Lead Risk Assessment Advisor

Lead International G2G Risk Assessment Advisor (Consultant)

Zambia G2G Local Authority Risk Assessments (LARA)

Background

The USAID Leading Organizational Capacity and Localization Development (USAID LOCAL) Activity, managed by IntraHealth International, is a five-year United States Agency for International Development (USAID) funded project. The goal of USAID LOCAL is to strengthen organizational capacity of USAID/Zambia local implementing partners (LIPs) to manage, implement and monitor programs that effectively and efficiently deliver sustainable quality development outcomes and impact, and fully influence local development agendas. Under Component 1, USAID/IntraHealth collaborates with local partners, including the government of Zambia on Government to Government (G2G) direct awards, on risk identification and mitigation and supporting best practices in organizational management.

USAID LOCAL will be conducting a set of risk assessments for seven Local Authorities (LA) in Chililabobwe, Chisamba, Kawambwa, Mbala, Mpika, Mpongwe and Serenje districts and one District Education Board Secretary’s (DEBS) Office in Mpika. The purpose of the risk assessment is to identify, assess, rank, and propose measures to mitigate fiduciary risks of public finance management systems of the Ministry of Local Government and Rural Development’s LAs in the above-mentioned districts. Further, the assessment will identify risks and propose mitigation measures in the Mpika District Education Board Secretary (DEBS) office, District Education Resource Centre and a selected sample of Zonal schools within Mpika district.

The following international consultancy (US-Based) is sought to initiate work in early June to finalize the design of the assignment. After completion of the field work, the Lead International G2G Risk Assessment Advisor (RAA) will be responsible for reviewing and responding to suggestions for finalization of the deliverables with the Zambia-based LARA Senior Team Advisor.

Scope of Work for Consultant

LARA Lead International G2G Risk Assessment Advisor (Intl. RAA)

The Local Authorities Risk Assessment (LARA) Lead International G2G Risk Assessment Advisor (Intl. RAA), based in the U.S. with up to two trips to Lusaka, is a short-term consultancy over a six-to-eight-month period. The Intl. RAA is the lead technical expert responsible for providing high-level oversight on the LA and DEBS risk assessment assignment. The Intl. RAA is responsible for the technical quality of the eight assessments across all administrative areas.

The Intl. RAA reports to the IntraHealth Senior Program Manager and will provide support to the local team responsible for the assessment for the duration of the assignment. At inception, the RAA will propose the finalization of the sampling methodology in collaboration with the Local Senior Technical Advisor (STA) and IntraHealth managers to present to USAID for review.

The Intl. RAA will review all the deliverables from the three teams conducting fieldwork which include completed questionnaires, preliminary findings, a heat map of risks identified, and proposals for remediation of the risks per site. Together with the STA, the Intl. RAA will lead review of the reports and collaborate with the editors to finalize the reports after a review by USAID, the primary client.

The assessment team will include three LARA Team Leaders. The three teams will work in parallel over a 2 to 3-month period to generate the data for the eight risk assessments and issue draft reports for each site. The LARA Team Leaders (TLs) will lead the performance of the assessments per the established schedule and methodology and serve as point of contact with the corresponding Local Authority and harmonious processes within their teams.

Deliverables Summary

1. USAID G2G document review.
2. Review and update Risk Assessment Tool from USAID/IntraHealth.
3. Detailed site assessment sampling methodology within 10 days after start.
4. TDY to Lusaka to launch the study. Review data from first site visit (70 km from Lusaka) and prepare the after-action review workshop to incorporate lessons and improve the methodology.
5. Provide technical assistance to ensure quality of the assessment during the roll out of the field work to the remaining seven sites.
6. Review primary data (questionnaires and site testing results) per site (seven LAs and one DEBS/Resource Center).
7. Review and help finalize each (8) district level risk assessment report, including:
   • Heat map of risks identified per site.
   • Transaction testing information per site.
   • Summarize main findings/risk per site.
   • Propose risk mitigation measures for each material risk identified.
   • For the Mpika DEBS site, document all findings of the Mpika DEBS Office, District Resource Center and a sample of Zonal school assessments.
8. Collaborate with the STA to finalize reports for each LA (7) or DEBS (1), responding to reviewer comments from USAID and IntraHealth.
9. Review final risk mitigation plans (RMP) for each assessed site (7 LA and 1 DEBS) responding to all comments from USAID and IntraHealth.

Qualifications

• Minimum of master’s degree in a relevant field, such as public administration, public finance, management accounting/audit, international development, compliance, or business administration/technology.
• At least 12 years’ experience required in public sector audit and/or development cooperation projects and/or consultancies with increasing responsibilities and accountability.
• At least 10 years’ experience in international development including both the public and NGO sector. Previous work experience with USAID conducting G2G risk assessments or donor audits is an added advantage.
• Excellent communication and technical advisory skills related to the subject matter (public administration, finance, procurement, logistics, audit, human resources, technology, ethics/integrity, and local governance).
• Deep understanding of internal controls, and actual practice, in the public sector of developing countries, standard operating procedures and USAID programming and compliance requirements desired.
• Program management, process consulting and report writing skills with a client-facing orientation required.
• Ability to multi-task and work under tight deadline requirements with a remote team in a different time zone.
• Ability to closely coordinate with the IntraHealth home office and Zambia-based Chief of Party and ensure timely response to USAID feedback.
• Cross-cutting understanding of democracy and governance to evaluate high-level risks associated with D&G, and the political economy of international development cooperation desired.
• Native speaker of English with strong writing and editorial skills.

The full consultant team will include a Zambia-based senior technical advisor, three team leaders, and six to eight additional risk assessors to be incorporated once the core consultant team (one senior technical advisor and one international G2G lead risk assessment advisor) is in place. Field work is expected to take two to three months. The International RAA will be expected to take one to two trips to Zambia during the assignment to work with the COP, USAID and the local team.

The Zambia-based assessment team will include up to seven risk assessors (RAs) who are specialized consultants in areas such as finance, cash and banking, audit, procurement, human resources, information technology, and local governance for public administration in the Zambian Government.

The LARA tool includes specific questions, standards, control benchmarks that are appropriate for the Zambian local government public administration. The sub-areas include:

• Budget (budget formulation and control, calendar, communications, variance analysis, validation of SOPs, budget transfers, donor funds),
• Cash & Treasury Management (cash management, cash flow, forecasting, bank accounts, governance, bank reconciliations)
• Accounting and Reporting (system, standards, SOPs, journal entry controls, financial reporting, reconciliation of ledgers, CoA, payment SOPs and controls, asset management and control);
• Procurement (functional control, documentation, staffing, planning, bidding SOPs, evaluation, advertisement, award SOPs, review/resolution of complaints, contract management, oversight, integrity);
• Human Resources & Payroll (policies, SOPs, hiring, training, payroll records, fraud controls, payments);
• Internal Control (codes of conduct, integrity policies, management commitment and ethics, enforcement, risk management, employee incentives and retention);
• Information Technology (policies, SOPs, IT audits, access, backup, IT security, incident management, threats).

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