Questions Received re: PPA RfP for Independent Assessment of Closed Pipe Supply Chain Programs

Transcription

1 Questions Received re: PPA RfP for Independent Assessment of Closed Pipe Supply Chain Programs Definition of Assessment and Criteria for Assessing Programs 1. The RFP mentions that the PPA is seeking an independent assessment of the projects (SfH, CFTI, and KEMET) against their stated goals. How does the PPA define Independent assessment? Our interpretation is that it is an evaluation of a project against stated goals, and that each goal should be accompanied with reporting criteria. This is what we also call Assurance. Is there a clear definition of what are the goals for each these initiatives and their overlap? Have each of the goals been translated into: SMART targets, key performance indicators, reporting protocols, and criteria that enables each of these initiatives to measure whether they have been successful? If the answer to the above is No, is the intention of the PPA for the assessor to develop a reporting mechanism to enable the tracking of performance over time? If the answer to the above is Yes, how does the PPA envisage that the creation of a report does not conflict with the words independent assessment as mentioned in the RFP? Response: In order to effectively and efficiently direct its support, the PPA is seeking to understand which approaches have worked, which have not, and which could be improved to enhance positive impacts. The goal of the assessment is to enhance the programs efficacy and to identify criteria the PPA can utilize in determining future grants to support. Not all of the programs goals have been translated into specific criteria for evaluation. The PPA recognizes that the three programs began at different times in different regions of the DRC and do not share a common set of objectives or standard indicators. As such, we expect that proposals will outline an approach or process that will provide insights on what each project has or has not achieved. We will provide the selected consultant with the stated objectives of each program, as described by the program proponents. Through this activity, the PPA would like to gain a better understanding of the social and economic impacts, both real and perceived, that the Solutions for Hope (SfH), Conflict Free Tin Initiative (CFTI) and KEMET s Partnership for Social and Economic Sustainability programs are having in the Democratic Republic of the Congo (DRC). Through this RFP, the PPA is seeking proposals from qualified individuals or organizations who are not affiliated with any of the organizations or entities directly involved in the implementation of SfH, CFTI or KEMET s Partnership for Social and Economic Sustainability, and therefore can provide an objective assessment of these programs. The assessment should examine how the stated objectives have (or have not) been met, how each project is perceived or valued, and whether expected program results are occurring. The PPA would also like to understand the social and economic impacts and the opportunities to enhance positive impacts of these programs regardless Q&A re: PPA RfP for Independent Assessment of Closed Pipe Supply Chain Programs Page 1 of 6

2 of their stated goals. As such, the consultant should also identify any gaps, unintended impacts (positive and negative), and opportunities for enhancing the positive impacts. The PPA is not seeking to conduct a formal audit of these programs. The PPA is not requesting that the selected contractor develop a reporting mechanism that can enable the tracking of performance over time. (However, this report may inform the development of such a mechanism by PPA members at a later time.) 2. The initiatives website does not explicitly state the goals of the initiatives. Where are the stated goals of each initiative program located? If they are not publically available, will the assessor be provided with the stated goals per the origination date of each initiative? Response: The assessor will be provided with the stated goals of each initiative. 3. The RFP mentions the assessment will cover: Solutions for Hope (SfH), Conflict Free Tin Initiative (CFTI), and KEMET s Partnership. Is the intention of the PPA to obtain a reassurance that these 3 initiatives have complied with their respective goals? Response: See responses to Q1 and Q5. Anticipated External Purpose and Distribution of Report 4. What is the external purpose of this report? Who is it going to be distributed to? Would the report be authored as the PPA or would it include the name of the consultant? Response: The report will be shared on the PPA website and distributed to all who have signed up to receive PPA updates. There may be opportunities for the selected consultant to present the findings, along with PPA members, at various relevant global forums, following completion of the report. The report will include the name of the consultant with acknowledgement that the PPA provided financial and other (as appropriate) support for the assessment. 5. Does the PPA think that the report will be used to establish more robust credibility of the 3 above mentioned programmes? Response: Above all, the goal of the PPA is to support supply chain solutions to conflict minerals challenges in the Great Lakes Region. In order to effectively and efficiently direct its support, the PPA is seeking to understand which approaches have worked, which have not, and which could be improved to enhance positive impacts. The goal of the assessment is not to generate positive press for these programs, but through learning to enhance their efficacy and to identify lessons the PPA can utilize in determining future grants to support. Scope of Assessment 6. We believe the report is past looking i.e. will look at the performance during Could you please describe what information you have in place / regularly collect to facilitate the report? Response: Yes, the report is past-looking. Some of the programs (e.g., Solutions for Hope) have conducted independent due diligence evaluations. Each of the program sponsors (i.e., Motorola Q&A re: PPA RfP for Independent Assessment of Closed Pipe Supply Chain Programs Page 2 of 6

3 Solutions and AVX, KEMET, and Dutch Ministry of Foreign Affairs) have agreed to work with the contractor to answer questions and provide requested information. These organizations may request the contractor sign non-disclosure agreements. 7. Each of these initiatives cover different minerals and regions in Congo. Is the ground work supposed to cover all of them or is the intention to work on a sample basis? Response: As discussed at length in the response to Q1, the PPA is seeking a review rather than an audit. The PPA is agnostic as to whether a contractor needs to visit each site in order to accurately assess the programs and is seeking a proposed approach from a contractor on the best approach that also balances cost considerations. 8. On whether the assessment will address: a. Traceability and due diligence performance to date, and how these systems comply with Dodd-Frank, OECD, ICGLR framework and DRC laws how does the PPA seek to obtain reassurance of compliance against Dodd Frank when only SEC listed companies are required to comply with Dodd Frank? Or, how to ensure compliance against the OECD / ICGLR when they are targeted at companies not initiatives? Would the PPA seek that mines / negotiants etc. are specifically compliant? Response: The PPA seeks to understand whether these initiatives and their participants comply with relevant legal frameworks and otherwise whether and how these initiatives support due diligence principles, frameworks, and/or requirements of downstream company participants (whether SEC-listed or not). b. The risk assessment models in place and their historical efficacy in identifying and addressing red flags. We assume this refers to red flags as defined by the OECD, correct? Whose risk assessment model does it refer to? Response: Yes, OECD. c. The business model for direct sourcing projects and bringing conflict-free EDRC minerals into formal, global supply chains, including competitiveness in the global market, and the ability to scale pilots is there any criteria to assess this already established? We are not sure what this means. Response: Direct sourcing models must be cost-competitive in a global market. We are seeking to understand whether these models are sustainable, and whether and how they could be scaled up. The PPA is not providing criteria; the assessor should propose an approach. d. Local social and environmental benefits of CFTI, SfH, and KEMET including livelihoods, environmental impacts, and benefits for women the reporting of social and economic benefit of specific projects is an art in itself. There are numerous standards produced by the IFC, the WBCSD. In a nutshell it requires companies / projects to define per target the input and what measurable outcome is going to generate. The measurement of the outcome can be quite complex as it requires for example organisations to measure how social initiatives have led to an increase in income / health by x%... the development and gathering of Q&A re: PPA RfP for Independent Assessment of Closed Pipe Supply Chain Programs Page 3 of 6

4 information of such KPIs can be very complex. Has the PPA defined anything along these lines or follow the IFC / WBCSD standards? Response: No. e. Changes in the security situation, such as behavior of police and militias, as a result of project implementation How are changes in the security situation defined? Response: We are seeking to understand whether there has been an observed change in the presence of military, police, or armed groups in the area. If so, how, and is that change in any way tied to the project? 9. Please expand upon PPA interpretation of the concept of value in downstream engagement? Are there any specific international/national standards that this is derived or referenced from? Response: To what extent did presence by international buyers at the mine, or their involvement in direct purchasing, have an impact on the mine or the communities (e.g., through brand power, education about end-user needs, etc.)? 10. Other than, PPA, SfH, CFTI, KEMET PSES and partners listed on the PPA website, can you provide for us with a list of any other key stakeholders that are expected to be engaged throughout this assessment? Response: We would like the assessor to identify the stakeholders that you would want to engage with. 11. Which on-site location(s) will the assessor expected to reside during the assessment period? Which project sites in the GLR is the assessor expected to travel to? Response: This will be left to the assessor to propose. Timeline of Assessment 12. The RFP mentions a 2 4 week assessment. Could you please explain what is that based on? If the provider estimates that the engagement will take more time than 4 weeks, would the PPA reconsider time and effort needed? Can you advise if the 2-4 weeks of independent assessment for each respective initiative or is the 2-4 week assessment period for all three initiatives? Response: In drafting the scope, the PPA considered that the term assessment could be interpreted in many ways, each requiring a different level of effort and resources. The 2- to 4-week timeline identified by the PPA was selected to signal that this assessment should represent a significant review likely involving travel to the region and appropriate sites and engagement with a variety of actors; however it should not be an exhaustive audit of all activities, transactions, and practices. The RfP also specifies that this window estimates the time needed for on-site assessment, with additional time allocated for analysis. This window does not include the anticipated time needed to conduct desktop research and make logistical arrangements in advance of travel to the region. The 2- to 4-week period is intended to encompass the assessment of all three initiatives. Proposals should provide a justification for any estimated extension of the suggested timeframe. Q&A re: PPA RfP for Independent Assessment of Closed Pipe Supply Chain Programs Page 4 of 6

5 13. Can you advise a preferred time frame for doing this work? By when do you wish to have the results? Response: The PPA anticipates making a decision in November, at which time the selected organization will be notified. However, the contract selection will not be final until due diligence (see response to Q16) has been completed (anticipated by mid-december) and the PPA funder organizations receive a one-week review period to approve the contract. Based on this timeline, we anticipate the consultant could begin work in early January. Assuming that timeline is followed, we would look for the consultant to complete the on-site assessment by the end of February, and the report within a few weeks following. Materials and Resources to be Reviewed by Consultant 14. Are there existing resources that describe the initiatives besides what is publicly available on their respective websites that would aid effective project and proposal preparation? What existing data, reports, field assessment, surveys will be available from each initiative program for independent assessor to review? Response: Sponsors/funders of each of the programs to be reviewed was consulted in the development of the RfP and offered information to be considered at this stage. Each program funder/sponsor has agreed to collaborate with the selected consultant and will provide additional information as available. 15. Can you advise which language initiative programs documents will be provided, i.e. English, French, combination or other? Response: Program documents will be provided primarily in English, but some French documents are likely. PPA Membership of Consulting Organization 16. : I do not understand how it is in the best interest of independent evaluation for the evaluating organisation to be a PPA member? Could you advise why this is required to be able to do this evaluation? Response: Organizations joining the PPA are subject to a due diligence investigation by USAID and U.S. State Department. By requiring contracting organizations to join, the PPA wishes to ensure that the contractor(s) meet the PPA s standards of integrity and good practice. 17. The PPA Protocols include a required financial contribution for Supply Chain Actors and Associations of Supply Chain Actors. [Please see, where it says in a footnote, "As indicated in the PPA Protocols, individual companies and for-profit professional service organizations have a minimum expected commitment of $25, ] Is this financial contribution a requirement for potential consultants? Response: The PPA is asking the selected candidate to join as an "Implementing Organization" (regardless of for-profit/non-profit status). This would not require a fee to join; and the PPA Q&A re: PPA RfP for Independent Assessment of Closed Pipe Supply Chain Programs Page 5 of 6

6 membership status would only be for the life of the award/grant. If the selected candidate wishes to remain engaged after the project concludes, and this entity is a for-profit organization, they would need to make the financial contribution required for membership. Criteria for Consultant 18. What benefits does the PPA see in commissioning this report to a reputable multinational organisation such as an accountancy body? Response: The PPA has no preference regarding the ideal consultant s global presence or sector. Other 19. Outside of the grant agreement with RESOLVE, are there any other disclosure agreements needed to have access to initiative program data? Response: Each program funder/sponsor has agreed to provide relevant information and data to the consultant selected. It is expected that this will not include confidential information. However, in the course of the assessment, the programs reserve the right to request signature of non-disclosure agreements in the event proprietary information is required. Q&A re: PPA RfP for Independent Assessment of Closed Pipe Supply Chain Programs Page 6 of 6