CDLD Policy Notification by Khyber Pakhtunkhwa CDLD Programme

GOVERNMENT OF KHYBER PAKHTUNKHWA

y c i l o ion P D at L D C tific No D CDL 7 / D D 201 E&R G L une N/ 23 J C ATIOat ed d N OTIFI

017

t/2 Uni

LOCAL GOVERNMENT, ELECTIONS AND RURAL DEVELOPMENT DEPARTMENT

EUROPEAN UNION

The CDLD Policy Notification has been printed in collaboration with the Khyber Pakhtunkhwa Community Driven Local Development (CDLD) Programme. The European Union supports the Government of Khyber Pakhtunkhwa to implement the Provincial Policy â&#x20AC;&#x153;Community Driven Local Development (CDLD)â&#x20AC;? through financial resources, and technical assistance provided by Hulla & Co. Human Dynamics KG. The overall objective is to build responsiveness and effectiveness of the State to restore citizen trust, stimulate employment and livelihood opportunities, and ensure the delivery of basic services.

CDLD Policy Notification

GOVERNMENT OF KHYBER PAKHTUNKHWA LOCAL GOVERNMENT, ELECTIONS AND RURAL DEVELOPMENT DEPARTMENT Dated Peshawar 23 June, 2017 NOTIFICATION/LGE&RDD/CDLD Unit/2017: In continuation of Finance Departmentâ&#x20AC;&#x2122;s Notification No. FD/EU/CDLD/1-1/2013 dated August 15, 2014, and in pursuance to the approval of the Policy Coordination and Review Committee (PCRC) meeting dated June 22, 2017, the Government of Khyber Pakhtunkhwa, Local Government, Elections and Rural Development Department (LGE&RDD) is pleased to notify and circulate the following revised instructions and procedures to regulate the operationalisation and implementation of the Community Driven Local Development (CDLD) Policy / Programme in selected districts of Khyber Pakhtunkhwa. These revised instructions shall be applicable for the fresh rounds (Round No. 9 onward) of CDLD Programme both in existing districts and newly selected districts. However, the process already initiated for the selection and approval of the schemes/projects under the previous rounds Round 1 - 8 of the CDLD Programme shall be completed under the Finance Department Notification No. FD/EU/CDLD/1-1/2013 dated August 15, 2014 as updated from time to time. Enclosures: Revised instructions and procedures for CDLD Programme dated June 23, 2017 -sdSecretary LGE&RDD Govt. of Khyber Pakhtunkhwa 1

CDLD Policy Notification

Copy forwarded for information and necessary action to: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16.

All administrative Secretaries, Government of KP. Accountant General, Khyber Pakhtunkhwa. All concerned Divisional Commissioners in KP. Director General LG&RDD, KP. All concerned District Nazimeen in KP. All concerned Deputy Commissioners in KP. All concerned Assistant Directors LGE&RDD in KP. All concerned District Officers Finance & Planning in KP. All concerned District Account Officers in KP. All concerned Divisional Comptrollers of Accounts in KP. All members of the PCRC, CDLD, KP. All members of the CDLD Coordination Unit. Head of Cooperation European Union Delegation, Pakistan. PS to Additional Chief Secretary P&D, Government of KP. PS to Senior Minister LGE&RDD, KP. PS to Secretary LGE&RDD, KP.

Coordinator CDLD

CDLD Policy Notification

REVISED INSTRUCTIONS AND PROCEDURES FOR CDLD PROGRAMME - DATED JUNE 23, 2017 1. Reference

Point and Rationale: The Khyber Pakhtunkhwa Community Driven Local Development Policy (here-in-after referred to as CDLD Policy) implementation procedures were notified in Finance Departments Notification No. FD/EU/CDLD/1-1/2013 dated 15 August, 2014. The lessons learned since then were compiled through a consultative workshop of the stakeholders in October 2016. These lessons were presented before the CDLD Policy Coordination and Review Committee (PCRC) (here-in-after referred to as PCRC). After due consideration, the PCRC was pleased to endorse the recommendations, emanating as a result of the lessons in implementation and approved the revision of implementation guidelines within the provision of Section 1.7 (part-1) of the CDLD Policy.

2. Application: Any programme under the CDLD Policy,

including the European Union (EU) and Government of Khyber Pakhtunkhwa (GoKP) funded District Governance and Community Development (DGCD) Programme (to be referred to henceforth in this notification as the CDLD Programme), shall be implemented in accordance with these instructions and other relevant notifications issued by the Government of Khyber Pakhtunkhwa from time to time. The PCRC shall have the authority to make amendments in these instructions. These instructions shall apply to the existing as well as new districts to be included in the scope of the CDLD Policy.

CDLD Policy Notification

3. Management of CDLD Policy: At Provincial Level: The CDLD Policy and Programme shall be steered by a high level Policy Coordination and Review Committee (PCRC) as envisaged in the CDLD Policy document (Section 2.1.1), now chaired by the Secretary Local Government, Elections and Rural Development Department. Additionally, Commissioner Peshawar and Hazara shall be added as members of PCRC to ensure the operationalisation of CDLD Policy in the respective divisions. Moreover, the respective Commissioners may recommend an individual from Civil Society Organisations (CSOs) as member of PCRC from each of the division. At District Level: At District level, the CDLD Policy implementation shall be managed by a District Development Committee (DDC) under the chair of the respective Deputy Commissioners (DCs). The DDC shall have the following composition:

COMPOSITION OF DISTRICT DEVELOPMENT COMMITTEE (DDC) FOR CDLD Designation Deputy Commissioner District Education Officer (male) District Education Officer (female) District Health Officer District Planning Officer District Director Agriculture District Director Livestock & Dairy Development District Director Fisheries Executive Engineer, Communication & Works

Status Chairperson Members

CDLD Policy Notification

Executive Engineer, Public Health Engineering Executive Engineer, Irrigation Assistant Director, Local Government District Officer, Social Welfare & Women Empowerment District Officer, Water Management Tehsil Municipal Officer, District Headquarter One woman representative nominated by DDC One representative from Civil Society District Officer Finance & Planning (DO F&P) Representative from Social Mobilisation Partner

Secretary Facilitator

DDC may co-opt any other officer in the district as member to provide technical or specialised input. The DDC is empowered to designate the Social Mobilisatoin Partner, Civil Society Organisation (CSO) or any district office represented on the DDC to provide technical backstopping specifically for specialised and livelihood projects. The DDC shall have at least one meeting in every calendar month. A minimum of ten members shall constitute quorum for a meeting of the DDC and it shall be guided by CDLD Policy and instructions issued from time to time by the Local Government, Elections and Rural Development Department (LGE&RDD) after concurrence of the PCRC.

4. Functions of the DDC: The DDC is mandated to: i.

Approve annual work plan at the start of each fiscal year specifying Village Council/Neighbourhood Council (VC / NC) to be covered in each round, advertisement dates for each Call for Proposal (CFP), distribution of targets during the year,

CDLD Policy Notification

indicative schedule for its monthly meetings and number of projects to be approved to meet annual targets. ii. Approve projects submitted by Community Based Organisations (CBOs) under the CDLD Policy and accord technical and administrative approval to the eligible projects under the CDLD initiative. iii. Process and approve the proposals for livelihood projects on competitive basis as per instructions provided in this notification. iv. Constitute Technical Evaluation Committee (TEC) for technical evaluation of projects under CDLD Policy. v. Monitor physical and financial progress of projects financed under CDLD projects. vi. Resolve issues and bottlenecks in the implementation and execution of approved projects. vii. Ensure fund equity to benefit the most needy communities and VCs / NCs in the district. viii. Re-appropriate allocated resources to the most deserving village or neighbourhood council in case no project proposal is received from a village or neighborhood council to which funds are earmarked, the DDC will ensure the equity in reappropriation process. ix. Suggest, if needed, additional eligibility and project assessment criteria for CBOs in conformity with the CDLD Policy. x. Ensure compliance with recommendations of the third party continuous audit, Divisional Monitoring Unit, Planning & Development Department (P&DD) and policy directions of the PCRC. xi. Assign specific role and responsibility to various district officers for effective and timely

CDLD Policy Notification

xii.

xiii. xiv.

xv.

xvi.

xvii.

xviii.

implementation of projects. Prioritise sectors for investment under CDLD Policy after taking into consideration the priorities indicated in latest Village and Neighbourhood Council Development Plans (VCDPs). Hold district pre-budget consultations for ascertaining citizensâ&#x20AC;&#x2122; needs and priorities. Ensure adherence to revised planning guidelines for VCs / NCs with assistance and facilitation from the SMP. Oversee development of VCDP by the SMP on the template indicated at (Annexure-1) with participation from VC / NC representatives, members of the CBOs, and other stakeholders. Transmit regular feedback and information to the Local Government Department, Finance Department, respective Divisional Commissioner, and development partners on physical and financial progress of the project. DDC meetings shall be convened on monthly basis pertaining to approval of projects, utilisation of available funds, tracking the progress of ongoing schemes, and resolution of CDLD related issues. Ensure achievement of annual targets of project approvals, execution of agreements with CBOs and release of installments within stipulated time mentioned in work plan.

CDLD Policy Notification

5. Technical Evaluation Committee (TEC): The TEC shall consist of:

Designation Status District Officer Finance and Planning Chairperson District Planning Officer, District Members Government One Engineer from District Line Department Assistant Director, LGE&RDD CDLD Programme Engineer A female nominee of the Social Welfare & Women Development Note: District incharge of the relevant sector department shall attend as member when projects related to the sector are considered in the TEC.

6. Functions of TEC: Technical Evaluation Committee is

mandated to: i. Carry out technical appraisal and evaluation of project proposals. ii. Provide recommendations to DDC on project proposal and applications for financing under CDLD Policy and Programme. iii. Grant technical sanction of projects submitted by CBOs under CDLD. iv. Act as Price Evaluation Committee for approving the projects. v. Evaluate and approve itemised costs of the project as per Market Rates Schedule (MRS). vi. Assess and approve the quality of items given in the project design documents.

CDLD Policy Notification

7. Focal Person for Project under CDLD Policy and

Support Outfit: DO F&P shall be the Focal Person for projects financed under CDLD Policy. In unavoidable circumstances, the DDC may recommend to Policy Implementation Unit for shifting this responsibility to any other competent officer not below this level. The focal person shall be supported by the following team: i. One CDLD Programme Engineer. ii. One Monitoring and Livelihood Officer. iii. Two Data Entry Operators. iv. One Female Facilitation Officer.

8. Terms of Reference for the Support Outfit: The team shall be contracted by the district administration under specific terms of reference and fixed remuneration as individual consultants.

9. Allocation of Funds to the Districts: Funds shall be allocated to CDLD Programme districts in accordance with the following mechanism: i. The formula of resource distribution worked out by the Provincial Finance Commission for distribution of funds to Local Governments shall govern the allocation of funds in CDLD Programme districts. ii. The current formula with the following factors and respective weightage is adopted till its replacement by the Provincial Finance Commission: Variable Factors Population Multiple Indicators Cluster Survey (MICS) based Backwardness 60%

20%

Lag in Infrastructure

20%

CDLD Policy Notification

iii.

iv. v. vi.

Further, as contemplated by the Khyber Pakhtunkhwa Local Government Act, 2013, population, as calculated on the basis of last preceding census officially published, shall be the only factor for allocating the shares of VCs / NCs within a district. In case of any dispute with regard to population in any village or neighbourhood council, the numerical strength of general members in the respective VCs / NCs for the purposes of local government elections under Khyber Pakhtunkhwa Local Government Act, 2013 shall be taken as determinant for distribution of resources. Every CDLD Policy district shall earmark a minimum of fifteen percent of CDLD budget for women specific projects. Every CDLD Policy district shall earmark a minimum of six percent of CDLD budget for livelihood projects. A maximum of four percent of the total CDLD allocated budget during a year shall be earmarked to meet management costs of the programme unless changed by PCRC including operational cost related to human resources hired for CDLD projects, and CDLD related costs of districts administration, office of the respective Commissioners, CDLD Coordination Unit and the LGE&RDD.

10. Social Mobilisation Support (SMP): Social mobilisation

part of the CDLD Policy shall be achieved in the following manner: a. LGE&RDD, Government of Khyber Pakhtunkhwa shall hire the services of SMPs in accordance with public sector procedures as indicated in (Annexure2) and the Khyber Pakhtunkhwa Public Procurement

CDLD Policy Notification

of Goods, Works and Services Rules, 2004. To ensure maximum transparency, the selection process will be carried out at provincial level. The SMP will be contracted at provincial level as per the Term of Reference (TOR) attached at (Annexure-3). b. The SMP shall be responsible for: i. Mobilising and sensitising communities to the CDLD Policy investments and procedures. ii. Facilitation to community based organisations, elected representatives and other stakeholders in the preparation of VCDP. iii. Preparation of detailed project proposals (DPP) with technical designs. iv. Providing support in supervision and monitoring of technical and social aspects of every project proposed and executed by a CBO. v. Ensuring the grassroots level social capital by providing support to CBOs in the formation of secondary (Village Organisations - VOs) and tertiary (Local Support Organisations - LSOs) level networks. vi. Providing support to LSOs, VOs and Business Interest Groups (BIGs) in the execution of livelihood project management cycle. vii. Supporting VOs, LSOs, BIGs and other networks during Community Investment Fund (CIF) management, and reporting, financial management and implementation of livelihood projects in accordance to approved procedures under CDLD livelihood strategy. viii. Providing support to CBOs to ensure operationalisation of the core functions of the CBO sub-committees i.e. Project Management

CDLD Policy Notification

& Procurement Committee, Monitoring & Audit Committee and Operation & Maintenance Committee, (see Annexure-4). c. Fund Flow to SMP: CDLD funds shall be transferred to SMP in compliance with the government standard operating procedures and as per the payment schedule mentioned in the agreement signed between government and SMP. d. Reporting by SMP: Besides various reports mentioned in the TOR annexed, the SMP shall submit a consolidated quarterly progress report and Statement of Expenditure (SOE) and annually audited Expenditure Verification Report (EVR) along with progress report to PIU in LGE&RDD. For EVR, the SMP shall engage an accredited external auditor i.e. Chartered Accountant Firm (specifically for this project) and shall submit their audited report within 40 days (after closing of the reporting period) in accordance with the agreed TOR. e. Accounting and Auditing: The following account and audit procedures will be followed for performance of business by SMP: i. SMP will perform all financial operations in accordance with its own Charter / Rules / Standard Operating Policy and Procedures. ii. SMP shall maintain books of accounts in accordance with approved accounting

CDLD Policy Notification

standards applicable in Pakistan as required by Company Ordinance 1984 (Revised 2017). iii. SMP shall have its accounts audited from a Chartered Accountant Firm each year in accordance with the laws approved auditing standards / International Financial Reporting Standards (IFRS) issued by International Accounting Standards (IAS) Board notified under the provision of Companies Ordinance 1984 / (Revised 2017) as applicable in Pakistan. SMP will provide copies of their Annual Audit Reports to the Government of Khyber Pakhtunkhwa during the term of its contract with the Government.

11.

Eligible Sectors under CDLD Policy: Projects relating to functions devolved to local governments under the Khyber Pakhtunkhwa Local Government Act, 2013 as amended from time to time and Irrigation shall be eligible for financing under CDLD Policy. Direct interface with the public service delivery and amenability by the CBOs to execute the project shall be determinant factors for evaluating eligibility of a project proposal. Applications may be given for project finances in the following sectors: Sector Education Health Roads Works

Indicative Interventions Construction of additional rooms, missing facilities, rehabilitation Construction of additional / missing facilities, rehabilitation Link / rural roads, bridges, culverts, protection walls for roads Street pavement, waiting areas in public

CDLD Policy Notification

Water Supply Sanitation

Agriculture

Irrigation

Sports Tourism Culture Welfare

service areas, street lights Motor pumps, hand pumps, gravity Drainage, community latrines, solid waste collection and disposal, dumping sites for solid waste Fruit and food processing, packing and preservation units, godowns, warehouses, missing facilities in veterinary clinics and hospitals, fish farms, hatcheries, poultry and dairy development, orchard development, kitchen gardening, land development On farm water management, water conservation, soil conservation, water courses, irrigation channels, check dams, flood protection walls, water storage tanks Rehabilitation and improvement of playgrounds Improvement of tourist resorts, facilities and services Development and marketing of local folk products Special education, vocational centers, graveyard, funeral places

Productive physical infrastructure projects having direct impact on livelihoods improvements for example community irrigation channels, community fish farming, or any other innovative project under the eligible sectors like agriculture, fisheries, livestock, forestry, irrigation contributing to income generation shall be given weightage in screening of the first applications. In women specific projects, while establishing vocational center, following special consideration shall be taken into account:

CDLD Policy Notification

The CBO proposed to establish vocational centers shall be liable to provide a formal agreement between the CBO and the individual owner of the land clearly stating in the agreement that land has been donated for the construction of vocational center for at least ten years period and during the period the land owner shall have no right to claim ownership of the land. CBO has control over the land. The agreement shall be required to be submitted with DPP. ii. In case, in first application, if the CBO is aiming to provide equipment to the vocational center, then prior to the screening of the first application, the SMP shall ensure that the proposed vocational center is already functional under the umbrella of applicant CBO or Social Welfare Department. Besides, the CBO shall have to present sustainability plan with the DPP. iii. During validation of such projects, SMP and concerned line agencies shall ensure that the sustainability plan provided by CBO is viable. iv. The SMP shall also ensure that the CBO has the capacity to run the vocational center and the CBO possesses appropriate human and physical resources. v. No Operation and Maintenance (O&M) and recurring cost shall be budgeted for these projects in the DPPs.

12. Project Selection Criteria: Selection of projects shall be subject to the following criteria:

a. Only those applications will be considered for evaluation whose projects are present in the approved VCDP.

CDLD Policy Notification

b. The project proposal application shall invariably relate to the sectors and themes mentioned in the call for proposal. c. The project proposal application must conform to the maximum budget allocated to the VC or NC. It shall range between Rs. 0.5 to Rs. 2.5 million. d. The verified first application received shall be evaluated by the MIS under the defined criteria. e. The project application, meeting all criteria, shall be funded under CDLD Policy from the share of the VCs / NCs in which the CBO operates and where the project is to be implemented. i. In case, the total cost of eligible projects in a VC / NC exceeds the total funds allocated for that council, only highest ranked project applications shall be funded until the allocated funds are exhausted. ii. For the purposes of ranking projects proposal applications, the following criteria shall be used: # 1

Attributes Weightage Cost per household investment cost 35% Project having both gender as 2 15% beneficiary Project proposed by registered 15% 3 organised community 4 Project proposed by women groups 10% 5 Duration of the project 15% Project contributes to income 10% 6 generation for enhanced livelihood Note: The screening and evaluation sheet for first application is attached as (Annexure-5)

CDLD Policy Notification

iii. No CBO shall be granted two projects simultaneously. iv. O&M of the project will be the responsibility of the CBO and O&M plan shall be part of the proposal. v. The contract between the District Government and the CBO shall contain a clear provision on O&M responsibility of the CBO. (Note: The projects which are already under the Government O&M system, e.g. missing school facilities, additional class rooms, renovation and reconstruction of health units etc. shall continue to be maintained by the relevant department of the district government). vi. If the project is found technically sound and socially desirable, only then it shall be accepted, otherwise the SMP shall request DDC or DO F&P to forward the next application in the ranking for validation. vii. The first application should be endorsed by the respective Secretary VC / NC to ensure that the project is already addressing an issue highlighted in the VCDP. Additionally, the Secretary will also verify the authenticity of data provided in the first application. This will not only be advantageous in validation of the first application but also to avoid funding duplication at VC / NC level. viii. Maximum period for completion of a project under CDLD Policy shall not exceed 12 months. (Note: In case of heavy snow fall, torrential rains and official declaration of natural calamity and disaster, the DDC may give a three months extension).

CDLD Policy Notification

13.

Project Proposal Applications: Applications shall be processed in the following manner: i. Project proposals under the CDLD Policy shall be processed in two stages as per formats given in (Annexure-6) and (Annexure-7). ii. Forms for both stage 1 and stage 2 applications shall be available free of cost from the offices of DO F&P, Assistant Commissioners, and VC / NCs. (Note: The forms shall be posted on the websites of Local Government Department or any other website decided by the DC for direct downloading by CBOs and other eligible entities). iii. The first application submitted pertaining to prioritised projects mentioned in VCDP which are to be funded through CDLD Policy must be endorsed by the Secretary of the respective VC / NC. iv. The first application and DPP with three copies shall be submitted either in person or through registered post within the stipulated time, given in the call for proposals by the CBOs. The DPP shall only be submitted to DO F&P in the district, whereas first application shall be submitted to DO F&P or to the respective Assistant Commissioner and Additional Assistant Commissioners who shall dispatch all received first applications to DO F&P on the same day, under intimation to the DC. v. Officials receiving the first applications and DPPs shall issue an acknowledgement and enter the key identifiers of the application in the register maintained for this purpose.

CDLD Policy Notification

14. Women Specific Projects: Any project under CDLD

shall be referred to as women specific project which is initiated by a women individual or women CBO intervening in any eligible sectors or a project which is benefiting mostly women and girls in any sector. A minimum of 15% of the total fund will be allocated for women specific projects in each district. If 15% of the total funds are not exhausted within the stipulated time period then DDC shall consider the lower ranked women specific applications from general rounds meeting the CDLD Policy criteria. However, first applications received with imprecise objectives, vague design and found contradictory to CDLD Policy framework shall be rejected. Even then, if the target of women specific projects are not achieved, a Women Specific Round (WSR) will be advertised. During the screening of first application in WSR, special consideration shall be given to those applications which address women basic needs i.e. access to clean water, repair / equipping labour rooms, rehabilitation of government girlsâ&#x20AC;&#x2122; schools, etc.

15. Female Facilitation Desk: In each district, district administration shall establish a female facilitation desk with providing financial, human and physical resources from the respective heads of CDLD operational cost. The female facilitation desk shall be established with an aim to provide enabling environment to the women of the area to access CDLD funds.

16. Call for Proposal Cycle: The following steps shall be required to complete the entire Call for Proposal cycle:

Step-1: District Annual Work Plan In the beginning of the year, a detailed work plan shall

CDLD Policy Notification

be developed jointly by the district government team headed by DC and district team of SMP. The work plan shall consider the following for targeting a geographic area in a specific round of CFPs: i. The call for proposal shall be divided into two rounds. ii. If the number of women applications received in two regular rounds are insufficient to meet the 15% funding target, a WSR will also be advertised. iii. The work plan should ensure development of the VCDP from 1st of March onward for the next fiscal year. iv. The DDC should complete the approval of target number of projects by 30th April so that agreements could be signed and work could be initiated before 30th June. v. Exact number and names of VCs / NCs shall be identified for each round of call for proposal in the work plan. vi. VCs / NCs shall be selected from each tehsil to ensure geographic equity. vii. VCs / NCs from the snow bound areas shall be prioritised in the first and last quarter of the fiscal year. viii. VCs / NCs selected in a round shall be contiguous. (The template for annual work plan is attached as (Annexure-8). Step-2: Orientation of Village Councils and / or Neighbourhood Councils The Director General Local Government and Rural Development Department shall notify the Assistant Directors Local Government (ADLG) of the respective districts to organise an orientation workshop supported

CDLD Policy Notification

by SMP to orient Nazims and Secretaries VC / NC on the mechanism to be followed for the preparation or revision of the VCDP and procedures prescribed in the revised CDLD notification at tehsil level. Besides orientation, an action plan will be developed for the preparation of VCDP for each council. Step-3: Pre-VCDP Advertisement In order to create broader level of awareness in the targeted CDLD stakeholders, i.e. communities, among CSOs (CBOs, Parent Teacher Councils (PTCs), Primary Care Management Committees (PCMCs), Water User Committees (WUCs), Non-Governmental Organisations (NGOs) etc.), elected representatives of the District, Tehsil and VCs / NCs in each district, the District Administration shall launch a pre VCDP advertisement in the appropriate time to inform all the stakeholders to assess and identify the overall needs pertaining to the development of VCDP in various sectors. This VCDP preparation process will take place from February to April for next fiscal year not later than finalisation of district ADP. Moreover, to provide awareness to the local community regarding participation in the preparation of VCDPs, in each VC / NC, district administration shall raise awareness campaign through appropriate media e.g. radio broadcasts, disseminating pamphlets, text messages, website, etc. Step-4: Preparation of VCDP Section 29 (h) of the Khyber Pakhtunkhwa Local Government Act, 2013, empowers VCs / NCs to â&#x20AC;&#x153;identify development needs of the area for use by municipal administration and district government in prioritising

CDLD Policy Notification

development plans.â&#x20AC;? In conformity with this provision of the Act, and the notification on simplified procedure approved by the Chief Minister on 3rd March, 2016 for VC / NC planning, the SMP shall support the VC / NC to prepare a VCDP identifying the priority needs of its stakeholders. Nazims and Secretaries in each VC / NC with the support of the SMP shall hold inclusive broadbased community consultations engaging civil society, elected representatives of the VC / NC, respective members of tehsil and district council, and other stakeholders to discuss and identify the overall needs in various sectors (described in this Notification) and geographical areas. The consultation process shall give due attention to the needs of women and girls, and marginalised groups like minorities, handicapped, elderly, homeless persons and victims of disaster (if any).The preparation of VCDP shall be supervised and randomly monitored by the DO F&P and ADLG to ensure that the process is in compliance with the guidelines issued. A VCDP shall: i. Outline problems and needs of inhabitants of the villages, hamlets within the jurisdiction of the VC / NC. Critical issues affecting the community at VC / NC level shall be identified, and prioritised, leading to the finalisation of a VCDP to address priority issues. ii. Based on the needs identified and the demands presented by the community consultations in each VC / NC, three year VCDP will be prepared which will be reviewed on annual basis. iii. Primarily support the village communities in developing a future vision and road map for their overall socioeconomic wellbeing and encouraging a lead role of CBOs in the efficient delivery of

CDLD Policy Notification

development services at household, village, and VC / NC level. iv. Ensuring transparency and accountability, estimated VC / NC share of CDLD funds shall be mentioned in the VCDP. Also estimated cost, number of beneficiaries and per household cost of each project shall be mentioned in the VCDP duly verified by the Secretary and Nazim of the VC / NC. The Secretary VC / NC and SMP will perform the following activities at this step: i. Both will inform the community about CFP cycle and importance of VCDP in the finalisation of project. ii. Both will inform the stakeholders about the screening process of the first application or Expression of Interest (EoI) which is fully automated and based on Management Information System (MIS). iii. Secretary VC / NC shall formally document minutes of the VCDP consultative meeting with the assistance of SMP. The minutes of the meeting shall be approved by the Nazim of the respective VC / NC and sent to DO F&P, ADLG, and the SMP with a copy of the approved VCDP for the official record and onward verification of first applications received from individuals / CBOs. iv. SMP shall maintain and update the database of all VCDPs (as outlined by PIU in MIS) for further analysis and reporting in prescribed format. The VCDP may be utilised for performing the following functions: i. The development activities identified and

CDLD Policy Notification

ii.

prioritised in VCDPs can be incorporated in the VC / NC Annual Development Plans (ADPs), CDLD Programme, and considered for funding from other sources which are identified and prioritised by the local community. It shall be mandatory for all development stakeholders including elected representatives, district government line departments, and NGOs to consult the VCDP while initiating development planning at VC / NC level. However, under unavoidable special circumstances, any developmental initiative shall be taken with the consent of the district administration.

Step-5: Expression of Interest (First Application) The following tasks shall be performed by the district administration: i. The DC shall advertise a call for proposal from potential applicants / CBOs to submit an Expression of Interest (EOI) called first application. The advertisement for EOI will be floated in two local / national newspapers for VCs / NCs where the VCDP process is completed. The advertisement shall specify the eligible sectors and the target geographic area, in terms of VCs / NCs in each tehsil for each round of calls for proposals. The advertisement shall also specify the minimum and maximum cost limits of the eligible projects. The advertisement shall explicitly mention about the VC / NC where VCDP process has been completed for which EOI is being called. Under the instructions for first application in the advertisement, it will be informed that every project application has to be endorsed by the

CDLD Policy Notification

Secretary VC / NC for its inclusion in the approved VCDP. The district administration shall ensure that copy of the advertisement pertaining to all rounds is provided to SMP, PIU and district CDLD-TA team for record and ready reference. ii. The first application shall be based on the template at (Annexure-6) and offices of district administration will ensure the availability of first applications in the offices of Secretary VC / NC and other designated offices for free of cost. The first application must be uploaded on CDLD website. iii. The first application may be submitted by an individual or by a CBO in the office of concerned Assistant Commissioners, Additional Assistant Commissioners and DO F&P during the office timing within 30 days after advertisement in newspapers. iv. The receiving office is bound to allot a diary number to the applicant for their record. v. The details of all the received applications should be maintained in the concerned offices. Step-6: Punching in Management Information System (MIS) The first applications received shall be entered into the CDLD MIS. The first application evaluation process will be automated. The MIS shall evaluate the first application in two steps. In the first step, the application is screened against the following qualification criteria: i. The first application is in line with issues identified and prioritised in VCDP. (Yes/No) ii. The first application is strictly in line with the

CDLD Policy Notification

iii. iv. v. vi. vii.

prioritised sectors indicated in the call for proposal. (Yes/No) The application is duly signed and stamped by Secretary VC / NC? (Yes/No) Possibility of funding from alternate source. (Yes/No) Willingness of community to contribute 10% (fixed) of the project cost. (Yes/No) Willingness of community to take responsibility for future O&M. (Yes/No) The list of beneficiariesâ&#x20AC;&#x2122; household (70% of beneficiary household representation, CNIC, contact number. and signature) is attached. (Yes/No)

Negative response to any of the above qualification criteria will lead to automatic rejection of the application. In the second step, the application is evaluated against the following criteria; Number of beneficiary households: Maximum score is given by MIS to projects with more number of beneficiary households and vice versa. ii. Cost of project: Maximum score is given by MIS to projects with less cost and vice versa. iii. Duration of project: Maximum score is given by MIS to projects with less duration and vice versa. iv. Contribution to gender equity: Maximum score is given by MIS to projects benefitting more women / girls and less score to projects benefitting men only. v. Community engagement: Project submitted by an organised community i.e. CBO gets more i.

CDLD Policy Notification

score from MIS as compared to individual applicant. vi. Cost effectiveness: Cost per beneficiary household. Step-7: VC / NC wise merit list for shortlisted applicants Based on MIS score, first applications fulfilling the criteria shall be checked by the DO F&P for possible funding duplication. This will be done through quick interaction with line departments. The concerned line department shall issue non-duplication certificates for projects falling in their mandate. The DO F&P / Focal Person of CDLD will develop VC / NC wise merit list of all the first applications received and will forward the list to SMP for validation, initiation of the process of social mobilisation and preparation of detailed drawing, design and detailed cost estimates of the project. Step-8: Social mobilisation and preparation of DPP The SMP shall start the social mobilisation process of the applications handed over by the DO F&P. This process shall not take more than three calendar months for one CFP cycle. This would be a continuous process, however it should preferably be concluded before April so that DDC could approve and project could be initiated in the same fiscal year. 8.1) Pre-feasibility a. Eventually, the SMP shall contact the applicant, for validation of information provided in the first application. b. At the same time, the SMP will also conduct

CDLD Policy Notification

social and technical feasibility of the proposed project. c. Projects that involve the use of technologies such as hand pumps, tube wells, dug wells need to be carefully assessed CBOs shall ensure the resistivity test prior to the preparation of DPP. d. After successful test results, the DPP shall be prepared and cost shall be covered in detailed cost estimate. In case of failure of tests, further work shall not be initiated and only the test cost shall be paid to CBOs. 8.2) Social mobilisation a. In case of individual applicants, the SMP shall facilitate formation of a CBO through a consultative process involving all social segments from the project catchment area. b. The SMP shall facilitate a CBO to pass a resolution confirming their willingness to undertake the proposed project, including 10% contribution (in cash or in kind), resolving any dispute arising during the course of social mobilisation, and ensure CBO responsibility for O&M. The SMP shall ensure that the CBO: i. Is registered with a government agency or any other government entity mandated to do so. For CDLD, the DCs are authorised to register the CBOs formed by the SMP for the purpose of CDLD Programme as per the advisory from P&DD attached as (Annexure-9) for existing district as well while the new district under CDLD. However,

CDLD Policy Notification

ii. iii.

iv.

vi. vii.

it is mandatory for VOs and LSOs to be registered with the Social Welfare Department or any other entity authorised by the government. Has a savings account (bank account statement). Has rules and manuals by which it manages its affairs (copy of CBO rules, regulations and bylaws). Has leaders democratically selected either by membersâ&#x20AC;&#x2122; election or consensus, and who can be removed by their members (CBO records). Has capacity to maintain books of accounts including details of income, expenses, assets and liabilities (proof of Project Committee, Audit Committee and O&M Committee, established and received trainings on these topics). Received trainings on financial management, record keeping of project and procurement. Is willing to undergo annual audit and independent monitoring and has the capacity to prepare records of meetings and proceedings including project financial transactions.

Moreover, PTCs, Citizen Community Boards (CCBs), PCMCs, WUAs and Farmer Cooperatives can apply and implement CDLD projects but they will do so only as part of CBOs where majority of CBO members support them. The higher level organisations like LSOs and VOs will be judged by the same criteria as

CDLD Policy Notification

above. These organisations will be accountable to the base level members. 8.3) Capacity Building and Networking of CBOs In order to ensure the capacity building of CBOs, the SMP shall undertake continuous follow-up visits pertaining to the trainings already provided to the CBOs to ensure that target communities in the respective districts are mobilised and capacitated. Moreover, the SMP shall ensure the implementation and operationalisation of three tier organisational structure of social mobilisation, building the networks of CBOs federating to VOs and the VOs further amalgamating to form LSOs. 8.4) Registration of CBOs In all CDLD selected districts, DCs shall be authorised to register CBOs formed by the SMP for the purpose of CDLD Programme only. Likewise, it shall be mandatory for VOs and LSOs to be registered with Social Welfare Department or any other entity authorised by the government for CDLD livelihood projects. 8.5) Designing of DPPs i. In order to avoid duplication of work, prior to the preparation of DPP, the concerned line department shall issue a non-duplication certificate. ii. The SMP with the support of the CBO shall develop detailed project design, drawings, and cost estimates according to the procedures specified under â&#x20AC;&#x153;project selection criteriaâ&#x20AC;? mentioned above. iii. The DPP shall be supported by an

CDLD Policy Notification

environmental and social feasibility to ensure that the proposed project is environment friendly and the target beneficiaries are covered in the DPP. iv. The DPP technical feasibility shall include that most of the materials mentioned in the proposals are locally available, and the CBO has the capacities to implement and sustain the project. v. Cost estimates shall be based on approved MRS, with 10% community contribution, and less 17% (10% contractorsâ&#x20AC;&#x2122; profit and 7% tax), while adding area factor, accordingly. However, 5% overhead cost shall not be deducted in the newly initiated CDLD projects during the extension phase. 8.6) Implementation Supervision of CBO projects The SMP shall also be responsible for the provision of social and technical support to CBOs throughout the project implementation till completion process. The detail of technical supervision and inspection is given in monitoring and supervision section of this document. Step-9: Submission of DPPs Once the process of preparation of DPP is completed, the SMP shall facilitate the CBO to submit one copy of the DPP to the DO F&P as per (Annexure-7) but at the time of agreement signing, the CBO will ensure to submit two more copies of approved DPP. The SMP shall forward a total number of DPPs which is 10% more than the target number of projects planned in the indicative budget of each VC / NC under CDLD fund. In this manner, TEC / DDC shall have a margin to drop a project

CDLD Policy Notification

and entertain the next one without wasting time. Step-10: Processing by DO F&P i. DO F&P shall, within three working days, send the DPP to the focal person notified by the concerned department for technical review and to check the duplication of funding from any other source and respond within three days on (Annexure-10). ii. The DO F&P shall hand over the DPPs to CDLD Programme Engineer for technical soundness as per (Annexure-11). The CDLD Programme Engineer shall complete this task within seven working days. For the rectification of errors, deficiencies found in DPPs specifically in drawing, design and cost estimation as pointed out by Line Department and CDLD Programme Engineer, the DO F&P shall forward the DPPs to SMP. The SMP shall rectify the error and submit to DO F&P office within three days. However, the social aspects of the project mentioned in DPP shall be verified by the Monitoring and Livelihood Officer based in DO F&P office. Step-11: Meeting of the TEC For project validated by the Line Department and CDLD Programme Engineer at first place or after removing deficiencies by SMP, the DO F&P shall convene a meeting of the TEC within one week, by circulating a working paper. The TEC shall review and finalise their recommendations on all the proposals in the prescribed format (Annexure-12). The TEC shall also grant technical sanction for the projects. The DO F&P shall send back all those proposals which need further clarification to SMP, within two days. Upon receipt of erroneous DPPs, the SMP shall rectify the errors and submit to DO F&P within two days.

CDLD Policy Notification

Step-12: Submission to DDC All technically sanctioned proposals shall be submitted to the DDC for review and final approval in a meeting to be convened by the DC, within ten days after TEC meeting. The DDC meetings shall clear all the project proposals of a specific round to ensure that the work plan is adhered to. i. Minutes of the DDC meeting shall be issued and circulated to all concerned. A copy of the minutes along with a list of approved and rejected project proposals shall be sent to the PIU in LGE&RDD, which shall forward it to the concerned section of Finance Department (FD). The FD shall release the funds not less than the equivalent of the total cost of the approved projects within ten working days. ii. At the same time, as the list of approved projects is sent to the PIU in LGE&RDD, the DC shall invite successful CBOs for contract negotiation. The subject of such negotiations shall be agreed to the various project milestones and other performance targets, their delivery schedule, reporting requirements and their frequency, and the terms and conditions of releases of second and third installments. After mutual agreement, the contract shall be signed between the parties, specifying the agreed terms and performance requirements. The grant agreement between Government of Khyber Pakhtunkhwa (GoKP) and CBOs is attached as (Annexure-13). iii. In case, if a CBO fails to sign the agreement within two week time, then the DO F&P shall issue an intimation letter to the CBO. If the CBO does not respond to the letter, then the DO F&P can write to

CDLD Policy Notification

the DDC to cancel the project and consider another application in the order of merit. Step-13: Work Order and Release of 1st Installment i. Upon receipt of funds the DC shall release the first installment. The payment shall be directly credited into the jointly operated account of the CBO. ii. After the release of 1st installment, the DO F&P shall issue the work order to CBO within 10 days (for all pending agreements signed with CBOs) for commencement of work at the project site. (Annexure-14). Step-14: Release of 2nd and 3rd Installments Release of 2nd and 3rd installments into the CBO account shall be contingent upon submission of statement of expenditure and physical progress according to the agreed milestones. The SMP Engineer will measure the physical progress made on ground, record on Measurement Book (MB), and submit along with photograph to the CDLD Programme Engineer for endorsement. CDLD Programme Engineer posted in the office of DO F&P will verify these measurements in the MB and submit to the DO F&P office for further process and subsequent approval from DC (see Annexure-17). The physical progress of infrastructure works shall be verified, both for quantity and quality of work, by a SMP Engineer. The instalments to the CBO shall be released in the following pattern: i. The 1st installment shall be 40% of the total cost. While 2nd and 3rd installments shall be 50% and 10% respectively. The 3rd installment shall be paid on completion of the project and achievement of all the milestones.

CDLD Policy Notification

ii.

The CBO shall submit progress reports as per annexure attached with grant agreement with the support of SMP Engineers and Social Mobilisation Team according to the following schedule: Report 1st report

When At the time of 2nd installment along with fund requisition

Submitted to whom DO F&P / Focal Person

2nd report

At the time of completion of the project and final installment along with fund requisition

DO F&P / Focal Person

Release of 2nd and 3rd instalments shall be contingent upon the following conditions required to be fulfilled: i. Upon submission of requisition for the release of 2nd / 3rd installment, the CBO shall submit the progress report, narrative report and resolution for the release of second instalment supported by SMP in the prescribed format to DO F&P. ii. After the review of reports, SMP Engineer shall visit the site and prepare MB on authorised format of the concerned line department and subsequently verified by the CDLD Programme Engineer based in DO F&P office. iii. In response to the submission and verification of MB, the Account Assistant shall prepare a note sheet and forward to DO F&P for onward submission to DC for the release of the 2nd / 3rd installments along with draft sanction and simple receipt. iv. After approval of 2nd / 3rd releases, Finance Department shall submit the original copy of sanction and simple receipt to District Account Office for the

CDLD Policy Notification

issuance of cheque which is to be credited to CBO account. 30% of projects shall be randomly monitored by Line Departments to ensure the quality and quantity of workand report as per format attached at (Annexure-7) and as per the instructions mentioned in the CBO Inspection, Supervision and Monitoring Manual.

17. Monitoring and Evaluation Mechanism

Government shall put in place elaborated monitoring and evaluation arrangements, which shall consist of both internal and external monitoring of CDLD project activities.

17.1) Internal Monitoring The objective of the internal monitoring is to ensure that the individual projects under CDLD are implemented as per the agreed work plan and without any administrative, social or political bottlenecks. This monitoring shall be three-tiered and will involve the VC / NC, SMP, district administration and office of the Commissioner. 17.1.1) VC / NC: i. The VC / NC will monitor CBO project implementation, financial management and O&M. ii. Observations by the VC / NC will be reported by Secretary VC / NC to ADLG and onward to DC. 17.1.2) Monitoring and Implementation by SMP Staff The SMP staff shall be responsible for the monitoring and supervision of the CDLD entire

CDLD Policy Notification

project cycle imbedded throughout all stages. SMP staff shall: i. Draw the layouts physically on site of the project as per the approved design. ii. Ensure the purchase and utilisation of material as per the specification in DPP. iii. Ensure the quality of physical work as per the approved design and within the approved budget. iv. Ensure timely completion of the project within the stipulated time period. v. Report the technical and financial aspects of projects during the implementation with a regular frequency. vi. Facilitate CDLD Programme Engineer during the verification of MBs and monitoring visits. vii. Facilitate line department engineers during monitoring visits. viii. Support district administration and any other concerned intended to visits CBOs and project site. ix. Facilitate CBO during the preparation of project related documentation such as stock register, quotations, invoices, financial and technical reporting, etc. x. Properly recording visit reports in CBO register. xi. Proper submission of each visit report by SMP Engineers to CDLD Programme Engineer for monitoring, supervision and audit purpose. xii. Facilitate CBOs during conflict

CDLD Policy Notification

management process. xiii. Monitor and support CBOs maintaining social record keeping. Additionally, with regards to installation of the signboards, the SMP shall ensure that; i. Standard specimen (see Annexure-15) is followed during the design of signboard. ii. Contents of the signboard are correct and insignia of the government and donor is properly highlighted. iii. At the project site signboard is installed at appropriate place. iv. For information of general public, in each tehsil at the entry point consolidated list of CDLD projects shall be installed on large size signboard. The CDLD Program Engineer, SMP Field Engineer, Officer of Line Department and District Administration intending to pay monitoring visits shall follow the templates given in the CDLD Inspection, Supervision, Monitoring and Reporting Manual. 17.1.3) Monitoring by District Administration and District Line Department i. The DC shall cause a schedule to be prepared for random checking of the progress of CDLD projects, ensuring that at least 30% of the ongoing CDLD projects in the district are visited by the district officers during every calendar quarter. The visiting officer may include Head of relevant District Line Department, Assistant Commissioners, and

CDLD Policy Notification

Additional Assistant Commissioners. The concerned district line department heads may authorise officers from the field formation or district headquarter office to conduct such monitoring and report back as per format in Monitoring, Supervision and Inspection Manual. ii. Monitoring reports on prescribed format will be submitted to the DO F&P in the DC Office, who shall prepare a summary for review by the DC, who in turn shall cause quarterly monitoring reports to be presented to the quarterly divisional monitoring meetings chaired by the Commissioner of the respective divisions. Copies of the monitoring reports shall also be sent to PIU in the LGE&RDD. iii. Regular coordination meetings will be ensured at district level by the DC through DO F&P to review progress and make sure targets are achieved in a timely manner and quality of the projects is satisfactory. iv. DO F&P being CDLD focal person at district level shall compile monthly report received from SMP (on 5th of each month), on prescribed format (Annexure-16). After review, the report shall be forwarded to Coordinator CDLD, Commissioner Office of respective division and Chief Foreign Aid at P&DD on monthly basis before 10th of each month. 17.1.4) Monitoring by Commissioner's Office i. The Divisional Monitoring Officer (DMO) in

CDLD Policy Notification

the Commissioner Office will review quarterly progress reports received from the DO F&P on an agreed template. ii. In addition, the DMO will prepare a random inspection schedule for its monitoring team, covering between 3% and 5% of the ongoing CDLD projects every quarter in each district. iii. The Commissioner shall call and chair the divisional monitoring meeting on quarterly basis to ascertain progress of the CDLD Policy implementation on behalf of the LGE&RDD and give strategic direction as appropriate. 17.2) External Monitoring An accredited audit firm shall be hired for third party audit which shall comprise of both physical asset verification as well as continuous audit of the CDLD projects. The third party audit firm shall submit quarterly reports with recommendations to the concerned DC as well as PCRC through PIU. The recommendations shall cover both the CDLD projects' specific observations as well as on systemic issues to improve the CDLD Policy and its implementation. PIU LGE&RDD and the DDCs shall take appropriate action in the light of the third party audit firm findings and recommendations. 18. Engineering Support to CBO Projects Projects involving engineering works shall be designed by SMP. The SMP shall also perform the role of implementation supervision from social and technical perspective.

CDLD Policy Notification

18.1) Design After the acceptance of the first application, the DO F&P shall send the VC / NC wise complete approved list of applicants to the SMP who shall, along with social mobilisation, start initial assessment, visit the project site, carry out necessary inspection / investigation and prepare detailed design, drawings and estimates of the project. The SMP shall also help identify key milestones. Upon receipt of DPPs, the CDLD Programme Engineer after review of DPPs shall attach a certification on quality assurance of the design and drawings to be submitted with the project proposal. 18.2) Technical Supervision and Inspection The technical supervision and inspection of the CBO's project shall be undertaken by the engineering team of SMP who shall conduct minimum 7 visits per project to supervise 100% of the projects assigned. SMP may deploy an engineer at tehsil level. The SMP shall be solely responsible for ensuring the quality of work, proper implementation of projects in compliance with the design and specification of the projects as per CDLD guidelines. i. The functioning of the SMPâ&#x20AC;&#x2122;s Engineers shall be coordinated by the CDLD Programme Engineer based at DO F&P office. The visits shall be in accordance with the plan to be prepared for each project on case to case basis in order to ensure that all projects in a district are visited by CDLD Programme Engineer based in DO F&P office before the release of the final installments (see

CDLD Policy Notification

ii.

Annexure-7) under â&#x20AC;&#x153;Inspection, Supervision Monitoring and Reporting Manual for CBO projects under CDLDâ&#x20AC;?. The SMP Engineers' technical supervision and technical assistance shall be in accordance with government system. Following is an indicative visit plan to be followed broadly while preparing a project specific visit plan. Technical Supervision and Inspection of SMP Field Engineers Visit No. Purpose One Visit to the proposed site to cross check the information provided in the DPP and the ground situation, also including layout, environmental review of the site, community conflict etc. (see Annexure-5) of Inspection, Supervision Monitoring and Reporting Manual. Two Visit to check the standards and quality of materials procured (or samples of the materials delivered at site) for the project to ensure the pre-execution quality control measures and technical inputs. Also instruct CBOs on initiation of physical work. (see Annexure-6) of Inspection, Supervision Monitoring and Reporting manual. Three Monitoring and supervision of the physical work on project site after 15% to 20% of the work done (2 to 3 weeks after the initiation of the work) to check and verify both the quality and quantity at project site and necessary required technical inputs for work ahead and also to monitor/measure the work progress as per agreed work schedule. (see Annexure-6) of Inspection,

CDLD Policy Notification

Four

Five

Six

Seven

Supervision Monitoring and Reporting Manual. Measurement of work done at project site for validation of quality and quantity for next (2nd / 3rd) instalment as per (Annexure-17) Monitoring and supervision of the physical work on project site after 45% to 50% of the work done to check and verify both the quality and quantity at project site and also to monitor work progress to ensure timely completion. (see Annexure-6) of Inspection, Supervision Monitoring and Reporting Manual. Monitoring and supervision of the physical work on project site after 75% to 80% of the work done to check and verify both the quality and quantity at project site and also to monitor / measure work progress to ensure timely completion. (see Annexure6) of Inspection, Supervision Monitoring and Reporting Manual. Final measurement of work done at project site for validation of quality and quantity for next (3rd) instalment and for final completion certificate. (see Annexure-8) in Inspection, Supervision Monitoring and Reporting Manual for CBO projects under CDLD.

19. Help Line A dedicated helpline (landline) will be established at the concerned Divisional Commissioner Office in the CDLD complaint cell. In case of complaints lodged through helpline number, the assigned complaint handling officer will fill the complaint form by asking the complainant all the questions

CDLD Policy Notification

given in the complaint form and will then enter it to the online / offline system linked with CDLD MIS. The helpline shall respond to CBO queries on: i. The availability of project proposal application forms (the responder shall ensure that CBOs are informed about the free of charge availability of the forms). ii. Eligible sectors and themes under the CDLD Policy and Call for Proposal. iii. Project proposal application submission process, submission deadlines and how to fill the application form. iv. Application evaluation process, contracting procedure and grievance redressal mechanism. 20. Conflict Resolution Mechanism In case there arises any social conflict or dispute relating to the community project, the complainant may approach the following forums: 20.1) Tehsil Level Committee A committee headed by Assistant Commissioner or Additional Assistant Commissioner and comprising of the Secretary of the concerned VC / NC, a member of civil society not party to the dispute, and one member from the tehsil municipal administration shall resolve the dispute either by consensus or by giving a majority decision. The members shall be nominated by the chair of the committee. 20.2) District Level Committee In each district, DC shall be authorised to constitute a committee regarding resolution of any conflict. This committee shall be comprised of DC, Concerned Assistant Commissioner, DO F&P and Head of concerned Line Department. In case a conflict or dispute could not be resolved by the tehsil level

CDLD Policy Notification

committee or in case either of the disputing party is not satisfied with the decision made by the tehsil level committee, the chair shall forward the case to the DC with the recommendation of the tehsil committee for a final decision. In case either of the disputing party is not satisfied with the decision of the committee, it can also take up the case to the district level committee chaired by the DC. In such cases, the DC shall give a final decision after soliciting the recommendations of the tehsil level committee through the chair. 20.3) Complaints Redressal Mechanism The complaint redressal mechanism shall work through a notified complaint cell which shall be established at two tiers keeping in view the ease of access for citizens. The first tier of the complaint redressal mechanism will be established at district level in the office of the DC. In the second tier, citizens will also have access to the same facility at the concerned Commissioner Office of CDLD districts. At the district and divisional level, the complaints are to be registered or submitted to a focal point designated by the competent authority i.e. DCs of respective districts and Commissioners of the respective divisions. The assigned focal persons will be responsible for recording and processing of complaints as per notified procedure. The complaint cells working in the offices of Commissioner / DC will coordinate with the relevant authorities to address the grievances. 20.4) Methods / Mediums for Registering Complaints A complainant can submit complaint through the following platforms: 1. Website, 2. Hotline, 3. In-person (written or verbal), 4.

CDLD Policy Notification

Android application. As per government directions, no anonymous complaint shall be processed or entertained. 21. Funds Disbursement and Financial Procedure for CDLD

a) From Finance Department to District Accounts

Within ten working days of the receipt of list of approved CDLD projects, Finance Department shall release funds to the concerned districts on the basis of projects approved by DDC.

b) From District Accounts Office to CBO i. Concerned DC shall negotiate with the selected

CBOs, terms of the contract, including schedule of the milestones to be achieved, and overall schedule of payment as prescribed. The DC shall finalise the contract agreement on prescribed format as mentioned under (Annexure-13) with the successful CBOs. The CBOs shall then submit a fund requisition form with resolution for the release of first and subsequent installments as per annexures attached with CBO agreement. ii. After approval from the Finance Department and upon submission of fund requisition from the CBO, the DC Office shall submit a simple receipt and sanction to the District Accounts Office (DAO) supported by; copy of letter conveying approval of Finance Department with list of approved CBOs their projects and list of bank details of CBOs and bank branch, account numbers within one week. iii. The DAO shall, after processing the bill, send advice to the National Bank to transfer funds in the account of the CBO or issue cheque in CBO's name for the first instalment as agreed in the contract within one week. The intimation regarding the

CDLD Policy Notification

transfer of fund shall be sent to the DC office by DAO. iv. The same process shall be adopted for the release of second and third installments of each scheme. DO F&P shall scrutinise the CBOs fund release requests at DC office before submission of simple receipt and sanctions by DC to DAO for fund transfer. The supporting documents for the second and third installment shall comprise of measurement book, resolution from CBO and report on attached annexure with agreement provided by concerned SMP engineer verifying the completion of milestones agreed in the contract along with certificate of quality assurance and photographic proof of the projects to be retained with DO F&P while CBO will ensure to maintain accounting records (cash book, stock registers and vouchers, attached as (Annexure-18).

c) CDLD Funds

CDLD Funds released to the districts shall be nonlapsable with the provision that the DO F&P will send a summary of total funds to be utilised till end of financial year and funds to be carried forward to next financial year.

d) CBO Bank Account and Record Keeping All payments to the CBOs shall be made into their designated jointly operated bank account, by the President and the Secretary of the CBO. The payment shall be made through bank transfer or crossed cheque. In the latter case, the cheque will be delivered to the CBO in the presence of two witnesses from the same CBO and its receipt will be acknowledged in writing. i. The concerned CBOs shall keep record of all

CDLD Policy Notification

expenditures incurred / payments made as prescribed in (Annexures-12, 13, 17) for audit, including by the independent third party auditors. Such records shall be maintained for a minimum of seven years or three years after the audit takes place whichever is later. CBO is required to keep separate books of accounts for each project. Name of project and code as assigned by DDC shall be mentioned in CBO books of accounts. 22. Livelihood Projects There shall be separate advertisement for CDLD livelihoods component, inviting application from the CBOs primary and secondary networks such as VOs, LSOs and BIGs networks created under EU funded Programme for Economic Advancement and Community Empowerment (PEACE) initiative in Malakand Division. Annually, an amount of 6% shall be allocated from each district share for livelihoods component. The livelihoods component shall consists of three sub components i.e. livelihoods physical infrastructure, skills and value addition and Community Investment Fund (micro grant). The first component i.e. Physical Infrastructure Projects needs can be addressed through normal call for proposals, whereas the livelihoods special call for proposal shall be for the remaining two sub-components i.e. skills development & value addition and Community Investment Fund (CIF). The total cost for livelihoods projects shall not exceed PKR 3 Million. Livelihoods projects can only be initiated with VOs, LSOsor BIGs Networks. (Guidelines for livelihood projects are attached at (Annexure-19.1, 19.2 and 19.3). 23. Utilisation of Unspent Funds i. As per sub-clause (f) of clause-5 of the contract agreement signed between district administration and

CDLD Policy Notification

CBOs, upon completion of the project, the unspent funds in CBO account shall be transferred to the account of district administration. These funds may be utilised for the next deserving projects in the merit list from that very round. ii. Based on CBO request to enhance the scope of the project to utilise the unspent amount, special TEC meeting is authorised to accept or reject such requests for unspent funds. 24. Revision of CDLD Projects i. Any request for changes in the scope of the scheme shall be forwarded to TEC in form of a resolution by the concerned CBO. ii. Any change in the scope and the objective, appropriation shall be made prior to the implementation of the project. iii. Any change in scope of the project under unavoidable circumstances e.g. site is damaged by unprecedented disaster or social conflicts raised in project area of intervention shall be referred to TEC for review. After review, technical evaluation and re-appropriation within the same project cost, the TEC shall forward the case to DDC for approval if found feasible. iv. TEC is competent to categorise the projects considering the remoteness and vulnerability of the area and taking in to account the re-appropriation of cost of transportation and scheme related items. However, the re-appropriations shall be made within the project cost. v. In specific situation, regulation of sales / income tax on the items shall be reviewed and revised cost shall be technically sanctioned by the TEC while purchasing material / items from out district.

CDLD Policy Notification

vi.

The TEC is competent to approve itemised costs of project as per MRS and authorised to act as Price Evaluation Committee. Any change in the cost of the project concerning carriage / transport rates in remote areas shall be technically sanctioned by the TEC and eventually it shall be forwarded to DDC for the final approval provided that the approved cost of the project is not changed. vii. DDC and TEC shall not be authorised to change the objective or scope of the project during the implementation phase. viii. TEC shall not be authorised to make any upward revision in cost of the project. But certain appropriations can be made within the approved cost of the project provided that objectives and scope of the project is not changed. ix. DDC and TEC shall ensure that the revisions made are consistent with the public benefit of the project. x. In specific scenario, a project is selected and approved under CDLD but before implementation, the same project is funded through some other donor or government line agency. Under such circumstances, in the same area of intervention, if further community need is raised for acquiring some other project then CBO shall pass a resolution mentioning the needs of the community with providing proper justification for the new project. In response, the SMP shall validate the project and eventually presented to TEC for ranking and technical sanction. xi. In exceptional cases during the development of VCDP, under unavoidable circumstances, if a project is required to be undertaken and the project falls outside the maximum limits in terms of cost and / or duration, SMP shall refer such cases to TEC. In response, TEC

CDLD Policy Notification

shall check the acuteness of need supported by SMP and also ensure that the project shall benefit maximum of the target population. The TEC shall forward their recommendations to DDC for further decision. Eventually, DDC shall issue instructions to SMP regarding formation of a joint consortium of CBOs in the vicinity of the respective VC / NC. In response, the SMP shall provide support in the formation of the consortium of the CBOs through election or selection process. The cost shall be proportionality allocated to such projects from the share of the participating VCs / NCs. The number of such projects shall also be kept at the minimum. xii. Any escalation in the project cost before the implementation shall be referred to DDC, after technical sanction from TEC if it is falling within the upper celling of PKR 2.5 million. But prior to technical sanction, TEC shall ensure that: a. Justifications provided by the concerned CBO in the form of resolution are valid. b. The newly designed project shall provide maximum benefit to the community. xiii. Such projects in which there is variation resulting in price escalation beyond CDLD cost ceiling shall be referred to PCRC through DDC for consideration. 25. Guidelines for Non-Performing and Inactive CBOs Under certain unavoidable circumstances wherein the CBOs selected to undertake CDLD projects are found nonperforming or in-active during or before the implementation of CDLD project activities, following guidelines will be followed: i.

In case, 1st instalment is disbursed into CBO account, the work order is issued and the CBO is unable to

CDLD Policy Notification

undertake the physical work as per the contract agreement. (Ref. Grant Agreement clause 9.1, 9.2-a, 10.1, 10.2, CDLD Policy Framework section 2.1.2-V), the SMP shall re-visit such CBOs to further mobilise and to start the physical work in compliance with the agreed work plan mentioned in the DPP. Even after the intervention of SMP, if the CBO is found non-responsive, a special TEC meeting will be convened to obtain the consent and recommendation of the concerned line department. Upon failure of taking any decision, the case shall be forwarded to district administration for taking appropriate action. ii. Any social conflict found during the implementation which may create hindrance in smooth implementation of project shall be referred to Tehsil Conflict Management Committee. iii. In specific situation, based on the sector, 1st application is selected for further processing and in the meanwhile the community intend to change the sector. In such scenario, the SMP shall immediately report the changing scenario to DO F&P. Eventually the project shall be dropped and next application in the ranking within the same VC / NC shall be considered for screening and further process. 26. Review, Revision and Updates Based on lessons learned during programme implementation, details provided in this notification may be revised and updated. Major changes will be approved by PCRC while minor change to a process or changes in the templates, scoring etc. for smooth programme implementation will be advised by the PIU.

CDLD Policy Notification

Annex-1 TEMPLATE FOR THE PREPARATION OF VC / NC DEVELOPMENT PLAN (VCDP) AT VC / NC A. Template (English) A. Basic Information Name of VC / NC Tehsil Total HH at VC / NC Total # of hamlets Name of Hamlets

Ward / UC District Total population (as per latest published census report) Date of VC / NC Development Plan Estimated CDLD allocation for VC/NC

B. Detail of Council Members B1. Detail of members VC / NC Number of Number of Youth General Councilor Councilor Number of Number of Peasant Women Councilor Councilor Number of Minority Councilor B2. Detail of Member Tehsil Council and District Council Name of Tehsil Name of District Council Council Member Member B3. Name of B4. Name of MNA MPA C. Grass Root Level Organisation at VC / NC 1 2 # of PTCs # of CBOs (Men) 1

Parent Teacher Council at School

CDLD Policy Notification

# of CBOs # of Water User (Women) Committees (WUC) # of Primary # of Village Organisation Care (VO) Management Committee (PCMC) Members # of any other # of registered Village Organised Organisations Forum D. Detail of Social Services Institutes at VC / NC level 3 4 # of GPS (for # of GGPS (for Girls) Boys) # of GPS (Mix) # of GMS (Boys) 5

# of GMS (Female) # of GHS (Girls) Name of health facilities in public sector (civil dispensary, BHU etc.) Facilities related to basic infrastructure (DWSS, road and other etc.)

# of GHS (Boys) # of private Schools in area Detail of private health facilities (private clinic, maternity center, etc.)

Any other information

Community Based organisation Government Primary School. 4 Government Girls Primary School. 5 Government Middle School. 6 Government High School. 3

Potential Funding8 Source

Concerned Line Department

Justification7

Household (HH) Beneficiaries

Estimated Cost (rough cost)

Sector

Proposed Intervention / Project

Problem (specific please)

Sub Village / Mohalla

Village

S.#

Population Benefited Income Generating Project (Yes / No)

Proposed Duration of Project (In Month)

Total

Women

Men

Cost per HH

Household (HH) Beneficiaries

Estimated Cost (rough cost) In million

Sector

Proposed Intervention / Project

Problem (specific please)

Name of Sub Village / Hamlet

S.# Name of Village

CDLD Policy Notification

E. Detail of Problem at VC / NC level

F. List of Prioritised Schemes at VC / NC

Why this scheme is a priority. Special reason may be given if a scheme is identified for funding though the CDLD fund. 8 It may be CDLD fund, VC / NC ADP fund, Tehsil and District ADP or any other source.

CDLD Policy Notification

Name of VC / NC Nazim: _________ Signature: ________ Date: _____ Name of VC / NC Naib Nazim: ________ Signature: _____ Date: _____ Name of Secretary VC / NC: _________ Signature: _____ Date: ______

Signature

Contact Number

Designation / Profession

Gender

Name of Village / Hamlet

Name of Participant

S. #

Name of Organisation , 10 Local Governmnet level or any other

G. List of Participants for VCDP Development

Organisation means Parent Teacher Council (PTC), Water User Committee (WUC), Community Based Organisation (CBO), Village Organisation (VO) or any other organised forum. 10 Member from VC / NC, Tehsil Council, District Council.

‫‪CDLD Policy Notification‬‬

‫یارخی‪:‬۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔‬

‫علض‪:‬۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔‬

‫لیصحت‪:‬۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔‬

‫یل‬ ‫و ی بج یای ی ب‬ ‫نروہڈوکلسناکیام‪:‬۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔‬

‫ترایقیتوصنمہب‬

‫یل‬ ‫نوہڈوکلسناک‬ ‫و ی بج‪ /‬ی ب ر‬

‫‪B. Template for Urdu‬‬

‫‪B. Tamplate for Urdu‬‬

‫‪57‬‬

‫‪CDLD Policy Notification‬‬

‫ت۔�امییپاےاکیام‬

‫لیصحتوکرلسناکیام‬

‫پ۔لیصحتاورڈرٹسٹکوکرلسنربممانیکلیصفت‪:‬۔‬

‫ایتیلقوکرلسنیکدعتاد‬

‫وخانینوکلسنیکدعتاد‬

‫رنجلوکرلسنیکدعتاد‬

‫یسڈیالیڈییکرطفےسصتخمرمق‬ ‫یل‬ ‫ب۔و ی بجییا ی ب‬ ‫نروہڈوکلسنربممانیکلیصفت‪:‬۔‬

‫ہلحماجتیکدعتاد‬ ‫یل‬ ‫و ی بج یای ی ب‬ ‫نروہڈوکلسنںیموموجداگؤںےکیام‬ ‫یل‬ ‫و ی بج یای ی ب‬ ‫نروہڈوکلسنںیموموجدہلحماجتےکیام‬

‫لیصحت‬ ‫یل‬ ‫و ی بج یای ی ب‬ ‫نروکلسنںیملکرھگاےن‬

‫افل۔اینندیولعمامت‪:‬۔‬ ‫یل‬ ‫و ی بج یای ی ب‬ ‫نروہڈوکلسناکیام‬

‫ٹ۔�امیانیاےاکیام‬

‫ڈڑسٹکوکرلسناکیام‬

‫اسکنوکرلسنیکدعتاد‬

‫ویھتوکرلسنیکدعتاد‬

‫۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔رووپںںیم‬

‫لکآیبادی‬ ‫یل‬ ‫و ی بجوکلسنڈو�الپنانبےنیکیارخی‬

‫علض‬

‫وینینوکلسن‬

‫‪58‬‬

‫‪CDLD Policy Notification‬‬

‫رمداہنرپارمئیوکسولںیکدعتاد‬

‫زیاہنویاوزیکدعتاد‬ ‫دنمرہجیباالتنطییم ااتےکالعوہدرگیتنطییمااتیکلیصفت‬

‫زیاہنرپارمئیوکسولںیکدعتاد‬

‫ررٹسجڈویاوزیکدعتاد‬

‫خ۔درگیولعمامت‬

‫الثمَڑسک‪،‬یاینےکوصنمےب‪،‬املومویشںاک�وریغہ)‪:‬۔‬ ‫ح۔اینبدیڈاےچنیکوہسایلت( َ‬

‫الثمَیباچیویزاور‬ ‫تحصےسقلعتموموجدہوہسایلت َ‬ ‫ی‬ ‫ڈ یسپیینرریوریغہےکیام‬

‫زیاہناہیئوکسولںیکدعتاد‬

‫زیاہنڈملوکسولںیکدعتاد‬

‫ولخمطرپارمئیوکسولںیکدعتاد‬

‫چ۔اگؤںیکحطسرپامسیجخدامتیکوہسایلتفرامہرکےنواےلاداروںیک�ت‪:‬۔‬

‫زیاہنیسیباوزیکدعتاد‬

‫ٹ‬ ‫رپاویئئوہسایلت‬ ‫تحصےسقلعتم‬ ‫ٹ‬ ‫(�‪ ،‬یمریٹنرٹنسریغہیکلیصفت‬

‫رمداہناہیئوکسولںیکدعتاد‬ ‫ٹ‬ ‫رپاویئئوکسولںیکدعتاد‬

‫رمداہنڈملوکسولںیکدعتاد‬

‫رمداہنویاوزیکدعتاد‬

‫رپارمئی�رئیکیم یبٹویٹیمکںیکدعتاد‬

‫وارٹویزرویٹیمکںیکدعتاد‬ ‫رمداہنیسیباوزیکدعتاد‬

‫یپیٹیسیکویٹیمکںیکدعتاد‬

‫یل‬ ‫ج۔و ی بجوکلسنیکحطسرپامسیجخدامتےسقلعتمویٹیمکںیکلیصفت‪:‬۔‬

‫‪59‬‬

‫‪CDLD Policy Notification‬‬

‫اگؤںاکیام‬ ‫ہلحماکیام‬ ‫ہلئسمایکےہواحضںیھکل‬

‫�اکہنکمملح(وصنمہب)‬ ‫�‬ ‫�الگ(رووپںںیم)‬ ‫دیفتسموہےنواےلرھگاونںیکدعتاد‬ ‫یفرھگاہنالگ(رووپںںیم)‬ ‫رمد‬

‫وخانیت‬

‫دیفتسموہےنوایلآیبادی‬

‫ک‬ ‫ُ‬ ‫وصنمےباکہنکممدوراہین(ونیہمںںیم)‬ ‫ایکاسوصنمےبےسولوگںیکذراعئ‬ ‫آدمنرپاترڑپےاگ(اہں یایںیہن)‬

‫‪60‬‬

‫یل‬ ‫د۔و ی بجوکلسنیکحطسرپامتماینبدیاسملئیکرہفس‪:‬۔‬

‫ربمنامشر‬

‫‪CDLD Policy Notification‬‬

‫ہلحماکیام‬

‫ہلئسمایکےہ(واحضںیھکل)‬

‫�اکہنکمملح(وصنمہب)‬

‫�‬

‫ت‬ ‫�الگ(رووپںںیم)‬

‫دیفتسموہےنواےلرھگاونںیکدعتاد‬

‫ت‬ ‫تواضحرکںیہکہیوصنمہباساگؤںےکےیل‬ ‫تریحیجاینبدوںرپویکںوہیااچےیہ۔ڈ ڈااڈ ‬ ‫ڈاڈنفےسوجوصنمہبرکوایاوصقمدوہاسےک‬ ‫ت‬ ‫س ََواضحرکںی‬ ‫ےیلالزام‬

‫وکناسہمکحماساکمےکےیلاہمداروہاگ‬

‫ال ََڈ ڈااڈ ڈا‬ ‫ڈنفزےکےیلہنکممارام س‬ ‫یل‬ ‫نوہڈوکلسناکڈنف‪�،‬‬ ‫ڈنفز‪،‬و ی بجوکلسن یای ی ب ر‬ ‫وکلسناک ڈنف اوریعلضوکلسناکڈنف یایدرگیارام ‬

‫ت‬ ‫یل‬ ‫و ی بجوکلسن یای ی ب‬ ‫نروہڈوکلسنیامظاکیام‪:‬۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔دطختس‪:‬۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔یارخی‪:‬۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔‬

‫ت‬ ‫یل‬ ‫و ی بجوکلسن یای ی ب ر‬ ‫نوہڈوکلسنیامظاکیام‪:‬۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔دطختس‪:‬۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔یارخی‪:‬۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔۔‬

‫اگؤںاکیام‬

‫‪61‬‬

‫ت‬ ‫ت‬ ‫ت‬ ‫ت‬ ‫ت‬ ‫یل‬ ‫ر۔اگؤںیکحطسرپتریحیجاسملئاوروصنمےبیکرہفس‪(:‬ونٹ۔تریحیج�ےکاسےنمواضحدںیاورتراحیجتو ی بجوکلسنییا ی ب‬ ‫نروہڈوکلسنںیموموجداگؤںیکاینبدرپوہیناچےیہ)‬

‫ربمنامشر‬

‫‪CDLD Policy Notification‬‬

‫ربمنامشر‬

‫یام‬

‫ہلحم یایاگؤںاکیام‬

‫یل‬ ‫نوہڈوکلسناک‬ ‫�اکیام‪،‬و ی بجوکلسن یای ی ب ر‬ ‫یام یایدرگیاکوائ‬

‫یل‬ ‫ٹ‬ ‫ز۔و ی بجوکلسنییا ی ب‬ ‫نروہڈڈوییلیمپینٹالپنیکایتریںیمشالمرشاکءیکرہفس‪:‬۔‬

‫فنص‬

‫دہعہ یایہشیپ‬

‫وفن یایومیبالئربمن‬

‫دطختس‬

‫‪62‬‬

CDLD Policy Notification

Annex-2 CHAPTER IV PROCUREMENT OF CONSULTANCY SERVICES Application of Consultancy Services Rules -- These rules shall apply only to consulting services which are of an intellectual and advisory nature and differ from the other types of services directly connected with the procurement of goods and works in which the physical component of the activity is the main function and often involves equipment-intensive assignments. Systems for Selection of Consultants -- The selection system shall be determined by the procuring entity prior to the commencement of the process of selection of prospective consultants. Procuring entity may utilise one of the following systems for selection of consultants, namely: (a) Quality Based Selection (QBS) -- This system will be used for highly specialised and complex assignments, where quality is the only factor taken into consideration. (b) Quality and Cost Based Selection (QCBS) -- This system will be used where high quality is the prime consideration while cost is a secondary consideration. (c) Least Cost -- This system will only be used for assignments of standard or routine nature, where well established practices and standards exist. (d) Single Source or Direct Selection -- Subject to approval by head of the procuring entity, a procuring entity may engage in single-source procurement: (i) The goods, construction or services are available only from a particular contractor or supplier, or a particular contractor or supplier has exclusive rights in respect of

CDLD Policy Notification

the goods, construction or services, and no reasonable alternative or substitutes exists; or (ii) The procuring entity having procured goods, equipment, technology or services from a contractor or supplier, determines that additional supplies must be procured from that supplier or contractor for reasons of standardisation or because of the need for compatibility with existing goods, equipment, technology or services, taking into account the effectiveness of original procurement in meeting the needs of the procuring entity, the limited size of the proposed procurement in relation to the original procurement, the reasonableness of the price and the unsuitability of alternative to the goods or services in question; or (iii) In cases of emergency; (iv) For very small assignments valuing upto Rs. 500,000/-; and (v) Where only one consultant is qualified or has experience of exceptional worth; and (e) Fixed Budget -- This system shall be used only when the assignment is simple, can be precisely defined and when the budget is fixed. The request for proposals shall indicate the available budget. Proposals that exceed the indicated budget shall be rejected. The ranking shall be based only on evaluation of technical proposals of the qualified bidders. Criteria for Eligibility of Consultants -- The procuring entity shall not hire a consultant for an assignment in which there is possibility of conflict of interest. If a consultant has been engaged by the procuring entity to provide goods or works for a project, it shall be disqualified from providing consulting services for the same project. Similarly, consultant should not be hired for any assignment which by its nature, may be in

CDLD Policy Notification

conflict with another assignment of the consultant. Expression of Interest (EOI) (1) A request for expression of interest shall be advertised, giving to the applicants at least two weeks for national competition and four weeks for international competition to submit their interest to provide consultancy services. The expression of interest shall contain at least the following information: (a) the name and address of procuring entity; (b) an appropriate description of the assignment providing scope of the intellectual and professional services required; (c) deadline and place of the submission of expression of interest; and (d) criteria for short-listing where required. Criteria for Short-listing of Consultants (1) Whenever short-listing is deemed necessary, the procuring entity shall pre-determine criteria for shortlisting. Except for single source, there will normally be a minimum of three consultants in the short-list, but there is no upper limit for number of candidates to be short-listed. However, if less than three candidates apply, their proposals may be considered on merit. (2) The procuring entity while short-listing consultants may take the following factors into consideration, namely: (a) Qualification; (b) General experience; or (c) Specific experience, (d) Particularly of the last five years; or (e) Any other factor that a procuring entity may deem relevant, not inconsistent with these rules.

CDLD Policy Notification

(3) All applicants shall be informed whether or not they have been short-listed. Request for Proposals (RFP) (1) The procurement entity shall make available to all the shortlisted consultants, together with the request for proposals, all information on the equal opportunity basis. (2) The procuring entity shall use a request for proposal for seeking proposals from the Consultants which shall include the following, namely: (a) Letter of Invitation (LOI) -- The letter of invitation shall mention the name and address of the procuring entity and shall state the intention of the procuring entity to enter into a contract for provision of consulting services; (b) Instruction to Consultants -- The instructions to consultants shall contain all necessary information that would help them prepare responsive proposals and shall bring as much transparency as possible to the selection system; (c) Terms of Reference (TOR) -- The terms of reference shall unambiguously define the objectives, goals and scope of the assignment besides conditions of contract. Terms of reference shall list the services and surveys necessary to carry out the assignment and expected outputs. It shall also include the evaluation criteria; (d) Evaluation Criteria -- Except as otherwise provided, the evaluation of proposals shall be carried out giving due consideration to quality and cost;

CDLD Policy Notification

(e) Type of Contract -- The procuring entity, depending on the circumstances, may use one of the following types of contract, namely: i. Lump sum contract will be used mainly for assignments in which the content, duration of the services and the required output are unambiguously defined; ii. Time based contract will be used when it is difficult to define the scope and the length of services; hourly or daily rates will be used for small projects, especially when the assignment is for less than a month; and iii. Any other, based on combination of the above and including out of pocket expenses, where required; (f) The consultant shall submit a bid security at the rate of 2 percent of the consulting cost which shall be forfeited in case he refuses to sign the contract agreement; and (g) Special provisions -- The procuring entity may specify any other requirement related to the assignment or contract etc. where required. (3) The procuring entity will invite the prospective consultants to submit their technical and financial proposals in separately sealed envelopes. The procuring entity shall give deadline for submission of proposals. Consultants shall be given adequate time for preparing their proposals which shall not be less than four weeks. Selection Process of Individual Consultants (1) Individual consultants may not be required to submit proposals, and shall be selected based on their qualifications for the assignment.

CDLD Policy Notification

(2) Individual consultants shall be selected by comparing the qualifications of at least three consultants among those who have expressed interest in the assignment or have been approached directly by the procuring agency. Individual consultants considered for the comparison of qualifications shall meet the minimum relevant qualifications, and the one selected to be employed by the procuring agency shall be the best qualified and shall be fully capable of carrying out the assignment. (3) An individual consultant may be selected on a singlesource basis (with due justification) in exceptional cases; such as the following: (a) For a task that is a continuation of previous work that the consultant has carried out and for which the consultant was selected competitively; (b) In an emergency situation resulting from a natural disaster; and (c) When the individual is the only consultant qualified for the assignment (d) For key assignments, interviews may be set up, and invited candidates should be paid travel and subsistence, as needed. Capability of the candidates should be evaluated. Professional Liability of Consultants (1) The consultant selected and awarded a contract shall be liable for consequence of errors or omissions on its part. The extent of liability of the consultant should be incorporated in the contract and in no case should it be less than remunerations excluding the out of pocket expenses, nor should the liability exceed twice the remunerations. (2) The procuring entity may demand insurance on part of

CDLD Policy Notification

(3)

the consultant to cover its liability as stated above, and necessary costs shall be borne by the consultant which shall be re-imbursed by the procuring entity as out of pocket expenses by the consultant. The consultant shall be held liable for all losses or damages and short comings in deliverance etc, suffered by the procuring entity as a result of mis-conduct or inadequate services in performing the consulting services.

CDLD Policy Notification

Annex-3 TERMS OF REFERENCE FOR HIRING OF SOCIAL MOBILISATION PARTNER IN SUPPORT OF COMMUNITY DRIVEN LOCAL DEVELOPMENT (CDLD) PROGRAMME EXTENSION FOR FOUR YEARS (FY 2017-18 to FY 2020-21) A. Background The Community Driven Local Development (CDLD) Policy framework, approved by the Provincial Cabinet of Government of Khyber Pakhtunkhwa (GoKP) in 2012, supports the broader reform agenda of the GoKP for achieving people-centered development, inclusive growth, and poverty reduction to rebuild the trust between the State and citizens, and indirectly, curb militancy in the region. This Policy is currently being implemented in six districts of Malakand Division (Chitral, Dir Upper, Dir Lower, Malakand, Shangla, and Swat) under joint funding of GoKP and European Union (EU) through budget support with active engagement of the Community Based Organisations (CBOs), formed through intensive social mobilisation processes in a phased manner. The CDLD Policy was approved prior to establishment of local bodiesâ&#x20AC;&#x2122; system where local bodiesâ&#x20AC;&#x2122; elections were held in 2015. Therefore, alignment of the CDLD Policy with the devolved governance system was to supplement the government agenda of strengthening the grass root local government reforms. In response to the tremendous physical and financial progress in the implementation of the CDLD Programme achieved over the last two and a half years (FY 2014 - 15, 2015 - 16 and 2016 - 17) in target districts of Malakand Division), the GoKP and the EU has agreed in principle to extend financial support to the CDLD Programme. This financial support will allow the programme to

CDLD Policy Notification

run until 2020 - 21, and also expand the programme to six more districts in a phased manner. Three new districts (Haripur, Nowshera and Buner) will be added in the Financial Year 2017 18, and another three districts (Batagram, Torghar, and Kohistan) in the second Financial Year 2018 - 19 of the extension phase. Under the revised CDLD implementation framework proposed for the extension phase, every Village Council / Neighbourhood Council (VC / NC) in the target district will be strengthened through active engagement of citizens supported by a comprehensive capacity building plan in participatory planning, project implementation and monitoring of small scale village infrastructure schemes. The outcome of joint VC / NC councilor and community member consultations will be the development of comprehensive VC / NC Development Plans (VCDPs). The social mobilisation component of the CDLD Programme is empowering local communities to determine their development priorities, and implement CDLD financed small-scale community-identified and managed infrastructure projects for improved service delivery and enhanced livelihood opportunities. Social mobilisation through the CDLD Programme is a response to the governmentâ&#x20AC;&#x2122;s increasing commitment to participatory, sustainable, equitable, and accountable local development to bridge the trust deficit between citizen and the state. Social mobilisation support to mobilise VC / NCs and communities in the target districts, during the extension phase is envisioned to be provided by independent Social Mobilisation Partners (SMP) to be hired by the Policy Implementation Unit (PIU) at Local Government, Elections, and Rural Development Department (LGE&RDD), KP. The GoKP will contract the SMP for extension phase FY 2017 - 18 to FY 2020 - 21. For this purpose, GoKP is requiring implementation partners, having requisite expertise and resources for technical support in social

CDLD Policy Notification

mobilisation, capacity building, and livelihood enhancement for the achievement of expected results under the CDLD Programme. The following paras provide further information on the subject assignments. B. Overall Objectives To mobilise communities in all VC / NCs in target districts to enter into partnership with the government for access to public funds for improved service delivery, livelihood enhancement to ensure economic growth and local governance through the promotion of community-driven development initiatives in support of CDLD Policy in close partnership with the local governments particularly the VCs / NCs. C. Specific Objectives To empower local communities through social mobilisation, capacity development, and livelihood enhancement for participatory planning to access government funds using the CDLD Policy framework for development of small scale Community Physical Infrastructure (CPI) for enhanced social cohesion, improved social services, and integration into local governance structures. D. Target Area There are a total of twelve target districts, which includes six existing CDLD districts (Chitral, Dir Lower, Dir Upper, Malakand, Shangla, and Swat) of Malakand Division, whereas six more districts are to be added in two phases. These include three districts (Buner, Haripur, and Nowshera) in the first extension year (2017 - 18) and three districts (Battagram, Torghar, and Kohistan) in the second extension year (2018 - 19). E. Expected Results The expected results from the SMP are as follows: ď&#x201A;ˇ Establish and strengthen an inclusive and representative system of community mobilisation with improved interaction

CDLD Policy Notification

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between elected representatives, civil society, and district and provincial authorities to foster social and economic development. Develop capacities of VC / NC representatives in leadership, management, strategic participatory planning, implementation and monitoring of development investments, and strategic dialogue with local authorities on issues of quality public service delivery. Support the preparation of VC / NC Development Plans to be utilised in VC / NC annual development planning and financing, and support Community Based Organisations (CBOs) in implementation of the approved projects to be financed by CDLD; and Mobilise, capacitate, and provide continuous support to CBOs including women groups in the detailed design, implementation, and supervision and monitoring of CDLD financed projects, including CPI covering basic needs and services, women specific interventions, and livelihood projects. Engage and support the already operational Local Support Organisations (LSOs) for enterprise development under CDLD. Work in partnership with District Government, Technical Assistance and Community Organisations to achieve the physical and financial targets in team spirit.

F. Roles and Responsibility of Social Mobilisation Partner (SMP) 1. General  Comprehensive understanding of the CDLD Policy intent, required results, annual targets, and processes, and inform GoKP as soon as possible regarding course corrections.

CDLD Policy Notification

 Deploy required staff as per demand of the tasks entrusted at district level.  Develop an annual action plan to execute activities as per approved Terms of Reference (ToR) and contract agreement in an efficient and effective manner and as per CDLD guidelines issued from time to time. This will be done in close consultation with District Officer Finance and Planning (DO F&P). Once finalised the actionplan will have to be approved by the DO F&P.  Preparation and sharing of progress against the action to different stakeholders as per approved timelines.  Ensure submission of periodic progress reports related to execution status of project. Reporting against the agreed action plan, on the standard report template, will be addressed to DO F&P on monthly, quarterly, and six monthly basis apart from being presented in the weekly, monthly, quarterly and annual meetings called for the purpose.  Prepare a quarterly community based training plan after consultation with, and approval by DO F&P.  Maintain comprehensive database on CDLD work (both in in hard and electronic form), and provide access to gender disaggregated data, information, reports, activities, and other material deemed essential for monitoring. This will also cover comprehensive data on VCDPs and Calls for Proposals (CFP) and projects approved, and progress against approved VCDP and CFP project implementation.  Provide support to community networks in preparing standard, required documents needed for the approval of livelihood projects and further build their linkages with markets for its sustainability.

CDLD Policy Notification

 Prepare and implement an effective gender strategy to achieve gender related CDLD targets.  Assist in preparation of materials and guidelines, including those responding to the needs of women.  Assist district government during the implementation of programme activities in an effective and efficient manner.  Support in monitoring, implementation and supervision of ongoing and newly approved CDLD schemes in target districts in assistance with the line departments and district engineers of the district government; and 2. Programmatic a) Community Envisioning  Provide orientation to representatives of VCs / NCs at tehsil level. This will cover introductory orientation to CDLD, revised mechanisms, process to develop VCDP, action plan / schedule for these consultations, and implementation of projects under CDLD, etc.  Broad based community consultations to brainstorm, identify and prioritise issues, and finalise VCDPs with resolution from community.  Engage and orient clusters of CBO members in each VC / NC for VCDP and project implementation. b) VCDP Formation  Provide facilitation to VC / NC and community representatives (such as Social Services Committee representatives from Parent Teacher Councils, CBOs, Primary Care Management Health Committees, Water User Committees, and other organised fora at community level, and activists, social workers, retired civil servants and religious leaders) during inclusive preparation of the VCDP,

CDLD Policy Notification

identification and prioritisation of their needs for CDLD and annual development plan (ADP) initiatives.  Facilitate VC / NC secretary during approval of VCDP from VC / NC elected council. c) CBO Formation and Capacity Building (financial  Constitute, reactivate, and train management, measurement book record keeping, and procurement) CBOs for the implementation of small physical infrastructure and livelihood initiatives.  Constitute, organise 2nd (VO) and 3rd (LSO) tier of organisations.  Train selected members of CBOs and its sub committees on project implementation related processes and procedures.  Build the capacity of elected representatives on participatory planning, preparation of VCDPs, management skills, operation and maintenance, linkages development, KP LGA 2013 and related guidelines, and monitoring skills. d) Technical support and Detailed Project Proposal (DPP) Development  Support CBO, during survey, designing and planning of proposed CPI projects.  Support CBOs in preparation, rectification and submission of DPP with all-encompassing prerequisites of the approved DPP template. e) Facilitation during Livelihood Project Implementation  Technical assistance to LSOs, CSOs and other community networks during development of

CDLD Policy Notification

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

comprehensive operational / business plan for livelihood projects along with proposals to ensure quality and sustainability. Reactivation of 2nd and 3rd tier networks for livelihood projects especially CIF management. Capacity building of LSOs, VOs and BIGs which are implementing livelihood projects during CIF management, procurement process, financial management reporting and recording keeping. Facilitation to LSOs, VOs and BIGs during the registration process as suggested in CDLD revised notification. Provision of assistance to district administration during the hiring process of LSOs, VOs and CSOs or BIGs for livelihood projects. Any other task assigned by district administration during project management cycle for livelihood projects.

f) Support in Implementation and Fund Disbursement  Support and supervise CBOs during project implementation (from engineering as well as social aspect), and monitoring and evaluation,  Extend day to day social mobilisation and technical support to CBOs for the effective and efficient project implementation.  Keep updated record related to each programme component to provide relevant information whenever required in an efficient manner.  Ensure equity in general, and gender equity in particular in all development activities for the benefit of the entire target population.  Ensure close coordination with all programme stakeholders for smooth programme implementation.

CDLD Policy Notification

g) Monitoring, Evaluation, Reporting and Management Information System  Capacitate staff to carry out regular monitoring of each infrastructure project for collecting and compiling field reports and ensuring quality and quantity.  Share important lessons learned, issues with proposed solutions, and success stories with all programme stakeholders.  Prepare and share weekly (activities based progress), monthly (activity, output and outcome) and six monthly (output, outcome and results) report to LGE&RDD on standard format.  Update MIS with all the required data entries at district level efficiently and effectively.  Undertake and incorporate changes in the documentations, reports, MIS and other deliverable as and when required; and  Undertake any other tasks assigned by district administration (DO F&P), or CDLD PIU LGE&RDD for effective implementation of the programme. h) Communication and Visibility  The GoKP has approved the implementation of a communication strategy to support the communication and visibility aspects of the CDLD Policy implementation including public awareness, community participation and stakeholder coordination.  The Social Mobilisation Partner will be required to support the Strategic Communication Team of the CDLD Programme, CDLD Policy Implementation Unit (PIU) LGE&RDD and District Governments in the target area on:

CDLD Policy Notification

Support to the implementation of communication related events and activities in the field including project inauguration ceremonies, etc. ii. Collect and share background material (photographs, statistics, and write-ups) on a regular basis about CDLD related activities in the districts. These will contribute to printed material including impact stories, monthly updates, biannual newsletter, thematic brochures, outreach posters, CDLDâ&#x20AC;&#x2122;s website (www.cdldta.pk), and social media accounts on Facebook, Twitter, Flickr, etc. iii. Assist the CDLD PIU LGE&RDD in communicating CDLD as a completely provincial governmentâ&#x20AC;&#x2122;s long-term initiative instead of a project initiated by SMP. iv. Facilitate the Strategic Communication Team in conducting field level communication activities, such as recording short videos, undertaking photo shoots and gathering community voices. v. Improve coordination with the implementing partners and key stakeholders for the smooth conduct of the various communication activities. Also, ensure proper distribution of communication material among the intended recipients for proper coverage and wider outreach. G. Selection Process To ensure maximum transparency, the selection processwill be carried out at provincial level. The SMP will be contracted at provincial level as per the details in these TORs, revised CDLD notification and any further guidelines provided by the PIU, LGE&RDD. PIU, LGE&RDD will supervise the evaluation process and will forward the final selected SMP to Secretary

CDLD Policy Notification

LGE&RDD for approval. In compliance with the existing KPPRA rules, the following competitive bidding process will be adopted for selection of the SMP: a) For calling EOIs from SMPs, the PIU will launch a single advertisement for all concerned districts in two local newspapers having wide circulation through Information and Public Relations Department, GoKP. b) In response to the advertisement, the interested organisations will submit their EOIs along with all the required documentation to the Coordinator, PIU, LGE&RDD. c) There will be a duly notified evaluation committee having representation from Local Government Department, respective District Government, European Union Delegation to Pakistan, and CDLD Technical Assistance team. d) As part of the EOI, the interested organisations are required to submit the following documents: i. Letter of intent. ii. Certificate of registration. iii. Copy of registration of income taxes department along with NTN number. iv. Evidence that organisation has more than 3 years of experience in social / community mobilisation process, implementation of community driven development projects, livelihood components, gender component preferably in respective districts (annual progress reports or special reports highlighting experience of organisation in social mobilisation, capacity building, livelihood and CPI, etc. v. Evidence that the organisation has experience in designing and implementation of a variety of CPI projects during the last five - ten years (annual reports

CDLD Policy Notification

vi. vii. viii.

ix.

xi.

of implemented projects showing details of CPIs with sectors). List of full time human resource engaged with the organisations. At least five (5) Annual Audit Reports approved from competent forums. Three independent or 3rd party evaluation reports (midterm report for ongoing and final report for completed projects) implemented or being implemented for similar activities (social mobilisation, CPI, livelihood, gender etc.). A certificate or affidavit that the organisation is not blacklisted by any donor or public-sector organisation and has not been involved in litigation during last 10 years with any public sector organisation or international donor. Financial (bank) statement for five years including current year reflecting the effect of engagement with other donors. The organisation should not be political, discriminatory, ethnic, sectarian, or exclusionary in nature. This could be expressed in letter of intent.

H. Selection Criteria The interested potential organisations will be evaluated in two steps. During the first step, a call for EOI with preliminary requirements and primary evaluation criteria will be floated in newspapers. In response to the EOI, the applications received will be evaluated against the following criteria: Step 1: Primary Evaluation a. Preliminary Requirement The applicant organisation must be registered under one of the existing registration laws of Pakistan. Preference

CDLD Policy Notification

will be given to organisations registered under the Voluntary Social Welfare Agency Ordinance 1961, the Societies Registration Act 1860 and Section 42 of the Companies Ordinance 1984 under Securities and Exchange Commission of Pakistan. This would be the basic qualifying criterion. Any organisation not registered with at least one of these entities will not be considered. b. Primary Evaluation Criteria S. # 1

1.1

1.2

1.3

Score Max. Max. Criteria Score Sub Total Minimum 3 years of experience in implementing community driven development projects in various sectors in Khyber Pakhtunkhwa. Experience # of 7 points / year in mobilising years 21 communities (3 years) Designing Project  1 point for and value projects < PKR implementin (PKR) 10 m g CPIs  2 points for projects between PKR. 10 - 50 m 10 40  3 points for projects between PKR. 50 – 100 m  4 points for projects > PKR.100m # of Implementati years on 3 points / year 9 supervision / monitoring (3 years) Minimum 3 years of experience of developing linkages and executing projects with various donors, district government, and elected and appointed officials; Criteria

MOV

Means of verification

CDLD Policy Notification

2.1

2.2

2.3

3 3.1

3.2

3.3

4 4.1 4.2

Linkages and # of working years experience 3 points / year 9 with various donors for 3 years Experience of # of working with years district 3 points / year 9 27 government for 3 years Linkages and # of working years experience with elected 3 points / year 9 and appointed officials for 3 years Financial, managerial and human resource capacity to implement huge and complex programme. Financial Audit 3 points / report 9 capacity reports Managerial Strengt and human h of 1 point / 3 staff 20 resource profes members sional staff 39 A wellProof established of office with all office 10 points for 10 office office equipment in the district Experience of working on the capacity building of elected representative under KP LGA 2013, rule of business, planning and development guidelines, budget rule, etc. Capacity Annual/semiannual building on reports 10 10 KP LGA 2013 20 Capacity Annual / semiannual 10 10 building on reports

CDLD Policy Notification

6 7

7.1

7.2 7.3 8 8.1

rules of business, P&D guidelines, budget rules Experience Annual / semiannual in reports implementin 12 12 12 g gender concepts Experience Strategy / donor of result reports 12 12 12 based approaches Experience in implementing projects on livelihoods. Income # of beneficiaries 1 point / generation / 100 Enterprise beneficiar development for ies 10 enhanced livelihood / skill enhancement 30 Community Value of 1 point / Investment contribution 100,000 10 Fund Community Value of projects 1 point / Productive 1million 10 Infrastructure Credibility with district government and communities Credibility with Awards, recognition 20 points district letter 20 20 government and communities Total 200

Step 2: Secondary Evaluation: Call for Proposals Organisations shortlisted on the basis of the primary criteria will be asked to submit in writing their proposal (technical and financial) which will be evaluated on weightage, 70% for technical and 30% for financial, covering the following:

CDLD Policy Notification

a. Technical Component Technical component of the proposal should be a comprehensive strategy on how effectively and efficiently the deliverables (given in Section-I) will be accomplished by the organisation by applying innovative social mobilisation and capacity building approaches. The SMP is to provide mobilisation, engineering design, and monitoring support to the district government in each district in 100% VCs / NCs from 1st July, 2017 until 30th June, 2021. b. Financial Component The interested organisations shall submit their budget per district for evaluation. Advertisement along with other details shall explicitly mention about this requirement. # 1 1.1 2 2.1 2.2 2.3 2.4 2.5 2.6

FY 2017-18 Programme cost Head

FY 2018-19

FY 2019-20

FY 2020-21

Total

Operational cost Staff Office rent Utilities Stationary POL Institution al Support @% Total

There could be other heads to support the technical proposal.

CDLD Policy Notification

c. Technical and Financial Evaluation Criteria S#

Description

1. Technical evaluation criteria 1.1 Sound and innovative mobilisation strategy with methodologies that produce quick results (innovation in methodologies, delivery in timelines) 1.2 Confirming CDLD procedures / past experience (relativeness) 1.3 Programme implementation plan (comprehensiveness) 1.4 Rigorous monitoring and supervision plan for new and existing CBO projects, for social as well as engineering perspective 1.5 Alignment of activities / outputs to the expected results of programme 1.6 Structure of programme team, its qualifications, experiences and responsibilities 1.7 Means required for implementation of programme (material, equipment, supplies etc.) 1.8 Development and implementation of quality assurance strategies 1.9 Sustainability and networking strategy (approach) Sub Total 2. Financial evaluation criteria (harmony with activities, cost effectiveness) Total

Maximum Score

I. Expected Deliverables The expected deliverables from the SMP are: 1. Output Based Deliverables  Number of VCs / NCs mobilised and capacitated.  Number of CBOs formed in VCs / NCs especially in newly selected districts (CBO records with CBO and partner organisation).  Number of CBOs reactivated (CBO records with CBO and partner organisation).

10 5 5 5 5 30 5 5 5 75 25 100

CDLD Policy Notification

 Number of VCDPs prepared at VC / NC (VCDP records with VCs / NCs and partner organisation).  Number of detailed project proposals developed against prioritised projects from VCDP and CFP cycle submitted to DO F&P. The number of DPPs dropped, sent back for revision by the TEC2 should not be more than 10%. This will be considered as serious deficiency in the deliverables and will be considered during evaluation process.  Number of CBO office bearers, VC / NC representatives and CBO project committee members trained (reports and participants list).  Number of 2nd and 3rd tier organisations formed nd (records of 2 and 3rd tier organisations).  Number of CBO based project executed (project completion reports).  Number of CBOs, VCDPs, DPPs, entered into MIS.  PCM and CFP cycle entered into MIS. 2. General Deliverables  Develop work plan, result framework and capacity building implementation plan before implementation phase.  Relevant programme M&E materials and reporting template designed, pre-tested, and produced timely, meeting requirements and quality standards.  Field Monitoring Reports prepared.  Success Stories / Case Studies documented.  Provide all required data / reports that included processes, physical and financial progress, on standard format with in due timelines to the DO F&P at district level for further consolidation and dissemination. These include the following:  Monthly, quarterly, and annual work plans. 87

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 Monthly quarterly, and annual financial reports.  Weekly, biweekly, monthly, quarterly, and annual progress reports.  Evidence based activity reports.  Results based output reports.  Any other outputs required by GoKP for CDLD Policy implementation level decision making. Effective training materials and activities organised, developed and implemented to build capacity in participatory development at community and various government levels. Programme monitoring and evaluation strategy and plan of action strategically developed and formulated, and the implementation effectively managed, facilitated and executed. Monitoring and evaluation of programme activities and preparation of reports timely and properly undertaken. Findings, experiences, lessons learned, best practices and new methods effectively shared with government officials, programme staff, and other partners. Support provided (list of projects / CBOs / nominated committee members with complete details and field staff) to external monitoring and evaluation teams to conduct various studies and spot checks. All MIS entries including the following carried out:  CFP Cycle entered.  PCM entered.  VCDPs entered.  CBOs information entered.  CBOs and elected representatives Trainings data entered.

CDLD Policy Notification

J. Evaluation Against Performance The SMP will be responsible for implementation of the general and programmatic responsibilities mentioned in Section F. The performance of SMP will be assessed against the deliverables mentioned in Section I.a and I.b and indicators given in table at (Annex-A) on an annual basis. Timeliness and quality of every deliverable will be evaluated during annual assessment. Renewal of contract will be based on these annual performance assessments which shall be carried out by the GoKP and EU Delegation to Pakistan. K. Contract Agreement Total duration for the contract in new districts will be 48 months (1st July, 2017 to 30th June, 2021), while for existing districts, it will be 41 months (1st Feb, 2018 to 30th June, 2021). Once the selection process is completed, provincial government shall sign contract with selected SMPs for the entire extension period subject to renewal on annual basis based on the recommendations of the SMP annual assessment.

CDLD Policy Notification

Annex-A of Terms of Reference PERFORMANCE MATRIX FOR SOCIAL MOBILISATION PARTNER #

Indicators Social mobilisation and CBO formation Number of orientation sessions conducted for VC / NC and tehsil representatives Number of broad based community consultations conducted Number of orientation sessions conducted for cluster of CBO members Number of CBOs formed in VC / NCs with no CBOs especially in newly selected district (CBO records with CBO and partner organisation) Number of VOs (2nd tier of community organisations) formed Number of LSOs (3rd tier of community organisations) formed

Data Source

20% Orientation reports Consultation reports Orientation reports CBO profile / Database VO profile / Database LSO profile O&M committee profile

Number of O&M committees formed Capacity building

Financial Weight

20%

Number of training materials developed in consultation with PIU Number of CBOs members trained in management and implementation of projects Number of CBO sub committees trained in project implementation related processes and procedures

Training materials Training reports Training reports

CDLD Policy Notification

Number of O&M committees trained Number of Planning committees trained in VCDP preparation

Training reports Training reports

Preparation of plans / DPPs Number of CBOs with O&M plans

Number of first applications validated for preparing DPPs Number of VCDP prepared and submitted within defined timeframe Number of DPPs prepared for infrastructure projects and submitted within defined timeframe Number of DPPs prepared for livelihoods projects and submitted within defined timeframe

20% CBO O&M plans Validation reports VCDPs

DPPs

Implementation and monitoring

20%

Number of CBO supported in implementation of physical infrastructure projects Number of Vos / LSOs supported in implementation of livelihood projects Number of CBOs supported in keeping up to date records of implementation Information management, documentation and reporting Number of CBO profiles entered in MIS

SMP monitoring reports SMP monitoring reports

Number of VCDPs entered in MIS

MIS records

Number of DPPs entered in MIS

MIS records

Number of projects with up to date physical and financial progress on MIS

MIS records

SMP reports 10% MIS records

CDLD Policy Notification

Number of monthly progress reports prepared and submitted Number of six monthly progress reports prepared and submitted Number of project implementation reports prepared and submitted Number of project completion reports prepared and submitted

Number of case studies prepared and shared Programme planning and management SMP team deployed at district level within defined timeframe Result framework revised and submitted within defined timeframe Annual action plan developed and submitted within defined timeframe Quarterly action plan developed and shared within defined timeframe Capacity building plan developed and implemented within defined timeframe M&E plan developed and implemented within defined timeframe Maintained comprehensive database / records of CDLD implementation Prepared and implemented an effective gender strategy within defined timeframe

Monthly reports Six monthly reports Project implementati on reports Project completion reports Case studies 10% SMP report Result framework Annual action plan Quarterly action plan Capacity building plan M&E plan Database / records Gender strategy 100%

CDLD Policy Notification

Annex-4 TERMS OF REFERENCE OF CBO SUB-COMMITTEES Each CBO under CDLD has been organised in three sub committees: 1. Project Management and Procurement Committee 2. Monitoring and Audit Committee 3. Operation and Maintenance Committee 1. Project Management and Procurement Committee (PMPC) Following are the tasks to be performed by PMPC:  Check the detailed design drawings and summary of materials for ascertaining its application on ground vis-à-vis the trained artisans and craftsmen, availability of formwork (shuttering) and materials with ease and convenience.  Procurement of good quality material from market according to the specification mentioned in DPP is the responsibility of this committee.  Keenly observe the instructions and guidelines delivered by implementing engineers and adopt the same standards during implementation of the scheme.  Cooperate with and facilitate the visiting line department and district monitoring officials for inspecting their schemes under execution in all respects.  Make all out efforts to follow the agreed milestones and timeframes for completing their work, without comprising the quality.  Give verifiable proof that all the members are coached, groomed and trained for undertaking the physical work by fully understanding the respective roles and responsibilities of all.  Ensure that all the necessary record is available on site and can also be produced to the visiting officials on demand. 93

CDLD Policy Notification

 Maintaining record of financial management, along with supporting documents like expense and receipt vouchers.  Maintaining detail of procured material on set procedure of producing 3 quotations and making comparative statement for lowest quoted rates, along with quantities and costs.  Maintaining roster and attendance register of skilled and unskilled labour.  Maintaining register for recording minutes of meetings, resolutions and any other business.  Maintaining visitors’ register for recording their visits in the shape of comments, suggestions and observations.  Maintaining stock register displaying material supply and consumption record.  Maintaining records of daily expenditure progress. 2. Monitoring and Audit Committee (MAC) Following are the tasks to be performed by MAC:  Inspecting the material and work quality and quantity, identifying issues and reporting to general body of CBO.  Checking progress of work, identifying issues and reporting to general body of CBO.  Preparing action plan for resolving issues and fixing responsibility for implementation.  Give verifiable proof that all the members are coached, groomed and trained for undertaking the monitoring and audit tasks by fully understanding the respective roles and responsibilities of all.  Oversee cash flow and other money management issues.  Flag potential problems. There are numerous such problems that might come up. Income might look like it is going to be lower than anticipated or O&M expenses may be higher. Income-producing activities such as fundraising, might be delayed or not proceeding according to plan. There may be unnecessary or unnecessarily high

CDLD Policy Notification

    

expenditures. MAC are expected to catch and deal with these kinds of issues. Formulating plan to correct problems found in audit of documents. Monitor the implementation of plans to correct problems identified by the audit. Playing role in pointing out post O&M requirements not identified by O&M committee Monitoring O&M activities and auditing budget vis-a-vis physical work. Check bills and vouchers with the materials procured by PMPC during implementation and maintain check and balance between released amount and expenditures.

3. Operation and Maintenance Committee (O&MC) Following are the tasks to be performed by O&MC:  To consult with line agencies for guidance on O&M requirements.  To discuss amongst the collective beneficiaries and get to agree on conducting O&M as per policy.  To maintain the system according to the provided O&M training.  To operate the system as per the engineering instructions and usage requirements.  To discuss with the CBO for a regular collection of O&M revenue for smooth operation and proper maintenance of infrastructures.  To evolve an open and transparent revenue system for collection and expenditure pertaining to O&M activities.

CDLD Policy Notification

Annex-5 SCREENING AND EVALUATION OF FIRST APPLICATION S.# District Applicant / CBO Name

MIS Ref# VC / NC

Tehsil

Round

Part 1: Screening Criteria: “NO” remarks in any of these will result in outright rejection of the application form 1 All the mandatory fields of the application are dully fill in? 2 The application is strictly in-line with the sectors indicated in the advertisement? 3 List of beneficiaries’ household (70% of beneficiary household representation, CNIC, contact number and signature) is attached? 4 Is the community willing to contribute 10% of the project cost? (in cash / in kind) 5 Is the community willing to take the responsibility of operation and maintenance of the project? 6 In case of new infrastructure scheme, relevant line department is willing to provide operational support and associated services? (Yes / No / N / A) * 7 First application is duly verified by the relevant VC / NC Secretary. (Yes / No) Application screen out for further evaluation (subject to response “No”) Application clear for further evaluation (subject to response “Yes”)

Yes / No

*Letter of support from relevant department is attached Part 2. Evaluation criteria: Please place number to each criterion 8 Per beneficiary household 8000 investment / cost (PKR) 8001 to 10000 10001 to 12000

Score 35% 25% 15%

CDLD Policy Notification

10 11 12

Project having both gender as beneficiaries (more weightage for women)

Projects proposed by registered CBOs (proof of registration provided) Projects submitted by Women Group (Yes / No) Duration of project

Project contributes to income generation (sector wise scores)

Total Score

12001 to 14000 14000+ 50% women beneficiaries 35% to 49% women beneficiaries 20% to 34% women beneficiaries Below 20% beneficiaries More weightage for CBOs Yes

5% 0% 15%

Up to 6 months Up to 9 months Up to 12 months Above 12 months Agriculture Livestock Fisheries Other

15% 10% 5% 0% 10% 10% 10% 0% 100

10%

0% 15% 10%

CDLD Policy Notification

Annex-6 COMMUNITY DRIVEN LOCAL DEVELOPMENT (CDLD) FIRST APPLICATION S.No:________ (for official use on MIS Reference No. :________ (for official use only) Instructions: 1. Information filled in the application will be verified. Application with incorrect and wrong information will be rejected. 2. All the fields are mandatory in the application form. If you leave any mandatory field blank, your application will be rejected. 3. Fields mark with * are mandatory only, if the nature of applicant is CO / CCB / CBO / LSO / VO 4. The name of Village or Neighbourhood Council must be filled correctly. 5. Please give your full name and active contact number. You can give more than one contact number. 6. Please enlist the actual number of beneficiariesâ&#x20AC;&#x2122; households benefitting from the proposed scheme. 7. Applications with less than 70% names and signatures will be rejected. If at any stage it was proved that the signatures or thumb impressions of beneficiaries were not original, the application will be rejected straight away. Use extra sheet for 70% beneficiary list, if required. 8. The total cost of CDLD projects shall be between Rs. 500,000 to Rs. 2,500,000. Any scheme deviating from these limits will not be considered. You can take advice of technical and experienced people of your locality for the cost estimation. If you put unnecessarily higher cost in the

CDLD Policy Notification

application, it might lead to rejection of application. 9. Maximum 20% variance between the proposed cost estimate and cost estimate validated by the social mobilisation partner is acceptable. Any variance beyond 20% will lead to rejection of the application. 10. The project duration shall be upto 12 months. Please mention realistic timeframe. 11. In the section of â&#x20AC;&#x153;Community Shareâ&#x20AC;?, please mention the percentage of amount the community is willing to pay (in cash or kind). A higher percentage of community share will increase the chances of selection of your application. 12. This application should be submitted in three sets. 13. The application must be endorsed by the Secretary VC / NC to ensure that the proposal is addressing an issue highlighted in the approved VCDP. District Tehsil UC / Ward VC / NC Village or Mohallah

Nature of applicant(s) (tick appropriate)

Individual

CO / CCB / CBO Sex: (tick appropriate)

Name of Applicant(s)

Male

Female

CDLD Policy Notification

CNIC of applicant(s) Address Contact # * If the applicant is the member of CO / CCB / CBO * If Yes, Name of CBO / CO / CCB * Registration number. (if any) * Registered by whom * Name of CO / CCB / CBO / LSO / VO President Contact #

Sex: (tick appropriate) Male

Female

*CNIC of CO / CCB / CBO / LSO / VO President Sex: (tick appropriate)

* Name of CO/CCB/CBO/LSO/VO Secretary

Male

*CNIC of CO / CCB / CBO / LSO / VO Secretary Contact #

100

Male

CDLD Policy Notification

Name of project

Sector (tick appropriate)

Education (construction of additional rooms, missing facilities, rehabilitation)

Health (construction of additional rooms, missing facilities, rehabilitation)

Roads (link / rural roads, bridges, culverts, protection walls for roads)

Works (street pavement, waiting areas in public service areas, street lights)

Drinking Water (motor pumps, hand pumps, gravity)

Sanitation and Solid Waste Management (drainage, community latrines, dumping plot for solid waste / disposal)

Agriculture, Livestock, Fisheries and Farm Forestry (fruit processing units, godowns, warehouses, missing facilities in animal clinic/hospital, fish farms and hatcheries) Sports, Culture and Tourism (rehabilitation of playing grounds, parks)

Irrigation / Water Management / Soil and Water Conservation (water courses/channels, check dams, flood protection walls, water storage tanks) Social Welfare & Community Development (special education, vocational centres,

101

CDLD Policy Notification

graveyard, janazgah) Others Nature of project (tick appropriate)

New scheme

Principle beneficiary of the project (tick appropriate) (Note*)

Male only

Extension

Rehabilitation

Female only

Repair

Male and female both

Note*: Projects like water supply projects, girls school, girls college, mother heath centre, women vocational centers, dispensaries are projects, that should be considered as benefitting female. principal beneficiary of these projects will be considered female only. Total number of household in the village / mohalla Number of beneficiary household (the signature of 70% of beneficiary household must be attached)

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CDLD Policy Notification

Summary of the project description 1. Problem related to the proposed project:

Rs.

2. Rough cost of the project (In words) 3. Duration of the project (months)

_______Months

4. Is community willing for project operations and maintenance?

Y / N (please specify)

5. Is community willing for minimum 10% contribution (fixed in cash / kind)?

Y / N (please specify)

6. How did you hear about this project?

Newspaper / radio / government offices / other (specify)___________________

7. Is the proposed project based on issue highlighted in approved VCDP of your VC / NC?

Y / N (please specify)

8. If yes, please mention the S# from prioritised VCDP list

Serial No.__________________

9. Does the project directly contributes to income generation?

Y/N

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CDLD Policy Notification

10. List of beneficiaries households (70% of beneficiary household representation, CNIC, Contact No. and signature) For additional list, attached extra sheets: S.No

Name

CNIC

Contact #

Signature

Note: It is a sample template. Further rows can be added if required.

Signature / thumb impression: Name:

President (in case of CBO

Contact no.

Signature / thumb impression:

Secretary (in case of CBO)

Name: Contact no. Applicant (in case of individual)

Signature / thumb impression:

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CDLD Policy Notification

Name: Contact no.

Verified by Secretary VC / NC: I Secretary VC / NC, _________________________ verify that the propose project from the above mentioned applicant is relevant and is highly required for the respective mohalla: _______________/ village: _________________ and is also part of VCDP under S#_______________. The information given in application is correct to the best of my knowledge. Therefore, the application is verified for further proceedings please Name of Secretary VC / NC: _____________________________ Signature / Stamp: ____________________________________ Dated: ______________________________________________ Receipt acknowledgement (for official use only): Name Designation Department Signature Date

105

CDLD Policy Notification

Annex-7 FORMAT OF DETAILED PROJECT PROPOSAL CHECK LIST Documents A. Cover page signed by concerned officials

Attached (Tick  or X)

Page#

Attached (Tick or )

Page#

B. Detailed project proposal Annexes 1. List of CBO members, with signatures 2. Copy of CBO’s registration certificate 3. Copy of CBO’s resolution for project (with signed attendance sheet) 4. Copy of office bearer’s CNICs 5. District map showing project location 6. Village map 7. Detailed list of beneficiary households/ mohallas/ villages 8. Business plan (in case of enterprise development projects) 9. Engineering documents a. b. c. d. e. f.

Survey Sheet Rapid Environmental Assessment Site Plan Design Justification Detailed Drawings Detailed Cost Estimate (Summary of Material and Labour, BoQ’s, Detailed Estimate, Rate Analysis) 10. Certification on quality assurance of the DPP 11. Pre pictures (at least four picture from different angles in JPEG format only) 12. Supporting documents a. Socio-economic and technical 106

CDLD Policy Notification

feasibility 1st application TEC score for 1st application Land acquisition affidavit (if applicable) Note: Sub annexure for DPP template shall be provided separately. b. c. d.

107

CDLD Policy Notification

Contents 1.

Particulars of Community Based Organisation:

109

Particulars of Proposed Project:

110

2.1.Name of project:

110

2.2 Beneficiary details

110

2.3 Nature of the project (brief description) (tick appropriate)

111

2.4 Sector (tick appropriate)

111

2.5. Project duration (months):

112

Project Description:

113

3.1 Project justification:

113

3.2 Detailed project description

113

3.3 Site location

113

3.4. Work plan with milestone, activities and timelines: mark ď&#x192;ź (start to end)

114

3.5. Project procurement plan

114

Abstract of Cost:

115

Project Management Committees:

115

5.1 Project Management & Procurement Committee:

115

5.2 Project Monitoring & Audit Committee:

115

5.3 Operation & Maintenance Committee

116

Operation and Maintenance (O&M) Plan:

116

Undertaking:

117

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CDLD Policy Notification

COMMUNITY DRIVEN LOCAL DVELOPMENT DETAILED PROJECT PROPOSAL 1. Particulars of Community Based Organisation: District

Tehsil

UC / Ward

VC / NC

Village Name of CBOs Type of CBO

Male

Female

Mixed

Number of CBO/s members: (attach signed list of members)

Male

Female

Total

Number of households represented by CBO/s Number of household in the village (in case of rural)/ mohallah (in case of urban) Registration of CBOs: (attach copy of registration certificate from DC office)

CBO formed by

Reg. #

Address CBOs details

CBOs bank account details

Contact # (landline)

Contact # (mobile)

A / C Title: A / C Number:

Bank:

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CDLD Policy Notification

Branch:

CBOs bank account signatories

Name 1:

CNIC:

Name 2:

CNIC:

Name 3:

CNIC:

President CBO/s office bearers

General Secretary

Treasurer

Name: CNIC #: Phone #: Gender: Name: CNIC #: Phone #: Gender: Name: CNIC #: Phone #: Gender:

2. Particulars of Proposed Project: 2.1 Name of project:

2.2 Beneficiary details Number of Total beneficiary number of households project beneficiaries

Male beneficiaries

Female beneficiaries

Number

110

% age

CDLD Policy Notification

2.3 Nature of the Project (brief description) (tick appropriate) 2.3.1 New 2.3.2 Extension scheme 2.3.3 Repair 2.3.4 Rehabilitation 2.3.5 Other 2.4 Sector (tick appropriate) 2.4.1 Education (constructi on of additional Rooms, missing facilities, rehabilitati on) 2.4.3 Roads (link / rural roads, bridges, culverts, retaining walls for roads) 2.4.5 Drinking Water (motor pumps, hand pumps, gravity)

2.4.7 Agricultur, Livestock, Fisheries and Farm,

2.4.2 Health (construction of additional rooms, missing facilities, rehabilitation)

2.4.4 Works (street pavement, waiting areas in public service areas, street lights)

2.4.6 Sanitation and Solid Waste Management (drainage, community latrines, dumping plot for solid waste / disposal)

2.4.8 Irrigation / Water Management / Soil and Water Conservation

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CDLD Policy Notification

Forestry (fruit processing units, godowns, warehouse s, missing facilities in animal clinic / hospital, fish farms and hatcheries ) 2.4.9 Sports, Culture and Tourism (rehabilitati on of playgroun ds, parks)

(water courses / channels, check dams, flood protection walls, water storage tanks)

2.4.10 Social Welfare & Community Development (special education, vocational centres, graveyard, janazagah)

2.4.11 Others (name if other than above) 2.5 Project Duration (Months):

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CDLD Policy Notification

3. Project Description: 3.1 Project justification

3.2

Detailed project description

3.3

Site Location: (South, East, West, North including location of the beneficiary population vis-Ă -vis the main population centre, a major road or any other reference point. this should be duly reflect in the map attached)

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CDLD Policy Notification

3.4 Work Plan with Milestones, Activities and Timelines: (Mark start to end)

W14

W13

W12

W11

W10

Activities

Milestones

Sr.#

Timeline (start to end)

1 2 3 4

114

W15 W16 W17 W18

W14

W13

W12

W11

W10

Timeline (start to end) Items

Quantity

Sr.#

3.5 Project Procurement Plan: (Mark start to end)

CDLD Policy Notification

4. Abstract of Cost: Component No. Description 1 2 3 4 5 6 Sign board Total cost Deductions (contractor profit, tax) Additions (location/ area factor) Grand total CDLD share (90%) CBO share (10%) Cost / beneficiary

Cost

5. Project Management Committees: 5.1 S. # 1 2 3 4 5 5.2 S. # 1 2 3 4 5

Project Management and Procurement Committee Name

Contact number

Role and responsibility

Project Monitoring and Audit Committee Name

Contact number

115

Role and responsibility

CDLD Policy Notification

5.3 Operation and Maintenance Committee S.# 1

Name

Contact number

Role and responsibility

2 3 4 5

116

Remarks

Monitoring responsibility

Responsibility

Fund collection method

Proposed cost

Frequency

Activity

Sr. No

6. Operation and Maintenance (O&M) Plan:

CDLD Policy Notification

7. Undertaking: I / We hereby undertake that:  This project has NOT been proposed / undertaken under any other plan / programme of the Government / Donors / NGOs or any other sources.  Community is ready to take over the implementation and postcompletion O&M responsibilities.  The site of the project, involved land and its appurtenances are free from any disputes and legal encumbrances.  The Government and External Monitoring Team will be allowed for routine monitoring, evaluation and audit of the schemes. Submitted by: (signature)

Submitted by: (signature)

Name:

Designation in CBOs: Date:

Stamp of CBOs:

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CDLD Policy Notification

Annex-8 ANNUAL WORK PLAN TEMPLATE FOR DISTRICT ADMINISTRATION

Annual work planning Pre-VCDP advertisement VCDP formation CFP advertisement Punching in MIS and submission of list to SMP TEC meeting for technical sanction of DPP DDC meetings for approval of DPPs and other decisions CBO grant agreement signing Disbursement of 1st installment to CBO Disbursement of 2nd installment to CBO Disbursement of final installment to CBO Inspection, monitoring, supervision and reporting visit of District Engineer CDLD

118

M12

M11

M10

Activity

Target

District name: ______________________________________________

CDLD Policy Notification

Annex-9 LETTER FOR CBO REGISTRATION FROM PLANNING AND DEVELOPMENT DEPARTMENT, GOVERNMENT OF KHYBER PAKHTUNKHWA

119

CDLD Policy Notification

Annex-10 RECOMMENDATION BY CONCERNED LINE DEPARTMENT TO CHECK DUPLICATION Tick the appropriate information

S. #

Information

The facts and figures given in the application have been checked

Schemes appear to be technically feasible

Overall cost appears to be reasonable

O&M arrangement is satisfactory

5 6

Remarks (if any)

No duplication appears to be involved The schemes does not appear to contravene any Government Policy

Signed and Stamp by: _______________________________________ Name of focal person: _______________________________________ Designation: _______________________________________________ Department: ________________________ Dated: ________________

120

121

Drawings:

Dimensional compliance

Satisfactory

Total:

Needs improvement

Date:

Unsatisfactory

Suggestions:

Unsatisfactory

Tehsil:

District:

Males:

PLANNING AND DESIGNING (DPP) REVIEW

Drawing dimensions required

Scale

Location: (village / mohalla / VC)

Project beneficiaries:

CBO name:

Project title:

Project MIS code:

Annex-11

Comments:

Females:

CDLD Policy Notification

122

BoQ:

Pre-pictures:

1. Project description and justification:

Detail levels

Presentation quality No

Comments:

Unsatisfactory

Satisfactory

Sufficient Insufficient

Yes

Standard template

Irrelevant

Relevant

Needs improvement

Yes

Required

Yes

Satisfactory

L-Sec

X-Sec

Required

Needs improvement

Comments:

Unsatisfactory Comments:

Needs Unsatisfactory Comments: Improvement

CDLD Policy Notification

Safeguards environmental:

Available? Yes / No

Materials summary:

123

Threat to water streams

Threat to water springs

Threat to wildlife

Threat to trees

As per current MRS?

Costing:

Calculation check

Yes

Comments: No

Incomplete

Complete

Comments:

Inaccurate

Yes

Accurate

Yes

Comments:

Comments: CDLD Policy Notification

124

Any other comments:

Recommendations:

Ground orientation of drawing plans:

Mitigation plan:

Matching

Yes

Attached

Any other threats

Waste disposal

Not matching

Comments:

Means of verification

Yes Comments:

Yes

CDLD Policy Notification

Signature: ________________________________________________ Date: ____________________________

Designation: _______________________________________________________________________________

Name: ____________________________________________________________________________________

Names and Signatures of Reviewer

CDLD Policy Notification

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CDLD Policy Notification

Annex-12 SCREENING AND EVALUATION OF DETAILED PROJECT PROPOSAL S. no: _____________ (for official use only) MIS reference no. __________________________ (for official use only) S. #

A A-1 A-2 A-3 A-4 A-5 A-6 A-7

B B-1

B-2 B-3

Screening and Evaluation of Detailed Project Proposal “No” remark in any of these will result in outright rejection of the proposed project proposal. Social Aspects Is the project proposal completely filled, along with the annexures? Has the CBO’s level of preparedness been checked and CBO found ready to implement the project? Is the beneficiary data provided in the DPP validated and found correct? Has the project been properly justified and verified that it addresses the genuine needs of the community? Is the project site conflict free and there are no social disputes so far? Has the project proposed been verified that it is intended to benefit community, not an individual? Land proposed for the project is communal and not owned by an individual or has been acquired in the name of CBO. Technical Aspects Has the project location been physically verified and found well oriented with the design and drawings? Is the selected site stable and resilient enough to withstand natural disasters? Has the CBO agreed to carry out Operation and maintenance of the

126

Yes / No

Describe (Yes or No). attach supporting sheet

CDLD Policy Notification

B-4

B-5 B-6

B-7 C C-1 C-2 C-3 C-4 C-5 C-6

C-7

project and provided detailed O&M plan in the attached DPP? Is the project technically feasible and detailed design & drawings are satisfactory and cost estimates provided are error free? Is the project environmentally feasible and has no major effect on local flora and fauna? Has the resistivity test been carried out and local history been considered for availability and continuous supply of water? Has the water quality test been carried out and found the water safe for drinking? Financial Aspects Is community providing its 10% mandatory contribution? Is per beneficiary cost of project is less than or equal to the agreed per beneficiary cost? Is the Project within approved time limit? Is the project cost within approved CDLD ceiling? Are the cost estimates based on latest MRS with area factor applied? Is the cost of NSIâ&#x20AC;&#x2122;s and carriage and transportation considered realistically and according to the ground situation? Total cost of the project in DPP is either less than the cost projected in First Application or exceeded within or equal to the allowable percentage of 20%.

Remarks:

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CDLD Policy Notification

1. Name

2. Name

Designation

Department

Signature

Date

3. Name

4. Name

Designation

Department

Signature

Date

5. Name

6. Name

Designation

Department

Signature

Date

128

CDLD Policy Notification

Annex-13 COMMUNITY BASED ORGANISATION GRANT AGREEMENT TEMPLATE AN AGREEMENT

This Agreement is made on this day of ____________________ between the Deputy Commissioner of the District _________________, Government of the Khyber Pakhtunkhwa, (hereinafter referred to as the “First Party”), which expression, unless the context otherwise requires, shall include his legally appointed authorities, representatives and successors-in-office of the First Party and the ____________________ through its President ______________, having its registered office at __________________________________ (hereinafter referred as the “Second Party”), wherever the context so permits shall mean and include its associates, successors in interests, permitted representatives and assignees of the Second Party; WHEREAS the First Party has approved a policy namely, “Community Driven Local Development”, to provide an enabling environment for Community Based Organisations duly registered, to access public funds, in the sectors as specified in (Annex:13.1) of Schedule, appended to this Agreement (hereinafter referred to as the Schedule). These public funds may be utilised for the capacity building of community development infrastructure, improve public service delivery system identified by Second Party, (hereinafter referred to as the “development work”) and shall help decrease the trust deficit between the public office and the community. AND WHEREAS, the First Party desires to carry out the development work and the Second Party agrees to implement the development work, supported financially by the First Party, with the maximum of the __ % percent (hereinafter referred to as the “Government Fund”), with the minimum (ten percent) 10% contribution by the Second Party, in cash or kind i.e. in shape of labour, providing raw materials or other services towards the 129

CDLD Policy Notification

completion of development work, as the case may be, (hereinafter referred to as the â&#x20AC;&#x153;Contributed Fundâ&#x20AC;?), on such terms and condition as specified under this Agreement. NOW, THEREFORE, the Parties hereby agree as follows: 1. Commencement, 1.1 Duration and Extension of Agreement:

This Agreement shall commence from the day on which the Parties signed this Agreement.

1.2

The duration of this Agreement shall be _______, which shall not be more than 12 months.

1.3

Notwithstanding anything contained in clause 1.2, this Agreement may be extended, from time to time, with mutual consent of the Parties and subject to approval of Policy Coordination and Review Committee, constituted by the Local Government, Elections and Rural Development Department of Government.

2. Funds:

The total amount, with the maximum of Government Fund and minimum of Contributed Fund, shall be rupees, ________________________________, which shall be requisitioned by the Second Party, through Fund Requisition Form, as specified in (Annex:-13.2) of the Schedule.

3. Mode of Payment:

3.1 The payment from Government Fund to the Second Party by the

130

CDLD Policy Notification

First Party shall be as follows: First Installment; (40% ) Rs. ______________________ Second Installment; and (50%) Rs. ______________________ Final Installment. (10%) Rs. ______________________ Total

Rs. ______________________

3.2 The First Party shall pay the first installment to the Second Party at the time of signing of this Agreement. 3.3 The second installment shall be paid to the Second Party, at the time of submitting narrative report as well as financial report, as specified at (Annex:-13.3, 13.4), of the Schedule, respectively, to the First Party. 3.4 The final installment shall be made to the Second Party at the time of submitting final report as specified at (Annex:-13.5) of the Schedule. 3.5 All these payments shall be made to the Second Party, after submitting the Funds Requisition Form, as specified at (Annex:13.2), of the Schedule, subject to proper verification and due satisfaction of the First Party. 3.6 All the payments to the Second 131

CDLD Policy Notification

Party shall be made through crossed cheques, under proper acknowledgment receipt and witnessed by representatives of the Second Party, in the designated bank account of the Second Party, jointly operated by the President and Secretary of the Second Party, with the following particulars: Bank Account No. _________________ Title of Account: ___________________ Bank Name: ______________________ Branch: _________________________ 4. Responsibility of the First Party:

The responsibilities of the First Party are to: (a) Carry out the external audit of narrative report, financial report and final report submitted by the Second Party. (b) Visit the sites where the development work is in progress and to examine or peruse all the relevant records for the purpose of monitoring, evaluation and audit. (C) Ensure that the respective district technical line departments shall provide engineering support to the Second Party for the purpose to assess the work quality and for implementation of the development works. (d) Ensure, before granting the Government Fund to the Second

132

CDLD Policy Notification

Party, that whether the development work is already covered by the relevant departments of the district government. (e) Conduct random checking of the development work, as and when required. (f) Appoint auditor, monitor or evaluator, as the case may be, for the purpose of audit, monitoring or evaluation of the development work. (g) Ensure that the implementation of the development work is being carried out in conformity to the given design, drawings, sketches, specifications and engineering standards; and (h) Proceed against the Second Party in accordance with the relevant laws, for the time being enforced, and recover the Government fund allocated or deposited to the First Party, in case of any embezzlement, miss appropriation and non-compliance, as the case may be, noticed by the First Party. 5. Responsibility of the Second Party:

The responsibilities of the Second Party are to: (a) Provide the Contributed Fund for the implementation of the Agreement. (b) Obtain and retain receipts on file for all expenditures incurred and payments made on prescribed voucher and registers for audit, including

133

CDLD Policy Notification

independent third party auditors. Such records shall be maintained for a minimum of seven years or until after three years after the audit takes place, whichever is later. (c) Allow and support access for the First Party and its representatives to the sites where development work is carried on and to all relevant records for the purposes of monitoring, evaluation and audit. (d) Submit the narrative report, financial report and final report, as specified under this Agreement. (e) Submit ad-hoc progress reports, as and when required. (f) Return the all un-expended funds to the First Party, through cross cheque, on submission of final report. (g) Make representative or office bearer available to meet with answers and questions and provide management information to the auditor, monitor or evaluator, as the case may be, appointed by the First Party. (h) Make implementation of the development work strictly in conformity in the given designs, drawings, sketches, specifications and engineering standards. (i) Restrict himself from making any changes or modifications to the given 134

CDLD Policy Notification

designs, specifications and engineering standards, without the prior approval of the First Party. (j) Bear additional costs, in case the development work does not complete in the available or agreed resources of the Government fund and Contributed Fund. (k) Ensure safe custody of all materials brought to the site of development work, against any loss, damage, theft, pilferage, misuse, etc. (l) Maintain an onsite register to be unknown, as registered of material, reflecting stock balance of all items of development works, including daily issuance, etc. (m) Maintain and repair the development work done by it after the completion of the development work. (n) Provide adequate supervision of and care for the development work; and (o) Avoid embezzlement, miss appropriation and non-compliance with the design and quality of the material used for the development work. 6. Law Governing Agreement:

This Agreement shall be governed by the laws of Pakistan, for the time being enforced.

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CDLD Policy Notification

7. Force Majeure:

8. Dispute Resolution:

The Parties shall not be responsible for any delay in fulfillment of the obligations under this Agreement due to circumstances of Force Majeure, such as acts of God, war, riots, civil commotion, strike, lock outs and other circumstances and disturbances, which are beyond the control of both the Parties. Any Party unable to fulfill the obligations under this Agreement shall immediately within one week inform other Party of the beginning and discontinuation of such circumstances. In the case of fulfillment of the obligations, the time of limit shall be extended for a corresponding period of time. 8.1 The Parties shall attempt in good faith to negotiate a settlement to any dispute between them arising out of or in connection with this Agreement; 8.2 In the event that a dispute arises between the Parties, that cannot be settled amicably, the dispute shall be referred to arbitration by a single arbitrator to be appointed by each Party. 8.3 In case the dispute could not be resolved by the arbitrators, as so appointed, the matter shall be referred to the Commissioner the _________ division for resolution. The decision of such Commissioner in this respect shall be final and binding on both the Parties. 8.4 The development work shall not be ceased or delayed during the process of settlement of the dispute between the Parties. 136

CDLD Policy Notification

9. Termination 9.1 The First Party may, at any time upon of giving the Second Party thirty (30) days Agreement: prior written notice, terminate this Agreement and in case the Second Party intends to terminate this Agreement, the Second Party shall also give a thirty (30) days prior written notice to the First Party. 9.2 This Agreement shall be terminated in the following events: (a)

Any changes occur which, in the opinion of the First Party, impair significantly the value of the development works.

(b) In case of any change of the First Partyâ&#x20AC;&#x2122;s policy priorities within which the development work is to be delivered, or the Government Fund and Contributed Fund available is insufficient to finance the development work. 9.3 Upon termination of this Agreement, the Second Party shall provide to the First Party the narrative reports and financial report (including invoices and receipts), up to the date of such termination. 9.4 Consequent upon the termination, the Second Party shall reimburse the total or unspent Government fund, as the case may be, to the First Party. In case this Agreement is terminated due to any fault of the Second Party, the First Party shall have the right to declare the Second Party 137

CDLD Policy Notification

as black listed and no agreement shall be executed with them in the future. In addition, the Second Party may recommend to the Registering Authority to cancel its registration. 10. Notices:

10.1 Any notice given under the provisions of this Agreement shall be in writing and if sent by registered mail, and shall be deemed to have been served on the following days i.e. date of posting, appropriately addressed as given below. If notice is sent by telex or fax it shall be deemed to have been served when transmissions thereof to the appropriate telex or fax number sent out below has been received. 10.2 Upon the issuance of the notice, all ongoing transactions shall be completed by the Second Party within the said notice period, provided however new transactions may be initiated within the first thirty (30) days of the notice period. Upon the expiry of the said thirty days of the notice period, no new transactions shall be accepted. To the First Party:

_______________________________ _______________________________ To the Second Party:

_______________________________ _______________________________ IN WITNESSES WHEREOF, both the Parties hereto have herein set their hands and seal the day and year first written above: 138

CDLD Policy Notification

For and on behalf of the First Party.

For and on behalf of the Second Party.

Signature: ________________

Name: ___________________

Designation: ______________

WITNESSES:

Signature: ______________

Signature: _________________

Name: _________________

Name: ____________________

CNIC: __________________

CNIC: ____________________

WITNESSES:

Signature: _________________

Name: ___________________

CNIC: ____________________

WITNESSES:

Signature: _________________

Name: ___________________

CNIC: ____________________ 139CNIC: ____________________

CDLD Policy Notification

Annex-13.1 SECTORS IDENTIFIED IN THE ADVERTISEMENT Education (construction of additional rooms, missing facilities, rehabilitation).

Health (construction of additional rooms, missing facilities, rehabilitation).

Roads (link/rural roads, bridges, culverts, protection walls for roads).

Works (street pavement, waiting areas in public service areas, street lights).

Drinking pumps, gravity).

Sanitation and Solid Waste Management (drainage, community latrines, dumping plot for solid waste / disposal).

Water hand

(motor pumps,

Agriculture, Livestock, Fisheries and Farm Forestry (fruit processing units, godowns, warehouses, missing facilities in animal clinic / hospital, fish farms and hatcheries).

Irrigation / Water Management / Soil and Water Conservation (water courses / channels, check dams, flood protection walls, water storage tanks).

Sports, Culture and Tourism (rehabilitation of playing grounds, parks).

Social Welfare & Community Development (special education, vocational centres, graveyard, janazgah).

Others

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CDLD Policy Notification

Annex-13.2 FUNDS REQUISITION FORM Project Code: ________________________________________ Name of the CBO: ____________________________________ Name of the Project: ___________________________________ Location of Project: ____________ Name of Village: __________ Union Council: ______________ Village Council: ____________ Tehsil: _________________ District: ______________________ CBO Bank Account Title: _______________________________ CBO Bank Account Number: ____________________________ Bank Name: _________________________________________ Bank Branch Address: _________________________________

Project Total Cost: ________

GoKP Share: ____________

Funds Already Received: ___

Balance GoKP Share: _____

Amount Requested: _______

Installment #: ____________

Amount in Words:

141

CDLD Policy Notification

President of CBO

Secretory of CBO

Name: __________________ Name: ___________________ Signature: ________________ Signature: _________________ (Resolution from CBO for the request of 1st installment must be attached with this form).

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CDLD Policy Notification

Annex-13.3 NARRATIVE REPORT

Project Code: ____________ Reporting Period: _____________ Name of the CBO: ____________________________________ Name of the Project: ___________________________________ A. Activity during this period: ____________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ B. Achievement of milestones: S. #

Milestones

Target set

Percentage completed

Milestone # .……………………

Milestone # ….…………………

I certify that the above information is correct and complete. 143

CDLD Policy Notification

President of CBO

Secretory of CBO

Name: ___________________ Name: _____________________ Signature: ________________ Signature: _________________

(Field Engineer from SMP will provide support during the preparation of this report).

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CDLD Policy Notification

Annex-13.4 FINANCIAL REPORT Dated: _________________ Project Code: _________________ Period: _____________________________________________ Name of the CBO: ____________________________________ Name of the Project: ___________________________________ Budget line (Item 1)

Agreed budget

Expenditure till last report

Expenditure this report

Total expenditure

(Item 2) (Item 3) (Item 4) (Item 5) (Item 6) (Item 7) Total

We certify that the above financial information is correct and complete President of CBO

Secretory of CBO

Name: ___________________ Name: ____________________ Signature: _________________ Signature: _________________ (Field Engineer from SMP will provide support during the preparation of this report).

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CDLD Policy Notification

Annex-13.5 FINAL REPORT Dated: ______________________________________________ Project Code: __________________ Period: ________________ Name of the CBO: ____________________________________ Name of the Project: ___________________________________ Budget line

Agreed budget

Expenditure till last report

Expenditure this report

Total expenditure

(Item 1) (Item 2) (Item 3) (Item 4) (Item 5) (Item 6) (Item 7) Total

We certify that the above financial information is correct and complete. President of CBO

Secretory of CBO

Name: ___________________ Name: ___________________ Signature: _________________ Signature: _________________

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CDLD Policy Notification

Annex-14 TEMPLATE OF WORK ORDER OFFICE OF THE DEPUTY COMMISSIONER, _____________ Ref No: _________ MIS Code: _________ Dated: __________ To: ____________________________ ____________________________ (CBOâ&#x20AC;&#x2122;s Name and Address) Subject: Work Order, Construction of (Name of Approved / Sanctioned Scheme) Your scheme namely _________________ has been approved by the Deputy Commissioner / DDC Forum under the CDLD Programme, amounting PKR _____________________ of the administrative approval granted on serial # ______________. The approved amount also contains 10% community share, PKR ______________. Hence, under the covenants of the mutual grant contract agreement, you will be entitled to receive the balance amount of PKR ______________. Your are hereby advised to start physical construction work on the site with immediate effect under the directions of engineer-incharge. The said scope of work must be completed within the stipulated time period of _______ months positively, effective from this ______ day of _______ 201___. The 40% mobilisation advances, amounting to PKR _________________, of the total GoKP CDLD share in shape of cross cheque bearing # ______________ of ______________ 201___ has been released to the CBO joint bank account. However, it will be the CBO responsibility to fulfill their obligations as per the agreement signed between the two parties. 147

CDLD Policy Notification

The approved scope of work is as under: (BoQ of the respective scheme is to be pasted here). S. #

Item of work

Quantity

Unit

Rate

Amount (Rs)

1 2 3 4 5 Total: GoKP (CDLD) Share (90%): CBO Share (10%):

The second and third installments of 50% and 10%, respectively, will be paid on the basis of work done, where CBO will be required to submit the following support documents along with payment request: a. b. c. d.

Bills / vouchers displaying the quantum of work done. Copies of stock register. Copies of cash book. Copies of CBO resolution with request for 2nd or last installments. e. Quotations of procured materials. Note: The final payments would be carried out on work done basis as per GoKP standard procedures in vogue. The District Officer, Finance and Planning / Focal Person CDLD ________________ District

148

CDLD Policy Notification

Annex-15 FORMAT FOR THE BILLBAORD Layout of the Billbaord

149

CDLD Policy Notification

Specifications for the Billbaord

150

CDLD Policy Notification

Annex-16 TEMPLATE FOR THE MONTHLY PROGRESS REPORT

MONTHLY PROGRESS REPORT Month, 2017 Name of District

151

CDLD Policy Notification

Social Mobilisation

Number of VCDPs to be developed Number of VCDPs developed %age achievement (2015-16) Number of LSOs to be formed (livelihood) Number of LSOs formed (livelihood) Number of CBOs to be formed Number of CBOs formed %age achievement Number of CBO members to be trained Number CBO members trained %age achievement Number of projects to be submitted for approval Number of projects submitted for approval %age

CPI

Livelihood

152

CPI

Livelihood

Remarks

Cumulative 2017 - 18

Progress during the month

Indicators / Activities

Implementa tion step

1. Key Highlights of the Month

CDLD Policy Notification

Funds Disbursement and Utilisation

Projects Approved and Completed

TEC/ DDC Meet ings

achievement Number of TEC meetings Number of DDC meetings Number of projects to be approved Number of projects approved %age achievement Value of projects to be approved Value of projects approved Percentage achievement Total beneficiary households Number of CBO contracts signed Number of projects in progress Number of projects completed Percentage of projects completed Number of CBOs received 1st installments Amount Number of CBOs recevived 2nd installments Amount Number of CBO 3rd installment Amount Operational cost utilised 153

Monitoring and Supervision

CDLD Policy Notification

Number of visits to be made by SMP Engineers (# of projects being implemented x 7) Number of visits made by SMP Engineers %age achievement (2015 - 16) Number of visits to be made by LDs (# of projects being implemented x 30%) Number of visits made by LDs %age achievement Number of visits to be made by DMOs (# of projects being implemented x 30%) Number of visits made by DMOs %age achievement

2. Key Highlights of the Month 1. 2. 3.

154

CDLD Policy Notification

3. Challenges and Action Taken S. # 1

Challenges

Proposed action / Action taken

2 3 4. CDLD Coordination Meetings at District Level Date Key stakeholders Key represented (SMP, Army, TA, discussion District Administration) points

Key decisions taken

Annexes-A (Meeting Minutes)

5. CDLD Coordination Meeting at Divisional / Provincial

Level

Date

Key stakeholders represented (SMP, Army, TA, District Administration)

Key discussion points

Key decisions taken

Annexes-B (Meeting Minutes)

6. Progress against Action Plan Activities Activities Progress / Status Logistics arrangement for SMP Engineers Placement of CDLD relevant staff and vacant position (data entry operators, women facilitation desk, etc.)

155

Remarks

CDLD Policy Notification

Activities

Progress / Status

Remarks

3rd party audit activities

Utilisation

Annual allocation

2017 - 18 Utilisation

Disbursed by PIU

Annual allocation

Item / Head

2014 - 17

Disbursed by PIU

7. CDLD Funds Status

Remarks

Operational cost (0.7%) Development cost (as per distt share) Total 8. Capacity Building of CDLD Stakeholders (Government

Annex-C Training wise list of participants

156

Female

Achievement (2017 - 18)

Male

Female

Annual target (participants)

Achievement (current month)

Male

Type of training (training name)/ training title

%age Achievement (2017 - 18)

Officials, SMP and Others) by TA

Female

Male

Female

Male

Annual target (participants)

Orientation / Envisioning of LSOs

9. Orientation / Envisioning Exercise by SMP Achievement Achievement (current (2017 - 18) month)

%age Achievement (2017 - 18)

CDLD Policy Notification

Number of envisioning exercises to be conducted Number of envisioning exercise conducted %age of achievement Number of participants in the exercise

%age achievement (2017 - 18)

Achievement (2017 - 18)

Achievement (current month)

Annual target

Type of organisation

10. Social Mobilisation

Number of LSOs formed

M W Mixed Number of existing M LSOs engaged W Mixed Number of CBOs M formed W Mixed Number of LSOs M formed W Mixed Number of VCDPs developed Annex-D List of new, existing CBOs, VOs, LSOs and VC / NCs with VDPs 157

CDLD Policy Notification

Female

Achievement (2017/18) Male

Female

Achievement (current month) Male

Annual target

Type of training

representatives by SMP

%age Achievement (2017 - 18)

11. Capacity Building / Orientation of LSO / CBO

Annex-E Training wise list of participants

12. Capacity Building of Elected Representatives,

Introductory sessions on KP LGA 2013 Local governance and grassroots development Financial management Community driven development approaches

Annex-F Training wise list of participants 158

Female

Achievement (2017 - 18)

Male

Female

Annual target participants

Male

Type / title of training

Achievement (current month)

%age achievement (2017 - 18)

Government Officials and Engineers by SMP

Female

Male

Female

Male

Female

Indicators

Male

13. Development of Detailed Project Proposals by SMP Achievement %age Achievement (current Achievement (2017 - 18) month) (2017 - 18)

Remarks

CDLD Policy Notification

# of applications received # of applications validated # of applications rejected after validation* # of detailed project proposals submitted to DO F&P

* Write reasons of each rejection in remarks column

14. Monitoring and Supervision Department

# of projects in progress

Target visits

SMP Engineers (100%) Line Departments (30%) Commission er Office (10%)

159

Number of visits (current month)

Number of visits (total)

%age achieveme nt

CDLD Policy Notification

15. Complaint Management

Complaints addressed

Complaints received

%age complaints addressed

Cumulative %age complaints addressed

Complaints addressed

Complaints received

Current month

16. Call for Proposals (Updates)

Number of VC / NCs to be covered Number of VC / NCs covered Advertise ment date Last date for submissio n of applicatio

160

Remarks

Total

Round - 10

FY 2017 18 Round - 9

Round - 8

Round - 6

Women Specific

Round - 5

Round - 4

Re-Adv.

Roun d-3

Round - 7

FY 2016 17

FY 2015 - 16

Adv.

Round - 2

Round - 1

Activities

FY 2014 15

CDLD Policy Notification

ns Livelihood Projects Number of UCs to be covered for livelihood projects Number of UCs covered for livelihood projects Advertise ment date for livelihood projects Last date for submissio n of proposals for livelihood projects Annex-G Call for proposals (advertisement)

161

Remarks

Total

Round - 10

FY 2017 18 Round - 9

Round - 8

Round - 6

Women Specific

Round - 5

Round - 4

Re-Adv.

Roun d-3

Round - 7

FY 2016 17

FY 2015 - 16

Adv.

Round - 2

Round - 1

Activities

FY 2014 15

CDLD Policy Notification

Projects to be approved Number M of applicati W ons received Number M of Applicati ons W entered in MIS Number M of W applicati ons shortliste d Number M of W applicati ons rejected Livelihood Projects Projects to be approved 162

Remarks

Total

Round - 7

Round - 6

FY 2016 - 17 Women Specific

Round - 5

Round - 4

Re-Adv.

Adv.

Round - 2

3 Round - 1

Activities

Screening (incomplete applications) FY 2014 FY 2015 - 16 15 Round -

CDLD Policy Notification

Total

Remarks

Total

Remark s

Round - 7

Round - 5

Round - 4

Re-Adv.

Adv.

Round - 2

Round - 6

Round 3

Round - 1

FY 2016 - 17

FY 2015 - 16

Women Specific

Activities

FY 2014 15

Number of Applicati ons Received TEC 1 Meeting

M W M W

163

Round - 6

Round - 5

Women Specific

Round - 4

Adv. - 3 Round

Re-

Roun d-3

No TEC 1 meetings Dates Number of 1st applicati ons shortliste d 1st applicati ons qualified for

FY 201 617

FY 2015-16

Adv.

Round - 2

Activities

Round - 1

FY 2014 15

Round - 5

Women Specific

Round - 4

Re-

Adv. - 3 Round

Roun d-3

Remark s

Round - 6

FY 201 617

FY 2015-16

Adv.

Round - 2

Activities

Round - 1

FY 2014 15

Total

CDLD Policy Notification

budget check Dates of circulation of minutes Livelihood Projects

Budgeting

Number of 1st applicati ons forwarde d for budgetin g No of 1st applicati on qualified for SM

M W

164

Total

Round - 5

Women Specific

Round - 4

Round - 3

Re-Adv.

Round3

Round - 6

FY 201 617

FY 2015 - 16

Adv.

Round - 2

Activities

Round - 1

FY 2014 - 15

Remarks

Application shortlisted Annex-H Minutes of CDLD Technical Evaluation Committee Meetings

CDLD Policy Notification

Total

Remarks Remarks

M W

Applications Forwarded to SMP for Social Mobilisation

M W

Dates M W

165

Round - 6

Women Specific

Round - 5

Re-Adv.

Roun d-3

Round - 4

FY 2015 - 16

Adv.

Round - 2

Activities

Round - 1

FY 2014 - 15

Number of 1st applicati on forwarde d for validatio n Number of 1st applicati on validated and accepted

Total

Round - 5

Women Specific

Round - 3

Re-Adv.

Adv.

Round3

Round - 4

FY 2015 - 16

Round - 6

FY 201 617

FY 20 16 17 Round - 7

Number of 1st applicati ons on waiting list

Round - 2

Activities

Round - 1

FY 2014 - 15

Number M of 1st W applicati on validated and rejected Number M of DPP W prepared and submitte d to DO F&P Livelihood Projects Applications Sent to TEC for Preliminary Evaluation Preliminary Evaluated Number of DPPs to be prepared Number of DPPs prepared

166

Remarks

Round - 7

Round - 6

Women Specific

Round - 5

Re-Adv.

Roun d-3

Round - 4

FY 2015 - 16

Adv.

Round - 2

Activities

Round - 1

FY 2014 - 15

FY 20 16 17

Total

CDLD Policy Notification

Validation by Line Departments

Number M of Projects shared W with line departm ent Number M of DPP ground W verified Number M of Projects W validate d Livelihood Projects Number of applicati ons sent for validatio n/ verificati on Applicat ions validate d/ verified Applicat ions rejected

167

Total

Round - 6

Women Specific

Round - 5

Round - 4

Re-Adv.

Round 3

Round - 7

FY 201 617

FY 2015-16

Adv.

Round - 2

Activities

Round - 1

FY 2014 15

Remarks

CDLD Policy Notification

TEC 2 Meeting

Total

Round - 6

Women Specific

Round - 5

Round - 4

Re-Adv.

Round -3

Round - 7

FY 201 617

FY 2015 - 16

Adv.

Round - 2

Activities

Round - 1

FY 2014 15

Nos TEC-2 meeting Dat s held e Number M of projects submitt ed for W TEC-2 evaluati on Number M of W detailed proposa ls endorse d Number M of DPP W screene d out / rejected Dates of circulation of minutes

Annex-I Minutes of CDLD Technical Evaluation Committee Meetings

168

Remarks

CDLD Policy Notification

DDC Nos. meetings Date held Number M of proposal s W submitte d to DDC Number M of proposal s W approve d %age of M proposal s W approve d Total amount of approve d Proposal s Date of circulation of minutes Livelihood Projects Number proposal submitted for approval Proposals approved Total amount of approved proposals Date of 169

Total

Round - 6

Women Specific

Round - 5

Round - 4

Re-Adv.

Round -3

Round - 7

FY 2016 - 17

FY 2015 - 16

Adv.

Round - 2

Activities

FY 2014 15 Round - 1

DDC Meeting

Remarks

CDLD Policy Notification

Total

Remarks

Total

Remarks

Round - 6

Women Specific

Round - 5

Re-Adv.

Round - 4

Round -3

Round - 7

FY 2016 - 17

FY 2015 - 16

Adv.

Round - 2

Activities

Round - 1

FY 2014 15

circulation of minutes Annex-J DDC meeting minutes

17. Project Cycle Management

Number M of CBO agreem W ents signed Livelihood Projects Number of LSOs agreem ent signed

170

Round - 7

FY 2016 17 Round - 6

Women Specific

Round - 5

Round - 4

Re-Adv.

Adv.

Round - 2

Round - 1

Contracts signed with CBOs FY 2014 FY 2015 - 16 15 Round Activities -3

CDLD Policy Notification

Work Order to CBO

Remarks

Total

Round - 6

Women Specific

Round - 5

Adv.

Re-Adv.

Roun d-3

Round - 4

FY 2015 - 16

Round - 2

Activities

Round - 1

FY 2014 15

Number of M CBOs received W work order Livelihood Projects

Number M of CBOs receive W d 1st installm ent M 1st installm W ent amount T Number M of W CBOs

171

Remarks

Round - 9

Total

FY 2017 18 Round - 10

FY 2016 17 Round - 8

Women Specific Round - 6

Round - 5

Re-Adv.

Roun d-3

Round - 4

FY 2015 - 16

Adv.

Round - 2

FY 2014 15 Round - 1

Activities

Release of Installments

Round - 7

Number of LSO receveid work order

receive d 2nd installm ent 2nd installm ent amount

M W T

Number M of CBOs receive W d 3rd installm ent M 3rd installm W ent amount T Livelihood Projects Number of CBOs receive d 1st installm ent Amount Number of CBOs receive

172

Remarks

Round - 9

Total

FY 2017 18 Round - 10

FY 2016 17 Round - 8

Women Specific Round - 6

Round - 5

Re-Adv.

Roun d-3

Round - 4

FY 2015 - 16

Adv.

Round - 2

Round - 1

Activities

FY 2014 15

Round - 7

CDLD Policy Notification

Number of projects in progres s %age of projects in

Roun d-3

173

FY 2017 18

Remarks

Total

Round - 10

Round - 9

FY 2017 18

Remarks

Total

FY 2016 - 17

Round - 10

Round - 8

FY 2016 17

Round - 9

Round - 8

FY 2015 - 16

Round - 7

Women Specific Round - 6

Round - 5

FY 2015 - 16

Round - 7

Round - 6

Women Specific

Round - 5

Round - 4

Re-Adv.

Roun d-3

Round - 7

Re Adv.

Projects in Progress

FY 2014 - 15 Adv.

Round - 2

Round - 1

Activities

FY 2014 15

Adv.

Round - 2

Round - 1

Activities

CDLD Policy Notification

d 2nd installm ent

Amount

Number of CBOs receive d 3rd installm ent

Amount

Number M of projects W complet ed %age of M projects complet W ed Livelihood Projects Number of projects in progres s Complet ed

174

Total

Remarks

Total

Remarks

Round - 10

Round - 9

Round - 8

FY 2017 18

Round - 8

FY 2016 17 Round - 7

Round - 6

Women Specific

Round - 5

Round - 4

Re-Adv.

Adv.

Round - 2

Round - 1

CBO Projects Completed FY 2014 FY 2015 - 16 - 15 Round 3 Activities

Round - 6

Progres s

Women Specific

Round - 5

Round - 7

Re Adv.

Roun d-3

Round - 7

FY 2016 - 17

FY 2015 - 16

Adv.

Round - 2

FY 2014 - 15 Round - 1

Activities

CDLD Policy Notification

Number M of projects W suspend ed %age of M projects suspend W ed Number M of W projects on which work stopped %age of M projects W on which work stopped Livelihood Projects Numbe r of project s suspen ded Numbe r of project s stoppe d 175

Remarks

Total

Round- 8

FY 2016 17 Round- 7

Round- 6

Women Specific

Round - 5

Round - 4

Re-Adv.

Adv.

Round - 2

Round - 1

Projects Suspended / Work Stopped with Reasons FY 2014 FY 2015 - 16 - 15 Round 3 Activities

S. #

Livelihood Projects

176

Funds disbursements

Detailed status of CBOs / LSO Projects (CIP and Livelihood)

LDs DMOs Remarks

SMP engineers

Physical progress (%age)

Amount

Date of release of 3rd installment

Amount

Date of release of 2nd installment

Amount

Date of release of 1st installment

Beneficiary households

Round

Scheme name

VC / NC

CBO name

CDLD Policy Notification

# of monitor ing visits

18. Suggestion for Improvement of CDLD Policy

Implementation

177

S. #

5 LDs DMOs Remarks

SMP engineers

Physical progress (%age)

Amount

Date of release of 3rd installment

Amount

Date of release of 2nd installment

Amount

Date of release of 1st installment

Beneficiary households

Round

Scheme name

VC / NC

Funds disbursements

Progress

Amount

Date of 3rd installment

Amount

Date of 2nd installment

Amount

Date of 1st installment

Beneficiaries

Round

Scheme name

LSO name

1 CBO name

CDLD Policy Notification

# of monitor ing visits

CDLD Policy Notification

Checklist for Annexures Annexes #

Reference to the Report Section

Annex-A Annex-B Annex-C Annex-D Annex-E

178

Comments

CDLD Policy Notification

179

CDLD Policy Notification

Annex-17 GOVERNMENT STANDARD MB FORMAT Name of work: ________________________________________ Situation of work: _____________________________________ Agency by which work is executed: _______________________ Date of measurement: _________________________________ (The four lines should be reported of the commencement to the measurement relating to each work) Particulars

No.

(Commencement)

180

Contents

CDLD Policy Notification

Annex-18 FORMATS FOR CASH BOOK, VOUCHERS AND STOCK REGISTER Annex 18.1: Cash Book

Date

Details of receipt

Receipt Ref.

Voucher No.

Amount received in Cash

Bank

Running Total Cash

Bank

Total

Date

Details of expenditure

Expenditure Ref.

Voucher No.

Total

181

Amount expended from

Running total

Cash

Bank

CDLD Policy Notification

Annex 18.2: Vouchers (if required) a) Receipt Voucher Voucher Ref.: Voucher #: ____________

Voucher date: ____________

CBO information: Name: ___________________________________________ Address: ________________ Contact #: _______________ Fund provider / customer information: Name:

Mode of Payment: (Cash / Cheque)

Address:

Ref No.: (cheque No etc)

Contact number:

S. No

Detailed description

Amount

Total Amount

Signature

(Authorised signature of CBO, etc.)

(provider of funds) 182

CDLD Policy Notification

b) Expenditure Voucher (if required) Voucher Ref.: Voucher #: _____________

Voucher date: _____________

CBO information: Name: _____________________________________________ Address: ________ _______________ Contact #: ___________ Name:

Bill / invoice no.

Address:

Bill / invoice date

Contact number: S. No

Details of goods or services delivered

Cheque no. / Cash

Amount

Total Amount

(Authorised signature of CBO, etc.)

Signature (receiver of payment)

183

CDLD Policy Notification

Annex 18.3: Stock Register (available in market also)

Total

Qty

Items remaining Unit cost

Total

Unit cost

Qty

Unit cost

Total

184

Qty

Consumed / damaged

Received Ref.

Details of items

Date

Name of Item: _______________________________________

CDLD Policy Notification

Annex-19 Community Driven Local Development Livelihood Projects Implementation Guidelines A. CDLD Policy Framework and Livelihood Projects Under the three years (2014 - 18) performance matrix agreed with the European Union, over 7,000 Community Infrastructure Projects (CPIs) are being financed for which the social mobilisation partner mobilise the rural communities and also provides support in the preparation of detailed project proposals. Thus, from the very outset of CDLD interventions, building the social capital of grassroots community based organisations and their networks are mandatory for the success of the programme. Further, the Policy provides an opportunity for the Community Based Organisationsâ&#x20AC;&#x2122; (CBO) to initiate projects of larger beneficiariesâ&#x20AC;&#x2122; interest (costing over PKR 2.5 with a ceiling of PKR 5 million). This is also a prerequisite for any livelihood improvement programme in the target districts. The political economy analysis of the supply side (the provision of funds by the government) for the CPIs is also highly supportive for introducing small scale livelihood interventions within the existing CDLD framework. There is a strong willingness among the line agencies such as Fisheries, Agriculture, Livestock, and Forest Departments; and vocational training institutions to support communities in their respective sectors. However, due to limited number of beneficiaries, first applications in the economic growth sectors are rejected because the beneficiaries are spread over a vast geographic area. The Village Organisations (Vos) or Local Support Organisations (LSOs) have a larger coverage of beneficiaries, therefore such projects which have direct impact on livelihoods improvement or economic growth can be considered under the CDLD livelihoods component. It is also easy for the VOs or LSOs to form Self Help Groups 185

CDLD Policy Notification

(SHGs) or Business Interest Groups (BIGs) and initiate livelihoods or economic growth projects. B. Potential Interventions for Livelihood Component Interventions under the livelihood component should be innovative, mainly focusing on introduction of innovative infrastructure and appropriate technologies. The focus will be on interventions having impact on income enhancement. The VOs, LSOs, and BIGs can propose livelihood projects in all the devolved sectors such as agriculture, livestock, fisheries, technical and vocational skills, etc. The following interventions are some examples that can be considered under the proposed livelihood component: i.

Introduction of communal fish farming for which the organisation will form BIG (Business Interest Groups) each consisting of 4-5 families. ii. Orchard development with potential orchard growers. For this, the Organisation will organise BIGs within its geographic coverage. iii. Collective forest or fruit nursery development. The organisation shall form BIGs and each group shall consist of 5 -10 farmers. iv. Introduction of market based skills development programmes to generate employment opportunities. This will include training in a wide range of skills such as welding, plumbing, electrician, and women vocational skills development. v. Promotion of value chain (value addition in Natural Resource Management (NRM) products, enterprise development and capacity development in promoting NRM like training of farmers and provision of improved inputs for productivity enhancement and farmers field schools (FFS), etc. vi. Establishment of women vocational and training centers for capacity enhancement for income generation. 186

CDLD Policy Notification

vii. Establishment of Community Investment Fund (CIF) for providing grants to the skilled trainees for tools and equipment to initiate income generation activities and provision for grants for revolving fund for income generation. viii. Any other innovative project being proposed through calls for proposals. C. Guidelines for Livelihood Projects Implementation The CDLD livelihood component will consist of three subcomponents; namely livelihood infrastructure projects, skill enhancement, and value addition interventions, and CIF. For the subcomponents further guidelines include:  Livelihood Physical Infrastructure Projects: This component will be funded through regular CDLD call for proposals for which the organisation shall float an application through its member CBOs as a joint intervention.  Skills Enhancement and Value Addition: This component will provide need based market oriented skills to communities including women and girls. Under skills enhancement and value addition, the promotion of NRM related interventions shall also be considered wherein training of farmers and provision of improved inputs for productivity enhancement shall be considered.  Community Investment Fund (CIF): The CIF component further consists of Micro Grant Fund (MGF) and Micro Revolving Loan (MRL). The main focus under MGF will be to provide one time grant for procurement of essential equipment and tools once a trainee’s training is completed. The MGF component will also focus on the ongoing support required for women enterprises initiated by the women members of the VOs or LSOs. Under MRL, there will be a compulsory internal saving mobilisation by the organisation (VO or LSO) to make productive use of

187

CDLD Policy Notification

 



the MRL component. Under both component of CIF, the focus shall be on the productive use of the capital for increase in income or generation of assets. The CIF beneficiaries shall be 60% women and 40% men members of the organisation. CDLD will allocate 6% of its annual funds to finance livelihood projects in each district. Livelihoods project can only be initiated with CBOs’ primary and secondary networks like VOs and LSOs. In order to provide sustained support, BIG networks created under the EU funded PEACE initiative (Programme for Economic Advancement & Community Empowerment) can also apply under CDLD call for proposals for livelihood component. The detailed technical and financial proposals by the organisations (VOs, LSOs, and BIGs) shall have details about business plans, and sustainability plans. For skills and value addition, the upper ceiling is PKR 1.5 million, similarly for CIF it is also PKR 1.5 million. The total cost of the proposal for the two sub components shall not exceed PKR 3 million. For CIF, there shall be a well mobilised community who has the capacity to manage the fund. Thus VOs, LSOs, and BIGs shall have internal saving and bank account to qualify for CIF. Furthermore, there must be trained community resource persons, especially the required trained CIF Community Accountant. In case of organisation lacking the required capacities for CIF management, the necessary training shall be provided by the Social Mobilisation Partner hired by the GoKP. CIF fund cannot be recovered from the organisations (VOs, LSOs and BIGs). Rather it can be used by the organisation to establish local fund. Livelihood projects will only be initiated by CBO networks. There must be concurrence from the participating member

188

CDLD Policy Notification

CBOs. Organisations must submit project proposals covering their area of geographic coverage.  The project proposal will provide baseline information, feasibility and expected benefits on the livelihoods of the beneficiaries.  Avoid high technology projects and propose projects for which there is local technical assistance available.  The SMP hired by the GoKP will provide support to the organisations (VOs, LSOs, and BIGs) in the development of detailed livelihood project proposals. D. Methodology and Approach Applications will be invited from eligible VOs, LSOs, and BIGs for participation through a competitive process. Guidelines for the VOs, LSOs, and BIGs are in (Annex-19.1). E. Funding Being a new initiative, an amount of 6% within the allocated district budget under CDLD will be allocated for the livelihood component. Based on successful implementation experience, the budget allocation may be increased in subsequent years. F. Scrutiny and Approval Of Applications The DDC shall be the competent forum for approval of livelihood projects. The DDC will be assisted by Livelihood Sector Specialists of the Technical Assistance team and SMP hired by the GoKP. In general, it is important for the DDC to consider those proposals which are complemented by a comprehensive business plan, sustainability plan and monitoring plan. Detailed DDC guidelines to deal with livelihood projects are attached at (Annex-19.2). G. Monitoring and Supervision The SMP will provide support to the districts in monitoring and supervision of the livelihoods projects as per agreed templates for each project. Since livelihood projects may vary

189

CDLD Policy Notification

in nature and scope, therefore for each project there will be separate monitoring template, developed and attached with the agreement. H. Operational Strategy

The operational strategy is based on the new CDLD Programme extension phase, including expansion into new districts. The strategy includes the following elements: ď&#x201A;ˇ The livelihood component will be advertised through a separate call for proposals in each district ideally in the 1st quarter of the financial year: ď&#x201A;ˇ The interested organisations (VOs, LSOs, and BIGs) will submit the proposals as per guidelines and templates given in (Annex-2, 3). ď&#x201A;ˇ Technical assistance provided by the SMP is vital for the success of the livelihood programme. Continuous capacity building of the VOs, LSOs, and BIGs is required for all segments of the product value chains. Being a new intervention, the livelihoods guidelines, operational strategy and all of its annexures shall be reviewed after the 1st call for proposal for livelihoods projects. Any changes proposed through a joint review shall be recommended to the PCRC. After the approval of the PCRC, the changes or amendments shall be incorporated in the livelihood guidelines and its Annexures.

J. Risks

Risk Capacity building. Line agencies and LSOs may not have the required skills to implement livelihood projects, especially involving technologies such as food processing and other value addition enterprises.

Mitigation Strategy There are limited capacities within the government departments in value addition, skills development, or providing technical support in innovative physical infrastructure projects. It is recommended that only those projects may be proposed and selected which do not need external technological support. It is also recommended to provide exposure visits to potential organisations and line 190

CDLD Policy Notification

Skills development and CIF. Limited capacities of the public sector in managing the skills development and CIF programmes. Social Capital. The current CBOs, VOs, and LSOs may not have the required social capital and skills to manage the livelihood component. Technological issues. High technology projects like solar systems, drip irrigation, or food processing requires a high level of technical capacity. Selection and prioritisation of CBOs, VOs and LSOs for project execution. Mature and experienced organisations (VOs, LSOs and BIGs) need to be selected to ensure the success of the livelihood component and to avoid hijacking of benefits by influential elements of a community.

agency staff to establish livelihood enterprises. Skills development and CIF programmes may be initiated with organisations having the required skills and operational capacities or support from the SMP. Thus, the services of SMP are vital for the success. The SMP will provide necessary capacities to the organisations (VOs, LSOs and BIGs). Furthermore, the SMP will provide implementation support to enable the local organisations to sustain the livelihoods interventions. Priority should be given to projects for which technology is locally available, and organisations are capacitated by the SMP to implement and sustain the projects. Proper guidelines for DDC project approval are critical for the success of the livelihoods component. The following organisation (VOs, LSO and BIGs) selection criteria may be considered before awarding projects:  Organisations shall have previous community based project implementation experience.  Organisations must provide evidence of training received to ensure proper implementation and sustainability of the proposed project.  The SMP shall hold pre-consultation with proposed beneficiaries of the project before awarding or signing of the agreement.

191

CDLD Policy Notification

Annex-19.1 Guidelines for LSOs, CBO Networks or NGOs for Livelihood Project Implementation under CDLD Policy A. Rationale During the last two years of CDLD operation in Malakand Division a number of Community Based Organisations (CBOs) were formed in each district. In a number of areas, CBO networks called Village Organisations (VOs) and Local Support Organisations (LSOs) at primary and secondary level have been formed. Furthermore, BIGs (Business Interest Groups) are also formed under the EU funded PEACE Initiative. These networks have the capacity to support their members by initiating livelihood sector projects. In each district, an amount of 6% of the total district CDLD allocation will be earmarked for livelihood component projects. Given the potential demand for livelihood projects in each district, it has been decided to advertise livelihood project calls for proposal and provide a competitive bidding environment to all local support organisations to access these funds. B. General Conditions  Only registered organisations (VOs, LSOs and BIGs networks) shall be able to apply for funding under CDLD livelihood component. Proposals from non-registered applicants will be rejected. However, in case of Malakand Division where the Social Welfare Registration Acts are not extended, on the recommendations of the SMP hired by the GoKP special registration of the VOs and LSO by the Deputy Commissioners shall be considered for CDLD livelihoods projects only.  Only one proposal per applicant can be submitted for the two sub components (skills & value addition and CIF). 192  Details regarding livelihoods projects are provided in the main strategy note above and guidelines for District

CDLD Policy Notification

Development Committees (DDCs) are in (Annex-19.2). C. Selection Process  Request for Proposals (RFPs) will be floated through an open advertisement in local newspapers with a minimum of two weeks and maximum one month time limit for proposal submission.  Eligible registered organisations (VOs, LSOs and BIG networks) will submit their proposals to the office of the Deputy Commissioner on the prescribed format (Annex19.3).  The proposal will be evaluated by the DDC chaired by the Deputy Commissioner (DC). The evaluation criteria are at (Annex-19.2).  After evaluation, the successful organisation will be called for agreement signing between the Deputy Commissioner and the selected organisation. The agreed tasks shall be expected to be completed within the prescribed time frame. Any variation in quality, quantity, time, costs, etc. will be subject to prior approval. D. Scope of Work The scope of work in the project proposal will relate to the two livelihood sub components (skills value addition and CIF). In addition, the following guidelines must be observed:  Proven track record or previous experience in community driven development projects.  Evidence that project selection was undertaken with the consensus of all the beneficiary members.  The project shall clearly have a business plan, sustainability plan and utilise available local technology to sustain the benefits.  The proposal should include a clear project baseline, feasibility and expected benefits for beneficiaries.  High technology projects should be avoided, and priority

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shall be given to projects for which technology is locally available.  The proposed project beneficiaries must be members of the organisation. Proposals submitted by individuals or groups outside of the proposed beneficiaries will be rejected. E. Eligibility Criteria The assessment of the eligibility of applicant organisations will be guided by the following criteria:  The organisation has a legal status – must be registered with Social Welfare Department or any other entity authorised by the government for CDLD Programme.  The organisation has an established office in the district.  The Organisation has complete records of the previous works undertaken and has or willing to acquire capacities required for implementation of the projects.  The organisation has audited statement of accounts for at least one year.  The organisation has experience in community driven projects implementation.  Organisation shall have trained cadre of community resource persons especially trained CIF Accountants or willing to acquire capacities to implement the project.  The organisation shall have coverage of women CBOs and as such shall state in the proposals the activities being undertaken with the women members as direct beneficiaries.  The organisation should not be blacklisted or debarred by any government department or similar organisation. F. Project Duration The total duration of the project would be initially for a period of 18 months with scope for further extension (based on

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seasonality or other factors) depending upon satisfactory performance and selection criteria. G. Project Monitoring The organisation will submit timely monthly progress reports to the District Focal Person nominated by the Deputy Commissioner on the prescribed format. A quarterly as well as annual qualitative report will be submitted on agreed dates to the Focal Person. The SMP supported by the Technical Assistance team and the District Focal Person will be responsible for project progress review and monitoring on a monthly and quarterly basis and interaction with the selected organisations. The Focal Person will incorporate the projects’ physical and financial progress in a monthly progress report and submit it to the CDLD Coordinator at LGE&RDD on a monthly basis on the prescribed format. The statement of expenditure and utilisation certificate of the beneficiary organisation will be submitted on a quarterly basis along with a request for funds for the next quarter. Any reports and process documents produced as a part of this project will be deemed to be the property of GoKP and the beneficiary organisation will not have any rights to claim ownership and will not use, disseminate, publish or reproduce the contents of the above documents without the prior permission of GoKP. H. Checklist for Proposal Submission  Copy of registration from Social Welfare or any other entity authorised by the government.  Copy of the audited statement of accounts.  Annual report of previous years, evaluation report, or other communication materials.  Self-declaration by beneficiary organisation that it is not

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blacklisted or debarred by any government department, or similar organisations.  Proof of its presence in the district (e.g. annual report, letter or certificate from any government department regarding its presence in the district).  Detailed project proposal on the prescribed format copy can be obtained from the office of the Focal Person.  No proposal shall be accepted after the due date.

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Annex 19.2 Guidelines for District Development Committee (DDC) for Livelihood Project Implementation under CDLD Policy A. General  The DDC (please refer to section 3 of this notification) chaired by the Deputy Commissioner will be responsible for approval of the livelihood projects.  The Livelihoods Specialist of Technical Assistance Team and the SMP hired by the government will provide technical assistance and guidance to the DDC on the implementation of the livelihoods component.  The Deputy Commissioner will approve the call for proposal advertisement for livelihood projects to be published in the national newspapers. B. Guidelines for Advertisement  The District Focal Person will draft advertisement for livelihood component. After approval by the Deputy Commissioner, the advertisement will be forwarded to the Provincial Information Department.  The advertisement shall clearly indicate the two livelihood subcomponents, i.e. skills enhancement and value addition, and community investment fund.  The advertisement shall be floated in national and local newspapers.  The maximum time for submission of detailed technical and financial proposals shall be one month as stated in the advertisement. C. Terms of Reference (TORs) for the LSOs, VOs BIGs networks  The detailed TORs for the applicant organisations are in Annex 19.1.

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D. Proposals Submission A sample of the project proposal format for the applicant organisations is in Annex 19.3. E. Evaluation of the Project Proposals  The applicant’s proposals shall be submitted within one month after the advertisement to the District Focal Person’s office.  The District Focal Person supported by the Technical Assistance Team and SMP will undertake a preliminary evaluation of all the proposals. This evaluation shall be confined only to the verification of documents as per following criteria: 



Verification of the details of the organisation such as bank account, registration, office holders, area of operation and reference check for the previous work or record. Cross check the information in the proposals and verify if there is any duplication with any other donor agency or programme working in the area. Cross check possible double reporting of the beneficiaries, proposed project, etc.

 District line agencies to verify if the technical and financial proposal is consistent with the livelihood projects strategy.  Prepare an evaluation report of each proposal in light of the above mentioned points.  After verification of the proposal, the next step is to prioritise the proposals as per district budget approved for the livelihood component. The following guidelines may be adopted for prioritising the livelihood project proposals.  The total proposed cost of the proposal should not exceed PKR 3 million. Under CIF MGF per 198

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beneficiary grant shall not exceed PKR 30,000. This grant will be given to the successful trainees for purchasing tools and equipment. However, for women specific enterprise development, per beneficiary grant shall not exceed PKR 50,000.  In case, the value of proposals evaluated exceed the total budget allocated at district level for the livelihood component, the following selection guidelines may be used to rank project proposals:  Projects with maximum number of beneficiaries.  Physical remoteness (i.e. high priority to projects in physically remote areas of the district).  After the above steps are carefully followed, then the Focal Person supported by the Technical Assistance Team and SMP will prepare a working paper for the DDC. The working paper will be based on all the steps undertaken i.e. advertisement, shortlisting, and recommendations for the DDC.  The DDC will hold its meeting within one month of receiving the proposals. The DDC will review all the proposals including those rejected to confirm the validity of the rankings and reduce the element of subjectivity in the process.  The DDC chaired by the Deputy Commissioner will approve the most feasible proposals.  The District Focal Person will submit the budget release request within 7 days after the DDC approval.  The province will release the budget to the district within 7 days after the receipt of the request by the district.  The agreement shall be signed with the applicant organisation within 10 days of the budget release to the district.

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Installments Release  For skills development and value addition projects the first installment amount shall be 60%, second installment 30% and final installment 10%.  For the CIF subcomponent, the following installment schedule shall be followed: The SMP will provide assistance to the applicant organisation (i.e. LSOs, VOs or BIGs) in the CIF. CIF subcomponent

Installment percentage of the total CIF

Micro Grant Fund

 1st installment of 60% soon after signing the agreement for initiating the capacity building or inputs required if any.  2nd Installment of 30% after successful evaluation of the 1st installment.  3rd Installment of 10% after all the complete evaluation of the MGF utilisation.  After successful implementation of the CIF MGF, the full amount for Micro Revolving Fund will be released to the organisation.

Micro Revolving Loan

Monitoring and Supervision i. Organisations awarded a contract with the support of SMP will submit monthly progress reports to the District Focal Person. ii. The SMP will guide and support the local organisations in the implementation of the livelihood projects.

Review and Dissemination of Results  There will be quarterly progress review meetings for the approved livelihood projects at district level to review the immediate results and document lessons learned. An action plan to take corrective measures will be developed and successes will be disseminated for replication in other districts.

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ď&#x201A;ˇ There will be an annual review of the livelihood component focusing on lessons learned and successful approaches. ď&#x201A;ˇ It is expected that each district after the first year of successful implementation will suggest the types of project that merit further support. Guidelines for Assessing Livelihoods Project Proposals #

3 4 5 6 7 8 9 10 11

Livelihoods Project Proposal Assessment Guidelines Is the applicant organisation registered entity? (In case of Malakand, on the basis of SMP recommendations, the districts will issue registration for CDLD projects only) Beneficiary coverage i.e. total number of male and female CBOs covered and their membership. Does the organisation have previous community work experience i.e. record of previous projects undertaken by the organisation? Is the proposal submitted by the organisation have an audit statement for the previous year? Has the organisation previously implemented project for women members? Does the proposed project (technical and financial) have a business plan? Does the proposed project have timelines and monitoring plans? Is the proposed project supported by a sustainability plan? (including O&M plans) Is the project proposed by the organisation technically feasible i.e. all technologies mentioned in the proposal are locally available? Does the organisation have internal savings? Does the organisation have its own office, contact details, bank account in the proposed district? Evaluation Committee own assessment (desk analysis, confirmation from market or beneficiaries about the works being undertaken by the LSO)

201

Score (total score 0-100) 0-10

0-10

0-10 0-5 0-10 0-10 0-10 0-10 0-10 0-5 0-5

0-5

CDLD Policy Notification

Annex-19.3 PROJECT PROPOSAL FORMAT

PROJECT PROPOSAL ON

DISTRICT

Submitted by

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1 2 3

Project title Implementing organisation Correspondence address

Legal status of the implementing organisation Name of the chief functionary Target area

Target group

Project duration

Total budget of the project

Banking details

4 5

Sustainable Livelihood Enhancement of -in VCs / NCs Address: Phone #: Cell #: Email: Registration number: Name: Designation: VCs / NCs: Villages / Hamlets: Tehsil: District: Men (shall be members of CBO/s). In case of youth, the father or mother shall be member. Women (shall be member of CBO/s). In case of girls, the mother or father shall be member of CBO. Total financial requirement is Rs. ___ (%)_ Government Contribution Rs. ____ (%)___ Local Contribution Rs. ______ (%)_______ Account number: Account title: Bank branch address:

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PROPOSAL OUTLINE 1. IMPLEMENTATION ORGANISATION PROFILE 1.1 About the organisation: Vision: Mission: Legal status: Registration number: Objectives: 1. 2. 3. 4. 5. Strategy: 1. 2. 3. 4. 1.2. Organisation coverage: 1. Village councils coverage. 2. Number of men CBOs and women CBOs or mix CBOs covered. 3. Number of men and women beneficiaries. 1.3. Previous development activities or projects undertaken 1. 2. 3. 4.

Type of projects cost of project. Cost of projects. Beneficiaries of the development projects. Impacts of the development projects.

1.4. Existing capacities or resource persons available within the organisation.

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1.5 Internal savings programme of the organisation. 5. Existing total savings generated. 6. Strategy for savings mobilisation (user fee, voluntary savings, chanda (charities) system, committee system, etc.). 1.6 How the selection of beneficiaries is undertaken for income generation projects. 1.7. Conflict resolutions mechanism (if any) Project Holder: 2. PROJECT DESCRIPTION 2.1 Problem analysis for identification of livelihoods projects. 2.2 Background of the project: 2.2. Situation analysis: a. Political factors: b. Economical factors: c. Social factors: d. Ecological factors: f. Technological factors: g. Legal factors: 3. PROJECT DESIGN 3.1 Details Technical feasibility: 1. For skills development and value addition: a. Potential areas of skills. b. Linkages (if any). c. Business plan for the skills. d. For value addition: potential sectors, feasibility, business plan. 2. For CIF (Community Investment Fund): a. Details on scope of work and utilisation of CIF sub components i.e. MGF and MRL.

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b. Internal saving mobilisation. c. Previous community work experience of the organisation. d. Business plan. e. Resource person within the organisation to manage CIf including CIF accountants. Financial feasibility: 3.2. Target Area #

VC / NC

Villages

Male

Female

Total

1 2 3 4 5 6 7 8 9 1 0

3.3. Target people: The number of direct beneficiaries of this project would be X# members from Y# CBOs. The number of indirect beneficiaries would be Z# families. 3.4. Project duration: Estimated duration of the project is ______ months.

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4. PROJECT IMPLEMENTATION STRATEGY 4.1: Activity description: (Here the organisation is required to state all the activities description which is vital for the success of the project implementation. 4.2. Activity schedule: The following is the activity schedule of the project. S. #

Activity

M 1 (month 1) W1

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17

4.3 Inputs (resources) requirements for the project: 4.3.1. Material resources 4.3.2. Human resources 4.3.3. Financial resources The total financial requirement is Rs. __________/towards entire project cost for _______ months. The government contribution is Rs. _______(%) and local contribution is Rs._______(%). 207

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S. #

Expense head

Amount

Percentage

Skills development and value addition

CIF (Community Investment Fund

Total

100%

4.4. Project Monitoring and Evaluation:

5. PROJECT SUSTAINABILITY: Yours sincerely, Name: President: Name of organisation:

Note: The template contents shall be used as guidelines. The organisation can give additional information for justification and for the approval of the project).

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GOVERNMENT OF KHYBER PAKHTUNKHWA

LOCAL GOVERNMENT, ELECTIONS AND RURAL DEVELOPMENT DEPARTMENT