PEFA Check

PEFA CHECK

Quality endorsement of the
PEFA assessment process

Improving public financial management. Supporting sustainable development.

ABOUT HOW IT WORKS

The PEFA CHECK is a mechanism for confirming the adequacy of the quality The PEFA CHECK process, carried out by the PEFA Secretariat, determines
assurance processes used in planning and implementing a PEFA assessment. whether six prescribed criteria were met during the assessment planning and
implementing process:
The objective is to increase users’ confidence in the findings of a given PEFA
assessment and confirm that the assessment contributes to a pool of reliable 1. The concept note (CN) or similar document and the assessment report
information on public financial management (PFM) system performance. (draft and revised draft) follow an adequate peer review process.
Documents are submitted to reviewers representing at least four PFM
PEFA CHECK requirements need to be considered early in the PEFA planning institutions. The peer reviewers should include the government assessed and
process, when preparing the concept note or terms of reference, as outlined in the PEFA Secretariat, and at least two other independent institutions from
the PEFA assessment cycle overview guidance (available on the PEFA website). within or outside the country (such as international organizations, PFM-
related NGOs, civil society groups, or other governments).
The PEFA CHECK verifies if good practices in both planning and implementing an
assessment have been followed. The PEFA CHECK is therefore not a judgment of 2. The draft CN is submitted for peer review before the in-country
the quality of an assessment’s technical content but a verification of its assessment field work starts.
compliance with practices commonly accepted and used in conducting PEFA
assessments, as outlined in six formal criteria. 3. A final version of the CN is shared with all peer reviewers.

These criteria reflect the quality assurance practices agreed on by PEFA partners 4. The complete draft PEFA report is submitted to all peer reviewers for
and published in this guidance note. The mechanism seeks to encourage good- review. All reviewers are invited to participate in the report’s finalization
quality assurance processes. The PEFA Secretariat is not involved in performing process.
or managing PEFA assessments and thus cannot judge the quality of their
technical content. 5. A revised draft PEFA report and a separate matrix with peer reviewers’
comments and assessment team responses are submitted to all peer
Through PEFA CHECK, the Secretariat provides an independent evaluation of reviewers. The PEFA Secretariat carries out a follow-up review that evaluates
whether the quality assurance arrangements surrounding assessments included whether its comments have been addressed.
adequate peer-review processes that involved partner countries and engaged
PFM institutions. 6. The assessment management and quality assurance arrangements are
described in the PEFA report including a clear reference to the follow-up
Six PEFA CHECK criteria review.

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THE CONCEPT NOTE AND THE REPORT THE DRAFT CONCEPT NOTE IS SUBMITTED FOR A FINAL VERSION OF THE CONCEPT NOTE
FOLLOW AN ADEQUATE PEER REVIEW PEER REVIEW BEFORE THE FIELD WORK IS SHARED WITH ALL PEER REVIEWERS

PROCESS

The procedure is as follows:

A The assessment manager B The PEFA Secretariat verifies and C The PEFA Secretariat issues the D The assessment manager
submits the final report to confirms that the assessment endorsement with the PEFA includes the PEFA CHECK
the PEFA Secretariat and process fulfilled the CHECK logo, sends it to the endorsement in the final report,
requests a PEFA CHECK requirements for PEFA CHECK, assessment manager, and either before the executive
endorsement. i.e., complied with all six criteria. registers the endorsement in the summary or as an annex.
PEFA CHECK database.

Section 1 of the PEFA report is expected to identify the scope, methodology, and Box: Assessment management and quality assurance arrangements
process of PEFA assessments. The PEFA 2016 Framework document recommends
that assessors include a summary of the quality assurance arrangements used PEFA assessment management organization
when compiling an assessment in Chapter 1 of the PEFA report (see the box for an
example). Inclusion of this summary is one of the six criteria of PEFA CHECK.  Oversight team – chair and members: [name and organization of each]
 Assessment manager: [name and organization]
If all six criteria are fulfilled, including the information in the box, the  Assessment team leader and team members: [name and organization of each]
assessment manager can request the PEFA Secretariat to issue a PEFA CHECK
endorsement. Review of concept note and/or terms of reference

If any of the six criteria for PEFA CHECK are not fulfilled, the PEFA Secretariat will  Date of reviewed draft concept note and/or terms of reference:
not issue an endorsement. This does not mean that a PEFA assessment did not  Invited reviewers: [name and organization of each, or identity of the group, e.g., the
follow a quality assurance process, or that the content of the report does not
comply with PEFA guidelines; it simply means that the process did not fully comply oversight team]
with the requirements of the PEFA CHECK. Managers of assessments that did not
qualify for a PEFA CHECK are encouraged to contact the PEFA Secretariat to  Reviewers who provided comments: [name and organization of each, in particular the
discuss the implications of a PEFA CHECK endorsement being refused, and the
options available to them regarding quality assurance. PEFA Secretariat and date(s) of its review(s), or identity of group, e.g., the oversight
team]

 Date(s) of final concept note and/or terms of reference

Review of the assessment report

 Date(s) of reviewed draft report(s)
 Invited reviewers: [name and organization of each, in particular the PEFA Secretariat

and date(s) of its review(s), or identity of group, e.g., the oversight team]; and
reviewers who provided comments: [name and organization of each]

4 5 6

THE COMPLETE DRAFT REPORT IS SUBMITTED A REVISED DRAFT PEFA REPORT AND A MATRIX THE ASSESSMENT MANAGEMENT AND
TO ALL PEER REVIEWERS FOR REVIEW OF COMMENTS ARE SUBMITTED TO ALL PEER QUALITY ASSURANCE ARE DESCRIBED IN
REVIEWERS
THE REPORT

POINTS TO NOTE

 “Lead agency” means a partner government, a development  The PEFA CHECK applies to all types of PEFA assessments, i.e.,

partner, or any other party commissioning a PFM assessment baseline assessments and successive assessments of central or

based on the PEFA methodology. subnational governments.

 The reasons for deviating from the criteria should be  A lead agency may choose not to display the PEFA

explained in the assessment report. Any issues or concerns endorsement in the report. Irrespective of whether it has

should be discussed with the PEFA Secretariat early in the decided to display the endorsement or not, the PEFA

planning phase. Secretariat will still mark the reports that qualify for a PEFA

 The lead agency may be included as a peer reviewer, provided CHECK as “endorsed” in its database.

that the person providing the review is not directly involved in  Assessment managers are responsible for following good

the assessment. An independent, individual expert may fulfill practices in the process of planning and implementing an

the role of such an institution. If the assessment is conducted assessment, and the oversight team should ensure that such

by the government, peer reviewers from within the entities practices are followed.

involved in the assessment are acceptable, provided that they  The PEFA Secretariat will review reports that do not meet the

do not have a conflict of interest. criteria, if invited to do so, and will provide advice, on request,

 The PEFA CHECK, although not mandatory, is a quality regarding how to conduct and report on quality assurance

assurance mechanism that the PEFA Secretariat applies processes.

systematically to all reports submitted for review. It is the

assessment manager’s responsibility to request the PEFA

CHECK endorsement. It is not the responsibility of the PEFA

Secretariat to determine whether a PEFA CHECK should be

requested. But the Secretariat will endeavor to suggest to

assessment managers that the PEFA CHECK be requested in all

instances where the criteria may have been met.

PEFA Partners

1818 H Street NW, Washington, D.C.
20433 U.S.A
+1 202-458-8545
www.pefa.org