RISK CATEGORISATION QUESTIONS

ANSWERS

NOTES

1

Describe the project earmarked for financing

2

What are the supply chains (e.g. contractor, labour supply; aggregates, etc.) for this project?

3

What are the associated facilities (e. g. access to the project earmarked for financing but not part of the financing) necessary for project implementation?

4

Describe the project area of influence (1, 2 and 3)

5

Describe affected communities in the area of influence

6

Are there any unplanned but predictable changes within the area of influence resulting from the project (e.g. risk to local government / capacity, risk to social cohesion, risk of disruption of local economy (formal or informal), risk of secondary displacement or illegal occupation of abandoned housing, risk of elite capture, hazard risks, etc.)?

7

Are there adaptive or resilience capacities in the project to deal with climate change?

8

Is this a public or private sector project or a public/private partnership?

9

Are there potential KfW exclusion list considerations?

10

Are communications with affected communities in the project area of influence satisfactory?

11

What are the key environmental, social, reputational and do no harm risks requiring management?

OVERALL RISK CATEGORY:

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:
  • Organization’s vision, mission and objectives
  • Management structure
  • Members of the Governing Board and their Designations duly certified by the Corporate Secretary, or its equivalent document
  • 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
• Provide the profiles of the Chairperson of the Board of Directors, Head of the Organization and Chief of Finance

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>

Cumulative score for ratios