Guidelines for Applicants

Transcription

1 REPUBLIC OF BOTSWANA Contracting authority: Ministry of Labour & Home Affairs Empowerment of Non State Actors in Botswana Medium Size Grants scheme Guidelines for Applicants Reference: ENSA/MSG/2016 Deadline for submission of applications: 20 October 2016 This Call for Proposals is funded by the European Development Fund 1

2 1. BACKGROUND SOCIO- ECONOMIC CONTEXT THE ROLE OF NGOS IN NATIONAL DEVELOPMENT THE EMPOWERMENT OF NON STATE ACTORS PROGRAMME 5 2. OBJECTIVES AND PRIORITY AREAS 5 3. FINANCIAL ALLOCATION PROVIDED BY THE CONTRACTING AUTHORITY 7 4. RULES FOR THIS CALL FOR PROPOSALS ELIGIBILITY CRITERIA INSTITUTIONAL CRITERIA FINANCIAL CRITERIA PROJECT RELATED CRITERIA SUPPORTING DOCUMENTS APPLICATION PROCEDURES APPLICATION FORM SUBMISSION OF APPLICATIONS EVALUATION AND SELECTION OF APPLICATIONS CONTRACTING AND DISBURSEMENT OF FUNDS INDICATIVE TIMETABLE 14 LIST OF ANNEXES 14 2

3 1. BACKGROUND 1.1 SOCIO-ECONOMIC CONTEXT 1 Botswana is a landlocked country in southern Africa covering a land area of 600,370 km2 with a total population of approximately 2 million people. Botswana has made significant social and economic progress since it gained independence in In recent years, the global crisis slowed down Botswana overall economic performance, mainly as a result of significant contraction in the mining sector. Real Gross Domestic Product (GDP) growth bounced back in 2013 with a growth of 9.9 %, although it decelerated again in 2014 (3.4 %) and became negative in 2015 (- 0.3%) 2. Projections for the coming years estimate a growth of approximately 3.7 % in 2016 and 4.3% in 2016, driven mainly by increase in diamond prices. Nevertheless, the GDP growth remains well below the required 7.5 % required to achieve the objective of Vision 2016 Prosperity for all. Despite significant improvements during the 2000s, with poverty reduced from 30.6% to 19.4% and extreme poverty from 22.7% to 13.8%, striking disparities in income, wealth, and living standards endure among various socioeconomic groups. Half of Botswana population remains either poor or vulnerable. Vulnerable groups (31%) are those just above the poverty line with high risk or falling back into poverty, particularly in rural areas. The level of inequality is the world s third highest, behind South Africa and Seychelles; and HIV Aids prevalence remains one of the world s highest. The large majority of the poor live in the South- East and North- East regions, with children less than 15 years old representing 46.2 percent of the poor in Extreme levels of poverty are found in hard to reach areas, particularly in the Ngamiland region, Chobe and in the west and southwest (Gantsi and Kgalagadi). Pockets of very high poverty are also found in the South- East, particularly in Kweneng and parts of the Central district. In terms of Botswana s human development performance, the Human Development Index (HDI) for 2014 was 0.683, which is in the medium human development category, positioning the country at 109 out of 187 countries and territories. Between 1980 and 2013, Botswana s HDI value increased from to 0.683, an increase of 45.4 % or an average annual increase of 1.14 %. But when the value of HDI is discounted from inequality, the HDI falls to 0.422, a loss of 38.2 % (UNDP Human Development Report, 2014). Quality and access to essential public services is also improving, but unequally and not in line with the targets set in NDP10. In 2009/10, Botswana s electrification rate was 45.4 percent, far below the 2016 target of 80 percent nationally and 60 percent in rural areas, set by the National Development Plan. Sustainable access to water and sanitation remains uneven across income groups and affects socio- economic outcomes, such as health, worker productivity, income, and education. Educational outcomes remain uneven, with reading ability and numeracy rates higher in urban areas than in rural areas. Health indicators remain low among the poor, particularly child malnutrition and mortality. Chronic malnutrition constitutes a substantial challenge. 1 Sources of data presented in the context section are: Botswana Poverty Assessment, The World Bank, December 2015; Botswana country overview at ; 2 3

4 1.2 THE ROLE OF NGOs IN NATIONAL DEVELOPMENT Government recognises and appreciates the important role played by NGOs, as partners in development. Government s desire and commitment to work with NGOs was enshrined in Vision and it is reiterated and reinforced in the new Vision Under Pillar 4, Governance, Peace and Security, the new Vision states that Civil society organisations will be equal partners and legitimate actors in the national development process. We will empower and support our civil society organisations to undertake those functions that are complementary to government development efforts. Our civil society will be vibrant, representing the voices of the community, especially the disadvantaged. Moreover, Civil society organisations, including trade unions and faith based organisations, act as watchdogs and play a pivotal role in identifying gaps and advising government on key socio- economic and political issues. The NGO Policy The Government of Botswana adopted the national NGO Policy in The aim of the NGO Policy is to build an effective partnership between government and NGOs towards a more meaningful and accountable participation and contribution of NGOs in national development. More specifically the NGO Policy implementation will lead to improved legislation, coordination, Codes of Conduct, modalities for development partnerships between Government and NGOs and formulation of strategies and programmes which are more responsive to the needs of the population, particularly the poor and marginalized (NGO Policy, section 1.2.4). The objectives of the policy are further detailed, prioritizing promotion of dialogue and partnership, participation in national development planning, financial sustainability and capacity building. The NGO Policy is designed around four principles. The first principle of the NGO Policy is related to building of an enabling environment for NGOs. This is referred to in the policy as a stable political and socio economic as well as a competitive environment in which the playing field is even; appropriate legislation and statutory provisions; and supportive programme and policy frameworks (NGO Policy, section 2.4.1). The other principles refer to effective participation in policy dialogue; autonomy and independence of NGOs; accountability and financial prudence with regard to the values and goals of NGOs as well as adhering to the highest standards of sound financial management. The Policy Guidelines for Financial Support to NGOs The Ministry of Finance and Development Planning (MFDP) introduced the Policy Guidelines (PG) for Financial Support to NGOs in 2004, and then reviewed in The main purpose of the Policy Guidelines for Financial Support to NGOs is to harmonize and strengthen administrative and management procedures across all public entities providing funding to NGOs. The Guidelines are based on a set of principles among which the most important are the improvement of transparency and accountability across all the financing cycle; ensuring free and fair competition and equal treatment of all applications; guaranteeing independence of NGOs, including the right of NGOs to raise any concerns related to Government policy and practice, whatever relation may exist with 3 NGOs are playing an important role in the development process, and their existing foundation and experiences should be harnessed for the future implementation of the vision s strategies. Their capacities should be strengthened as key partners in development, to effectively compliment government and private sector activities 4

5 Government. Together with the NGO Policy, the Policy Guidelines represent the basis of the new partnership for development between government and NGOs. The Policy Guidelines form the regulatory framework for this call for proposals. 1.3 THE EMPOWERMENT OF NON STATE ACTORS PROGRAMME In line with Botswana s Vision 2016 and National Development Programme 10 (NDP 10), the European Union in partnership with Government of Botswana and other key stakeholders is implementing a programme to make the Non State Actors environment more enabling thereby increasing NSA contribution towards the overall development goals of the country. The holistic capacity development approach is enabling Non State Actors (NSAs) to contribute more effectively to the development processes, diversifying the economy, creating job opportunities and promoting sustainable livelihoods particularly of disadvantaged groups. The project will be implemented through two components; Component 1: Non Governmental Organisation (NGO) Empowerment will aim at enhancing structural dialogue between Government and the NGO Sector. Component 2: Support to the Private Sector Development Strategy (PSDS). This Call for Proposals falls under Component 1, whose aims are to a) enhance structural dialogue between Government and the NGO Sector, b) strengthen the operational and financial framework in government for the attribution and administration of public funds to NGOs, c) capacitate and strengthen coordination and cooperation mechanisms among NGOs. 2. OBJECTIVES AND PRIORITY AREAS The overall objective of this Call for Proposals is to contribute to poverty eradication and sustainable development through the empowerment of Civil Society Organizations (CSOs), particularly CBOs and NGOs. More specifically, the purpose of the Call for Proposals is to foster the role of CSOs to become catalysts for inclusive economic development 4, especially in regions characterized by high levels of poverty, including hard to reach and depressed peri- urban/urban areas. This Call for Proposals aims at supporting actions with particular emphasis on the following thematic areas and related strategies: i. Women empowerment: a. Women empowerment: Actions aimed at enhancing the extent, sustainability and self- resilience of existing economic empowerment initiatives, particularly those targeting young women. 4 Economic development is inclusive when it takes place in the sectors in which the poor work (e.g. agriculture, informal sector); occurs in places where the poor live (e.g. undeveloped areas); uses the factors of production that the poor possess (e.g. unskilled labour); and reduces the prices of consumption items that the poor consume (e.g. food, fuel and clothing). (source: UNDP) 5

6 ii. Environment: a. Community- based natural resource management: Actions aimed at leveraging and multiplying the linkages between management of natural resources, conservation of wildlife and community- based economic initiatives, including eco- tourism and climate- friendly activities; b. Sustainable livelihood: Actions aimed at improving livelihoods based on sustainable use of natural resources, water and land, including climate smart agriculture. iii. Orphans and Vulnerable Children: a. Children protection: Actions aimed at ensuring that the child is protected from all forms of abuse and exploitation, such as child labour, emotional, physical and psychological abuse, including child trafficking, and the adversities faced by the girl child, street children and children with disabilities. iv. Arts and Culture a. Creative industry: Actions aimed at promoting the growth and sustainability of the creative industries, stimulating creativity and entrepreneurship among artists, particularly young artists, reinforcing existing initiatives and promoting linkages to other sectors of the economy. Preference will be given to those proposals that, while addressing the specific problems identified in the selected priority areas with adequate strategies, will embrace the following approaches: i. Foster collaboration with local and/or national authorities and other relevant stakeholders to promote ownership and sustainability of the actions. ii. Promoting a culture of participation, transparency and accountability to citizens, particularly the beneficiaries of the intervention, thereby contributing to more open and accountable governance. iii. Participation of young people enabling them to take an active part at all stages and decisions related to the project development, implementation and monitoring. iv. Test and pilot initiatives with a potential for replication, therefore including some degree of independent monitoring, evaluation or impact assessments to measure if such models or interventions are effective and how best to scale them up. v. Capacity building, particularly action- learning activities targeting the applicant and/or co- applicant(s) and any other partner in project implementation aiming at improving strategies and approaches around the priorities and objectives of the Call for Proposals. vi. Research and action- research, monitoring and evaluation oriented towards documenting best practices and lessons learnt from this action and/or other initiatives of the applicant and/or co- applicant(s) and/or other partners around the priorities and objectives of the Call for Proposals. Proposals shall incorporate at least one of the following value- added elements: Strengthening networking and/or coordinated action and partnership among CSOs, particularly NGOs and CBOs; Enhancing accountability of CSOs to communities, VDCs and Kgotlas, strengthening linkages, effectiveness and responsiveness to development challenges; Promotion of feedback mechanisms from communities and citizens to CSOs, local and national authorities, public services deliverers to improve policy and programmes, essential public services delivery (access and quality); Promotion and creation of spaces for dialogue between CSOs and authorities around policy/programme design, monitoring and evaluation; 6

7 Promotion of relevant partnerships (between CSOs, private and public sectors) in order to achieve greater impact and outreach; Creation of lasting job opportunities and promotion of sustainable income generation activities benefitting the youth. Value added elements referred above will be given weight in the evaluation of proposals (see evaluation grid). 3. FINANCIAL ALLOCATION PROVIDED BY THE CONTRACTING AUTHORITY The overall indicative amount made available under this call for proposals is BWP 4,000,000 (Four million Pula). 4. RULES FOR THIS CALL FOR PROPOSALS These guidelines set out the rules for the submission, selection and implementation of the projects financed under this Call, in conformity with the Policy Guidelines for the Financial Support to NGOs, which are applicable to the present call (available in Annex I). 4.1 ELIGIBILITY CRITERIA INSTITUTIONAL CRITERIA i. Applicant In order to be eligible, applicants must meet the following criteria: Be registered with the Registrar of Societies or constituted under the Deeds of Trust in the Deeds Registry of the Attorney General s Chambers or the relevant authority at the time of application; Comply with the legal requirement of reporting to the relevant authority; Have adequate governance structures and operational systems in place, in line with best practices; Have relevant experience of at least three years in the sector to which they are applying for. The potential applicant may not participate in the call for proposals or be awarded grants if it is in any of the exclusion situations listed in Section 18 and 19 of the Policy Guidelines. The applicant must declare that the applicant himself, or any partner in the project, is not in any of the exclusion situations. To this purpose, the applicant shall submit a Declaration by the applicant together with the application form (see Annex E). 7

8 ii. Co- applicant(s) Co- applicant(s) participate in designing and implementing the action, and the costs they incur are eligible in the same way as those incurred by the applicant. Co- applicant(s) must satisfy the institutional eligibility criteria as applicable to the applicant itself. Co- applicant(s) must sign the Declaration by the co- applicant (Annex F) and submit it together with the application form FINANCIAL CRITERIA SIZE OF GRANTS The total budget available for the Call for Proposals is BWP 4,000,000 (Four million Pula). Any grant requested under this Call for Proposals must fall between the following minimum and maximum amounts: Individual grants: Minimum amount: P 300,000 (Three hundred thousand Pula) Maximum amount: P 450,000 (Four hundred and fifty thousand Pula) Partnership grants: Minimum amount: P 400,000 (Four hundred thousand Pula) Maximum amount: P 550,000 (Five hundred and fifty thousand Pula) Any grant requested under this call for proposals shall not exceed double of the annual average budget managed by the applicant (or lead applicant in case of a partnership) over the past three years. Any grant requested under this Call for Proposals must fall within the following maximum percentage of total eligible costs of the action: Maximum percentage: 90 % of the total eligible costs of the action The difference between the total cost of the project and the amount requested from the Contracting Authority must be financed by the applicant from sources other than the European Union Budget or the European Development Fund. The contribution of the applicant can be in- kind and/or financial. Contributions in kind mean the provision of goods or services to the applicant and/or co- applicant free of charge by a third party. In kind contribution shall be identified, described in detail and valued in Annex B. 8

9 ELIGIBLE COSTS All costs related to the implementation of activities for the achievement of the objectives set in this call for proposals as outlined in the budget table are eligible for funding. Operational costs (see Annex B) shall not exceed 40% of total eligible costs. Purchase of vehicles is not eligible under this call for proposals. Infrastructure (maintenance and/or building) will be considered only up to a maximum of 20% of total eligible costs. Overhead costs of the applicants will be considered eligible up to a maximum of 15% of the total budget of the project. There shall be no funding of the same applicant from two or more different government bodies for the same eligible cost(s) or project(s). Legal action will be taken against any applicant found to be practicing this PROJECT RELATED CRITERIA DURATION Projects submitted under this Call for Proposals shall have maximum duration of implementation of 12 months. LOCATION Projects funded under this Call for Proposals shall be implemented in Botswana. Preference will be given to projects implemented in regions characterized by high levels of poverty, including hard- to- reach and depressed peri- urban/urban areas. TYPES OF ACTIVITIES This Call for Proposals shall fund the following types of activities: Citizens engagement and policy dialogue proactive and participatory research, community awareness and information, promotion and communication activities, engagement of communities with public services and authorities to enhance accountability to citizens; Project delivery research, planning, design, implementation and management activities relevant to the goals of this CfPs. Training and capacity building the provision of targeted training and capacity building, privileging action- oriented learning and sharing. Creating partnerships and strengthening linkages building effective, goal- oriented operating partnerships and coordination between CSOs themselves, and between CSOs and communities, private and public entities. Coordination, facilitation and networking a range of activities required to build strong, coherent, focused and articulated CSOs and to strengthen accountability within and between them particularly in relation to communities, VDCs and Kgotlas. Planning, monitoring and evaluation the development of effective processes and systems for participatory monitoring and evaluation of projects, public services delivery and policy. 9

10 Learning and communication effectively producing and communicating information and the learning derived from project initiatives. This should contribute to influencing and informing best practice in the design and implementation of development policy, programmes and projects. NUMBER OF APPLICATIONS AND GRANTS PER APPLICANTS An applicant may not submit more than one application under this Call for Proposals. An applicant may not be awarded more than one grant under the Call for Proposals. An applicant may not be a co- applicant in another application at the same time. A co- applicant may not submit more than one application under this Call for Proposals. A co- applicant may not be awarded more than one grant under this Call for Proposals SUPPORTING DOCUMENTS Applicants shall submit information and documentation to support the eligibility criteria. These shall include: Proof of registration and compliance with legally recognized registration bodies in Botswana Copy of statutes, deeds or other acts of the organization List of current Board members Copy of annual financial statements, preferably audited, of the last three fiscal years Copy of the strategic plan of the applicant (and co- applicant(s), if applicable) Declaration by the applicant Declaration by the co- applicant(s) (if applicable) Any other information and/or document to support all eligibility criteria 4.2. APPLICATION PROCEDURES APPLICATION FORM Applications must be submitted using the Application format annexed to these Guidelines (Annex A) in hard and soft copy. Applicants should follow the format and provide all the information required, including the budget for the project (Annex B) and the Logical framework (Annex C). Together with the application, the applicants shall submit duly completed Checklist (Annex D) and signed Declaration by the Applicant (Annex E). Additionally, the applicants shall submit all supporting documents outlined in section Applicants must apply in English. Hand- written applications will not be accepted. 10

11 4.2.2 SUBMISSION OF APPLICATIONS Applications must be submitted in 1 original and 2 copies in A4 size, each bound. The electronic copy might be requested by the Contracting Authority for evaluation, only for applicants that have passed the administrative checks. The electronic copy must contain exactly the same application as the paper version submitted. In the event that the versions are different, the hard version will be taken as the final acceptable version. Applications must be submitted in a sealed envelope by registered mail, private courier service or by hand- delivery. The title of the Call for Proposals (Medium- Size Grants), together with the full name and address of the applicant, must be clearly written on the envelope. A signed and dated certificate of receipt will be given to the deliverer. The applications should be submitted at the following address: Postal address: Empowerment of Non State Actors Programme, Project Implementation Unit, Private Bag 006 Poso House, Gaborone Botswana Address for hand delivery or private courier service: Empowerment of Non State Actors Programme, Project Implementation Unit, c/o Ministry of Labour Home Affairs (Head Office), Government Enclave Block 8, Khama Crescent Office No 5-32, 5 th Floor Gaborone, Botswana Applications sent by any other means (e.g. by fax or by e- mail) or delivered to other addresses will be rejected. Applicants must verify that their application is complete using the checklist (see Annex D). Incomplete applications may be rejected. The deadline for the submission of applications is 20 October 2016 as evidenced by the date of dispatch, the postmark or the date of the deposit slip. In the case of hand- deliveries, the deadline for receipt is at 12:00 hours local time as evidenced by the signed and dated receipt. Any application sent by post, with proof of submission within deadline, can be accepted within a week after the deadline for submission of applications. It is the responsibility of the applicant to ensure that their application has been received on time. Any application submitted after the deadline will automatically be rejected. FURTHER INFORMATION ABOUT APPLICATIONS Interested applicants can contact the contracting authority for any further clarification on the Call for Proposals, up to seven days before the deadline for submission of applications. 11

12 Applicants shall contact the contracting authority either by or phone using the following contacts: Contact number: EVALUATION AND SELECTION OF APPLICATIONS The evaluation and selection of the proposals shall be the responsibility of the Evaluation Committee chaired by the Permanent Secretary or his delegated representative. The Evaluation Committee will have the authority to select proposals to be funded following the evaluation grid published in these guidelines. The proposals appraisal and evaluation process shall observe the following steps: Verification of formal requirements set in the Call for Proposals. Technical Assessment: the assessment shall be undertaken by technical experts, using the evaluation grid, assigning points for each selection criteria. Grant approval: based on the results of the technical assessment and available financial resources, the Evaluation Committee will recommend a provisional list of selected proposals to be awarded the funding, and a reserve list. Verification of eligibility and accuracy: The verification will only be performed for the applications that have been provisionally selected. This can include field visits and meetings with the applicant(s), the target groups and any other actors to verify the accuracy of the proposal. Any rejected application will be replaced by the next best- placed application on the reserve list that will also be subjected to the same verification if they fall within the available financial envelope. The list of successful applicants and the amount of funding awarded to each project shall be made public on the Government website and the media. Applicants whose proposals have been rejected shall be notified in writing stating the reasons of the decision, based on the selection criteria. The Conflict of Interest provisions set in the Corruption and Economic Crime Act, Section 31 apply to all members of the Evaluation Committee, the staff of the Ministry/Department and any other person involved in the decision of awarding public funding to NGOs. 12

13 EVALUATION GRID Section Maximum Score 1. Financial and operational capacity Do the applicant and, if applicable, partners have sufficient experience of project management? (Applicants 5 shall demonstrate successful experience of management of grants of similar duration and complexity over the past three years) 1.2 Do the applicant and, if applicable partners have sufficient technical expertise? (Notably methodological and 5 technical knowledge of the issues to be addressed as evidenced by experience either on- going and/or over the past three years) 1.3 Do the applicant and, if applicable, partners have sufficient operational capacity? (Including staff, equipment 5 and ability to handle the budget for the action)? 1.4 Does the applicant have stable and sufficient sources of finance? 5 2. Relevance How relevant is the proposal to the objectives of the call for proposals? How relevant to the particular needs and constraints of Botswana and the target region(s) is the proposal? How clearly defined and strategically chosen are those involved (final beneficiaries, target groups)? Have 5 x 2 their needs been clearly defined and does the proposal address them appropriately? 2.4 Does the proposal contain specific added- value element? (see section 2) 5x2 2.5 Does the proposals contain any of the following approaches? (see section 2) 5 3. Methodology Are the activities proposed appropriate, practical, and consistent with the objectives and expected results? 5 Do the activities lead step by step to the achievements of the objectives and expected results of the project? Are the activities sufficient to achieve the objectives of the project? 3.2 How coherent is the overall design of the action? (in particular, does it reflect the analysis of the problems 5 involved, take into account external factors and anticipate an evaluation?) 3.3 Is the stakeholders, particularly beneficiaries, level of involvement and participation in the action 5 satisfactory? 3.4 Is the action plan clear and feasible? Does the proposal contain objectively verifiable indicators for the outcome of the action? 5x2 4. Sustainability Is the action likely to have a tangible impact on its target groups? 5x2 4.2 Is the proposal likely to have multiplier effects? (Including scope for replication and extension of the 5x2 outcome of the action and dissemination of information.) 4.3 Are the expected results of the proposed action sustainable: 5x2 - Financially (how will the activities be financed after the funding ends?) - Institutionally (will structures allowing the activities to continue be in place at the end of the action? Will there be local ownership of the results of the action?) - At policy level (where applicable) (what will be the structural impact of the action e.g. will it lead to improved legislation, codes of conduct, methods, etc?)? - Environmentally (if applicable) (will the action have a positive environmental impact?) 5. Budget and cost- effectiveness Is the ratio between the estimated costs and the expected results satisfactory? Is the proposed expenditure necessary for the implementation of the action? 5 x 2 Maximum total score 130 Note on Section 1. Financial and operational capacity If the total average score is less than 12 points for section 1, the application will be rejected. Note on Section 2. Relevance If the score for either sections 2.1, 2.2, 2.3, 2.4 is 0 (zero), the application will be rejected. If the total average score is less than 22 points for section 2, the application will be rejected. 13

14 Provisional selection Following the evaluation, a table listing the applications ranked according to their score and within the available financial envelope will be established as well as a reserve list following the same criteria. 4.4 CONTRACTING AND DISBURSEMENT OF FUNDS Once the Contracting Authority approves the proposal, a Contract of Agreement shall be entered into with the applicant. Funds will be disbursed to the successful applicant upon the signing of a Contract of Agreement, stipulating the terms and conditions of the funding support. Funds will be disbursed directly to the successful applicants. The applicants must open independent bank account specifically for the project, in which only the project funds will be administered. Funds will be released in installments on a 40:40:20 basis. 4.5 INDICATIVE TIMETABLE STEPS DATE TIME Launch of Call for Proposals 6 September 2016 Information sessions, start date 6 September 2016 Deadline for submission of proposals 20 October :00 PM Evaluation of proposals, by 2 December 2016 Notification of award, by 10 December 2016 Contract signature 13 December 2016 LIST OF ANNEXES DOCUMENTS TO BE COMPLETED BY THE APPLICANT Annex A: Application Form (Word format) Annex B: Annex C: Annex D: Annex E: Annex F: Annex G: Annex H: Budget (Excel format) Logical framework Checklist Declaration by the applicant Declaration by the co- applicant The Applicant The Co- applicant(s) DOCUMENTS FOR INFORMATION Annex I : Policy Guidelines for Financial Support to NGOs 14