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Table of Contents
Table of Contents .................................................................................................................... b Abbreviations ........................................................................................................................... i Section I: Introduction ............................................................................................................. 1 1. 2. 3. 4. Introduction ..................................................................................................................... 1 Objective ......................................................................................................................... 2 Adjustment in the Guidelines .......................................................................................... 2 Role of Partner Organizations and Service Providers ..................................................... 2
4.1. Agro Enterprise Center ................................................................................................... 2 4.2. Nepal Rastra Bank .......................................................................................................... 3 4.3. SNV Nepal ...................................................................................................................... 4 4.4. National Service Provider (National NGO) ...................................................................... 5 4.5. NGO for Disadvantage and Marginal Farmers ................................................................ 5 4.6. Local Service Providers (Local NGO) ............................................................................. 5 4.7. District Agriculture Development Office .......................................................................... 5 4.8. Nepal Agricultural Research Council .............................................................................. 6 4.9. Department of Cooperatives ........................................................................................... 6 Section II: The Grant Making Process .................................................................................... 7 1. 2. 3. 4. 5. 6. 7. 8. Independent Appraisal Panel (IAP) ................................................................................. 8 Types of Grantee ............................................................................................................ 8 Eligibility .......................................................................................................................... 8 Ineligibility ........................................................................................................................ 9 Grant Categories ........................................................................................................... 10 Type of Grant/ Support Areas ....................................................................................... 12 Cost Share/Match ......................................................................................................... 12 Application and Award .................................................................................................. 13
8.1. Grant Applications ......................................................................................................... 13 8.2. Assistance to Prepare Business Plans and Grant Applications .................................... 13 8.3. Selection Criteria ........................................................................................................... 14 8.3.1. 8.3.2. 8.3.3. Pre-screening the application ................................................................................ 14 Assessment by IAP ................................................................................................ 14 Grant Application Assessment Criteria .................................................................. 15
8.4. Grant Agreement and Commissioning .......................................................................... 16 8.5. Administration of Grants ................................................................................................ 17 8.6. Monitoring and Evaluation Framework .......................................................................... 17 8.6.1. Monitoring .............................................................................................................. 18
b
Evaluation .............................................................................................................. 20 Modification ............................................................................................................ 21 Suspension ............................................................................................................ 22 Termination of the Contract ................................................................................... 22 Grant Completion and Closeout ............................................................................. 23
Section III: Easy to Follow Guidelines and Templates .......................................................... 24 Call for Grant Application .............................................................................................. 24 Grant Applications ......................................................................................................... 24 Business Plans.............................................................................................................. 25
3.1 Production Plan ............................................................................................................... 25 3.2 Marketing Plan ................................................................................................................ 26 3.4 Management Plan ........................................................................................................... 26 3.5 Financial Plan ................................................................................................................. 26 3.6 Business Development Plan ........................................................................................... 26 4. 5. 6. Guideline for Technical Performance Reports .............................................................. 27 Performance Report Submission .................................................................................. 27 Performance Report Organization and Content ............................................................ 27
7. Annual Reports ................................................................................................................. 29 8. Business Completion Reports ........................................................................................... 29 9. Performance Report Follow-Up ........................................................................................ 30 10. Guideline for Financial Report ....................................................................................... 30 Annexes ................................................................................................................................ 32 Annex 1: Call for Grant Application ....................................................................................... 32 Annex 1-Form 2: Grant Request Form ................................................................................. 33 Form 3: Applicants Profile .................................................................................................... 34 Annex 2: Business Plan ........................................................................................................ 35 Annex 3: Technical Performance Reports ............................................................................ 48 Annex 4: Financial Forms ..................................................................................................... 56 Annex 5: Evaluation Criteria for Business Plan..................................................................... 60 Annex-6: Monitoring and Evaluation Format ......................................................................... 62 Annex 7: Business Amendment and/or Time Extension Request Form ............................... 65 Annex 8: Contract Termination/suspension letter ................................................................. 66 Annex 9: Grant Completion and Closeout letter.................................................................... 67 Appendices ........................................................................................................................... 68 Appendix 1: List of High Value Commodities ........................................................................ 68
Appendix 2: Tripartite Agreement Template ......................................................................... 71 Appendix 3: Applications /file management checklist ........................................................... 75 Appendix 4: Grant Recipient Verification Form ..................................................................... 76 Appendix 5: ADBs Prohibited List ........................................................................................ 77 Appendix 6: ADBs Safeguard Policy .................................................................................... 78 Appendix 7: Training Content of AGF Guideline ................................................................... 84
Abbreviations
ADB- Asian Development Bank AEC- Agro Enterprise Center AGF- Agribusiness Grant Facility AIC- Agriculture Input Company AMIS- Agriculture Market Information System ASP- Agriculture Service Provider MWDR- Mid Western Development Region DADO- District Agriculture Development Office DAG- Disadvantaged Group DCCI- District Chamber of Commerce and Industry DDC- District Development Committee PAN- Permanent Account Number DFO- District Forest Office PD- Project Director DOA- Department of Agriculture PMU- Project Management Unit DOLIDAR- Department of Local Infrastructure Development and Agriculture Road ESMS- Environmental and Social Management System FG- Farmers Group FNCCI- Federation of Nepalese Chamber of Commerce and Industry FWDR- Far Western Development Region GESI- Gender Equity and Social Inclusion GON- Government of Nepal PSC- Project Steering Committee RAD- Regional Agriculture Director RF- Resettlement Framework SNV-Stichting Nederlandse Vrijwilligers (Foundation of Netherlands Volunteers) SOE- Statement of Expenditure VAT- Value Added Tax WDO- Women Development Office NARC- Nepal Agricultural Research Council NGO- Non Governmental Organization NRB- Nepal Rastra Bank PAM- Project Administration Manual HVC- High Value Commodity IAP- Independent Appraisal Panel IP- Indigenous People LASP-Local Agriculture Service Provider M&E- Monitoring and Evaluation MOAD- Ministry of Agricultural Development
Mid-western Development Region- Banke, Bardia, Dang, Surkhet, Dailekh and Far-western Development RegionKailali, Doti, Dadeldhura, Baitadi, Darchula 2 High Value Commodities (HVC) are agricultural crops and other non-livestock based commodities, e.g., honey which generate a higher rate of return to the farmer per hectare than the production of staple crops such as cereals.
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The Project outputs comprise: (i) establishing agribusiness grant facility for building HVC value chains in mid west and far west region (ii) formulating business plans for producing and adding value to HVC in the far-west and mid-west; (iii) ensuring effective and efficient project management. The Executing Agency and Nepal Rastra Bank (NRB), as partners of the Project fund flow mechanism, will establish the Agribusiness Grant Facility (AGF). The facility will operate as a separate, local currency, second generation imprest account in the Nepal Rastra Bank (Nepalgunj Branch), from which grants will be disbursed direct to Project beneficiaries having their applications approved. Once the application has been approved, the applicant will enter into a tripartite contract with Project Management Unit (PMU) and NRB pursuant to which disbursement of first installment will be made to the applicants' bank account through NRB upon request of PMU. Applicants will procure goods and services as agreed in the contract agreement following commercial practices and provide procurement and related documents to the PMU for review. Upon proof of eligibility, the PMU will recommend to NRB to release subsequent installments.
2. Objective
The objective of the AGF Guideline is to provide an efficient mechanism for funding agribusiness activities in the Project area. The specific objectives of the AGF Guidelines are to i. ii. iii. iv. v. Provide clear-cut/precise guidelines for grant application procedure Provide process for applications evaluation and approval Have basis for contractual arrangements Make provision for smooth fund flow to the beneficiaries and Effective implementation and reporting of the grant proceeds
(i) access to FNCCIs 700 members that include the majority of domestic enterprises involved in agribusiness, (ii) local presence in the two regions and Project districts that will be strengthened and sustained after the Project, and (iii) their leadership in developing agribusiness service capacity building products that the AEC can supply to Project beneficiaries. AEC will support planning for securing markets, development of training programs, and review of business plans and grant applications. AEC will work with the PMU in defining post harvest training programs that will be implemented by private sector service providers. The contracting of these service providers will be undertaken by PMU with AEC support. AEC will, through their staff support, the PMU by reviewing of all application for grants. AEC will work closely with SNV to provide training to service providers as required through the market linkage and promotion programs by private service providers. AEC, under separate PMU contract will expand the AEC agriculture market information system (AMIS) with systems for data analysis, data collection and access established in the two development regions. Support the PMU implement post harvest and market linking programs Facilitate Business to Business linkages Develop value chain integration business plans. Develop and manage agriculture market information systems and networks, and transfer knowledge amongst stakeholders and assist the private sector agribusiness including agriculture cooperatives to facilitate a multiplier effect to value chain actors Mobilize market buyers and identify their needs for HVC in the two regions. Build awareness of market opportunities and the identification of buyers and potential market chain participants. Provide training to local agriculture service providers and post harvest agribusiness service providers in agriculture market information system (AMIS), agribusiness awareness, supplier agreements and product promotion. Develop supply agreements and contracts for the supply of produce in demand. Facilitate resolving any disagreement existed during the implementation of supply contract between HVC producers and traders. Work with the prequalified local agriculture service providers (ASP) and post harvest businesses to develop business plans with investment proposals for essential market chain infrastructure. Plan and deliver a market linkage program that identifies buyers and then links these to potential suppliers. Promote HVC market networking and networks within the two Project regions in support of PMU. Work with SNV and PMU to develop agribusiness and value chain knowledge products. Participate in the assessment of Project grant applications to ensure all applicants have established supply agreements and that they meet the criteria for applications
Use Grants available through the government for making subgrants3 to the qualified applicants upon approval of PMU, in accordance with the terms of the Grant Agreement, Project Agreement and the PAM and apply exclusively to the cost of Goods, Works and Consulting Services and other items of expenditure required to carry out the Qualified Subproject4. Verify whether PMU has obtained ADBs prior approval on awarding grant exceeding the equivalent of $100,000 or is not in agreement with the recommendations of IAP. Provide each subgrant by an AGF Grant Agreement with the Qualified Applicants in a form acceptable to ADB, rights adequate to protect the interests of the government, NRB and ADB. Carry out the Project with due diligence and efficiency and in conformity with sound applicable technical, financial, business, and development practices. Maintain records and accounts on the progress of the Project and of each Qualified Subproject (including the cost thereof) and to reflect, in accordance with consistently maintained sound accounting principles, the operations and financial condition of NRB. Promptly inform ADB and PMU of any condition which interferes with, or threatens to interfere with, the progress of the Project. Exchange views through representatives with regard to any matters relating to the Project, NRB and the Grant. Furnish to ADB and PMU all such reports and information, to the extent available with it, as ADB and PMU shall reasonably request concerning (i) the Grant and the expenditure of the proceeds thereof; (ii) the Project; (iii) the Qualified Applicants, the Qualified Subprojects and the subgrants; and (iv) any other matters relating to the purposes of the Grant. Periodically send status report on the utilization of the subgrants to PMU . Maintain linkages with financial organizations (banks, cooperatives and NGOs) in accessing microfinance by beneficiaries. Monitoring and supervision of sub grants and report to ADB and PMU.
4.3.SNV Nepal
Provide agribusiness and value chain technical backstopping Provide technical advice to the PD and the PMU staff to improve project implementation and management. Provide technical training and support to LASPs and DOA staff in the analysis and implementation procedures to ensure that the Project is market led. The backstopping will include advising, mentoring training and supporting services providers to develop processes, business models and plans which link agribusiness with producer groups using contract farming and other approaches. Advice ASPs of new varieties and technologies which can enhance agribusiness opportunities. Provide advice and support to PMU and AEC and its contracted service providers in linking with export and partnership opportunities in other countries especially the South Asia Region. Assist contracted service providers with developing input supply models for producer groups that utilize cooperatives and associations with farmer group linkages.
Subgrants for the purpose of Agribusiness Grant Facility means Agribusiness Grant or Grant in this guideline. Subproject means Business for the purpose of AGF
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Provide Project Management Staff, AEC with training and development support in the monitoring and evaluation and results management system of the Project. Assist PMU and AEC to develop a system for knowledge management and ensure its adoption and use through the project implementation structure including the definition of processes for capture of relevant data, information and the development of knowledge products and their communication. Assist AEC in upgrading its current AMIS.
Monitoring of grant fund use and impacts on farm and post harvest operations Reporting to PMU and the annual evaluation meetings Development of HVC best management practice extension programs Support in collection of business plan from beneficiaries Support PMU in field verification of proposed agribusiness Copy of tripartite agreement will be made available to District Agriculture Development Committee (DADC) through DADO immediately after agreement
4.9.Department of Cooperatives
Assist in forming and managing cooperatives with special focus on transforming existing agriculture groups into cooperatives through its divisional offices.
2. Types of Grantee
DAG Farmers Groups, Agriculture Cooperatives / Multipurpose Cooperatives engaged in agriculture related activities and Agribusiness Enterprises
3. Eligibility
Following Registered6 groups and entrepreneurs with business activities involved with HVC agricultural products produced or processed in the Project districts are eligible to receive AGF grants: i. ii. iii. DAG Farmer groups Agriculture cooperatives, Multipurpose Cooperatives engaged in agriculture related activities Agribusiness Enterprises
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The relevant RAD will chair meetings of the IAP depending on the region from which the application emanates. DAG Farmers group registered in DADO, Firms registered in Cottage and Small Industries Office, Agriculture Cooperatives/ Multipurpose cooperatives registered according to Cooperatives Act 1992, Agribusiness Enterprises registered according to Company Act 2006.
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4. Ineligibility
Staff of MOAD or any of its line agencies, including enterprises with shares or equity involvement of individuals (or their relatives) in the public sector including political representatives, and its contracted service providers, and their family members Single agriculture producer i.e. a small farmer, individuals, political organizations, foreign-owned and government institutions, and religious groups Any entity registered outside the project district The Project does not accept or will cease processing applications from any enterprise or person who,
is bankrupt or being wound up, is having their affairs administered by the courts, has entered into an arrangement with creditors, has suspended business activities, is subject to court proceedings in relation to those business activities, or is in any analogous situation arising from a similar procedure provided for in the laws and regulations of Nepal or any other country; has been convicted of an offence concerning professional conduct, fraud, corruption, involvement in a criminal organisation or any other illegal activity by a judgment that has the force of res judicata (against which there is no right of appeal); is guilty of grave professional misconduct proven by any means that the Project can justify; has not fulfilled obligations relating to the payment of taxes or social security contributions provided for in the laws and regulations of Nepal; has been declared to be in breach of contract for failure to comply with contractual obligations in connection with any procurement or grant procedure similar to that offered by the Project; is subject to any conflict of interest arising from the application or the subsequent implementation of the activity financed by AGF grant; is guilty of misrepresentation in supplying information in any AGF grant application; has tried to influence the Project staff in the process of evaluation of their application; is for any reason deemed to be ineligible for receipt of AGF grant support by the Government or ADB; If the Project determines at any time during the processing of the application or subsequent to the disbursement of a grant that the applicant is ineligible according to the above criteria, it may immediately cease processing the application or take appropriate steps to recover any funds already disbursed from the grantee.
5. Grant Categories
Agribusiness grants are categorized into three broad headings. They are Grant Category I: Production Input including Cost of Leasing Land Grant Category II: Farm Development and Technology Grant Grant Category III: Post Harvest Value Chain Investments
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Required Documents Eligible Applicants DAG Farmers Groups Agriculture and Multipurpose Cooperatives Agribusiness Enterprises Institution Registration VAT/PAN Registration
(Farmers groups and cooperatives are exempted from VAT/PAN)
Grant Category Production Inputs Farm Development and Technology Post Harvest including processing
Business Plan Production Plan Marketing Plan Financial Plan Management Plan Business Development Plan
Apply
Fail
Pre-screening Pass
Fail
7. Cost Share/Match
Cost-sharing or matching refers to that portion of project or program costs not borne by ADB. All contributions, including cash and third party in-kind contributions, are accepted as part of the recipients cost-sharing or matching when they meet the criteria established in the standard provision governing recipient contributions. It is usually expected that the grantee will make some contribution to the activity for which they are seeking funding. This can be either in-kind (such as labour and materials) or cash. The purpose of the matching requirement is to leverage additional resources towards achieving the programs objectives and to give the grantee a stake in the outcome of the activity.
Government -
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2. Farm development and technology grants for HVC production 3. Market linked agriculture cooperatives and medium sized enterprises for post harvest HVC investment 4. Farm inputs to HVC farmer group members (for new HVC and one year only and limited to seed, fertilizer and plant protection materials )
50,000
15
35
250,000
50
15
35
50
15
35
5. Cooperative support Packages 6. Alternative energy for remote processing and post harvest enterprises
100
50
15
35
5,000
50
15
35
Nepalgunj and in the regions will provide detailed guidance to applicants to prepare business plans and to facilitate links to buyers and markets, as well as sources of specialized inputs needed for the business plan, such as processing equipment and supplies. NGOs will be hired to help identify and organize groups and enterprises that have viable business potential. Staff of DADO, SNV as well as National NGO, NGO for DAG and Local NGO will support farmers for their capacity building. They will also provide technical advice and carry out extension activities of the high value commodities.
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If the Project determines at any time during the processing of the application or subsequent to the disbursement of a grant that the applicant is ineligible according to the above criteria, it may immediately cease processing the application or take appropriate steps to recover any funds already disbursed from the grantee Upon approval of the eligibility, IAP will send the applications to concerned specialist(s) for business plan assessment and evaluation. Peer reviewers for business plan assessment and evaluation will be 1-3. The average score will be taken for final assessment by IAP. Peer reviewers will assess the business plan on the following criteria. 1. Business development plan a. Specifications of the items required for the planned development (facilities and equipment for Production). b. Cost and Finance table: all items and costs for items proposed for the planned business development, and the source of finance for each (i.e. the business owner, Agribusiness Grant, participating financial institutions (if any). c. Annual business work plan d. Corporate Social Responsibility (CSR) in case of Agriculture Cooperative and Agri-business Entrepreneur applicant 2. Production Plan a. Description of the products or services
Category A. A proposed project is likely to have significant adverse environmental impacts that are irreversible, diverse, or unprecedented. These impacts may affect an area larger than the sites or facilities subject to physical works. An environmental impact assessment (EIA), including an environmental management plan (EMP), is required. This has to be prepared by the proponent.
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b. Description of the production process, and facilities, equipment and labor involved c. Sources and annual quantity of inputs and raw materials (including procedures to ensure safety, quality, and sustainability of supply) d. Quantity of annual production 3. Marketing Plan a. b. c. d. e. Sales plan (history and forecast) Buyers: description, location, status (confirmed or potential) Distribution process Pricing plan Competitive strategy (competing products and businesses, quality management, differentiation)
4.
Management Plan a. Management structure b. Workers ( jobs allocation, number of full-time and part time workers; plan for employment of local people) c. Sources of facilitators, Advisors (if proposed) d. Community consultation e. Compliance (permits or other written evidence from planning and regulatory authorities approving business operations and any planned civil works, if required)
5. Financial Plan a. Statement of Assets (evidence of business premises land ownership, lease or legal use right) b. Statement of Liabilities c. For proposals between $1,500 and $10,000: Assess on the basis of Basic Cash Flow statement only. d. For proposals exceeding $10,000: Also assess on the basis of Profit and Loss Account; Balance Sheet; Financial Projections (at least 5 years) After assessing the business plan on the above aspects each peer reviewer will evaluate the business plan on the criteria given in annex 5. IAP will make overall review of the evaluated applications and recommend for approval or rejection.
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Should the appraisal panel findings be disregarded, the project director must obtain ADBs prior approval before any contract or disbursement is undertaken. For all grants over $100,000 the project director must obtain ADBs prior approval The successful applicant will be invited for tripartite agreement between the Applicant, NRB and PMU at the latters office. This Agreement will be a legal contract binding the Applicant, PMU and NRB to fulfill the conditions of the Grant Agreement. Conditions will include the schedule of Grant payments, the Applicants reporting and acquittal requirements and monitoring schedule. The Grant Agreement must be signed and witnessed, and have a original copy for each party. Once this contract has been concluded, the PD will request NRB to release the first Installment to the grantee on the terms and conditions set forth in the agreement. PMU will issue letter to proceed to the grantee and the grantee has to commission the work as specified on the plan of action.
8.5.Administration of Grants
The grantee shall procure the agreed goods and services using normal commercial practices. The grantee must provide evidence of purchase documentation to the PMU. PMU will review if expenses are eligible and will request the NRB to release subsequent installment to be deposited into the beneficiary bank accounts. Beneficiaries can have their account in any commercial bank in Nepalgunj or other locations at their choosing. Fund replenishment following disbursement of Project grants will be by SOE and replenishment procedures triggered by the PMU. The grantee will have to submit bimonthly, trimester and annual report of the business to the PMU. If PMU is ensured of the business activities running as planned, only then will request NRB to release subsequent installment. It is anticipated that the cost sharing portion of the beneficiary be spent first. The administration of grants will be supported by the partner organizations and service providers of the Project (Section I Para 3). Payment will be made on trimester basis upon submission of trimester progress report. Grantee will receive payment within two weeks provided the documents are complete. Final payment shall only be made upon submission of project completion report.
Performance by providing evidence-based reporting that informs management and decision making. Accountability and compliance by demonstrating whether or not our work has been carried out as agreed and in compliance with established standards.
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Organizational learning and knowledge sharing by reflecting upon and sharing experiences and lessons learned. Stakeholder feedback, especially beneficiaries, with mechanisms for people to express perceptions, as well as any grievances or complaints. Celebrate our work by highlighting our accomplishments, building morale and support for our work.
8.6.1. Monitoring
Agribusiness grant facilities will be monitored on the basis of following frameworks and data generation for this purpose will be disaggregated to satisfy the framework. I. Compliance and safeguard monitoring Compliance monitoring of agribusiness grants will be undertaken by local service providers and reviewed by national service provider and IAP. Safeguard compliance will be monitored by PMU and the safeguards staffs/specialists who will report on compliance of ESMS, GESI and RF. II. Performance and Impact Monitoring Monitoring and evaluation of technical and financial performance of agribusiness activities will be made on the basis of cumulative analysis of four sources of information. These four sources are: I. II. III. IV. Bimonthly, Trimester and annual and project completion reports submitted by respective agribusiness enterprises, and periodic reports of ASPs and DADOs. Project stakeholders meetings recommendations, suggestions and decisions. Reports of agribusiness monitoring and supervision visit by the Project staff, DADO Staffs, and ASPs. Complaint redressal logbook maintained at PMU
I.
Progress reports
Every agribusiness enterprise receiving agribusiness grant from the project are mandated to submit bimonthly report, trimester report, annual report and project completion report on prescribed format (technical as well as financial)8. These reports will be analyzed to judge against the set standards and milestones. Similarly DADOs of ten Project districts shall submit a copy of their regular progress report to PMU as per DOA guidelines.
II.
Project stakeholders meetings will be held on a regular basis and as needed based on the nature of the committee formed. The following committees have been constituted or proposed to be constituted in the Project. a) District Level
District Agriculture Development Committee This committee is chaired by DDC chairperson in the absence of whom is chaired by the Chief District Officer. This meeting is held quarterly and discusses about coordination, agricultural planning, monitoring and evaluation issues. This is a permanent and authentic committee in the district. This committee will be responsible to monitor agribusiness activities as well. In the Project districts this committee will make arrangement to include Local NGO of RISMFP as an invitee member of the committee. A copy of tripartite agreement should be made available to DADC through DADO immediately after agreement. b) Central level Project Steering Committee: Overall interagency coordination will be achieved through a Project Steering Committee (PSC) at central level. The Committee will comprise of the following: Project Steering Committee: Secretary, MOAC (Chairperson),Joint Secretary (Planning), MOAC, Director General, DOA, Representatives of Department of Cooperatives (DOC), Ministry of Finance (MOF), National Planning Commission (NPC), Department of Food Technology and Quality Control (DFTQC), Ministry Local Development, Representative of NRB, Representative of FNCCI, and Project Director, PMU. Executive Director, NARC. Regional Agriculture Director from Mid West and Far Western Development Region are invitee members. The PSC will be responsible for (i) review implementation performance and reporting to the EA and PD on options to improve the effectiveness and efficiency of the Project, (ii) provide inter agency coordination linkages for the IA and PMU, and (iii) ensure that the Project is consistent with Government Policy and Project Agreements. The Project will make arrangements for timely submission of reports and meetings minutes to the PMU. PMU will take records of all the four things viz Progress Reports /and Other Reports, Meeting Minutes, Complaint logs and Public Audit Report. These four varieties of information will be assessed and drawn out the conclusion. III. Field Monitoring Reports Project Management Unit will document field monitoring reports submitted by project staff (mandatory), partner organizations (AEC, NRB, SNV) and ADOs as well as ASPs and analyze them. Each business will be monitored and inspected at least once in every cropping season by DADO and LSP and twice during the entire business period by PMU staff. Monitoring is necessary for PMU once before second installment release and once before termination of the business. IV. Complaint Redressal Mechanism
The Project will establish a complaint redressal mechanism to address public grievances and dissatisfaction on the project activities. For this a simple mechanism to collect their complaints and grievances in a prescribed format (Annex 6-Form 1) is designed. The stakeholders can lodge their complaint through e-mail or by post or drop in complain box or hand delivers at respective DADO or PMU, Nepalgunj. The complaints thus received will be tabulated in a complaint log (Annex 6-Form 2). This will be analyzed and action taken accordingly.
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Information collected from all the four sources mentioned above will be documented by the Project in a handy format- Agribusiness Monitoring Matrix (Annex 6-Form 3). Information received from each source will be tabulated in the form. The Project will examine authenticity and reliability of information by cross check. After judging their reliability the Project will verify status of the business in question and register actual status on the last column of the matrix. Assessment of the business status will be made bi-monthly in this matrix and recommendation(s) made to properly run the business.
8.6.2. Evaluation
Evaluation provides the means to assess whether the Project is meeting its targeted objectives and the impacts. a) Process and Performance Evaluation The process and performance evaluation will be done by M&E division of MOAD in coordination with PMU and DOA with support from the experts if necessary. Process and performance evaluation coincides with the semi-annual/annual reports produced through monitoring. This will provide ways to improve project implementation process adopted, access performance of implementers and suggest if new strategies should be adopted. b) Impact Evaluation Impact evaluation will be done by independent evaluators contracted by PMU. Evaluation will attempt to find answers to the following questions: i. What are the overall positive impacts of the granted agribusiness in raising net income of small and medium farmers who participated in the business? Can we provide a strong basis for creating policies and programs that will encourage agriculture development to occur through formation of farmer cooperatives that focus on HVCs and are directly linked to markets in order to reduce poverty and possibly spur greater economic growth? What are the average effects to a farmer participating in the business (compared to not participating) on net income and other measures of welfare? What are the distributional effects of the business? What are the characteristics? (Including institutional capacity) of farmers/farmer groups who are more successful at increasing their net income in both percentage and absolute terms? Is there a basis for developing policies that focus on particular farmer groups either to maximize the programs impacts or minimize inequality or disparities between disadvantaged groups and encourage more inclusive growth patterns? What are the effects on gender and social inclusion in reducing disparities among members of society? What are factors affecting a farmers participation in the project? Can we develop targeting policies which can encourage more participation by people who can maximize the benefits of the program? What are the effects on DAGs and other farmer groups in terms of institutional development? Suggest policy options for institutional development of farmer groups. What are the impacts of the business on land use, natural resources, and environmental degradation such as soil and water quality?
ii. iii.
iv. v.
vi. vii.
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c) Public Audit The grantee shall be responsible to have at least one public audit of its business before completion of the business. For this local residents and representatives, media persons and business stakeholders, PMU and DADO should be invited for public hearing of the business, its impacts and outcomes. The report should be sent to DADO and PMU.
Legal issues are affecting the business completion or the grantees performance The Project asks for a delayed start New or Extra Work not included in the original scope or contract Unusual or adverse weather conditions
When the delays claim is caused by the grantee. When there is insufficient or inadequate workforce Underperforming by the grantee, specifically procuring long lead items When the business is affected by normal weather delays. When requesting a time extension certain steps must be followed, otherwise the time extension might not be approved. Normally, the grantee should notify the Project, when any issue might affect the work schedule. A formal letter must be addressed to the Project requesting the time extension and the reasons why those days should be added to the work schedule. If the time extension is granted, then the Project Director must answer by written and a change order will be issued. Time extension requests should be made not less than three months of business completion, if not; the time extension claim will be rejected. The time extension requests must contain the following supporting documents:
Indicate specific issue causing delays List of activities from work schedule being affected by the aforementioned issue Exact amount of time being requested specifying working days or calendar days Sketches, photographs, or pictures of progress Indicate the actions the grantee has taken to avoid or minimize other delays.
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Extension of business period/ time extension can be made only one time with valid and genuine reason for which the format provided in Annex 7. The cost incurred due to time extension should be borne by the grantee. Prior approval of ADB will be necessary for modification of business incurring more than $100,000.
8.7.2. Suspension
Agribusiness grant disbursement will be suspended and grantee asked to halt the implementation process till remedied, if the Project finds that (i) the business is not done as planned (ii) there is a sudden threat to environment that was not foreseen (iii) the Project finds activities done on ADBs prohibited list (iv) misappropriation and misuse of grant money (v) Not adhered to ADB Safeguard Policy 2009 Grantee will be notified to correct the maladies within the prescribed period. If corrected within the given time the suspension order will be withdrawn. If the maladies in question are not corrected within the prescribed period, the contract will be terminated effective from the date of suspension.
2) Contract Termination by Agreement A contract can include provisions whereby the parties agree in the contract itself that the contract terminates upon the occurrence of a specific event.
3) Contract Termination By Inability to Perform A contract can be terminated when something unforeseeable occurs that prevents the parties from following through with the contract. This situation is referred to as "impossibility of performance."
4) Contract Termination by Breach of Contract A contract can end when one party breaches the terms of the contract. Such a breach can occur in one of several ways. First, where a party fails to perform as agreed upon in the contract, there is a breach of contract. Moreover, one's failure to abide by the terms of the contract constitutes a breach of contract.
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Additionally, one party can do something to prevent the other party from performing his or her duties under the contract. 5) Contract Termination by Fraud A contract can be terminated by what is referred to as "fraud in the inducement." Fraud in the inducement occurs where a party intentionally misleads the other party into entering the contract.
To ensure no charge can be made for wrongful termination you should be sure that cause exists for termination and procedures are followed to terminate properly. Steps to proper termination Prior to termination the grantee can elect to suspend the work if timely payment is not made by the NRB. This is safer course of action than termination, and it allows the Project a chance to cure. If the grantee must terminate for cause (s)he must provide a 7 day written notice to the Project. Although not required prior to termination, the Project can elect to exercise its right to stop work prior to taking the more drastic remedy of termination. The Project can stop the work if it is not proceeding in accordance with the plans and the Grantees breach is substantial. This is recommended first step prior to termination. Further the Project can elect to carry out portions of the work itself, provided it follows the notice requirements and gives the Grantee an opportunity to comply. Prior to termination the Project must give a 7 day written notice to the Grantee. The Project will issue a termination letter to the grantee as provided in Annex 8.
Upon receipt of the requested information, the Project will conduct a review of the grants progress towards completion, satisfaction of the Project objective and beneficiary data, and other necessary management requirements. If no additional information is needed, the Project
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will approve the Grantees completion of closeout; and issue Grant Completion and Closeout letter (Annex 9).
Section III: Easy to Follow Guidelines and Templates 1. Call for Grant Application
The Project will call for grant application from eligible entities in national, local newspaper, FM radios and website giving a minimum of one month duration for submission. Call for grant application will be made in every three months. Call for grant application should include, apart from others, Eligible applicant Eligible support areas/type of grants Deadline for submission of application Place of submission Documents to be included along with the application Other legal provisions of grant application
The template for call for grant application is given in Annex 1- Form 1.
2. Grant Applications
1) If you are a registered DAG/IP farmers group and not affiliated to any cooperative, and if you have a signed supply agreement with buyers You can apply for Production inputs (fertilizer, seed and plant protection cost for the first crop grown under the Project); and Cost of Leasing Land (up to a maximum of $3000 per group for the first two years). 2) If you are a registered agriculture cooperative/multipurpose cooperatives engaged in agriculture activities and if you have, (i) Signed supply agreement with buyers, (ii) HVC production/processing/marketing experience , (iii) Group members having a farm of less than 2.0 ha, (iv) Have access to actual or potential HVCs markets You can apply for Farm Development and Technology Grant (on-farm capital, training, research investments, nurseries, small scale irrigation and water harvesting works that are owned, managed and maintained by farmers groups) through your cooperative. 3) If you are a agribusiness enterprise or cooperative and you have (i) Signed agreement with suppliers/growers You can apply for Post Harvest Value Chain Investments
24
Grant application Format is given in Annex 1- Form 2 The purposes of the Business Plan and Grant Application are to provide: (i) Evidence of the legal status of the business entity (the Applicant) and its compliance to local and national law and regulations; (ii) Information for assessment of the business viability, the impact on people in the project area, the environmental impact; (iii) Specifications and costs of the items proposed to be financed with Grant assistance. All Agribusiness Grant applications must include the following information: I. II. III. IV. V. VI. VII. Type of business structure (Farmers group, cooperative, company, etc.) Business Address (location and contact details) Name(s) of responsible person(s) and contact details Taxation Registration Number (VAT/PAN) Bank account details (Name of Bank, Address, Account holders name and account number ) Evidence of land ownership (Provide documents of registration, lease or user right) Copy of HVC supply agreement with the farmers groups/ traders/processers
3. Business Plans
(Grant Category I applicants applying for grants below $10,000 can simply fill up the forms/ templates provided for business planning and need not explain the following)
25
Describe the above after filling the form provided in Annex 2-Form 4.
v.
Describe the above after filling the form provided in Annex 2-Form 5
(i)
(v)
Describe the plan for business development. Business development plan can be made through SWOT analysis or Logical Frame work or any other model you wish to follow. The objective, goal and strategy must be clear. Cooperatives and agri-entrepreneurs must propose Corporate Social Responsibility (CSR) Specifications of the items required for the planned development (typically these will be facilities and equipment for Production) For purchase of goods and services exceeding NRs 300,000, provide 3 price quotations based on the specifications. Cost and Finance table: list all items and costs for items required for the planned business development, and the source of finance for each (i.e. the business owner, Agribusiness Grant). If the business must borrow from a bank, a letter from the bank must be provided. Annual business work plan: Provide monthly work schedule of the business.
27
Title Page Table of Contents Executive Summary Introduction Activities and Accomplishments Appendix
B. Table of Contents (Business Completion Reports Only) A table of contents should contain page references to all major sections of the report. List all main headings on the left side, and type corresponding page numbers for the start of each heading on the right. C. Executive Summary (Business Completion Report Only) All Business Completion Reports must begin with a 1 page Executive Summary. An Executive Summary should capture the projects purpose and scope; target population; results/important findings and lessons learned; products developed (including intended use and audience); program and policy implications; and recommendations, if any. D. Introduction (Business Completion Reports Only)
28
The introduction should provide a brief overview of the business and any background information that is necessary to understand the business planning strategies, goals, objectives, activities, and findings. E. Activities and Accomplishments The Activities and Accomplishments section serves as the body of your report. Below is the outline of the areas to be covered for Annual Reports as well as for Business Completion Reports. For each of these reports, grantees are asked to respond to a series of questions. Grantees should organize this section of their report by listing the question, followed by the response. F. Appendix (All Performance Reports) Include a copy of each business product as a separate attachment and identify each by capital letters in sequence, i.e. A, B, C, etc.
7. Annual Reports
1. What did you accomplish during this reporting period and how did these accomplishments help you reach your stated business goal(s) and objective(s)? Please note any significant project partners and their role in business activities. 2. What, if any, challenges did you face during this reporting period and what actions did you take to address these challenges? Please note in your response changes, if any, to your business goal(s), objective(s), or activities that were made as a result of challenges faced. 3. How have the activities conducted during this reporting period helped you to achieve the measurable outcomes identified in your business proposal? 4. What was produced during the reporting period and how have these products been distributed/ marketed?
30
7. At the end of the fiscal year, an Annual Financial Report (Annex 4-Form 3) is submitted to the Project and Business Completion Financial Report (Annex 4-Form 4) is submitted along with business completion report within 45 days after the completion. 8. During the project period, PMU and NRB will regularly monitor the financial transaction of the business. 9. For auditing purpose, the grantee should employ the professional auditors affiliated to the Institute of Chartered Accountants of Nepal. 10. All business expenditure records are made available to the auditors. PMU and NRB expect all businesses to abide by their institutional accounting rules which must be in accordance with the rules and regulations of Government of Nepal. 11. The Auditor's report will be made available to concerned grantee on completion of the audit. Any deficiencies noted in the report will be expected to be acted upon promptly.
31
Raising Incomes of Small and Medium Farmers Project Project Management Unit, Nepalgunj Call for Agribusiness Grant Facility Application Government of Nepal has received grant from the Asian Development Bank towards the cost of Raising Incomes of Small and Medium Farmers Project in Banke, Bardia, Dang, Surkhet, and Dailekh districts in Mid-western Development Region and Kailali, Doti, Baitadi, Dadeldhura and Darchula districts in Far-western Development Region. The Project will assist small and medium farmers for crop diversification to high value commodities by establishing market linkages, providing capital for inputs and improved technology, and for building post harvest value chain infrastructure including storage, packaging, grading and processing. The Project intends to apply part of the proceeds of the grant to the eligible applicants to carry out agribusiness activities in the Project districts. Therefore the Project now invites application from (specify eligible applicants) for (mention different grant categories). The applicants should note that: 1. The application form and other related formats are available at Project Management Unit, Nepalgunj or can be downloaded from the website: www.rismfp.gov.np 2. The application should be addressed to the Project Director, Raising Income of Small and Medium Farmers Project, Project Management Unit, Nepalgunj 3. The application should reach the Project Management Unit, Nepalgunj on or before (mention date and time) 4. If the last date of submission of the application falls on public holiday, it will be carried over to the next working day. Applications received after the deadline will not be considered. 5. The standard forms provided by the Project should be used for the application, otherwise the application will not be considered. 6. All the applications will be subjected to documentary, technical, managerial, social & environmental, economical and financial checking. 7. The decision on the approved application will be posted on PMU notice board and the Projects website where the list approved as well as rejected applications will be displayed. 8. The Project reserves the right to approve or not to approve the application without assigning any reason what so ever. 9. For further information the applicant can contact the Project Management Unit, Nepalgunj (Phone No) or visit the website given above.
Project Director
32
Dear Sir/Madam, I would kindly request assistance of the RISMFP Agribusiness Grant Facility Fund to support [Applicants Organization] to implement business activities described in the attached business plan and annexes, which has an estimated total value of Rs_____________. [Applicants Organization] agrees to contribute goods and services valued at Rs_____________ to the business, while AGF fund will provide Rs______________. The project will be implemented in the period of ________ months as of the date of final approval. I have neither received grant from any other source for this business nor have any such business being run through grant. Thank you for considering this application. Sincerely, ________________________ [Name] [Title & Organization] Address
33
e-mail:
9.
Any other information the applicant wishes to furnish (not exceeding one page)
34
Total
Note: Mandatory to the entire applicant. Grant category III applicants such as processors and traders should provide profile of the group with whom the HVC supply agreement is made.
35
Annex 2-Form 2: Production Estimate for Grant Category I (Production input including Cost of Leasing Land)
S. N. I 1 2 3 4 5 6 Particulars
Unit Rate
Year 1
Quantity Amount Rate
Year 2
Quantity Amount Rate
Year 3
Quantity Amount
II 1 2 3 4 5 6 III
IV
Materials Planting materials FYM Fertilizers Plant protection chemicals Irrigation Growth regulator & foliar nutrients Staking/mulching.. . Sub Total I Labour Land preparation Sowing/Planting Weeding/Plant care Application of fertilizers, pesticides, etc. Irrigation Harvesting & packing Sub Total (II) Leasing Land Total (I + II +III) Rounded Off to Production Main Product Bi-product Cost of Production/Kg Note: please refer Annex 2- Form 5.2 (specifications) for rate and quantity)
36
Annex2-Form 3: Production Estimate for Grant Category II and III (Farm Development and Technology Grant, Post Harvest Value Chain Investments)
Description Facilities
Unit
Rate
Amount/Val ue
Equipment
Labor
Inputs
Raw Material
Total
Note: Please refer Annex 2-Form 5.2 (specifications) for rate and quantity
37
*derived from annex 2-form 2 for grant category I and form 3 for grant category II and III Annex 2-Form 4.2: Buyers (to be filled by all applicants) Description Location Buying Capacity Status ( confirmed/potential)
Annex2-Form 4.3: Distribution Process (to be filled by all applicants) Sales Product Farm gate Vendor Quantity of Sales through Retailer Whole seller
Exporter
Annex 2-Form 4.4: Pricing Plan (to be filled by cooperatives and agribusiness entrepreneurs only) Product specification Retail price Volume* 1 Whole sale price Volume* 2 Volume* 3 Pricing Strategy
*specify volume size viz. weight of the consignment ( 1 quintal, 1 full truck load etc) Annex 2-Form 4.5: Competitive strategy (to be filled by cooperatives and agribusiness entrepreneurs only) Your Product Specification Your Competitors Product Specification How do you cope with the difference? How will you maintain the quality of your product? What will be your competitive strategy? Low Price Assured Others supply (specify)
Quality Product
38
Annex 2-Form 5.1: Management Structure (to be filled by cooperatives and agribusiness entrepreneurs only)
Staff Position Manager Storekeeper Accountant Procurement Sales person Supervisor .. .. Workers Full time Part time Contractor/Advisor (if any) .. Number Local Roles Outsider Remarks
A. B.
Community Consultation: (Provide minute of the meeting signed by the community members attending the meeting. Compliance: (Provide copy of permits or other written evidence by regulatory authorities approving business operations and any planned civil works, if required)
39
Annex 2-Form 5.2: Production specification (to be filled by grant category I applicants with the help of project technicians)
I 1 2 3 4 5 II 1 2 3 4 5
Technical Parameters Variety Spacing Plant Population (no./ha) or seed rate (kg/ha) Fertilisers (g/plant/year of age) or kg/ha
Yield (no. of fruits/tree) or kg/ha Economic Parameters Planting Material (Rs/ seedling) or (Rs/kg) Labour wage rate (Rs/ manday) Bullock hire or tractor hire rate Rs/hour or /day FYM or compost (Rs/ quintal) Fertilizers (Rs/ kg) : Nitrogen (Rs./Kg) based on Urea P2O5 (Rs./kg) based on TSP K2O (Rs./kg) based on MOP ZnSO4 (Rs./Kg) FeSO4 (Rs./Kg) MnSO4 (Rs./Kg)
Weedicides (Name) .
7 8
Sale price (Rs.per 100 fruits) or Rs/kg Economic life (in case of horticultural crops and MAPS)
Note: Applicants have to prepare specifications for grant category II and III according to the nature of the business.
40
Annex 2- Form 5.3 Mitigation Plan ( to be filled by cooperatives and agribusiness entrepreneurs ony)
Business Impact Risk and assumption 1. 2. 3. 4. Environmental Impact During Production During Processing During Marketing Nature and extent Coping Strategy
Social Impact
41
Activities Land acquisition (leasing) Land Preparation / establishm ent of PH unit Procureme nt of inputs/ raw materials Intercultura l operation/p rocessing Harvesting Packaging Selling Market study .. ..
Year 1 J F M
Year 2 J F M
Year 3 J F M
Note: This is a design only and is not realistic. You should shade activities according to what you will actually do. Activities may differ according to business.
42
Annex 2- Form 6: Financial Plan Form 6.1: Cost and Finance Table (to be filled by all the applicants)
S. N. Particulars Year 1 Year 2 Year 3
Total Amount
I 1 2 3 4 5 6 7 8 9 II 1 2 3 4 5 6 Sub Total (II) Labour Materials
AGF
Applicant
Total Amount
AGF
Applicant
Total Amount
AGF
Applicant
III
IV
Equipment
43
S. N.
Particulars
Year 1
Year 2
Year 3
Total Amount
.. . Subtotal IV V Raw material .. .. Subtotal V III IV Leasing Land Support for Cooperative Total
AGF
Applicant
Total Amount
AGF
Applicant
Total Amount
AGF
Applicant
44
Form 6.2: Balance Sheet (to be filled by cooperatives and agribusiness entrepreneurs)
Balance Sheet as of.. Capital and liabilities Capital +Net profit -Drawings Sundry creditors Bills payable Loan on mortgage Bank overdraft Outstanding expenses Amount Rs Assets and Properties Cash in hand Cash at Bank Plant and Machinery Furniture and fixtures Land and building Sundry debtors Bills receivable Goodwill Investment Tools and implements Prepaid expenses Amount Rs
--------------------
------------------------
Form 6.3: Profit and Loss Account (to be filled by cooperatives and agribusiness entrepreneurs)
Debit Particulars To gross loss transferred from trading account To salaries To Rent To Telephone charge To General expenses To Sundry expenses To Production expenses To marketing expenses . Net profit transferred to capital account ------------------Amount (Rs) Credit Particular By gross profit transferred from trading account By interest of fix deposit in bank By discount received By Other income By Miscellaneous revenue receipts .. . Amount (Rs)
Form 6.4: Financial Projections (to be filled by cooperatives and agribusiness entrepreneurs)
Profit and expenses Revenues Cost of sales Gross profit Accounting Advertising and promotion Bank charges Production cost Depreciation Office supplies Telephone . . Earnings before taxes taxes Net profit Year 1 Year 2 Year 3 Year 4 Year 5
45
Form 6.5: Cash Flow Projection (applicable to cooperatives and agribusiness entrepreneurs)
Description Operating profit Add: depreciation Working capital investment Cash from operations Interest expense Income taxes Net cash before debt payment Debt payment Change in cash Cash reconciliation Beginning cash Change in cash Ending cash Year 1 Year 2 Year 3 Year 4 Year 5
46
Form 6.6: Basic Cash Flow Statement (to be filled by grant category I applicants)
Description 1. Money Received -Cash from sales -Payment received -New loans -New Investment .... Total Received 2. Money Spent -Cash spending -Bill payment -Repay loans -Purchase assets ........ Total Spent Cash Flow Cash Balance Period.................. Period............. Period............
47
Grantee:
Address: Person Completing Report: Telephone Number: Date:
Report Due
November 15th March 15th July 15th
1. Major Activities/Accomplishments: List major business activities this reporting period. (Include activities begun this period, those completed since previous period, and those begun in the previous period and continuing this period.) Specify the types of services provided, particularly, those services identified as priority services under this grant.
2. Problems Encountered: List any problems experienced during the reporting period. Include actual/anticipated slippage in task completion/ implementation dates and any deviations from original business plan. Also, indicate any steps undertaken to address problems.
48
3. Significant Findings or Events: List any significant findings or events that occurred during the trimester.
4.
Dissemination Activities: List information dissemination activities carried out during the reporting period. Attach copies of any newspaper, or magazine articles or other published materials considered relevant to the business project activities or used for business information or public relations purposes.
5. Other Activities: List any other business activities not noted earlier.
49
6. Activities Planned for Next Reporting Period: List major activities planned for next reporting period.
50
3 4 5 6 7 8
Appendix Include a copy of each business product as a separate attachment and identify each by capital letters in sequence, i.e. A, B, C, etc.
51
3. 4. 5. 6.
7. 8.
52
5 6 7 8
53
Appendix Include a copy of each business product as a separate attachment and identify each by capital letters in sequence, i.e. A, B, C, etc.
54
SN
Year 5 (8)
Total (9)
(1) 1 2
(2) 4+5+6+7+8 Land acquisition (leasing) Land Preparation/ establishment of PH unit Procurement of inputs/ raw materials Intercultural operation/processing Harvesting Packaging Selling Market study ..
3 4 5 6 7 8
Appendix
Include a copy of each business product as a separate attachment and identify each by capital letters in sequence, i.e. A, B, C, etc.
55
Matching
56
Description
Total Budget
Budget Released
Expenditure
Budget Remaining
Grant
Matching
Total
Grant
Matching
Total
Grant
Matching
Total
Grant
Matching
Total
Grant
Matching
Total
Total Expense: Actual Expense after due advance deduction: Account No:
57
Description
Total Budget
Budget Released
Expenditure
Budget Remaining
Grant
Matching
Total
Grant
Matching
Total
Grant
Matching
Total
Grant
Matching
Total
Grant
Matching
Total
Total Budget Release: Bank Balance: Actual Expense after due advance deduction: Bank Name:
Account No:
58
S. N
Activities
1 2 3 n.. Sub total [A] Overhead % Contingenc y% Sub Total [B] Vat 13 % Grand Total
59
S.N Assessment Criteria 1. Farmer outreach: For Cooperative or Agribusiness entrepreneur a contractual arrangement for supply of HVC with farmer groups for the partnership needs to be made before the submission of the proposal. For farmer groups HVC supply agreement with postharvest processors or traders Farmers group/ cooperative/ entrepreneurs strength. Judge their strength to do the business proposed Innovative features: The business plan must be innovative in one or more aspects: technological innovation (e.g. choice of HVC), institutional arrangement, or pubic goods element translating farmers challenges into opportunities, corporate social responsibility etc. Economic/Managerial/Financial/Technical aspects: The business and investment plan demonstrates long term economic gains and is financially and technically sound, viable and sustainable. Assess specifications, competitive analysis, needs identification, market acceptance, unique capabilities, sales/promotion plans and projections, general economics of the business Environmental aspects: Positive environmental impacts would earn extra points for business proposals (e.g., for the use of environmentally friendly technologies, erosion control measures, safeguard against activities that may lead to negative environmental impacts like increased soil erosion, excessive use of chemicals or have mitigation plans in place to ensure the environmental safeguard policy is complied with). Social inclusion: The business plan evaluation criteria would give extra points for the following socials aspects: gender
Your assessment
Score
Maximum Score 10
2.
10
3.
15
4.
35
5.
10
6.
10
60
7.
development, gender equity, targeting the poor, Indigenous Peoples and disadvantaged groups. For example, eligible proposals from women headed businesses and households would be given extra points in the evaluation weighting system. The matching grants would meet the costs of farm inputs and farm development and technology; goods, materials and on-farm works to increase production and productivity, and postharvest handling undertaken by smallholder farmer cooperatives/farmers groups agribusiness entrepreneurs. Ineligible expenditures would include expenses related to (farm) land except for DAG farmers groups who can avail cost for land leasing, family labor contribution, working capital, recurrent expenses, normal business costs and technologies which infringe with the existing laws and regulations
10
Total score Overall impression of the evaluator: Recommendation 1. Can be approved with minor changes 2. Can be approved with major changes a. b. c.
100
3. Can be rejected, because. (give reasons) Signature of the evaluator: Name: Date:
61
Name: Address: Other relevant claimant information: Sensitivity of complaint: (circle or highlight one) Description of complaint:
Low
Medium
High
By signing and submitting this complaint, I accept the procedure by which complaints will be processed and dealt with. I have been informed of the terms for appeal. Date: Signature :............... to be filled in by staff Response/remedy to the complaint: Response/remedy was: (delete as appropriate) Date: Complaint Redresser Staff name: Signature: 5. RECEIPT to be filled in by staff and cut off and given to person filing the complaint Complaint number (unique number): Expected date of response: Place to receive response: Complaint Entry Staff signature: Date: Accepted/Not appealed/Appealed to:
62
*Complaint Categories 3. 4. 5. 6. 7. 8. 9. Graft ( corruption) Favouritism Work Delayed Non-transparency Misbehave Social discrimination Environmental negligence
63
Business Activities
Target/Mile stone
Progress Report
1. 2. 3. ....
..... ....
64
Matching Fund Rs
For business amendments, provide specifics on the change in business components. If applicable, provide a revised budget
Provide any additional information you feel would assist the Project in evaluating your request. For example, a contingency plan to mitigate further project delays and/or a listing of resources that will be used to complete the business
Signature of Business Manager or Chief of the Institution Date Recommended by.. (Service Provider)
65
This grant is closed pending the Projects receipt and approval of your final audit. Any findings noted in that audit will be the responsibility of the ....... (Company name). We congratulate you once again and look forward to working with you in the future. Sincerely, Project Director
10
Use this paragraph if final audit report is not available at the time of issuing this letter.
67
Appendices Appendix 1: List of High Value Commodities (Identified & Prioritized in Workshops conducted by RISMFP)
No. Districts Cereal & Vegetabl e Seed
Rice, Wheat, Lentil, Maize, Mustard 1 Banke
Vegetable s
Tomato, Onion, Cabbage, Cauliflower, Green peas, Potato, Cucurbits, Capsicum, Melons and Pointed gourd Tomato, Onion, Cabbage, Cauliflower, Green peas, Potato, Cucurbits, Capsicum, Melons and Pointed gourd Tomato, Onion, Cabbage, Cauliflower, Green peas, Potato, Cucurbits, Capsicum, Melons and Pointed gourd Tomato, Onion, Cabbage, Cauliflower, Green peas, Potato, Cucurbits,
Fruits
Banana , Papaya, Mango, Litchi
NTFP
Lemon grass, Asparagus , Mentha, Camomile,
Spices
Ginger, Turmeric, Garlic, Coriande r and dry Chilly
Others
Honey, Mushroo m
Honey, Mushroo m
Dang
Honey, Mushroo m
68
Capsicum, Melons and Pointed gourd Maize, wheat and Vegetable seed (Radish, pea, Bean, Rayo, Cress) Maize, wheat and Vegetable seed (Radish, pea, Bean, Rayo, Cress) Maize, wheat and Vegetable seed (Radish, pea, Bean, Rayo, Cress), Soya bean Maize, wheat and Vegetable seed (Radish, pea, Bean, Rayo, Cress) Maize, wheat and Vegetable seed (Radish, pea, Bean, Rayo, Cress), Ground nut, Soybean Off season Vegetable (Tomato, Cauliflower, Cabbage, Capsicum, Bean, Peas, Radish) Off-season Vegetable (Tomato, Cauliflower, Cabbage, Capsicum, Bean, Peas, Radish) Off season Vegetable (Tomato, Cauliflower, Cabbage, Capsicum, Bean, Peas, Radish) Off season Vegetable (Tomato, Cauliflower, Cabbage, Capsicum, Bean, Peas, Radish) Off season Vegetable (Tomato, Cauliflower, Cabbage, Capsicum, Bean, Peas, Radish) Banana , Papaya Timur, Chiuri, Amla, Camomile Ginger, Turmeric, Garlic, Coriande r and dry Chilly Honey, Mushroo m
Surkhet
Dailekh
Honey, Mushroo m
Dadeldhur a
Honey, Mushroo m
Citrus, Walnut
Timur,
Baitadi
Honey, Mushroo m
Citrus, Walnut
Doti
Honey, Mushroo m
69
10
Darchula
Maize, Wheat & Vegetable Seed (Radish, Pea, Bean, Rayo, Cress)
Off season Vegetable (Tomato, Cauliflower, Cabbage, Capsicum, Bean, Peas, & Radish)
Citrus, Walnut
Honey, Mushroo m
70
Name and address of the Grantee .. (Signature of the grantee) WITNESSES (Signature with full names & addresses)
71
WITNESSES (Signature with full names & addresses) 1. 2. .. Signature on behalf of the Project WITNESSES (Signature with full names & addresses) 1. 2. Terms and conditions 1. This agreement shall come into effect when it is signed by the grantee, the Bank and the Project, and the Grant Agreement is declared effective. This agreement shall continue to be valid until the completion date indicated in this contract or such other date as may be agreed between the Grantee, the Project and the Bank. The total duration of the business will be as stated in the business plan submitted to the Project by the Grantee. The Grantee is responsible for successfully completing the business within the specified period (insert approved business duration) The grant will be used only in respect of the components of the business plan and work plan thereof. Any subsequent amendments must be agreed in writing with the Project and the Bank. The Grantee cannot incur expenditure in excess of the financial limit set out above without the Projects written approval. The grant will be disbursed based on expenditure and subject to correct usage, satisfactory progress and financial reports being received. The Business Manager will be the authorized person of the concerned institution. Should the Business Manager be replaced for any reason, the institution will appoint a suitable candidate with prior consent of the Project. The Grantee will submit following reports
72
2.
3.
4. 5.
6.
7.
8. 9.
10.
11.
19.
I. Trimester Performance Reports- every four months (three times a year) II. Trimester Financial Report every four months ( three times a year) III. Annual Performance Report- every year IV. Annual Financial report every year V. Business Completion Report- once at completion of the business. The chief of the institution of Grantee will allow the Project and the Bank staff or others nominated by the Project and/or Bank to visit premises and business sites and to inspect any records pertaining to the business as the Project and/or Bank may require, both during and after the business. The Bank will make funds for the business available on a trimester (four month) basis. The procedure and conditions for disbursement of these funds are as follows: An amount equivalent to the approved trimester budget can be disbursed by the Project in advance for the business if requested by the Grantee. Alternatively, the Grantee may wish to carry out the trimester business activities, initially from their own matching fund and later can claim the incurred expenses from the Project as a reimbursement (within the approved trimester budget limit). The Grantees with the exception of farmers groups should present to the Project a bank guarantee for one year or the business period against the amount advanced. If the payment extends for more than a year the bank guarantee should correspond to the duration until the advance is paid back. The Grantees will provide a detailed statement of income and expenditure and a bank statement of each reporting period. Documents need to be signed by the Business Manager. Funds may be moved between grant eligible activity lines with the agreement of the Project. A full written justification for such movement should be made. Funds will be released, by the Bank, directly to the Business bank account of the Grantee. Notification of any transfer will be sent to the Business Manager. Only claims and payments authorised by the Business Manager, or a person nominated by him/her and approved by the Project may be paid by the Bank from the funds allocated under the conditions of this grant. The Business Manager will submit to the Project financial statements of expenditure for each reporting period. Reports will pass to the Project Management Office either directly or as required by the grantee institution or organisation. Reports should follow the format and frequency which will be provided by Project. As the business progress, there are invariable reasons for changing some elements and the Project must be kept fully informed. Any significant changes must be approved by the Project. All claims and statements must be certified by the Business Manager, in the following words: [statements of expenditure]: The payments detailed above have been actually and necessarily made on the (insert name of business) as specified in the Agreement signed with the Project and Bank. Signed: Dated:
20. Failure to provide a satisfactory account of expenditure may result in the immediate suspension or termination of the Project funding and in the refund to the Bank of any funds which, in the opinion of the Project, has not been satisfactorily accounted for. If the Project
73
considers that there has been a fraudulent use of its funds, it reserves the right to involve the police and to take legal action. 21. Details of the Grantees bank account are given below. If during the lifetime of the business any of these details change, please inform the Project immediately. Bank Name and Full Address: Bank Account Name: Bank Account Number: Names of Signatories and their positions: 22. Any unspent balance from grant on completion of the business must be refunded to the Bank. 23. For auditing purpose the grantee should employ the professional auditors affiliated to the Institute of Chartered Accountants of Nepal. 24. If in the opinion of the Project it appears desirable that this Agreement should be terminated for any reasons, the Project may at any time inform the Grantee of its decision by a written instruction to that effect. The Grantee will submit an account in writing which will state the amount claimed, taking into account all fees and costs properly incurred or committed by the Grantee in relation to the Agreement which cannot be recovered, and taking into account outstanding advances. 25. If payments are within the financial limit and not subject to dispute, the Bank on the recommendation of the Project will pay all sums due and outstanding under the terms of the Agreement up to and including the date of termination. 26. The grantee who terminates the business agreement after the release of the first instalment amount from the Bank without a written permission of the Project or displays a lack of interest in program implementation, depicts ulterior motives and financial irregularities, and like, will be blacklisted and subjected to appropriate legal actions as per the rules and regulations of the Government of Nepal. 27. If the performance of the Agreement by either party is delayed, hindered or prevented, or is otherwise frustrated by reason of force majeure (war, civil commotion, fire, flood, action by any government or any event beyond the reasonable control of the party affected) then the party so affected will promptly notify the other party in writing specifying the action of the force majeure and of the anticipated delay in the performance of the agreement. 28. From the date of that notification the Project may at its discretion either terminate the Agreement immediately, or suspend the performance of the Agreement for a period not exceeding six months. 29. In the event of the Agreement being terminated by reason of force majeure the Project will submit an account in writing which will state the amount claimed taking into account all fees and costs properly incurred or committed by the grantee in relation to the Agreement which cannot be recovered, and taking into account outstanding advances. If payments are within the financial limit and not subject to dispute, the Bank will pay all sums due and outstanding under the terms of the Agreement up to and including the date of termination.
74
75
Farmers Cooperative
VDC/MCPFax Date
Amount (Rs.)
Agreement date
Business Name Land ownership Type Business Manager Contact address Contract Agreement Date Contract Period
Own Phone
Lease Fax
Cooperative e-mail
From
T0
Verified by.(sign)
Name: Post: Date:
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production or activities involving harmful or exploitative forms of forced labor or child 3 labor; production of or trade in any product or activity deemed illegal under host country laws or regulations or international conventions and agreements or subject to international 4 5 phaseouts or bans, such as (a) pharmaceuticals, pesticides, and herbicides, (b) ozone6 7 8 depleting substances, (c) polychlorinated biphenyls and other hazardous chemicals, (d) wildlife or wildlife products regulated under the Convention on International Trade in 9 and (e) transboundary trade in waste or Endangered Species of Wild Fauna and Flora, 10 waste products; production of or trade in weapons and munitions, including paramilitary materials; 11 production of or trade in alcoholic beverages, excluding beer and wine; production of or trade in tobacco; gambling, casinos, and equivalent enterprises; 12 production of or trade in radioactive materials, including nuclear reactors and components thereof; production of, trade in, or use of unbonded asbestos fibers; commercial logging operations or the purchase of logging equipment for use in primary tropical moist forests or old-growth forests; and marine and coastal fishing practices, such as large-scale pelagic drift net fishing and fine mesh net fishing, harmful to vulnerable and protected species in large numbers and damaging to marine biodiversity and habitats.
ADB. 2009. Safeguard Policy Statement. Manila. 2 Forced labor means all work or services not voluntarily performed, that is, extracted from individuals under threat of force or penalty. 3 Child labor means the employment of children whose age is below the host countrys statutory minimum age of employment or employment of children in contravention of International Labor Organization Convention No. 138 Minimum Age Convention. www.ilo.org. 4 A list of pharmaceutical products subject to phaseouts or bans is available at http://www.who.int.
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A list of pesticides and herbicides subject to phaseouts or bans is available at http://www.pic.int. 6 A list of the chemical compounds that react with and deplete stratospheric ozone resulting in the widely publicized ozone holes is listed in the Montreal Protocol, together with target reduction and phaseout dates. Information is available at http://www.unep.org/ozone/montreal.shtml. 7 A group of highly toxic chemicals, polychlorinated biphenyls are likely to be found in oil-filled electrical transformers, capacitors, and switchgear dating from 1950 to 1985.
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As defined by the Basel Convention; see http://www.basel.int. 11 This does not apply to project sponsors who are not substantially involved in these activities. Not substantially involved means that the activity concerned is ancillary to a project sponsor's primary operations. 12 This does not apply to the purchase of medical equipment, quality control (measurement) equipment, and any equipment for which Asian Development Bank considers the radioactive source to be trivial and adequately shielded. 13 This does not apply to the purchase and use of bonded asbestos cement sheeting where the asbestos content is less than 20%.
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1. Environmental Safeguards Objectives: To ensure the environmental soundness and sustainability of projects and to support the integration of environmental considerations into the project decision-making process. Scope and Triggers: Environmental safeguards are triggered if a project is likely to have potential environmental risks and impacts. Policy Principles: 1. Use a screening process for each proposed project, as early as possible, to determine the appropriate extent and type of environmental assessment so that appropriate studies are undertaken commensurate with the significance of potential impacts and risks. 2. Conduct an environmental assessment for each proposed project to identify potential direct, indirect, cumulative, and induced impacts and risks to physical, biological, socioeconomic (including impacts on livelihood through environmental media, health and safety, vulnerable groups, and gender issues), and physical cultural resources in the context of the projects area of influence. Assess potential transboundary and global impacts, including climate change. Use strategic environmental assessment where appropriate. 3. Examine alternatives to the projects location, design, technology, and components and their potential environmental and social impacts and document the rationale for selecting the particular alternative proposed. Also consider the no project alternative. 4. Avoid, and where avoidance is not possible, minimize, mitigate, and/or offset adverse impacts and enhance positive impacts by means of environmental planning and management. Prepare an environmental management plan (EMP) that includes the proposed mitigation measures, environmental monitoring and reporting requirements, related institutional or organizational arrangements, capacity development and training measures, implementation schedule, cost estimates, and performance indicators. Key considerations for EMP preparation include mitigation of potential adverse impacts to the level of no significant harm to third parties, and the polluter pays principle. 5. Carry out meaningful consultation with affected people and facilitate their informed participation. Ensure womens participation in consultation. Involve stakeholders, including affected people and concerned nongovernment organizations, early in the project preparation process and ensure that their views and concerns are made known to and understood by decision makers and taken into account. Continue consultations with stakeholders throughout project implementation as necessary to address issues related to environmental assessment. Establish a grievance redress mechanism to receive and facilitate resolution of the affected peoples concerns and grievances regarding the projects environmental performance.
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6. Disclose a draft environmental assessment (including the EMP) in a timely manner, before project appraisal, in an accessible place and in a form and language(s) understandable to affected people and other stakeholders. Disclose the final environmental assessment, and its updates if any, to affected people and other stakeholders. 7. Implement the EMP and monitor its effectiveness. Document monitoring results, including the development and implementation of corrective actions, and disclose monitoring reports. 8. Do not implement project activities in areas of critical habitats, unless (i) there are no measurable adverse impacts on the critical habitat that could impair its ability to function, (ii) there is no reduction in the population of any recognized endangered or critically endangered species, and (iii) any lesser impacts are mitigated. If a project is located within a legally protected area, implement additional programs to promote and enhance the conservation aims of the protected area. In an area of natural habitats, there must be no significant conversion or degradation, unless (i) alternatives are not available, (ii) the overall benefits from the project substantially outweigh the environmental costs, and (iii) any conversion or degradation is appropriately mitigated. Use a precautionary approach to the use, development, and management of renewable natural resources. 9. Apply pollution prevention and control technologies and practices consistent with international good practices as reflected in internationally recognized standards such as the World Bank Groups Environmental, Health and Safety Guidelines. Adopt cleaner production processes and good energy efficiency practices. Avoid pollution, or, when avoidance is not possible, minimize or control the intensity or load of pollutant emissions and discharges, including direct and indirect greenhouse gases emissions, waste generation, and release of hazardous materials from their production, transportation, handling, and storage. Avoid the use of hazardous materials subject to international bans or phaseouts. Purchase, use, and manage pesticides based on integrated pest management approaches and reduce reliance on synthetic chemical pesticides. 10. Provide workers with safe and healthy working conditions and prevent accidents, injuries, and disease. Establish preventive and emergency preparedness and response measures to avoid, and where avoidance is not possible, to minimize, adverse impacts and risks to the health and safety of local communities. 11. Conserve physical cultural resources and avoid destroying or damaging them by using fieldbased surveys that employ qualified and experienced experts during environmental assessment. Provide for the use of chance find procedures that include a pre-approved management and conservation approach for materials that may be discovered during project implementation.
2. Involuntary Resettlement Safeguards Objectives: To avoid involuntary resettlement wherever possible; to minimize involuntary resettlement by exploring project and design alternatives; to enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to pre-project levels; and to improve the standards of living of the displaced poor and other vulnerable groups.
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Scope and Triggers: The involuntary resettlement safeguards covers physical displacement (relocation, loss of residential land, or loss of shelter) and economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. It covers them whether such losses and involuntary restrictions are full or partial, permanent or temporary. Policy Principles: 1. Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks. 2. Carry out meaningful consultations with affected persons, host communities, and concerned nongovernment organizations. Inform all displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons concerns. Support the social and cultural institutions of displaced persons and their host population. Where involuntary resettlement impacts and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase. 3. Improve, or at least restore, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible. 4. Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required. 5. Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas provide them with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing. 6. Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status.
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7. Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of nonland assets. 8. Prepare a resettlement plan elaborating on displaced persons entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule. 9. Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders. 10. Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of projects costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation. 11. Pay compensation and provide other resettlement entitlements before physical or economic displacement. Implement the resettlement plan under close supervision throughout project implementation. 12. Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions
3. Indigenous Peoples Safeguards Objectives: To design and implement projects in a way that fosters full respect for Indigenous Peoples identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the Indigenous Peoples themselves so that they (i) receive culturally appropriate social and economic benefits, (ii) do not suffer adverse impacts as a result of projects, and (iii) can participate actively in projects that affect them. Scope and Triggers: The Indigenous Peoples safeguards are triggered if a project directly or indirectly affects the dignity, human rights, livelihood systems, or culture of Indigenous Peoples or affects the territories or natural or cultural resources that Indigenous Peoples own, use, occupy, or claim as an ancestral domain or asset. The term Indigenous Peoples is used in a generic sense to refer to a distinct, vulnerable, social and cultural group possessing the following characteristics in varying degrees: (i) self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; (ii) collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; (iii) customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and (iv) a distinct language, often different from the official language of the country or region. In considering these characteristics, national legislation, customary law, and any international conventions to which the country is a party will be taken into account. A group that has lost collective attachment to
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geographically distinct habitats or ancestral territories in the project area because of forced severance remains eligible for coverage under this policy. Policy Principles: 1. Screen early on to determine (i) whether Indigenous Peoples are present in, or have collective attachment to, the project area; and (ii) whether project impacts on Indigenous Peoples are likely. 2. Undertake a culturally appropriate and gender-sensitive social impact assessment or use similar methods to assess potential project impacts, both positive and adverse, on Indigenous Peoples. Give full consideration to options the affected Indigenous Peoples prefer in relation to the provision of project benefits and the design of mitigation measures.I dentify social and economic benefits for affected Indigenous Peoples that are culturally appropriate and gender and intergenerationally inclusive and develop measures to avoid, minimize, and/or mitigate adverse impacts on Indigenous Peoples. 3. Undertake meaningful consultations with affected Indigenous Peoples communities and concerned Indigenous Peoples organizations to solicit their participation (i) in designing, implementing, and monitoring measures to avoid adverse impacts or, when avoidance is not possible, to minimize, mitigate, or compensate for such effects; and (ii) in tailoring project benefits for affected Indigenous Peoples communities in a culturally appropriate manner. To enhance Indigenous Peoples active participation, projects affecting them will provide for culturally appropriate and gender inclusive capacity development. Establish a culturally appropriate and gender inclusive grievance mechanism to receive and facilitate resolution of the Indigenous Peoples concerns. 4. Ascertain the consent of affected Indigenous Peoples communities to the following project activities: (i) commercial development of the cultural resources and knowledge of Indigenous Peoples; (ii) physical displacement from traditional or customary lands; and (iii) commercial development of natural resources within customary lands under use that would impact the livelihoods or the cultural, ceremonial, or spiritual uses that define the identity and community of Indigenous Peoples. For the purposes of policy application, the consent of affected Indigenous Peoples communities refers to a collective expression by the affected Indigenous Peoples communities, through individuals and/or their recognized representatives, of broad community support for such project activities. Broad community support may exist even if some individuals or groups object to the project activities. 5. Avoid, to the maximum extent possible, any restricted access to and physical displacement from protected areas and natural resources. Where avoidance is not possible, ensure that the affected Indigenous Peoples communities participate in the design, implementation, and monitoring and evaluation of management arrangements for such areas and natural resources and that their benefits are equitably shared. 6. Prepare an Indigenous Peoples plan (IPP) that is based on the social impact assessment with the assistance of qualified and experienced experts and that draw on indigenous knowledge and participation by the affected Indigenous Peoples communities. The IPP includes a framework for continued consultation with the affected Indigenous Peoples communities during project implementation; specifies measures to ensure that Indigenous Peoples receive culturally appropriate benefits; identifies measures to avoid, minimize, mitigate, or compensate
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for any adverse project impacts; and includes culturally appropriate grievance procedures, monitoring and evaluation arrangements, and a budget and time-bound actions for implementing the planned measures. 7. Disclose a draft IPP, including documentation of the consultation process and the results of the social impact assessment in a timely manner, before project appraisal, in an accessible place and in a form and language(s) understandable to affected Indigenous Peoples communities and other stakeholders. The final IPP and its updates will also be disclosed to the affected Indigenous Peoples communities and other stakeholders. 8. Prepare an action plan for legal recognition of customary rights to lands and territories or ancestral domains when the project involves (i) activities that are contingent on establishing legally recognized rights to lands and territories that Indigenous Peoples have traditionally owned or customarily used or occupied, or (ii) involuntary acquisition of such lands. 9. Monitor implementation of the IPP using qualified and experienced experts; adopt a participatory monitoring approach, wherever possible; and assess whether the IPPs objective and desired outcome have been achieved, taking into account the baseline conditions and the results of IPP monitoring. Disclose monitoring reports.
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Module 2: Agribusiness Grant Facility 1. 2. 3. 4. Agribusiness definition Types of grantee and their eligibility Agribusiness categories and support area Matching fund requirement for different grantees and different grant categories
Module 3: Grant award process 1. Call for grant application 2. Necessary documents to apply 3. Business plan- different components of a business plan (Production plan, marketing plan, management plan, financial plan, and business development plan), hands on exercise on business planning. 4. Grant applications pre-screening criteria 5. Grant application assessment criteria for IAP 6. Contract with successful applicants- tripartite agreement between the applicant, NRB and the Project Module 4: Grant commissioning, implementation, monitoring and evaluation 1. 2. 3. 4. 5. 6. Different committees for AGF implementation and monitoring (existing and Proposed) Monitoring frame work Evaluation process Guideline for Technical performance reports Guideline for financial performance reports Contract modification, suspension, termination and close out
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