WORK GROUP ORGANISATION WORK GROUP LEADER (NBF) Reporting to the Cross Sectoral Steering Committee LEGAL TASK TEAM ToR (± 4 KPA's) FINANCIAL TASK TEAM ToR (± 4 KPA’s) PROCUREMENT TASK TEAM ToR (± 8 KPA’s) TECHNICAL TASK TEAM ToR (±10 KPA’s) POLITICAL TASK Team ToR (± 4 KPA’s SECTOR/STAKEHOLDER REPRESENTATIVES (DWAF, ARF, POLITICOS) Katanga Representatives (and task team counterparts)

LEGAL TASK TEAM Governance –International and/or local guidelines –Compliance checks/audit –Quarterly audit report –Bodies properly constituted and fully operational –Include local communities into the governance structures –Governance interfaces between stakeholders outlined and managed –Appropriate committees constituted (as per needs outlined) –Complete memberships of each committee –Clear strategic direction outlined per group –Clear strategic direction communicated to all relevant parties –All role players included in the formulation of the strategy –Resources used efficiently –Communication within structures clear and concise –Clear guidelines for monitoring and evaluation –Channels for collecting and maintaining evidence for decisions made and judgements produced –Cost of non-compliance monitored, reported on and minimised –Arbitration of contractual failures (as required by procurement TT)

LEGAL TASK TEAM Responsible for the Auditing [stakeholder] agreements –Reports on non compliance/disputes –Reports include document trail to gather evidence and clear measures taken to safeguard compliance –Systems in place with clear guidelines on non compliance with agreements signed –Agreements are clearly communicated with each stakeholder –Agreements drawn up with stakeholder engagement and due process –Agreements must include ALL stakeholders –Roles and responsibilities of each stakeholder is communicated clearly within each agreement –Communicate time needed for agreements to be signed –Liaise with procurement TT regarding documentation required from service provider to draw up agreements –Draw up contractual templates for procurement process –Templates for PPP (each form of PPP to be represented) –Contractual disputes to be resolved with input from relevant TT [procurement]

LEGAL TASK TEAM Responsible for Legislative review (Katanga Ministry) –List [applicable] legislation –Prioritise legislative enablers –Bi-annual report with recommendations –Review with Political TT to ensure cohesive and clear reporting to Ministry and stakeholders

LEGAL TASK TEAM Responsible for Institutional Compliance Framework –Link to governance report(s) –Apply “triple bottom line” approach (e.g. KING II) –Include all improvements to draft documents for finalisation and adoption –include all documents in framework for future expansion and sharing of knowledge

FINANCIAL TASK TEAM Custodian of donor requirements –Maintain donor records and reports with clarity around specific funding requirements per donor(s) –Timeous communication to affected stakeholders and/or service providers around possible blockages to release funds to minimise delays in completion –Compliance and adherence to donor requirements –Report on funds disbursements to donors and project team –Monthly reconciliation –Funds disbursements to be planned and communicated timeously to all stakeholders –Changes in funding arrangements communicated to team(s) affected –Report on ROI –Adhere to and ensure sustainability criteria of donor(s) –Manage regular updates of financials for donor communication

FINANCIAL TASK TEAM Responsible for project budget –Prepare monthly cash flow statement –Tie in with project tollgate reviews for streamlined process of disbursement –Projected flow of funds to be communicated to all stakeholders –Performance based recourse linked to project delivery and application of funds

FINANCIAL TASK TEAM Responsible for pro-active identification of project finance –Meeting schedule with donors –Priority list of target institutions –Maintain existing relationships –Prepare presentations and up to date information for possible donors

FINANCIAL TASK TEAM Preparation of financial reports –Income statement –[Working capital] –Cash flow –Projected needs analysis to inform timelines for future funding needs –Scenario planning with respect to expected funds required –Systems for clear communication of “red flags” (flow of funds or non compliance or non delivery) –Reporting to be coordinated with tollgate review periods

TECHNICAL TASK TEAM Custodian of project work plan –Administer tollgate reviews –Report on milestone progress –Develop project KPI’s –Review KPI attainment monthly –Liaise timeously with Financial TT around funding constraints and disbursements –Liaise timeously with Legal TT on agreements for project work plan delivery –Liaise timeously with procurement TT on service provision and planning

TECHNICAL TASK TEAM Identification of service providers –Maintain up to date database of professional service providers –[Develop timelines] –Performance management matrix developed –Performance criteria set before adjudication of tenders and appointment of service providers

TECHNICAL TASK TEAM Undertaking site visits –Schedule of site visits Progress reporting (timing to be coordinated with tollgate reviews) Procurement monitoring Quality assurance Measurement against performance management criteria Red flags for contractual non compliance Clear reporting for termination or/ arbitration or/ contractual disputes Clear communication to legal TT and service provider on each occasion of non performance

TECHNICAL TASK TEAM Monitoring progress –Report on project progress across each KPI for the project phases –costs to be calculated for non compliance

TECHNICAL TASK TEAM Responsible for all technical reporting –Site visits to inform reports –Clear guidelines of technical performance to be communicated for measurement of non compliance

TECHNICAL TASK TEAM Responsible for quality assurance measures –Performance management guidelines communicated –Clear communication for non compliance to service provider –Follow up regarding non compliance with additional report –Liaise with legal team for contractual arbitration (with relevant and comprehensive documentation audit trail)

TECHNICAL TASK TEAM Responsible for health and safety –Clear OHS guidelines included in procurement MOU (Legal TT) –Client workshops and training –Service providers training and workshops –Site visits reports incl OHS adjudication –OHS issues to be reported and acted upon within 24 hours –Follow up to ensure rectification within 48 hours

PROCUREMENT TASK TEAM Custodian of the procurement guidelines –Keeping all procurement standards up to date –Recommending best procurement standards e.g. NEC, FIDIC –Agree and finalise all procurement standards to be used –Clear procurement strategy to inform MOU contracts with Legal TT –Balanced scorecard for procurement finalised and communicated

PROCUREMENT TASK TEAM Developing procurement notices in consultation with the technical TT –Procurement templates that are compliant –Liaise with Legal TT for commensurate documentation –Tender documents to be finalised

PROCUREMENT TASK TEAM Finalising all procurement MOU’s –Facilitating the process in consultation with the technical- and legal TT’s –Procurement strategy relayed to legal TT for contractual templates

PROCUREMENT TASK TEAM Finalising all contractual agreements with service providers –Applying contractual standards as intended for Contractors Consultants Consortia JV’s –Auditing the delivery on contract at various time frames (minimum before each tollgate review) –Systems for non compliance finalised with legal TT –Financial recourse finalised with Financial TT –Incorporating buy-off procedures for contractual deliverables

PROCUREMENT TASK TEAM Auditing all procurement activities –Prepare/adopt standard auditing procedures for procurement –Prepare/adopt standard auditing procedures for contractual compliance –Procurement schedule to be coordinated with reviews and/or project plan

POLITICAL TASK TEAM Custodian of political relationships –Keep political stakeholder matrix current –Prepare list of all key decision makers –Protocol for engagement with each key decision maker –Community leaders to be informed and included in preparation/adoption of matrix –Resolve conflict situations (minimise timeframes for engagement on conflict agendas)

POLITICAL TASK TEAM Facilitating all political engagements –Prepare communication and/or visit schedules for networking and relationship management –Adhere to schedules for engagement Responsible for political reporting –Quarterly report on political developments –Concise reporting on conflict and resolution thereof –Political buy in relayed to Legal TT for contractual arrangements or agreements