Sudan Post-Conflict Community Based Recovery and Rehabilitation Programme

Transcription

1 Sudan Post-Conflict Community Based Recovery and Rehabilitation Programme Funded by the European Commission Administered and Managed by United Nations Development Programme Technical Guidelines for the Call for Proposals 2005

2 Table of Contents 1. THE SUDAN POST-CONFLICT COMMUNITY BASED RECOVERY AND REHABILITATION PROGRAMME (RRP) INTRODUCTION OBJECTIVES OF THE PROGRAMME AND PRIORITY ISSUES FOR FINANCIAL ALLOCATION PROVIDED BY THE CONTRACTING AUTHORITY RULES OF THIS CALL FOR PROPOSALS ELIGIBILITY CRITERIA Partnerships and the consortia approach Eligibility of Applicants, Partners and Associates Eligible Projects: Projects for which an application may be made Eligibility of costs: costs that may be taken into consideration within the Project HOW TO APPLY, AND PROCEDURES TO FOLLOW Application form and supporting documents Where and how to send the applications Deadline for receipt of applications Further information Acknowledgement of receipt Amendments of Call for Proposal documents EVALUATION AND SELECTION OF APPLICATIONS Administrative compliance Eligibility of the Applicants, Partners, Associates and Projects Evaluation of the quality of the proposals and financial evaluation Evaluation Grid NOTIFICATION OF THE DECISION CONDITIONS APPLICABLE TO IMPLEMENTATION OF THE ACTION FOLLOWING THE DECISION TO FUND ANNEXES ANNEX A: APPLICATION FORM ANNEX B: BUDGET ANNEX C: PROVISIONAL LOGICAL FRAMEWORK ANNEX D: THE PROJECT DOCUMENT TEMPLATE AND ITS APPENDICES... 32

3 LIST OF ACRONYMS ABEAS AMU APR EC ECHO EDF EU FMO FR GoS GoSS IDP LGA LRRD NAO NGO NSA PD PRC QPR RRP SPLM UN UNDP VAT WFP Annual Budget Estimate and Activity Schedule Action Management Unit Annual Progress Report European Commission European Commission Humanitarian Office European Development Fund European Union Framework of Mutual Obligations Final Report Government of Sudan Government of Southern Sudan Internally Displaced People Local Government Authorities Linking, Relief, Rehabilitation and Development National Authorizing Officer Non Governmental Organization Non State Actor Project Document Policy and Review Committee Quarterly Progress Report Recovery and Rehabilitation Programme Sudan Peoples' Liberation Movement United Nations United Nations Development Programme Value Added Tax World Food Programme

4 1. The Sudan Post-Conflict Community Based Recovery and Rehabilitation Programme (RRP) 1.1. Introduction European Union (EU) formal development assistance to Sudan was halted in The European Commission (EC), through its humanitarian office - ECHO - continued to provide substantial humanitarian and other assistance to the Sudanese population through NGOs and UN agencies. The EU committed to re-launch formal development co-operation to Sudan upon the signature of the peace agreement between the Government and the Sudanese People's Liberation Movement (SPLM). The re-launching of development assistance paves the way for the release of significant frozen and new funds from various EU sources. The Contracting Authority for the European Development Fund (EDF) is the National Authorising Officer (NAO) of the Government of Sudan. Wealth from accumulated Stabex funds is available to contribute to the recovery of the productivity sectors. The administration of these funds is dealt with under a Framework of Mutual Obligations (FMO) and the Sudan Post-Conflict Community Based Recovery and Rehabilitation Programme (RRP) will utilise 50M of the Stabex funds to provide 'quick start' agricultural and rural development interventions, implemented by NGOs and other non-state actors. The remaining Stabex funds will be utilised for medium to long-term interventions in the same sectors. The RRP will be implemented by the United Nations Development Programme (UNDP) through a Contribution Specific Agreement with the NAO, endorsed by the EC. A Policy and Review Committee (PRC) will have oversight of the Contribution Agreement operations. The Committee will be chaired by the NAO and will include representation from the Sudanese authorities, the EC, and UNDP. The NAO will delegate the necessary powers to the Deputy NAO for the South, so that he may chair the meetings concerning the southern projects. The Programme will be realised through NGO/NSA consortia receiving funds for post-conflict recovery and rehabilitation projects at county/locality level, over a four-year period. NGOs and other non-profit, non-state actors are essential partners in the implementation of immediate postconflict support. NGOs and other non-profit, non-state actors have a specific comparative advantage over other implementing partners in the execution of community based support and possess a level of local knowledge and experience which many other implementing partners do not have. The RRP will provide the foundations for increased productivity from the 'grass roots'. It should be seen as a transitional tool for strengthening the links between relief, rehabilitation and development (LRRD) 1 moving towards the sustainable reconstruction of Sudan. The proposal submitted by the Applicant needs to show that the project is relevant to the objectives and priority issues of this programme Objectives of the Programme and Priority Issues for The objective of this intervention is to reduce the prevalence and severity of poverty and increase food security amongst conflict affected rural households across Sudan by achieving tangible improvements at the community and local authority level. This will take into account the extent and immediacy of I DP return. The priority issues are as follows: to link relief, rehabilitation and development. to ensure that a high proportion of total project expenditure is accrued directly to the target communities. to use a flexible and pragmatic process-oriented approach with the active involvement of beneficiary communities in all stages of the project cycle and emphasis on building selfreliance and beneficiary ownership. to ensure sustainability of actions by supporting capacity building within local government authorities (LGAs). LGAs will be fully involved with programming to allow them the ability to 1 Linking Relief, Rehabilitation and Development - An assessment. Communication from the Commission to the Council and the European Parliament. Brussels COM (2001) 153 final (23pps

5 resume their core functions and responsibilities. to ensure coordination with other donors' interventions Financial Allocation Provided by the Contracting Authority The total cost of the Programme financed by the NAO/EC is 50 Million. The financial allocation is as follows: 44,400,000 is the global indicative amount made available for the implementation of projects under this Call for Proposals and that, while respecting the contribution parameters stated below, 50% of this indicative amount will be allocated to projects located in the areas under the responsibility of the Government of Southern Sudan (GoSS). 2,242,000 is reserved for contingencies 250,000 is reserved for an independently contracted external evaluation of the UNDP management and administration of the Programme on behalf of the NAO; 3,108,000 as the UNDP (7%) fee for the management and administration of the Programme UNDP will sign Project Documents with selected Applicants. Though the stated intention is to utilise the full 50 million if possible, the PRC reserves the right not to award all available funds and UNDP is obliged to reimburse the Sudan-Stabex bank account with the unutilised funds. The PRC reserves the right to ensure that there is an adequate balance in terms of assistance coverage across conflict-affected areas in Sudan, also taking into account the interventions of other donors. Size of contributions Contributions requested under this Programme must fall between the following minimum and maximum amounts: minimum amount: 3,000,000 maximum amount: 8,000,000 The contribution may be up to 100% of the total eligible project costs (see also section 2.1.4). In the case of co-financing, the balance must be financed from the Applicant's or Partners' own resources, or from sources other than the European Community budget. A contribution for a project under this Programme may not be for an amount less than 50% of the total eligible costs of the project.

6 2. Rules of this Call for Proposals 2.1 Eligibility Criteria There are four sets of eligibility criteria, relating to: The type of partnerships necessary, Organisations which may request a contribution or be a Partner or Associate, Projects for which a contribution may be awarded, Types of cost which may be taken into account in setting the amount of the contribution Partnerships and the consortia approach In the specific context of this programme a consortium will be made up of NGOs and other nonprofit non-state actors (NSAs 2 ): One NGO or National Society of the Red Cross movement will be designated by the members of the consortium as their representative. This organisation will be considered by UNDP as the Applicant. At least one other NGO or National Society of the Red Cross movement must be a member of the consortium as a Partner. At least one Sudanese NSA must be a member of the consortium as an Associate. All three constituent parts must be present. All members of the consortium must sign the Partnership Statement 3 attached to the application form. This statement sets out the relationship between the members of the consortium. The Applicant: The Applicant will sign the Project Document with UNDP on behalf of the consortium. After signature the Applicant will become the "Executing Agent". Applicants must meet the eligibility criteria referred to in section The Applicant participates in designing and implementing the Project. The Partners: The Applicant's Partners participate in designing and implementing the Project and the costs they incur are eligible in the same way as those incurred by the Applicant. The minimum number of Partners required for a consortium is one. An organisation may act as a Partner in several consortia. Applicant's Partners must meet the eligibility criteria referred to in section The Associates: Sudanese NSAs must be involved in the Project. Such organisations will be known as Associates. Such Associates play a real role in the Project and directly benefit from the actions of the qualified Applicant and/or Partners. Associates can utilise funding under the control of the Applicant and/or Partners for implementing specific activities. The minimum requirement for a consortium is one Associate. While Associates do not have to meet the same eligibility criteria as Applicants/Partners, they must be Sudanese, non-profit NSAs and registered as such in Sudan (see section 2.1.2). Once their proposals have been selected by the PRC the official formation of each Consortium will be done at State level (or "Special Administrative Area" 4 level) in the State/"Special Administrative Area" in which each project will be implemented. 2 NSAs are organisations of Civil Society "in all its forms according to National characteristics" as stated in Article 6 of the Cotonou Agreement; such as Sudanese NGOs, Community Based Organisations, Village Development Committees, other ad hoc committees for developing local social or economic services (e.g. Parent Teacher Associations PTAs). 3 Annex A "Contribution Application Form" Section E - Consortium Partnership Statement. 4 The Protocols of the Peace Agreement resolving the conflict in Blue Nile, South Kordofan and Abyei recognise the whole state in the case of the first two areas but create a "Special Administrative Area" for Abyei, For the purpose of this Call for Proposals the Area of Abyei will be considered an individual entity (as for a State) and as such will be eligible for its own project.

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8 The consortium shall ensure that the project is carried out in accordance with the Annual Budget Estimate and Activity Schedule (ABEAS) contained in the Project Document (Annex D). The consortium may subcontract parts of the Project (works and services), preferably to local operators, provided the tasks to be sub-contracted are of a limited and specific nature. Subcontractors may be commercial enterprises. The Executing Agent will forward to the UNDP all contractual documents it may establish with subcontractors. Subcontractors are neither Partners nor Associates. For all subcontracts whose value exceeds $2,500, subcontractors must be duly registered with the relevant national authority Eligibility of Applicants, Partners and Associates (1) In order to be eligible as an Applicant or Partner, organisations must: be a non-profit legal entity; be a registered non-governmental organisation or National Society of the Red Cross movement and independent of public administration. Organisations must be registered in their country of origin and in Sudan at the time of application; be directly responsible for the preparation and management (administration and implementation) of the Project, not acting as an intermediary; have stable and sufficient sources of finance to ensure the continuity of their organisation throughout the project; have an organisational and management structure that contains the experience and capacity to manage and implement projects corresponding with the size and nature of those covered by the proposal; be able to show relevant thematic experience in post conflict recovery, community based development, capacity building, integrated project implementation; be able to demonstrate a proven track record of working in Sudan; for those organisations implementing programmes in Sudan under other funding, they must be able to show a distinct separation of resources and adequate accounting management capacity. (2) Potential Applicants or Applicants' Partners may not participate in the Call for Proposals or be awarded a contribution if: (a) they are bankrupt or being wound up, are having their affairs administered by the courts, have entered into an arrangement with creditors, have suspended business activities, are the subject of proceedings concerning those matters, or are in any analogous situation arising from a similar procedure provided for in national legislation or regulations; (b) they have been convicted of an offence concerning professional conduct by a judgement which has the force of res judicata (i.e., against which no appeal is possible); (c) they are guilty of grave professional misconduct proven by any means which UNDP can justify; (d) they have not fulfilled obligations relating to the payment of social security contributions or the payment of taxes in accordance with the legal provisions of the country in which they are established or with Sudan; (e) they have been the subject of a judgement which has the force of res judicata for fraud, corruption, involvement in a criminal organisation or any other illegal activity detrimental to the United Nations' and/or European Union's financial interests; (f) they have been declared to be in serious breach of contract for failure to comply with their contractual obligations in connection with a procurement procedure or other grant/contribution award procedure financed by the UNDP or EC.

9 Applicants and Applicants' Partners are also excluded from participation in Calls for Proposals or the award of contributions if, at the time of the Call for Proposals, they: (g) are subject to a conflict of interests; (h) are guilty of misrepresentation in supplying the information required by UNDP as a condition of participation in the Call for Proposals or fail to supply this information; (i) have attempted to obtain confidential information or influence the evaluation committee or the PRC during the evaluation process of current or previous Calls for Proposals. In the cases referred to in points (a), (c), (d), (f), (h) and (i) above, the exclusion applies for a period of two years from the time when the infringement is established. In the cases referred to in points (b) and (e), the exclusion applies for a period of four years from the date of notification of the judgement. Applicants must supply with their applications a sworn statement that they and their Partners do not fall into any of the above categories (a) to (f). (3) In order to be eligible as an Associate, organisations must be: Sudanese, non-profit, Non-State Actors and registered as such in Sudan Eligible Projects: Projects for which an application may be made a) Duration The duration of a Project may not exceed forty eight (48) months comprising up to six (6) months of lead-in time, thirty six (36) months of funded, annual programming and six (6) months of closure that incorporates the final audit. b) Sectors and themes Projects must relate to sectors or themes, which aim to reduce the prevalence and severity of poverty and increase food security. They must aim to achieve sustainable improvements in the quality of rural livelihoods and take into account the extent and immediacy of I DP, refugee and excombatant return, especially incorporating seasonal Food for Work (FFW) programmes in the early stages, in collaboration with WFP. The themes of 'increasing productivity' and 'improving food security' should be understood as broad areas. All Projects must demonstrate clear linkages to local development plans (where existing) and inclusiveness and participation of local government authorities (LGAs) in the planning, implementation and monitoring stages. The Project must also emphasise the significance of strengthening the capacities and skills of local NGOs and other non-profit NSAs so that they may take up their functions in the recovery and development of Sudan. All Projects should demonstrate links/compatibility with other programmes or donor activities in the proposed project area. This is especially important for projects proposed in the States of Red Sea, South Kordufan, Blue Nile, the Special Administrative Area of Abyei, Northern and Western Bahr al Ghazal, Bahr el Jebel and Lakes, where the EC is funding the Sudan Productivity Capacity Recovery Programme through FAO and wherever other EC funded Humanitarian Plus (1 and 2) programmes are in operation. Further information on these programmes may be obtained from the Delegation of the European Commission in Khartoum. c) Location The choice of geographical location of a Project proposal should be guided by the following criteria: the Project must address the needs of "conflict affected populations". the location must have sufficient stability for rehabilitation and longer term development to be feasible. the minimum geographical area covered by the Project must be one county/locality. A Project can cover more than one locality/county as long as they are contiguous (unless 5 Op cit. foot note 2 on page 3

10 justified) and wholly within the same State or the "Special Administrative Area" of Abyei) 6 (see Map 1 and (e) below). In principle and unless agreed by the PRC for specific situations, there will not be more than one project selected in any one State or the "Special Administrative Area" and, given the parameters of the financial envelope, not every State/ Special Administrative Area" will be awarded a Project. d) Type of activities Types of activities that are eligible are, inter alia: rehabilitation and development of social and civic infrastructure rehabilitation and development of physical infrastructure related to production, water and sanitation, education and health rehabilitation of productive capacities income generation micro-financing with a cost recovery element access to services and markets sustainable natural resource utilisation and management human resources skills development technical and vocational training de-mining A Project should include as many of these different activities as possible to enhance community recovery. Where possible, the above should be treated as micro projects in which activities of limited scale and scope can be entrusted to local communities, possibly under a Grant Contract, supervised technically by the appropriate member of the consortium for implementation in the framework of the Project. Implementation will be financed by the Project up to 75% of total cost, the remaining 25% being supplied in kind, cash or labour by the community. All proposed activities must explicitly describe the linkages with local government authorities, including their involvement and participation in local development planning processes including long term sustainability, definition of technical and quality standards, project implementation and monitoring. The following types of activities are ineligible: individual sponsorships for participation in workshops, seminars, conferences, congresses; individual scholarships for studies or training courses; grant making with no adequate provision for sustainability; providing community services which attempt to create a parallel service to that supposed to be provided by local government authorities. e) Number of proposals and contributions per Applicant / Partner An organisation, acting as an Applicant may take part in the submission of more than one proposal. An organisation, acting as a Partner may take part in the submission of more than one proposal and consequently may be a Partner in several Projects. In the case that more than one submission is made, the onus is upon the organisation concerned to demonstrate that they have the technical, financial and organisational capacity to undertake the separate projects AND that the specific on-ground personnel are dedicated to that particular project and not shared. Special derogation to the "no staff-sharing" requirement may be made for specialist organisations (such as those dealing with land-mines) provided that they have specific limited time input to any one consortium and can demonstrate that they will be able to fulfil their commitments. 6 Op cit. foot note 4 on page 3

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12 2.1.4 Eligibility of costs: costs that may be taken into consideration within the Project Only "eligible costs" can be taken into account. These are detailed below. The budget is therefore both a cost estimate and a ceiling for "eligible costs". Note that the eligible costs must be based on real costs, not lump sums (except for travel and subsistence costs and indirect costs). Recommendations to award a contribution are always subject to the condition that the checking process, which precedes the signing of the Project Document, does not reveal problems requiring changes to the budget. The checks may give rise to requests for clarification and may lead the UNDP to impose reductions. It is therefore in the Applicant's interest to provide a realistic and cost-effective budget. Eligible direct costs To be eligible under the call for proposals, costs must: be necessary for carrying out the Project, be provided for in the Project Document annexed to these Guidelines and comply with the principles of sound financial management, in particular value for money and cost-effectiveness; have actually been incurred by the Applicant or its Partners during the implementation period of the Project, whatever the time of actual disbursement by the Applicant or a Partner; this does not affect the eligibility of final audit costs; be recorded in the Applicant's or the Applicant's Partners' accounts or tax documents, be identifiable and verifiable, and be backed by originals of supporting documents. Subject to these conditions and where relevant to the Project Document development procedures being respected, eligible direct costs include: the cost of staff assigned to the Project, corresponding to actual salaries plus social security charges and other remuneration-related costs; salaries and costs must not exceed those normally borne by the Applicant or its Partners, as the case may be; travel and subsistence costs for staff taking part in the Project, provided they do not exceed those normally borne by the Applicant or its Partners, as the case may be; any flat-rate reimbursement must not exceed the scales approved annually by the UNDP; the cost of purchasing equipment (new or used) and services, provided they correspond to market rates; the cost of consumables and supplies; subcontracting expenditure, including works and grants; costs arising directly from the requirements of the Project Document (dissemination of information, evaluation specific to the Project, audit, translation, printing, insurance, etc.) including financial service costs (in particular the cost of transfers). Ineligible costs The following costs are not eligible: debts and provisions for losses or debts; interest owed; items already financed in another framework; purchases of land or buildings, except where necessary for the direct implementation of the Project, in which case ownership must be transferred to the final beneficiaries at the end of the Project; currency exchange losses; taxes, including VAT, unless the Applicant (or the Applicant's Partners) cannot reclaim them and the applicable regulations authorise coverage of taxes; inputs that are the subject of a contribution in kind (e.g. land, immovable property whether in its entirety or in part, durable capital goods, raw materials, unpaid charity work by a private individual or corporate body).

13 Eligible indirect costs (overheads) A lump sum not exceeding 7% of the direct eligible costs of the Project may be claimed as indirect costs to cover the organisations' (Applicant and Partner(s)) overheads at country office and HQ level that are associated with the Project. Indirect costs are eligible provided that they do not include costs assigned to another heading of the Project Document budget. 2.2 How to Apply, and Procedures to Follow Application form and supporting documents Each Consortium is requested to submit a detailed concept proposal rather than a full project proposal within 45 days of the launch of the Call for Proposals. In this concept proposal, it will need to show that the proposed project suits the objectives and priority issues of this programme and that both Applicants and Partners fulfil the necessary eligibility criteria. Applications must be submitted on the application form annexed to these Guidelines (Annex A). Applicants should keep strictly to the format of the application and present the pages in order. Applications must be written in English. Applicants shall bear all costs associated with the preparation and submission of the proposals. The UNDP will in no case be responsible or liable for those costs, regardless of the conduct or outcome of the Call for Proposals. The application form must be completed carefully and as clearly as possible so that it can be assessed efficiently. It is important to be precise and provide enough detail to ensure the application is clear, particularly as to how the aims of the Project will be achieved, what the benefits are that will flow from it and the way in which the Project is relevant to the RRP's objectives. Hand-written applications will not be accepted. Supporting documents Applications must be accompanied by the following supporting documents: 1. The statutes or articles of association of the Applicant organisation and of each Partner organisation; 2. A document proving the registration in Sudan of each Associate from the appropriate authority; 3. The Applicant's and each Partner's most recent annual report and accounts (the profit and loss account and the balance sheet for the previous financial year); 4. Notarised statements certifying that the accounts for the last available financial year are correct and that the Applicant and Partners have stable and sufficient sources of finance to maintain their activity throughout the period during which the Project is being carried out and, where appropriate, to participate in its funding. Applicants and Partners should note that should their application be selected then this notarised sworn statement must be certified by an external audit report produced by an approved auditor before the final Project Document is signed. The supporting documents requested must be supplied in the form of originals or photocopies certified as true by an authorised independent body. Where such documents are in a language other than the language of the Call for Proposals, a faithful translation into the latter must be attached and will prevail for the purpose of interpreting the proposal Where and how to send the applications Applications must be received in a sealed envelope by registered mail, courier or by hand-delivery (a signed and dated certificate of receipt will be given to the deliverer) at the address below: Address for registered mail, private courier or hand-delivery United Nations Development Programme

14 Ref: Sudan Post-Conflict Community Based Recovery and Rehabilitation Programme House 7, Block 5, Gama'a Avenue. P.O Box 913, Khartoum, Sudan Or UNDP Sudan Ref: Sudan Post-Conflict Community Based Recovery and Rehabilitation Programme 162 Whispers Avenue P.O. Box Nairobi, Kenya Applications sent by any other means (e.g. by fax or by ) or delivered to other addresses will be considered as not received. Applications (Application Form, Budget, logical framework and supporting documents) must be submitted in one original and two copies. Each copy must be clearly marked 'Original' or 'Copy'. A softcopy (CD-ROM, diskette) must also be enclosed. The outer envelope must bear the reference number (CA/STABEX/90-99/SU/001) of the Call for Proposals, the full name and address of the Applicant, and the words "Not to be opened by the internal mail or before the opening session" Applicants should verify that their application is complete by comparing it with the checklist included with the application form Deadline for receipt of applications The deadline for the receipt of applications is 14 th May 2005 at Any application received after the deadline will be automatically considered as not received even if the postmark indicates a date preceding the deadline or if the delay is due to the private courier service. The UNDP may, at its discretion extend this deadline for the submission of applications by amending the Call for Proposals in accordance with Section 2.2.6, in which case all rights and obligations of UNDP and Applicants previously subject to the deadline will thereafter be subject to the deadline(s) as extended Further information Questions may be sent by no later than 21 days before the deadline for the receipt of proposals to the addresses listed below, indicating clearly the reference of the Call for Proposals: address: info.rrp@undp.org They will receive a reply no later than 11 days before the deadline for the receipt of proposals. Questions that may be relevant to other Applicants, together with the answers, will be circulated via the established mailing list Acknowledgement of receipt Following the proposal opening session, UNDP will send an acknowledgement of receipt to all Applicants, indicating whether or not their application was received prior to the deadline and informing them of the reference number they have been allocated Amendments of Call for Proposal documents At any time prior to the deadline for submission of proposals, UNDP may, for any reason, whether at its own initiative or in response to a clarification requested by a prospective Applicant, modify the Call for Proposal documents by amendment. All prospective Applicants that have received the Call for Proposal documents will be notified in writing (and by ) of all amendments to the Call for Proposal documents. In order to afford prospective Applicants reasonable time in which to take the amendments into account in preparing their applications, UNDP may, at its discretion, extend the deadline for the submission of applications.

15 2.3 Evaluation and selection of applications Applications will be examined and evaluated by independent evaluators. Based on the reports of the independent evaluators, the Policy and Review Committee will take the final decision on the selection of Applicants and allocation of funds. All proposals submitted by Applicants will be assessed according to the following criteria: Administrative compliance Independent evaluators will verify that each application is complete in accordance with the checklist. Applications will be examined to determine whether they are complete, whether any computational errors have been made, whether the documents have been properly signed, and whether the proposals are generally in order. Arithmetical errors will be rectified on the following basis: If there is a discrepancy between the sub-total and the total costs, the sub-total costs shall prevail and the total cost shall be corrected. If the Applicant does not accept the correction of errors, its proposal will be rejected. If there is a discrepancy between words and figures the amount in words will prevail Eligibility of the Applicants, Partners, Associates and Projects Verification that the Applicant, the Partners and the Associates and the Project are eligible according to the criteria set out in section 2.1.1, and Evaluation of the quality of the proposals and financial evaluation An evaluation of the quality of proposals, including the proposed budget, will be carried out in accordance with the evaluation criteria set out in the Evaluation Grid shown on the next page. There are two types of evaluation criteria: selection and award criteria. a) Selection criteria The selection criteria are intended to help evaluate the Applicant and Partners' financial and operational capacity to ensure that they: have stable and sufficient sources of finance to maintain their activity throughout the period during which the action is being carried out and, where appropriate, to participate in its funding; have the professional competencies and qualifications required to successfully complete the proposed action. b) Award Criteria The award criteria allow the quality of the proposals submitted to be evaluated in relation to the objectives and priorities set and will allow Project Documents to be signed for actions which maximise the overall effectiveness of the Call for Proposals. They cover such aspects as the relevance of the Project, its consistency with the objectives of the Call for Proposals, quality, expected impact, sustainability and cost-effectiveness. Based on the reports of independent evaluators, the Policy and Review Committee (PRC) will take the final decision on the selection of the proposals. Selected Consortia will then have time to develop full project designs as specified in Section 2.4. UNDP will sign Project Documents with the successful Applicants only on completion of the final project design Evaluation Grid Please note the following important information: Scoring: The evaluation criteria are divided into sections and subsections. Each subsection must be given a score between 1 and 5 in accordance with the following guidelines: 1 = very poor; 2 = poor; 3 = adequate; 4 = good; 5 = very good. The PRC will give priority to applications with the highest scores while maintaining an overall, equitable, geographical balance. 12

16 Note on Section 1. Financial and operational capacity If a total score lower than "adequate" (10 points) is obtained for section 1, the proposal will not be evaluated further. Note on Section 2. Relevance If a total score lower than "good" (15 points) is obtained for section 2, the proposal will not be evaluated further. Note on Section 3. Methodology If a total score lower than "good" (15 points) is obtained for section 2, the proposal will not be evaluated further. Section Maximum Score Application form 1. Financial and operational capacity Do the applicant and partners have sufficient experience of project management? 5 D Do the applicant and partners have sufficient technical expertise? (Notably 5 D.1 knowledge of the issues to be addressed.) 1.3 Do the applicant and partners have sufficient management capacity? (including staff, 5 D.1 equipment and ability to handle the budget for the Project) 1.4 Does the applicant have stable and sufficient sources of finance? 5 D.2 2. Relevance How relevant is the proposal to the objective of the call for proposals? 5 A.1.5 and A How relevant to the particular needs and constraints of the target communities is the 5 A. 1.6 proposal? (Including avoidance of duplication and synergy with other initiatives.) 2.3 How clearly defined and strategically chosen are those involved (intermediaries, final 5 A. 1.6 beneficiaries, target groups)? 2.4 Have the needs of the target groups proposed and the final beneficiaries been 5 A. 1.6 clearly defined and does the proposal address them appropriately? 2.5 Does the proposal contain specific elements of added value, such as innovative approaches, models for good practice, promotion of gender equality and equal opportunities, environmental protection? 5 Passim 3. Methodology To what extent is the proposed consortium project cohesive with integral components rather than a collection of activities? Are the activities proposed appropriate, practical, and consistent with the objectives and expected results? 3.2 How coherent is the overall design of the Project? Is the methodology clear and feasible? 5 A. 1.7 and A A Is the Associates' level of involvement and participation in the Project satisfactory? Is 5 A.1.8 the target groups' and final beneficiaries' level of involvement and participation in the Project satisfactory? 3.4 Is the level of involvement and participation of LGAs satisfactory? 5 A.1.5 and A Does the proposal contain objectively verifiable indicators for the outcome of the Project? 5 Log frame (Annex C) 4. Impact and Sustainability Is the Project likely to have a tangible impact on its target groups? 5 A Is a high proportion of total project expenditure accrued by the final beneficiaries? 5 A.3and A.1.2 Budget 4.3 Is the level of involvement and participation of LGAs likely to promote sustainability? 5 A Are the expected results of the proposed Project sustainable: financially, institutional 5 A.2.2 and at policy level? 5. Budget and cost-effectiveness Is the ratio between the estimated costs and the expected results satisfactory? 5 A.2 and A.3 Budget 5.2 Is the proposed expenditure necessary for the implementation of the Project? 5 A.2 and A.3 Budget Maximum total score

17 2.4 Notification of the Decision Applicants will be informed in writing by UNDP of the PRC's decision concerning their application. A decision to reject an application will be based on the following grounds: the application was received after the closing date; the application was incomplete or otherwise non-compliant with the stated administrative conditions; the Applicant or one or more of its Partners or Associates was not eligible; the Project was ineligible (e.g. the Project proposed is not covered by the programme, the proposal exceeds the maximum duration allowed, the requested contribution is higher than the maximum allowed, etc); the proposal was not sufficiently relevant or the Applicant's or Partner's financial and operational capacity was not sufficient, or the proposals selected were considered superior in these respects; the proposal was considered unresponsive to the criteria as set out in the evaluation grid and was found to be technically and/or financially inferior to the proposals selected. The PRC's decision to reject an application is final. The date on which the UNDP plans to announce the projects selected by the PRC is 15 June, 2005 this date is indicative only. Development of the detailed concept notes into full Project designs by the successful consortia will be completed following the notification of the above decision. This development of the proposals should include consultation with representatives of the final beneficiaries including representation from the local and state authorities concerned within the geographical areas of implementation. The final proposals shall contain a detailed logical framework, and an Annual Budget Estimate and Activity Schedule for the first year (ABEAS-I). Each consortium shall have 60 days to complete an acceptable design. Once the final Project designs are completed and accepted by the PRC the UNDP will sign a Project Document with each Applicant. However, the following suspense clause shall apply to the signature of Project Documents under this Call for Proposals: Project Documents will only be signed once UNDP have received payment of the first tranche of the Programme's funding from the NAO. Should this event be delayed until after the Projects have completed their final design phase, the Project Documents and the Action described therein shall be suspended and only enter into force on the day following the final signature. The PRC reserves the right to accept or reject any proposal, and to annul the Call for Proposals' process and reject all proposals at any time prior to the signing of Project Documents, without thereby incurring any liability to the affected Applicant or any obligation to inform the affected Applicant or Applicants of the grounds for the PRC's action. 2.5 Conditions Applicable to Implementation of the Action Following the Decision to Fund Following the final decision to fund, the Applicant will sign a Project Document with UNDP for NGO execution. The Project Document and its Appendices are annexed to these Guidelines (Annex D). Within 15 (fifteen) days of receipt of the Project Document, the Applicant shall sign and date the two original copies and return one to UNDP. From this point on the Applicant will be known as the Executing Agent. The date planned for the start of Projects, following the signing of the Project Document by the parties, is1 st November, 2005 this date is indicative only and must be within six (6)-months of the signature of the Project Document. Project Implementation should be finished no later than i.e. three years after the start-up date of the Project as stated in the Project Document award of the grant and the Project finally closed 6-months after the end of the implementation phase. 14

18 The Project Document will, in particular, establish the following rights and obligations: a) Final amount of the contribution The maximum amount of the contribution will be stipulated in the Project Document. As explained in point 2.1.4, this amount is based on the budget, which is itself only an estimate. As a result, it will be final only once the Project implementation has ended and the final accounts have been presented. b) Failure to meet the objectives If the Executing Agent fails to implement the Project as undertaken and agreed in the Project Document, the UNDP reserves the right to suspend payments, and/or to terminate the Agreement. The contribution may be reduced, and/or the UNDP may demand full or partial repayment of the sums already paid, if the Executing Agent does not fulfil the terms of the Project Document. c) Amendments to the Project Document Any substantive amendment to the Project Document must be set out in a written addendum to the original Agreement. However, simple amendments (such as addresses, bank account, etc.) need only be notified to UNDP in writing. d) Variations within the budget Budget items may vary from the original figures provided that the following conditions are met: (1) they do not affect the basic purpose of the Project; and (2) the financial impact is limited to a transfer within a single budget heading or to a transfer between budget headings involving a variation of less than 15% of the original amount of each relevant budget heading. In such instances, the Executing Agent may make alterations to the budget and inform the UNDP in writing. This method may not be used to amend the heading for overhead costs. In all other cases, a written request must be made in advance to the UNDP and an addendum to the Project Document will be required. e) Reports Reports must be drafted in English, the language provided for in the Project Document. Technical (narrative) and financial Quarterly Progress Report (QPR) are to be supplied on a quarterly basis no later than fourteen (14) days after the end of the quarter; the last report for each one-year cycle must be constituted in the form of a narrative and financial Annual Progress Report (APR). Payment requests (other than the first instalment of pre-financing) must be submitted together with technical and financial reports. An ABEAS for the next period of implementation must accompany requests submitted for further payments of pre-financing. f) Additional information In accordance with the provisions spelled out in Appendix I of the Project Document (Annex D), UNDP may request additional information as justified from the Executing Agent. g) Payments. Payments will be made in six instalments (see Annex E, Article VIII - Financial and Operational Arrangements): i) The first, instalment will correspond to 75% of the First Annual Budget Estimate and Activity Schedule (ABEAS-I) and will be paid as an advance to the Executing Agent after signature of the Project Document and receipt and approval of the ABEAS-I; ii) The second instalment, corresponding to the remaining 25% of the ABEAS-I, will be paid upon receipt and approval of a narrative and financial Quarterly Progress Report (QPR), showing the disbursement of at least 50% of the funds pertaining to the first instalment; 15

19 iii) The third instalment corresponding to 50% of the Second Annual Budget Estimate and Activity Schedule (ABEAS-II), will be paid upon submission and approval of the ABEAS- II and a narrative and financial Annual Progress Report (APR), showing the disbursement of at least 75% of the funds pertaining to the ABEAS-I; iv) The fourth instalment corresponding to the remaining 50% of the ABEAS-II, will be paid upon receipt and approval of a narrative and financial QPR, showing the disbursement of 100% of the funds pertaining to ABEAS-I and at least 50% of the funds pertaining to the third instalment, as well as a mid-term audit report; v) The fifth instalment, corresponding to 50% of the Third Annual Budget Estimate and Activity Schedule (ABEAS-III) will be paid upon submission and approval of the ABEAS- III and a narrative and financial APR, showing the disbursement of at least 75% of the funds pertaining to the ABEAS-II; vi) The sixth instalment, corresponding to the remaining 50% of the ABEAS-III, will be paid upon receipt and approval of a narrative and financial QPR, showing the disbursement of 100% of the funds pertaining to ABEAS-II and at least 50% of the funds pertaining to the fifth instalment; All payments will be made to the Executing Agent's official bank account, as per the financial identification data provided in Appendix VI. h) Accounts of the Project The Executing Agent must keep accurate and regular records and dedicated, transparent accounts of the implementation of the Project. It must keep these records for five years after payment of the balance. i) Audit In accordance with the provisions set forth under the Project Document (Annex D), the Executing Agent shall submit a mid-term and final independent audit report conducted by a qualified audit firm. Audits will evaluate the sound management of the financial resources under this Project vis-àvis the Terms of Reference and approved Project Budgets, as well as contractual and procurement procedures for goods, works and services (including Personnel). j) Publicity Appropriate visibility and credit must be given to the funding provided by the European Union, owned by the Government of Sudan and managed and administered by the UNDP, for example, in reports and publications stemming from the Project or during public events associated with the Project, signposts in Project sites, etc. k) Implementation contracts Where implementation of the Project requires the Executing Agent to award procurement contracts, it must award the contract to the tender offering the best value for money, that is to say, the best price-quality ratio, in compliance with the principles of transparency and equal treatment for potential contractors, care being taken to avoid any conflict of interests. To this end, the Executing Agent must follow the procedures set out in Appendix V to the contract Annex D). 16

20 3. Annexes Annex A: Application Form (to be filled in) Annex B: Budget (to be filled in) Annex C: Provisional Logical Framework (to be filled in) Annex D: The Project Document template and its Appendices (for information) 17

21 Annex A: Application form Sudan Post-Conflict Community Based Recovery and Rehabilitation Programme Funded by the European Commission Administered and Managed by United Nations Development Programme UN DP Application Form 2005 Name of Applicant: Application No 18 (for official use only)

22 NOTICE The application form has two objectives: firstly, to enable independent evaluators to assess whether your organisation, Partners and Associates meet the eligibility and selection criteria laid down in the Technical Guidelines. Secondly, to enable independent evaluators to determine whether the action you are proposing is relevant vis-à-vis the objectives and priorities laid down in the Technical Guidelines. Please read and complete this form with all due care. Omissions CANNOT be rectified; if any information or document is missing, your application will be rejected. The following suspense clause shall apply to the signature of Project Documents under this Call for Proposals: Project Documents will only be signed once UNDP have received payment of the first tranche of the Programme's funding from the NAO. Should this event be delayed until after the Projects have completed their final design phase, the Project Documents and the Action described therein shall be suspended and only enter into force on the day following the final signature. 19