Date: November Sudan Common Humanitarian Fund 2014 First Allocation Guidelines on Process

Transcription

1 Date: November 2013 Sudan Common Humanitarian Fund 2014 First Allocation Guidelines on Process

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3 Purpose: The purpose of this document is to describe the allocation processes of the Sudan Common Humanitarian Fund (CHF) for the first allocation for 2014, and detail the roles and responsibilities of the constituent stakeholders. The original Sudan allocation guidelines were developed in 2011 in consultation with a wide range of International NGOs, UN agencies and donor representatives in Sudan. They were then amended for the 2014 allocations, following the roll out of new Global Guidelines for the CHF worldwide, developed by OCHA Headquarters. These country specific guidelines are in line with the global guidelines ensuring a greater degree of harmonization of CHFs globally. This and other supporting documents can be found at: and on humanitarian response Comments are welcome by on: chfsudan@un.org. Scope: These guidelines cover all the steps and phases to be followed through the allocation processes and are therefore for all CHF participants and stakeholders including the Humanitarian Coordinator, OCHA, Sector Leads and humanitarian partners, grantees and donors. Rationale: The objective of the CHF is to support the timely allocation and disbursement of donor resources to the most critical humanitarian needs of Sudan, under the direction of the Humanitarian Coordinator. These guidelines support an accountable process that is inclusive, transparent and objective. This process is based upon agreed and well defined priorities related to the most urgent humanitarian needs and critical gaps in all sectors (as stipulated in the Allocation Strategy Paper). The guidelines also clarify all steps of the allocation process to enhance timely and strategic allocation decisions. Key Stakeholders: The Humanitarian Coordinator (HC): has overall responsibility of and decision make power for the allocation of funding under the CHF. The CHF Advisory Group (AG): is chaired by the Humanitarian Coordinator and is composed of 3 UN Heads of Agency Representatives (UNICEF, WHO, UNHCR), 3 NGO representatives (2 international from the NGO Forum and 1 national NGO (Al Manar)), the 2014 CHF Donors (Denmark in absentia, Ireland in absentia, Netherlands, Norway, Sweden, Switzerland and the United Kingdom) and 2 bilateral donor representatives (ECHO and USAID). The AG provides the HC with strategic advice and allocation priorities and helps ensure that the process is inclusive, transparent and objective. The CHF Working Group (WG): is made up of working level representatives of the Advisory Group and provides it with support. The CHF Technical Unit: Located in the Humanitarian Financing Section (HFS) of OCHA Sudan, and is the OCHA unit that supports the Humanitarian Coordinator in managing the CHF. The CHF Technical Unit has focal points for all sectors (see annex for focal points and contact details). The Fund Management Unit (FMU): The section of UNDP that deals with the CHF allocations either as Administrative Agent (for allocations to the UN) or as Managing Agent (for allocations to NGOs) (see next for focal points and contact details). The Fund Management Unit is responsible for contracting CHF implementing partners and for the disbursement of funding. The Programmatic Review Group (PRG): The PRG (previously Technical Review Group TRG) is facilitated by the Sector Lead (and Co-lead if relevant), and comprises two UN partners, and two to three NGO partners (including a national NGO). The PRG is selected in an open and transparent manner through the Sector Coordination mechanism (normally in a sector meeting). Sector Leads must consult with the INGO-Steering Committee in selecting the International NGO members (to ensure fair and Page 2 of 11

4 balanced representation of I-NGOs across the sectors). Where relevant a member from the technical line ministry also participates in the PRG. A member of OCHA HFS takes part in the PRG in an advisory role ensuring quality, transparency and fairness. The Sector Lead, OCHA and Government Representatives do not vote on projects during the scoring process. The PRG is responsible for the programmatic review of project concept notes and prioritization for funding. Terms of reference and guidance material will be issued in advance of convening the PRGs. The Technical Review Committee (TRC): is composed of members from the CHF Technical Unit, the Fund Management Unit and representatives from the Sectors under review (including but not limited to the Sector Lead). The TRC is responsible for undertaking a review and quality control of all CHF Project Proposals, paying particular attention to the quality of the entire project proposal (including budgets, workplan and log-frame). Terms of reference (sector specific) will be issued in advance of the convening of the TRCs. Summary Flow Chart of Process: Page 3 of 11

5 Eligibility Criteria: 1. In order to be eligible to apply for CHF funding NGO partners must: Be nominated by the Sector Lead - NGOs that have previously received and successfully implemented CHF projects will automatically be eligible. UNDP will share further guidance on the nomination of new partners through . UNDP will also provide Sector Leads with a list of automatically eligible partners; Have an approved project in the relevant sector in the Humanitarian Workplan for 2014; Meet the programme performance criteria of the Sector; Where relevant, have found to have satisfactory performance in Programme Monitoring visits and ensuing reports; Pass the UNDP Capacity Assessment (see point 7 for more information on this); In the case of existing partners, have fulfilled all UNDP and OCHA reporting requirements; Not have any outstanding qualified audits, or have outstanding payables due to the CHF; Have submitted a Fraud Policy to UNDP prior to the finalization of the Project Partnership Agreement. 2. In order to be eligible for CHF funding UN partners must: Be signatories to the Standard Memorandum of Understanding (MOU) for Multi-Donor Trust Funds Using Pass-Through Fund Management Have an approved project in the relevant sector in the Humanitarian Workplan for 2014; Meet the programme performance criteria of the Sector; Where relevant, have found to have satisfactory performance in Programme Monitoring visits and ensuing reports; In the case of existing partners, have fulfilled all UNDP Multi Partnership Trust Fund (MPTF) and OCHA reporting requirements; Not have any outstanding qualified audits, or have outstanding payables due to the CHF; Allocation Process Management: 3. The Standard Allocation Process is the mechanism through which the Humanitarian Coordinator consults with partners to ensure the best possible use of available CHF funds according to humanitarian needs. A high degree of transparency of the process is essential for the CHF to function properly. Transparency is defined as the degree to which allocation decisions can be explained and rationalized. 4. The Standard Allocation Model involves consultation with sectors and other relevant partners at central and state levels. The process is executed through a number of steps which are outlined below. Steps of the standard allocation process: Sector Needs analysis, Prioritization and CHF Strategy The Allocation Strategy Paper Capacity Assessment Project identification Process Pre-selection of projects Technical Review HC final approval of selected projects which triggers disbursement of funds Implementation 5. Sector Needs Analysis, Prioritization and CHF Strategy Given the new and improved humanitarian work-planning process with a consolidated needs assessment per sector and a much more robust strategic analysis there is this year a great opportunity to ensure a more strategic CHF allocation. The CHF Technical Unit drafts Strategic Objectives for the allocation based on the Draft Country Strategy for the Humanitarian Workplan and the Humanitarian Needs Overview (HNO). Page 4 of 11

6 The Strategic Objectives will to be more detailed than previous years, highlighting areas for geographic focus (at the locality level based on the HNO) and stipulating key objectives of the allocation and operational modalities; The CHF Technical Unit and the HC then consults with the CHF Working Group on the draft objectives for their review, input and approval; The draft Strategic Objectives are shared with the sector leads for the development of sector priorities/objectives; The CHF Technical Unit includes the sector priorities/objectives in the overall Allocation Strategy and consult with the CHF Advisory Group for their review, input and approval of the final document; The final document is shared with sector leads and implementing partners and a call for proposals is opened. 6. The Allocation Strategy Paper The allocation strategy is a strategic document and does not include information on process (that is the purpose of these Allocation Guidelines which are issued in support of the Allocation Strategy Paper). CHF partners should reference the Allocation Strategy Paper closely when writing their Project Concept Notes and full Project Proposal, and ensure that the proposed activities are in line with the strategy identified in the paper. This will be one of the key criteria for recommending projects for funding. 7. Capacity Assessment UNDP will do an in-depth capacity assessment of each new partner nominated by the Sector Lead. Passing the capacity assessment is a pre-requisite for receiving CHF funding. The capacity assessment is intended to determine if the NGO has the administrative, operational, and financial systems capacity to manage and report on the funds received and can follow the requirements of the Project Partnership Agreement; Nominated partners who do not pass the capacity assessment are still eligible to receive funds as an implementing partner (sub-grantee) of a UN Agency or an eligible NGO; 8. Project identification Process The partners that have been nominated by the Sector Lead and passed the UNDP FMU led capacity assessment will be invited to submit Project Concept Notes online through the CHF Database; The Project Concept Notes are new as of 2014, and are in effect a mini proposal; The Project Concept Notes should address the priorities defined by their respective sectors as outlined in the Allocation Strategy Paper; The CHF Technical Unit will issue guidance on completing the concept note separately to all partners; Once all the Project Concept Notes have been received, the Sector Leads convenes the Programmatic Review Groups (PRG) to assess the received concept notes vis-à-vis the Sector Strategy as outlined in the Allocation Strategy Paper; The PRG (like the Technical Review Groups in previous years) is facilitated by the Sector Lead (and Co-lead if relevant), and comprises two UN partners, and two to three NGO partners (including a national NGO). Where relevant a member from the technical line ministry also participates in the PRG. A member of OCHA HFS takes part in the PRG in an advisory role. The PRGs review and score the proposals according to set criteria, with the aim to put forward a limited number of concept notes considered best suited to address the needs identified in the allocation strategy. The Sector Lead, OCHA and Government Representatives do not vote on projects. The CHF Technical Unit will issue terms of reference for the PRGs separately. The Technical Unit will also provide the templates for the criteria setting and scoring and share these with sector leads; The CHF Technical Unit and the CHF Funded Monitoring and Reporting Staff in key Sectors will prepare an analysis per sector based results from monitoring missions, which would help identify good practice and lessons learned, and which would inform the PRGs; 9. Pre-selection of projects (formerly known as Sector Defences) Page 5 of 11

7 Based on the outcome of the PRGs, sector leads put forward a list of selected projects for review by the CHF Advisory Group in the format of Sector Defences (like in the previous 2 allocations); The Sector Defences are a series of meetings, in which the Sector Lead defends (through a set Power Point Presentation) the selection of project concepts to the CHF Advisory Group. The CHF Technical Unit acts as the secretariat to the AG and consolidates the feedback and decisions from the AG for each Sector; Before the actual Sector Defences, the Sectors are invited to Mock Sector defences with the CHF Working Group (WG). The aim of the Mock Defences is for the Sectors to refine their presentations based on feedback from the WG; Following the Sector Defences the CHF Advisory Group and the HC meet to deliberate on which projects to recommend for pre-approval for funding; Once the HC approves the list of pre-approved concept notes, partners will be invited to develop full project proposal for technical review; The pre-selection of projects is intended to stimulate efficiency and allow for a rapid process that correctly targets identified needs. The Project Proposals will be submitted online using the CHF Database. The project proposal is in effect the finalization of the Project Concept Notes; UNDP FMU and the CHF Technical Unit will develop guidelines for the project proposal development and share these with all partners separately; 10. Technical Review Committee; Once the project proposals have been finalized online, they are submitted to the Technical Review Committee (TRC). This is a new step for the 2014 allocations; The TRC is made up of representatives from the CHF Technical Unit, UNDP FMU, the Sector Lead and other technical experts from within the sector (NGOs and UN Staff Members); The ultimate objective of the technical review process is to assure that proposals are of the highest possible quality before final funding decisions are taken. Members of the TRC are selected based on demonstrated technical knowledge; The TRC also plays an instrumental role in reviewing projects across sectors ensuring consistency and eliminating overlap and duplication thereby ensuring efficiency; The CHF Technical Unit and UNDP FMU will share sector specific terms of reference for the TRC in due course; The TRC reviews and grades project proposals according to their technical merit paying particular attention to the following: o The technical quality of the proposal; o The feasibility of the project; o The adherence to the budget guidelines; o The financial efficiency of the project; o The coherence between the narrative, workplan, log-frame and budget; o The capacity and ability of the partner to implement the project; o The complementarity and consistency of projects across sectors; The TRC takes place in the following manner: o In advance of the TRC the CHF Technical Unit shares the project proposal with the members of the committee. o Meetings are convened to review the project proposal in detail. Projects are graded on a range from A to E (see further explanation of each score below). o The Technical Unit compiles all the comments on the proposal, including the score and transmits this to the implementing partner for review; o Depending on the grade received, the technical review process then involves a two-way communication between the TRC and the implementing partner organization to facilitate the improvement of projects. The projects are scored on a scale from A to E: o A: Project approved meaning the project has reached the required level of quality and can be put forward for funding; o B: Project approved with minor modifications required that do not involve the budget meaning the project is of the required quality, but that certain minor clarifications are necessary before the project can be put forward for funding. These clarifications can be made by an exchange between the technical unit and the implementing partner; Page 6 of 11

8 o C: The project requires minor revisions meaning that the implementing partner needs to make minor improvements to the project for it to reach the required level of quality. The improvements can be done through an exchange between the technical unit and the implementing partner; o D: The project requires major revisions - meaning that the implementing partners needs to make major improvements of the project for it to reach the required level of quality. In this case the project will be subject to a new technical review committee; o E: The project has been rejected meaning the funding earmarked of the project will be returned to the CHF and allocated based on emerging needs through the CHF Reserve. Each implementing partner is given two (2) chances to improve their project proposal following formal feedback from the TRC (the first review, followed by two subsequent revisions). If by this time the project does not receive a score of A, it will be rejected and the funding earmarked for the project will be returned to the CHF and allocated based on emerging needs through the CHF Reserve. 11. HC final approval of selected projects All projects that receive a score of A are forwarded to the Humanitarian Coordinator for final approval; The CHF allocations may be adjusted as per decision of the HC who holds ultimate responsibility for allocation decisions. Consolidated allocation decisions are communicated to all implementing partners including the Managing Agent. 12. Disbursement of Funds In accordance with decision of the Humanitarian Coordinator, the Administrative Agent disburses funds to participating UN Agencies and the Managing Agent. NGOs access the CHF funds through the Managing Agent Cross Cutting Issues 13. Environment and Environment Marker Projects (full project proposals, not concept notes) should be coded according to the revised Environment Marker, which as a minimum shall include the identification of potential impact on the local environment of the project. Sector leads are responsible for ensuring that project receive the right coding, with the technical support of the Environmental Field Advisor at OCHA/UNEP. 14. Gender Mainstreaming and Gender Marker The IASC Gender Marker is a self applied 0-2 coding system that checks the extent to which gender equality measures has been integrated into project design. It recognizes that differences between women, men, boys and girl need to be described and logically connected through three key sections of a proposal: 1. The need assessment (context/situation analysis), 2. The activities and 3. The outcomes. When this is done, a project is more likely to meet the different needs of men, women, boys and girls and contribute to greater equality. Gender marker codes are recorded on the global Online System (OPS) and Financial tracking System (FTS), enabling donors to select and fund high quality gender-sensitive projects. The gender marker is mandatory requirement in all pooled funding mechanisms CAPs, CERFs, ERFs and CHFs. CHF funding will prioritize projects achieving the highest gender marker code 2a/2b signifying that the project has made significant efforts to address gender concerns or the principal purpose of the project is to advance gender equality. Exceptions to this requirement must be defended with the intent to build awareness and capacity to ensure the project can achieve the required gender marker during the project period. The Gender Marker will be applied at the full project proposal stage, not in the project concept note. To support you in using the gender marker, please consult the below link to sector specific tip sheets with concrete examples of gender equality measures to be included in the needs assessment, activities and outcomes. These and other resources on gender are available in four languages (including Arabic) at: Page 7 of 11

9 There, you will also find a link to the gender e-learning course Different needs, equal opportunities: Increasing effectiveness of humanitarian action for women, girls, boys and men, which all humanitarian staff are encouraged to take. Page 8 of 11

10 ANNEXES Annex 1 Contact List: Office Name Title/Role in Allocation Process Office of the Ms. Maali Gismalla Executive Associate Humanitarian Elkhider Coordinator Provide support to HC Contact Maali.Elkhider@one.un.org OCHA CHF Technical Unit Ms. Alta Haggarty Head, Humanitarian Financing Section Haggarty@un.org Ms. Yngvil Foss Strategic oversight of the allocation process Deputy Head, Humanitarian Financing Section foss@un.org UNDP Fund Management Unit Mr. Adil Saad Ms. Aisha Hummeida Mr. Gamal Gumaa Ms. Jen Paton Mr. Mads Uhlin Hansen Ms. Elizabeth Whitehead Managerial oversight of day to day CHF allocation process and CHF Focal Points Head of FMU Responsible for contracting and disbursements Saad12@un.org hummeida@un.org gumaag@un.org patonj@un.org hansenm@un.org Elizabeth.whitehead@undp.org Mr. Rashid Kheir Finance Analyst FMU Rashid.kheir@undp.org Annex 2 The CHF Technical Unit Focal Points for CHF: Sector Focal Point Alternate CCS Yngvil Foss Jen Paton Page 9 of 11

11 RRR Yngvil Foss Mads Hansen Education Gamal Gumaa tbc FSL Adil Saad Jen Paton Health Jen Paton Gamal Gumaa LET Yngvil Foss Adil Saad NFIs Adil Saad tbc Nutrition Jen Paton Gamal Gumaa Protection Mads Hansen Yngvil Foss RMS Gamal Gumaa Yngvil Foss WASH Mads Hansen Adil Saad Annex 3 Overview of Forthcoming Guidance from CHF Technical Unit and FMU: *These documents will be added as addendums to these allocation guidelines 1. Guidance from UNDP FMU in nominating new sector partners (by early November); 2. Guidance and forms for completing CHF Sector Strategic Objectives (by 6 November 2013); 3. Terms of Reference and guidance material for project identification through the Programmatic Review Groups, including templates and criteria for scoring project concept notes (by 1 December 2013); 4. Guidance on completing the CHF Project Concept Note (by mid-november 2013); 5. Sector Specific Budget Guidelines (by 6 December 2013); 6. Sector specific monitoring results analysis for use in PRGs (by 1 December); 7. Templates for Sector and Mock Sector Defence Power Points (by 1 January 2014); 8. Guidance on completing the CHF Project Proposals (by mid-january 2014); 9. Sector specific Terms of Reference for the Technical Review Groups (by mid-january 2014) Page 10 of 11