DEVELOPING NGO PARTNERSHIP:

GUIDELINES

For CARE Nepal Staff

May 2000

Developed by:

CARE NEPAL Kathmandu

TABLE OF CONTENT

1.0 BACKGROUND............................................................................................................................................. 1

1.1 WHY THIS DOCUMENT .........................................................................................................................1 1.2 PARTNERSHIP DEFINITION..................................................................................................................2 1.3 THE OBJECTIVES OF PARTNERING....................................................................................................2 1.4 TYPES OF PARTNERS.............................................................................................................................3 1.5 DIFFERENT FORMS OF PARTNERSHIP RELATIONS........................................................................4 1.6 PRIORITY FOR SELECTION OF PARTNERS AT THE PROJECT LEVEL.........................................5

2.1 HOW TO BE GOOD PARTNER.................................................................................................................. 6

2.1 CHALLENGES OF TRUE PARTNERSHIP .............................................................................................6 2.2 QUALITY OF GOOD PARTNERSHIP ....................................................................................................8

3.0 IDENTIFICATION AND SELECTION OF NGOS FLOW CHART ....................................................... 9

3.1 IDENTIFICATION AND SELECTION OF NGOS.................................................................................. 10

DETAIL PROCESS FOR DISTRICT BASED NGOS..................................................................................... 10

3.1.1 PREPARATORY STEP......................................................................................................................10 3.1.1.1 Develop an overview of NGOs in district (s) ...............................................................................10 3.1.1.2 Identify areas for partnership ......................................................................................................10 3.1.1.3 Form a NGO Management Committee ........................................................................................11 3.1.1.4 Review and approve NGOs selection criteria..............................................................................11

3.1.2 SELECTION STEP.............................................................................................................................11 3.1.2.1 Call for letter of interest from NGOs...........................................................................................11 3.1.2.2 Preliminary screening of NGOs ..................................................................................................11 3.1.2.3 Organize introductory workshop on partnership process & procedure ......................................13 3.1.2.4 Call for proposal from NGOs ......................................................................................................13 3.1.2.5 Review and recommend proposals ..............................................................................................14

3.1.4 IMPLEMENTATION STEP ................................................................................................................14 3.1.4.1 Conduct organizational assessment of recommend NGOs ..........................................................14 3.1.4.2 Select the organizations...............................................................................................................15 3.1.4.3 Develop action plan for institutional strengthening ....................................................................15 3.1.4.4 Prepare and sign agreement/Memorandum Of Understanding...................................................15 3.1.4.5 NGOs implement & monitor program .........................................................................................15

3.1.5 EVALUATION STEP.........................................................................................................................16 3.1.5.1 Review meeting ............................................................................................................................16 3.1.5.2 Joint evaluation of partnership activities ....................................................................................16 3.1.5.3 Identify and select long-term partners.........................................................................................16 3.1.5.4 Develop and implement action plan for institutional strengthening for long-term partners .......17

4.1 SELECTION PROCESS FOR EXTERNAL ORGANIZATIONS .......................................................... 18

4.1.1 NGO MANAGEMENT COMMITTEE...............................................................................................18 4.1.2 DEVELOP SELECTION CRITERIA..................................................................................................18

4.2 SUGGESTED MODALITIES FOR SELECTION OF EXTERNAL ORGANIZATION..................... 19

4.3 DETAILED PROCESS FOR SELECTING EXTERNAL/ PROFESSIONAL ORGANIZATIONS ... 20

4.3.1 OPTION I: OPEN TENDER................................................................................................................20 4.3.2 OPTION II: CLOSED TENDER .........................................................................................................21 4.3.3 OPTION III: SOLE-SOURCING.........................................................................................................22

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5. INSTITUTIONAL STRENGTHENING .................................................................................................... 23

5.1 WHAT IS INSTITUTIONAL STRENGTHENING? ..............................................................................................23 5.2 WHY INSTITUTIONAL STRENGTHENING?....................................................................................................23 5.3 HOW TO DO INSTITUTIONAL STRENGTHENING?..........................................................................................23 5.4 SOME EXAMPLES OF POSSIBLE INSTITUTIONAL SUPPORT ......................................................24 6.1.1 ORGANIZATION................................................................................................................................25 6.1.2 FUNDING............................................................................................................................................26 6.1.3 OVERHEAD........................................................................................................................................26 6.1.4 FINANCIAL REPORTING & MONITORING ..................................................................................26 6.1.5 DURATION .........................................................................................................................................26 6.1.6 TRANSPARENCY ..............................................................................................................................27 6.1.7 MONITORING ....................................................................................................................................27 6.1.8 PROCUREMENTS..............................................................................................................................27

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ABBREVIATIONS AIP Annual Implementation Plan CAT Capacity Assessment Tools CBO Community Based Organizations CDO Chief District Officer CGUG Community Forestry Users Group CRT Center for Rural Technology DDC District Development Committee IFCD Innovative Forum for Community Development INGO International Non-governmental Organization IS Institutional Strengthening KIDEKI Kishan Dekhi Kishan Samma LDO Local Development Officer LDTC Local Development Training Center LGP Local Governance Project LRSP Long Range Strategic Plan M&E Monitoring and Evaluation MoU Memorandum of Understanding NFE Non Formal Education NGO Non-governmental Organization NMC NGO Management Committee NTFP Non-Timber Forest Product PMT Project Management Committee PRA Participatory Rural Appraisal SACOS Savings & Credit Cooperative Ltd. ToR Terms of Reference TOT Training of Trainers UNDP United Nations Development Program VDC Village Development Committee YSC Young Star Club

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DEVELOPING NGO PARTNERSHIP: GUIDELINES

to mcommi

1.0 Backg Partnering withthe reach andthrough local inservices to bimplementing oorganizations a CARE Nepal hasustainability opartners, ranginSavings and C(CFUGs) and emphasis on pPlan (LRSP), wincrease impact 1.1 WHY TH The objective identify, select, CARE Nepal. organizations (external/professgovernment linseparately on th The contents oThe partnershiproject level, institutional devlong-term partn

The task for international governance is not icromanage actions that depend on the genius,

tment, and ingenuity of individuals worldwide, but to ensure that climate is favorable for them.

L. Brown, State of the World, 1995

round local institutions has proven to be an important means of increasing sustainability of development initiatives. Implementing activities stitutions, particularly local NGOs has the double benefit of providing eneficiaries while increasing the institutional capacity of the rganization. As Nepal's NGO sector evolves, many development

re placing increasing emphasis on partnering as a valuable strategy.

s identified partnering as an important way to increase the reach and f its programs. CARE Nepal already works with a wide variety of g from government, to local Non-Governmental Organization (NGOs), redit Cooperative Ltd. (SACOS), Community Forest Users Groups

most significantly, Community Based Organizations (CBO). This artnership is in-line with CARE Nepal's current Long-Range Strategic hich aims to "develop more effective partnerships at all levels to and coverage".

IS DOCUMENT

of this document is to provide guidelines for CARE project staff to and implement various activities through partners within all projects of The document only deals with partnership with district-based NGOs, CBOs, SACOS, FUGs, Registered Users Committee) and ional/support organizations. It does not deal with partnership with e agencies, private sectors, and VDC/DDC, which will be dealt rough another guidelines.

f this document include guidelines on all facts of partnership process. p process includes the identification, selection of partners at the conducting capacity assessments of the selected organizations, elopment, and monitoring/evaluation of the activities, process of the ers selection.

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1.2 PARTNERSHIP DEFINITION CARE Nepal’s short-term partnership strategypaper-1996 provides the following definition for partnership:

Partnering involves the establishment of relationship between CARE Nepal and other institutions and groups, which ultimately aim to optimize the delivery of services to project participants. The basis of partnering is that each of the partners brings something – usually skills and/or resources – to the collaboration. There is mutual trust and commitment to shared objectives.

Similarly, the CARE's Asia regional partnership conference in Dambula, Sri Lanka in November 1997 provided the following definition:

Partnership for CARE in Asia is mutually beneficial alliance of diverse types with complementary organizations to empower targeted communities to achieve improved quality of life. It is a dynamic and evolving relationship based on trust, accountability, shared vision and clear roles and responsibilities.

1.3 THE OBJECTIVES OF PARTNERING

The objectives of CARE Nepal’s partnering activities are:

• Principally, and in accordance with the LRSP principles, to enhance program impact through collaboration with other organizations, that have proven expertise in particular areas;

• Secondly, to support the institutional development process of emerging organizations that have the potential to address development needs in a sustainable and cost-effective way.1

1 Partnership and CARE Nepal a short-term strategy paper, 1996

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1.4 TYPES OF PARTNERS CARE Nepal works in partnership with different organizations as the following table shows:

TYPES OF PARTNERS

SN

PARTNERS

EXAMPLES

1 Non-Government Organization (NGOs), Savings and Credit Cooperative Ltd. (SACOSs), Community Forest Groups

• Kishan Dekhi Kishan Samma (KIDEKI) • Local Development Training Center (LDTC) • PEACEWIN • Young Star Club (YSC) • Center for Rural Technology (CRT)

2 Professional/Support Organizations

• Innovative Forum for Community Development (IFCD) • Center for Rural Technology-Nepal (CRT) • LI-BIRD • SAMUHIK ABHIYAN • Center for Self-help Development etc.

3 Government Line Ministers

• Ministry of Forests • Depart of Soil Conservation • Remote Area Development Committees • Social Welfare Council

4. District Line Agencies • District Livestock Support Office • District Agricultural Office • District Health office • District Forest Office

5. Private Sector • Seed Vendors • Women Craft Centers • NTFP Collectors and buyers/traders • Pharmacists • Animal Health Workers

6 Local Government • District Development Committees • Village Development Committees • Municipalities

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1.5 DIFFERENT FORMS OF PARTNERSHIP RELATIONS

DIFFERENT TYPES OF PARTNERING2

TYPES OF

PARTNERSHIP

RELATIONSHIP

WHEN POSSIBLE

EXAMPLE

DIRECT FUNDING

Partners provide services to CARE by designing & implementation of programs/projects & CARE channels funds.

Useful with organization, having some experience and project takes the strategy of "Learning by doing" in partnering with the organizations.

If project is planning to build the capacity of the community or partner in particular area in the area project does not have, expertise or wishes to take external support organizations to provide the services.

Kishan Jagaram Sangh, Andha Andhi Community Development Center, Sayapatri Youth Club, LIBIRD, Center for Rural Technology, and SAMUHIK ABHIYAN

INSTITUTIONAL STRENGTHENING/ TECHNICAL ASSISTANCE

CARE provides support for the enhance/development of management, equipment, and infrastructure capacity to each other’s.

This type of services is useful for the local organization relatively new organizations having no experience but potential for the future growth. Project is planning to provide support to strengthen the capacity of selected organizations.

Capacity building on multi year planning of DDC and VDC of Bajura district.

Agreement for institutional strengthening component of own organization only, partners will not implement any activities at community level

JOINT VENTURE/ CONSORTIUM

CARE and partner design, implement and share the resources, risks and use the comparative advantages.

CARE and partners are relatively with similar capacity, contribute equal amount of resources in terms of cash and kind.

This type of partnership can be useful with the experienced organizations that can bring rich experience in project design, implement, and share some of the resources and ready to take risk.

CARE, JSI, and District Health Office jointly designed, share resources and risk to implement ARI activities in Bajura district.

The project can develop partnership with organizations in different forms as per the project needs. It may be the single form of partnership type or combination of different forms of partnership. 2 Adapted from CARE Nepal Short-term partnership strategy 1996

1.6 PRIORITY FOR SELECTION OF PARTNERS AT THE PROJECT LEVEL Generally, while selecting partners, CARE/project should give priority as follows:

a. An organization registered at project districts and working in project's working area.

b. Organizations registered at project district. c. Organizations registered at other district and having legal branch at project

district. d. Organizations registered at other districts and working at project district. e. Organizations registered at other districts and professional organization.

However, depending upon the situation and needs the Project Management Team can make decision as required with valid justifications.

2.1 HOW TO BE GOOD PARTNER 2.1 CHALLENGES OF TRUE PARTNERSHIP

The role of NGOs has become increasingly important in making various activities of local development people-oriented and also in extending services and facilities to the grassroots level. Ina liberal administrative environment created after the restoration of democracy, NGOs have become involved in large numbers in various sectors. While many NGOs are involved in local development activities as well, it has not been possible to mobilize most these NGOs to the village level development areas. Therefor, it has become necessary to orient NGOs to local development work thereby motivating them to implement programs aimed especially uplift the living standard of the backward class in backward regions. Although the number of international non-governmental organizations (INGOs) as well as local NGOs working around the country either with various particular objectives or aiming at specifically targeted groups in much larger, there are few NGOs in operation that are well-organized, have abundant resources and are effective. Even the services and scope of activities of those NGOs which are actively in operation are limited and small in terms of coverage. For mobilizing such organizations effectively, the lack of coordination among different activities of these NGOs, the lack of integration of such activities with local self-governance system, the failure to implement programs by the NGOs. In conformity with social, economic, and cultural characteristics and lifestyles of the particular communities, and the lack of proper record-keeping system to monitor and record the activities and achievements of these NGOs are some of the main problems.3 We have very short history of the NGOs' involvement in the development process. In the past, the NGO sector was active mostly in the philanthropic activities only. This sector became very active when INGOs, donors, bi-lateral, and multi-lateral organizations adopted the strategy of working with NGO sector. Especially in the remote areas due to short involvement of the NGOs in the development-process some how they lack the technical as well as managerial capacity to implement activities. There are very few NGOs, who employee full time professionals staff to manage the NGOs' activities, most of the NGOs are managed by part-time volunteers. Basically, they are working full time in other organizations such as school teacher, VDC personal, government staff and also businessperson. The relationship between NGOs and INGOs and donors are giver and receiver not the partners. INGOs and donors provide money, NGOs implements activities, and in most cases, INGOs and donors decide every thing. Because

3 Ninth Plan document (3.2.18)

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of long involvement as implementers, INGOs and donors have developed a kind of biases of "implementers". At the same time, the NGOs feel that they are the implementing agents of the INGOs and donors. Despite this situation, there are many potentials in working with the NGOs such as low cost of the program operation, can mobilize local expertise, skills, and other natural resources for the sustainability of the activities at the community level. In this context, NGOs should be mobilized in a way to make works complementary to the development activities carried out by the government. But, the capacity of local NGOs is not in quite favorable to implement activities in partnership. That is why CARE should include the institutional strengthening component in the program for the local NGOs and community as well. By including this component in some cases the program cost might go little high but it should no be considered as operational cost, rather it should be considered as program strengthening cost. Partnering with NGOs presents special learning opportunities from which both CARE mission and the NGOs can benefited by sharing the experiences and resources. Considering the situation the organization like CARE should follow the following partnership principals:

! Weave a! Built tru! Find sha! Honor th! Generat

differen! Address! See part

PARTNERSHIP PRINCIPLES

fabric of sustainability st red goals and interest e range of resources

e a culture of mutual support & respect for ces relationship difficulties as they occur nering as a continuos mutual learning process

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2.2 QUALITY OF GOOD PARTNERSHIP The thrust of developing partnership is not only to implement the activities but also to improve the capacity of partner organizations in relation to program delivery and institutional strengthening. To ensure the improvement of the capacity of the partner project can use the following indicators:

• Trust and respect • Shared power • Shared risks • Shared learning

To facilitate this process project may jointly develop a detail tool with partners. While developing the tool project and partners should decide in which area they want to focus, accordingly they can give the weighted on each indicator. Please refer Annex - 5 for sample out line of the tool.

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3.0 IDENTIFICATION AND SELECTION OF NGOs FLOW CHART

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3.1 IDENTIFICATION AND SELECTION OF NGOs

DETAIL PROCESS FOR DISTRICT BASED NGOs

An important part of an effective partnership is identification of appropriate and compatible NGOs. The following process is recommended for the identification and selection purpose.

3.1.1 PREPARATORY STEP

3.1.1.1 Develop an overview of NGOs in district (s)

To find out the general overview of the organizations in the project district (s). The project should prepare a database of the NGOs of the project district/s. For which the format: GENERAL INFORMATION OF DISTRICT BASED ORGANIZATIONS can be used. A sample format is shown in Tool - 1. The information can be collected from the secondary sources such as District Administration Office, Social Welfare Council, District NGO Coordination Committee4 and NGO Federation District Branch. Information required are: Name, address, goal/objectives, date of registration, date of last renewal, working area(s), contact person, and area of expertise, of the organizations. At the end of this exercise, the project should be able to determine the number of organizations experienced in different sectors. This process will give an indication whether partnering with organizations is possible, and if possible in what areas partnership may be possible.

3.1.1.2 Identify areas for partnership

By analyzing the information collected from the step one and the project's planned programming areas the project can decide which sector and sub- sector of activities will be implemented with NGOs as well as whether district based organizations can work or the project need to bring external organizations. Project management team should make decision on which activities will be implemented with which partners. Even if there are no experienced NGOs, the project can still partner with NGOs in implementing less complex activities in the beginning with less experienced NGOs. In such a situation, the project needs to invest more resources in the NGOs training for the capacity building.

If there is a need to bring external organizations please refer Section – 4 for Selection of External/Professional/Support Section. (Page No. 18)

4 This is a group of NGOs federating for specific purpose

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3.1.1.3 Form a NGO Management Committee

In order to establish a transparent selection process, participation of other institutions is essential. Therefore, the project should facilitate to form a district level NGO Management Committee (NMC). The Project Management Team (PMT) will have to decide the NMC members and the number of members. It should be decided on case by case basis, depending upon the umbrella agreements with CARE Nepal's counterparts. For example, if a project wants to implement NFE in partnership with organizations, then the District Education Officer should be involved as one of the member of the team. The roles and responsibilities of NMC are shown in Annex –1.

3.1.1.4 Revie

Based ushould dscreening

3.1.2 SE 3.1.2.1 Ca

The projeNGOs toproject. allocationinterest. organizaapplying shown in

3.1.2.2 Pr

The NMCdevelopedays of th

The projorganizaof the or

In RABNP - Bajura the NGO selection committee comprises CDO,LDO, Representative of NGO Federation – Bajura, DistrictProgram Advisor of LGP/UNDP, and Project Manager/CARE.

w and approve NGOs selection criteria

pon identified activities to be implemented in partnership the NMC evelop and approve specific NGO selection criteria. Basic criteria for of NGOs are shown in annex - 2.

LECTION STEP

ll for letter of interest from NGOs

ct should call for submission of a letter of interest from district based implement selected activities and programs in partnership with the At least 10 days (based on the geographical condition the time may vary) should be given to potential NGOs to submit the letter of The interested NGOs should submit the letter of interest along with tional background, which includes experience and expertise of the organization. A sample format of organizational background is

Tool – 2.

eliminary screening of NGOs

will perform preliminary screening process by using selection criteria d by NMC. The NMC should publish a list of selected NGOs within 7 e last date of submitting the letter of interests.

ect staff can start initial exploratory discussions with short-listed tions, visiting their offices, projects, meeting with members and staff ganization. In this step project, staff can determine the status of the

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NGO in relation of how strong is that NGO in following areas: managerial capacity, technical capacity, and political affiliation. PMC can categories the selected NGOs as follows:

CATEGORY

ORGANIZATIONAL STATUS

POSSIBLE PARTNERSHIP

A

# Local NGOs with past experience in

implementing activities # Established organizational operation

systems, # Have regular full time staff/volunteer

# Funding from project # Joint development of

program # There may be no need for

basic institutional support

B

# Local NGOs with sound background # Experience in project implementation # Do not have operational systems

regular staff.

# Fund program activities

with institutional strengthening component supported by project.

C

# No experience in project

implementation # Does not have regular staff # Can mobilize local resources # Potential in organizational growth # Relatively very new organizations

# Funding may be limited to

institutional strengthening supported by project.

D

Organizations specialized in one sector

# Technical assistance to

develop the capacity of the local organizations and the project supported by project or with other resources.

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3.1.2.3 Organize introductory workshop on partnership process & procedure

Invite the short-listed organizations to participate in introductory workshop. It is not necessary to involve those organizations that have already implemented activities in partnership with the project. The objective of this workshop is to orient potential organizations on the expected roles and nature of partnership, and to discuss on the selection process. The workshop should cover the following areas:

• introduce the potential partners and project • orient on partnership process and procedure • share and discuss the program development process • discuss the proposal formats • determine possible activities to be implemented in partnership

Two representatives (active board member who can read and write) from each NGO should be invited. Project should not provide any financial as well as other support for the participants of the workshop. The reason for not providing financial support is to determine the NGOs commitment and resources. The project should give at least 7 days (based on the geographical condition time allocation may vary) advance notice to potential NGOs to show their interest to participate in the introductory workshop. The introductory workshop outlines are shown in Annex – 3.

3.1.2.4 Call for proposal from NGOs

The NMC should call for proposal from the organizations, which participated in introductory workshop and the project's current partners. The selected organization should submit proposal in pre-developed format. The suggested checklists for the content of the proposal are as follows:

• Situational analysis of proposed working areas

• Process of prioritizing community needs

• Objectives of the program • Expected outcomes • Direct & indirect beneficiaries • Implementation strategy

• Local resource mobilization strategy • Project management • Project duration and action plan • Monitoring and evaluation plans • Job description of project personnel • Details of budget • Progress and financial reporting

frequencies • Financial requirements

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A sample format of proposal outline is Tool - 6. The NGOs should submit the detail proposal along with detail organizational profile. A sample of organizational profile format is shown in Tool –4. At least 3 weeks time (based on the geographical condition time allocation may vary) should be given to potential organizations to submit the detailed proposal.

3.1.2.5 Review and recommend proposals

All proposals should be reviewed by using proposal review criteria and guidelines finalized by the NGO Management Committee. The NMC will be responsible for the recommendation of best proposals received from the organizations. A sample review guidelines is shown in Tool – 5. Organizations will be notified of the result of selection process, including organizations whose proposals were not selected within 20 days from the last date of the submission of the proposal.

3.1.4 IMPLEMENTATION STEP 3.1.4.1 Conduct organizational assessment of recommend NGOs

After the review process is completed, the project should conduct organizational assessment of the selected partners. This step is applicable only for organizations selected for first time only. It is not necessary to conduct organizational assessment for the support organizations and professional organizations. To facilitate this process project will use the Spider Web and NGO Assessment Tool, being developed and institutionalized by CARE Nepal. These are self-assessment tools, the project will only facilitate the process of assessment. There are five component in Spider Web namely: a).Organization (b) Management (c) Resource mobilization (d) Linkages, and (e) Participation/representation, similarly the NGO Assessment tools has four component they are: (a) Program planning, implementation, monitoring, and evaluation (b) Organizational structure and management (c) Resource mobilization and (d) Coordination and networking. (Refer: NGO Assessment Tool, Spider Web Manual)

The project will facilitate the assessment process of the partners and prepare the assessment report. This report should contain the strengths, weaknesses, and recommendation for the organizations.

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3.1.4.2 Select the organizations

Project will make the final selection of the partner organizations on the basis of the NMC's recommendations and the findings of the capacity assessment of the selected organizations. If required the project and partners will make necessary adjustment in the proposal submitted by the NGOs.

3.1.4.3 Develop action plan for institutional strengthening

The NGOs should develop an action plan for institutional strengthening. If required project can support to develop action plan to the selected partner.

NGOs should note that project will not provide all supports needed to address recommendations indicated in the assessment report. NGOs are encouraged to explore other sources of support. Such support and the responsibilities of each NGO should be clearly described in the agreement.

3.1.4.4 Prepare and sign agreement/Memorandum Of Understanding

Invite selected NGOs to develop agreements between the selected NGOs and the project.

Project Manager and/or counterpart on behalf of the project and Chairperson/Secretary on behalf of selected NGOs (or officially authorized person) can sign partnership agreement/Memorandum of Understanding (MoU). Representative(s) from the NMC can sign at witness on the agreement. The official copy of authorization for the signature of the NGO should be attached to the agreement. A sample format of agreement is shown in Tool – 6.

Depending upon the approval authority of the project manager the selected proposal and along with draft copy of the agreement documents (printed copy as well as a floppy diskette) should be forwarded to CARE Nepal country office for signing the agreements. The approval limit for the project manager is shown in Annex – 4.

3.1.4.5 NGOs implement & monitor program

The NGO should develop and submit a detail of Annual Implementation Plan (AIP) in consultation with the project. Once the AIP is finalized the NGOs should submit the fund request to the project and the project should have to release as per the agreed schedule.

Based upon the AIP the NGOs should prepare the Monitoring and Evaluation Plan (M&E). As per the AIP and M&E plan NGOs implement the activities. AIP/M&E plan should clearly define the roles and responsibilities of project as well as the NGO.

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The partners will have to closely monitor the activities as in AIP and M&E plan. The project staff should also monitor the activities being implemented by the partners. While monitoring the activities being implemented by partners the project staff should analyze the achievements against the project logical frame work. During the monitoring, project staff and NGO personal should provide mutual feedback to each others. Project staff try to make monitoring activities itself as a part of capacity strengthening of the partners. During the monitoring project staff can provide technical as well as managerial inputs to the partners. The monitoring activities should not only be restricted on counting the numbers. Please refer Project Information Management System (PIMS) used by CARE Nepal for monitoring formats for different activities.

3.1.5 EVALUATION STEP 3.1.5.1 Review meeting

The NGOs should organize half yearly Participatory Review Meeting (PRM) with different stakeholders to discuss management and technical issues and to provide mutual feedback to each other's. During the review, meeting representatives from VDC, local level line agencies, project, and District NGO Management Committee should be invited.

3.1.5.2 Joint evaluation of partnership activities

The project and the partner should conduct joint evaluation of partnership activities as well as partnership relationship. The evaluation of the partnership activities should be done according to the pre-set indicators on proposal. The partnership relationship should be reviewed according to the criteria developed to measure the quality of good partnership, the indicators for a good partnership, which is shown in Annex – 5. Representative from the NGO Management Committee should be invited during the joint evaluation process.

3.1.5.3 Identify and select long-term partners

The project should select few key partners for long term relationship. The selected partners can be developed to lead different sectors such as NFE, bee-keeping, family health program etc.

Example: Local Development Training Center, Mohottari is lead organization for NFE program. PEACEWIN is an example of lead organization in integrated community development programs.

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Selection process for the long-term partners should start only after the NGOs complete one year of partnership with the project. The following points should be considered while selecting key partners:

$ At least one year of experiences of implementing activities in partnership with project

$ Good performance record while working with project and other organizations.

$ High possibilities of multi-year partnership (technical as well as managerial).

3.1.5.4 Develop and implement action plan for institutional strengthening

for long-term partners The project should re-assess the capacity of selected NGOs for long-term partnership by using the same NGO Assessment tools, and Spider Web Tool. Based on the recommendations of the organizational assessment the NGOs should develop an action plan for institutional strengthening. The action plan should include the commitments from project, the partner organization, and other external agencies. Project should not take the sole responsibility for the implementation of institutional strengthening plan. The NGOs should look for resources from other agencies/institutions. The project and the partner should jointly monitor and evaluate the institutional strengthening plan for at least once in a year.

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4.1 SELECTION PROCESS for EXTERNAL ORGANIZATIONS (Related to Option II in the flow chart)

SELECTION PROCESS FOR EXTERNAL/PROFESSIONAL/ SUPPORT ORGANIZATIONS If a project decides to bring an external/professional/support organizations to implement activities in partnership, the project should take the following steps.

4.1.1 NGO MANAGEMENT COMMITTEE

The same NMC can function for local organizations or external support organization. (See section 3.1.1.3 for detail)

4.1.2 DEVELOP SELECTION CRITERIA

Based upon identified activities to be implemented through external NGOs the NMC should develop specific partner selection criteria for which the following points should be considered: • Registered as legal entities with appropriate agency of the government,

and duly renewed. • Compatibility of vision, mission, goals, and objectives with the project • The organization must have three years of relevant experience and

capacity to undertake similar activities. • The organization should have good management practice and sufficient

human resources.

Please refer "Identification and selection of partners for district based NGO" section for implementation and evaluation steps.

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4.2 SUGGESTED MODALITIES FOR SELECTION OF EXTERNAL ORGANIZATION

Three options are recommended for the selection of external/professional /support organizations namely: Open Tender, Close Tender, and Sole sourcing. Projects are free to choose any options. Project should give clear justification for any one of the options. There are advantages and disadvantages in each option. Following is an analysis of the three options:5

TYPES CHARACTERISTICS ADVANTAGES DISADVANTAGES OPEN TENDER

• Open competition, anyone can make a full proposal which, in turn, will be assessed

• Good process for obtaining basic, standard services where price is the main factor.

• Can be more time consuming if many applications are submitted.

CLOSED TENDER

Two-step process: 1. Short-list capable

and quality agencies

2. Invite short-listed to develop full proposals which are assessed

• Choose this option where services required are not precisely specified at the time of the tender

• Good approach when a large pool of potential service providers is required.

• Has the advantage of openness, without the disadvantage of having to review many inadequate proposals.

• Comparatively less time required with open tender.

• Time consuming, as a pre-qualification stage is added

• Elaborated process required

SOLE SOURCING

• One service provider is selected, and then asked to develop a proposal whose cost are negotiated

• Choose this option when specific or unusual expertise or methods are required

• Agency can get down to job quickly

• Fast and efficient • Appropriate method for

existing partners where their standards and background are known

• Selection may be perceived as not being transparent

• As there is no price competition, it can be more costly

• Can breed complacency on the part of service suppliers

• Limits alternative approaches, methods and ideas.

5 Adopted from Partnership Guidelines/Mechi Hills Development Program Phase III/SNV- Nepal

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4.3 DETAILED PROCESS FOR SELECTING EXTERNAL/ PROFESSIONAL ORGANIZATIONS

4.3.1 OPTION I: OPEN TENDER a) Develop detailed Terms of Reference (ToR)

The ToR should include:

• Project outline • Role of the service provider • Role of project • Required expertise of the service provider • Criteria for selection of service provider • Basic requirements of the proposal:

• An organizational profile • Details of completed or on-going project being implemented by the

organization • Separate technical and financial proposal

• Basic requirements criteria for the submission of the proposal

b) Develop proposal evaluation matrix. A sample proposal review guidelines is shown in Tool – 4.

c) Call for letter of interest. Publish request for letter of interest in national newspaper such as Gorakhapatra, Samacharpatra, Kantipur, The Rising Nepal, Kathmandu Post, Nepal etc. with terms of reference (ToR) from qualified organization.

d) Conduct preliminary screening of organizations by using the basic requirement criteria. A short list of the selected organizations can be prepared.

e) The project should call for technical proposal and financial proposal in separate documents, from the selected organizations. At least 3 weeks time should be given to the selected organizations to submit detailed proposal.

e) The selected organization should submit proposal in standard format. A sample of format is shown in Tool – 3.

f) Since this is open tender there may be huge number of the proposals submitted by different types of organizations. To reduce unnecessary work two- stage review process can be used:

i) Review the technical part of the proposal using the proposal rating

guidelines. Select few proposals

ii) Select organizations for further review on the financial proposal.

iii) Open financial proposal of these organizations.

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iv) Compare with projects' budget allocations for this component. If necessary negotiate with top ranking organization decide and sign contract.

v) If the top ranking organization unwilling to compromise, the organization which has been ranked second will be invited for negotiation and so on.

4.3.2 OPTION II: CLOSED TENDER In this option, project will facilitate the process of developing a Resources Directory of Professional/External organizations. The closed tender option could be useful mainly for the short term assignment and providing technical support for CARE, such as providing training to the project staff and project partners, conducting evaluation of the projects, research, preparing case studies etc.

Following process will be taken: a) Prepare a brief summary of the nature of support services required by the

project. Information should include:

• kinds of services required • role of the potential partners • qualification of external/professional organizations

b) Call for letter of interest. A notice should be published in national newspapers such as Gorakhapatra, Samacharpatra, Kantipur, Kathmandu Post, and The Rising Nepal etc. Each interest should include:

• Profiles of completed or on-going activities implemented by the applicant

• A proposal concept and approach for delivering specific support services

• An organizational profile.

c) Review and shortlist the organizations.

d) Prepare and develop a pre-selected external/professional organization directory. The directory will include qualification, experience, and the types of services they can provide. The directory will also include the term and conditions of each organization.

e) The PMC can select any organizations to work with them from this directory.

f) The project can call proposals from selected organizations. Once the project receives, proposals follow the steps in open tender.

g) Every two years CARE country office should updates the resource directory of external/professional/support organization.

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4.3.3 OPTION III: SOLE-SOURCING This option will apply to agencies with which CARE has on-going partnership relation. This option is used to select organizational/individual consultants for short-term assignments, or when current partnership is renewed. Normally, it is advisable to use this option only when CARE has adequate understanding of the organization and is satisfied with their performance level. Process: a) Develop Terms of Reference (ToR) for the proposed assignment.

The ToR should include the following:

• Background to the assignment • Objective of the assignment • Key consideration and specific service required • Methodology • Expected outputs of the assignment • Composition of the Team • Schedule • Reference documents

b) Circulate ToR to submit the proposal with selected organizations/individual.

c) Review the proposal and select one organization/individual.

d) Sign contract with selected organization.

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5. INSTITUTIONAL STRENGTHENING 5.1 What is institutional strengthening? Institutional Strengthening (IS) refers to the overall development of an institution or organization to improve the quality of its functioning and its output. It may involve improvement of resources within an organization in relation to the tasks that they undertake in their technical areas of expertise enhancement of their management skills and organizational management systems (human resource management, financial, procurement, inventory etc.) for better program effectiveness and organizational development. CARE's Focus One of the objectives of partnership for the CARE is to build the capacity of its partners. There are many ways we can define and work on the institutional strengthening of the organization. CARE will focus its IS of partner on the building the capacity of human resource and establishment of systems. 5.2 Why institutional strengthening? Institutional strengthening of partners promotes sustainable development and poverty alleviation. Strong local institutions in CARE's project areas are more likely to continue development activities after the projects' phase-out. 5.3 How to do institutional strengthening? The institutional support may be related to specific program implementation capacity such as the implementation of NFE classes or more important is to strengthen the overall management capacity of the organization. The project should assess the capacity of the local NGOs using CARE's NGO Assessment Tool and Spider Web Tool which analyses the organization's capacity in program planning, implementation, monitoring and evaluation; organizational structure and management; resource mobilization; and coordination and networking. Project could support one or all types of institutional support to the selected key partners. The project can provide institutional support to the partners by the staff or/and bring external organizations to provide such types of support. The support may be in the following areas:

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5.4 SOME EXAMPLES OF POSSIBLE INSTITUTIONAL SUPPORT6

SN FIELD OF SUPPORT EXAMPLES 1

Technical Training

• Safe motherhood • Small enterprise development and management • Water system management

2

Management Training

• Organizational management • Leadership development • Participatory project planning • Project management

3

Skill Development Training

• Facilitation skill training • Participatory rural appraisal (PRA) • Training of trainers (TOT) • Community need assessments • Financial management training • Performance management skills • Gender • Communication skills

4

System Development

• Developing organization's long range strategic plan (LRSP)

• Developing organizational systems on: • Personnel manual • Financial management • Procurement system

• Human resources development strategy

5

Equipment Support

• Providing office equipment such as computers, typewriter, duplicating machine, photocopier, overhead projector, slide projector, and video set, etc.

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Infrastructure Support

• Office building construction, training hall construction etc.

7 Vehicles • Four wheel vehicle: Jeep, Pick-up • Motorbikes

After providing the institutional support, the project and partners should re-assess the organization's capacity by using same assessment tool after one year.

6 This type of support can not be provided on a regular basis. It should be decided on case by case basis only if it is justified by the program activities.

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6.1 FREQUENTLY ASKED QUESTIONS 6.1.1 ORGANIZATION Q. What is the difference between CBO and NGO?

We do not have any laws in Nepal to differentiate CBO and NGO. We have only one act, named Society Registration Act 2034 to register the CBO and NGO.

However, for the operational level we can differentiate between CBO and NGO as follows:

CBO:

# Organizations established and managed by the members/users for the benefit for the members/users.

# All the services produced by the CBOs will be targeted to the members/users.

# The members work for themselves. # It can be registered or not registered. # If it is not registered, it is not necessary to renew every year. # Not registered organization can not act as a legal body.

NGO:

# Organizations established and managed by the communities/outside people with the objectives of providing services to communities.

# The members may not be directly benefited by the services produced by the organization.

# The members may work for others. # Registered NGOs can function as legal body. # It should be registered under Society Registration Act – 2034 (Sangh

Sasthan Darta Aain 2034). It should be renewed every year.

Q. What will be role of project to the CBOs?

Once the project partners with NGOs the partners should do the grooming and strengthening of the CBOs in the NGOs working area. The project's role is to strengthen the NGOs' capacity. In areas where NGOs are not working or with community groups, who the NGOs are not related the project may continue to be involve in strengthening their capacity.

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6.1.2 FUNDING Q. What level of funding support is appropriate for partner organizations?

The level of funding support is very much going to depend on the nature of activities undertaken and the managing capacity of the partner organization. However, it is recommended that for the small organizations, funding support should be smaller at the initial stage of partnership and it could be gradually increased over the time.

6.1.3 OVERHEAD

Q. What percentage of overhead can be provided?

Where justified, the organization's overhead expenses such as office rent including site office operation cost, vehicle operation, staff salary, and benefits, stationery, electricity, water, fuel, communication cost, etc should be included as part of operation cost, such cost should not normally exceed 25% : 75% of the overall program cost except for cases where justified separately. The staff cost is deemed to include staff on the organization's payroll such as project manager, coordinators, office assistant, accountants, secretary and runner. However, the salary or allowance of facilitators, motivators, and supervisors should be treated as part of program cost. The partner organization should provide at least 5% of total budget as a matching fund. Matching amount could be in terms of kind, cash, or human resources.

6.1.4 FINANCIAL REPORTING & MONITORING Q. What level of details of financial expenditure should be ?

Partners will have to submit quarterly and yearly financial reports, showing actual expenses made and duly approved by the authorized officials of the organization. The partners may be required to submit original or copies of invoices and bills provided in mentioned in the agreement.

If the actual amount of expenses is lower than agreement amount, partner should return remaining amount to project. However, project should monitor and if required check the books of accounts of the partners.

6.1.5 DURATION Q. What should be the duration of partnership?

Partnership with project cannot exceed the duration of the project. There should be distinction between long term partnership and short-term partner. Each project will select few key/leader partners for longer-term duration, which

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focus on capacity building and institutional strengthening component. It is assumed that this key/leader partners will be coordinating specific activities in the project area. (Example: Young Star Club, Solu and Local Development Training Center, Bardibas are key/leader partner in NFE program.)

6.1.6 TRANSPARENCY Q. What level of transparency should be maintained?

Project and partner organization should maintain transparency in their relation. To maintain the transparency, both organizations must build the level of trust among them. At the same time, there is a question about how much information can or should be shared with a partner, and how much transparency is good thing.

6.1.7

Q.

6.1.8 Q.

For example, where project should or should not inform a partner's field staff abouthow much is budgeted for the activities?

Project staff should not inform partner's field staff about their budget. Theyshould get information from their supervisor or partners officials. Only senior staffand/or officials of both partner organizations should deal on policy issues.

MONITORING

How are partnership activities monitored?

Regular visits to the partner, and program areas, involving open discussions with the staff and members, and project participants, would be adequate to enable project to get a sense of how activities are proceeding.

Joint management meeting at regular interval of time with the key person from project and partner will be good practice.

Annually a joint review meeting could be organized with key person from partners, project, and CARE Nepal country office.

Organizing participatory review meeting at program area by involving the project participants could be done. (Please refer section 3.1.5.1 and 3.1.5.2 for further details)

PROCUREMENTS

Who should procure the materials? Project will not be involved in the procurement of any materials to execute the program under partnership. The partners will have to carry out procurement required to execute the programs. The partners can follow their procurement procedures. Only in case, if partner requests in written form to carry out the procurement procedure project can provide logistic support for a limited period.

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