Deadline for submission of proposals: 22 September 2011
The Community Environment Facility of the Community Development Trust Fund (CDTF) is supported by the European Union and the Government of Denmark as grant support to the Government of Kenya.
The Community Development Trust Fund (CDTF) was established in 1996 through a Financing Agreement between the Government of Kenya (GoK) and the European Union (EU), and gazetted under Legal Notice No. 3030 dated 26th March 1996. This was repealed through legal notice No. 172, dated 20th September 2007, thus allowing CDTF to be multi-donor funded.
Since 1996, the Community Development Trust Fund, as part of the Ministry of State for Planning, National Development and Vision 2030, has over the years implemented some 800 community-based socio-economic and environmental projects in rural and peri-urban areas in Kenya. Funding of CDTF and of the projects has been provided by the European Union and the Government of Denmark. Overall the community-based environmental projects contribute to the Government of Kenya's decentralized agenda, especially improved livelihood systems and conservation of community natural resources.
Community-based environmental initiatives will be identified competitively through issuing of a Call for Proposals (CfP). The Call for Proposals guidelines will involve the following stages:
1. Announcing of the Call for Proposals;
2. Organizing of information sessions in different parts of Kenya;
3. Inviting Community-based organisations across Kenya to submit a Concept Application Form;
4. Receiving all the Concept Application Forms;
5. Assessing all the Concept Application Form based on the provided criteria;
6. Selecting the most feasible Concept Application Form;
7. Informing all applicants on the status (whether accepted or not) of their Concept Application Form;
8. Assisting all community-based organisations whose Concept Application Form have been accepted to prepare a Full Proposal;
9. Receiving all the Full Proposal Application Forms;
10. Assessing all the Full Proposal Application Forms;
11. Selecting the most feasible Full Proposal Application Forms with approval of the CDTF Board of trustees;
12. Informing all applicants whether their Full Proposal Application Forms have been accepted or not; and
The overall objective of the Community Environmental Facility is to support community projects aimed at poverty reduction through improved livelihood systems and the conservation of community natural resources and initiatives for enhanced environmental management and governance.
Kenya's natural resources fuel her economy and if wisely used will continue to sustain its growth on sustainable pathways. Environmentally critical areas also provide important goods and services to adjacent communities and beneficiaries further afield. Linkages between these environmentally important areas and downstream communities form a network of interactions. These interactions continue to benefit or harm both adjacent and downstream communities depending on how they are managed. Due to human use pressures, these interactions have been disrupted negatively affecting the quality and the productivity of such environmentally important areas in terms of environmental goods and services. Climate change may potentially alter interactions between and across ecosystems. Climate change coupled with pressure resulting from increased demands for environmental goods and services, will affect the ability of critical ecosystems to continue supporting livelihoods for local communities. Building ecosystems' resilience from climate change and providing alternative livelihood and energy sources to communities is urgent. Capacity building and empowerment of communities will be critical in achieving the twin goals of poverty reduction and environmental sustainability. The CEF call for proposals is targeted at enhancing productivity of environmentally critical areas so as to achieve poverty reduction and environmental sustainability. Kenya's diverse ecosystems are targeted as what happens in one part of an ecosystem, has implications on that particular ecosystem, as well on adjacent ecosystems. See annex 5 for a description on the ecosystem approach adopted for the CEF call for proposals.
Under the CEF sub-component, the Community Development Trust Fund (CDTF) will assist communities to design suitable projects, provide training and guidance in project management and governance, and engage with governmental, non-state-actors and quasi government institutions in the implementation of environmental initiatives in environmentally important areas.
The categories of projects to be considered under this call for proposals are:
Lot 1: Projects proposed to be implemented in Kenya's five main water towers of Aberdares Range, Cherangani Hills, Mau Forest Complex, Mt. Elgon, and Mt. Kenya. This is because of their critical contribution to the Kenyan economy in hydropower production, ecological sustenance for wildlife, agricultural production, tourism and biodiversity conservation. Support to Lot 1 projects will amount to 40% of the CEF investment.
Lot 2: Projects proposed for support in any other important environmental ecosystems in Kenya such as in forests, swamps, lakes, coastal, marine, important wildlife areas, river basins and dry-lands. Support to Lot 2 projects will amount to 60% of the CEF investment.
Recognizing the need to enhance resilience of ecosystems and communities to the adverse impacts of climate change, take off pressure on forested ecosystems from energy requirements and address gender aspects, this Call for Proposals accords
Broadly, the priority issues for both Lot 1 and Lot 2 include, but not limited to: conservation of threatened ecosystems; soil and water conservation; renewable energy conservation; water, sanitation and pollution; nature-based enterprises; eco-agricultural initiatives, climate change adaptation and mitigation, alternative technology adoption; and enhanced natural resource management.
Specifically, the priority areas include, but are not limited to:
· Forest protection and management including reforestation for livelihood enhancement and carbon sequestration;
· Rural renewable energy management and conservation;
· Pollution and waste control management in urban and peri-urban areas in Kenya;
· Water supply development that is linked to improvement catchment management;
· Enhance capacity of Water Resources Users Association (WRUAs) to allocate, regulate and conserve water in environmentally critical areas;
· Biodiversity conservation;
· Flood control and mitigation;
· Wildlife and environmental conflict management;
· Climate change adaptation and mitigation on local livelihoods and natural resource initiatives;
· Innovative approaches relating to enhancing ecosystem services;
· Nature-based livelihoods support;
· Development of incentive mechanisms to enhance community participation and financing of natural resource management by private sector in especially in ecosystems they rely on for their day-to-day activities;
· Application of already developed appropriate technologies to enhance soil fertility and increased productivity;
· Conservation of degraded wetlands and marine ecosystems;
· Enhancement of pastoral livelihood systems including introducing safety nets;
· Reduction of threats and conflicts over natural resources;
· Strengthening traditional management systems of pastoral communities; and
· Strengthening of local capacity environmental governance systems & structures.
All CEF-supported environmental initiatives must:
1. Show, whenever relevant, how the following cross-cutting issues have been considered in the project design, implementation and monitoring:
· Gender equality: that men and women participate in and benefit from the project
· Good governance: that projects are run in a transparent manner and that the project implementation committees (PIC) are accountable and engage the project beneficiaries throughout the different stages of project implementation
· Prevention of HIV/AIDS and improved sexual and reproductive health.
· Participation and non-discrimination of vulnerable groups, such as children, older people and people with disabilities.
2. Show that the project has been collectively identified by the community or a group of communities and is a priority need;
3. Show how the community will monitor the technical and financial aspects of implementation; and
4. Show how the outputs will be sustained after completion of the project.
Integration of projects with the Government's environmental and development plans.
The proposed project must be in line with the relevant Provincial or District Environmental Action Plan and progressively align to county plans. Therefore the District Environment Officer must confirm on the Concept Application Form and the Full Proposal Application Form that the proposed project is in line with the priorities of the District Environmental Action Plan (DEAP). In districts where there is no approved District Environmental Action Plan, the certification must attest that the proposed project does not contradict the Environmental Management and Coordination Act (EMCA), 1999 or NEMA's Strategic Environmental Plan.
The proposed project should not presently be supported by any other major environmental programme. Stalled projects due to lack of funds and which meet the eligibility criteria of this call for proposals qualify for support.
The CEF investment will be focused on Kenya's environmentally critical areas. Given the contributions of Kenya's water towers, CDTF will endeavor to invest:
i) 40% of the CEF investment (Lot 1) towards projects proposed for support in the ecosystems of Kenya's five main water towers of Aberdares Range, Cherangani Hills, Mau Forest Complex, Mt. Elgon, and Mt. Kenya. This is because of their critical contribution towards hydropower production, ecological sustenance for wildlife, agricultural production, tourism and biodiversity conservation in all of Kenya .
ii) 60% of the investment (Lot 2) towards support of proposed projects in any other important environmental ecosystems in Kenya;
All projects under Lot 1 and Lot 2 will be implemented over a period of not more than 36 months.
Organisation of project implementation:
1. Projects should be directly implemented by community-based organisations as detailed in point 2.1.1;
2. The community-based organisations implementing the projects can be assisted by partners and associates (see section 2 for definitions) such as Non-State Actors, Community-Based Organizations, Local Authorities, Government Agencies, and Private Sector;
3. Partnership arrangements are aimed at enhancing the capacities of communities to design and implement environmental initiatives.
4. Priority will be accorded to proposals with a high benefit to cost ratio, meaning the quantity of benefits directly delivered to the communities as compared to the total cost of the project;
5. Applications should include an estimate of the number of beneficiaries expected to benefit from the proposed project. The estimates should be broken down by gender;
6. Applicants should indicate factors or risks that may negatively affect project implementation;
7. Applications should meet a priority need with impacts within or across environmentally important ecosystems;
8. Any governing body such as the Board of the Applicant and any implementation body, such as a Project Implementation Committee (PIC) should have a gender balance in line with standing Government guidelines. This means that at least 30% of their members must be either men or women;
9. Applications should involve all relevant members of the communities in the identification, planning, implementation and monitoring of the project;
10. Projects should incorporate cross cutting issues namely i) gender equality; ii) Good governance; iii) prevention of HIV/AIDS and improved sexual and reproductive health; and iv) Participation and non-discrimination of vulnerable groups, such as children, older people and people with disabilities; and
11. Projects which provide social services such as schools and health should incorporate components which provide water and sanitation and which integrates environmental concerns such as environmental education, waste disposal and tree planting..
Types of support activities that may be financed under this call
The following are some of the support activities that could be funded under this call (these are not exhaustive):
· Capacity building of communities, including training;
· Information provision to communities through publicity campaigns and workshops
· Acquisition of licenses and permits;
· Environmental Impact Assessment and environmental audits;
· Project design related studies;
· Design and construction of infrastructure such as water supply systems, including spring development, rain water harvesting, bore holes, rock water harvesting etc;
· Procurement of energy saving devices, including energy efficient stoves and solar power units for public facilities,
· Engagement of supervisors for construction;
· Establishment of operations and management structures;
· Implementation of project exit strategies;
· Technical assistance to the community by NGOs, Government offices, and parastatals as partners or associates;
· Hiring of project staff; and
· Coordination costs associated with the project implementation.
Indicative allocation of funds
The overall indicative amount made available under this call for proposals is Kshs.2 Billion. The indicative amount for LOT 1 is 800 million Shillings and that for LOT 2 is 1.2 billion shillings.
The Community Development Trust Fund (CDTF), as the Contracting Authority reserves the right not to award all available funds and/or to adjust the funds between the two lots in line with the proposals received.
Size of grants
Any grant awarded to a specific project under this Call for Proposals (CfP), covering the 2 lots, must fall within the following ceiling amounts:
§ Minimum amount: KSh 7.5 million (including community contribution).
§ Maximum amount: KSh 31.5 million (including community contribution).
A grant requested from CDTF may not be for more than 90% of total cost of the project.
A grant requested from CDTF may not be for less than 50% of total cost of the project.
This means a minimum of 10% community contribution of the total project cost is required. The maximum community contribution is 50% of the total cost of the proposed project.
Any co-financing will have to be from sources other than the European Union budget or the European Development Fund or from the Government of Denmark.
The following definitions apply to the present guidelines:
group of two organizations, meaning the applicant and its partner involving shared responsibilities for the purpose of implementing the proposed project.
the community-based organization responsible for submitting the application (see 220.127.116.11 for more details on community-based organisations).
the organisation of the partnership other than the applicant.
organisation that plays an active role in the project but which cannot benefit from funding under the grant, with the exception for payments for per diem and travel cost undertaken for the benefit of the project.
organization identified and contracted by the beneficiary or its partner(s) in accordance with the appropriate procedures in order to execute specific tasks in implementing the action.
There are three sets of eligibility criteria, relating to:
· Applicant and partner who may request a grant and its partners: see point 2.1.1;
· Projects for which a grant may be awarded see point 2.1.2; and
(i) In order to be eligible for a grant, applicants must be:
· Legal persons or entities registered in Kenya and operate under the relevant legislation. These are Community Based Associations registered under the Ministry of Gender, Sports, Culture and Social Services, Water Resource Users Associations registered as per the Water Act (2002, Community Forest Associations registered by the Registrar of Societies as per and Forests Act (2005); Trusts and Group Ranches incorporated under the Ministry of Lands; and Cooperative societies incorporated under the Ministry of Cooperatives; and
· Be non profit making; and
· Be registered in Kenya, and
· Be directly responsible for the preparation and management of the Project with their partner, not acting as an intermediary.
NOTE: When submitting the Concept Application Form, applicants must show that their organization is either registered or has applied for registration with the relevant authority. When submitting the Full Proposal Application Form, the applicants must have been registered with the relevant authority (ies).
(ii) Applicants are not eligible under this call or cannot be awarded grants if they are or have been:
· Bankrupt, being wound up, or having their affairs administered by the courts;
· Convicted of an offence concerning their professional conduct;
· Guilty of grave professional misconduct;
· Fulfilled obligations relating to the payment of social security contributions or the payment of taxes;
· The subject of a judgment for fraud, corruption, involvement in a criminal organization or any other illegal activity; and
· Subject to a conflict of interest.
In the "Declaration of Applicant", which is part of the Concept Application Form, applicants must declare that they do not fall into any of these situations The Declaration of Applicants must be completed and signed, otherwise the applicant may be excluded from the Call for Proposals.
An applicant may act by itself or with partner organisations. Partnerships are encouraged: i) where these prove effective in providing communities with technical and managerial assistance; and ii) where the partnership does not disadvantage the applying community in terms of costs associated with the partnership arrangement. Communities can work with a maximum of two partners and unlimited number of associates. The number of partners and associates should be manageable depending on the type of the project and the applicant's capacity. Partners include other community-based organizations and non-state actors. Associates include governmental agencies like Local Authorities or quasi government institutions like Kenya Wildlife Service (KWS), Water Resources Management Authority (WRMA), and Kenya Forest Service (KFS) or relevant line ministries. The applicant may, if needed change its partners and associates when preparing the Full Proposal Application Form, to enhance effectiveness in the project implementation and management.
i) Eligibility of partners:
· Community-Based Organisations that satisfy the same eligibility criteria as the applicant or
· Non-State Actors registered in Kenya or in a Member State of the European Union or European Economic Area, an official candidate country that is a beneficiary of the Instrument for Pre-Accession Assistance and have presence in Kenya, the Africa Caribbean and Pacific (ACP) States, and least developed countries as defined by the United Nations. See Annex 6 for the list of eligible countries.
ii) The following are not partners and do not have to sign the “partnership statement”:
Other organisations that may be involved in the Project. Such associates play a real role in the Project but may not receive funding from the grant with the exception of per diem and/or travel costs. Associates do not have to meet the eligibility criteria referred to in section 2.1.1. The associates have to be mentioned in the application form as provided.
During the project implementation, the grant beneficiaries have the possibility to award contracts to subcontractors. Sub-contractors are neither partners nor associates, and are subject to the procurement rules set out in Annex IV to the standard grant contract.
The planned duration of projects under Lot 1 and Lot 2 is less than 36 months.
Ineligible projects are those:
· Concerned only or mainly with individual sponsorships for participation in workshops, seminars, conferences, congresses;
· Concerned only or mainly with individual scholarships for studies or training courses;
· Projects which discriminate against individuals or groups of people on grounds of their gender, sexual orientation, religious beliefs or lack of them, race or their ethnic origin;
· Projects supporting political parties;
· Projects aimed at religious conversions;
· Social activities such as paying of bursaries, school fees, hospital bills or initiatives that only benefit small sections of a larger community or are not in line with the objectives of CEF;
· Other social activities that are not in line with the objectives of the CEF; and
· Projects whose main objective is to make individual profit other than social, economic and environmental benefits for an entire community and that can be re-invested to sustain the project will not be accepted.
Number of applications and grants per applicant:
· An applicant may not submit more than one application under this call for proposals;
· An applicant may not at the same time be partner in another application;
· Partners and associates may take part in more than one application.
Eligible costs are those which may be taken into consideration for the grant. The categories of costs considered as eligible and non-eligible are indicated below. The budget is both a cost estimate and a ceiling for "eligible costs". Note that the eligible costs must be based on costs to be incurred in the implementation of the project.
In the Concept Application From, only budget estimates are expected. A detailed budget will be prepared on submission of the Full Proposal Application Form as stated in section 2.4.1.
i) Eligible costs
To be eligible under the Call for Proposals, costs actually incurred by the applicant must meet all the following criteria as per article 14 of the General Conditions to the Standard Grant Contract:
· They are incurred during the implementation of the project with exception of costs relating to final reports, expenditure verification and evaluation of the project;
· Must be indicated in the estimated overall budget of the project;
· Must be necessary for the implementation of the project;
· They are identifiable and verifiable, in particular being recorded in the accounting records of the beneficiary and determined according to the applicable accounting standards of Kenya; and
· Must be reasonable, justified and comply with the requirements of sound financial management.
ii) Contingency reserve
A contingency reserve not exceeding 5% of the eligible costs may be included in the Budget of the Project. It can only be used with the prior written authorisation from CDTF.
iii) Contributions in kind
The contribution by the community can be in cash, in kind or both. In such cases, the value of such contributions must not exceed:
a) either the costs actually borne and duly supported by accounting documents; and
b) or costs generally accepted based on existing market rates.
If the applicant proposes co‑financing in kind, this must be included in the budget of the Full Proposal Application Form. The cost of staff assigned to the project is eligible when paid by the beneficiary or partner.
iv) Ineligible costs
The following costs are not eligible:
· debts and provisions for losses or debts;
· interest owed;
· items already financed in another framework;
· purchases of land or buildings, except where necessary for the direct implementation of the Project, in which case ownership must be transferred to the final beneficiaries and/or local partners, at the latest before project financing commences;
· currency exchange losses;
· taxes, including VAT, unless the Beneficiary, or partner can show it cannot reclaim them
· credit to third parties; and
· Top-ups on salaries, whether from the applicant or its partner (salary cost are allowed).
v) Indirect costs
This call for Proposal does NOT include a provision for indirect costs (overheads)
This is a restricted call for proposals. In the first instance, only Concept Application Forms using the provided Concept Application Form must be submitted for evaluation. Thereafter, applicants whose Concept Application Forms have been successfully pre-selected will be invited to submit Full Proposal Application Forms.
Information workshops will be conducted to provide information on the call for proposals including eligibility, thematic and geographical criteria. Information on dates and venues for the information workshops are provided in Annex 4 to the guidelines. In case of changes, additional communication will be provided through Kenya Broadcasting Corporation, FM and AM radio stations.
Questions regarding any aspect of this Call for Proposals may be sent by e-mail (email@example.com ), or by mail or hand delivery to the CDTF office in Nairobi, or by hand delivery to any of the CDTF regional offices mentioned above, indicating clearly the reference of the call for proposals. Questions must reach CDTF by 14th February 2011, which is 21 days before the deadline for the submission of Concept Application Forms. CDTF has no obligation to provide clarification on questions received after this date.
CDTF will provide replies on all questions received by mail or email, replies will be given no later than
24th February 2011, which is 11 days before the deadline for the submission of Concept Application Forms.
Questions and answers that may be relevant to other applicants, as well as other important notices for applicants, may be published on the internet at the CDTF web site www.cdtfkenya.org,. It is therefore recommended to regularly consult the above mentioned website in order to be informed of the questions and answers published.
Questions can also be put to CDTF staff in person or by telephone. However, only written responses will be binding to CDTF.
Content of the Concept Application Form
· Applications must be submitted in accordance with the instructions on the Concept Application Form annexed to these Guidelines.
· The Concept Application Form can be either in English or Kiswahili.
· In the Concept Application Form, the applicants must only provide an estimate of the total costs of the proposed project, which comprises the amount of their contribution and the amount requested from CDTF.
· Only the applicants invited to submit a Full Proposal Application Form in the second phase will be required to present a detailed budget. This detailed budget may not vary from the initial estimate by more than 30% except in cases where additional elements (components) are added to enhance sustainability of the benefits. The applicant is free to adapt the percentage of co-financing required within the minimum and maximum amount of co-financing, as laid down in the Guidelines.
· Any major error or discrepancy related to the points listed in the instructions on the Concept Application Form may lead to the rejection of the Concept Application Form.
· Clarifications will only be requested when information provided is unclear, thus preventing CDTF from conducting an objective assessment.
· Legible hand-written Concept Application Forms will be accepted.
· The estimated cost of the project must be in Kenya Shilling.
· Only the Concept Application Forms and its supporting documents will be evaluated. It is therefore of utmost importance that this document contain ALL relevant information concerning the proposed Project. This includes evidence of registration of the organization or application for registration to the relevant authority and the confirmation by the District Environment Officer that the proposed project is in line with the priorities of the District Environmental Action Plans (DEAP).
· One original and two copies of the Concept Application Form together with its Checklist and supporting documents must be submitted to the Community Development Trust Fund.
· The Concept Application Form must be submitted in a sealed envelope, which must bear the reference number and the title of the call for proposals, together with the full name and address of the applicant. It must mention "Not to be opened before the opening session".
· The Concept Application Form can be submitted by ordinary mail, registered mail, private courier service or by hand‑delivery (a signed and dated receipt will be given to the deliverer) at the address below:
CDTF HEADQUARTERS - NAIROBI
Josem Trust House, Ground Floor
P.O Box 62199-00200 NAIROBI
Tel. (020) 2727799,2727888, 2727901 or 2710999/56
Fax: (020) 2723496 or 2721382
CDTF-WESTERN REGIONAL OFFICE – ELDORET
Kiptagich House (Central Bank Building), 6th Floor
P.O Box 6597-30100 ELDORET
Tel: (053) 2063116
Fax: (053) 2063049
CDTF-COAST REGIONAL OFFICE – MOMBASA
KCB Building, Treasury Square (Opposite Central Bank of Kenya),
1st Floor, Suite A.
P.O Box 2163-80100 MOMBASA
Tel: (041) 2223541
Fax: (041) 2223536
CDTF-EASTERN REGIONAL OFFICE – MERU
Opposite the Jehovah’s Witness Kingdom Hall - Kagaa
(2km from the Makutano junction)
P.O Box 293-60200 MERU
Tel: (020) 243 0790, 243 0246 or 243 0219
Fax: (064) 31340
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