CALL FOR PROPOSAL: Flood Resilience in Ulaanbaatar Ger Areas Climate Change Adaptation through community-driven small-scale protective and basic-services interventions

By on 03/22/2019

Ref. No. : AOC/CFP/MON/2019/002

Subject: UN-Habitat ROAP Call for Proposal for Mongolia FRUGA – for Engaging Implementation Partner

The United Nations Human Settlements Programme (UN-Habitat) Regional Office for Asia and the Pacific (ROAP) hereby solicits your proposal for the above subject, in accordance with this document and annexes attached.

This Call for Proposal (CFP) consists of this document and the following annexes:

  1. CFP Instructions and Guidelines
  2. Technical Proposal Template
    3. Budget Proposal Template
    4. Partner Declaration Form
  3. Sample Agreement of Cooperation

A complete set of Technical and Budget Proposals, Signed Partner Declaration Form, including all the required documents listed in the CFP Instructions and Guidelines must be received by

UN-Habitat ROAP no later than 15 April 2019 to the following address via mail or email:

UN-Habitat Regional Office for Asia and the Pacific ACROS Fukuoka, 8th Floor
1-1-1 Tenjin Chuo-ku, Fukuoka 810-0001 Japan

Email: habitat.fukuoka@un.org

Please indicate the CFP Ref. No. above in your email subject.

Proposals must be submitted in English language and UN-Habitat reserves the right to reject any proposals which are not received by UN-Habitat ROAP by the above-stated deadline.

UN-Habitat will enter into an Agreement of Cooperation (AOC) with the selected Implementing Partner, a sample of which is attached for your reference.

For queries on this CFP, please contact Mr. Laxman Perera, Human Settlements Officer, at Email: laxman.perera@un.org.

Download all templates and forms from here

 

CALL FOR PROPOSALS INSTRUCTIONS AND GUIDELINES

The purpose of the Call for Expression of Interest is to solicit interest from existing or prospective Implementing Partners that wish to participate in UN-Habitat operation and contribute complementary resources (human resources, knowledge, funds, in-kind contributions, supplies and/or equipment) to achieving common objectives as outlined below and subsequently agreed in an Agreement of Cooperation

Call for Proposal for Flood Resilience in Ulaanbaatar Ger-Areas (FRUGA) – Climate Change Adaptation through community-driven small-scale protective and basic services intervention – Identification of Implementation Partner (Executing Entity) for implementation of selected project components

Size of grant: US$2.47 million

Submission Start Date: 22 March 2019, Friday
Submission Deadline Date and time: 15 April 2019, Monday
2359hrs, Japan time (GMT+9)

The main objective is to identify one or more Implementation Partner establishing a Project Executing Unit (contracting of national and international personnel and management of travel) and for the implementation of selected project components (mainly community mobilization and preparation of community contracts, construction of drainage canals, selection of appropriate sanitation solutions, organization of various trainings, workshops and consultations).

 

Project Key Information

  • UN-Habitat Project title: Flood Resilience in Ulaanbaatar Ger-Areas (FRUGA) – Climate Change Adaptation through community-driven small-scale protective and basic services interventions
  • Locations
    o Town/City: Ulaanbaatar

o Country: Mongolia

  • Anticipated start date: June 2019
  • Estimated duration of project in calendar months: 30
  • Lead Organization Unit: UN-Habitat

 

ORGANIZATIONAL SETTINGS

The United Nations Human Settlements Programme, UN-Habitat, is the United Nations agency for human settlements. It is mandated by the UN General Assembly to promote socially and environmentally sustainable communities, towns and cities with the goal of providing adequate shelter for all. By working at all levels and with all relevant stakeholders and partners, UN-Habitat contributes to linking policy development and capacity-building activities with a view to promoting cohesive and mutually reinforcing social, economic and environmental policies and programmes in human settlements in conformity with international practices and covenants.

UN-Habitat has been collaborating with the Government of Mongolia, the Ministry of Construction and urban Development (MCUD) and the Municipality of Ulaanbaatar (MUB) on strategies and demonstration projects for slum upgrading, and human settlements development since 2005. The agency assisted the municipality in formulating a community-based ger-area upgrading strategy, developing action plans and demonstrated a community-led approach to ger-area upgrading in five ger-areas in Ulaanbaatar city with support from Japan. More recently UN-Habitat been involved as a key partner on community engagement through the People’s Process for the Urban Services and Ger Area Development and Investment Programme as well as the Affordable Housing and Urban Renewal Programme of the Government of Mongolia, implemented with support from the Asian Development Bank.

 

PROJECT OVERVIEW

In September 2018 UN-Habitat signed an agreement with the Adaptation Fund for Climate Change to implement the project on Flood Resilience in Ulaanbaatar Ger-Areas (FRUGA) – Climate Change Adaptation through community-driven small-scale protective and basic services interventions – in the seven most-vulnerable and high-risk ger-areas of Ulaanbaatar Mongolia.

The seven target Ger communities in Ulaanbaatar are characterized by a high exposure to multiple climate hazards ranging from wind and dust storms, air pollution, and particularly by floods – cited as the main climate issue that required addressing by the communities – during the rapid needs assessment. Climate sensitivity is underpinned by rapid urbanization and population growth, leading to people residing in high-risk areas, in unsanitary conditions engaging in unhygienic behaviour, which exacerbates public health risks. Underlying vulnerabilities are poverty, limited social ties, limited access to basic services, gender inequalities and environmental degradation. Moreover, the adaptive capacities at household, community and governance level are barriers for change as is the very limited knowledge and awareness of risks and their own vulnerability.

The main objective of the project is to enhance the climate change resilience of the seven most vulnerable Ger khoroo settlements focusing on flooding in Ulaanbaatar City by:

  1. Improving the knowledge on flood hazard and risk exposure and vulnerability for these areas
  2. Improving the resilience and adaptive capacity of the Ger settlements through a Community-Based approach (i.e. building social cohesion per Khoroo)
  3. Increasing resilience ger area physical infrastructure and services, supported by enhanced capacities of responsible district level and khoroo authorities.
  4. Strengthened institutional capacity to reduce risks and capture and replicate lessons and good practices

The main component of the project will be the provision of flood resilient physical infrastructure and services, building on the priorities as communicated by the UB city authorities and Khoroo communities and evidence made available and supplemented with hazard and risk mapping and land use planning and delivered within the framework of enhanced capacities and awareness for resilience and risk reduction at Ger -district and community level.

 

IMPLEMENTATION PARTNER – DUTIES AND RESPONSIBILITIES 

  1. PROJECT COMPONENTS AND FINANCING

An Implementation Partner will be identified as an ‘executing partner’ who together with the Municipality of Ulaanbaatar presented by the Ulaanbaatar City Governor’s Office and District Governors, Ger Communities, INGOs and LNGOs, and Mongolia Ministry of Environment and Tourism will execute the project under the overall management of UN-Habitat as the Implementing Entity – for the implementation of this strategic and time critical climate adaptation project in Ulaanbaatar Mongolia.

For this specific project, the executing partner will be required

  • to setup the Project Execution Unit with key personnel who will ensure the successful day to day implementation and coordination of the project under the close guidance of UN-Habitat;
  • to implement key drainage physical infrastructure components in line with proposed approach, the Peoples Process (participatory process) and within the specified timeframe; and
  • to organize consultations, workshops, trainings identified in the project document
  • to manage knowledge management, project visibility and document lessons learned.

 

SPECIFIC TASKS AND RESPONSIBILITIES

PART A. Mobilize Project Execution Unit (PEU) with project personnel

The Implementation Partner will mobilize the below international and national team members who will spearhead the Project Execution Unit with the principles defined in the project, specifically the People’s Process implementation as well as ensuring the Environment and Social Safeguards, Gender policies of the Adaptation Fund and UN-Habitat; as well as UN human rights accords are respected to at all levels of project execution.

The PEU team will work closely with and assist the National Project Manager for the implementation and coordination with Government and other stakeholder representatives for the project – via continuous engagement and dialogue with the proponents of the project, Ministry of Environment and the Municipality of Ulaanbaatar, participation at regular meetings with the Project Working Group (PWG).

The PEU team will also ensure the preparation of all reporting and documentation for the project including periodic progress reports for the project as defined in the project document.

 

A.1 International Specialist

  1. Community Development Advisor (Coordinator)
  2. Climate Change Assessment Specialist
  3. Knowledge Management Specialist (if, when required)
    • Finalise the Terms of Reference for recruitment in consultation and agreement with UN-Habitat
    • Contract the advisor for the project duration
    • Make arrangement for travel/missions by the consultants including visa, ticketing and DSA

The international staff will bring Global Knowledge on best practices to the country Implementing Partners and communities, and also customize widely used appropriate tools on adaptation building local capacity and People’s Process.  Both staff will provide advisor support to the IP/PEU in the respective components of their specialization

The Community Development Advisor will be the Coordinator to bring together all the activities (components and outputs) of the Project including those not assigned to the IP (for example Component 1).  In this respect s/he will also perform as the project monitor. The Climate Change Assessment Specialist will assist in preparing periodic reports to the donor in the required format.

Both specialists will travel frequently to Ulaanbaatar. S/he will be supported by the rest of the PEU team. Due to the nature of the project, UN-Habitat will reserve the right to make decisions on the appointment of the right personnel for the project.

 

A.2 National team members

  1. Field Engineer (Deputy Project Manager)
  2. Field Engineer (if necessary)
  3. Urban Planner
  4. Social Mobilisers
  5. Finance Officer
  6. Field Monitoring, Communication and Coordination Officer
  7. Support staff (driver)
    • Finalise the Terms of Reference for the national team members in consultation and agreement with UN-Habitat
    • Contract the national staff for the project duration and manage the contract

The Implementation Partner may deputize one senior staff as part time Project Manager of PEU.  The IP may also appoint one staff familiar with the organization’s administration and finances as Finance Officer.

The IP will follow its organizational employment policies and terms and conditions of service for the employment of the national staff. The IP will submit a detailed breakdown of salaries, allowances and benefits. The PEU team will be based at the premises of the IP.

The selection national team members for PEU will be carried out through a joint selection process with UN-Habitat (will be in the selection panel) to ensure experts will work in synergetic manner with other partners in implementing project activities to produce agreed outputs under all components.

 

A.3 Community Mobilization (Component 2)

The major responsibility of the PEU staff will be the mobilisation of the beneficiary communities in accordance to the People’s Process and formation of Community Risk Reduction Committees for:

  • Developing seven (7) Khoroo-level floods resilience action plans to implement the physical construction interventions and awareness raising activities and capacity building workshops
  • a series of District, Khoroo and community level consultations / workshops introducing the People’s Process and Community Based Disaster Risk Reduction approach, focused on building social cohesion and consensus on community level
  • Facilitate and support the community groups to prepare the Community Implementation Agreements (CIA) for funding by UN-Habitat to implement the sanitation component
  • Conduct Khoroo-level interventions operation and maintenance (and potential risks mitigation) awareness campaigns and trainings to support the sustainable implementation of infrastructure interventions and community preparedness

The associated cost for staff, community consultations, workshops, trainings etc. are budget under staffing (“A.2” above) and trainings workshops (“D” below).

 

PART B. PHYSICAL INFRASTRUCTURE COMPONENT (Component 3) 

B.1 Flood Protection and Drainage Infrastructure Implementation

The largest and most critical physical infrastructure components for drainage will be managed and implemented by the Implementation Partner. The remaining smaller-scale infrastructure components will be contracted out directly to communities by UN-Habitat, via the People’s Process.

Drainage system

Estimated  Package and Length

Maximum Allocation per activity

Khroo 7
Drainage channels

7A1 : 332m + 89m

        177,620

          24,030

7A2 : 279m + 71m

        158,895

          19,170

7A3 : 437m

        233,795

7A4 : 230m

          62,100

7A5 : 660m

        178,200

7A6 : 668 m

        180,360

7A7 : 336 m

          90,720

Khoroo 9
Dam at source of secondary stream to lead water into main river

 Package B : 490 m

          73,500

Khoroo 9
Drainage channels

 Package A: 1065 m

        209,750

Bridge

 

            5,000

Design and Supervision required by Law (3%)

 

          42,394

TOTAL NOT TO EXCEED

 

1,455,534

  • Design and Development
  • In consultation with the Municipality of Ulaanbaatar, prepare the terms of reference (TORs) for the engineering and technical hydrological studies for the implementation of the flood protection and drainage infrastructure component
  • Participate in the publication of the call for proposal and selection of the design company
  • Supervise the completion of the engineering and hydrological studies
  • Supervise the design of the selected infrastructure
  • Construction
  • Participate in the publication of the call for proposal and selection of the construction company
  • Conclude implementation contract with the selected construction company
  • With assistance of the Social Mobilizers and community organizations free land for the construction of flood protection and drainage
  • Supervise the construction of the flood protection and drainage according to the construction standards of Mongolia Government and the Implementation Partner
  • Supervision
  • Conclude agreement with the Ministry/Municipality for the supervision of the construction
  • Liaise between the construction consultant and community to hand over the completed infrastructure to the Municipality of Ulaanbaatar and handover reports
  • Submission of completion report

 

B.2 Sanitation

  • Identify improved/resilient sanitation to reduce floods impacts that won’t overflow during floods and lead to health issues.
  • Prepare community contracts to forward to UN-Habitat to implement this component  through community contracting procedures.

 

PART C. TRAINING, WORKSHOPS AND DOCUMENTATION (Components 2 and 4)

  • Organize workshops and trainings targeting city- and district government officials with a focus on replication of processes, land use plans and interventions and to discuss how lessons can be integrated into existing strategies and plans.
  • Organize khoroo-level interventions operation and maintenance (and potential risks mitigation) awareness campaigns and trainings to support the sustainable implementation of interventions under component 3. An estimated twenty (20) number of trainings will be conducted.
  • Document all proceedings of workshops, consultations, trainings etc. in a standard format and include in the quarterly report.

More specifically the trainings identified in the project include the following:

WORKSHOPS

Output 1.1, 1.2, 1.3

Discussion of (a) UB Northern Ger area Land Use Plan; (b) Detailed 7 Ger-Khoroo Land Use Plans; (c) Simulation Module

18 community consultations and report dissemination

Output 4.1

National Level Seminars

19 events

Output 4.1

Participation in international conferences

2 conferences

 

COMMUNITY CONSULTATIONS

Output 1.1, 1.2, 1.3

Community Consultations for preparation of Land Use Plans

6 consultations or as required

Budget under Output 2.2

Output 2.1

Community Consultations for preparation of Khoroo-level Flood Resilience Plans & presentation of findings

18 consultations or as required

Output 2.2

Community consultations for preparation on CAP to implement and maintain infrastructure

42 consultations or as required

Output 2.2

Preparation of CDC annual plans, monitor and review progress

Output 3.2

Community consultations on operation and maintenance issues

As required

Output 4.1

Review progress at community level

Every four months

 

TRAININGS

Output 2.2

Operation & Maintenance; Awareness Campaigns; Sustainable Implementation

36 trainings

 

Output 2.2

Training for CDC members & local officials in People’s Process

Output 2.2

Training in People’s Process Operational Manual

Output 2.2

Trainings for Community Risk Reduction Committees

Output 2.2

Trainings in environmental hygiene, disease prevention, waste management disposal, etc

Output 2.2

Risk mitigation awareness campaigns

 

PREPARATION OF REPORTS

Output 1.1, 1.2, 1.3

UB Northern Ger area Land Use Plan

After report is prepared

Output 2.1

Khoroo-level Flood Resilience Plans

After report is prepared

Output 2.2

Preparation of Quarterly Progress Report

12 reports

Output 4.1

Publication of reports, surveys, studies

14 reports

 

STEERING COMMITTEE MEETINGS

Output 4.1

Project Working Group

Every six months

Output 4.1

Local Working Groups (Khoroo/District Level)

Every four months

 

LESSONS LEARNED AND BEST PRACTICES

Output 4.1

Document lessons learned and best practices regarding flood-resilient urban community development, captured and distributed to other Districts and khoroo communities, civil society, and policy-makers in government through appropriate mechanisms.

Budget under 4.1 report publications and staff

 

VISIBILITY, WEB DEVELOPMENT, ADVOCACY

Output 4

 Prepare project visibility and advocacy materials (web page, fb, twitter, brochures), awareness raising materials, etc.

 

  

REPORTING LINES

The Project Execution Unit, specifically the Project Execution Unit Team Leader – Community Development and Infrastructure Advisor; and the Climate Change Assessment Specialist reports to International Project Manager of the FRUGA project – the UN-Habitat Human Settlements Officer for the Mongolia Program, based in the Regional Office Fukuoka Japan and works in close coordination with the National Project Manager of the FRUGA project – based in UN-Habitat Mongolia Country office in Ulaanbaatar, Mongolia in parallel to reporting to the Implementation Partner.

The Community Development Advisor and the Climate Change Assessment Specialist assist the IP Project Manager and will also assist in liaising with UN-Habitat.

 

Estimated Project Value

Financial Proposal are to be submitted in United States Dollars for Parts A, B and C as per Section 2 Specific Tasks and Responsibilities above and the total value shall not exceed the following indicative amount:      

PART A

Mobilize Project Execution Unit (PEU) with project personnel

Estimated Value

Estimated Value

CORRECTION

Remarks

 

  • International Staff & Travel

$290,506

$290,506

 

 

  • National Staff

$430,429

$430,429

 

PART B

 

 

Physical Infrastructure component

 

 

 

  • Engineering Design

$42,394

$42,394

 

  • Physical Infrastructure Implementation

$1,323,212

$1,455,534

Overhead not applicable

PART C

 

 

Training and Workshops

 

 

 

  • Workshops, consultations, trainings, reports

$258,697

$236,196

 

  • Procurement, Audit

$23,636

$23,636

 

TOTAL

 

$2,368,874

$2,478,695

 

Note:  10% variation is permissible within Parts but the total amount shall not exceed the overall total.

 

DELIVERABLES

Part A:

Establishment of PEU and monthly progress reports

The total value of Part A will be: US$720,935

Part B

  • Engineering designs
  • Inception report on commencement of Physical Infrastructure construction
  • Monthly progress reports
  • Completion report in line with Mongolian Law

The total value of Part B will be: US$1,497,928

Part C

  • Training and workshop reports
  • Completion report
  • Procurement report
  • Final Audit report

The total value of Part C  will be: US$259,832

 

TIME FRAMEWORK

Expected to be commenced in June 2019. Part A and C will continue maximum 30 months and Part B should be completed considering the construction season which allows to carry out civil construction work within 2019 and 2020.

 

RISK ANALYSIS

Expected to submit a risk analysis and assumptions with the proposal 

 

ELIGIBILITY CRITERIA

Criteria

Submission Details/ Documents Required

Legal Status

 

·   Certificate of registration/incorporation i.e.,

·   Proof of registration in Country of Origin.

·   Proof of registration of Country of operation

·   Proof of country operational presence

Organization profile and details

 

• Clear organization profile and structure of the organization indicating:
o Organization’s vision, mission and objectives
o Management structure
o Members of the Governing Board and their Designations duly certified by the Corporate Secretary, or its equivalent document
o Proof of membership to professional associations if any

Financial Capacity

• Audited company financial statements (balance sheet and income statement) and auditors report for the last two years.

Exclusive bank account

• Is the organization willing and able to have a separate bank account for the funds provided by UN-Habitat?

Integrity and Governance

·   The organization should complete and submit a signed Partner Declaration Form (template attached)

·   Provide the profiles of the Chairperson of the Board of Directors, Head of the Organization and Chief of Finance

 

 

SELECTION CRITERIA

Criteria

Submission Details/ Documents Required

1. Technical capacity

 

1.1 Does the organization have the relevant experience and proven track record in implementing activities in the areas of the project?

Has it managed in the past projects of similar technical complexities and financial size?
Is the project linked with the core business of the IP?

·     List of similar projects executed in the last 5 years (value, location, donors, nature of projects, execution stage – completed or ongoing).

·     Demonstrate how the experiences in past projects are relevant in the execution of the current proposal

·     References from past donors

1.2 Does the organization have qualified technical staff with the experience and the technical skills required by the project?

What is the staff size, type, qualification and education background?

 

·     CVs of key management staff, technical and non-technical staff that will be involved on the project

·     How many technical staff do you have in the concerned Country for implementing the project? Is there reasonable assurance that such technical staff required by the project will continue to be available as needed in the Project?

1.3 Does the organization have a clear and strong link with an identifiable constituency relevant to the targeted population of the project?

Does it have the ability to impact on the targeted population and on the issues? Does it have strong presence in the field and for how long?

Does it have adequate capacity to work in key areas/regions where the proposed field activities will be implemented?

• Demonstrate, describe and provide proof of local operational presence, including link and ability to impact the targeted population.

1.4 Does the organization possess adequate physical facilities, office equipment, transport, etc. to implement the activities?

• Provide location and list of office facilities, vehicles and office equipment locally available to implement the project.

1.5 Does the organization have formal procedures to monitor project execution (e.g. milestones, outputs, expenditures…)

• Provide formal project monitoring policies and procedures

2. Financial and administrative capacity

 

2.1 Has the organization been in operation over a period of at least 2 years to demonstrate its financial sustainability and relevance?

·   State the years of operation

·   Financial statements for the last 2 years

2.2 Does the organization have qualified staff in Finance? Is the current accounting system computerized and does have the capacity to collect and provide separate financial reports on the activities executed under the Agreement of Cooperation?

Does it have systems and practices to monitor and report whether the project deliverables and expenditures are within agreed time and budget?

Does it have minimum segregation of duties in place (separation between project management, finance/accounting and executive office)

·   CVs of key finance and accounting staff

·   Description and key features and controls of

the accounting system used

·   Organization structure/ Organogram

2.3 Does the organization have the capacity to procure goods and services on a transparent and competitive basis? (if applicable) check for procurement unit with experienced staff

• Copies of procurement policies and procedures. The procedures should show how you procure locally and internationally.

2.4 Does the organization have formal procedures and controls to mitigate fraud such as multiple signature signatories on bank accounts, reporting and prosecution of incidences of fraud?

• Describe anti-fraud controls and provide formal procedures

2.5 Does the organization have capacity to provide in-kind, financial, personnel contribution as UN-Habitat Implementing Partner in this present project? Please give details of contribution nature and size.

• Describe nature and value of contribution (in-kind or cash)

3. Financial Proposal

 

3.1 Is the budget for each component of the activity to be performed by the Implementing Partner
(i) cost-effective ( i.e. the cost should be economical and prudently estimated to avoid any under/over estimation)

(ii) justifiable/well supported and (iii) accurate and complete

Budget Proposal <template provided>

  • BOQ (if applicable)
  • Other supporting documents

 

4. Technical Proposal

 

4.1 The technical proposal is sound and responds adequately to the specifications and requirements?

Technical Proposal document <template provided>

 

 

Notes:

  1. Interested Organizations must provide information indicating that they are qualified to perform the services (brochure, description of similar assignments, experience in similar conditions, availability of appropriate skills among staff, etc).
  2. The Proposals consisting of Technical and Budget Proposal and accompanying documents must be received in accordance with instructions provided. The submitted to a different email address will not be considered.
  3. The Proposals from applicants failing to provide the complete information to fulfill the basic

eligibility criteria will be considered non-responsive.

  1. The Proposals received after the above deadline will not be considered
  2. Organizations will be selected in accordance with the procedure set out in the UN-Habitat IP

Management Policy and Standard Operating Procedures.

  1. The Proposals from applicants failing to provide the requested information will be disregarded.
  2. This CFP does not entail any commitment on the part of UN-Habitat, either financial or

otherwise. UN-Habitat reserves the right to accept or reject any or all proposals without

incurring any obligation to inform the affected applicant(s) of the grounds.

  1. All prices must be in USD

*As identified in the Flood Risk Assessment and Management Strategy of Ulaanbaatar City supported by the World Bank

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