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Purnima: UK Support to Post- Earthquake Recovery in Nepal Mott MacDonald Sanepa Lalitpur Nepal mottmac.com Purnima: UK Support to Post- Earthquake Recovery in Nepal Proof of Concept and Expansion Readiness Review of Challenge Fund-LNOB DFID 389785 OA4-TOR6 A D:\Kiran\MM\4. Proof of Concept Review of CF-LNOB - Feb & March 2020\6. PoC Review Final report\POC Report-FINALLY REVISED-25042020 sw.docx Mott MacDonald April 2020 Mott MacDonald Ltd, Nepal Branch, Post Box No. 3761, Kathmandu, Nepal. Registered no. 176230/074/075. Issue and Revision Record Revision Date Originator Checker Approver Description April SRI Helen SEH 2020 Wedgwood Kiran Wagle Document reference: 389785 | OA4-TOR6 | Assessment Information class: Standard This document is issued for the party which commissioned it and for specific purposes connected with the above-captioned project only. It should not be relied upon by any other party or used for any other purpose. We accept no responsibility for the consequences of this document being relied upon by any other party, or being used for any other purpose, or containing any error or omission which is due to an error or omission in data supplied to us by other parties. This document contains confidential information and proprietary intellectual property. It should not be shown to other parties without consent from us and from the party which commissioned it. This R eport has been prepar ed sol ely for use by the party w hich commissi oned it (the 'Client') in connection wi th the capti oned pr oject. It shoul d not be used for any other purpose. N o person other than the Client or any party w ho has expr essly agreed terms of reli ance with us (the 'Recipi ent(s)') may r ely on the content, information or any views expr essed in the R eport. T his R eport is confi denti al and contains pr opri etary intell ectual pr operty and we accept no duty of car e, r esponsibility or li ability to any other recipi ent of this R eport. N o repr esentati on, w arranty or undertaki ng, express or im plied, is made and no responsi bility or liability is accepted by us to any party other than the Client or any Reci pient(s), as to the accuracy or com pleteness of the i nformati on contai ned i n this R eport. F or the avoi dance of doubt thi s Report does not i n any w ay pur port to i nclude any legal, insurance or fi nanci al advice or opi nion. We disclaim all and any liability w hether arising i n tort, contr act or otherwise w hich we might otherwise have to any party other than the Cli ent or the Reci pient(s), in respect of this Report, or any inform ation contained in it. W e accept no responsi bility for any error or omissi on in the Report w hich is due to an error or omissi on in data, i nformation or statements supplie d to us by other parti es i ncludi ng the Cli ent (the 'Data'). We have not independently verified the D ata or otherwise exami ned i t to determi ne the accuracy, com pleteness, sufficiency for any purpose or feasi bility for any particular outcome incl uding fi nanci al. Forecasts presented i n this docum ent w ere pr epared usi ng the Data and the Repor t is dependent or based on the D ata. Inevitably, som e of the assumptions used to develop the for ecasts will not be realised and unantici pated events and circumstances m ay occur. C onsequently, we do not guarantee or w arrant the conclusions contained in the R eport as ther e are likely to be differences betw een the forecasts and the actual results and those differ ences may be m aterial. While we consi der that the information and opini ons given in this R eport are sound all parti es m ust rely on their ow n skill and judgem ent when m aking use of it. Information and opi nions ar e current only as of the date of the Report and w e accept no responsi bility for updati ng such information or opi nion. It shoul d, therefor e, not be assum ed that any such inform ati on or opi nion conti nues to be accurate subsequent to the date of the Report. U nder no circum stances m ay this Report or any extract or summ ary thereof be used i n connecti on with any public or private securities offeri ng incl udi ng any related m emor andum or pr ospectus for any securiti es offering or stock exchange listi ng or announcem ent. By acceptance of this Repor t you agree to be bound by this disclaim er. T his disclaim er and any issues, disputes or cl aims arising out of or in connection wi th it (whether contractual or non-contractual i n natur e such as cl aims i n tort, from br each of statute or regul ati on or otherwise) shall be governed by, and constr ued i n accordance with, the law s of Engl and and W ales to the exclusion of all conflict of l aws principles and r ules. All disputes or claims arising out of or r elati ng to this discl aimer shall be subject to the excl usive jurisdicti on of the English and Welsh courts to w hich the parties irrevocably su bmit. Disclaimer: Purnima commissioned a Review on Proof of Concept and Readiness Assessment of Partner Organisations to understand the effectiveness of CF-LNOB approach in order to expand it in 2nd phase of Palikas. This report is the product of that assessment / study, which was carried out by a group of independent consultants, managed by Sustainable and Resilient Ideas Pvt. Ltd. (SRI). The opinions expressed in this publication are those of the Researchers. They do not, in any way, reflect the opinions or views of DFID or Mott MacDonald or Purnima. i Proof of Concept and Expansion Readiness Review of Purnima Challenge Fund for Leave No One Behind (CF-LNOB) Assessment Conducted By: Sustainable and Resilient Ideas Pvt. Ltd. (SRI), Mahalaxmi Municipality-5, Lalitpur, Nepal, Email: [email protected] Assessment Team: Krishna Gyawali, Study Team Lead Nahakul K.C. Dr. Devendra P. Shrestha Dr. Tek Gurung Ramu Joshi ii Table of Contents Table of Contents iii List of Figures v List of Tables vi List of Abbreviations vii 1 Introduction 1 1.1 Background 1 1.2 Rationale of the Study 3 1.3 Objectives of the Study 4 2 Methodology 6 1.4 Proof of Concept 7 1.4.1 Documentation of records and assessment of progress 7 1.4.2 Assessment of validity and utility of diagnostic phase of POs 8 1.4.3 Assessment of POs’ management arrangements 9 1.4.4 Assessment of the Purnima CF Management System 9 1.4.5 Assessment of risks and assumptions in the original CF ToR 10 1.5 POs’ Specific Readiness Assessment 10 1.5.1 Appropriacy of staffing and management structures and skills sets 11 1.5.2 Stakeholder relationships management 11 1.5.3 Monitoring System 11 1.5.4 Pace of implementation against plan 11 1.5.5 Evidence of impact 11 1.5.6 Due diligence 12 1.5.7 SWOT analysis 12 3 Findings and discussions 13 3.1 Introduction 13 3.2 Assessment of the validity of the CF-LNOB overall concept 13 3.2.1 POs’ understanding of the fundamentals of CF/LNOB 14 3.2.2 PO management arrangements, approaches and strategies 16 3.2.3 Assessment of Targets vs Achievements 27 3.2.4 Appropriacy, Effectiveness, Viability and Sustainability 36 3.2.5 Palikas’ perceptions and insights on Purnima programmes 39 3.2.6 Role of Purnima/Mott MacDonald’s Oversight Arrangements 40 3.2.7 Overall Remarks on the Validity of CF/LNOB 41 3.3 Assessment of PO Readiness 44 3.3.1 Assessment of PO willingness to participate in the expansion 44 3.3.2 Assessment of PO Capacity Including Due Diligence 46 iii 4 Conclusions and recommendations 49 4.1 Introduction 49 4.2 Overall Approach and its Validity 49 4.2.1 Understand for Action 50 4.2.2 Empower for Change 51 4.2.3 Economic Inclusion 51 4.2.4 Safe Shelter 52 4.3 Palika capacity development and sustainability 52 4.4 PO Expansion Readiness and Institutional Competency 53 References 55 Annex I: Terms of Reference 57 Annex II: Interview Checklists with Partner Organisation 58 Annex III.a: Interaction Checklist for Ward/Palika & Other Line Agencies 61 Annex III.b: Capacity and Readiness of POs 63 Annex IV: Achievements against targets of POs by domain 64 Annex V: Risks, assumptions, descriptions and suggested mitigation 72 Annex VI: Due Diligence 73 Annex VII: Further Information collected from POs 76 Annex VIII: Detail SWOT Matrix as provided by POs 101 iv List of Figures Figure 1: CF/LNOB Theory of Change (Source: Purnima/MM) 2 Figure 2: LNOB Result-area, Impact pathway and Levels of ambitions, under Output 4 2 Figure 3: Guiding principles for CF/LNOB (adapted from the ToR) 6 Figure 4: Understanding of Assignment (adapted from ToR) 7 Figure 5: Understanding of POs’ readiness assessment (adapted from ToR) 10 Figure 6: Management arrangement and field level staff distribution of CDC consortium 18 Figure 7: Budget structure of CDC (Data source: CDC) 19 Figure 8:Management arrangement and field level staff distribution of DCA consortium 20 Figure 9: Budget structure of DCA (Data source: DCA) 20 Figure 10: Management arrangement and field level staff distribution of PHASE 22 Figure 11: Budget Structure of PHASE (Data source: PHASE) 22 Figure 12: Management Arrangement and Field Level Staff of SAPPROS Consortium 23 Figure 13: Budget Structure of SAPPROS (Data source: SAPPROS) 24 v List of Tables Table 1: Distribution of Gaunpalikas by PO 3 Table 2: Summary of field visit 8 Table 3: Proportional analysis of coverage and expenditure 26 Table 4: Target Vs Achievement by Domain and POs 28 Table 5: Physical Target Vs Achievement by POs 31 Table 7: POC LogFrame Indicators and Present Status by POs 33 Table 8: Evidences of impacts on different domains 34 Table 9: ‘Appropriacy’ ranking of ‘Livelihood activities’ and ‘Support received’