Demonstration of necessary legal personality

Documentation of legal status and mandate (please highlight the relevant paragraphs)

Demonstration of legal capacity/authority and the ability to directly receive funds

Legal basis and mandate to perform functions as NIE

i) Same documentation or separate supporting documentation ii)List of foreign loan/donor funds handled over the last 2 years

Production of reliable financial statements that are prepared in accordance with internationally recognized accounting standards

Audited Financial Statements

Production of annual externally audited accounts that are consistent with recognized international auditing standards

i) External Auditor Reports ii) Audit Committee's Terms of Reference

Demonstration of use of accounting packages that are recognised and familiar to accounting procedures in developing countries

Name and brief description of accounting package used

Demonstration of capability for functionally independent internal auditing in accordance with internationally recognized standards

i) Policy/charter and other published documents (like manuals) that outline the entity's internal auditing function ii) Copies of audit plans for last 2 years and the current year iii) List of internal audit reports of last 2 years and sample reports

Demonstration of use of a control framework that is documented with clearly defined roles for management, internal auditors, the governing body, and other personnel

Policy or other published document that outlines the entity's control framework

Demonstration of proven payment/disbursement systems

Procedures describing payment/disbursement system with particular reference to project payments/disbursements

Production of long term business plans/ financial projections demonstrating financial solvency

Long Term Business plans or Financial Projections for the next 3 to 5 years

Evidence of preparation of corporate, departmental/ ministry budgets and demonstration of ability to spend against budgets

i) Annual budgets for the organization and entities within it ii) End of calendar year/fiscal year or periodical budget report

Evidence of transparent and fair procurement policies and procedures at the national level that are consistent with recognized international practice (including dispute resolution procedures)

i) Procurement Policy ii) Detailed procedures or guidelines including composition and role of key decision making committees iii) Provisions for oversight/audit /review of the procurement function with an actual sample of oversight/audit/review reports iv) Procedures for handling/controlling procurement in Executing Agencies

Demonstration of capability and experience in identification and design of projects (preferably adaptation projects)

Detailed project plan documents for 2 projects

Demonstration of availability of/ access to resources and track record of conducting appraisal activities

i) Details of the project approval process/procedure ii) 2 samples of project appraisals undertaken

Demonstration of the ability to examine and incorporate the likely impact of technical, financial, economic, social, environmental, and legal aspects into the project at the appraisal stage itself

Sample of project documents which demonstrate this capability

Evidence procedures/framework in place to undertake risk assessment and integrate mitigation strategies/plans into the project document

i) Policy and/or other published document(s) that outline the risk assessment procedures/framework ii) 2 samples of completed project appraisals with identified risks and corresponding mitigation strategies/plans

Evidence of institutional system for planning implementation of projects with particular emphasis for quality-at-entry

Operational manual or written procedures for project review system during the design phase

Evidence of preparation of project budgets for projects being handled by the entity or any sub-entity within it

i) Project budgets

ii) Analysis of project expenditure vs budget

Demonstration of existing capacities for monitoring and independent evaluation that are consistent with the requirements of the Adaptation Fund

i) Policy or other published document that outlines monitoring and evaluation requirements

ii) Detailed procedures and formats used for monitoring and evaluation during project implementation

iii) Sample project monitoring and evaluation reports

Production of detailed project accounts which are externally audited

i) Sample of project accounts ii) Sample of project audit reports

Evidence of a process or system, such as a project-at-risk system, that is in place to flag when a project has developed problems that may interfere with the achievement of its objectives, and to respond to redress the problems

Procedures for project-at-risk system or similar process/system to ensure speedy solutions to problems which may interfere with the achievement of the project objectives

Demonstration of an understanding of and capacity to assess impact/implications of the technical, financial, economic, social, environmental, and legal aspects of projects

Project closure reports or independent evaluation reports containing assessment of the impact/implications of the technical, financial, economic, social, environmental, and legal aspects of projects

Demonstration of competence to execute or oversee execution of projects/programmes

Independent evaluation reports of completed projects/ programmes

Evidence/tone/statement from the top emphasising a policy of zero tolerance for fraud, financial mismanagement and other forms of malpractice by implementing entity staff or from any external sources associated directly or indirectly with the projects

Provide evidence of a statement communicating such a policy of zero tolerance for fraud, financial mismanagement and other forms of malpractice

Demonstration of capacity and procedures to deal with financial mismanagement and other forms of malpractice

i) Provide copy of documented code of conduct/ethics applicable to the staff ii) Documentation establishing avenues for reporting non-compliance/ violation/misconduct and business conduct concerns iii) Details of policies and procedures relating to managing conflict of interest and whistle blower protection

Evidence of an objective investigation function for allegations of fraud and corruption

i) The structure and process/ procedures within the organization to handle cases of fraud and mismanagement and undertake necessary investigative activities. ii) Data on cases of violation of code of conduct/ethics and frauds reported over last 2 years provided in terms of number of cases, types of violations and summary of status/action taken. iii) Periodical oversight reports of the ethics function/ committee be attached for the last 2 years