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Introduction Introduction Document Transcript

  • Basic Services Fund (BSF) of the Government of Southern Sudan and DFID Application Guidelines for Third Round
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Table of contents List of abbreviations....................................................................................................................................ii 1 Introduction................................................................................................................................................1 1.1 Objectives..........................................................................................................................................1 1.2 Scope and Structure..........................................................................................................................2 1.3 Core Principles..................................................................................................................................2 1.4 Definition of Basic Services...............................................................................................................3 1.5 Sector Priorities.................................................................................................................................3 1.5.1 Primary Health ...............................................................................................................................3 1.5.2 Primary Education..........................................................................................................................4 1.5.3 Water and sanitation.......................................................................................................................4 2 Conditions and Priorities for BSF Project...............................................................................................6 2.1 Funding Conditions............................................................................................................................6 2.2 Funding Priorities...............................................................................................................................7 2.3 Geographic Areas..............................................................................................................................7 2.4 Timing and Application Process........................................................................................................7 2.5 Duration.............................................................................................................................................8 2.6 Grant Management............................................................................................................................8 3 Application Procedure..............................................................................................................................9 3.1 Concept Note.....................................................................................................................................9 3.1.1 Evaluation Criteria Concept Note.................................................................................................10 3.2 Proposal...........................................................................................................................................10 3.2.1 Evaluation Criteria Proposal.........................................................................................................11 List of annexes Annex 1Format for Concept Notes...........................................................................................................13 Annex 2Format for Project Proposals......................................................................................................17 Annex 3Current BSF projects ..................................................................................................................28 Mott MacDonald i
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines List of abbreviations AES Alternative Education Systems BSF Basic Services Fund CPA Comprehensive Peace Agreement DFID UK Department for International Development IDP Internal Displaced Person GoSS Government of Southern Sudan NGO Non governmental organisation MDG Millennium Development Goal Mott MacDonald ii
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines 1 Introduction The Basic Services Fund (BSF) for Southern Sudan was launched in October 2005, at the first meeting of the Steering Committee led by the Government of Southern Sudan (GoSS). A total of ₤16.6 million has been awarded so far, through competitive selection, to 14 NGOs who have experience of working in South Sudan and the capacity to deliver basic social services in primary education, primary health and water and sanitation. The fund is initially being supported by the Department for International Development (DFID) of the UK government. Southern Sudan has made considerable progress in many areas since 2005. Perhaps the greatest achievement has been the maintenance of peace and security in almost all parts of the South since the signing of the CPA. Well over one million IDPs and refugees have returned to the South since 2005. Governance structures in the South are now fully established. The Interim Constitution of Southern Sudan has been adopted and Government structures are in place at GoSS, State and County level. Basic systems for planning, budgeting and financial management are in place. In spite of the progress made since 2005, basic service delivery remains extremely limited. Less than 35% of the population have access to basic health care, less than 20% have access to clean water, and only 40% of children are enrolled in primary school. Only a small proportion of key service delivery personnel, such as teachers and health workers are adequately trained. Improving both the scope and quality of service delivery will remain a critical challenge in the 2008 – 2011 period. For the period 2008 – 2011 GoSS has identified six medium-term expenditure priorities of which three relate to basic services:  To provide primary health care to improve the health status of the population  To provide equitable access to basic education  To increase access to safe water and sanitation. 1.1 Objectives The provision of basic services is an essential step in rebuilding the lives of communities recovering from prolonged periods of conflict. The Basic Service Fund for Southern Sudan (BSF) seeks to contribute to peace and MDG-based poverty reduction by funding basic services. The fund is now not only being supported by the Department for International Development (DFID) of the UK government, but also by the Governments of the Netherlands, Denmark and Norway. As mentioned in previous section, the purpose of the fund is to contribute to improved coverage of, and access to, water and sanitation, primary education and primary health services in Southern Sudan. As secondary objectives, the BSF will also seek to contribute to: a. Improving capacity of the Government of Southern Sudan (GoSS) to plan, monitor and coordinate service delivery; b. Strengthen the institutional capacity of local non-state service providers; Mott MacDonald 1
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines c. Improving accountability between non-state service providers and the GoSS, and between service providers and their clients; d. The development of common standards and shared approaches for service delivery; e. Piloting of service delivery mechanisms for larger scale GoSS led programmes. 1.2 Scope and Structure Despite the progress made with building GoSS systems and services since 2005, NGOs still deliver a large proportion of services in Southern Sudan, and are likely to do so for some time to come. Over time, however, the GoSS will take over the delivery and financing of basic social services. The GoSS is progressing with building payroll systems in education and health. Teachers (26,592) in the ten states have been receiving salaries since January 2008. In health a head-count of medical personnel is going on, which will form the basis of a payroll system for health personnel. BSF Round 3 will continue to focus on providing grants to non-state service providers with a proven track record and on the basis of robust proposals for service delivery in water and sanitation, primary education and/or primary health interventions. The emphasize of this round will be on education and health, with water and sanitation as an integrated part of these services. An important issue will be local ownership. The recipients have to become the “owners” of the activities. Proposals must adhere to the core principles set out below. Although non-state service providers are the recipients of BSF funds, the GoSS is closely involved in the Fund’s management. NGO projects funded by the BSF should aim to contribute to the GoSS’s long-term vision of development in Southern Sudan and be closely aligned with the Sector Plans 2009-2011 as worked out in the Budget Sector Working Groups. 1.3 Core Principles Projects receiving grants from this fund are expected to be consistent with a MDG-poverty reduction approach and with the core principles outlined below. The application guidelines and evaluation criteria are designed to reflect and reinforce these core principles.  Work with the GoSS and local government authorities to design, implement, monitor and evaluate projects and programmes. It is especially important to involve education, health and water and sanitation county departments in the planning of projects (choice of location, choice of design, beneficiaries), and later in implementation and monitoring project progress. Adhere to GoSS service standards and have GoSS administration sign off on construction plans and detailed designs.  Employment of Sudanese nationals should be prioritised where possible at all levels of implementing organisations.  Employ a conflict-sensitive approach to service delivery projects and programmes. At a minimum, ‘do no harm’ by not exacerbating existing tensions. Ideally basic service provision will build on conflict analysis to reinforce security and stability.  Link service provision to community-level demand for services through processes of community involvement in project formulation, active community participation during project implementation and control over the activities by the recipients.  Seek to build accountability at all levels: between non-state service providers, clients, donors, local authorities and the GoSS. Mott MacDonald 2
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines  Address issues of social inclusion by designing projects and programmes that address inequalities and are inclusive of women, different ethnicities, returnees and refugees, and children.  Promote partnership with and build capacity of local (Sudanese) non-state service providers (NGOs and private sector). Look for opportunities for collaboration and lesson learning.  Work to integrate service delivery. Look for opportunities to link sectors and services. Water and sanitation, education and health are intrinsically linked to improving child mortality, morbidity, gender equality and security.  Work to enhance sustainability, including environmental sustainability, of project impact and service delivery either through local government or local organisations.  Develop an exit strategy where facilities constructed or rehabilitated and personnel trained can be handed over to local government, once State budgets for salaries and running costs of facilities become operational. 1.4 Definition of Basic Services  Basic Services are understood to be primary level services provided in the Health, Education, and Water and Sanitation sectors.  Basic Services refer to the lowest level of minimum services and thus do not include secondary education, complex hospital treatment, water for non-human purposes such as irrigation, and other more complex secondary or tertiary service levels.  The cost of delivery of the basic health care package amounts to an average of $21 per person per year. The cost of constructing and equipping a primary health care unit is estimated at $0.4m.  The average unit cost per primary student is estimated at $35, excluding teachers’ salaries ($70 per primary student), and excluding construction costs ($35). The cost of constructing and equipping a primary school (8 classrooms) is estimated at $0.25-0.3m.  The unit cost of borehole construction is estimated at $15,500, and each is estimated to serve 500 people. Maintenance and repair is estimated at $1,500. The cost of construction of a public latrine is estimated at $5,400.  Basic Service packages should follow GoSS policies and plans, specifically the Budget Sector Plans 2009 – 2011 as developed for health, education and natural resources (which includes water and sanitation). 1.5 Sector Priorities All projects funded through the BSF will be compatible with the relevant GoSS sector priorities for basic services, which are summarised in the following sections. 1.5.1 Primary Health GoSS has set the following targets for primary health care for 2011:  Increase basic health service coverage to 50% of the population.  Reduce infant and maternal mortality rates by 25%.  Increase routine vaccination coverage from about 30% of the population to 90%.  Increase the awareness of HIV/AIDS from less than 10% of the population in 2007 to 90% of the population in 2011. Some of the major activities required to deliver the targets by 2011 include:  Provide basic health services to approximately 6 million people. Mott MacDonald 3
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines  Provide routine immunisation to half a million children under the age of one per year.  Reach almost 9 million people through vaccination campaigns.  Distribute over 2.5 million bed nets.  Increase the stock of functioning health facilities by 10% from the current baseline of 1063, by constructing/rehabilitating and equipping 9 hospitals, 40 primary health care (PHC) centres, and 60 PHC units.  Increase the number of qualified health workers by 4,000, through a combination of in-service and formal training.  Sensitise 25% of all primary teachers and Alternative Education System (AES) instructors in HIV/Aids each year.  Carry out 6 mass media campaigns and HIV/Aids awareness outreach programmes per year. 1.5.2 Primary Education GoSS has set the following targets for basic education for 2011:  Increase the gross primary enrolment rate from around 1.035 million children to 1.762 million.  Increase girls’ enrolment from around 34% in 2006 to 40%.  Increase the number of permanent primary school structures by 50%.  Reduce the primary pupil-book ratio from 3:1 to 2:1  Attain a pupil-teacher ratio of 50:1 teachers for primary education  Increase the proportion properly trained teachers, with the ultimate target being a fully trained workforce.  Increase the number of alternative education systems (AES) learners from 560,000 to 1 million.  Attain a learner-instructor ratio of 88:1 for AES. Some of the major activities required to deliver the targets by 2011 include:  Increase the number of primary teachers by 15,000, to 35,000.  Increase the number of AES instructors by 5,700 to 11,300.  Train 8,000 primary teachers through in-service training, and 5,000 through a fast-track programme.  Rehabilitate 100 primary schools and construct 400 primary schools.  Rehabilitate & equip 10 AES centres.  Construct 20 County Education Centres for teacher training.  Provide every primary pupil with a school kit.  Distribute over 2 million primary text books.  Feed 200,000 pupils in schools with special needs per year, including girls schools  Provide 100 girls scholarships 1.5.3 Water and sanitation GoSS has set the following targets for water for 2011:  Increase the proportion of the rural population with access to clean water from under 20% to over 40%.  Provide all new and rehabilitated schools and health facilities with access to safe water and sanitation.  Increase awareness of hygiene amongst the rural population. Some of the major activities required to deliver the targets by 2011 include: Mott MacDonald 4
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines  Construction of 6,500 borehole schemes, 100 distribution schemes, 220 hafiirs and barriers and digging of 160 wells.  Maintenance of 2,650 borehole schemes and rehabilitation and repair of a further 950.  Construction of 550 latrines in schools, heath facilities and other public places.  Construction of 4000 co-financed household latrines.  Development of a water and sanitation points database.  Development of a strategic sanitation plan.  Sanitation and hygiene awareness campaigns. Mott MacDonald 5
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines 2 Conditions and Priorities for BSF Project In Section 2.1 and 2.2 are the Funding Conditions and the Funding Principles described. The funding conditions are compulsory for all projects and applicants should therefore adhere in their proposal to these conditions. Any proposal not meeting the funding conditions will be disqualified without further assessment. The funding priorities are not compulsory but reflect the understanding of preferences and priorities of the BSF Steering Committee. Proposals which best meet the funding priorities have a greater likelihood of being funded. 2.1 Funding Conditions 1. The fund is open to non-government and non-profit organisations. 2. Projects must be related to the direct delivery of the basic services:  primary health  primary education  water and sanitation 3. All applicants must be legally registered with the Southern Sudanese authorities (Ministry of Legal Affairs) and must have been operating in Southern Sudan or elsewhere for at least two years. If it has been operating outside Southern Sudan, it must have indigenous partners that have been operating in Southern Sudan for at least two years. 4. All applicants must have a combined experience with at least one indigenous partner (from a maximum of two organisations) in managing a budget of at least ₤300,000 a year. Evidence to prove this must be provided as part of the application. 5. The applicant can be a single organisation or a consortium. Organisations can submit not more than one application per funding round. The fund encourages local organisations to submit proposals and/or form part of a consortium. 6. Proposals submitted by consortia will be treated as a single application and funded through a single lead agency. The name of the lead agency must be clearly mentioned. 7. The Fund will accept proposals for funding between £300,000 and £1,500,000. 8. The BSF third call is seeking applications for service delivery in locations that have not previously been funded by the BSF. The aim of the call is to spread the benefits of BSF activities into new areas, and duplication of existing BSF-funded activities should be avoided. 9. All proposals must clearly demonstrate their adherence to the Core Principles specified above. Incompatibility with the Core Principles will result in disqualification. 10. All projects should be planned in consultation with the counties/ states. Evidence to prove this must be provided as part of the application. 11. Organisations who have previously received funding from BSF are eligible to apply for the third call but must demonstrate that they have sufficient capacity to undertake further work. Mott MacDonald 6
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines 2.2 Funding Priorities 1. Preference will be given to organisations based in Southern Sudan and to consortia consisting of international non-governmental organisations and Sudanese non-state service providers based in Southern Sudan. 2. Preference will be given to applications exhibiting significant employment of Sudanese nationals at all levels. 3. Where Sudanese organisations are in partnership with international organisations, preference will be given to proposals which clearly demonstrate how Sudanese partners will gain experience that will lead to sustainable improvements in their ability to manage projects. 4. Preference will be given to proposals which allocate a greater proportion of costs to service delivery, and in particular have a lower proportion of staff costs. Where higher staff costs are necessary a clear explanation should be provided. 5. Proposals should be realistic, deliverable and focused. Applicants are advised not to plan over- ambitious projects and budgets. 6. The Fund will provide either full funding or top-up funding for projects. The financing of different activities should be transparent with activities to be funded by BSF clearly identifiable. 7. Projects must demonstrate linkages to existing and developing GoSS priorities, plans, policies and minimum service standards. They must also demonstrate clear linkages and support of local government plans (where existing) and inclusiveness and participation of local government authorities in planning, implementation and monitoring. 8. Capacity building and learning from experience gained in the projects will be an important component of projects funded by the BSF. Projects will be expected to systematically gather and analyse relevant project information for the benefit of future service delivery policies, programmes and projects in Southern Sudan. 9. The BSF can support State and County level capacity building training and lesson learning on service delivery planning, monitoring and coordination for government officials. Proposals should address this possibility. 2.3 Geographic Areas The priority geographic areas for the provision of basic services are those that have been under-served or neglected up to now for various reasons. These are shown in Annex 4. The choice of geographical location for the project proposal should be guided by the following criteria:  The fund covers all areas under GoSS administration.  The minimum geographical area covered by a project is the county level. The project may encompass more than one county.  Priority will be given to projects that provide services to vulnerable populations in the most under- serviced counties, other than those counties with activities already funded by BSF.  The SC will seek equitable distribution and geographical balance in its allocation of funds  The BSF will reject applications where duplication of service provision is apparent. If proposals are for areas where existing service providers operate then a clear explanation should be provided why further services are required. 2.4 Timing and Application Process Expressions of interest will be reviewed by the BSF Steering Committee comprised of officials from the GoSS, Sudanese and international civil society representatives, as well as DFID as sponsors of the BSF. Mott MacDonald 7
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Funding decisions will be made by December 2008, and both successful and unsuccessful applicants advised within 20 days. Funding will be available from January 2008, and all applicants must indicate that they will be prepared to commence work on this date. 2.5 Duration This is the third call for proposals under the BSF. Grants made in response to this second call for proposals will be for a maximum of 18 months. Funding arrangements may vary from project to project, but for most projects it is expected that funding would be disbursed in arrears at monthly intervals. Projects are expected to spend from their own sources and claim for reimbursement. 2.6 Grant Management DFID has appointed BMB Mott MacDonald as managing agents for the Basic Services Fund. The grants awarded under this call for proposals will be set up and administered by BMB Mott MacDonald. In addition, BMB Mott MacDonald maintains a permanent office in Juba and delivers consultancy services to act as the Basic Services Fund Secretariat. BMB Mott MacDonald will report on a regular basis to DFID, other contributing Development Partners and GoSS. Mott MacDonald 8
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines 3 Application Procedure It is appreciated that the preparation of proposals is a time consuming exercise and a proposal should therefore have a reasonable chance of being selected. The tender procedure is therefore broken down in two phases, as described in the following sections. 3.1 Concept Note Four weeks after the date of publishing the announcement for the 3rd call for proposals, interested parties will have the time to submit a concept note. Three to four weeks after the date of publishing the announcement for the 3rd call for proposals, interested parties will have the time to submit a concept note which clearly outlines:  The consortium organisation  Financial and operational capacity  Experience of the consortium  Objective of the Project  Relevance of the Project to the objectives/ priorities of BSF.  The direct and indirect beneficiaries of the Project and locality of the project.  Participation of local communities during project formulation and the participation of Southern Sudanese organisations and individuals during project implementation  Capacity building and exit strategy Interested parties must adhere to the Format for BSF Concept Notes, as presented in Annex 1. The Concept Notes should not exceed 5 pages of text. All Concept Notes must be delivered by 17.00 hrs on 24 October 2008 to the BMB Mott MacDonald whose address is: BMB Mott MacDonald, c/o BSF 3rd Call for Proposals, Amsterdamseweg 15, 6814 CM Arnhem, the Netherlands. (Tel. +31 26 3577477). All late arrivals will be disqualified. Three hard copies and one electronic copy in Microsoft Word or PDF format must be submitted before the deadline. The electronic copy should be sent to: bsfthirdround@mottmac.com. On the basis of an assessment of the previous experience and presence in Southern Sudan, an evaluation of the financial management capacity and the relevancy of the proposals to the provision of basic services in Southern Sudan, taking into account geographic distribution and sector requirements the evaluation committee in consultation with the BSF Steering Committee will draft a short list of organisations to be invited to write full proposals. The procedure should be such that each party, which is invited to write a full proposal, should have a 20-25% chance of being awarded the requested funding. Mott MacDonald 9
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Within 2 weeks after the closing date of the Concept Note submissions all parties will be informed about the outcome of the procedure. The organisations which are selected to write a full proposal will be allowed 4 weeks to finalise their project document. The proposals have to be in conformity with the Rules for the BSF Third Call for Proposals. 3.1.1 Evaluation Criteria Concept Note For the concept note the evaluation criteria are given in the table below. The Evaluation Committee of BSF will give priority to the applications with the highest scores while maintaining an overall, equitable, geographical balance. Section Maximum Score Application Form Financial and Operational Capacity 30 Form 1 Does the applicant have sufficient and stable Form 1: 1 and 2 resources of finance?* Do the applicant and partners have sufficient Form 1: 3, 4 and 5 management capacity? (including staff) Evidence of Experience 30 Form 1 Does the applicant have sufficient experience in Form 1: 6 and 7 project management and technical expertise in the fields covered by the BSF? How has the applicant performed in current and previous projects in Southern Sudan? Description of the Project 40 Form 2 How relevant is the project to the objective/ Form 2 priorities of BSF? How clearly defined and strategy chosen are Form 2 the beneficiaries and the location of the project? Is the consortiums level of involvement and Form 2 participation of local communities and Sudanese organisations in the project satisfactory? Is the level of capacity building activities and the Form 2 methodology of capacity building satisfactory? Is the formulated exit strategy considered as Form 2 adequate? * The lead organisation should have at least an annual turnover during the last three years, that is higher than the requested budget (which means at least an annual turnover of at least ₤300,000) and the cash and cash equivalents should be positive at the beginning and the end of the year, for the last three years. The concept notes will not be evaluated further when these requirements are not met. 3.2 Proposal All applications must follow the format specified in annex 2 of this document. Applications departing from this format will be disqualified. Mott MacDonald 10
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines  As all applicants must have a combined experience (from a maximum of two organisations) in managing a budget of at least ₤300,000 a year. Evidence to prove this must be provided as part of the application and must include: o the externally audited accounts for individual applicants and the lead applicant in a consortium bid for the previous year (2007) or for the latest year that this is available; and o for local non-state service providers in a consortium bid a letter of assurance from the lead applicant’s finance officer stating that partners have a functioning accounts system including financial control.  A consortium must submit a signed partnership agreement with the full proposal.  All proposals should be accompanied by recommendations from the Counties/ States in which the work is to be carried out, and from no more than two other referees per partner.  To avoid duplication, all applicants must declare that they will not acquire funds from alternative sources for the same activity in the same location.  All applications must be delivered by 17.00 hrs on 28 November 2008 to the office of BMB Mott MacDonald, c/o BSF 3rd Call for Proposals, Amsterdamseweg 15, 6814 CM Arnhem, the Netherlands. (Tel. +31 26 3577477). Electronic copies should be sent to: bsfthirdround@mottmac.com.  Organisations are advised to make use of courier services to send the hard copies. All late arrivals will be disqualified. The submission document must contain:  Five hard copies and one electronic copy, in Microsoft Word, Microsoft Excel or PDF format, must be submitted with a covering letter before the deadline. An acknowledgement will be sent to the submitting party specifying the time and date the application was received. Budgets need to be formatted to A4 page size. Documents which do not comply will be disqualified.  The BSF Secretariat will work to DFID procedures, reporting and monitoring criteria. These criteria must be adhered to.  Decisions of the BSF Steering Committee will be final and no appeal process will be allowed. In submitting an application to the BSF, the applicant agrees to these conditions and rules.  The BSF Secretariat may check the validity of any information submitted by applicants, at its own discretion. 3.2.1 Evaluation Criteria Proposal For the proposal the evaluation criteria are given in the table below. The Evaluation Committee of BSF will give priority to the applications with the highest scores while maintaining an overall, equitable, geographical balance. Section Maximum Score 1. Context and Problem Analysis 10 1a. How relevant to the needs and constraints of the target region is the proposal? 1b. Adherence of the proposal towards the BSF Core Principles 2. Appropriateness of Intervention 20 2a. Is the Logical Framework consistent in its set up? 2b. Are activities, outputs, outcomes and indicators relevant and appropriate? 2c. Are the final beneficiaries of the intervention strategically chosen? 2d. Is the project intervention based on a demand driven approach (needs assessment)? 3. Sustainability: Quality of partnership 30 Mott MacDonald 11
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines 3a. Does the project intervention foresee an exit strategy? 3b. Are operational and maintenance facilities in place? 3c. Is partners' level involvement and participation in the project intervention satisfactory? 3d. Does the project provide for local capacity building to govern and manage service delivery? 3e. Does the project intervention demonstrate linkages to existing and developing GOSS priorities, plans, policies and minimum service standards 4. Organisational capability, experience and quality assurance arrangements) 20 4a. Does the project propose a suitable mix of international and local staff? 4b. Appropriateness of project management arrangements 4c. Availability and appropriateness of internal quality monitoring mechanism 4d. Appropriateness of the reporting mechanism 4e. Evidence of past and current effectiveness in Southern Sudan 5. Commercial Evaluation, cost-effectiveness 20 5a. Appropriates of projected administration/management fees in relation to overall project costs 5b. Appropriateness of internal financial auditing system 5c. Overall appropriateness of the proposed budget items Total Score 100 Mott MacDonald 12
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Annex 1Format for Concept Notes The following format must be followed for all Concept Notes. Concept Notes should not exceed 5 pages, excluding audited accounts. Any additional documentation sent with the application will not be taken into consideration. The Concept Notes should not exceed 5 pages of text. All Concept Notes must be delivered by 17.00 hrs on 24 October 2008 to the BMB Mott MacDonald whose address is: BMB Mott MacDonald, c/o BSF 3rd Call for Proposals, Amsterdamseweg 15, 6814 CM Arnhem, the Netherlands. (Tel. +31 26 3577477). All late arrivals will be disqualified. Three hard copies and one electronic copy in Microsoft Word or PDF format must be submitted before the deadline. The electronic copy should be sent to: bsfthirdround@mottmac.com. Mott MacDonald 13
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines FORM 1: Consortium Organisation and Experience CONSORTIUM ORGANISATION Identity information on the Organisation or Consortium, according to the below given table. Make as many copies of the columns as necessary to create entries for all Partners of the Consortium. (Lead) Organisation Partner 1 Partner 2 Full legal name Acronym Nationality Registration with SSRRC Registration with Min of Legal Affairs Official address * Contact person Telephone number * Fax number * Website Email address * * Optional for partners FINANCIAL and OPERATIONAL CAPACITY Max 30 points 1. Provide a brief description of the various resources which the (lead) organisation has access to and state the annual income over the last three years. Include the externally audited accounts for the (lead) organisation for the previous year. To the extent possible, provide similar financial information on your partner organisations.  The lead organisation should have at least an annual turnover during the last three years, that is higher than the requested budget (which means at least an annual turnover of ₤300,000).  Cash and cash equivalents should be positive at the beginning and the end of the year, for the last three years. 2. For non-state service providers in a consortium bid, include a letter of assurance from the lead organisation’s finance officer stating that partners have a functioning accounts system including financial control. 3. Provide details on the number of full-time and part-time staff of the lead organisation and the partner organisations by category (number of project managers, engineers, accountants etc.), indicating their places of employment. 4. When was the (lead) organisation founded and when did it start its activities in Southern Sudan? What were and are the main fields of expertise? 5. Describe your partner organisations’ main fields of expertise (in Southern Sudan) and state whether you have earlier collaborated on projects. Mott MacDonald 14
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines This information will be used to assess whether the applicant has sufficient and stable source of finance, and whether the applicant has sufficient operational and management capacity to manage a project for which the applicant is requesting a grant. EVIDENCE OF EXPERIENCE Max 30 points 6. What are the main activities of the consortium at present and what type of activities are currently carried out in Southern Sudan? 7. Provide a description of actions managed by the members of the consortium over the past five years in the fields covered by the BSF. Note: Identify for each action:  The objective and location of the action  The results of the action  Your organisation’s role (lead manager or partner) and its degree of involvement in the action  The cost of the action  Financing agency contributing to the action (name, amount).  Community participation indicators This information will be used to assess whether you have sufficient and stable experience of managing actions in the same sector and of a comparable scale to the one for which you are requesting a grant. Mott MacDonald 15
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines FORM 2: Description of the Project AMOUNT REQUESTED Total eligible cost of the Project Amount requested % of total cost of the Project <Sterling> <Sterling> <Sterling>  Where less than 100% financing is requested, demonstrate source, specified purpose and duration of additional funding.  The budget should be between ₤300,000 and ₤1,500,000. PROJECT SYNOPSIS Max 40 points Provide the following information:  Name of the Project  Objective of the Project  Relevance of the Project to the objectives/ priorities of BSF.  Description of the direct and indirect beneficiaries of the Project and locality of the project.  Participation of local communities during project formulation and the participation of Southern Sudanese organisations and individuals during project implementation.  What will be done to raise the capacity of beneficiaries and local organisations during project implementation in order to take ownership of the Project.  What is the intended exit strategy. Mott MacDonald 16
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Annex 2Format for Project Proposals The following format must be followed by all organisations invited to prepare full proposals. Where there is a box headed ‘required information’, this information must be provided as requested. Failure to do so will result in disqualification. Applications should be no more than 15 pages, excluding Logframe, budgets and references. All applications must include a logical framework. No additional annexes should be provided – they will not be read. The questions posed in the forms illustrate the kind of questions which will be asked when a proposal is assessed. Not all questions will be relevant to all proposals. Therefore they should be used as a guide only. Robust data and indicators maybe difficult to acquire for much of Southern Sudan. Applicants are encouraged to provide the best information available and to qualify this information where appropriate. Updated ‘Application Guidelines’ will be published after short-listing, on the 24th of October 2008. Mott MacDonald 17
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines FORM 3: Project Summary/ Basic Data 1. Name of project. 2. Location(s) (County or Counties and the State in which they are located) of the project. 3. A one paragraph summary of the project. 4. Project cost and a summary of qualities (new & rehabilitated buildings, types of water technologies – new or rehabilitated, latrines, etc) and service provision quantities (number of beneficiaries per service, number of trained staff, etc). 5. Unit costs of services per beneficiary user group – e.g. primary education, water, sanitation, etc 6. Include a declaration signed by the (lead’s) organisation finance officer stating that no other funds have been secured or will be accepted for the same work in the same location 7. Project duration—length of project and anticipated start and end date. Mott MacDonald 18
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Form 4: Project Context and Problem Analysis Describe the context in which the project will be undertaken, building on the following questions. 1. Who are the initiators and who are the potential beneficiaries of the project? If possible disaggregate by gender, age, ethnicity, seasonality etc. What is the estimated proportion of the county population that are beneficiaries? Is a significant influx of IDP and refugee returnees expected? If so, what is the anticipated number of returnees? 2. What are the current human development indicators for the proposed project area (If available)? 3. What is the operational context in which the project will be carried out? What is the current socio- economic and political situation in the proposed project area? In particular, what has the impact of the conflict been on access to services in the area? What mechanisms currently exist in the proposed project area for addressing and mitigating conflict? How effective have these been? 4. What is the current provision of basic services in the proposed project area (e.g. number and quality of schools, primary health centres, access to safe water supplies and sanitation, knowledge of good hygiene practices, etc.)? How are these operated? 5. What other existing or planned projects are you carrying out in the county(ies) in which this project would take place? What other agencies are working in the area or planning to work in the area and in what projects are they engaged? Will this project work with them? If so, in what way? What steps will you take to avoid duplication? 6. What is your analysis of the requirement for basic services in the area that your proposal responds to? What is the evidence that this analysis is a good one? Mott MacDonald 19
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Form 5: Project Intervention Logic and Approach Describe the logic of the chosen approach to service delivery proposed by the project by addressing the following questions. 1. What services will the project provide (what is the basic package of services) and what is the approach to provision of these services? 2. Who are the direct and indirect beneficiaries of the project? What is the projected number of regular users of the service during the project’s lifespan and after the project funding finishes? 3. How will the project improve beneficiaries’ access to basic services? 4. Why is this project’s approach and design the most effective and efficient way of addressing the identified problem? 5. What are the goal, purpose, outputs and primary activities of the project? (attach a Logframe as an annex to this application, see form 9) 6. What procedures will the project employ for improving the combined impact of services (water- sanitation, health, and education)? How will it coordinate delivery of these services? How will the project improve the combined impact of these services? Is collaboration with other projects offering different services planned? 7. Were local beneficiaries/stakeholders involved in the design of the project? If so, how were they involved? How is ‘demand’ for these services reflected in your approach to service delivery? How will the beneficiaries be involved in project planning, implementation and monitoring? 8. How were local authorities involved in the design of the project? How will the local authorities be involved in project implementation and monitoring? 9. Explain how the project employs a conflict sensitive approach. How will it ensure that it ‘does no harm’ by not exacerbating existing tensions? How will it reinforce security and stability where this exists? 10. How will the project safeguard social inclusion in service provision (including the incorporation of IDPs and refugee returnees)? What are the particular social inclusion issues in the proposed project area? How will the project work to address these? 11. What are the potential environmental impacts of your proposed project? How will you mitigate these? 12. Risks and assumptions: a. What assumptions is the project making? What are the primary risks that could affect the project’s success? b. How likely are these to happen and how serious are the consequences if they occur? c. What measures have been / will be taken to minimise or mitigate potential risk? 13. How does the project propose to build on existing / previous project(s) in the proposed project area? Mott MacDonald 20
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines 14. How do you intend to monitor and review the implementation of the project and assess its impact? a. What specific indicators for appraisal of service delivery impact will you use? These should be expressed in the logframe b. What arrangements have / will be made to involve beneficiaries and local authorities in monitoring and evaluation? Required information: Realistic numbers of intended beneficiaries for each service type being provided Note 1: Applicants are advised to justify assessments of beneficiary numbers, since apparently unrealistic assessments will result in lower scores during assessment. Note 2: The full logical framework in form 9 below will be carefully assessed by reviewers as the overall summary of the approach and will contribute to scores in this section. Mott MacDonald 21
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Form 6: Project Sustainability 1. Will service delivery be sustainable once the project funding ends? If so, how? 2. Will it be possible to hand over aspects of the project to local government, private providers and local NGOs during the implementation to ensure that at the end of the funding the project is an activity of the recipients? How will an exit strategy be developed? 3. Will the project build capacity of local people and communities to govern and manage service delivery? If so, how? How will maintenance of assets be managed (e.g. repairs to water supplies, buildings)? 4. If relevant, describe the nature of the partnership between local and Sudanese organisations, and how the ability of Sudanese partners to become effective development organisations will be improved. Mott MacDonald 22
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Form 7: Project Management Arrangements 1. What are the project implementation and management arrangements? (Attach an organisational chart if appropriate). 2. Describe the key staff that will be used to carry out the project and include brief CVs where appropriate. 3. Describe the envisaged role of your partner organisations and the way you will monitor and quality assure their work. 4. Describe how Sudanese staff will be included in implementation of your proposal. 5. Describe your reporting channel and frequency and invoicing arrangements. Mott MacDonald 23
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Form 8: Budget 1. Please attach a budget according to the format presented in the Excel file ‘FormatProjectBudget’.xls. (Will be provided in the updated ‘Application guidelines’, to be published on 24th of October 2008). 2. Provide your projected administration/management fees costs as a proportion of overall project costs. Proposals with high indirect costs will be favoured less than comparable proposals with lower indirect costs. 3. If you wish you can include a contingency cost budget-line in order to cover for unanticipated costs. Contingency costs cannot be more than 5% of overall project costs. 4. Describe your internal financial monitoring procedures and your projected monitoring and evaluation costs. Mott MacDonald 24
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Form 9: Logical Framework All Projects should present a clear logical framework (Updated ‘Application Guidelines’ will be published after short-listing, on the 24th of October 2008) Why use a Logical Framework? The Logical Framework is useful in the design and planning, implementation, monitoring, and evaluation of a project. It also makes it easier to report on a project, highlight changes and to adapt the project accordingly. The structure of a Logical Framework The matrix on the following page shows what a Logical Framework looks like and the information it contains. It consists of concise statements laid out in a horizontal and vertical matrix. In preparing a Log Frame it is normal, having identified the problem the project will address, to work down the levels – so that the inputs required to achieve the project are considered last. However having done this it is necessary to then consider whether the resources required are likely to be available and appropriate to the situation and modify the framework accordingly, i.e. plan downwards, think upwards. It is important to note that the logical framework is a tool for project management. The framework should develop and change as the project develops. Logical Framework Matrix Project Summary Measurable Means of Important Indicators verification assumptions GOAL: The evidence Sources of Main external Overall goal which (quantitative/ information/data factors necessary to this project will help qualitative) which will which will be used sustain objectives in to achieve be used to to assess the the long run measure/judge the indicator(s) achievement of the goal (Goal to supergoal) PURPOSE: The evidence Sources of Main external Immediate impact (quantitative/ information/data factors necessary if on the project area qualitative) which will which will be used project purpose is to or target group i.e., be used to to assess the contribute to the change or measure/judge the indicator(s) reaching project benefit to be achievement of the (Purpose to goal) goal achieved by the purpose project OUTPUTS: The evidence Sources of Main external The specific, (quantitative/ information/data factors necessary deliverable results qualitative) which will which will be used for outputs to expected from the be used to to assess the achieve project project to attain the measure/judge the indicator(s) purpose purpose achievement of the (Outputs to outputs purpose) Mott MacDonald 25
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines ACTIVITIES: INPUTS: Sources of (Activity to output) These are the tasks This is a summary of information/data Main external to be done to the project budget and which will be used factors necessary produce the outputs other key inputs to assess the for activities to indicator(s) achieve project outputs Mott MacDonald 26
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Form 10: References Please attach supporting letters from specific Counties or States in which you will be working. Please also attach no more than two references for each partner organisation, ensuring each reference includes contact details and positions for named individuals. Mott MacDonald 27
  • Basic Services Fund of the Government of Southern Sudan and DFID Application Guidelines Annex 3Current BSF projects The BSF third call is seeking applications for service delivery in locations that have not previously been funded by the BSF. The aim of the call is to spread the benefits of BSF activities into new areas, and duplication of existing BSF-funded activities should be avoided. A full list of projects and locations covered by existing BSF funding is presented below. Name lead agency BSF Location of the action intervention AMREF Terekeka County, Central Equatoria State Caritas-Switzerland Budi, Magwi, Ikwotos & Kapoeta Counties Medair Awoda, Payuer, Atar & Ayod, Upper Nile State Save the Children USA Upper Nile State CCM-Italy Tonj Counties, Warab State Oxfam GB Udier, Longechuk, Pagol, (Ruweng), Bawac & Bugata (Mabaan) in BeG, Lakes, W. Equatoria, Upper Nile States GOAL, Ireland Humanitarian Assistance Kajo Keji County, Lanya County Southern Sudan (HASS) International Rescue Committee Warrap, Aweil (IRC) Merlin Eastern Equitaria OVCI Juba County Save the Children - UK Mvolo County, Jur County, Bor County Tearfund Koch County, Longuch County World-relief All states Mott MacDonald 28