The United Republic of Tanzania

President’s Office - Public Service Management

GUIDELINE ANDOPERATIONAL MANUAL FOR

EFFECTIVE ENGAGEMENT OF MDAs WITH NON STATE ACTORS (NSAs) IN

PUBLIC SERVICE DELIVERY

September, 2010

President’s Office-Public Service ManagementKivukoni FrontP.O. Box 2483

Dar es Salaam, Tanzania

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GUIDELINEFOR EFFECTIVE ENGAGEMENT OF MDAs

WITH NON STATE ACTORS (NSAs) INPUBLIC SERVICE DELIVERY

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CONTENTS

Acronyms ............................................................................... vi

Glossary .................................................................................. vii

Preface ..................................................................................... x

CHAPTER 1: Introduction ................................................ 11.1 Purpose of the Guidelines .............................................. 1

1.2 Background and Rationale for MDA/NSA Engagement . 11.2.1 The Cotonou Partnership Agreement and the Role of NSAs .............................................................. 11.2.2 Definition of Non State Actors ............................ 31.2.3 The “Demand Side” of Service Delivery and

Accountability .................................................... 41.2.4 Advantages of NSA Engagement ......................... 5

1.3 Engagement of MDAs with NSAs in Tanzania – Past and Present .................................................................... 6

1.3.1 Types of NSAs and Their Areas of Focus ............... 71.3.2 Some Past Attempts at MDA/NSA Engagement ... 8

1.4 The Roles and Responsibilities of MDAs and NSAs ...... 101.4.1 Role and Responsibilities of MDAs ...................... 101.4.2 Role and Responsibilities of NSAs ........................ 11

CHAPTER 2: Rules of engagement and how to engage with NSAS .................................................... 132.1 Introduction 132.2 Behavioural Attributes/Values for Effective Engagement 13

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2.2.1 Accountability ................................................... 142.2.2 Transparency ..................................................... 142.2.3 Confidentiality .................................................. 142.2.4 Mutual Respect ................................................. 152.2.5 Trust ................................................................ 152.2.6 Integrity ............................................................ 162.2.7 Impartiality ...................................................... 16

2.3 Top Management Commitment to Engagement ........... 16

2.4 Memorandum of Understanding between the MDAs and NSAs ..................................................................... 17

2.5 How to Engage NSAs: The “Supply Side” of Engagement .................................................................. 18

2.5.1 Identification and Selection of NSAs for Engagement ...................................................... 182.5.2 Determining the Areas of Engagement ................ 19

2.6 How to Engage NSAs: The “Demand Side” of Engagement .................................................................. 20

2.6.1 Issues for Engagement Brought Forward by NSAs . 202.6.2 MDAs Responding to NSAs ............................... 20

CHAPTER 3: Operationalising the Guideline .................. 223.1 Introduction ................................................................. 22

3.2 Raising Awareness within the MDAs ............................ 22

3.3 Creating Awareness among NSAs ................................. 23

3.4 Capacity Building for Effective Engagement ................. 23

3.5 Receiving and Using Feedback from NSAs ................... 24

3.6 Monitoring, Evaluation and Reporting ......................... 25

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ACRONYMS

ACP African, Caribbean and Pacific group of countriesAIDS Acquired Immune Deficiency SyndromeANGONET Arusha NGO NetworkATE Association of Tanzania EmployersCBO Community Based OrganisationCPA Cotonou Partnership AgreementCSO Civil Society OrganisationEU European UnionFBO Faith Based OrganisationHIV Human Immuno-deficiency VirusGC Unit Government Communication UnitMDA Ministry, Independent Department and Executive

AgencyMTEF Medium Term Expenditure FrameworkNACOPHA National Council for People Living with HIV and

AIDSNGO Non-Governmental OrganisationNSA Non State ActorOTC Over the counterPO-PSM President’s Office-Public Service ManagementPSRP Public Service Reform ProgrammeSHIVYAWATA Tanzania Federation of Disabled People’s

OrganisationsTANGO Tanzania Association of NGOsTCCIA Tanzania Chamber of Commerce, Industry and

AgricultureTEN/MET Tanzania Education Network/Mtandao wa Elimu

TanzaniaTGNP Tanzania Gender Networking ProgrammeTNBC Tanzania National Business Council

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GLOSSARY

Accountability Being accountable means that a decision-maker has to be able to defend everything that has been decided within his/her area of responsibility. For example, if the Permanent Secretary and Directors in a Ministry decide to disburse funds to a third party (such as a non-state actor organisation), they will require that third party to be fully accountable to them for the proper use of those funds as agreed between them. The Permanent Secretary will also need to be able to defend the decision to Parliament. In turn, parliamentarians are accountable to the Tanzanian public and taxpayers. It must also be possible to sanction or reward decision-makers for their performance (enforcement).

Capacity building

This is a process leading to either (i) skills upgrading (both general and specific), (ii) procedural improvements, and/or (iii) organisational strengthening. Capacity building refers to investment in people, practices and institutions.

Evaluation Evaluation is a periodic assessment of the efficiency, effectiveness, impact, sustainability and relevance of a project in the context of stated objectives.

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Governance Governance refers to the way in which power and authority influence public life, especially economic and social development. The Cotonou Agreement (Article 9) defines good governance as “…the transparent and accountable management of human, natural, economic and financial resources for the purposes of equitable and sustainable development”.

Monitoring Monitoring is the systematic and continuous collection, analysis and use of information for the purpose of management control and decision-making.

Non State Actors Non State Actors include non-governmental organisations, community based organisations, media associations, private sector organisations, academic and research institutions, religious organisations, trade unions and cooperative associations outside of state and quasi-state organisations.

Programme This refers to a time-bound intervention that differs from a project in that it usually cuts across sectors, themes and/or geographic areas, uses a multi-disciplinary approach, involves more institutions than a project, and may be supported by different funding sources.

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PREFACE

The Government of the United Republic of Tanzania has been undergoing reforms aimed at improving service delivery offered by Public Service Institutions. The Public Service Reform Programme (PSRP) implemented since year 2000, has undertaken several interventions with the aim of enhancing accountability and responsiveness of both public service employees and institutions. Despite these initiatives, the Government believes there is further need to improve the demand side of accountability; increase loudness of citizens’ voices; and Governments’ responsiveness to them. It is from this fact that the President’s Office, Public Service Management has developed a Guideline and Operational Manual for Effective Engagement of Ministries, Independent Departments and Executive Agencies (MDAs) with Non State Actors (NSAs) in Public Service Delivery.

The Government acknowledges the complementary role and contributions from NSAs in the development process. The dual role played by NSAs as partners in dialogue or as service providers and its resulting impact in development of the country cannot be overemphasized.

This guideline and manual, which has been developed through a participatory manner involving all key stakeholders, offers a framework from which MDAs can establish and formalize mechanisms for engagement and consultation with NSAs. It is expected that through use of this guideline and manual, MDAs will adhere to the rules and processes stipulated therein, bringing about uniformity to the processes used and yielding fruitful results from these engagements.

George D. YambesiPERMANENT SECRETARY (ESTABLISHMENTS)

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CHAPTER 1

INTRODUCTION

1.1 Purpose of the Guideline

This Guideline has been developed for use by Ministries, Independent Departments and Executive Agencies (MDAs) in establishing and formalising mechanisms for engagement and consultation with Non State Actors. Use of this Guideline is intended to bring about greater uniformity to the processes used by MDAs for engagement with Non State Actors (NSAs), to the mutual benefit of both sides. The Guideline also details the rules and processes for engagement.

1.2 Background and Rationale for MDA/NSA Engagement

1.2.1 The Cotonou Partnership Agreement and the Role of NSAs

The concept and formalised practice of engagement between the State and Non State Actors is relatively recent, having its origins in the Cotonou Partnership Agreement (CPA) signed in June 2000 between the European Union (EU) and the African, Caribbean and Pacific (ACP) group of countries in Cotonou, the capital of Benin in West Africa. The 20-year partnership agreement came into force in April 2003. Under Article 4 of the Agreement, the signatories recognised ‘… the complementary role of and potential for contributions by Non State

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Actors to the development process’…, from policy formulation, through programme implementation to evaluation.

There are two possible major roles for Non State Actors in the development process:• As service providers (or implementing agencies), and/or• As partners in dialogue (or advocacy agents).

Figure 1: The dual role of NSAs in developing countries

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Non State Actors may play either or both of these roles (Figure 1). The first role, that of service providers, has been the traditional function of NSAs in developing countries. Historically, governments have perceived NSAs primarily as programme implementers, while their efforts to engage the authorities in policy dialogue were usually resisted.

1.2.2 Definition of Non State Actors Non State Actors refers to a wide range of development actors

other than government and quasi-government bodies. They include: (i) The private sector (i.e. business organisations);(ii) Economic and social partners, including trade union

organisations; and(iii) Civil society in all its diversity, taking into account

national characteristics.

Defining and setting parameters on what constitutes a Non State Actor presents a major challenge. Each MDA needs to clearly demarcate who it wants to include within its scope of NSAs for purposes of collaboration and consultation. For instance, in the health sector, NSAs can vary widely, from the small rural shop selling condoms and simple OTC medicines on the one hand to a large privately owned hospital undertaking complex surgical procedures.

However, the broader the definition of NSAs that is taken the better, taking an approach that is both inclusive and selective:

(i) Inclusive in that the selection should take account of the multiplicity, diversity and geographical distribution of the NSAs, and

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(ii) Selective in that it is also necessary to consider the NSAs’ existing capacities and potential to make immediate contributions to policy dialogue.

1.2.3 The “Demand Side” of Service Delivery and Accountability

Historically, “supply side” approaches have dominated policy development and service delivery. Simply put, supply side refers to service delivery provided on the basis of sectoral planning by governments and their technical planners. Criticisms of supply side approaches have focused on their top-down nature and emphasis on technocratic and managerial solutions to service delivery.

In contrast, “demand side” refers to the behaviour and inputs of the recipients or intended beneficiaries of these efforts, be they individuals, households or communities. Therefore, the major challenge is finding ways of harnessing the demand side in pressing for changes in policies and the delivery of services, with NSAs serving as intermediaries. If services are demand driven – i.e. are shaped by local needs, priorities and expectations – they are more likely to meet the needs of clients and citizens

Electoral democracy is still to become firmly rooted in Tanzania and accountability pressure on elected representatives between elections is very weak. As a result, State officials at both national and local levels respond more to the interests and priorities of central government than to those of local communities, and in many instances do not face much accountability pressure at all. The ability of communities to demand improved service delivery and to hold public officials accountable depends in part on their access to information, and the degree to which

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they are able to act effectively on that information. Yet the current reality is that government sets the rules on how policy development, planning and service delivery take place - who is consulted, who has veto power, what information is published and shared and in what format. Depending on how these rules are applied, they can serve to increase demand side pressures, as when they ensure that citizen views are heard; or they can reduce the amount of space available to citizens, as when MDAs exercise their power of veto on people’s views.

At least three areas for strengthening demand side accountability are evident:

(i) There is need to build the capacity of communities to scrutinise government plans and performance and to hold State officials and institutions accountable;

(ii) There is need to build the capacity for communities to make their needs and priorities known to government;

(iii) There is need to build the capacity for communities to lobby government to adopt policies that promote, rather than undermine, accountability of the government to the community.

Serving as interlocutors or intermediaries, NSAs have a crucial role in building demand side accountability for policy development and service delivery by government because they are usually closer to, and are more knowledgeable about the needs and priorities of, their communities than state officials.

1.2.4 Advantages of NSA Engagement The major benefits to the MDAs for involving NSAs in

public policy dialogue, decision-making and monitoring are, therefore:

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(i) Strengthening accountability and transparency of decision-making: those in authority will have the assurance that their decisions are above reproach and can be defended before the public;

(ii) raising public awareness and knowledge on specific policy and development issues;

(iii) Improving the active involvement of citizens in the democratic process and promoting good governance;

(iv) Improving the quality and legitimacy of decisions by ensuring that the views of the poor and marginalized are taken into account in policy and programme decision making;

(v) Promoting local innovative ideas and solutions to local problems;

(vi) Building trust between government officials and the citizens that they serve;

(vii) Creating acceptance and public consensus/local ownership of policies and development programmes;

(viii) Enhancing learning for both state officials and leaders of NSAs; and

(ix) Improving cost-efficiency.

1.3 Engagement of MDAs with NSAs in Tanzania – Past and Present

During the 1970s, Non State Actors such as producer associations, trade unions and social welfare organisations that had existed from colonial times were suppressed and affiliated to the all-embracing one party state. Only the churches were allowed to operate independently of the party as long as they

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remained apolitical or were deemed to be pro-party. With economic liberalisation in the late 1980s and the introduction of multi-party democracy in the early 1990s, Non State Actors began to mushroom again, filling the vacuum left by the withdrawing State in the delivery of services, especially in the health and education sectors. Others started advocacy work in areas such as human rights, the environment and gender, although their success in engaging the government and influencing policy was generally limited.

Today, as many as 10,000 NSAs are operating in a wide and diversified range of sectors and activities in Tanzania.

1.3.1 Types of NSAs and Their Areas of Focus

a) Types of NSAs

(i) Umbrella organisations: these focus on generalized coordination, advocacy, lobbying and capacity building (e.g. TANGO, ANGONET, TCCIA, SHIVYAWATA); they are made up of networks and/or individual organizations; their geographical coverage is usually national or regional;

(ii) Networks: these tend to have a more restricted membership around a specific theme or area, e.g. TGNP (gender), TEN/MET (education), NACOPHA (HIV/AIDS); their coverage is also usually national or regional;

(iii) Individual organisations: these could be CSOs, CBOs, NGOs or FBOs; their geographical coverage may be national, regional or local.

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b) Areas or sectors covered by the NSAs include:(i) Social services delivery, notably education and

health - NSAs own about 55% of secondary schools and provide some 40% of the health services in the country;

(ii) Performing M&E functions and providing feedback to the Government on the performance of development programmes, for instance through their participation in various sector reviews (e.g. health, education, Public Expenditure Review);

(iii) Advocacy and lobbying on economic and social policies, gender, human rights, good governance, corruption, review of legislation;

(iv) Environmental protection and the conservation of natural resources; and

(v) HIV/AIDS awareness raising, behaviour change, capacity building, provision of care support and treatment.

1.3.2 Some Past Attempts at MDA/NSA Engagement The Government of the United Republic of Tanzania began

engaging with NSAs from the early 2000s. NSAs have become increasingly important partners in both policy formulation and programme implementation and monitoring. Their inputs are being sought at various points, including the preparation of national position papers for presentation at international conferences and conventions. New institutions and structures have been established to facilitate consultations between the Government and NSAs.

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Evidence exists of the growing trend towards engagement between the public sector and NSAs:

(i) The Tanzania National Business Council (TNBC) was established in 2002 to provide a forum for dialogue between the Government and the private sector. As a sign of commitment at the highest level, the TNBC is chaired by the President of the United Republic of Tanzania.

(ii) It has become a requirement for MDAs to consult and incorporate the views of NSAs in the development and review of their policies, regulations, strategic plans and client service charters.

(iii) The Government has endeavoured to improve its communication and information dissemination to the public. During the first phase of the Public Service Reform Programme (PSRP I) (2000-2007), Government Communication (GC) Units were established in most MDAs to enhance information dissemination and communication with the public.

However, to date, the mechanisms for engagement between the MDAs and NSAs remain disjointed and lacking in uniformity across government institutions. Furthermore, the trend in consultation and information flow to date has been one-way and supply-driven, that is from the MDAs to NSAs. Efforts made during the past decade to enhance the demand side of accountability and engagement, from the NSAs to the MDAs, have not been as effective to date.

Several challenges remain that have hindered efforts to enhance the demand side of accountability:

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(i) The focus of most of GC Units’ activities has tended to be disseminating information on a supply-driven basis with little attempt at getting feedback from NSAs.

(ii) The complaints handling mechanisms in the MDAs are at an early stage of introduction and are not yet operating effectively.

(iii) Public awareness of the Client Service Charters, service delivery commitments and standards and their rights on service delivery matters remains very low.

(iv) The capacity and propensity of the citizens and clients to hold public institutions and officials accountable for their performance results remains very low.

(v) The propensity of public service institutions and officials to share service delivery and performance information is low, mainly due to the traditional culture of secrecy in the public service.

(vi) The level of engagement between MDAs and NSAs in matters of service delivery and performance accountability is low.

(vii) The NSAs are not effectively involved in assisting the public to increase their voices in demanding for better access and improved quality of services.

1.4 The Roles and Responsibilities of MDAs and NSAs

In order to achieve successful engagement that enhances policy dialogue, monitoring and accountability, representatives of both MDAs and NSAs have crucial roles to play. Their respective roles are summarised below:

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1.4.1 Role and Responsibilities of MDAs• For all parties to fully contribute in the consultation

processes, it is important that MDAs provide relevant information, reports and papers to the NSAs in good time to enable them to consult their colleagues, other NSAs and the communities that they serve.

• Government officials are bound by the requirements for confidentiality and the proper use of official information as prescribed under the Code of Ethics and Conduct for the Public Service, the Public Leadership Code of Ethics, and other related laws and regulations governing their conduct. However, the requirements for the proper use of official information should not be overly applied as to deny NSAs access to information that would enable them to make informed contributions or to deny them access to documents and information that should otherwise be available to the public. The success of the entire process of engagement will depend on the willingness of government officials to share information with NSAs.

• Government officials must not dominate policy dialogue or impose their views on what should be monitored and how, thereby reducing NSAs to mere spectators. An overbearing approach will lead to disillusionment and frustration among the NSAs. There is need for mutual respect and trust, with all partners being treated as equals.

• Public officials will need to, not just demonstrate willingness, but also have the capacity to respond to NSA demands for improved services and accountability.

1.4.2 Role and Responsibilities of NSAs• NSAs participating in consultations with government

institutions must always ensure that they are represented by

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their most qualified and capable personnel who are able to make meaningful contributions in the discussions. NSAs must not seek to register a mere presence in discussion forums, but must be full contributors.

• In order to be effective, NSAs must serve as channels for two-way information flows, upwards to the centre from the communities that they serve, and downwards to educate and inform the communities on the policies and programmes of the MDAs.

• NSAs as intermediaries have an obligation to provide full and honest information that will enhance policy decisions at all times.

• It is well known that many NSAs are funded from outside the country. However, those NSAs have an obligation to ensure that their external funding agencies do not set and dictate the agenda for engagement with the MDAs. The development of mutual trust must be the over-riding objective of all the parties.

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CHAPTER 2:

RULES OF ENGAGEMENT AND HOWTO ENGAGE WITH NSAs

2.1 Introduction

The establishment of formal mechanisms for engagement between MDAs and NSAs requires the articulation of rules of engagement or code of conduct to be observed by all the partners. The rules of engagement operate at two levels; observance of expected behavioural attributes/values that enhance trust; and signing a Memorandum of Understanding that will constitute the legal binding contract between the MDA and each NSA.

2.2 Behavioural Attributes/Values for Effective Engagement The success of engagement depends on both the MDAs and

the NSAs, as institutions and through their individual staff members, behaving in a manner that engenders trust, mutual respect and a cooperative spirit at all times. The behavioural attributes expected of them include the following:

(i) Accountability; (ii) Transparency; (iii) Confidentiality;(iv) Mutual respect;(v) Trust; (vi) Integrity; and(vii) Impartiality.

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The following paragraphs briefly describe these behavioural attributes:

2.2.1 Accountability Being accountable means that a decision-maker has to be able

to explain with reasonable justification everything that has been decided within his/her area of responsibility. Staff of both the MDAs and NSAs have a responsibility to ensure that there are accountable for their actions and decisions at all times. The primary reason for engagement with NSAs is to assist the MDAs in developing sound policies and programmes. It therefore follows that, during the consultations, NSAs must, first and foremost, be accountable to the MDA, subject to the provisions of the Memorandum of Understanding between the two parties.

2.2.2 Transparency Transparency implies openness in order to avoid opportunities

for officials abusing the system for their own benefit. Transparent procedures include open meetings, financial disclosure statements, access to information, and openness to audits and performance evaluations. It is incumbent for staff of both MDAs and NSAs to operate in a transparent manner during the process of engagement. In particular, government officials have a responsibility to share information with NSAs to enable the latter to make informed contributions to policy dialogue and provide feedback.

2.2.3 Confidentiality Confidentiality in the public sector is defined as ensuring

that information is accessible only to those authorised to have access to it under the “need to know” principle. It is recognised that public servants have a duty to safeguard certain

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information that has been entrusted to them on the “need to know” principle. However, over-zealous application of the confidentiality principle by public officials is likely to impede the process of engagement with NSAs. As MDAs seek greater engagement with NSAs, public servants must demonstrate greater willingness to share information. Staff of the MDAs will need to exercise greater flexibility when considering requests for information from their NSA partners.

2.2.4 Mutual Respect Mutual respect entails both parties having respect for each other.

Mutual respect creates trust and enhances working relationships and cooperation. On the one hand, senior public servants must avoid assuming a “more important than thou” attitude towards their NSA counterparts by turning up late for appointments/meetings or cancelling them at short notice, or being unwilling to accept constructive criticism and open discussion. On the other hand, NSAs must avoid trying to show that they are more knowledgeable or better qualified than their public sector colleagues.

2.2.5 Trust Trust is a shared belief that people can depend on each other

to achieve a common purpose. It is the expectation that people can rely on your word. Trust is built through integrity and consistency of relationships. In a team, members expect to work together in a climate of trust which in turn encourages them to openly express their opinions, feelings and doubts. Team members share information and ideas. They are fair to each other and are willing to be influenced by other team members because they trust them. Trust fosters enthusiasm, thereby ensuring the best performance from everyone. Trust between staff of the MDAS and NSAs is therefore crucial for

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the long-term success of engagement process between the two parties.

2.2.6 Integrity Both public servants and staff of the NSAs participating in

any consultative activities are expected to behave with integrity at all times. They should exercise their delegated powers with firm adherence to high moral values including honesty and incorruptibility.

2.2.7 Impartiality Both MDAs and NSAs are expected to exercise impartiality

in their dealings with each other. They are not to show bias, for or against, during their deliberations and in the kind of advice they give, based on such considerations as age, gender, religious or political affiliation, or disability. Likewise, they must not use their advantage of privileged knowledge to their personal benefit or for the benefit of their friends, relatives or organisations that they represent.

2.3 Top Management Commitment to Engagement

The impact and effectiveness of engagement will be determined to a large extent by the commitment displayed by top management in both the MDAs and NSAs. The commitment of top management is reflected in various ways, including the frequency of attendance at consultative meetings, amount and types of resources assigned to engagement activities (i.e. budgets, staff with the appropriate expertise), and timeliness of responses to requests for information.

Likewise, top management in both the MDAs and NSAs are expected to cascade their commitment to the engagement process downwards to their subordinate staff so that the latter

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on both sides also demonstrate similar commitment to working in partnership.

2.4 Memorandum of Understanding between the MDAs and NSAs

The MDAs and each individual NSA are contractually bound to work together through a Memorandum of Understanding signed by senior representatives of the two parties. The Permanent Secretary or the Chief Executive Officer will sign on behalf of the MDA while the Chief Executive Officer or equivalent person will sign on behalf of the each participating NSA. The MoU includes clauses that define the following key areas of cooperation:• Objectives of the agreement – development policy dialogue,

service delivery,• Geographical scope of the agreement – Mainland

Tanzania,• Duration of the agreement – normally four (4) years, but

renewable,• Nature and form of the cooperation and activities,• Responsibilities and role of the MDA under the

agreement,• Responsibilities and role of the NSA under the agreement,• Reporting modalities/arrangements, e.g. quarterly reports,

half-yearly reports, annual reports, and end-of-task reports,• Ownership/title to property, equipment, materials and

supplies acquired under the agreement,• Confidentiality,• Anti-corruption,• Termination of the agreement,• Settlement of disputes.

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2.5 How to Engage NSAs: The “Supply Side” of Engagement

In the following sections, a number of “supply side” issues that contribute to effective engagement with NSAs are discussed. These include (i) the identification and selection of NSAs for engagement, (ii) determining the areas for engagement, and (iii) establishing effective mechanisms for engagement.

2.5.1 Identification and Selection of NSAs for Engagement The selection of NSAs with which the MDA can formally

enter into engagement arrangements will be guided by the need to take an approach that is both inclusive and selective as described earlier. However, it is necessary that selection is biased towards those NSAs that are (i) already organisationally strong, (ii) well represented geographically and in close contact with communities in various regions and districts of the country, and (iii) have skilled and experienced personnel that are capable of making valuable contributions to policy dialogue. For these reasons, preference should be given to large umbrella organisations and networks. Large umbrella organisations and networks are also likely to have greater capacity and resources to interact with, and obtain the views of smaller organisations operating at district and local levels, thereby providing a two-way flow of information.

NSAs will be assessed according to the following criteria: (i) Legal/registration status;(ii) Description of programmes and activities in the area of

interest/sector;(iii) Geographical coverage;(iv) Membership criteria and size;(v) Historical background;(vi) Human resources capacity and skills competences;

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(vii) Organisational structure;(viii) Financial stability and sources of funding;(ix) Demonstrated practical experience of accounting for

results; and(x) Brief statement of motivation/justification for engagement

with the MDA.

2.5.2 Determining the Areas of Engagement Each MDA has its mandate and responsibilities defined in the

relevant presidential instrument, policies and in its Strategic Plan and/or Business Plan. The Strategic Plan or Business Plan in particular sets out what the MDA wishes to achieve during the current plan period. Strategic or Business Plans usually run for five years and are prepared in consultation with stakeholders. Activities to be implemented during each year are detailed in the Annual Action Plan and/or MTEF prepared by the MDA for budgeting purposes. The Strategic Plan, Business Plan and the Action Plan/MTEF should be the starting point in determining areas for engagement between the MDA and NSAs.

Areas for consultation emerging from these documents will be varied and will include the following:• Policy development and policy reviews;• Development and review of regulations for policy

implementation;• Formulation and review of Acts of Parliament;• Development of Strategic Plans and Client Service

Charters;• Programme formulation;• Programme implementation;

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• Operationalisation of specific government programmes and service delivery (e.g. in health, education, and control of livestock disease outbreaks);

• Monitoring and evaluation of programmes and projects;• Sector review meetings;• Development of national positions/responses to international

conventions.

2.6 How to Engage NSAs: The “Demand Side” of Engagement

2.6.1 Issues for Engagement Brought Forward by NSAs NSAs must be encouraged and be able to identify and bring

forward issues for discussion with the MDAs. In their work with the communities, NSAs come across problems that need to be brought to the attention of the government. The problems brought forward by the NSAs could come from a variety of sources, for instance,

(i) The unintended and unforeseen negative impacts of development projects on communities;

(ii) Social and economic problems affecting communities and which have previously not received the attention of the authorities; or

(ii) Findings from research and evaluations conducted by NSAs and which are considered significant enough to bring to the attention of the government.

The issues raised by NSAs will not always be palatable to public officials, and may at times even question government policies and programmes and their implementation. Whatever the case, they should always be seriously considered and amicable solutions worked out between the MDAs and NSAs.

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2.6.2 MDAs Responding to NSAs The nature, magnitude and universality of the problems or

issues raised by the NSAs will determine the mechanisms and forums for discussion to resolve them. The mechanisms need to be clarified and made known as widely as possible among NSAs. They will include:

• The appointment within the MDAs of Focal Persons with responsibility for coordination of engagement with NSAs;

• Strengthening the capacity of GC Units, reviewing their current practices to ensure they are more responsive to citizens’ requests and provide timely feedback;

• Depending on the nature of the issue raised and how it is brought to the attention of the MDA, feedback can be provided in a variety of ways, for instance by (i) letter, (ii) telephone discussion with the originating NSA, (iii) organising face-to-face meeting with the originating NSA, or (iv) holding an open meeting attended by all NSAs with an interest in the issue.

• If an informal method of providing feedback is used (e.g. telephone conversation or face-to-face meeting with the originating NSA), a written record should be maintained, stating the originating NSA, the nature of the problem/enquiry raised, the response/feedback provided, when feedback was provided and by who. In all other cases, minutes of the discussions and resolutions should be maintained.

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CHAPTER 3

OPERATIONALISING THE GUIDELINE

3.1 Introduction

In this chapter, the guideline discusses (i) awareness raising among MDAs on the importance of engaging NSAs, (ii) the need for capacity building among both MDAs and NSAs in order to ensure effective engagement, (iii) the MDAs receiving and using feedback from NSAs, and (iv) monitoring, evaluation and reporting mechanisms.

3.2 Raising Awareness within the MDAs

Each MDA will need to publicise among its staff the establishment of formal mechanisms for engagement with NSAs operating within its sector or area of interest. This can be done in the form of an awareness raising workshop/meeting to be attended by all senior management together with other staff drawn from key departments/sections such as the Directorate of Policy and Planning, the GC Unit and the M&E Unit.

Issues to be covered at the inception workshop will include:(i) Objectives and rationale for engagement with NSAs;(ii) Identification and selection of NSAs for engagement;(iii) Roles and responsibilities of the MDA and NSAs;(iv) Rules of engagement;(v) Mechanisms for engagement with NSAs;

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(vi) MDA’s role in enhancing the “demand side” of service delivery and accountability; and

(vii) NSAs reporting modalities. 3.3 Creating Awareness among NSAs

Each MDA will need to compile a provisional list of NSAs working within its sector or area of interest. The identified NSAs will be invited to attend an awareness raising workshop. The workshop will be attended by senior representatives of the invited NSAs.

Issues to be discussed at the awareness raising workshop will include:

(i) Objectives and rationale for engagement between the MDA and NSAs;

(ii) Benefits of engagement for the MDA;(iii) Benefits of engagement for the NSAs;(iv) Roles and responsibilities of the two parties;(v) Qualification criteria to be met by NSAs for engagement

with the MDA;(vi) Rules of engagement and Memorandum of

Understanding;(vii) Mechanisms for engagement; and(viii) NSAs’ reporting modalities.

3.4 Capacity Building for Effective Engagement

Effective engagement will require investment in capacity building for both public servants and representatives of NSAs. It must be expected that there will be certain skills deficiencies on both sides at various points. Assessment of training needs

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among staff of both MDAs and NSAs will be a continuous process to address capacity gaps as and when they are identified prior to, or during implementation of specific programmes or activities.

The purpose of capacity building interventions is to contribute to the emergence of active and viable NSAs that will be independent and credible partners contributing to the development dialogue with the State. Capacity building may take different forms, but it should be demand-driven and specific to the engagement activities. It is not envisaged that nor is it the role of the MDAs to undertake broad-based capacity building for NSAs.

3.5 Receiving and Using Feedback from NSAs

It is important for the MDA to establish formal channels for communication with NSAs. These will be responsible for receiving feedback from NSAs as well as disseminating information back to the NSAs. This will be done by:

(i) Appointing a NSA Focal Person within the Directorate of Policy and Planning, preferably someone already occupying a fairly senior position within the MDA; or

(ii) Assigning the responsibility for receiving feedback and communicating with NSAs to the Head of the GC Unit.

Upon receiving feedback from NSAs, the Focal Person or Head of the GC Unit will pass it to the Director or Head of the relevant department/section for attention and/or investigation as appropriate.

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The Focal Person/Head of GC Unit will send an acknowledgement to the originating NSA, with an outline of what action is being taken and when a detailed response can be expected. Responses to NSAs should be done within the timeframes stipulated in the MDA’s Client Service Charter.

3.6 Monitoring, Evaluation and Reporting

MDAs should monitor their engagement with NSAs in order to capture information on the process, the impact, areas of engagement and lessons learnt. An annual report will be compiled and submitted to PO-PSM by 31 October covering the previous financial year (July-June). The report will be compiled by the designated officer in the MDA, such as the Director for Policy and Planning.

An external evaluation will be conducted after every three years to assess the entire engagement mechanisms.

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OPERATIONAL MANUALFOR EFFECTIVE ENGAGEMENT OF MDAs

WITH NON STATE ACTORS (NSAs) INPUBLIC SERVICE DELIVERY

29

CONTENTS

Acronyms ............................................................................... 31

1.0 Introduction ................................................................. 331.1 Purpose of the Manual .................................................... 331.2 Structure of the Manual .................................................. 331.3 Definition of Non State Actors and their Role ................ 33

2.0 Awareness Raising Among MDAS And NSAS ............. 352.1 Introduction ................................................................... 352.2 Awareness Raising Workshop ......................................... 35

2.2.1 Timing of the Workshop ..................................... 352.2.2 Duration of the Workshop ................................... 362.2.3 Who Should Organise the Workshop? ................... 362.2.4 Who Should Attend? .......................................... 362.2.5 The Content of the Workshop .............................. 36

3.0 Determining Areas of Engagement .............................. 383.1 Sources for Determining “Supply Side” Areas of Engagement ................................................................... 383.2 Areas of Engagement – The “Supply Side” ..................... 383.3 Issues Raised by NSAs – The “Demand Side” of Engagement ................................................................... 393.4 MDA’s Response to NSAs .............................................. 39

4.0 Identifying and Selecting NSAS for Engagement ........ 414.1 Introduction .................................................................. 414.2 Publicity and Awareness Raising .................................... 414.3 NSAs to Apply for Engagement ..................................... 424.4 Assessment/Evaluation of Applicant NSAs ..................... 434.5 Notification of Results ................................................... 434.6 Memorandum of Understanding ................................... 43

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5.0 Capacity Building for Effective Engagement .............. 455.1 Introduction .................................................................. 455.2 Identification of Capacity Gaps ..................................... 455.3 Training and Capacity Development ............................. 45

5.3.1 Short Training Courses ...................................... 455.3.2 “Learning-by-doing” Training Approach ............. 46

5.4 Strengthening the “Demand Side” of Engagement ......... 46

6.0 Monitoring, Evaluation and Reporting ...................... 486.1 Introduction .................................................................. 486.2 Assignment of Responsibility for M&E ......................... 486.3 Receiving and Using Feedback from NSAs .................... 486.4 Annual Reporting ........................................................... 486.5 Evaluation ..................................................................... 49

Appendix 1: Sample Advertisement for Interested NSAs .... 50

Appendix 2: Registration Form/Questionnaire to Assess Non State Actor’s Capacity for Engagement with Government Institutions ........................ 51

Appendix 3: Sample Memorandum of Understanding between MDAs and NSAs .............................. 56

Appendix 4: Questionnaire for Monitoring and Annual Reporting on MDA Engagement with NSAs .. 69

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ACRONYMS

CEO Chief Executive OfficerEA Executive AgencyID Independent DepartmentMDA Ministry, Independent Department and Executive

AgencyNSA Non State ActorPO-PSM President’s Office-Public Service ManagementMTEF Medium Term Expenditure Framework

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1.0 INTRODUCTION

1.1 Purpose of the Manual

This Operational Manual has been developed for use by Ministries, Independent Departments and Executive Agencies (MDAs) in establishing mechanisms for engagement and consultation with Non State Actors (NSAs) within their sectors or areas of interest. Use of the Manual is intended to bring about uniformity in the processes and mechanisms used by MDAs to engage with NSAs. The Manual uses a step-by-step approach for MDAs to establish and operationalise the mechanisms for engagement with NSAs as detailed in the Guideline for Effective Engagement of MDAs with Non State Actors (NSAs) in Public Service Delivery published by the President’s Office-Public Service Management (PO-PSM). This Manual should therefore be read in conjunction with the Guideline.

1.2 Structure of the Manual

This Manual is organised into six chapters, dealing with topics for the effective operationalisation of NSA engagement:(a) Awareness creation within the MDAs and among

NSAs;(b) Determining areas of engagement on both the “supply

side” and “demand side”;(c) Identification and selection of NSAs for engagement;(d) Capacity building for effective engagement; and(e) Monitoring, evaluation and reporting.

1.3 Definition of Non State Actors and their Role

Non State Actors refers to a wide range of development actors other than government and quasi-government bodies. They include:

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• The private sector (i.e. business organisations);• Economic and social partners, including trade union

organisations; and• Civil society in all its diversity, taking into account national

characteristics.

Because the field is so wide, each MDA must clearly demarcate who it wants to include within its scope of NSAs for purposes of collaboration and consultation. For instance, in the health sector, NSAs can vary widely, from the small rural shop selling simple over-the-counter medicines on the one hand to a large privately owned hospital undertaking complex surgical procedures.

However, the broader the definition of NSAs that is used the better, taking an approach that is both inclusive and selective:

• Inclusive in that the selection should take account of the multiplicity, diversity and geographical distribution of the NSAs, and

• Selective in that it is also necessary to consider the NSAs’ existing capacities and potential to make immediate contributions to policy dialogue.

NSAs have two major roles; i) as service providers (or implementing agencies), and (ii) as partners in development policy dialogue and advocacy agents. The first role, that of service delivery, has been the traditional function of NSAs. Historically, governments have perceived NSAs primarily as programme implementers, while efforts to engage in policy dialogue have usually been resisted by the authorities.

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2.0 AWARENESS RAISING AMONG MDAs AND NSAs

2.1 Introduction

Initiatives aimed at raising awareness about MDA/NSA engagement must have as their target two categories of audiences, namely (i) key staff of the MDA and (ii) key personnel drawn from among NSAs. A workshop attended by selected representatives of the MDA and NSA will provide a forum to introduce the concept of engagement to the two audiences. The purpose of the workshop will be to inform the participants on the rationale of engagement with NSAs, the advantages to the MDA of engaging with NSAs, and the mechanisms for engagement.

2.2 Awareness Raising Workshop

In deciding on the workshop, the MDA will need to address the following questions:

(a) The timing of the workshop?(b) The duration of the workshop?(c) Who should organise the workshop?(d) Who should attend the workshop?(e) The content of the workshop?

2.2.1 Timing of the Workshop One of the first activities of the MDA will be to make a

preliminary identification of possible areas for engagement with NSAs operating within it area of interest or sector. This will assist the MDA in developing the content of the workshop and the NSAs to be invited to participate at the meeting.

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2.2.2 Duration of the Workshop A one-day workshop is deemed adequate to cover the content

listed below (see 2.2.5).

2.2.3 Who Should Organise the Workshop? It is expected that the organisation of the workshop will be

spearheaded by the Government Communication (GC) Units or departments/sections that are directly responsible with advocacy, education, information and communication functions in each particular MDA.

2.2.4 Who Should Attend? Participants from the MDA will comprise all staff who are critical

to successful engagement with NSAs. These will include: (i) all senior management (Permanent Secretary, Deputy Permanent Secretary, Directors, Assistant Directors, Heads of Units and Sections), and (ii) staff in key units/sections such as the GC Unit, M&E Unit, Policy and Planning Department of the MDA.

NSAs will be represented by senior personnel from organisations operating in the same sector as, or with interest in the work of the MDA. Persons to be invited will include the Chief Executive Officers and other senior managers in these organisations.

2.2.5 The Content of the Workshop

The following topics will therefore need to be covered during the workshop:

(a) Rationale and objectives of engagement,

(b) Areas of engagement,

(c) Role and responsibilities of the MDA for effective engagement,

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(d) Role and responsibilities of NSAs for effective engagement,

(e) Rules of engagement,

(f ) Mechanisms for engagement with NSAs,

(g) Review of MDA structures/capacity for engagement and responding to NSAs,

(h) Capacity building for effective engagement,

(i) Enhancing the “demand side” of service delivery and accountability,

(j) How the MDA will use the feedback from NSAs,

(k) Monitoring, evaluation and reporting on NSA engagement,

(l) Procedures/criteria for selection of NSAs for engagement with the MDA.

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3.0 DETERMINING AREAS OF ENGAGEMENT

3.1 Sources for Determining “Supply Side” Areas of Engagement

“Supply side” refers to policy formulation and the delivery of services on the basis of sectoral planning by government institutions. Each MDA will need to identify those areas, programmes and activities for which it needs to engage in consultations with NSAs.

Areas for engagement will be identified from a number of sources, notably:

(i) The MDA’s Strategic Plan;(ii) Operational Plan and/or MTEF (some MDAs only have

MTEF and no Operational Plan);(iii) Business Plan (if available, especially for EAs and IDs);

and(iv) Annual Action Plan.

These documents define the programmes and activities for the MDA for each given period of time and for which funds are likely to have been approved by Treasury.

3.2 Areas of Engagement – The “Supply Side”

From the MDA’s side, possible areas for engagement with NSAs are varied and include the following:

(i) Development of new policies;(ii) Review of existing policies, programmes, strategies, laws

and regulations;(iii) Development/review of regulations and standards for

policy implementation;(iv) Formulation and review of Acts of Parliament;

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(v) Development of Strategic Plans and Client Service Charters;

(vi) Programme formulation;(vii) Programme implementation;(viii) Awareness raising/advocacy for new and on-going

projects and activities and service delivery;(ix) Monitoring and evaluation of programmes and projects,(x) Sector review meetings; and(xi) Development of national positions/responses to

international conventions.

The MDA should endeavour at all times to engage and consult NSAs on all the above areas.

3.3 Issues Raised by NSAs – The “Demand Side” of Engagement

During the course of their work, NSAs come across numerous problems that affect their communities. The problems may arise from, or comprise of

• Negative impacts (deliberate or unintended) of development projects;

• Emergent problems that have previously not been identified and brought to the attention of the authorities; and

• Findings from research and evaluations conducted by the NSAs out of their own accord but having wider implications that require the attention of the authorities.

3.4 MDA’s Response to NSAs

First, how the MDA responds will depend on the nature and magnitude of the problem. For instance,

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(i) A specific problem affecting a particular community can be addressed in consultation with the NSA that raised it through a meeting and/or site visits to verify the problem;

(ii) On the other hand, a more general problem or area of concern will require consultation with a wider cross-section of NSAs.

Second, the MDA will appoint a Focal Person who will be responsible for coordination of NSA engagement. NSAs will be advised to direct all issues through the Focal Person.

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4.0 IDENTIFYING AND SELECTING NSAs FOR ENGAGEMENT

4.1 Introduction

There are large numbers of NSAs working in all sectors of society and economy. It is not practical for the MDA to seek to engage and collaborate with all NSAs. It is therefore necessary for the MDA to select the types and number of NSAs with which it will engage on a formal and regular basis. Selection should be biased towards NSAs that are:

(i) Organisationally strong – well established, strong and reputable leadership, financially stable, and reputable track record;

(ii) Wide geographical representation – either already operating, or with the capacity to operate, in as many regions and districts of Mainland Tanzania as possible;

(iii) Strong human resource base – qualified and experienced professional and management staff that are capable of making immediate and valuable contributions to policy dialogue; and

(iv) A good track record of accounting for results of previous engagements.

For these reasons, preference should be given to large umbrella organisations and networks.

4.2 Publicity and Awareness Raising

There are several methods that MDAs can use to bring the establishment of the consultative forum to the attention of prospective NSA partners. These include:

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(i) Television and radio advertisements;(ii) Senior MDA officials being interviewed on television

and radio;(iii) Posting the information on the individual MDA’s

website;(iv) Placing advertisements in newspapers;(v) Direct contact with umbrella NSAs; and(vi) Direct approach to NSAs that are already known to the

MDA.

Advertising in the print media is likely to be the more cost effective in terms of information dissemination to the widest audience of prospective NSAs. The advertisement will invite interested NSAs to contact the MDA for a registration form which they will be required to complete and submit by a specified date. Appendix 1 is a sample of the advertisement.

4.3 NSAs to Apply for Engagement

NSAs that respond to the advertisements or have been approached by the MDA directly will be sent a registration form/questionnaire that solicits information about the organisation. Appendix 2 is a sample of the application form to be completed by a senior representative of the applying NSA. The form seeks information on the organisation including:

(i) Legal/registration status;(ii) Description of programmes and activities in the area or

interest/sector;(iii) Geographical coverage;(iv) Membership criteria and size; (v) Historical background;

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(vi) Human resources capacity and skills competences;(vii) Organisational structure;(viii) Financial stability and sources of funding; and(ix) Brief statement of motivation/justification for engagement

with the MDA.

4.4 Assessment/Evaluation of Applicant NSAs

Upon receipt of the completed registration forms, the MDA should establish a small committee to evaluate the applicants. The evaluation can follow normal government procurement procedures. The committee will compile a shortlist of qualifying NSAs and submit their names to the Permanent Secretary or CEO of the MDA for approval.

4.5 Notification of Results

All applicant NSAs are to be notified in writing about the results of the assessment, whether they were successful or not. The successful NSAs are notified that they will be invited to attend a meeting to sign a Memorandum of Understanding with the MDA.

4.6 Memorandum of Understanding (MoU)

The Legal Unit of the MDA will prepare a Memorandum of Understanding (MoU) which will be signed by the Permanent Secretary/CEO of the MDA on the one hand, and the CEO of the NSA on the other. Appendix 3 is a sample Memorandum of Understanding to be used by the MDA.

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The MoU covers the following areas:

(a) Objectives of the agreement – development policy dialogue, service delivery;

(b) Geographical scope of the agreement – Mainland Tanzania;

(c) Duration of the agreement – normally three (3) years, but renewable;

(d) Nature and form of the cooperation and activities;(e) Responsibilities and role of the MDA;(f ) Responsibilities and role of the NSA;(g) Ownership/title to property, equipment, materials and

supplies acquired under the agreement;(h) Reporting modalities;(i) Confidentiality;(j) Anti-corruption;(k) Termination of the agreement; and(l) Settlement of disputes.

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5.0 CAPACITY BUILDING FOR EFFECTIVE ENGAGEMENT

5.1 Introduction

It must be expected that there will be times when lack of skills amongst both MDA staff and NSAs will be a factor hindering implementation of agreed interventions. The MDA may require NSAs to undertake certain tasks, but the latter will not have the expertise to implement them. Capacity development must therefore be viewed as an integral part of the engagement process with NSAs. However, the idea is not for the MDA to provide broad-based training and capacity development to NSAs. The training to be provided, to both MDA staff and NSAs as necessary, must be very specific to the tasks at hand and contribute directly to the outputs of the engagement.

5.2 Identification of Capacity Gaps

A form of capacity deficiency and training needs identification can be done whereby the MDA invites NSAs to nominate qualified and experienced persons, but fails to find the required personnel who can undertake a certain assignment. Failure to get the required personnel from amongst the NSAs will be indicative of a capacity deficiency in that particular field.

5.3 Training and Capacity Development

There are two possible approaches by which to respond to the skills gaps. First, possible candidates for the assignment will be selected. Thereafter, they will be trained using one of the two possible approaches.

5.3.1 Short Training Courses The first approach entails organising short competency based

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training to equip the participants with the required action skills for the assignment, after which they can undertake their tasks. It will be necessary to engage competent persons to facilitate the training on a case by case basis. Depending on the specific skills gaps that need to be addressed, the courses will be no more than one week in most instances.

5.3.2 “Learning-by-doing” Training Approach The second approach involves attaching the selected personnel

from the MDA and NSAs to work under the mentorship of a professional external consultant contracted to perform the task. This is a form of “learning by doing”.

5.4 Strengthening the “Demand Side” of Engagement

As part of capacity building, the MDA should endeavour to adopt strategies that strengthen the “demand side” of engagement. Such strategies have as their goals:

(i) To strengthen the capacity of poor people and disadvantaged groups, including women, children and the disabled, to demand better services;

(ii) To empower citizens to play a more active role in decisions that affect them; and

(iii) To create institutional arrangements that help the people to channel their demands to public officials and to hold them accountable for their performance.

Examples of strategies for strengthening the demand side in service delivery and accountability include the following:

• Making special provisions for women, for instance in the form of reserved seats in committees, including chairperson positions;

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• In education, promoting the formation of parent-teacher associations in order to raise the parents’ voice regarding the quality of education, the provision of learning materials, and reduction in teacher absenteeism;

• In health, promoting the formation of facility management committees that include local community representatives; the strategy has been widely applied in natural resource management in many countries;

• Promoting the presence of smallholder farmers on the management boards of agricultural research and extension institutions, thereby making those organizations more responsive to the specific needs of poor and food-insecure farming households;

• Participatory planning and budgeting – where this happens, there is greater likelihood of increased investments (e.g. in improved water supplies, sanitation, markets, health services) that benefit the poor and disadvantaged groups; and

• Conducting regular service delivery surveys that provide opportunities for the poor and disadvantaged groups to report their access to, and levels of satisfaction with, public institutions.

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6.0 MONITORING, EVALUATION AND REPORTING

6.1 Introduction

The MDA is expected to monitor its engagement with NSAs in order to obtain information for improvement on the process, areas of engagement, impacts and for lesson learning.

6.2 Assignment of Responsibility for M&E

The Focal Person is assigned responsibility for keeping records of all engagement activities.

6.3 Receiving and Using Feedback from NSAs

The Focal Person will receive feedback from NSAs based on the schedule that will be agreed upon in the MoU of each assignment. Upon receipt, the feedback will be forwarded to the relevant Director or Head of Department for a response or investigation as the case may warrant. The feedback, and action taken, will also be reported to the Permanent Secretary/CEO.

Written acknowledgement will also be sent to the originating NSA, advising on what action is being taken. Responses to NSAs will be made within the timeframes specified in the MoU between the specific MDA and the NSAs.

6.4 Annual Reporting

The Permanent Secretary/CEO will designate a member of the management, such as the Head of the GC Unit, to complete a questionnaire that will comprise the MDA’s annual report on the particular engagements. The completed questionnaire will be submitted to PO-PSM by the 31st October of each year and will cover the previous financial year, July to June.

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The questionnaire is attached as Appendix 4.

6.5 Evaluation

The MDA will need to conduct a detailed evaluation of its engagement after every three years. The time coincides with the expiry of the contracts with NSAs as well. In order to increase the objectivity of the findings, the evaluation should be undertaken by an external consultant.

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Appendix 1: Sample Advertisement for Interested NSAs

Name of MDA

Establishment of Engagement Mechanism withNon State Actors

The (name of MDA) is in the process of establishing formal mechanisms for engaging in consultations and dialogue with Non State Actors. The objective of the engagement forum is to improve public service delivery to the citizens in partnership with Non State Actors in policy formulation, monitoring and evaluation and accountability.

Non State Actor organisations that wish to be considered for participation in the proposed consultative forum are invited to express their interest by writing to the (Permanent Secretary/Chief Executive Officer) of the (name of MDA) at the address shown below.

Non State Actors refers to a wide range of development actors other than government and quasi-government bodies with a demonstrable interest in the work of the (name of MDA), including: • The private sector (i.e. business organisations);• Economic and social partners, including trade union organisations;

and• Civil society in all its diversity.

Further details will be forwarded to those organisations that express their interest in writing.

The Permanent Secretary/CEOAddressTelephone numberFax numberEmail address

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Appendix 2:

Registration Form/Questionnaire to Assess Non State Actor’s Capacity for Engagement with Government

Institutions

The (Name of MDA) intends to establish formal institutional structures and arrangements for engaging and consulting with Non State Actor (NSA) organisations in the country. As a first step to setting up the mechanism for consultation, it is important for (Name of MDA) to obtain some background information on those NSAs that wish to enter into formal arrangements for such engagement.

Your support is requested in completing this questionnaire and returning it to the following address:

Attention: Permanent Secretary/Chief Executive, Full postal address of MDA Telephone number Email address

Background Information

Name of non-state actor organisationYear registered in Tanzania (please attach copy of registration certificate)Postal address of head officeName of person completing the questionnaireDesignation/Job title of person completing the questionnaire

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Sector and Geographical Coverage

(1) Briefly describe your organisation’s area/sector of focus, programmes and activities (please attach brochures and/or fliers if available)

______________________________________________

______________________________________________

______________________________________________

______________________________________________

(2) Geographical coverage of your organisation’s activities (whether national, regional or limited to specific districts of the country). Please specify regions/districts where the organisation is currently operating.

______________________________________________

______________________________________________

______________________________________________

Membership

(3) Briefly describe the qualifications for membership of your organisation (e.g. whether individual, corporate, educational or professional requirements, etc)

______________________________________________

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______________________________________________

______________________________________________

______________________________________________

(4) Number of current members

(a) Individual members ________________________

(b) Corporate/institutional members ______________

(c) Other categories ___________________________

Organisational Structure

(5) (a) Number of offices in the country: ______________

(b) Location of head office (city/town): ____________

(c) Number of regional offices and their location: ________________________________________

________________________________________

(d) Is there a Board of Directors with a majority of members that are non-executive?

Yes __________________ No _______________

Total number on the Board? __________________ Non-executive members _____________________

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Human Resources

(6) Number of professional and technical staff employed by the organisation? ____________________________________

(7) Highest educational qualifications of key administrative and operational/technical staff

Highest qualification Number of employeesCompleted high schoolHolders of technical or professional non-degree qualificationsHolders of first/Bachelors degreeHolders of Masters degree/graduate diplomaHolders of PhD degree

Funding Sources

(8) Major sources of funding for the organisation (please attach copies of audited financial statements for the past two financial years)

______________________________________________

______________________________________________

______________________________________________

(9) Briefly describe your organisation’s current level of engagement with government institutions in areas such as policy formulation, policy review, programme monitoring

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and evaluation, or any other areas and the MDAs with which you interact.

______________________________________________

______________________________________________

______________________________________________

(10) Please briefly describe why your organisation would want to participate in formal consultations and engagement on a regular basis with the (Name of MDA)? What strengths and positive contributions will your organisation bring to such a forum?

______________________________________________

______________________________________________

______________________________________________

______________________________________________

Supporting Documents Required

(i) Copy of registration certificate(ii) Copy of the organisation’s constitution(iii) Organisational chart(iv) Copy of the current strategic plan(v) Audited financial reports for the previous two years(vi) Narrative report on the previous year’s activities(vii) Brochures showing/describing the organisation’s activities

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Appendix 3: Sample Memorandum of Understanding between

MDAs and NSAs

MEMORANDUM OF UNDERSTANDING (MOU)

BETWEEN

(Name of MDA)

AND

(Name of Non State Actor Organisation)

on

Mutual Collaboration and Formal Engagement in Policy Development and Review, Monitoring and Evaluation and

Service Delivery

This Memorandum of Understanding (hereinafter referred to as the ‘Agreement’) is made this (date) day of (Month), (Year);

BETWEEN

(Name of MDA and address) (hereinafter referred to as the ‘Ministry/Independent Department/Executive Agency’) of one Part;

AND

(Name of NSA and address) (hereinafter referred to as the ‘NSA’) of the other Party;

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PREAMBLE

RECOGNISING that the need for partnership and coordinated effort between the Government of the United Republic of Tanzania and Non State Actors for effective engagement on development policy dialogue and public service delivery;

ACKNOWLEDGING that development policy dialogue between the Government of the United Republic of Tanzania and NSAs is crucial for improved public service delivery to all communities in the country;

BEING AWARE that unless there is mutual respect of each other’s roles and both parties are well informed of each other’s roles and there is a negotiated Agreement on how the respective parties are going to pursue a shared vision and common goals, the engagement modality can be a chaotic one;

UNDERSTANDING the major obstacle to social development and poverty eradication in the developing world relates to fragmented, scattered, hit-and-run efforts in responding to social needs and that resources are not mastered and harnessed towards integrated and holistic development programmes;

COGNISANT that partnership arrangements between the Government of the United Republic of Tanzania and NSAs would go a long way in the development of inter-related, comprehensive policies and service delivery programmes;

NOW THEREFORE the Parties do hereby agree as follows:

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ARTICLE I

PURPOSES

1.1. The main purpose is to develop the national human resource and institutional capacities for effective and sustainable engagement in development policy dialogue and service delivery between the (Name of MDA) and (Name of NSA) and to provide a forum for coordinated input into such debates by the Parties.

1.2. This initiative also aims at building capacity of Non State Actor organizations in the promotion of public awareness and debate over policy development, policy implementation, monitoring of development programmes and service delivery.

ARTICLE II

OBJECTIVES

2.1. The objectives of this bilateral Agreement are:(a) To strengthen linkages and co-ordination with the

(Name of NSA) so as to provide effective and sustained support to the (Name of MDA) in the areas of policy development, implementation and monitoring and in raising the standard of service delivery.

(b) To develop the Non State Actor organisation’s capacity for effective participation in development policy dialogue, monitoring and evaluation, and reporting.

2.2 The Parties shall autonomously retain the right to adopt and pursue their respective policies, standards and modus

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operandi provided that those policies, standards and modus operandi do not defeat the objectives of this Agreement and each party shall advise the other party of its policies, standards and modus operandi that may have effect on the other.

ARTICLE III

GEOGRAPHICAL SCOPE

3.1. The geographical scope covered under this Agreement shall be in Tanzania Mainland.

3.2 Without prejudice to what is stated in sub-article 3.1 above, the Parties to this Agreement are free to engage in partnership with any other organization for the purpose of fulfilling the individual party’s mission and objectives.

ARTICLE IV

TIME FRAME

4.1. This Agreement shall be in force for a term of five (5) years from the date of signing hereof.

4.2 The Parties may, if they wish, extend or renew the period of this Agreement on such terms and conditions to be agreed therewith.

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ARTICLE V

TECHNICAL COOPERATION

5.1. The Parties to this Agreement, in realizing the objective of the same, do hereby state that:

(a) This relationship is rooted in the acceptance of both Parties of their shared vision and responsibility for the development of effective collaborative dialogue on development policy and implementation and service delivery, within the policy and legislative framework;

(b) The Parties acknowledge, accept and respect each other’s distinct, but mutually complementary and interdependent roles for the attainment of their shared goals;

(c) This partnership is embodied in the notion of acceptance by both parties that their respective roles are of equal importance in the pursuit of their vision and goals, as they relate to poverty eradication, social justice and equality;

(d) The partnership demands both close co-operation between the Parties and the co-ordination of roles and functions throughout the entire process from policy development to service delivery;

(e) The partnership accepts that there is strength in unity and that the total is greater than the sum of the individual parts;

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(f ) The partnership allows for such levels of consultation and negotiations that would result in the filling of the investment gap in social service provision, i.e. influence service provisions in areas not covered or sufficiently covered and ensuring the relevance and appropriateness of services;

(g) Accountability between the Parties is reciprocal with the Parties carrying equal status. The interdependent and interactive nature of the partnership as a working relationship requires openness, transparency, and accessibility between the partners.

ARTICLE VI

PARTNERSHIP FOR CAPACITY BUILDING

6.1. Where the need arises for training and development that will contribute to the capacity building, the MDA may provide funding and/or other forms of support, the aim being to strengthen the capacity of the NSA and enable it to contribute effectively to the attainment of the objectives as contained in this Memorandum of Understanding.

6.2. The NSA shall utilize the funds and/or support so obtained, solely for the purpose of supporting, promoting, coordinating and implementing the objectives under this Agreement.

6.3. The NSA shall utilize this responsibility of promoting and strengthening its capacity to become vibrant a Non State Actor organization in the country for the welfare of the nation.

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ARTICLE VII

RESPONSIBILITIES AND ROLES OF THE MINISTRY/INDEPENDENT DEPARTMENT/EXECUTIVE AGENCY

7.1 The MDA shall be responsible to:-

(a) Ensure that there is the required delivery of services within legislative and policy frameworks;

(b) Develop guidelines to facilitate and direct the design and implementation of agreed programmes;

(c) Ensure and provide for the necessary mechanisms and structures for communication and consultation between the Parties;

(d) Consult the NSA and initiate deliberations for the development of guidelines and implementation strategies and also engaging with the NSA from initial stage;

(e) Prepare an enabling environment for the performance of services, for instance funding the organization in order to participate in consultations or to render services adequately;

(f ) Approve, monitor, and evaluate the MDA’s programmes undertaken on its behalf by the NSA,

(g) Make sure that communication mechanisms are always in place in order to provide for timeframe and comprehensive information dissemination between the Parties; and

(h) Facilitate engagement of the NSA and Local Government Authorities.

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ARTICLE VIII

NSA RESPONSIBILITIES AND ROLES

8.1 The NSA shall be responsible for:-(a) Delivering services efficiently and effectively within

the framework of Government policies, and strategies negotiated and agreed between NSA and the MDA;

(b) Working in partnership with the MDA to achieve common aims and objectives;

(c) Accountability to the MDA for its policies and services programmes;

(d) Openness, transparency and accountability to the public;

(e) Timely progress reporting;

(f ) Accessibility to the MDA for purposes of joint planning, information sharing and decision making through representative structures.

8.2 Without prejudice to provision of article 8.1, it is imperative that the respective roles and responsibilities of the MDA and the NSA are negotiated, clarified and understood by the Parties. This is based on a shared vision and common goal, the competencies and mandates of the partners.

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ARTICLE IX

ANTI-CORRUPTION CLAUSE

9.1 Both Parties warrant that no official of either party has received or will be offered illegally any direct or indirect benefit arising from this Agreement or the award thereof.

ARTICLE X

TITLE TO EQUIPMENT

10.1 Title to any equipment and supplies to the NSA that may be furnished or bought under this Agreement shall vest with the MDA.

10.2 Any such equipment(s) and/or supplies may be distributed to the NSA based on the programme of activities at the phasing out of the Agreement provided that the MDA finds it appropriate to do so.

10.3 Any equipment offered shall be utilized solely for the purpose that is intended under the Agreement.

ARTICLE XI

USE OF EMBLEM OR OFFICIAL SEAL

11.1 Neither party shall use the emblem or official seal of the other in connection with its operations or otherwise, unless under mutual Agreement by both Parties during production of joint services.

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ARTICLE XII

CONFIDENTIALITY OF DOCUMENTS AND INFORMATION

12.1. All documents, plans, reports and all other data compiled by or received by the MDA under this Agreement, shall be its property, and shall be treated as confidential, and shall be delivered to authorized officials on the completion of this Agreement;

12.2. Neither party to this Agreement shall communicate at any time to any person, or authority, external to the Parties, any information known to it by reason of its association with the other party in relation to this Agreement, which has not been made public except with the authorization of that other party, nor shall any party at any time use such information to private advantage, except with the authorization of that other party;

12.3. The obligation stated in the article 12.2 does not lapse upon the termination of this Agreement.

ARTICLE XIII

TERMINATION

13.1. Either Party may terminate this Agreement upon giving three (3) months notice in writing to the other Party.

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ARTICLE XIV

SETTLEMENT OF DISPUTES

14.1. The parties to this Agreement shall use their best to settle amicably any dispute, controversy, or claim arising out of or relating to this Agreement or breach and termination;

14.2 In event the parties wish to seek an amicable settlement through Alternative Dispute Resolution (ADR), the same shall take place in Tanzania Mainland in accordance with the laws of the land.

ARTICLE XV

OBSERVANCE OF THE LAW

15.1 All parties to this Agreement shall comply with all laws, rules and regulations bearing upon the performance of their obligations under this Agreement.

ARTICLE XVI

AMENDMENTS

16.1 No amendment, modification or change in this Agreement or any of its provisions or any additions of any kind shall be valid and enforceable against any party unless provided by an amendment to this Agreement, agreed upon and duly signed by the Parties.

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ARTICLE XVII

NOTIFICATION

17.1 For the purpose of notification under this Agreement, the addresses of the Parties are as follows:

First Party: The Ministry/Independent Department/Executive Agency

Name of MDA and full postal address

Tel numbers Fax numbers Email address

Second Party: NSA

Name of NSA and full postal address

Telephone numbers Fax numbers Email address

17.2 All notification in this Agreement shall be written in English

or Kiswahili languages, and shall be transmitted through the address specified in article 17.1.

SIGNED by the Parties:1. For (MDA): _________________ Date: __________

Name of Officer: _____________________________

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Designation: ________________________________

Signature: __________________________________

2. For (NSA) _________________ Date: ____________

Name of Officer: _____________________________

Designation: ________________________________

Signature: __________________________________

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Appendix 4:

Questionnaire for Monitoring and Annual Reporting on MDA Engagement with NSAs

This questionnaire is to be completed by the authorised officer in the MDA and returned to the President’s Office-Public Service Management (PO-PSM) by the 31st October of each year. The questionnaire is intended to provide information on how the particular MDA has engaged with Non State Actors (NSAs) during the course of the previous financial year (July-June) for purposes of policy development and review/revisions, programme development and implementation, monitoring and evaluation.

For the purpose of completing this questionnaire, NSAs include non-governmental organisations, community-based organisations, faith-based organisations, trade unions, media institutions, academic and research institutions, cooperative associations, professional and business associations. It does not include other government institutions, Executive Agencies or Independent Departments.

Background Information

MDA name

Reporting period (financial year)

Name of person completing the questionnaire

Designation/Job title of person completing the questionnaire

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Principal Non State Actors Consulted

1) Please list the principal NSAs with which the MDA interacted and consulted during the past financial year.

a) _________________________________________

b) _________________________________________

c) _________________________________________

d) _________________________________________

e) _________________________________________

f ) _________________________________________

2) Please list the principal foreign (non-Tanzanian) development partners with which the MDA interacted and consulted during the past financial year

a) _________________________________________

b) _________________________________________

c) _________________________________________

d) _________________________________________

e) _________________________________________

3) Types of forums used by the MDA in order to obtain the views of NSAs?

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Types of forum used Number held

Number of NSAs

represented

Number of development

partners represented

WorkshopsConferencesMeetings in the officeOther forum(please explain)

Issues Discussed with NSAs

4) What were the major issues that were discussed during the consultations between the MDA and NSAs? (please tick the appropriate box in each case)

Yes – discussed

No – not discussed

Developing new policies

Reviewing/updating existing policies

Developing new regulations, laws and service delivery standardsReviewing existing regulations, laws and standardsDeveloping/reviewing the MDA’s Strategic PlanDeveloping/reviewing the MDA’s Client Service CharterAnnual/Quarterly Sector Review Meetings

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Monitoring programme implementationOther issues (please specify below)

5) Please briefly describe the issues/problems brought forward to the MDA by NSAs for discussion during the past financial year. How did the MDA respond to, and/or handle, the issues brought up by NSAs?

Issues brought up by NSAs MDAs response/action(a)(b)(c)(d)(e)

Value-Added/Effectiveness of Engagement with NSAs

6) How do you assess the contributions of NSAs to the deliberations of the MDA?

All the time

Some of the time

Very rarely

Not at all

They were knowledgeable about the subject matters

They came prepared for discussions

Their inputs helped to improve the quality of outputs

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Capacity Gaps Identified and Capacity Building Initiatives

7) During the past year, what capacity gaps have been identified that affect the process and quality of engagement between the MDA and NSAs?

(a) Capacity gaps among staff of the MDA:

(i) ___________________________________

(ii) ___________________________________

(iii) ___________________________________

(iv) ___________________________________

(v) ___________________________________

(b) Capacity gaps among NSAs:

(i) ___________________________________

(ii) ___________________________________

(iii) ___________________________________

(iv) ___________________________________

(v) ___________________________________

8) What capacity building interventions were implemented in order to address the identified gaps listed above? (please tick appropriate boxes)

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Type of intervention implemented

Beneficiaries of the interventions

MDA staff NSA staff

9) What actions did the MDA take in order to enhance or strengthen accountability of its performance in service delivery by citizens during the past year?

a) _________________________________________

b) _________________________________________

c) _________________________________________

d) _________________________________________

e) _________________________________________

THIS QUESTIONNAIRE IS TO BE RETURNED TO PO-PSM BY THE 31ST OCTOBER OF EACH YEAR

THANK YOU FOR YOUR COOPERATION