Document of the World Bank Report No: 17862 UG STAFF APPRZAISAL REPORT REPUBLIC OF UGANDA INSTITUTIONAL CAPACITY BUILDING FOR PROTECTED AREAS MANAGEMENT AND SUSTAINABLE USE PROJECT (ICB-PAMSU PROJECT) June 3, 1998 Country Department 4 Africa Region CURRENCY EQUIVALENT Currency Unit = Uganda Shilling (UgSh) US$1.00 = 1050 UgSh at appraisal SDR 1.00 = US$1.35 as of May 1998 WEIGHTS AND MEASURES Metric System ABBREVIATIONS AND ACRONYMS CAS Country Assistance Strategy DD Deputy Director EC European Commission ED Executive Director (Uganda Wildlife Authority) EIA Environmental Impact Assessment EMCBP Environment Management Capacity Building Project EU European Union FD Forestry Department (Ministry of Natural Resources) GEF Global Environment Facility GOU Government of Uganda HR Human Resources HTTI Hotel and Tourism Training Institute HQ Headquarters IA Implementing Agency ICB International Competetive Bidding ICB-PAMSU Institutional Capacity Building Project for Protected Areas Management and Sustainable tise IDA International Development Association IDF Institutional Development Facility ITMP Integrated Tourism Master Plan ITTI Ministry of Tourism. Trade and Industry NCAM National Commission for Antiquities and Museums NCB National Competitive Bidding NEAP Nationial Environmental Action Plan NGO Non-governmental Organization NSP National Shopping Procedures PAMSU Protected Areas Management and Sustainable Use Project PA Protected Area PCU Project Coordination Unit PlF Project Preparation Facility SDR Standard Drawing Rights SOE Statement of Expense TA 'I'echnical Assistance UAT1'T1 Uganlda Association ol' Tourism 'I'raining Institutes UJIA Uganda Investment Authority UIE Uganda Institute of Ecology UND]' United Nations Developmlient Program UNI' Uganda National Parks USAID UJnited States Agency for International Developmelnt i ITB Uganda Tourism Board lJWA UJgailda Wildlife Authiority UWEC Uganlda Wildlife Educationi Ceniter IJWI L Uganida Wildliie Tr-aininig Inshtitute WD Wildlife Department (Ministry of l'oUI-isIll Wildlilf and Antiqlities) Government Fiscal Year .ItIv I - iune 30 Vice 1'residciell: C'allislo F_ M9adavlo. AFIR ('ounl1ry l)irector: Jim Adtamt, Al`('()4 I'ecliiiiciil manalger: ('N tithial Ct. Cok. AFl''l''I Teamll l.eadter: Aoi liiss, AlF'l'l I TABLE OF CONTENTS CREDIT AND PROJECT SUMMARY 1. INTRODUCTION ............................................................................1 2. COUNTRY AND SECTOR CONTEXT ............................................................................3 3. THE PROJECT ............................................................................5 A. PROJECT OBJECTIVES ............................................................................5 B. PROJECT SUMMARY ............................................................................6 C. DETAILED PROJECT COMPONENTS ............................................................................7 Component #1: UWA Capacity Building and Operations .........................................................................7 Component #2: Capacity Building for Other Conservation-related Institutions ..................................... 11 Component #3: Strengthening of the Department of Museums and Antiquities/National Commission for Antiquities and Museums ....................................................................... 13 Component # 4 Capacity Strengthening Ministry of Tourism, Trade and Industry, and the Uganda Tourism Board ....................................................................... 14 Component # S Strengthening of In-Country Tourism Training Capacity .............................................. 19 Project Coordination and Implementation Support ....................................................................... 20 D. PROJECT COSTS AND FINANCI NG................................................................................I...................21 4. PROJECT IMPLEMENTATION ........................................................................... 25 A. PROCUREMENT ARRANGEMENTS ........................................................................... 25 B. DISBURSEMENT ........................................................................... 29 C. AUDITING AND REPORTING REQUIREMENTS ........................................................................... 30 D. SUPERVISION PLAN ........................................................................... 30 5. BENEFITS AND JUSTIFICATION ........................................................................... 33 A. PROJECT BENEFITS ............................................................................ 33 B. LESSONS LEARNED FROM PREVIOUS BANK/IDA EXPERIENCE ................................................................. 33 C. RATIONALE FOR BANK/IDA INVOLVEMENT ..................................... 34 D. ENVIRONMENTAL AND SOCIAL IMPACTS ..................................... 35 E. PROJECT SUSTAINABILITY ..................................... 35 F. RISKS ..................................... 37 6. ASSURANCES AND RECOMMENDATIONS ..................................... 39 RECOMMENDATION ..................................... 40 List of Annexes 1. Cost Tables 2. Performance Indicators and Targets 3. Implementation Schedule 4. Executive Director of the Uganda Wildlife Authority Terms of Reference 5. Financial Management Services for Uganda Wildlife Authority Terms of Reference REPUBLIC OF UGANDA INSTITUTIONAL CAPACITY BUILDING PROJECT FOR PROTECTED AREAS MANAGEMENT AND SUSTAINABLE USE (ICB-PAMSU PROJECT) Credit, Grant, and Project Summary Borrower: Republic of Uganda Implementing Agency: Ministry of Tourism, Trade and Industry Beneficiaries: Ministry of Tourism, Trade and Industry; Uganda Wildlife Authority; Selected Other Wildlife/Tourism Sector Institutions Poverty: Not Applicable Amount: IDA SDR 9.1 million (US$12.37 equivalent) GEF SDR 1.5 million (US$2.0 equivalent) Terms: IDA Standard with 40 year maturity GEF Grant Net Present Value: Not Applicable Staff Appraisal Report: 17862 UG Map: IBRD 29597 Project Identification Number: UG-PA-2941 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. 1. INTRODUCTION 1.1 Uganda possesses a rich natural endowment of natural habitats, some of the richest assemblages of biological diversity in Africa, and a unique cultural and historical heritage. Until the early 1970's, these served as the basis for a well-established tourism industry which was the country's third largest foreign exchange earner. Fifteen years of political instability subsequently took a heavy toll on the country's economy and resources, including its wildlife, protected areas and tourism infrastructure. Rehabilitation and management of the wildlife and conservation areas, revitalization of the tourism industry, and empowerment of local governments and communities to manage and benefit from sustainable use of natural resources, are now high priorities for the Government of Uganda (GOU), as demonstrated by a number of actions and policy and institutional reforms it has taken over the past few years. For example, the GOU has rehabilitated and upgraded the Entebbe international airport and waived visa requirements for visitors from many countries, including the major tourism source markets. The GOU also established a number of parastatal and mixed public/private sector entities responsible for different facets of the conservation and tourism sectors, many of which were previously the direct responsibility of government departments. These include the Uganda Wildlife Authority (UWA), the Uganda Wildlife Education Center (UWEC), the Uganda Wildlife Training Institute (UWTI), the Uganda Tourism Board (UTB), the Hotel and Tourism Training Institute (HTTI) and, soon to be added, the National Commission for Antiquities and Museums (NCAM)'. The restoration and development of a sustainable nature-based tourism industry supports the Country Assistance Strategy (CAS) objective of sustainable natural resource management and environmental management. 1.2 A major objective of transferring these traditionally government functions to semi-autonomous entities was to enhance their sustainability through generation and retention of revenues, mainly from tourism-related activities. This is consistent with a growing trend around the world to reduce the dependence of such bodies (e.g. national parks and wildlife authorities, museums, etc.) on increasingly stretched national budgets. They are also intended to provide a synergistic linkage between the public and private sectors, to facilitate the development and growth of the tourism industry. Thus they represent an important model for public/private cooperation for private sector development, also an important element of the Uganda CAS. The Ministry of Tourism, Trade and Industry (MTTI) retains an important role, ensuring a supportive policy Being developed with the assistance of an Institutional Development Fund grant 1 environment for development in the sector as well as appropriate regulation to ensure that valuable national resources are conserved and managed in the public interest. This includes setting and ensuring adherence to appropriate environmental and safety standards, as well as measures to promote a broader distribution of the positive economic impacts of tourism development. 1.3 The UWA, UTB, UWEC, UWTI, HTTI and NCAM are all relatively new, and have a variety of institutional weaknesses which need to be addressed if they are to fulfill their roles effectively and achieve sustainability. The main areas where institutional capacity building is required are financial management, human resources management and development, project implementation, and strategic, business and financial planning. This capacity must be strengthened as a prerequisite to undertaking their respective expansion and development plans and to enable them to make effective use of investment resources. The capacity of the MTTI to plan, guide, regulate and promote development in the sector also needs to be strengthened, along with the development of a skilled and trained work force for conservation activities and to provide essential services for the tourism industry. Building capacity within the individual institutions and strengthening the overall institutional framework will help ensure that Uganda is able to conserve, manage and develop its valuable natural resources and reclaim its place as a major international tourism destination. 2 2. COUNTRY AND SECTOR CONTEXT 2.1 Due to its location in a zone of overlap between the dry East African savannah and the West African rain forest, Uganda possesses a rich natural endowment of forests, mountains, and waterways, as well as some of the richest assemblages of biological diversity in Africa. Its wide geographical and altitudinal range, spanning from 600 meters to 5100 meters, has resulted in a unique diversity of ecosystems and species. These include extensive wetlands and swamp areas, grass and woodland savannahs, tropical high forests, and Afroalpine forest areas. For its size, Uganda is one of the most species- rich countries in Africa. For example, Uganda has more than 11% of the world's bird species and more than 7% of total world mammals. 2.2 Uganda has an extensive system of protected areas (PAs), including ten national parks, and twenty-nine game reserves, sanctuaries, and controlled hunting areas. But because of the breakdown of law and order over the past two decades, a significant portion of Uganda's protected area system has deteriorated and severe encroachment has occurred. A national Integrated Tourism Master Plan (ITMP), which was completed three years ago with assistance from UNDP and the World Tourism Organization, identifies priority needs and areas for rehabilitation and development. The plan is based on PAs as the primary attraction, with a secondary emphasis on cultural assets. It emphasizes that growth in the sector must follow a modest pace corresponding to the rate of recovery of the underlying natural assets and the rehabilitation and expansion of the supporting infrastructure. 2.3 In 1996, the parastatal UWA was established through the consolidation of the responsibilities, personnel and assets of the former Game Department and the parastatal Uganda National Parks (UNP). The UWA has overall responsibility for all parks and game reserves and also for all wildlife in the country. The UWA is empowered to retain all revenues it earns (from park entrance fees, Gorilla trekking fees, concession leases, etc.) and is intended to become increasingly self-sustaining. However, the revenue from these sources is relatively low at present, due to the small scale of the tourism industry and to ongoing problems of access and security in key wildlife areas. In recognition of the essential service the UWA provides to the nation, the GOU is committed to continuing to provide a substantial annual subvention until the organization can become financially self-sufficient. UNP, and its successor UWA, have also enjoyed substantial support from multilateral, bilateral and Non-Governmental (NGO) sources, particularly for the rehabilitation and improved management of a number of individual parks. However, the long-term sustainability of UWA will depend upon its fumctioning 3 effectively and efficiently, with a business-like management approach. This will require building greater institutional capacity and improving staff skills throughout the organization, particularly in relation to planning and to financial and human resources management. 2.4 The National Environmental Action Plan (NEAP) serves as the framework for improving environmental protection, including conservation of biodiversity and other natural resources, through sustainable use including tourism. Empowerment of communities for natural resource management, as called for in the NEAP, is being promoted through a decentralization policy, supported by the Decentralization Act. 4 3. THE PROJECT A. PROJECT OBJECTIVES 3.1 The "Conservation and Sustainable Use" program is the GOU's umbrella program to support conservation of the country's wildlife and cultural heritage and assets, and to implement the Integrated Tourism Master Plan. Some activities are already underway with support from donors such as the European Commission (EC) and USAID. This includes a detailed assessment and rationalization of the existing PA estate to ensure it encompasses high quality representation of the country's varied natural habitats and provides a sound basis for development of nature-based tourism, while being logistically and financially sustainable. The Protected Areas Management and Sustainable Use (PAMSU) project, which was prepared with World Bank assistance, aims to support high priority capital investment in rehabilitation and improved operation of the PAs, implementation of the Wildlife Act, and investment in other, complementary aspects of tourism development. However, in view of the current weaknesses in the institutional framework in the sector, the "Institutional Capacity Building for PAMSU" (ICB- PAMSU) project has been identified as a necessary precursor to such investment. The ICB-PAMSU project aims to establish the institutional capacity within the sector needed to plan and implement future investment programs, including the proposed PAMSU project. 3.2 The main objective of the ICB-PAMSU project is to establish effective institutional capacity within the wildlife and tourism sectors for strategic planning, program development and implementation, and to promote long-term sustainability. Capacity building activities will be focused at three levels: (i) ensuring an effective and efficient overall institutional framework, in which the roles of the various sectoral institutions are well coordinated and their functions and capabilities are complementary. This includes promoting an effective partnership among the public and private sectors and NGOs; (ii) strengthening the planning, management and implementation capacity, and ensuring the sustainability and accountability, of the individual institutions; and (iii) strengthening overall human resources capacity and promoting professionalism within the sector. 5 3.3 A second important objective of the ICB-PAMSU project is to secure the vital natural resource base, particularly the Protected Areas (PAs) estate and wildlife resources, during the period that the institutional capacity is being strengthened. It is also expected that the revenue base (e.g. PA entry fees and concession fees) will grow during this period, providing a basis for long-term sustainability. B. PROJECT SUMMARY 3.4 The project will provide technical assistance, contractual services, training, essential equipment and supplies, and incremental operating costs to support the following main components: (1) Strengthening the organizational structure, management systems and operational capacity of UWA, and the managerial and technical capacity of staff at Headquarters and Field Levels. This will include support for developing a "planning culture" and accountability within the organization, and carrying out strategic, business and management planning at all levels from organization-wide to individual PAs and programs. As a first step, it will provide support for completion of the ongoing "Protected Areas System Assessment and Rationalization" process aimed at developing a representative and sustainable PA system (complementing existing EC support for this exercise). To ensure that existing wildlife and PA assets are protected and managed during this capacity building phase, the project would contribute to non-salary operational expenditures, supplementing the limited funds available from UWA's current revenues and GOU subvention; (2) Strengthening institutional capacity of other selected conservation-related institutions, complementing the role of UWA, including: (i) the Wildlife Department (WD); (ii) the Uganda Wildlife Education Centre; and (iii) the Forestry Department (FD) for development of forest ecotourism. Support to UWEC will include limited civil works and equipment to facilitate ongoing upgrading of animal holding facilities2 and educational exhibits. The Uganda Wildlife Training Institute (UWTI) will receive technical assistance for strategic planning and analysis to assist it to identify a market niche and develop an operational strategy and business plan. In addition, UWA may decide to use UWTI as a service provider for some aspects of its staff training program, to be supported under the project; (3) Strengthening of the National Commission for Antiquities and Museums (expected successor to the existing Department of Museums and Antiquities), including: institutional development and capacity building, including assistance in developing a business plan and short- and long-term investment strategies. The 2Including facilities required for Uganda to meet its obligations under CITES and other international conventions, i.e. to handle animals confiscated in illegal trade 6 project will also support urgent maintenance and modest rehabilitation of key facilities to better protect and manage valuable artifacts and to promote the growth of responsible cultural tourism, and a survey of cultural and historical sites around the country. (4) Strengthening the Ministry of Tourism, Trade and Industry and the Uganda Tourism Board, to promote the development of a broad-based, competitive, well- regulated and sustainable tourism industry; and (5) Strengthening capacity for Human resources development within the tourism sector, through a "Train-the-Trainer" program benefiting both public sector Hotel Tourism and Training Institute (HTTI) and private sector training institutions. 3.5 The project will also provide support for the MTTI Project Coordination Unit, to which will be responsible for coordination and implementation of all project components and activities. C. DETAILED PROJECT COMPONENTS Component #1: UWA Capacity Building and Operations Background 3.6 The Uganda Wildlife Authority (UWA) was established in August, 1996, through a consolidation of the personnel, assets and responsibilities of the parastatal Uganda National Parks (UNP) and the GOU Game Department. Prior to this consolidation, UNP was responsible for management of the National Parks, and retained all revenue from park entry fees and related activities, such as "Gorilla trekking." The Game Department was responsible for management of the Game Reserves and Game Controlled areas, many of which are adjacent to National Parks, and for all wildlife management and protection activity (anti-poaching, problem animal control, etc.) outside the national parks. Due to inadequate budgetary allocations, the Game Department was unable to maintain an effective presence or activities in most of the areas for which it was responsible. 3.7 The purpose of the consolidation of UNP and Game Department was to increase efficiency and effectiveness of conservation efforts, by bringing the responsibility for adjacent Protected Areas (PAs) with similar management objectives under one institutional roof. Since its creation, however, UWA has been unable to meet this challenge, despite having a substantial cadre of capable and committed staff. The problem has been mainly at the management level, particularly inadequacies in the areas of financial management and accounting, Human Resources management and planning. Overall, UWA was launched without adequate attention to the need for institutional development. Management staff, structures and processes were in effect transferred from the smaller and more limited UNP, without the preparation or adjustments needed to address the needs of the larger, more complex new institution or to adapt to the changing 7 state of the art in PA and wildlife management. As a result, UWA has not been able to collect and allocate revenues efficiently or to develop and implement PA management plans, and conditions in the field have deteriorated, with reports of increased poaching and deteriorating morale. While the Wildlife Policy and Wildlife Act call for UWA to be pro-active in promoting community participation in wildlife and PA management, UWA presently has neither a strategy for this purpose nor the capacity and resources to develop one. UWA also does not currently have the capacity to undertake a major investment program aimed at rehabilitating infrastructure and establishing conditions to promote increased tourism in the PAs. IDA and GEF support: 3.8 Under this component, the project will support Technical Assistance (TA), training, equipment and incremental operating costs in order to: (i) establish, as quickly as possible, management systems and operating procedures that will enable UWA to function efficiently and in a business-like manner, to manage its financial and human resources effectively and up to accepted standards, and to develop sound strategic, business and operational plans both organization-wide and for individual PAs; (ii) strengthen the capacity of UWA staff at all levels through training aimed at providing them with the managerial and other skills required to meet the changing challenges of PA and wildlife management (e.g. community-oriented conservation, tourism development and service, cost-efficiency and financial management and planning, etc.); and (iii) enable UWA to maintain an effective presence in the field to protect and maintain the wildlife and PA assets during this capacity building phase. Technical Assistance: 3.9 In view of the nature and scale of institutional change and strengthening required, the limitations of current managerial capacity and the urgency of the deteriorating situation in the field, the project will support long term Technical Assistance and the "outsourcing" of some key managerial functions and services on a contract basis. This will enable UWA to implement these critical functions immediately and allow UWA Management and staff to focus initially on implementing high priority core activities such as development and implementation of PA management plans. The individuals and firms contracted will have the responsibility to establish, and begin implementation of, effective management systems and operating procedures, while at the same time providing in-service training for UWA counterparts in order to ensure sustainability of the institutional strengthening measures they put in place. For other aspects of UWA's operations, the project will support Technical Assistance and training to strengthen the capacity of UWA staff in their respective positions. 3.10 The managerial functions to be contracted or "outsourced" include: (a) Change Management and Executive Leadership: an individual with strong management skills and experience in change management, will be recruited internationally to serve as the Executive Director for a period of 3 years, to lead the process of transforming UWA into an efficient, business-like organization with modern management methods and systems. He/she will also be responsible for building an effective management team to ensure the sustainability of these institutional reforms. The ED, who is being selected with the assistance of a consultant firm experienced in managerial recruitment, will be primarily responsible for implementation of the UWA component of the project, including overseeing the establishment of sound operating procedures at Headquarters and in the field and overseeing the development of a strategic plan and business plan. The project will also provide funds for short-term TA to assist the ED in various aspects of his/her "change management" responsibilities, including strategic and corporate planning, management information systems, team-building, etc. Use of these short-term TA funds will be programmed through the Annual Work Plan, with the approval of the PCU and IDA. The ED will be responsible to the UWA Board of Trustees for implementation of UWA policies, and through the Board to the MTTI for implementation of the national Wildlife Policy and Wildlife Act as they relate to UWA's functions and responsibilities. (b) Financial Management: a team of consultants from a well-established financial services firm will be contracted to oversee all aspects of UWA's financial management for an initial two year period, including revenue collection and management, expenditure, accounting and budget management. During the first two years, the consultant team will be responsible for developing effective cash flow and tracking systems and budget management procedures, including the selection and installation of appropriate software packages, and overseeing their implementation by UWA financial staff at Headquarters and in the field. The team will also provide in-service training in these systems, procedures and software for UWA financial staff at all levels. During the third year of the project, the UWA Financial Department will resume control of UWA's financial management, and one member of the consultant team will continue to work with UWA in a monitoring and advisory capacity. The qualifications and Terms of Reference for the consultant team were agreed with the Bank prior to project negotiations, and selection of a team acceptable to the Bank will be a condition of effectiveness. (c) Staff Training: During project preparation, a training needs assessment was carried out and a draft training program was developed with an emphasis on skills for PA management, wildlife management and community-oriented conservation. The proposed program combines in-service training, short courses and a limited amount of longer-term individual professional development and degree training in Uganda and abroad. It also includes "Train-the Trainer" elements to strengthen 9 UWA's in-service training capacity. The project will fund a long-term consultancy contract to refine this draft training program (in Year 1) and coordinate its implementation (Years 2 and 3). The consultants, in coordination with the UWA Deputy Director for Human Resources, will be responsible for establishing specific training objectives, identifying and developing appropriate training activities and courses (funds for short-term TA and sub-contracting will be included in the contract) and for managing the training budget in coordination with the Financial Management team. Proposed training activities will be included in the relevant UWA Annual Work Plans, to be approved by IDA. (d) Engineering and Technical Services: UWA has some capacity among its field staff to undertake routine maintenance and rehabilitation of infrastructure and maintenance of vehicles and equipment, as is also receiving some TA in this area through bilateral and EC assistance. However, UWA lacks capacity at Headquarters level to plan and coordinate infrastructure development and to develop and oversee implementation of efficient systems for technical services. Beginning in Year 2, the project will support a long-term (2 year) consultant position to assist UWA to develop such systems and to oversee the technical/engineering aspects of identification and design of infrastructure development proposed to be financed under the anticipated follow-on investment project (PAMSU). The project will also support complementary short-term TA, including for design of a new UWA HQ building. 3.11 The project will also support short-term TA and associated training and operational funds for: (i) development and implementation of Human Resources management systems; (ii) completion of the ongoing "PA System Rationalization" process, with particular emphasis on ensuring effective participation of affected communities; (iii) strengthening the capacity of the UWA Board of Trustees to carry out its duties, including training and TA for development of a Procedural Manual; and (iv) legal aspects of implementing the recommendations of the Ministerial Committee on tourism concessions in the PAs. Training: 3.12 The consultancy for development and implementation of a staff training program will include support for costs incurred in carrying out the training activities covered by the program, which will focus primarily on in-service training for PA management, wildlife management and community-oriented conservation aspects. Other aspects of training will be supported separately under the training category, including management- related training, some long-term degree courses and training workshops for the UWA Board of Trustees and Management. 10 Equipment and material: 3.13 Under this category, the project will provide essential materials for UWA field staff, such as radios, uniforms and camping gear, equipment for the Planning Unit and corresponding PA management activities, and computer equipment and accessories to support the implementation of improved management systems at HQ and in the field. Incremental Operating Costs: 3.14 The main purpose of this category is to ensure UWA staff in the field are able to carry out their duties effectively to protect Uganda's wildlife and PA resources. The project will provide 85% of these costs, including, i. a. vehicle maintenance and fuel, routine repair and maintenance of facilities, field allowances, office supplies, etc. 3.15 The project will also cover 95% of the cost of rental of office facilities for UWA HQ, in view of the fact that the old UWA HQ is not large enough to accommodate the new UWA structure as well as personnel required implementation of this project (e.g. several additional senior and mid-level managers have been recruited, several long-term consultants will be recruited, new operational centers such as the Planning Unit will require upgraded space, etc.). In the long term it is planned to build a new Headquarters building for UWA, financed under the follow-on PAMSU investment project. Until funding for construction of new HQ offices is assured, UWA is retaining its old HQ building as a fall-back. This building is currently occupied by several conservation- related organizations on a gratis basis. However, by the end of Project Year 1, it is expected that UWA will begin to receive rent for the use of its old HQ offices, to help meet its operating costs. 3.16 The GEF grant will contribute US$ 665,000 to the costs of materials, equipment and operating costs of UWA. Component #2: Capacity Building for Other Conservation-related Institutions Background 3.17 Several other institutions in Uganda share responsibility with UWA for conservation of wildlife and biodiversity, and related activities such as conservation education and training. These include the Wildlife Department, the Uganda Wildlife Education Center, the Forest Department which has responsibility for indigenous Forest Reserves, and the Uganda Wildlife Training Institute. UWEC and the FD also have the potential to contribute to and diversify Uganda's "ecotourism product," and are therefore important to the long-term sustainability of conservation efforts and to realizing the economic benefits from this resource. A comprehensive program to support conservation and wildlife/nature-related tourism therefore must consider the role and the development needs of these institutions. 11 IDA and GEF Support 3.18 The project will provide Technical Assistance, training, civil works, equipment and incremental operating costs to support the following institutional development and capacity strengthening activities of these institutions: (1) WiIdlife Department (WD): The WD is responsible for wildlife policy and for fulfilling functions mandated by the Wildlife Statute and by international conventions to which Uganda is a signatory. Uganda has a recently adopted Wildlife Policy and Wildlife Act, which serve as a sound foundation. However, both the Policy and the Act require further refinement, particularly in relation to specifying policy objectives and development of regulations relating to the Community Wildlife Management Areas. Fulfilling its responsibilities vis a vis intemational conservation-related agreements and conventions, such as the Convention on International Trade in Endangered Species requires consultations and policy development at the national level, participation in international meetings, and enforcement actions such as confiscation and holding of animals intercepted in illegal trade. The project will support short-term TA, training and participatory workshops, travel and equipment to assist the WD in these functions, and will also finance the construction of improved holding facilities for confiscated animals at UWEC (see next section). (2) Uganda Wildlife Education Center (UWEC): UWEC was established as a Trust, with USAID assistance, to transform the run-down Entebbe Zoo into a positive and effective center for conservation education, aimed at both the local population and tourists. Since that time, UWEC has made substantial progress, both with respect to management and physical infrastructure, under the leadership of a dynamic and committed Board and management. Its needs at this time are continuity of the existing management for another 2 years to maintain momentum and consolidate the achievements to date, rehabilitation and modest expansion of existing facilities and educational exhibits, and strategic and business planning and feasibility studies aimed at identifying a realistic and sustainable larger scale development plan. The project will provide long-term TA for management support (continuation of the Director's contract for 2 years), short-term TA for strategic and business planning and feasibility studies and for design of facilities and exhibits, and funds to support ongoing physical rehabilitation and development of educational exhibits on a modest scale. (3) Uganda Wildlife Training Institute (UWTI): UWTI was established as a parastatal with the aim of providing wildlife management training for UWA and other clientele on a cost-recovery basis. Since then, however, the Institute has languished in the absence of adequate funds to develop its infrastructure, although it has been able to mount some courses using rented and borrowed facilities. While there will be a continuing need in Uganda for wildlife management training for UWA and other public and private sector clients (e.g. District and local 12 authorities, private game ranchers), the precise role and the appropriate nature and structure of the UWTI will need to be identified, through market analysis and feasibility studies emphasizing cost-recovery and sustainability aspects. The project will support short-term TA for such feasibility studies and planning, to enable UWTI to contribute effectively to a process, to be led by WD and UWA, of identifying long-term training needs in the wildlife sector and evaluating options (including the role of UWTI) for meeting those needs. (4) Forestry Department (FD). The FD is responsible for protection and management of the gazetted forest reserves, many of which have significant biodiversity resources not found within the national parks and reserves managed by UWA. The FD has been increasing its emphasis on the biodiversity conservation aspects of its mandate, seeking ways to generate revenue from indigenous forests in environmentally sustainable ways. Ecotourism, primarily through private concessions, is one important approach. Therefore, the FD needs to develop internal capacity to promote, manage and regulate ecotourism within the forest reserves to ensure they are sustainable and environmentally sound, and to promote local participation. The project will provide technical assistance, training, minor civil works, a vehicle, other equipment and supplies, and incremental operating costs to help FD build its capacity in this area and to support the development and management of two pilot community-oriented ecotourism activities which FD has initiated, in the Kasyoha-Kitomi and Mpanga Forest Reserves respectively. Component #3: Strengthening of the Department of Museums and Antiquities/National Commission for Antiquities and Museums Background 3.19 The Government of Uganda, with assistance from an Institutional Development Facility (IDF) Grant, is in the process of transforming the MTTI Department of Museums ,and Antiquities into an independent parastal organization, the NCAM, responsible for preserving, protecting and exhibiting Uganda's national cultural assets. The NCAM is expected to be established by July, 1999. In addition to the national interest in preserving cultural heritage, a well developed national system of museums and cultural/historical sites will help to diversify Uganda's tourism "product" away from its current sole reliance on nature/wildlife-based tourism. To the extent that cultural and historical tourism sites can be developed in different parts of the country, some of which (e.g. the Kasubi Tombs have been returned to the traditional rulers), it can also help generate economic activity in those areas, benefiting local communities. 3.20 As with other government departments in the sector which have been converted to parastatals over the past few years, it is expected that the NCAM will eventually cover a substantial part of its recurrent operating costs through revenue generation. This will require a well-planned development program, including rehabilitation and improvement 13 of existing facilities at the National Museum in Kampala, development of new facilities and exhibits in Kampala and at other sites around the country, modern business-like managemenit and a well-trained and motivated staff with up-to-date skills in both curatorial and exhibition-related disciplines. The ongoing IDF Grant is providing TA and training to support the process of establishing the NCAM, including preparation of enabling legislation and development of an appropriate institutional structure, as well as some training to fill urgent skills gaps in the curatorial staff. IDA Support 3.21 The ICB-PAMSU project will complement the IDF Grant by supporting TA, training, equipment and incremental operational costs for: (i) urgent repair and rehabilitation of essential curation and exhibition facilities at the National Museum, (ii) improving public educational programs (audio-visual equipment), (iii) preparation of a business plan and a development/investment plan, and (iv) a regional survey and assessment to identify prospective sites for future development of cultural tourism around the country, with participation of traditional authorities and local communities. 3.22 The MTTI Commissioner for Museums and Antiquities will be primarily responsible for implementation of this component, until the NCAM has been established, at which point it will become the responsibility of the Executive Director of the NCAM. Component # 4 Capacity Strengthening Ministry of Tourism, Trade and Industry, and the Uganda Tourism Board Background 3.23 Given the competition it faces from other countries in the region with well- established wildlife tourism industries, Uganda's success will initially depend on complementing their offerings and effectively targeting and capturing niche markets. This requires the development of a policy framework to articulate a vision for the sector and provide a unified direction and identify realistic sectoral objectives and targets at both national and local levels. The policy framework should address questions such as: (i) which sectors of the market to target and how, (ii) the extent to which foreign investment will be encouraged and through what mechanisms, (iii) the respective roles of the private and public sectors, and (iv) how tourism development can best promote sustainable national economic development. 3.24 Following articulation of the overall policy objectives, a strategic plan should be developed which would include, i.a: (i) specific policy measures and investments to promote private investment in economically, environmentally and socially sound 14 development, (ii) targets and measures for human resources development, (iii) the systematic collection and analysis of data to guide development planning and assess the impacts of policies and investments; and (iv) setting, monitoring and enforcing standards for tourism facilities and services to instill confidence in international tourism operators and tourists. IDA Support 3.25 The project will provide Technical Assistance, training, vehicles, equipment and incremental operating costs to support the policy development and planning process and to strengthen the capacity of MTTI and its key partners to fulfill their respective functions and to implement specific activities on a cooperative basis. (A) Strengthening MTTI capacity (i) Policy and Planning 3.26 The existing Integrated Tourism Master Plan (ITMP) identifies geographical priorities for development of tourism circuits and sites, and contains some useful recommendations regarding the pace of development. However, it does not address fundamental policy and strategic issues such as targeting of markets, product development, identifying and alleviating constraints to development, providing incentives for appropriate development, etc. The MTTI Department of Tourism Development will play the key role in developing the policy framework and strategic plan, including coordinating the contributions of key public and private sector stakeholders and partners. In the public sector, the GOU has established a Tourism Coordinating Committee, chaired by the Commissioner, which includes representation of relevant government departments such as Customs and Immigration, Civil Aviation, Revenue, Labor etc. The Uganda Investment Authority (UIA) is also a key player with respect to policy and action to promote private sector investment, particularly foreign investment. Involvement of the private sector will be coordinated through the Uganda Tourism Board (a parastatal with mixed private and public sector membership) and a number of trade associations under the umbrella of the Uganda Tourism Association. 3.27 The project will provide TA to assist the MTTI Tourism Development Department undertake this policy development and planning process. The Department currently consists of the Commissioner and a Statistician, while positions for an Assistant Statistician and for a Senior and an Assistant Economist are currently vacant. It is expected that the MTTI will establish and fill the position of Tourism Planner, who together with the Commissioner will be primarily responsible for implementing the policy and planning activities under the project, producing as outputs a comprehensive national Tourism Policy and Strategic Plan. 15 (ii) Tourism Statistical Database 3.28 During project preparation the shortcomings of the existing data on the volume and nature of tourism in Uganda became clear. Both the public and private sector require much more specific, accurate and up-to-date data on arrival and departure figures, accommodation occupancy rates, tourist expenditures and activities, etc. Efficient and competitive operation of a modem tourism industry also requires regular and systematic market analysis and "satisfaction" surveys, and the maintenance of a computerized inventory of tourism service providers (e.g. accommodation and tour operators) to assist in matching client demand with services available. Interest in these data and data systems, and consequently the responsibility for their collection, analysis and maintenance, is shared among the MTTI Tourism Development Department, the Bureau of Statistics and the private sector trade associations. 3.29 The project will provide TA and some equipment, a vehicle and operational support for: (i) strengthening the capacity of MTTI and Bureau of Statistics to fulfill their respective roles in collection, analysis and dissemination of tourism data and statistics, (ii) designing an overall tourism statistical data collection and management system to meet fi ' public and private sector needs; and (iii) carrying out four visitor surveys. The Statistician in the Department of Tourism Development will have primary responsibility for implementation of this sub-component, in cooperation with other government and private sector partners. (iii) Human Resources Development Planning and Oversight 3.30 One impact of the long hiatus in Uganda's tourism industry is that the majority of the current and prospective tourism workforce has grown up with little or no exposure to the requirements of servicing international clients. Front-line performance is presently best characterized as erratic, for example with respect to tour guiding (i.e. a pressing shortage of qualified driver/guides) and food service production and housekeeping that frequently do not meet international standards or health and safety requirements. Training should generally be primarily a private sector function, both because it generates private benefits for employers and employees and because the private sector is best able to ensure that the training provided meets its needs. At present, however, the private sector in Uganda (i.e. hoteliers, tour operators) has demonstrated only a limited willingness to take on the costs of training, perhaps due to lack of recognition of the importance of this aspect of investment. This, coupled with the fact that there is also an element of broader public benefit, justifies some level of government intervention and support for human resources development in the sector. However, the old model of a large-scale publicly-run tourism training institute is costly and not effective for meeting the needs of the modern tourism industry. More appropriate roles for government are: (i) strategic planning to help ensure that the evolving human resources needs of the sector are met, (ii) promoting and facilitating the development of high quality private training institutions, and (iii) supporting mechanisms (e.g. scholarships and loans) to broaden the range of citizens able to participate in the opportunities and benefits of development. 16 3.31 The project will provide TA and training to strengthen the capacity of the MTTI's Tourism Development Department--in collaboration with other interested public and private sector partners such as the Uganda Tourism Board, Uganda Tourism Association and the Uganda Association of Tourism Training Institutes (UATTI)--to: (i) undertake needs assessments and strategic planning relating to Human Resources development for the sector, and (ii) develop and implement (in cooperation with the Ministry of Education, and in consultation with the Uganda Association of Tourism Training Institutes) mechanisms to ensure the maintenance of quality standards at private training institutions. The project will also help improve in-country training capacity through a private sector-oriented "Train-the-Trainer" program (see Component #5). (iv) Licensing of Tourism Facilities 3.32 Government has a role to play in ensuring that adequate safety and environmental standards and overall quality standards are met, to avoid negative impacts and to instill confidence among tourists and tourism operators regarding Uganda's tourism product. This responsibility is often fulfilled through a system of licensing of service providers, such as tour operators and hotels (including lodges, inns, guest houses, etc.). Licensing can also be useful in conjunction with tourism planning, as it can influence the rate, location and nature of development of new accommodations, which is a key factor in promoting desirable tourism expansion as well as preventing over-development in a given area or market. There is also the potential for abuse, however, with the risk of a licensing process becoming a basis for rent-seeking by officials, presenting an obstacle to development, and reducing competition. MTTI currently has in place a system for licensing of tour operators, but implementation has been poor, with less than a third of the 107 existing operators having current licenses while over seventy are somewhere in the application process. Licensing standards are vague and weak, and there is little if any enforcement of the licensing requirement. There is also an issue of overlap of responsibility and inconsistency with the Uganda Investment Authority and local Districts. (For example, recently one foreign operator which would not have met international safety standards was given a UIA license, denied an MTTI license, and awarded a District license). There is currently no system for licensing of hotels, restaurants or tour guides, and little capacity within MTTI to initiate licensing in these areas. 3.33 The project will support TA, training, a vehicle and operational support to help the MTTI Department of Licensing and Inspectorate: (i) develop appropriate licensing standards for the main service sectors, i.e. accommodation (including associated restaurants), tour operators and tour guides, (ii) design an improved licensing process, and (iii) implement it on a pilot scale. 17 (B) Uganda Tourism Board: Background 3.34 The UTB is a mixed public and private sector institution whose primary purpose is the promotion and marketing of Uganda as a tourism destination. It also aims to facilitate communication and cooperation among the different actors in the sector. The most urgent challenges for UTB over the next 2-3 years are: (i) to overcome the negative image of Uganda (as insecure and war-torn) which persist to a large extent in important source markets, (ii) to diversify Uganda's tourism product, particularly targeting high- value niche markets, and (iii) to improve professionalism and cooperation among members of the tourism industry community in Uganda. At the same time, there is a need for management strengthening of UTB itself, to enhance its capacity to undertake strategic planning and the efficiency of its operations. At present UTB's activities, with assistance from the European Commission, are focused on promotion and marketing through participation in international trade fairs and diversification of Uganda's tourism product. IDA Support 3.35 The ICB-PAMSU project will provide Technical Assistance, Training and equipment and materials for management strengthening and for broadening the scope of promotional and marketing activities beyond participation in trade fairs. With respect to management strengthening, the project will provide TA and training for members of the UTB technical staff, which includes a General Manager, 4 Tourist Information Officers presently on staff, and currently vacant positions for a Sales and Marketing Manager, Sales and Marketing Officer and Public Relations Specialist. The project will also provide a computer and accessories for the UTB Accounting Department. 3.36 With respect to promotion and marketing activities, the ICB-PAMSU project will support TA and operating costs to facilitate UTB's exploration of avenues and approaches which are commonly used by tourism industries worldwide, including: (i) establishment and management of an Internet website; (ii) "familiarization tours" for international travel agents and travel writers (beginning with a tour for selected Kenyan operators)3; (iii) "sales calls" by delegations of tourism business representatives and some government participants to visit source markets (beginning with one to Kenya); (iv) placement of advertisements in trade journals; (v) preparation and dissemination of general image publications and promotional materials for distribution, including to Ugandan High Commissions overseas; and (vi) a small scale test case of contracting out marketing to a public relations firm in a source market. The project will also support a pilot cooperative initiative between UTB and the Uganda Investment Authority (UIA) for development and dissemination of a professional prospectus to attract local and foreign 3 The budget allocation for this activity assumes industry cooperation in providing discounts and complementary services, as is usual for familiarization tours 18 investments (tentatively, a prospectus for charter boats for fishing and excursions on Lake Victoria and the Nile River). Component # 5 Strengthening of In-Country Tourism Training Capacity Background 3.37 The general expectation of rapid growth in the tourism sector has created a strong demand for tourism-related training among young Ugandans. From a strategic perspective, the highest priority at this time is training for entry-level positions, where there is a significant shortage of people able to provide service up to international standards. The emphasis in training can be shifted over time to increase training opportunities at managerial level, where there is also a significant need for local capacity development, but the immediate gap at that level is more likely to be filled through recruitment from outside. 3.38 The main public sector (parastatal) training institution is the Hotel Tourism and Training Institute (HTTI), which offers diploma courses in front office, food and beverage production and service, accommodations/housekeeping and tourism operations. The HTTI also maintains a working hotel (the Crested Crane, in Jinja) for on-the -job training purposes and as a modest revenue source. However, the hotel's primary market niche is small conferences and bar business for local clientele, and therefore does not provide an appropriate work experience for trainees aiming for employment in the international tourism sector. In addition to HTTI, there are a number of other public or private tourism-related training institutions currently operating, but the quality of the facilities and training offered is highly variable. There is presently no mechanism for licensing or other quality control for these institutions. The Association of Tourism Training Institutes (UATTI) which is represented on the Uganda Tourism Association Board, was established to address the lack of standardized curriculum and quality control, but it is currently non-functional. The Principals of several of the best institutions identified a shortage of qualified and skilled instructors as the most important constraint. IDA Support 3.39 The project will support: (i) TA, civil works, a vehicle, equipment and operational support for development and implementation of a "Train-the-Trainer" program in which international specialists will be brought in to develop and teach short (ca. 2 month) courses in the priority hospitality areas, and (ii) training for the Principals/Managers of the participating training institutions, to facilitate improved professionalism and management of these institutions. 3.40 The "Train the Trainer" program will be implemented through a "Hospitality Service Training" Executive Committee of the UATTI, chaired by the Principal of HTTI and representing the five major hospitality specializations. An initial working group will establish criteria for training institutions to become members of this Executive 19 Committee, and therefore to participate in the Train-the-Trainer program. The participants in these training courses will be relevant faculty/instructors on the staffs of the training institutions which have been approved for membership on the Executive Committee. These short courses will be taught at different member institutions on a rotating basis, based on the available facilities. As there is currently no institution with adequate computer facilities or kitchen facilities to teach state-of-the-art "front office" and food production courses, the project will provide funds for computer equipment and for upgrading the kitchen facilities at HTTI, which will then serve as the locale for these aspects of the training. The training equipment to be purchased will include videotape production and playback equipment to facilitate future dissemination of the training material. The project will also provide a vehicle for use by the Chairman of the Executive Committee (initially the Principal of HTTI) to facilitate coordination of the program. The end results of the "Train-the-Trainer" program will be the development of up-to-date curricula and teaching materials in the key service areas, and a sizable cohort of faculty/instructors who have undergone the training and are prepared to teach these curricula through their respective training institutions. Project Coordination and Implementation Support 3.41 The Project Coordination Unit (PCU) of the MTWA was established to coordinate and oversee project preparation, including donor liaison, program identification, prioritization and development, and all aspects of administration of the various project preparation funds including procurement of goods and services and contract management. To benefit from economies of scale, build on existing capacity and reduce the administrative burden on the implementing agencies during this capacity building period, the PCU will continue to play this role during the project implementation phase. 3.42 The PCU will have overall responsibility for procurement (planning and implementation), disbursement, auditing and reporting, and also for ensuring that each Implementing Agency (IA) submits acceptable Annual Work Plans and progress reports in a timely fashion. The PCU will determine the best mechanisms for interacting with the management of each IA for this purpose. Based on inputs from the lAs, prior to project effectiveness, the PCU will prepare a Procurement Plan for the whole project, and a Work Plan for the first six months of the project, to be reviewed and agreed by IDA. Every six months thereafter, the PCU will obtain from the lAs and forward to IDA for review, a Work Plan for the next six months and an update of the Procurement Plan if needed. The PCU will also submit an annual progress report to the Government and the Bank, covering both its own activities and those of each IA. 3.43 At its discretion, and with the prior agreement of the Bank, the PCU may delegate selected administrative and implementation responsibilities to any given IA. This will be based on the Project Coordinator's assessment that the agency is able to undertake this activity in accordance with Government and World Bank requirements, and the PCU will retain overall responsibility to ensure that these requirements are met. 20 3.44 The project will support TA, equipment, office rental and other operating costs for the PCU. Under the TA category, the project will support the positions of Coordinator, Deputy Coordinator and Accountant/Procurement Specialist along with support staff. This is in recognition of the demands which the complexity of the program (numerous lAs, each with its own objectives, program of activities and time frames) will put on the PCU. The project will also support a modest allocation of unprogrammed short-term TA funds to meet unforeseen needs of the PCU or any of the lAs. Equipment to be procured includes a vehicle to be used by the PCU for project coordination purposes, and the PCU will also make it available to the other lAs for project-related purposes as and when required. Operating costs will include rental of office space as well as other routine costs of vehicle operation, materials and supplies, travel, etc. D. PROJECT COSTS AND FINANCING 3.45 The total project cost, including preparation, is estimated to be US$20.35 million (see summary in Table I below, and Annex 1 for detailed costs), including IDA, GEF and GOU contributions. Of this amount, key institutional strengthening of UWA, coupled with operational support to maintain the protected area resource base intact, comprise US$10.6 million ( 52%). Capacity building in other related organizations (Forestry Department, Wildlife Department, UWEC and UWTI) will receive funding of US$2.3 million (11 %), institutional development for cultural heritage (DAM/NCAM) will receive US$0.70 (3 %); support for MTTI and UTB for tourism policy, planning and development total US$1.76 million (9%); support for strengthening of public and private sector tourism training institutions totals US$1.7 million (8 %). Project coordination and administration costs over the three-year project life represents US$1.05 million (5%) of the total, US$1,100,000 (6 %) will be unallocated to provide flexibility during implementation, and US$1.92 million (10 %) represents a refinancing of project preparation costs that have been disbursed under a World Bank PPF since 1994. 3.46 World Bank IDA financing of US$ 12.37 million (57.0% of total project costs) will be required over the project period. This will complement grant financing (US$269,000) being provided independently under the IDF (for development of a National Commission for Antiquities and Museums) and cofinancing under the GEF. In this phase, the US$2.00 million GEF investments will go to: UWA to support core institutional strengthening and enhanced operations (US$0.62 million), to other conservation-related organizations (Forest Department, UWEC and Wildlife Department) (US$1.14 million), and to the PCU for project coordination (US$0.39 million).4 3.47 Support from the GOU represents salaries, overheads, allowances, a portion of operating costs, and taxes and duties. Taxes and duties are estimated at 0% for salaries, technical assistance and training, 10% of other local costs and 25% of other foreign costs. 4 The GEF Board approved a US$ 10 million grant to the PAMSU program in April 1997. Portions of that grant are being applied to the ICB-PAMSU project for selected GEF-eligible activities that have been shifted to ICB-PAMSU. 21 The GOU contribution will be obtained through two primary mechanisms: (i) UWA's revenues earned through the protected areas network5; and, (ii) GOU budgetary support. 5 And, to a much smaller extent, revenues earned by UWEC and NCAM 22 Project Cost Summary (US$ million) Component Local Foreign Total Component 1. UWA Capacity Building and Operations 7.18 3.38 10.57 2. Capacity Building - other Conservation 1.29 0.98 2.27 Organizations 3. National Commission for Antiquities and 0.38 0.32 0.70 Museums 4. MTTI and UTB Capacity Building .97 0.79 1.76 5. Tourism Training Capacity Building 0.48 0.59 1.07 Project Coordination 0.44 0.61 1.05 Unallocated 1.10 1.10 Sub-total 9.83 7.74 17.57 PPF 1.92 1.92 Total Baseline Costs Physical Contingencies Price Contingencies Total Project Costs 10.52 9.83 20.3 Notes: 1. Amounts are inclusive of duties and taxes 2. Totals may not add up due to rounding Financing Plan (US$ million) Local Foreign Total IDA 3.54 8.83 12.37 GEF 1.16 0.84 2.00 Government of Uganda 5.89 0.03 5.92 Total 10.59 9.70 20.29 Notes: 1. Amounts are inclusive ofduties and taxes 2. Totals may not add up due to rounding 23 4. PROJECT IMPLEMENTATION 4.1 To benefit from economies of scale and to reduce the administrative burden on the implementing agencies during this capacity building phase, the Project Coordination Unit (PCU) of the MTWA, which oversaw and coordinated project preparation, will have overall responsibility for project implementation, including procurement, disbursement, auditing and reporting, and monitoring and evaluation (M&E). The M&E program will be based upon achievement of agreed sectoral institutional performance indicators, as outlined in the Project Implementation Plan to be approved as a condition of effectiveness (see Annex 3). .. 4.2 At the beginning of the project, the PCU will prepare a Procurement Plan covering the entire project. Twice a year the PCU will submit a Work Plan and Budget, and will update the Procurement Plan for the following 6 months. The Work Plans and Budgets will cover PCU activities and those of each IA, and will be reviewed and agreed in advance with the World Bank6 A. PROCUREMENT ARRANGEMENTS 4.3 All procurement will be in accordance with World Bank Procurement Guidelines (January 1995, Revised January and August, 1996 and September, 1997), and the Bank's standard bidding documents for goods, works and consultants will be used. All consulting contracts will be awarded in accordance with Bank consultancy guidelines (dated January, 1997 and revised September, 1997). Procurement of consultancy firms for Technical Assistance contracts exceeding US$100,000 will be through Quality and Cost-based Selection (in accordance with Section II of the Consultant Guidelines), those between US$50,000 and US$100,000 in value will be through Least Cost Selection procedures (paragraphs 3.1 and 3.6 of the Consultant Guidelines), those between US$30,000 and US$50, through Selection Based on Consultant Qualifications (SBCQ) procedures (paragraphs 3.1 through 3.7 of the Consultant Guidelines), and those under US$30,000 through Single Source procedures (paragraphs 3.8 through 3.11 of the Consultant Guidelines). Individual consultants' services shall be procured in accordance with provisions of paragraphs 5.1-5.3 of the Consultant Guidelines. Shortlists of 6 Submission of a plan for the first six months is a condition of effectiveness 25 consultants for services estimated to cost less than U$200,000 equivalent per contract may comprise entirely national consultants, in accordance with the provisions of paragraph 2.7 of the Consultant Guidelines. 4.4 Contracts for consulting firms costing US$100,000 or more will be subject to prior review of the shortlist, the Request for Proposal, and the evaluation report, in accordance with paragraphs 1, 2 (other than the third subparagraph of para. 2(a))and 5 of Appendix 1 to the Consultant Guidelines. Those costing between US$50,000 and US$ 100,000 will be subject to prior review of the shortlist only, in accordance with paragraphs 1, 2, (other than the second subparagraph of para. 2(a)) and 5 of the Consultant Guidelines. For contracts for individuals estimated to cost the equivalent of US$50,000 or more, the qualifications, experience, terms of reference and terms of employment of the consultants shall be subject to prior review by the Bank. Through the Annual Work Plan process, training to be provided for individuals or groups of individuals from the staff of the implementing agencies will be agreed upon for the following six months. The training plans will identify the nature of the training, the individual(s) to be trained and appropriate institutions or service providers for delivering it. The PCU will be responsible for procurement of the service through direct costing, and for ensuring that the selection of the service providers is done on a cost-effective basis. For training to be carried out outside Uganda, the PCU will consult with the Bank regarding the objectives, venue, costs and candidates to be trained. 4.5 The only works envisioned are minor repairs at the National Museums, minor works to support forest ecotourism and rehabilitation of facilities and development of educational exhibits at UWEC. There will be no contracts for works over US$200,000. Works contracts over US$50,000 will be procured through NCB, and contracts under US$50,000 will be procured by NSP or carried out by Force Account, at the discretion of UWEC and Forest Dept. Management. There will be one contract for supply vehicles and one for computers and accessories over US$100,000 and these will be procured on the basis of ICB. All goods contracts between US$50,000 and US$100,000 will be procured through NCB. Contracts for goods less than US$50,000, up to a total of US$300,000, will be procured by International and National Shopping Procedures. Details of procurement methods and prior review are in Tables 3A and 3B below: 26 Table 3A: Summary of proposed procurement Arrangements (in US$ million)"' Item ICB NCB SP2, or Other Total 1. Civil Works 0.48 0.11 0.59 2. Vehicles 0.30 0.30 3. Equipment 0.35 0.50 0.30 1.15 and Materials 4. Training 2.00 2.00 5. Consultants 4.04 4.04 6. Operating 0.61 2.26 3.27 Costs 7. Unallocated 1.10 1.10 8. PPF Reimb. 1.92 1.92 Total 0.650 1.59 12.13 14.37 1/ IDA and GEF contributions only 2/ International and National Shopping procedures 27 Table 3B: Thresholds for Procurement Methods and Prior Review (in US$ million) Expenditure Contract Value Procurement Method Subject to Estimated Category (Threshold) Prior Total in US$ Review Subject to Prior Review (US$ mill) 1. Civil Works >100,000 N/A N/A <100,000 and >50,000 National Competitive Yes 0.50 Bidding <50,000 National Shopping or No Force Account 2. Vehicles >200,000 International Competitive 0.30 Bidding 3. Equipment >100,000 International Competitive Yes 0.35 Bidding <100,000 and >50,000 National Competitive Yes 0.65 Bidding <50,000 National Shopping No 4. Consultancy FIRMS Services, TA Assistance & >100,000 Quality and Cost-Based SL & ER 1' 1.00 Training Selection <100,000 and >50,000 Least Cost Selection SL 0.70 <50,,000 and >30,000 Selection Based on No 0.90 consultant Qualifications <30,000 Single Source No INDIVIDUALS >50,000 TOR, SL, 0.95 CT 2 <50,000 and >30,000 No <30,000 No Total 5.35 Notes: 1/ SL= Shortlist; ER= Evaluation Report 2/ TOR = Terms of Reference; CT = Contract Terms 28 B. DISBURSEMENT 4.6 The IDA Credit and GEF Grant are expected to be disbursed over three years, as shown in the disbursement schedule (Appendix 2), with a project closing date of July 31, 2001. The disbursement schedules and estimates are indicated in Tables 4A and 4B below: TABLE 4A: Summary of Disbursement Schedule ITEM Allocation DISBURSEMENT PERCENTAGE (US$ mill.) GEF IDA 1. Civil Works 0.40 0.19 90% 2. Vehicles 0.05 0.25 100% of foreign costs and 90% of local 3. Materials & Equipment 0.24 0.88 100% of foreign costs and 90% of local 4. Consultancy Services and 0.44 5.60 100% Training 5. Incremental Operating Costs Office rental 0 0.61 85% Other .69 1.99 95% 6. PPF Reimbursement 1.92 100% 7. Unallocated 0.20 0.90 TOTAL 2.00 12.34 Note: Totals do not sum exactly due to rounding Table 4B. Estimated IDA Disbursements (IDA and GEF) 1/ (US$ Million) IDA Fiscal Year 98/99 99/00 00/01 Annual 5.12 4.90 4.32 Cumulative 5.12 10.02 14.34 Note: I/ the disbursement profile includes the PPF in FY99 4.7 Disbursements would be made against standard IDA documentation with the following exceptions, for which certified Statements of Expenditures (SOEs) would be used: (i) contracts for goods and civil works, less than US$ 50,000 equivalent; (ii) consultant contracts, firms less than US$ 100,000, individuals less than US$50,000; (iii) all local training; and (iv) operating costs. SOE's would be subject to review by IDA supervision missions and interim and annual audits. 29 4.8 In order to facilitate the availability of funds for the Project when needed, two Special Accounts (for IDA and GEF funds respectively) will be established in a commercial bank and operated and maintained on terms satisfactory to IDA. The authorized allocation is determined to be $ 1.0 million. The Special Accounts will be replenished on the basis of satisfactory documentary evidence, to be provided to IDA, of eligible payments made from the account for goods and services required for the project. No limit will be set on the size of the payments to be made from the Special Accounts other than that imposed by the balance remaining in the account. C. AUDITING AND REPORTING REQUIREMENTS 4.9 The Project Coordination Unit will have overall responsibility for administration of project funds, under the oversight of the Project Coordinator. The PCU will maintain accounts and records for project activities, including for the SOEs, in accordance with sound accounting practices satisfactory to the World Bank, and will provide audit reports on these accounts six months after the close of each fiscal year, including a separate opinion on the special account and on the records and accounts used to support disbursements against statement of expenditures. The PCU will put in place mechanisms acceptable to the Bank for interacting with the management of each implementing agency to ensure effective flow of funds and accountability. 4.10 During negotiations assurances will be sought that: (a) UWA, UWEC and NCAM will maintain separate accounts for their operations in accordance with sound and generally accepted accounting principles and practices; (b) financial statements of UWA, UWEC and NCAM including a sources-and-uses -of-funds statement will be prepared at the close of each fiscal year; and (c) a certified copy of the accounts, together with the auditor's report, will be submitted to IDA within six months of the close of each fiscal year, including a separate opinion on the special account an on the records and accounts used to support disbursements against statement of expenditures.. D. SUPERVISION PLAN 4.11 The project will be supervised by the MTTI and the World Bank approximately twice a year, with particular focus on achievement of identified benchmarks of institutional capacity relating to planning, management, human resources development and implementation including monitoring and evaluation of implementation quality and progress. Key performance indicators and benchmarks were agreed at negotiations (see Annex 2), and will be the subjet of a side letter to be signed at the time of singing of the Credit and Grant agreements. They will serve both as indicators of acceptable progress on project implementation and, finally, as indicators of readiness enabling the GOU and the Bank to resume appraisal and negotiation of the PAMSU investment project. It is anticipated that the different implementing agencies may achieve these benchmarks at different times. It is proposed that UWA's achievement of its agreed institutional development indicators, along with acceptable progress by the MTTI with respect to policy aspects, would be the essential requirement to trigger revival of the PAMSU 30 project. The extent to which PAMSU would include substantial support for the other implementing agencies would depend upon the extent to which each has achieved its key benchmarks at that time. 4.12 The essential indicators relate to development of institutional capacity at both the overall sectoral and the specific agency levels. At the sectoral level, the objectives are: (i) development and adoption of a coherent, realistic and environmentally and socially sound policy framework for the tourism sector, developed in consultation with stakeholders7; (ii) establishment of a well-coordinated institutional framework in which the different organizations (public and private sector) effectively complement and support one another, and (ii) a tourism industry which is developing and growing in accordance with the strategy outlined in the Integrated Tourism Master Plan8. At the agency level, the overall objectives are: (i) definition of a clear mission, (ii) a "planning culture" based on development and implementation of well-targeted and realistic strategic, development and operational plans, which are based on realistic financial analysis and planning for sustainability, (iii) development of an effective and efficient human resource base, and HR management systems to ensure appropriate skills mix and performance incentives; and (iv) efficient and cost-effective implementation of development and operational plans, including all aspects of financial and asset management (budgeting, accounting, inventory control) and ongoing performance and impact assessment. 7An acceptable wildlife policy framework has already been adopted by GOU; the tourism policy must be compatible and complementary to this and to other relevant policies, e.g. relating to private sector promotion 8 Including a modest rate of growth in keeping with the rate of recovery of the resource base, and an emphasis on high value/low volume ecologically and socially sustainable tourism 31 5. BENEFITS AND JUSTIFICATION A. PROJECT BENEFITS 5.1 The project is expected to restore Uganda's capacity to conserve and manage its biodiversity and its cultural and historical heritage assets, and to promote the development of the tourism industry on an economically, environmentally and socially sustainable basis. For the nation as a whole and for many rural communities, wildlife resources and Protected Areas represent an important natural resource which, if sustainably managed, can serve as a basis for economic development, often in areas which ere not otherwise well endowed. Much of this will be related to tourism, which currently is at a relatively low level, but which under the right circumstances can be a major foreign exchange earner and generator of government revenues and employment. Intangible benefits relating to conservation of biodiversity and natural habitats (e.g. ecological services and existence value) cannot be quantified but nevertheless are recognized to be of national and international significance. By focusing on institutional and human capacity building, the project will alleviate what has been identified as a major reason for poor performance and sustainability of biodiversity conservation projects in Africa9 B. LESSONS LEARNED FROM PREVIOUS BANK/IDA EXPERIENCE 5.2 The decision to proceed with an institutional capacity building project prior to undertaking a major investment program is based on extensive experience in this and other sectors. A particularly relevant example is that of the wildlife sector in Kenya, which has received assistance from the Bank under the Wildlife and Tourism project (1976-1986) and the "Protected Areas and Wildlife Service" (PAWS) project (1992- ongoing). The Implementation Completion Report and Project Audit attributed the failure of the project primarily to an inadequate policy framework, institutional failures and a lack of Government commitment to the project's objectives, as well as to the Bank's failure to hold firm on the agreed conditionalities. By contrast, the success of the PAWS project, which has had a major positive impact in reducing commercial poaching and improving the infrastructure and management of Kenya's PAs, demonstrates the benefits of ensuring that these issues are addressed up front. At the same time, the slow progress of the parastatal Kenya Wildlife Service in moving toward a business-like 9 (Based on the Quality Assurance Group Review of Biodiversity Projects in Africa, November, 1997) 33 organizational culture and financial sustainability, holds important lessons for the Uganda Wildlife Authority, which is starting from a similar situation and aiming for similar objectives. Experience to date with implementation of the GEF-funded "Mgahinga and Bwindi Impenetrable Forest Conservation Trust" project also highlights the urgent need for institutional strengthening of UWA if it is to function effectively, in that UWA has had difficulty in accessing the funds allocated by the Trust for improving management of the Mgahinga and Bwindi National Parks. 5.3 Wildlife sector projects under preparation in a number of other countries (e.g. Ghana, Zimbabwe, Botswana) are also faced with similar challenges of inadequate institutional structure and capacity, and are also opting to strengthen these prior to moving into significant capital investment. Uganda presents a somewhat special case, however, in that the legacy of years of civil war and continuing security problems mean that the PA system and wildlife populations throughout the country are already greatly degraded and reduced, and remain under serious threat. There is a good likelihood that they will deteriorate beyond recovery over the next few years unless UWA can re- establish and maintain an effective presence in the field while the organization-wide problems are being addressed. Other lessons being taken from Bank-assisted projects and other experiences around the world, include the importance of building support for conservation at a political level and among communities adjacent to PAs, the need to encourage collaboration among institutions rather than building parallel capacity in each, and the need to ensure adequate planning and Environmental Assessment procedures and capacity prior to launching into a program of infrastructure development, particularly in PAs. 5.4 The IDA-financed Environment Management Capacity Building Project is also influencing the approach being taken regarding efforts to involve decentralized authorities and local communities in wildlife and Protected Areas management and related activities. District Environment Committees are being established in all Districts, with the project providing support on a pilot basis in six focal Districts. It is expected that these Committees will eventually play an important role in the "community-based conservation" aspects of wildlife management, but their development is constrained by the limited allocation of financial, and the need to address major weaknesses in human resources at the District Level. Another area where ongoing activities of IDA and other donors in Uganda provides important lessons for the project is private sector promotion and development. Support for the development of a vigorous and productive private sector represents one of the main thrusts of IDA's assistance strategy in Uganda, and there is ongoing work in a number of sectors (transport, power, etc.) aimed at identifying and supporting appropriate Government roles and mechanisms to achieve this objective. C. RATIONALE FOR BANK/IDA INVOLVEMENT 5.5 The Conservation and Sustainable Tourism program, of which the ICB-PAMSU project is an essential first step, addresses directly two priorities of the Uganda CAS: (i) environmental protection and sustainable natural resource management, including the 34 conservation and sustainable use of biodiversity, and (ii) private sector development. It is also expected to contribute to poverty alleviation through economic development, both at a national level and in areas where nature-based and cultural tourism is expected to grow. Tourism has the potential to be restored to the status of an important "export" industry in Uganda and to provide significant levels of employment, much of it in rural areas. It also complements the Bank-assisted Environmental Capacity Management Building project, and thereby supports the objectives of the National Environment Action Plan, by building capacity for sustainable use of natural biological resources. 5.6 Given the reduced state of the country's wildlife resources and the persistent problems of security, growth in tourism is likely to be slow over the next few years, and will only be possible if the Bank and other donors provide the necessary support to protect the resource base in the short term and to gradually restore and improve it in the longer term. Through its support for the Project Coordination Unit, and for a highly participatory process of preparation of the PAMSU project, the World Bank has established itself as one of the main donors in this sector, has played an important role in promoting and facilitating policy and institutional reforms and served as a focal point for donor coordination. It has also pioneered innovative mechanisms for supporting conservation, through its role in establishing the GEF-funded "Mgahinga and Bwindi Impenetrable Forest Conservation Trust." D. ENVIRONMENTAL AND SOCIAL IMPACTS 5.7 The project is expected to have positive environmental impacts in that it will assist the GOU to maintain protection and management of its PAs and wildlife in the short term, while at the same time helping to put in place an effective institutional structure to ensure conservation in the long term. The civil works to be undertaken under the project will be small scale, almost entirely rehabilitation of existing works, outside PAs, and in sum not expected to require environmental assessment or mitigation. The project is not expected to have any significant social impacts except insofar as more effective protection of wildlife and PAs may reduce opportunities for illegal exploitation of wildlife and indigenous plants by local communities. These impacts will be reduced by the ongoing community-related programs supported by other donors in areas around the major parks (e.g. Bwindi, Mgahinga, Semliki, Murchison Falls, Queen Elizabeth, etc.). The institutional strengthening of UWA will include training and TA to help integrate community conservation approaches within UWA, yielding positive social impacts in the future. There will be no involuntary resettlement under the project. The project will provide support to ensure that potentially affected communities are able to participate in the ongoing process of assessing and rationalizing the PA system. E. PROJECT SUSTAINABILITY 5.8 The project is specifically aimed at ensuring sustainability of the implementing agencies and the vital functions they perform, by establishing a solid institutional framework and management capacity. The GOU has established the UWA, UWEC, 35 UTB, UWTI (and soon the NCAM) as autonomous parastatals in order to reduce their dependence on government subventions and thereby promote their financial sustainability. However, the process of transforming an organization from a bureaucratic government department into an efficient, businesslike, self-sustaining public enterprise requires more than new legislation and the establishment of a Board of Directors. It requires a process of institutional "culture" change, strategic and business planning, and development of appropriate management systems and staff with the skills and incentives to implement them. By assisting these sectoral institutions to undertake this process of institutional transformation and become capable of carrying out these functions effectively, the project will contribute directly to their sustainability. In addition to building capacity within individual sectoral institutions, the project will promote investment in environmentally sustainable tourism through: (i) development of a positive and supportive policy environment, (ii) effective government support and regulation to ensure a high quality tourist experience, (iii) product development emphasizing the areas in which Uganda has a competitive advantage (e.g. landscape, cultural/historical, water- based activities and other specialty niche markets such as primate viewing and bird- watching), and (iv) partnership between public and private sectors (and among private sector players) for marketing and promotion. 5.9 The futures of PAs and wildlife resources and of the tourism industry are inter- dependent, as the PAs and wildlife provide the main basis for tourism, while tourism provides both direct financial resources and a strong economic justification for conservation. Ensuring effective management of these resources (and of others, such as the National Museum, which broaden the appeal of Uganda as a tourism attractions), is essential to achieving both the conservation and economic objectives through the development of a competitive and sustainable tourism industry. Box 1 below summarizes the approximate revenue base of the UWA, which is expected to increase through improved management and promotion. The project will also contribute to long- term sustainability by supporting an ongoing process of assessment and rationalization of the existing PA system, aimed at increasing operational efficiency and reducing costs. The management of some adjacent Parks and Reserves is likely to be consolidated for both ecological and cost-saving reasons, some PA boundaries may be redrawn and some areas may be added or dropped from the system based on an assessment of their biological and economic value and the social impacts'". 10 For example, for some heavily encroached area with little remaining biodiversity value, degazettement may be a better option than resettlement. 36 Box 1. Project Financial Sustainability - Protected Area Revenue Estimates Estimating the potential revenues from Uganda's protected area system has been hampered by a number of factors. First, the lack of reliable accounting systems in the field and at UWA headquarters has made it difficult to track current revenue flows. Second, even where funds have been recorded, it has not always been obvious whether these represent gross receipts or net receipts from a particular protected area; individual Unadjusted Annual Revenue parks have on occasion used local gate receipts (and other sources of Entrance Fees US$ 367 538 revenues) to pay local salary and operating costs before remitting balances Camping Fees 51 962 to HQ. Third, no regular accounting of statutory remittances to local Launch/Vehicle 84 623 districts has been evident at any of the protected areas; the UWA Act Ferry Takings 67 925 requires that 20% of entrance fees are remitted to local districts. Finally, Ranger Guide Fees 92 500 and perhaps most critically, continued security problems in Uganda and its Chimp/Gorilla Viewing 566 877 neighbors have resulted in a general decrease in tourist flows. Concession Fees 186 226 Fines 4 783 From a project planning perspective, a conservative approach has been Landing Fees 1 566 followed to err on the side of under-estimating receipts. The process for Donations 0 estimating revenues is: (i) best available unadjusted revenue estimates Hostel and Resale Items 91 000 from all sources were made for the five month period commencing August Sundry 44 840 1996, for which some records were available; (ii) these unadjusted Total $ 1 559 840 estimates were annualized to a 12 month period; (iii) a 20% reduction in gate entrance fees was applied to reflect the statutory share to be remitted Deductions to local districts; and, (iv) the resultant 'base net revenue' estimate was UIE - 27 642 further discounted by 50% to reflect potential short-term declines in tourist Local District Share - 73 508 visits because of security concerns. As a result, an adjusted conservative Base Net Revenue $ 1 458 691 revenue estimate of $0.73 million/year was used in this appraisal. 50% Base Net Revenue $ 729 345 F. RISKS 5.10 The project aims to help Uganda develop the institutional and human resources capacity needed to restore effective management of its PA system and wildlife resources, and to foster the development of a productive and sustainable nature-based tourism industry. There is a risk that, by focusing on institutional capacity building at this time and delaying capital investment in the sector, there may be further deterioration of the resources and facilities, making it even more difficult to turn the situation around later. This issue is addressed by the understanding that the major investment program (PAMSU) could be launched as soon as the necessary institutional capacity has been developed and demonstrated, without necessarily awaiting the completion of ICB- PAMSU. In addition, the project would provide support for basic operations, particularly at the field level, to enable UWA to function at a maintenance level. Even the relatively modest resources to be provided, because they will be reliable, will represent a significant improvement over the current situation and lead to improved morale and effectiveness of field staff. The project will also provide support for strategic planning and development of a "planning culture" within UWA, which will ensure that future investment is mobilized and used more efficiently and cost-effectively, and that future development is better conceived and more sustainable, than could be expected in the absence of the 37 project. The same considerations apply for the other sectoral institutions which will benefit from the project. This will help to ensure that Uganda's efforts to rebuild a positive image as a tourism destination and to become competitive in the regional and international markets, are not undermined by hasty and perhaps ill-conceived expansion of tourism facilities and a premature emphasis on marketing and promotion, in the absence of an effective planning and regulatory capacity. 5.11 The main risks to successful project implementation relate to: (i) the current limited capacity of the implementing agencies, and (ii) the relatively large number of implementing agencies and components; and (iii) budgetary constraints of GOU. The large number of agencies is the result of the GOU's commendable policy to devolve many functions to private and parastatal bodies, with the aim of making them less subject to bureaucratic limitations and less dependent on Government budgetary subventions, and consequently more effective and sustainable. During the project preparation period, the Project Coordination Unit established under the MTTI has proven very effective at coordinating the diverse actors and elements of the program and at facilitating smooth functioning of aspects such as disbursement, accounting and reporting, procurement and timely release of GOU counterpart funds. To avoid overburdening the implementing agencies during this capacity building phase, and to ensure continued effective coordination among the GOU, the implementing agencies and the World Bank and other donors, the PCU will be retained and strengthened to be able to manage the greater scope of work under project implementation. The GOU budgetary support required totals US$ 870,000 per year for all components, with the majority being salary support for the staff of the implementing agencies. Demands on counterpart funds will be relatively small as the majority of the project costs is for Technical Assistant and other items that are reimbursable 100%, while support for incremental operating costs are to be reimbursed at 85% (95% for office rental) in recognition of the fact that it is being provided in support of institutional capacity building activities. 38 6. ASSURANCES AND RECOMMENDATIONS 6.1 In order to ensure the effectiveness of the institutional capacity building assistance to be financed by the project, prior to negotiations, UWA initiated a number of measures including institutional restructuring and re-recruitment of key managerial and technical Headquarters positions, international recruitment of an Executive Director, international recruitment of a Financial Management contractor, professionally assisted recruitment of seven senior management/technical positions, and clarification of its financial "State of Affairs" at inceptions. In addition, both UWA and GOU formally adopted a policy to improve the procedures for award and management of concessions for tourism facilities within the PAs. The proposed Conditions of Effectiveness for ICB-PAMSU relate to the completion of these initiatives: (1) A draft contract for financial management services, acceptable to the Bank, with the contract to be signed upon effectiveness of the project (unless already signed and underway through USAID funding) (2) Shortlists for the seven senior UWA management/technical positions (currently under recruitment with external assistance), acceptable to the Bank. (3) Completion of a Project Implementation Plan, including Procurement Plan and first six months' Work Plan, acceptable to IDA. 6.2 The following assurances were obtained from GOU at negotiations: (1) That an internationally recruited UWA Executive Director, acceptable to the Bank, will be selected and a contract signed within 3 months of the date of effectiveness of the project; (2) That the GOU will continue its annual budgetary subvention to UWA and other implementing agencies at least at current levels in real terms; (3) That UWA will implement the recommendations of the Concessions Committee report, as outlined in the GOU policy lette, within one year of project effectiveness; and 39 RECOMMENDATION 6.3 Based on the above agreements, the project is suitable for an IDA Credit to the Republic of Uganda of US$12.37 million on standard IDA terms with 40 years maturity, and for a GEF Grant of US$2.0 million. - 40 ANNEX 1 SUMMARY COST TABLES 1. Project Cost Summary by Component 2. Project Cost Summary by Financer 3. Detailed Tables (1) UWA Capacity Building and Operations (2) Capacity Building for Other Conservation Organizations (3) Capacity Strengthening of Ministry of Trade, Tourism and Industry, and of the Uganda Tourism Board (4) Capacity Strengthening of the Department of Antiquities and Museums/ National Commission for Museums and Antiquities (5) Strengthening of Tourism Training Institutions (6) Project Coordination and Implementation 41 Summary Cost Table 1: Project Cost Summary by Component UGANDA ICB-PAMSU PROJECT % % Total Components Project Cost Summary (US 000) Foreign Base Local Foreign Total Exchange Costs UWA Capacity Building and Operations 7,184.6 3,383.8 10,568.4 36 52 Capacity Building for Other Conservation-related Institutions 1,290.0 980.0 2,273.0 31 11 Strengthening of the DAM/National Commission for Antiquities and Museums 375.9 320.5 696.4 43 3 Strengthening of MTTI & UTB 971.9 790.0 1,761.9 44 9 Strengthening of Tourism Training Institutes 481.2 591.3 1,072.5 53 8 Project Coordination and Implementation 440.8 610.5 1,051.3 52 5 Unallocated 1,100.0 1,100.0 100 6 Refunding of PPF - 1,915.0 1,915.0 100 10 Total PROJECT COSTS 10,744.4 9,691.1 20,438.5 104 .p Summary Cost Table 2: Project Cost Summary by Financer UGANDA ICB-PAMSU PROJECT Components by Financiers (US$ 000) IDA GEF GOU Total Amount % Amount % Amount % Amount % UWA Capacity Building and Operations 5,268.2 57.0 616.8 7.0 4,683.4 35.0 10,568.4 56.7 Capacity Building for Other Conservation-related Institutions 741.0 27.0 1,144.6 37.0 294.5 40.0 2,180.1 10.2 Strengthening of the DAM/National Comm. forAntiquities And Museums 574.4 73.0 - - 121.9 11.0 696.4 1.6 Capacity Strengthening of MTTI and UTB 1,171.6 70.2 - - 590.3 29.0 1,761.9 10.0 Strengthening of Tourism Training Institutes 776.1 79.9 - - 296.4 16.0 1,072.5 4.9 Project Coordination and Implementation 986.8 93.0 38.6 36.0 25.9 4.0 1,051.3 4.9 Unallocated 900.0 100.0 200.0 1,100.0 Refunding of PPF 1,915.0 100.0 - - - - 1,915.0 11.7 Total Disbursement 12,333.1 63.0 2,000.0 10.0 6,012.4 27.0 20,345.6 100.0 Summary Cost Table 1: Project Cost Summary by Component UGANDA ICB-PAMSU PROJECT % %Total Components Project Cost Summary (US 000) Foreign Base Local Foreign Total Exchange Costs UWA Capacity Building and Operations 7,184.6 3,383.8 10,568.4 36 52 Capacity Building for Other Conservation-related Institutions 1i290.0 980.0 2,273.0 31 11 Strengthening of the DAM/National Commission for Antiquities and Museums 375.9 320.5 696.4 43 3 Strengthening of MTTI & UTB 971.9 790.0 1,761.9 44 9 Strengthening of Tourism Training Institutes 481.2 591.3 1,072.5 53 8 Project Coordination and Implementation 440.8 610.5 1,051.3 52 5 Unallocated 1,100.0 1,100.0 100 6 Refunding of PPF - 1,915.0 1,915.0 100 10 Total PROJECT COSTS 10,744.4 9,691.1 20,438.5 104 Summary Cost Table 2: Project Cost Summary by Financer UGANDA ICB-PAMSU PROJECT Components by Financiers (US$ 000) IDA GEF GOU Total Amount % Amount % Amount % Amount % UWA Capacity Building and Operations 5,268.2 57.0 616.8 7.0 4,683.4 35.0 10,568.4 56.7 Capacity Building for Other Conservation-related Institutions 741.0 27.0 1,144.6 37.0 294.5 40.0 2,180.1 10.2 Strengthening of the DAM/National Comm. for Antiquities And Museums 574.4 73.0 - - 121.9 11.0 696.4 1.6 Capacity Strengthening of MTTI and UTB 1,171.6 70.2 - - 590.3 29.0 1,761.9 10.0 Strengthening of Tourism Training Institutes 776.1 79.9 - - 296.4 16.0 1,072.5 4.9 Project Coordination and Implementation 986.8 93.0 38.6 36.0 25.9 4.0 1,051.3 4.9 Unallocated 900.0 100.0 200.0 1,100.0 Refunding of PPF 1,915.0 100.0 - - - - 1,915.0 11.7 Total Disbursement 12,333.1 63.0 2,000.0 10.0 6,012.4 27.0 20,345.6 100.0 Detailed Tables (1): UWA Capacity Building and Operations UGANDA ICB-PAMSU PROJECT Table 2. UWA Capacity Building and Operations Detailed Costs Base Cost (U$ 000) % For. 1998 1999 2000 Total Exch. I. Investment Costs A. HQ Operations HQ Building Rent 182.0 182.0 182.0 546.0 100.0 HQ Office O&M 253.0 253.0 253.0 759.0 0.0 ED Remuneration 180.0 180.0 180.0 540.0 100.0 Management Remuneration (3dds) 108.0 108.0 108.0 324.0 100.0 Other HQ Base Salaries & Allocances 78.0 78.0 78.0 234.0 0.0 Equipment ED Office 16.5 37.5 - 54.0 100.0 Equipment (Uniforms) 80.0 - - 80.0 0.0 Engineering Services TA 100.0 100.0 - 200.0 100.0 Human Resources Development 150.0 150.0 150.0 450.0 100.0 Technical Assistance - Legal (Concessions) 165.0 165.0 80.0 TA-Short Term-Other 187.0 187.0 187.0 561.0 80.0 Training 333.3 333.3 333.3 999.9 70.0 Field salaries & allows & overheads 777.0 777.0 777.0 2,331.0 0.0 Parks-O&M 394.0 394.0 394.0 1,182.0 0.0 Reserves - O&M 182.0 182.0 182.0 546.0 0.0 Equipment 1 DPMR 100.0 69.0 - 169.0 100.0 Equipment 2 DPMR 70.0 - - 70.0 100.0 Equipment - Field 62.5 62.5 62.5 187.5 100.0 Equipment- HQ 15.0 15.0 15.0 45.0 100.0 Subtotal HQ Operations 3,433.3 3,108.3 2,901.8 9,443.4 B. UWA Board Facilitation 50.0 25.0 - 75.0 100.0 C. Financial Services Contract Fixed Programs and Hardware 125.0 250.0 - 375.0 100.0 Variable Expenses 40.0 40.0 40.0 120.0 100.0 Variable Fees - 2 Yrs Development & Implementation 165.0 330.0 495.0 100.0 Variable Fees - lYr Monitoring - 60.0 60.0 100.0 Subtotal Financial Services Contract 330.0 620.0 100.0 1,050.0 Total 3,813.3 3,753.3 3,001.8 10,568.4 44 Detailed Table (2): CapacIty Strengthening of Other Conservation Organizations U U UGANDA UGANDA UGANDA ICB-PAMSU Table 4. Capacity Building for Other Conserv Detailed Costs Base Cost (US 000) % For. 1998 1999 2000 Total Exch. I. Investment Costs A. UWEC Animal Holding Pens - cw 40.0 - - 40.0 0.0 Management - TA 100.0 100.0 - 200.0 100.0 Planning TA 30.0 30.0 - 60.0 100.0 Short Term TA - Other 20.0 20.0 10.0 50.0 Training 35.0 35.0 25.0 100.0 Civil Works 100.0 200.0 100.0 400.0 0.0 Equipment 15.0 - - 15.0 100.0 Office O&M 17.0 17.0 17.0 51.0 0.0 Local Staff 19.0 19.0 19.0 57.0 0.0 Subtotal UWEC 376.0 421.0 171.0 973.0 B. UWTI Local Staff 29.0 29.0 29.0 87.0 0.0 Business Plan TA 30.0 - 30.0 100.0 Short-term TA - Other 24.0 12.0 12.0 48.0 80.0 Training 20.0 10.0 10.0 40.0 Subtotal UWTI 103.0 51.0 51.0 205.0 C. Wildlife Department TA (short-term) 50.0 25.0 25.0 100.0 80.0 Training 35.0 35.0 35.0 105.0 70.0 Equipment 25.0 18.0 - 43.0 100.0 Salaries 33.2 33.2 33.2 99.6 0.0 Subtotal Wildlife Department 143.2 111.2 93.2 347.6 D. Forestry Dept. TA (short-term) 50.0 50.0 48.0 148.0 80.0 Training 35.0 35.0 35.0 105.0 70.0 Vehicle 62.5 - - 62.5 100.0 Equipment 50.0 50.0 50.0 150.0 100.0 Civil Works 11.0 11.0 11.0 33.0 0.0 Operating Costs 83.0 83.0 83.0 249.0 0.0 Subtotal Forestry Dept. 291.5 229.0 227.0 747.5 Total 913.7 812.2 542.2 2,273.1 45 Detailed Tables (3): Capacity Strengthening for MTTI and Uganda Tourism Board UGANDA ICB-PAMSU PROJECT Table 3. MTTI and UTB Capacity Strengthening Detailed Costs Base Cost (US 000) % For. 1998 1999 2000 Total Exch. A. MTTI Policy/Planning TA (Short term) 25.0 25.0 - 50.0 80.0 Training 30.0 10.0 - 40.0 70.0 Subtotal MTTI PolicylPlanning 55.0 35.0 - 90.0 B. MTTI Tourism Statistical Database TA (Short term) 25.0 25.0 25.0 75.0 80.0 Training 30.0 30.0 - 60.0 70.0 Vehicle 62.5 - - 62.5 100.0 Operational support 50.0 50.0 50.0 150.0 0.0 Subtotal MTTI Tourism Statistical Database 167.5 105.0 75.0 347.5 C. MTTI Human Resources Oev. & needs assissement & planning TA (short term) 35.0 25.0 10.0 70.0 80.0 Training 20.0 - - 20.0 70.0 Subtotal MTWA Human Resources Dev. & needs assissement & planning 55.0 25.0 10.0 90.0 D. MTTI Licensing Capacity TA (Short term) 60.0 20.0 20.0 100.0 100.0 Training 30.0 20.0 - 50.0 70.0 Vehicle 62.5 - - 62.5 100.0 Equipment 26.0 - - 26.0 100.0 Operational support 39.0 39.0 39.0 117.0 0.0 Subtotal MTTI Licensing Capacity 217.5 79.0 59.0 355.5 E. UTB Training 60.0 30.0 30.0 120.0 70.0 Equipment (Computer & acc.) 12.5 - - 12.5 100.0 TA (short-term) 30.0 20.0 20.0 70.0 80.0 UTB Salaries 132.0 132.0 132.0 396.0 0.0 Materials 38.0 16.0 - 54.0 100.0 Operational costs (includ. travel & adv.) 38.0 38.0 38.0 114.0 0.0 Pilot Public relations contract 30.0 - - 30.0 100.0 Subtotal UTB 340.5 236.0 220.0 796.5 F. UIA/UTB Prospectus TA 40.0 - - 40.0 100.0 Materials 19.0 - - 19.0 100.0 Subtotal UIA/UTB Prospectus 59.0 - - 59.0 G. MTTI Office Overheads (GOU) 12.0 12.0 12 36.0 0.0 Total 906.5 492.0 363.4 1,761.9 46 Detailed Table (4): Capacity Strengthening of the Dept. of Ant. & Museums/NCAM UGANDA ICB-PAMSU PROJECT Table 6. National Commission for Antiquities and M Detailed Costs Base Cost (U$ 000) % For. 1998 1999 2000 Total Exch. I. Investment Costs A. Facilities rehab. - civil works 33.0 55.0 22.0 110.0 0.0 B. Audio Visual Equipment 9.0 - - 9.0 100.0 C Other Equipment 11.0 - - 11.0 100.0 D Short-term TA Planning TA 50.0 50.0 0.0 Other TA 30.0 40.0 30.0 100.0 80.0 E Training 32.0 80.0 80.0 192.0 70.0 F Operating Costs 21.0 21.0 21.0 63.0 0.0 SUBTOTAL 186.0 196.0 153.0 535.0 G Regional Sites Survey Vehicle 62.5 - - 62.5 100.0 Operating Costs 9.0 9.0 9.0 27.0 0.0 Per diems and driver salary 4.3 4.3 4.3 12.9 0.0 Meetings/workshops 4.0 4.0 4.0 12.0 0.0 Salaries 47.0 - - 47.0 0.0 Subtotal Regional Sites Survey 126.8 17.3 17.3 161.4 Total 312.8 213.3 170.3 696.4 47 Detailed Table (5): Strengthening of Tourism Training Institutions UGANDA ICB-PAMSU PROJECT Table 5. Strengthening of Tourism T Detailed Costs Base Cost (US 000) % For. 1998 1999 2000 Total Exch. I. Investment Costs TA (short-term) 70.0 108.0 108.0 286.0 80.0 Training Materials 46.0 - - 46.0 100.0 Civil Works 33.0 55.0 14.0 102.0 0.0 Equipment 108.0 108.0 108.0 324.0 100.0 Vehicle 62.5 - - 62.5 100.0 Vehicle operating costs 9.0 9.0 9.0 27.0 0.0 Training 25.0 25.0 25.0 75.0 Salaries 50.0 50.0 50.0 150.0 0.0 Total 403.5 355.0 314.0 1,072.5 Detailed Tables (6): Project Coordination and Implementation UGANDA ICB-PAMSU PROJECT Table 1. Project Coordination and Imple Detailed Costs Base Cost (US 000) % For. 1998 1999 2000 Total Exch. I. Investment Costs PCU Coordinator 50 50.0 50.0 150.0 100.0 PCU Deputy Coordinator 25 25.0 25.0 75.0 0.0 PCU Staff 68 67.6 67.6 202.7 0.0 Short-term TA 45 45.0 45.0 135.0 80.0 Office Rental 31 31.0 31.0 93.0 100.0 Vehicle 63 62.5 100.0 Office Equipment 34 - - 34.0 100.0 Training 32 31.7 31.7 95.1 70.0 Incremental Operating Cost 68 68.0 68.0 204.0 0.0 415 318.3 318.3 1,051.3 Total 48 ANNEX 2 PERFORMANCE INDICATORS AND TARGETS OBJECTIVE |IONITORABLE INDICATORS AND OUJTPUTS TARGETS AT MIIDTERM BENCHMARKS FOR INITIATING APPRAISAL OF PAMSU PROJECT" Government/Sectoral Level Development of Tourism Tourism Policy Paper and Strategic Plan, prepared Completion of consultative workshops; preparation GOU approval of Policy Paper; policy and Strategic Plan through stakeholder consultation process of draft Policy Paper and draft Strategic Plan (including clear roles of public & private sector and Proposals for legislative revisions (as needed) of respective sectoral institutions) completed and submitted to Parliament Strategic planning for HR Development Plan and Training Needs Training Needs Assessment completed HR Development plan completed, adopted by Human Resources Assessment; MTWA Development for Tourism Sector Licensing standards (including standardized curricula Draft licensing standards prepared Licensing standards finalized, adopted and examinations as appropriate) for tourism training institutions -- developed in consultation with private sector Tourism Statistical Tourism Database established, including collection, Database designed; at least one visitor survey Statistical Database fully operational; statistics for Database analysis and dissemination mechanisms completed and results disseminated previous year published. Licensing Systems for Licensing standards adopted for Tour Operators and Tour operators: licensing standards adopted, 10 Licensing and Inspectorate Dept. operational, Tourism Services and Hotels, with stakeholder consultation; trial Operators licensed under new system; handling applications with acceptable tum-around Facilities implementation completed time. Hotels: draft licensing standards prepared ImplementingAgencyLeveli-General 4e Clear mission/objectives Each agency adopts a "Mission Statement" and policy Draft mission statement/policy prepared, consistent Final policy/mission statement adopted by document, defining its short/medium/long-term with GOU policies and through stakeholder respective governing bodies objectives, including relationship to and interactions consultation process with the private sector Strategic, development and Each agency develop: (i) an overall strategic (i) Draft strategic and 5-year development plans (i) Strategic and Development Plans finalized and operational planning ("corporate") plan, (ii) a proposed 5-year development prepared; (ii) TORS completed for any studies adopted by respective governing bodies (and capacity plan (including financial analysis/feasibility studies of required (e.g. financial analysis/feasibility studies for approved by GOU as required); (ii) Draft any proposed major investments, including specific proposed investments) operational plans for following 2 years prepared investment proposals for PAMSU support), and (iii) a (with completed financial analysis/feasibility 1-2 year operational plan studies for any commercially-oriented investments) Development of human Each agency has: (i) an efficient and appropriate staff (i) Completed analysis of staff establishment, job Any recommended restructuring or revisions resource base and HR establishment and structure, including clear descriptions and remuneration systems, based on approved by respective governing bodies; (ii) a 5- management implementation and reporting responsibilities; (ii) a agency's mission statement and draft development/ year training strategy and first year training plan training strategy to fill skills gaps internally and for operational plans; any proposed revisions and their developed; (iv) finalized performance indicators personal development of staff; (iii) an affordable and implications (e.g. redundancies, salary restructuring, for all positions equitable remuneration system; (iv) a performance training needs, etc.) identified); monitoring and management system; (ii) draft performance indicators for all staff positions Effective financial Each IA has: (i) a financial management system in (i) implementation of improved financial (i) an acceptable audit report by independent management place, including budgeting, accounting and reporting, management systems begun (hardware and software auditor for one financial year; (ii) evidence of cost analysis, inventory control, internal audit, etc.; purchased and installed; responsible staff acceptable budget planning/management for one identified/appointed and training begun; inventory year; (iii) completed physical asset inventory and tracking and internal audit procedures identified set valuation, and inventory tracking and intemal audit up); systems operational Environmental Impact Environmental impact policy and procedures and Draft EIA policies and procedures approved by Evidence of implementation of EIA Assessment Capacity review mechanisms to incorporate the outputs in governing body policy/procedures decision making (as appropriate given the nature of the lAs activities) Itpe"[t) gAgny Level - OtheSeiric UWA 1. PA System PA System revised to address need for: (i) coverage of Technical proposals for PA boundary revisions Revised PA System approved by GOU; Rationalization main ecosystems and biodiversity resources; (ii) completed; community consultations completed or implications for implementation (e.g. resettlement management efficiency and sustainability ongoing for at least 5 areas requirements if any, boundary demarcation and infrastructure development) identified and costs estimated 2. Concessions Concessions for private sector tourism facilities within Recommended actions initiated with respect to all Recommended actions completed for all existing management PAs being awarded and managed in accordance with existing concessions and informal agreements concessions and informal agreements; approved policies and procedures2" demonstration that approved concessions award and management procedures were/are being followed in all cases. 3. UWA staff training Comprehensive staff training plan refined and 2-year training plan finalized and first year under 2-year training plan completed; additional training implemented implementation needs identified 4. UWA Board of Trustees Board Procedural Manual articulating Board's Procedural manual adopted by Board; training capacity building responsibilities and operational procedures activities underway 5. Effective PA (i) PA Management Plans developed/updated and (i) Planning Unit equipped, staffed and operational; 5 5 PA Mgmt plans under implementation and Management implemented PA Management Plans under preparation or being investment needs incorporated in UWA Dev't and updated; Operational Plans; 5 additional PA Mgt. Plans under preparation/being updated t.n (ii) Field staff equipped, trained to implement (ii) Field equipment procured and distributed; field (ii) 2-year field staff training plan completed, effectively staff training undervay additional training needs identified Wildlife Dept. Refinement of Wildlife Amended WF Policy and amended legislation, or new Draft Policy and legislation/regulation amendments Proposed policy/legislation amendments and Policy and Legislation regulations developed as needed, particularly with developed through stakeholder consultation process regulations adopted, or submitted to Parliament, as respect to Community Wildlife Management Areas approp. Uganda Wildlife Education Center 1. Facilities rehabilitation Improved physical facilities, including Animal Priority rehabilitation completed (ca. half of total All rehabilitation under allocated funds completed; Holding facilities for WD and visitor facilities allocated funds) feasibility studies and designs completed for further infrastructure rehabilitation/development (per strategic/business plan) 2. Development of New conservation education exhibits Designs for exhibits completed, BOQ prepared Exhibits completed and open to visitors educational exhibits 3. Strategic/ business Strategic/business plan developed to ensure fulfillment Strategic plan completed; draft business plan Business plan completed, feasibility studies for planning of educational mandate and sustainability completed; feasibility studies required for proposed proposed new developments completed. I I new developments identified Uganda Wildlife Training Institute Strategic and business Strategic and business plan developed, including Strategic plan completed; business plan in Business plan completed, including feasibility planning market analysis --estimate of long-term WF sector preparation studies of any proposed infrastructure development training needs in Uganda and the Region (public and or expansion private sector) and assessment of UWTI's prospective role in meeting those needs Forestry Department Develop capacity to FD has policy and procedural guidelines Policy/guidelines approved; pilot ecotourism project Infrastructure complete; positive evaluation of environmental promote and manage for ecotourism development and infrastructure designed and financial management of pilot activity ecotourism in Forest management; an ecotourism activity Reserves underway in at least one Forest Reserve Uganda Tourism Board (and Uganda Investment Authority) 1. Strengthen capacity and (i) INTERNET Website (ii) a variety of (i) Website designed and online; (ii) pilot (i) second round of fam. trips and sales calls (European market) broaden methods used for promotion/marketing methods being familiarization trip and sales calls completed (in completed; (ii) investment prospectus completed and tourism promotion and pursued; (iii) model professional Kenya); (iii) draft investment prospectus prepared; distributed; (iii) pilot public relations contract underway marketing prospectus prepared for a high priority (iv) first set of new promotional pamphlets completed tourism investment 2. Promote increased UTB endorsed by stakeholders as: (i) Private sector tourism associations begin to contribute 10% of professionalism in tourism effective forum for public/private sector UTB operating costs sector liaison, e.g. for development and implementation of licensing standards, statistical database and a bookings information system; (ii) effective instrument for tourism promotion (e.g. "welcome" services and production of promotional literature Hotel and Tourism Training Institute, and Uganda Assoc. of Tourism Training Institutes Improve quality of tourism HTTI kitchen and "front office" training Equipment procured and facilities upgraded At least 6 (3 additional) short courses held. training through facilities rehabilitated/upgraded; institutional capacity strengthening and "Train-the-trainer" short courses held, UATTI "Executive Committee" established and Implement "Train-the- output = trained instructors, operational; at least 3 (1-2 month) short courses on Trainer" program recommended training curricula, priority topics held materials and aids. Notes: 1/ May be revised at Midterm Review 2/ As outlined in Report of the Ministerial Committee and endorsed in the GOU Letter of Concessions Policy, dated April 15, 1998. ANNEX 3 TABLE 1. IMPLEMENTATION SCHEDULE COMPONENT KEY ACTIVITIES RESPONSIBILITY Year 1 Year 2 Year 3 1. UWA Capacity Establish Management Team Strategic Plan Development Corporate Plan Development Interim Executive Director, with other Strengthening Managers Put in place basic financial Computerize financial management Computerize financial management IED, DD/Finance and Financial management. Needs at HQ in PAs. TA moves to "monitoring" Management Contractor assessment and procurement phase of computer equipment and software Stakeholder consultations on Completion of PA system GOU approval of final PA system IED, DD/Res. Monit.&Planning, PA system rationalization rationalization recommendations, plan; preparation of costed proposal MTWA and Parliament submission of proposal to for implementation Parliament as required. Refinement of draft UWA Implementation of training plan Implementation of training plan IED, DD-Human Resources, and staff training plan Training Contractor en Orientation/training for UWA Preparation and adoption of Board PCU IN.) Board Procedural Manual 2. UWA Field Procurement of essential Implementation of recommended Implementation of PA Mgmt Plans PCU, DD/Field Operations, Chief Operations equipment and supplies. changes in field management Wardens Review of field management structure. Begin implementation of structure2/. approved PA Mgmt. Plans. Preparation/updating of # PA Mgmt. DD/PM&R, Chief Wardens, Procurement of equipment, Preparation/updating of (#) PA Plans. Preparation of designs/BOQ Engineering TA; PCU and training of HQ and field- Management Plans. Preparation of for infrastructure development for based planning staff. general infrastructure plans (e.g. PAs based on Mgmt. Plans Preparation/updating of up to standards, standard designs). () PA Management Plans . 3. Capacity Consultative workshops on Submission of proposed revisions Building of other Wildlife Policy and and regulations to Parliament Conservation Legislation Organizations: (A) Wildlife Construction of Animal Strategic/business planning [Head] Wildlife Dept. Dept. Holding Facilities for WD/CITES (B) UWEC Strategic planning Construction of new educational Complete construction of new UWEC Director Rehabilitation of existing exhibits exhibits facilities. Design of new educational exhibits (C) UWTI UWEC Director (D) Forestry Dept. Strategic Planning enl Community workshops, trail development, purchase of equ.& staff recruitment Principal, UWTI 4. MTWA & UTB Tourism Policy workshops, Submission of Policy Paper to Completion of Tourism Sector MTWA Tourism Dev't Dept.--Tourism Capacity Building preparation of Policy Paper Parliament. Tourism sector strategic Strategic Plan Planner) 3/ planning workshops. Pilot implementation of statistical Design of statistical database, database including survey instruments, Pilot implementation continues; MTWA Tourism Dev't Dept. Statistician, data collection and evaluation of implementation to date and Bureau of Statistics dissemination systems Pilot implementation of licensing Tourism sector Human Resources standards for tourism training Tourism sector HR and strategic planning. Pilot institutions. training needs assessment. implementation of new Operator MTWA: Dept. of Licensing and Development of licensing licensing standards. Inspectorate, and Director/Human standards for Tourism Development of licensing standards Resources4/i UATTI 5/ Operators for Tourism training institutions UTB establish Internet Carry out pilot fan trips and sales UTB: Director, Sales and Marketing I website. calls I Manager, Public Relations Specialist; Identification/planning of pilot "familiarization trips" and "sales calls" UTB Public Relations Specialist; Uganda Pilot public relations contract in a Investment Authority source market country UTB/UIA model prospectus development 6. Tourism Tourism sector HR Dev't and Rehabilitation of HTTI kitchen & Implementation of "Train the Principal, HTTI; MTWA Training Capacity training needs assessment, and front office training facilities. Trainer" courses Director/Human Resources Building development of licensing Implementation of "Train the standards (see # 5). Trainer" courses. Establishment of UATTI Executive Committee, and identification of first years' "Train-the-Trainer" courses. Design rehabilitation of HTTI kitchen and "front office" training facilities 7. Project Initiate M&E system Mid-term Review Coordinate updating of PAMSU Project Coordinator Coordination I I project proposal I_I NOTES: I/Activities continuing throughout the project period (e.g. UWA enhancedfield operations, Wildlife Department participation in international CITES-related meetings, UTB general promotional activities, ongoing staff training, etc.) are not listed. 4>- 2/ e.g Consolidation ofmanagement of selected Parks and adjacent Reserves 3/ To be recruited (condition of disbursement for these activities) 4/ To be recruited (condition of disbursement for HR development-related activities) S/Association of Tourism Training Institutes ANNEX 4 EXECUTIVE DIRECTOR OF THE UGANDA WILDLIFE AUTHORITY TERMS OF REFERENCE Job Description for an Interim Uganda Wildlife Executive Director BACKGROUND Responsibility for Uganda's natural protected areas was, historically, shared between three different government agencies: Uganda National Parks had sole management responsibility for all National Parks, while the Game Department was in charge of Game Reserves, Animal Sanctuaries and Controlled Hunting Areas. Forest Reserves were the responsibility of the Forest Department. In July 1995, Game Department staff and functions were merged with those of Uganda National Parks - a transitional arrangement pending the establishment of the new Uganda Wildlife Authority (UWA). The Uganda Wildlife Authority came into being in August 1996, three months after the passing into law of The Uganda Wildlife Statute, 1996. UWA is a parastatal organization governed by a Board of Trustees under the umbrella of responsibility to the Ministry of Tourism, Wildlife, and Antiquities. The UWA is now the leading organization charged with conserving and managing the country's wildlife resources and protected areas. The organization is now responsible for managing 22 protected areas, including national parks and wildlife reserves as well as wildlife management areas, including wildlife sanctuaries and community wildlife areas. From its establishment in 1996, UWA has functioned within a largely public sector culture. UWA, from its inception, has been plagued with problems of mismanagement and lack of adequate financial control and accountability. The organization has also had to cope with significant revenue losses due to the drastic decline in tourism that has occurred over the last several years due to instability within the country. Wildlife populations are presently low due to the past war in the late 70s and early 80s. UWA has done little to diversify its revenue potential and has relied on revenue from the Mountain Gorilla parks for its main source of income. UWA now has 70 headquarters staff and a larger dispersed field staff operation, comprising approximately 1500 personnel total. With limited revenue, this number of personnel has stressed the limits of the organization from its establishment. The Uganda Wildlife Authority is in the process of restructuring its functions and processes in order to ensure a more effective, efficient, and transparent organization. 55 THE POSITION One major thrust to ensure proper management of UWA stems from the "Protected Areas Management and Sustainable Use" (PAMSU) project. This World Bank $30 million dollar project aims to assist the Government of Uganda (GOU) to protect, manage and develop its protected area system, wildlife resources and associated assets, and to promote their sustainable, environmentally sound use in order to ensure their long-term survival. As a prelude to PAMSU, an Institutional Capacity Building (ICB) project is underway which is intended to strengthen the management capacity of UWA through a combination of technical assistance, training and provision of special management services on a contractual basis for a maximum of 3 years while internal capacity is being developed. GOU anticipates obtaining a major package of investment assistance from the World Bank and other donors as soon as UWA has achieved the institutional capacity required to implement it effectively. The hiring of a new UWA Executive Director is one key component of the ICB Project. Consequently, the successful implementation of the ICB project with its goal of achieving institutional capacity building willfacilitate initiation of the PAMSUproject. The recruitment of a UWA Executive Director with the qualifications listed below is aimed at enabling UWA to achieve these goals as soon as possible. This Executive Director position will be for 3 years (non renewable). There will be a one year probationary period with continuation based on a positive performance assessment. This is an executive position with line responsibility. This position will be funded under a World Bankfinanced project. The primary responsibility of the Executive Director will be to transform UWA into a viable, functional, and transparent organization and to ensure capacity building to provide long term sustainability of the organization. The Executive Director (ED) who is also the Chief Executive Officer will be primarily responsible for putting in place all the essential management components to ensure that UWA becomes a viable, functional, sustainable, transparent, and reputable organization. The primary goal is to develop an organization based on sound business management practices that will be in concert with and promote biodiversity protection through a sustainable system of protected areas. The ED will be responsible for charting a new course for the organization. This is a rare and challenging position that requires "solid" business and operational skills to drive the implementation of the restructuring program through a strategic management process. Other responsibilities include instituting creative and vigorous strategies to re-instill a sense of "esprit de corps" in the organization at all levels; establishing UWA as a reputable and functional organization with local, regional, and international partners; ensuring compliance with the conditionalities as per the capacity building component of the PAMSU project; implementing statutes, policies, regulations, plans, procedures, and guidelines as 56 approved by the UWA Board of Trustees and reviewing and reporting on the operations and results of the organization; installing effective financial, procurement and human resource management systems; implementing the concessions procedural process and guidelines to ensure that the organization receives appropriate financial benefits through an effective and transparent means of business contract management; leading and motivating the organization to achieve high performance standards through developing performance measures/ monitoring/ accountability strategies, especially in the areas of park operations, revenue collection accounting, and tourism management/ services. QUALIFICATIONS Applicants should have an advanced degree and have proven experience (10 years or more) as a senior level manager (Chief Executive Officer, General Manager, Deputy Managing Director or Managing Director) in an organization or company where he/she has supervised and managed at least 300 employees. The candidate must successfully demonstrate that he/she has strong business/ management- related skill with a demonstrated track record of accomplishment in strategic management, budgeting, organizational restructuring and planning, organizational transformation, business process reengineering, handling large budgets, developing and implementing performance standards and continuous improvement of service quality. Candidates with a proven record for creatively and successfully "turning an organization around from a poorly functioning to well-functioning organizations" will have a strong advantage. Additional experience and/or a background in conservation or environment is desirable but not required. THE PACKAGE The position offers an internationally competitive and attractive remuneration package on a 3 year (non renewable) fixed term contract. The salary (negotiable) is to be commensurate with the expected contribution to the management of this key Ugandan organization charged with the responsibility of managing Uganda's 22 protected areas. SCOPE OF ASSIGNMENT The Executive Director's role will be to provide good management leadership aimed at transforming UWA into an effective and efficient organization based on sound management practices and capable of undertaking its essential functions on a sustainable basis. The targets and requirements associated with this position are as follows: 1. Develops within the first 3 months, with UWA personnel and partners, a 3 year Work Plan with specific targets to be achieved in each year. The Work Plan will 1) identify RESULTS, OBJECTIVES, ACTIVITIES, TIME FRAMES, PARTNERS, AND 57 ASSUMPTIONS; 2) set indicators to determine when the investment phases of PAMSU will be initiated; 3) serve as the basis for evaluating the "organization turn around"; and 4) evaluate the Executive Director's performance. 2. Reexamines and directs the implementation of the organizational restructuring process in terms of functions, work processes, staffing levels, devolution of authority and decision-making as well as reevaluating the existing regional clustering concept of protected areas to ensure the most effective and efficient management of the protected area system. 3. Makes recommendations to the UWA Board of Trustees for any necessary adjustments or refinements related to the UWA restructuring and position descriptions. 4. Develops in collaboration with UWA personnel and partners and with assistance from an external consultant, a Strategic Corporate Plan that will serve to reposition the organization so it can play its critical role in the sustainable management and conservation of Uganda's protected area resources. This activity is of high priority as it will set a strategic direction to be followed in the installation of management systems and in the implementation of major projects and programs. 5. Puts together and transfers skills (capacity building) to a strong Executive Teamn composed of UWA Deputy Directors and other selected senior UWA staff to ensure that a body of knowledge and experience is passed on to those who will continue to play a major role in the organization's decision-making process. 6. Develops and implements an effective, efficient, sustainable, and transparent financial management, procurement, budgeting and accounting systems and procedures. Supervises the Financial Management Services contract, together with the Deputy Director of Finance, to ensure achievement of both effective financial management and accountability, and the building of UWA's internal capacity. The primary goal is to ensure that UWA follows sound business practices. 7. Develops and implements human resource management systems aimed at improving individual performance, increasing productivity and improving staff morale. 8. Develops effective Headquarters/ Field communications, support and management systems. 9. Introduces a "planning culture" where decisions are based on input from plans, research, and environmental impact assessments produced by interdisciplinary teams. Institutes a policy whereby the Board of Trustees is required to have technical input presentations prior to decision-making on issues of a technical nature. 58 10. Ensures an appropriate skills mix among Management and staff through training and recruitment. 11. Supervises/ oversees all Technical Assistance Advisors and all outsourcing contracts. 12. Implements and requires compliance with approved Concession Contract Procedures and Regulations to ensure that all levels of compliance are achieved and that contracts are awarded through an efficient, effective, and transparent process. 13. Develops and implements UWA's public relations policy and strategy in order to promote goodwill, develop credibility and create a favorable public image. Also planning, budgeting, and coordinating fundraising activities as alternative long-term funding sources that will complement traditional revenue streams to support national biodiversity conservation efforts. 14. Meets with Board of Trustees, GOU, Donors, and other partners on a regular basis to ensure continuing support to UWA policies and long-terrn goals. 15. Coordinates the proposals and activities of the various donors and partners to avoid conflicts and duplication of efforts. KEY DELIVERABLES 1. An effective, efficient, viable, functional, and transparent organization. 2. An organization with sustainable management components that is capable of addressing the core responsibilities of conservation and management of wildlife and protected areas, with progressively decreasing reliance on external and technical assistance. 3. A three year Work Plan. 4. A Corporate Plan REPORTING ARRANGEMENTS The Executive Director will report to the UWA Board of Trustees. 59 ANNEX 5 TERMS OF REFERENCE FINANCIAL MANAGEMENT SERVICES CONTRACT FOR THE UGANDA WILDLIFE AUTHORITY (UWA) A professional financial management consulting firm (Contractor) will be contracted by UWA to: 1. provide UWA with an immediate and functional financial management and accounting capacity as required for day to day operations, and to manage donor financial support; 2. initiate the development of the required financial management systems, and start the capacity building process within UWA to enable it to implement these systems and maintain effective financial management and accountability in the longer term. General Responsibilities During this 6 month contract period, the firm is expected to: I. initiate and begin implementation of a computerised, fully integrated Financial Management Information System at Headquarters which encompasses all the Protected Areas and UWA activities; 2. assist with the recruitment and training of UWA Financial Services Department staff (with the exception of the UWA Deputy Director Financial Services, DD/FS) who should be sufficient calibre to ensure that the capacity building process can be initiated. 3. operate through the UWA financial staff (both Headquarters and the Field). The UWA financial staff will be answerable both to the Contractor and to the DD/FS. 4. provide sufficient support services to ensure that significant progress can be made during this 6 month initiative to institute a transparent, effective, and efficient system of financial management in UWA and to build capacity within UWA to sustain these financial systems. 61 Time Period The Contractor will have direct line authority responsibility during this 6 month time period and will take over all the financial control functions, including countersigning authorisation for cash and cheque payments, and preparation of capital and revenue budgets for authorisation by the UWA Board of Trustees. During this period, the Contractor will also be responsible for developing financial management and information systems, including evaluation and installation of required hardware and software (to be provided by UWA through USAID project support), and for in-service on-the-job training of UWA staff in the implementation of these systems. This USAID contract is for a 6 month period and is non renewable. The USAID contract is designed to give immediate assistance to UWA as part of a bridging period to develop firm financial controls over the organization from now until July 1998. It is obvious that a comprehensive financial management system cannot be put in place during a 6 month period; therefore, in July 1998, the World Bank is expected to provide funding for a 24 month continuation (separate contract) of this financial strengthening effort for UWA. To maintain continuity, it is desirable that the same contractor be selected; however, this determination will be made by the World Bank and will depend on satisfactory performance and separate contract negotiation. Specific Contractor Responsibilities I. The Contractor will be directly responsible for operating all the budgetary, accounting and financial management functions of UWA, including: collection and banking of revenues (e.g. from Protected Areas and concessions); making payments; maintaining adequate financial records; and submitting financial reports on a regular basis to the UWA DD/FS and the UWA Executive Director. The Contractor will also assist the DD/FS in preparing financial projections and budgets for annual work plans. 2. The Contractor will advise and assist in the recruitment of UWA financial staff, under the ongoing UWA restructuring process (reviewing and advising on proposed UWA job descriptions and qualifications, and participating on interview panels). The Contractor will be able to make recommendations to the UWA Board of Trustees for any necessary adjustments or refinements related to the UWA restructuring and position descriptions related to UWA financial division. 3. The Contractor will prepare, within the first one month of the contract, a six month Work Plan which itemises in detail the objectives, and all step actions, and products to be achieved. 4. Within the first three months, the Contractor will propose to UWA on-the-job training for UWA financial staff, based on an assessment of their current skills and potential. 62 5. The Contractor will initiate the design and begin implementation of a fully integrated, computerised Management Information System, which will include: budget management, cash flow management, accounting, and a tracking system for project funds. 6. The Contractor will be expected to ensure effective collection and management of commercial revenue (e.g. park entry fees, concession fees and rental), and to advise UWA on commercial development and market-related issues. 7. The Contractor will provide in-service (on-the-job) training to ensure that all relevant staff are trained along with the evolving development of the financial management and information systems. 8. The Contractor will continuously evaluate the skills and potential of the UWA financial staff and provide a detailed performance evaluation at the end of the 6 month period. If, at any time, in the judgement of the Contractor, staff members prove incapable or unwilling to learn and to operate effectively, UWA will be requested to take appropriate actions. Contracted Personnel The Contracting Firm will provide the following full time staff: 1. A Chief Financial Officer an experienced and fully qualified accountant who will act as the Team Leader and take over all financial control functions listed above, and be responsible for the accounting of all UWA funds (including revenue, GOU subvention, external donor funds, etc.). He/she will ensure that UWA financial staff receive requisite in-service training in order to carry out their responsibilities effectively. The UWA DD/FS will be his/her counterpart during this period of capacity building. 2. Systems and Information Technology Officer: to assist in the evaluation or design, acquisition and implementation of a fully integrated computerised Finance and Management Information System which covers both Headquarters and Field operations. The system will be centred at UWA Headquarters, and the feasibility of extending the system to the field evaluated. The UWA Revenue Accountant will be his/her counterpart. He/she will advise UWA on hardware and software requirements (to be provided by UWA and ensure that UWA staff receive the required training to be able to implement the systems. 63 r *,30' rI 32' 3° 36° SUDANDA -4° \'>,,) ,gJ <\ a / )r) INSTITUTIONAl CAPACITY 4-~~~~~~~~~~~~~~~~~~~~~~~~~~ISTTUIONL APCIY i.)w t '-..eMoyo~ j (s g t1 BUILDING PROJECT FOR M0$' AM u an PROTECTED AREAS ,AUAlDUMAN) KO r < ) OI D, MANAGEMENT AND G+4---/g I-W/ ( Ut (JVtr otido SUSTAINABLE USE . X c X 4sGulu / ( j0 > @ DISTRICT CAPITALS DI o* NATIONAL CAPITAL REPUBLIC IfNebbi , ! --'Z2 - RIVERS OF t C M O R C) (1 C:- DISTRICT BOUNDARIES -2 CONGO SNI I ' - INTERNATIONAL BOUNDARIES 2- M.s,ndi Kwan, tI I50 100 150 logt ' I,s,I I I Hasindi S<.XvsOsOh ,k ®Kak )K? Op KILOMETERS -v g ffUM / ® i This map was produced by the Nakas la .1 (KAPCH ~~~~~~~~~~~~~~~~Map Design Unit of The World Bank. -' 11 18 - akti) > t5 - / The boundaries, colors, denominations j o ! 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