertaken in the sector including: Efficiency of Public Education in Uganda (2008) aimed at contributing to improving efficiency and effectiveness of the education sector, Uganda Institutional Capacity Assessment (2010) aimed at refining the Education Sector Strategic Plan (2004-2015), and Primary Education System Analysis (2011) aimed at addressing the question of quality of primary education in Uganda. In addition, the MoES has carried out 4 independent tracking studies since 2000 in order to increase the level of fiduciary assurance in the education sector. The purpose of these tracking studies is to build a series of reports to show how the sector is performing in terms of general utilization and accountability of funds. Furthermore, the Government of Uganda is engaged to respond to the identified governance and accountability challenges. The Judicial Commission of Inquiry into the Mismanagement of Universal Primary and Secondary Education School Funds report (2012) also highlighted several governance challenges on the implementation of universal primary and secondary education to which the Commission made several recommendations. These studies and report provide rich sources of information on governance constraints in the education sector and emphasize governance challenges related to (a) inadequate accountability of funds; (b) mismanagement of resources leading to poor policy implementation and service delivery; and (c) grand corruption. Uganda's latest Country Assistance Strategy (CAS) Progress Report (2013) provides for a strategic re-direction of the World Bank's efforts to address governance and corruption challenges which was prepared in response to emerging governance challenges that disrupted aid flow in the country. The Progress Report has proposed key adjustments in view of the changing context to help restore the path for improved governance and accountability. The World Bank will adopt a three-pronged approach: (a) continuing support for public finance and procurement management systems and processes (system-wide as well as achieving value for money); (b) strengthening country oversight institutions; and (c) promoting accountability mechanisms at the local level to deliver better services. In line with these recommendations, the GAAP provides actions to promote accountability for effective service delivery both at the center in the MoES and at district level right down to the school level. The GAAP is not an add-on function of the project. It is intertwined with the project objectives, components, and activities. First, the GAAP seeks to contribute to a more effective governance and accountability of the education sector (from national to school level). Secondly, the Plan aims at establishing adequate governance and accountability for the project itself in order to increase responsiveness to the needs of stakeholders and reduce risks of corruption. The main instruments to reach these objectives are: (a) Encourage decentralization of power for increased autonomy; (b) Increase accountability for the decentralized power by building capacity to manage and supervise at arms-length based upon results; (c) Build local participation and community empowerment, including involvement of stakeholders in technical education and GPE (teachers, head-teachers, parents, local governments, NGOs through FENU etc.); and (d) Increased information collection and disclosure (through school report cards, payroll system improvement plan, EduTrack and Ureport). The annex first provides an overview of the challenges for governance and accountability in Technical Education and in GPE at the country, sector, and school level. This is followed by the Action Plan in a table-format.
B. Governance at the Country Level
At the Country level the GOU has pursued a combination of governance reforms in recent years. Among the key initiatives are: (a) creation of a legislative framework for public finance management; (b) service delivery arrangements under the sector wide approach (SWAP); (c) political, administrative, and fiscal decentralization to local governments; (d) public sector management reforms to regulate human resource recruitment, remuneration, and performance; and (e) regulatory institutions put in place to ensure compliance with national standards in several areas. Overall progress has been mixed. At the Country level, Uganda's overall Country Policy and Institutional Assessment (CPIA) score has declined from 3.8 in 2010 to 3.7 in 2013 and the assessment on Transparency, Accountability and Corruption in Public Sector score has also declined from 2.5 in 2010 to 2.0 in 2013. Uganda has a comprehensive institutional, legal and policy framework to
improve governance and address corruption in the country. The primary agency
mandated to lead the fight against corruption is the Inspectorate of Government (IG)
which is complimented by other secondary agencies such as the Directorate of Public
Prosecutions (DPP) and Uganda Police through its Directorate of Criminal Investigation
(CID). The legal framework is governed by the Constitution of Uganda (1995) and key
legislation such as IG Act (2002), Public Finance and Accountability Act (2003), PPDA
Act (2003), Anti-Corruption Act (2009), and Whistleblowers Act (2010). The 5-year
National Anti-Corruption Policy, now in its third phase (2009-2013), is the main tool for
implementing the country's national policy of "zero" tolerance for corruption.
However enforcement of anti-corruption legislation and administrative
sanctioning remain a serious challenge in raising the bar against corruption in an
environment where poor adherence by public officials to public financial management
laws and regulations is one of the major constraints to improving service delivery. The
Study on Non-Compliance in Public Financial Management in Uganda (2011) published
by BMAU reported that the Public Finance and Accountability Act (2003), PPDA Act
(2003) and Local Government PPDA Regulations (2006) were the most violated laws at
all levels of Government. The most common violations included flouting of accounting
procedures, irregular procurement practices, false accounting and embezzlement. The IG
Report to Parliament (Jan-June 2011) reported that complaints against Municipal and
Town Councils accounted for 8.5% of the total complaints received in this period ranking
these Local Governments as the third most complained against institutions after District
Administration and Public Officials. Recently, two major corruption and financial
mismanagement scandals in key Ministries have raised critical questions on the strength
and credibility of the country's entire PFM System.
Citizen demand for good governance remains weak. While efforts have been
made previously to introduce direct accountability mechanisms, such as citizen report cards and expenditure tracking, those initiatives remain few and localized. The capacity of civil society to reach out to the citizens remains low. C. Overview of the Challenges of Governance and Accountability of the Education
Accountability is a growing concern in the education sector in Uganda. In the recent past, development grants have been suspended from Uganda citing irregularities with the way the grant funds were being used. The education sector is not immune from these governance challenges. At the school level, there is evidence of weak governance and support systems. A 2011 study indicates that School Management Committees (SMCs) have limited capacity to execute the legislated functions - only one in four SMC members expressed awareness of key functions like planning and monitoring of education programs in school. In addition, only 32 percent of interviewed SMC members considered school development planning a key responsibility of SMC members. Evidence from the Basic Required Minimum Standards (BRMS) baseline survey also points to low school compliance to established standards and procedures in a number of areas. This further attests to weak school governance systems. D. The Governance and Accountability Action Plan
The GAAP compliments the MoES' efforts to address some of the key governance challenges identified and pursues a comprehensive approach to strengthening governance and accountability in the GPE project and the education sector as a whole. The action plan presents a flexible design that will allow for (a) further development through annual governance and anticorruption work plans that the GoU and the World Bank will agree upon based on the project's expected outcomes, and (b) the project to complement MoES efforts and work with the entire education sector and ensure progress in education financing, internal systems reform and external accountability reforms. The GAAP will focus on the following three areas: (a) strengthened internal efficiency through mitigating risks related to resource management (both financial and human); and (b) strengthened school governance and accountability for increased local participation and community empowerment. A range of specific actions are planned to mitigate governance risks, including fraud and corruption that will be encountered during project implementation, including: (i) enhance transparency in the bidding process, notably by involving both district and school officials as well as community members in the construction; (ii) revise and detail the national guidelines for the School Facility Grant (SFG), in particular around bidding and construction supervision; (iii) improve the procurement process and guidelines for procurement of instructional materials; (iv) use of third-party monitoring as well as unannounced school visits, (v) implementation of ICT solutions for reporting, notably for school inspections; (vi) provision of more information to all levels of the system (teachers, head teachers, district officials and ministerial staff) in order to raise demand for accountability. E. Strengthened Internal Efficiency - Mitigating Financial and Procurement Risks
The GAAP compliments standard fiduciary accountability measures on procurement management as follows: Procurement at the national level will be implemented by the Ministry of Education and Sports which will procure instructional materials and technical assistance. The key risks to procurement are: (i) major delays in procurement due to lack of adequate staff with appropriate experience in procurement in both the procurement and technical departments; (ii) weak interdepartmental coordination which exacerbates these delays; (iii) weaknesses on contract administration resulting in cost escalations, delayed or incomplete deliveries and substandard deliveries, (iv) high costs as a result of delays in payments to providers; and (v) inadequate review and oversight. The GAAP proposed to mitigate these risks by the following actions: (a) hiring additional staff in the procurement and technical departments prior to project (b) training in procurement and contract administration; (c) establishing a contract management and reporting system including independent verification of quality, timeliness and completeness of delivery; and (d) regular Internal Audit of procurement processing and contract administration to assess adherence to agreed business standard and timely remedial action. Procurement for school facilities contractors will be conducted by the respective Local Governments and shall mainly follow national competitive bidding. The main risks to procurement are: (a) high costs due to: (i) low bidder participation; (ii) potential collusion, and (iii) fragmentation of contracts; (b) inadequate procurement and contract management structures in some LGs leading to poor procurement and construction management; (c) unpredictability of funds release leading to delayed procurement and payments, and (d) weak procurement planning and monitoring. The GAAP outlines the following measures to mitigate these risks: (a) An updated and more detailed national guidelines for the School Facility Grant; (b) Independent procurement and performance audit of the SFG to determine the adequacy of constructed facilities as part of the DLI; and (c) Requiring that only LGs with established structures and staff for procurement and construction management are eligible to implement the SFG. F. Strengthened School Governance and Accountability - Mitigating Education
Human Resources Risks
To promote effective school governance and accountability, the project will implement the following activities: c) Head-teacher training: This training will be executed in the form of a
comprehensive package designed to address the most critical gaps in head-teacher performance. The training package will include: (i) training on leadership; (ii) training on HR management and payroll issues; (iii) training on school supervision/ internal school based assessment and evaluation; (iv) school report cards (see below) and (v) for eligible schools, training on BRMS indicators, school grant application process, monitoring of construction etc. d) Enhancing the effectiveness of SMCs: This activity will involve training and
awareness programs targeted at SMCs on: (i) planning for school development, (ii) preparing and managing budgets, (iii) monitoring teacher and pupil performance, (iv) school report cards (see below) and (v) for targeted schools, basic technical training for carrying out supervision of construction activities under school facilities grants. This activity will also include phasing in of an ICT-based capacity development program (SMSs), coupled with regular provision of relevant written materials. Table 1. Governance and Accountability Plan
Governance &
Agreed Actions During Project Implementation
Governance of the Education Sector
School Selection for Project Activities – Establishing transparent selection criteria based on national monitoring indicators of basic requirements and minimum standards for education service delivery, to be fully agreed between government and development partners. Promote the national policy on zero tolerance to corruption – Project Funding Developing strategies that enhance transparency and accountability of project operations in the design with full involvement of the Inspectorate of Government (IG); and establishing third party monitoring engaging non-state actors at implementation stage. Establishing of a real-time collection of information for the Education - to collect school based operational information in a timely and efficient manner; and ensuring timely disclosure for necessary actions. Real-time reporting of school inspection reports filed at the school location with a GPS location mark (if possible), and uploaded into a MIS with instant information available to relevant administrators and community, including the DEO and School Committee members as well as central administrator. School governance and accountability
Enhancing the effectiveness of School Management Committees (SMCs) – Training and awareness programs targeted at SMCs on: (i) planning for school development, (ii) preparing and managing budgets, (iii) monitoring teacher and pupil performance, (iv) school report cards and (iv) for targeted schools, basic technical training for carrying out supervision of construction activities under school facilities grants. The project will also include an activity on phasing in of an ICT-based capacity development program (SMSs), coupled with regular provision of relevant written materials. Adequate Governance and Accountability of the Project
Project Implementation Plan – Strengthening accountability and transparency of overall project implementation by providing detailed partnership with project implementation plans and related roles and responsibilities to relevant stakeholders. Education Sector Consultative Committee (ESSC) will serve as the national steering committee consistent with education sector norms – Establishing strong governance at national level with a wide range of stakeholders. The Local Education Group (LEG) already exists to serve as an advisory organ for the GPE. Agreements reached by the LEG will be regularly presented to the ESSC which convenes every 2 months. Minutes of such meetings will also be made available. Civil Society Advisory Group – Strengthening the voice and involvement of the Civil Society Organizations (CSOs) as a key stakeholder in the project through the engagement of the Forum for Education Network in Uganda (FENU). To demonstrate transparency and accountability towards stakeholders and the general public, the following documentation will be publicly available: Project Implementation Plan with fiduciary manuals, procurement plan, audits, call for proposal with eligibility and selection criteria, list of qualified districts, selection of institutions in the competitive fund, semi-annual reports on project performance. Strengthened Internal Accountability
National level
Procurement Management Support – Hiring additional staff in the procurement and technical departments prior to project effectiveness. Procurement Training Package – Developing capacity of members and staff responsible for procurement through a custom made training package in procurement and contract administration. Quality Assurance Mechanism – Strengthening the quality assurance mechanism by establishing a contract management and reporting system including independent verification of quality, timeliness and completeness of delivery, and regular Internal Audit of procurement processing and contract administration to assess adherence to agreed business standard and timely remedial action. District Level
Procurement for school facilities contractors will be conducted by the respective Local Governments and will mainly follow national competitive bidding. Procurement Management Support–Developing an updated and detailed national procurement guidelines for the School Facility Grant (SFG). Procurement Oversight and Quality Assurance Mechanism – Strengthening procurement oversight through an independent procurement and performance audit of the SFG to determine the adequacy of constructed facilities as part of the DLI and requiring that only local governments with established structures and staff for procurement and construction management are eligible to implement the SFG. Financial Management Support – Hiring an accounts assistant to work with the already existing financial management specialist working on the Uganda Post Primary Education Project (UPPET) to strengthen this function; and ensuring the financial management DLI is meant over the project cycle. Regular Financial Management Trainings – Strengthening the capacity of staff on financial management through tailored and periodic FM trainings at national and district levels. Regular Independent Audit – Enhancing the quality of monitoring the financial management at institutional level. Transparency and Information Disclosure – Improve transparency in financial management by periodically disclosing, among others, Financial Monitoring Reports, Manuals, audit reports on the project website. Annex 10: Social Assessment
Teacher and School Effectiveness Project
The main purpose of the social assessment is to evaluate the project's potential positive and adverse impacts on the affected Indigenous Peoples. It is also used to inform project preparation to ensure that project activities are culturally appropriate, will enhance benefits to target groups, and is likely to succeed in the given socioeconomic and cultural context. In this way the assessment informs the preparation of the design of the project as well as any particular measures and instruments needed to address issues and concerns related to Indigenous Peoples affected by the project. The findings of the social assessment are described in a separate report and it includes the following: • A description, on a scale appropriate to the project, of the legal and institutional framework applicable to Indigenous Peoples; • Baseline information on the demographic, social, cultural and political characteristics of the affected indigenous communities, and the land and territories which they traditionally owned, or customarily used or occupied and the natural resources in which they depend; • Description of key project stakeholders and the elaboration of a culturally appropriate process for consultation and participation during implementation; • Assessment, based on free, prior, and informed consultation with the affected Indigenous Peoples' communities, of the potential adverse and positive effects of the project. Critical to the determination of potential adverse impacts is an analysis of the relative vulnerability of, and risks to, the affected indigenous communities given their distinct circumstances, close ties to land, and dependence on natural resources, as well as their lack of opportunities relative to other social groups in the communities, regions, or national societies they live in; • Identification and evaluation based on free, prior, and informed consultation with the affected Indigenous Peoples' communities, of measures to ensure that the Indigenous Peoples receive culturally appropriate benefits under the project and measures necessary to avoid adverse effects, or if such measures are not feasible, identification of measures to minimize, mitigate, or compensate for such effects.
Summary of Findings from the Social Assessment Report
2.
A social assessment was commissioned with the objective of undertaking a social screening of the presence of IPs for the GPE project. Using free, prior and informed consultations, the social assessment gives a review of the policy, legal and institutional framework at international and national level relevant to early childhood and primary school education, provides the social profile of communities in Kaabong and Kanungu Districts with specific reference to the Batwa and Ik people, highlights the status of education resources found in these districts, Screening of IPs in the GPE Project Proposed Areas and the impacts of the GPE project to IPs. It established that access to school by the IK is still a huge problem with the nearest school being about 10 Kms away. As a result community schools have been supported in the Ik
community to ease the burden of long distances travelled to school. This is not the case with
Batwa in Kanungu district; most of them have been resettled within the communities within which the primary schools exist. For both the IP communities, there is no need for a special cultural curriculum appropriate for them neither a school calendar suitable them as these IPs clearly understand the current curriculum used however, the cultural factors and negative attitudes that are impeding the education of their children are addressed. Availability of trained teachers is still a big problem in both districts as they mainly depend on licensed teachers who are not trained. These districts lack Teacher Training Colleges and depend on teachers from outside districts especially in the Kaabong district. Therefore the implementation of thematic curriculum may become a challenge for the ECD centres which requires them to use the local language. The instructional materials for the thematic curriculum are also inadequate; though relevant in terms of language for the Batwa they may not be appropriate for the IK children who do not understand Karimojong language. This calls for a special strategy if component 1 of the project is to be achieved. There are several NGOs that are championing education programmes for performance improvement the IPs. These include; ADRA Uganda and KOPEIN in Kaabong and Batwa Development Program, United Organization for Batwa Community, Bwindi Mgahinga Conservation Trust (BMCT) in Kanungu District. They provide all the scholastic materials, fees and food and even sponsor these children in boarding schools to encourage them stay at school. They also build capacity of the SMCs and PTAs and facilitate in awareness campaigns for primary education. In both districts there are missionaries that offer scholarships for IP children and have continued fundraising for their education. Gender: Social and gender discrepancies were evident right from the District level,
whereas Kaabong is headed by a Male and in Kanungu it is a Female. However, in both districts most of the jobs are dominated by males. This goes across the board to head teachers, teachers, and members of the SMCs and to pupils. The social assessment notes that there are major gender disparities in school attendance, retention, and completion rates between girls and boys in Kanungu and Kaabong districts. The degree of the imbalances is however not uniform across the districts. Enrolment figures for P1 to P7 for the schools visited suggest that girls are fewer than boys and the disparities widen as one goes further from P4 to P7, with some schools registering no girls for PLE. There is a high dropout rate for girls as shown by the retention levels of 78% for boys and 22% for girls. Performance among both girls and boys is generally low but not skewed towards any gender as it differs from year to year. There are fewer female teachers in the district with some schools having none at all. School management committees have one or two female members and their active participation is limited due to various factors. Participation of girls and boys in primary education in Kanungu district is inclined towards girls as there are more girls (51%) enrolled at primary school level than boys. While in Kaabong the reverse is true due to the Karamojong culture which places a girl at home responsible for household chores and is viewed as a source of wealth (dowry) used for feeding the family and also marrying for the boys. The screening of IPs in the GPE project proposed areas established that IPs are found in the GPE selected areas. Two schools in Kaabong (Timu and Kamion primary schools) and 4 out of the 16 needy schools may have Batwa children or are in the vicinity of a Batwa community in Kanungu district. This implies that the implementation of the GPE project in Kaabong district will trigger the World Bank Policy on IPs OP 4.10, necessitating the preparation of an Indigenous Peoples Planning Framework (IPPF). Potential Positive Impacts: improved teachers' motivation; better schools within the
vicinity; better schools may change attitudes by the community to start valuing education (reduction of negative attitudes of parents towards education); girl child education may be improved; the project could increase the number of Ik and Batwa learners to advanced levels; increased enrolment; improved primary education performance; reduced dropout rates; increased completion rates; improved numeracy and literacy and; more effective teachers in the district. Recommendations
12.
Based on the social assessment in Kaabong and Kanungu districts, the following recommendations specific to the IPs are proposed to be considered in refining the project design and further development to ensure that they benefit from the project: • The affected Batwa and Ik be consulted to develop an IPPF that would guide their participation and ensure that they benefit from the project in a way that suits them and avoid or minimise adverse impacts on them. • To boost capacities at district and school management levels with regard to the effective management of social safeguards, the district education department team as well as the school management committees should be trained on the importance of social safeguards and their management. • Take into consideration the culture of the Batwa and IK and sensitise teachers and the school management to be patient with the Batwa and Ik and give them time to change, be creative and innovative in handling them so that they can gradually begin to enjoy being at school and miss it when they are away. This could be incorporated in the trainings the GPE project plans for the SMCs and teachers. • Affirmative action by Kaabong and Kanungu districts should be taken to address the gender imbalance in absenteeism of both the learners and teachers. Furthermore, interventions aimed at reducing absenteeism among learners and teachers should be targeted. • Review of guidelines for the formation of SMCs to ensure equal representation of women and men; and in areas where minority groups exist, affirmative action should take precedence. • The training and capacity building initiatives of SMCs that the proposed GPE project intends to undertake should incorporate training on gender and IP issues to enable the articulation of gender issues in SMC meetings • Findings reveal that the provision of teachers' accommodation will reduce absenteeism and improve their effectiveness. However the construction of teachers' houses should take into consideration the number and gender composition of the teachers in the school in order to provide adequate accommodation based on the situation on the ground • The districts should consider transferring female teachers to schools near their families or in areas where they can easily live with their families as findings show that in hard to reach areas where there are no trading centres to offer rented accommodation like Mpungu sub county in Kanungu district, female teachers would not effectively operate in such schools. • MoES to allocate a focal point person to follow-up on the safeguard issues during the implementation of the GPE project.

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