South Sudan Common Humanitarian Fund Allocation Process Guidelines

Transcription

1 South Sudan Common Humanitarian Fund Allocation Process Guidelines 27 January 2012

2 ACRONYMS AB CAP CERF CHF HC HCT HFU ISWG NCE NGO OCHA OPS PPA PRT PUNO TOR UN UNDP Advisory Board Consolidated Appeal Process Central Emergency Response Fund Common Humanitarian Fund Humanitarian Coordinator Humanitarian Country Team Humanitarian Financing Unit (OCHA) Inter -Sector Working Group ( Coordinators and Co-coordinators) No-Cost Extension Non-Governmental Organization Office for the Coordination of Humanitarian Affairs Online Projects System ( Project Partnership Agreement Peer Review Team Participating United Nations Organization Terms of Reference Technical Secretariat United Nations United Nations Development Programme Purpose The purpose of this document is to describe the allocation processes of the South Sudan Common Humanitarian Fund (CHF) as well as detail the roles and responsibilities of the constituent stakeholders. Scope The guidelines will cover all the steps and phases to be followed through the allocation processes and are therefore for all CHF participants and stakeholders including the HC, OCHA, UNDP, Coordinators and humanitarian partners, grantees and donors. Adherence to these guidelines is mandatory to ensure standard and transparent processes. Rationale The objective of the South Sudan CHF is to support the timely allocation and disbursement of donor resources to the most critical humanitarian needs under the direction of the HC. In order to meet that objective, these guidelines support a process that is inclusive, transparent and objective. This process should in addition be based upon agreed and well defined priorities related to the most urgent humanitarian needs and critical gaps in the clusters. These guidelines also provide clarification and instructions of all allocation process steps and requirements to enhance timely and strategic allocation decisions. The guidelines are a synthesis of best practices, lessons learned and reviews of similar pooled funds including the Sudan CHF. Comments on these guidelines: The CHF Technical Secretariat () in South Sudan welcomes further comments or feedback on the use and application of the guidelines. Comments are welcome at: chfsouthsudan@un.org and cc nyambanet@un.org. Page 2 of 15

3 A. Introduction A1. CHF Allocation Process The allocation process is at the centre of the Common Humanitarian Fund (CHF) mechanism. The Humanitarian Coordinator (HC) aiming at sound, strategic, needs based and prioritised decisions will use a consultative process with partners to provide a country level perspective. The CHF Allocation Process allows the HC to consult the Humanitarian Country Team (HCT), CHF Advisory Board (AB), cluster coordinators and implementing partners, to identify priority needs against which CHF funds will be allocated. The objective of the CHF is to support the timely allocation and disbursement of resources to the most critical humanitarian needs of South Sudan under the direction of the HC. In general, the South Sudan CAP is the basis on which requests for funding are prioritized. A consultative allocation process is used to ensure effective targeting of funds. The South Sudan CHF consists of two core allocation modalities: the Standard Allocation Model and the CHF Reserve both of which will be explained below. A2. The CHF Standard Allocation Model The Standard Allocation Model is an allocation model/process through which the majority of CHF funding is allocated to activities within the CAP. The purpose of the standard allocation model is to provide timely and predictable funding to highest priority needs contained in the CAP. The Standard Allocation Model involves close consultation with Coordinators, Co-coordinators, cluster members and other relevant partners. The final decision is made by the HC upon consultation with the HCT and the Advisory Board. The timing of allocation rounds through the Standard Allocation Model will be aligned with CAP cycle and other in-country humanitarian assistance delivery mechanisms taking into consideration seasonal factors such as rainy and dry season. Most of the funds allocated through this modality will typically be allocated early in the year to front load critical humanitarian programmes in the country. Timing of allocation rounds will also depend on availability of funds in the CHF. Guidance on the minimum and/or maximum allocation allowable per project will be given at the time when a Standard Allocation round is announced. A3. CHF Reserve A reserve is kept within the CHF to enable the HC to allocate funds in the event of unforeseen needs (e.g. natural disasters, displacements, disease outbreaks) arising outside the CHF Standard Allocation process. The CHF reserve will typically be a maximum of 20% of committed funds to the CHF (or as may be determined by the HC from time to time). Projects in and outside the CAP will be eligible for allocation of funds from the reserve upon meeting requirements set out in these guidelines. Upon receipt of CHF allocation, projects not in the CAP must register in the Online Projects System ( - OPS. A4. CHF Grant Duration Implementation of a CHF recipient project shall not exceed twelve (12) months from the effective CHF allocation date or in-case of pre-financed projects, from the date of the first invoice related to CHF activities after project allocation approval and before disbursement. The joint OCHA-UNDP Technical Secretariat (), in consultation with the HC, will announce the effective CHF allocation date after taking into consideration the period between HC s allocation approval letter and disbursement of the first instalment of allocated funds. Project pre-financing will be limited to only the costs incurred in the interim period between the HC s approval and the actual cash disbursement to the recipient project. Page 3 of 15

4 B. Standard Allocation Process Management The standard allocation process starts with development of the CHF Allocation Policy Paper. The policy paper is drafted by the in consultation with cluster Coordinators and Co-coordinators. Priorities are recommended through ISWG based upon open and transparent consultation, discussed at the HCT and submitted to the HC for approval. The HC consults the Advisory Board before approving the policy paper. The CHF Advisory Board endorses the policy paper ensuring that it reflects priorities that have been refined to those most urgent humanitarian needs as set out in the CAP response plans. The policy paper will not define funding envelops for clusters. B1. level consultations and reviews Once the policy paper has been approved by the HC and endorsed by the CHF Advisory Board, the HC together with the Technical Secretariat () convenes a CHF stakeholders meeting with potential applicants to articulate the strategic focus of the immediate CHF allocation round as stipulated in the CHF policy paper. A similar meeting is held with the ISWG, in which the HC explains to cluster coordinators and co-coordinators the strategic focus of the allocation round and the shares allocation reference documents and templates with the cluster coordinators. coordinators hold cluster consultations meetings to refine and adopt cluster specific priorities on the basis of priorities set out in the policy paper. CAP partners then submit proposals based on priorities endorsed within their clusters. coordinators together with their respective cluster Peer Review Teams (PRTs) review the proposals submitted against their respective cluster specific criteria in line with priorities stipulated in the policy paper. They rank projects for technical merit in addressing the most urgent humanitarian needs. An OCHA focal point will represent in the PRT meetings. B2. defences and CHF Advisory Board review Each coordinator prepares a presentation to defend the cluster s programmatic strategy and the supporting portfolio of proposals in front of the CHF Advisory Board. Coordinators ensure that the defence is blind hiding the identity of the requesting organization. coordinators are required to demonstrate that their programmatic strategy is evidence-based. They are also required to support their allocation proposals with clear and concise documentation on the ranking and decision making process to demonstrate that a transparent, inclusive and objective process was followed. If dissatisfied with a particular presentation, the HC or CHF Advisory Board can request the concerned coordinator to make a second presentation. Based on the presentations and in line with the policy paper, the HC, in consultation with the CHF Advisory Board, makes recommendations for funding to each cluster. The HC then debriefs each cluster coordinator on the outcome of the cluster defences informing how much is allocated to the cluster, and issues to address before project allocations are approved. B3. Final project submissions coordinators together with cluster Peer Review Teams and concerned requesting organizations address issues raised by the HC and the Advisory Board and make necessary adjustments to accommodate the funding recommended to the cluster. Requesting organizations are informed of allocations recommended for their proposals and asked to revise their proposals, as required and re-submit. liaises with the cluster coordinators to ensure that issues raised by the Advisory Board are adequately addressed, and keep the HC informed. coordinators submit to the finalized proposals, budgets, minutes of their allocation meetings and any other documentation that may be required to facilitate preparation of allocation letters. B4. Allocation letters and disbursement The prepares allocation letters for the HC s signature. The HC signs the allocation letters and sends to CHF grantees requesting them to indicate acceptance. UN agencies submit letter of acceptance to and NGOs sign Project Partnership Agreement (PPA) documents to commence disbursement of funds. Funds are disbursed to CHF recipients upon receipt of compliant documentation as required by UNDP (as Participating United Nations Organization (PUNO) for NGO implemented projects, performing functions established by global corporate practice as those of Managing Agent ). Page 4 of 15

5 B5. Steps in the CHF Standard Allocation Process A summary of the Standard Allocation process steps are highlighted below and details of the various steps leading to allocation of CHF are described in Annex I. Allocation Step Indicative Timeline 1 Development of the CHF Allocation Policy Paper 12 days 2 Launch of the CHF Allocation Process 1 day 3 level consultations and reviews 16 days 4 Defences and Advisory Board review 4 days 5 Final Project Submissions 5 days 6 Approval by Humanitarian Coordinator and acceptance by recipients 7 days 7 Disbursement of Funds 8-10 days B6. Roles of constituent Stakeholders in the Standard Allocation Model B6.1 The Role of CHF Advisory Board The AB will undertake the following activities in relation to the CHF: a) Advice the HC on any issue related to the operation of the CHF; b) Review and advise the HC on the standard allocation policy papers (ensuring that it is based on identified needs, humanitarian priorities, absorptive capacities of implementing partners and past performance of recipient organizations); c) Review policy guidelines related to the operations of the CHF and project allocations made by the HC at various points in the consultative allocation process; d) Receive the reports submitted by the Administrative Agent and the HC; e) Ensure CHF allocations are used primarily to address humanitarian needs and not recovery or development programmes; f) Ensure that the CHF is utilized as a complement to other humanitarian and recovery pooled funds, as well as to bilaterally funded humanitarian projects; g) Advise on the phasing out from specific sectors/clusters in line with the evolving context and funding modalities in place. B6.2 The Role of Coordinators and Co-coordinators coordinators and co-coordinators will lead processes at the cluster level aimed at ensuring a transparent and strategic allocation process. They ensure a more coherent and effective response by mobilizing cluster Partners to respond in a coordinated, strategic manner. The Coordinator and co-coordinators will undertake the following activities in relation to the CHF: a) Facilitate all CHF related processes in consultation with cluster partners; b) Establish needs-based priorities for CHF funding in consultation with cluster partners; c) Facilitate cross-cluster coordination; d) Lead a process to transparently identify, review and recommend priority humanitarian projects for funding based on agreed overall cluster priorities and strategies, cost effectiveness and document these processes; e) Defend cluster strategies and proposal during CHF Standard Allocation rounds; f) Ensure quality and timely submissions of all related cluster materials; Page 5 of 15

6 g) Support CHF monitoring and reporting activities that are facilitated by by defining the key parameters for monitoring and reporting and promoting the highest technical standards; h) Train and build capacity of cluster partners (national and international) on CHF procedures. B6.3 The Role of Peer Review Teams (PRT) The Peer Review Teams are responsible for technical review of CHF proposals under the Standard Allocation mechanism. For each cluster, the team is composed of the coordinator, co-coordinator, an OCHA focal point and two representatives of the UN agencies and two-three representatives of NGOs, including one national NGO in clusters where there is national NGO representation. a) The PRT members provide an objective and un-biased assessment of projects submitted for funding from the CHF, applying pre-agreed evaluation criteria to assess the merits of projects proposed; b) PRT members rank projects according to the criteria, both from the perspective of technical merit including capacity to implement as well as strategic merit to ensure the project addresses urgent humanitarian needs and critical gaps as defined in the CHF policy paper; c) A PRT member should abstain from voting and may need to leave the room when having their own proposal ranked. However, the member can answer questions pertinent to his/her project posed by the other PRT members during the review; d) PRT members should be trained and orientated to ensure consistent process; e) PRT expertise, experience and knowledge are brought to bear by members to ensure strategic overview, knowing priorities, gaps, who is where, etc. PRT members should not just rely on tools; f) A minimum of 3 days lead time is needed to prepare by PRT members so that they can fulfil their responsibilities in proposal review and follow up with project owners, checking past performance and capacity; g) OCHA focal point representing should be present in each PRT meeting during CHF allocation process; h) Advisory Board members can participate as observers in the PRT meetings during CHF allocation process. B6.4 The Role of OCHA Focal Point in the Peer Review Teams (PRTs) OCHA focal points in the different cluster PRT should not have voting rights and their role should be limited to the following: a) Provide guidance on the process and ensure that procedures are adhered to and followed; b) Provide support and technical guidance on proposals where and when appropriate; c) Participate in the review of project budgets and proposals; d) Support the coordinator/co-coordinator in managing the CHF allocation process whenever necessary. B6.5 The Role of Technical Secretariat () In addition to the tasks outlined in the CHF TORs, the will be responsible for the following: a) Facilitate HC s meetings related to CHF allocation process; b) Train and orientate PRT members to ensure a consistent CHF allocation process; c) Support CHF participants to engage in the CHF Allocation processes; d) Review progress and final reports; e) Facilitate and follow up action points from CHF audits; f) Facilitate and take part in monitoring, reporting and evaluations activities; g) Information management for CHF operations. C. CHF Reserve Management C.1 Purpose of CHF Reserve The CHF Reserve will serve two purposes: Emergency Response: To enable the HC to respond to unplanned for in-country emergency needs (e.g. natural disasters, displacements, disease outbreaks). This will typically be towards activities not originally Page 6 of 15

7 included in the CAP. Proposals for emergency funding may be individual agency requests, or it may be part of a joint response comprising multiple organizations, potentially across multiple clusters, in which case proposals should be coordinated by OCHA and aligned with other emergency response funding 1. Ad Hoc Allocations: To enable the HC to respond to critical funding needs of activities within the CAP on a case by case basis. Ad hoc allocations from the reserve will take place outside the Standard Allocation Process, and will typically be towards under-funded activities in the CAP that may emerge as key priorities during the year. The application template and the general application procedures are the same for all CHF reserve requests, however the procedures may be implemented differently depending on the context surrounding individual request (e.g. fast tracking for urgent needs, or consolidated proposals for larger response). C.2 Allocations through the CHF Reserve Allocations through the CHF Reserve will be subjected to the following procedures: Proposals shall be submitted (using designated templates) to the Technical Secretariat () through the relevant cluster coordinator/co-coordinator; Proposals shall justify why special funding outside the CHF Standard Allocation mechanism is required, including explanation on why the activity/project was not funded during the Standard Allocation process; Proposals will be reviewed and cleared by the cluster coordinator/co-coordinator; There will be a further review by the and OCHA staff undertaking coordination of humanitarian activities in the state or location in question; Time critical allocation decisions and disbursements shall be fast-tracked; Projects that receive funding from the reserve and are not already in the CAP will be registered by the respective requesting organization in the CAP after the allocation; In order to streamline emergency funding processes for humanitarian partners the procedures and templates will be aligned as close to the CERF as feasible. C.3 Approval of CHF Reserve Allocations The Humanitarian Coordinator will give the final approval of any allocation from the CHF Reserve. The HC will involve the CHF Advisory Board in his/her decision making process regarding allocations from the reserve. The HC can decide to shorten the review time through a silent procedure against an agreed timeline or directly authorize allocations to projects under the CHF Reserve and subsequently inform the Advisory Board if this is deemed necessary in order to respond to urgent needs in a timely manner. C.4 Steps in CHF Reserve Allocations. The detailed steps leading to allocations out of the CHF Reserve are detailed in Annex II. D. CHF No-Cost Extension and Revision D.1 Guidelines on Requesting No-Cost Extension (NCE) These guidelines set forth the requirements and conditions under which a request for a No-Cost Extension (NCE) will be considered and approved for on-going CHF grants. CHF grantees are encouraged to adhere to the agreed grant duration and achieve project closure in accordance with the approved allocation letter(s). At times it may be necessary for a CHF grantee to request additional time to complete activities. In this situation a NCE will extend the grant period without any additional budget increases. A NCE will be granted only in exceptional circumstances with a solid justification. 1 For larger emergencies CHF Reserve funding may be provided along with grants from the CERF Rapid Response window, and applications to the two funds should in such cases be closely coordinated and aligned. Page 7 of 15

8 The HC will make decisions regarding NCE requests in the event a Participant requires an additional time period beyond the approved end date to complete the objectives of the Project. The CHF project cycle should normally run for 12 months however, with variation in depositing time frame for the different contributing donors the cycle may be shorter. NCEs should be considered an extraordinary event, not the norm and must be fully justified. NCEs for Projects receiving funds from a Standard Allocation should not be granted for more than three months and six months under extraordinary circumstances. NCEs for Projects receiving funds from the CHF Reserve should not be granted for more than three months. Although the HC makes the final decision in approving a NCE, the compiles all requests and ensures that all requests include the necessary information needed. Participants should get cluster coordinator s endorsement before submitting their NCE request A NCE request will not be approved if: 1. The reasons provided are not justifiable. 2. More than 30% of the project activities are not accomplished without justifiable reasons. However, any unspent money which could not be used during the approved project duration should not be used as the main or only justification for requesting an NCE. Steps in Requesting a No-Cost Extension 1. CHF grantees requesting an NCE should complete NCE Request Form and the Word version to the at chfsouthsudan@un.org. should confirm receipt within 3 days. If grantee does not receive confirmation after this period, he/she should check with. 2. If any changes are needed to a grant, i.e. change in activities, location, beneficiaries, budget line items, etc., this revision should be made in a separate CHF Revision Request form. 3. A request for a NCE should be submitted at least two weeks prior to the approved grant end date. Requests submitted after the approved grant end date will not be considered. D.2 Guidelines on Requesting a CHF Revision Bases for CHF revision Grantees can request revision to their CHF-funded projects due to change in any of the following: 1- Change in outcomes/ outputs 2- Change in activities 3- Change in targets 4- Change in number of beneficiaries 5- Change in location 6- Change in budget lines 7- Changes in recipient project 8- Any other significant change Revision should be considered as an extraordinary event, not the norm and must be fully justified. The HC makes the final decision in approving a Revision. The compiles all requests and ensures that all requests include the necessary information. Page 8 of 15

9 Steps in Requesting a Revision 1. Revision request should be endorsed by Coordinator before submission to the. 2. CHF grantees requesting revision should complete Revision Request Form available from the and the word version to the at chfsouthsudan@un.org. should confirm receipt within 3 days, if grantee did not receive confirmation after this period, he/she should check with. 3. A request for revision should be endorsed by cluster coordinator and submitted at least one month prior to the approved grant end date. In the event request is submitted after the approved grant end date, it must be included in an NCE Request Form to request both project extension and revision. 4. The Technical Secretariat reviews the revision request and endorses or returns it to the requestor for more information. 5. Upon review and if approved by the HC, an notification with the approval letter, will be sent to the requestor with a copy to UNDP (as Administrative Agent or PUNO). 6. The Technical Secretariat has the right to decline any unjustifiable revision request; should the causes and reasons given negate the Terms of Reference (TOR) of the CHF. Automatic Endorsement of the Budget Revision The Technical Secretariat can automatically endorse a budget revision made by CHF grantee (UN or NGOs) if it meets the following: 1. The project revision should not increase or decrease the total project budget. 2. The revised amount of the budget line item should not increase or decrease by 20% of the total budget line. In addition, the budget revision should not involve shifting money from the direct program costs to administration costs. Increase in budget items for salaries and consultation should not come from budget items that have direct benefit to beneficiaries (for example agencies cannot reduce budget item for the purchase of drugs or NFIs to cover salary costs or related expenditure). This could be done without any prior approval from UNDP/. 3. The budget line revision should not eliminate or add a core project activity. If this happens then it is considered as a routine revision request and should follow the normal revision request steps. Page 9 of 15

10 Annex I: Detailed Steps of the CHF Standard Allocation CHF STANDARD ALLOCATION PROCESS 1 Step 1: Development of the CHF Allocation Policy Paper Responsible Output Indicative Timeline 1.1 OCHA in consultation with HC drafts strategic priorities for the CHF allocation. ISWG discusses the draft policy paper, giving inputs and suggestions. OCHA; Zero draft of policy paper 5 days Information on available funds to be allocated and draft allocation timeline incorporated in the policy paper. 1.2 HC presents draft policy paper to the Advisory Board and HCT for inputs. The Technical Secretariat compiles inputs from the Advisory Board and the HCT. HC issues final policy paper. HC; CHF Allocation Policy Paper 7 days 2 Step 2: Launch of the CHF Allocation Process Responsible Output 2.1 HC separately meets with stakeholders (potential CHF applicants) and cluster coordinators/co-coordinators to explain the CHF allocation process. circulates to Coordinators/co-coordinators the Policy Paper, CHF Allocation Timelines and the following templates/forms: (i) (ii) (iii) (iv) (v) Standard Proposal Budgets (ms excel format), Allocation Report (i.e. minutes form) Project Ranking form, CHF defense presentation. HC; Formal start of CHF standard allocation process; Dissemination of CHF Allocation Policy Paper and supporting allocation templates and forms. 1 day 3 Step 3: level consultations and reviews Responsible Output 3.1 partners meet to discuss and agree on priority activities and geographic locations that will be considered for CHF funding in line with the strategic priorities outlined in CHF policy paper. Partners also agree on cluster specific timelines, projects prioritization criteria, and criteria for fund allocations after cluster defences. Partners nominate Peer Review Team (PRT) members consisting of two representatives of UN agencies and two-three representatives NGOs. coordinators; Partners level priorities, timelines and prioritization criteria Peer Review Teams (PRTs) 3 days 3.2 coordinators/co-coordinators disseminate relevant customized documents to their cluster partners soliciting submission of proposals. partners prepare projects and budgets that address the CHF priorities defined by their respective clusters and submit to the Coordinator/co-coordinators. Draft projects do not include the logframe and work plan at this stage. Note: Outreach and training will be available to partners on how to fill out CHF application forms via the Coordinators/ co-coordinators and. coordinators; Partners Call for proposals Draft project proposals with corresponding budgets 5 days Page 10 of 15

11 3.3 coordinators/co-coordinators with support of Peer Review Teams undertake a first review of the proposals to ensure: (a) Proposed projects address the cluster defined priorities, (b) Projects are technically sound and cost effective, (c) Project templates are filled out appropriately. If required, coordinator comments back to partners to strengthen their project proposals. Coordinators/co-coordinators schedule Peer Review Team (PRT) meetings to review, rank and recommend project proposals that address urgent or critical humanitarian priorities as outlined in the Policy Paper. coordinators/co-coordinators should ensure that: (i) (ii) (iii) (iv) (v) (vi) There is common understanding within the PRT of how to apply and rank cluster specific prioritization criteria for consistency purposes; Process is inclusive, transparent and objective; There is open discussion on technical merits of each proposal and capacity to implement, as well as a discussion of any limitations related to capacity to deliver; There are considerations on whether the project represents value for money or cost effectiveness as well as inquiry into what other sources of funding have been identified for each proposal; Projects with gender marker 2a or 2b are given more weighting in the prioritization process. There is common agreement on how to address any contentious issues that may arise during the review, documenting these in the minutes for transparency purposes. (vii) OCHA focal point representing is present (viii) Projects from PUNOs or NGOs that are black listed for poor performance and reporting are excluded from the review process. coordinator/co-coordinator facilitates discussion with PRT to determine funding per project based upon strong rankings, budget requirements, cost effectiveness, other funding sources and strategic considerations by applying expertise and knowledge of the PRT members. coordinator/co-coordinator fully documents the process in minutes format using the Allocation Report Form (minutes). Coordinators, PRT members Compliant peer reviewed draft proposals. Prioritized list of projects by cluster s recommendation on funding per project Draft CHF allocation minutes 4 days 3.4 coordinators/ co-coordinators compile and complete cluster package that documents the basis for project proposal recommendations. The package submitted to should consist of: (i) Peer reviewed draft proposals. (ii) Prioritized list of projects (iii) Recommended funding per project and total cluster requested amount. coordinators draft project proposals documentation package for review 1 day 3.5 The Technical Secretariat reviews each proposal to determine whether it fulfils all CHF requirements from administrative and financial perspective. If projects are deemed ineligible, the Coordinator/ co-coordinator is notified to clarify with the project owner if the problem is an administrative oversight to ensure projects that provide critical or urgent humanitarian assistance can be considered for funding. s confirmation to coordinator/ co-coordinator regarding determination of administrative and financial requirements. reviewed draft projects Summary of CHF funding requests per cluster 3 days 4 Step 4: Defences and Advisory Board review Responsible Output Page 11 of 15

12 4.1 coordinator/co-coordinator prepares presentation to defend programmatic strategy and the supporting portfolio of prioritized projects as recommended by the cluster PRT for funding. Coordinators ensure presentation is blind not mentioning names of agencies or NGOs requesting for CHF. coordinators/co-coordinators defend their proposals before a panel of CHF Advisory Board members chaired by HC. facilitates the defence sessions. Note: If dissatisfied with a particular presentation, the CHF Advisory Board can request the concerned coordinator to make a second presentation. coordinators; ; AB defense presentation ( copy to ) CHF Advisory Board review comments, suggestions and recommendations. 2 days 4.2 HC convenes follow-up consultation sessions with CHF AB. The HC presents his/her cluster funding recommendations for discussion and endorsement of the Advisory Board. HC debriefs each cluster coordinator/co-coordinator on the outcome of the CHF defence presentations, recommended funding for the cluster and required revisions/changes, if any, as suggested by the Advisory Board. facilitates the debriefing sessions. HC; AB s endorsement of HC s recommended funding by cluster. Funding for each cluster communicated to cluster coordinators. 2 days 5 Step 5: Final Project Submissions Responsible Output 5.1 coordinator/co-coordinator together with cluster peer review team and concerned requesting organizations address issues raised by the Advisory Board and adjust projects to accommodate the funding recommended to the cluster. Coordinator informs requesting organizations of recommended allocations and asks them to revise their proposals, if needed. liaises with the cluster coordinators/co-coordinators to ensure that issues raised by the Advisory Board are adequately addressed, and keep the HC informed. coordinators; Requesting organizations; HC and Advisory Board recommendations incorporated in CHF project proposals. Briefing notes to HC 2 days 5.2 Requesting organizations prepare and submit final projects and related documentation: (i) revise their proposals as directed by cluster coordinator/ co-coordinator to incorporate AB and PRT recommendations; (ii) complete the project logframe and work plan sections of the proposal document; and (iii) complete any other documents that may be required. Documents are submitted electronically to the cluster coordinator/ co-coordinator in the specified formats and filename conventions. coordinators/co-coordinators compile and finalize documentation for the CHF allocation round, including minutes and allocation matrix. coordinators/ co-coordinators submit to the finalized proposals, budgets, minutes of their allocation meetings and any other documentation that may be required to facilitate preparation of allocation letters. Requesting organizations; coordinators Final project proposals; Partners inputs to CHF allocation documentation. Completed cluster project documentation package Submission of final projects and documentation 3 days 6 Step 6: Approval by Humanitarian Coordinator and acceptance by recipients Responsible Output Page 12 of 15

13 6.1 prepares CHF allocation letters for HC s signature to approve allocations to projects The letter is accompanied by the CHF allocation table for that cluster and is sent to the HC for final approval and authorization to proceed with disbursement of funds. The HC signs the allocation letters and authorization to proceed with fund disbursement. The HC may request additional information or briefing before his/her signature and authorization to proceed with fund disbursement. The HC sends a letter of acceptance to the recipient PUNO, requesting that they indicate their acceptance of the CHF allocation. Note: UNDP acts as the recipient PUNO for NGO implemented projects, performing functions established by global corporate practice as those of Managing Agent. draw lessons learned and advice on improvements to the operation of the fund. Lessons learnt will be tabled for adoption and action thereof at the proceeding quarterly Advisory Board meeting. updates and files the CHF allocation documents HC; Allocation Letters Approval of HC to fund recommended projects Letter of acceptance sent to recipient agency for signature Lessons learned and advice on improvements Updated CHF database 7 days 7 Step 7: Disbursement of Funds Responsible Output 7.1 UN agencies (PUNO) send to a signed acceptance letter on receiving the allocation letter from HC PUNO Acceptance letter by PUNO 5 days 7.2 UNDP MPTF Office will release the allocated funds in two tranches upon receipt of signed acceptance letter from PUNO. For the allocations made to NGOs, the fund disbursement process will start once the Project Partnership Agreement (PPA) has been signed by both UNDP and the NGO. The NGO has to provide a signed payment request along with details of the bank account to start the fund disbursement process. However, it should be noted that partners working with CHF for first time will have to be assessed by UNDP for their capacity before the contract is prepared. Capacity assessment requirements will be shared with concerned partners in advance. NGO partner working with the CHF for the first time will have to provide banking information and supporting documents as per templates provided by UNDP to set up their bank account in the UNDP system. PUNO; NGO Fund disbursement to PUNOs by UNDP Fund disbursement to NGOs Set-up of Vendor Profile for NGOs 3-10 days Page 13 of 15

14 Annex II: Application Procedure for CHF Reserve Funding CHF RESERVE - APPLICATION PROCEDURE RESPONSIBLE OUTPUT INDICATIVE TIMELINE 1 The requesting organisation approaches the relevant cluster coordinator/co-coordinator and presents the request. If the cluster coordinator/co-coordinator supports the initial request, the requesting organisation will prepare a proposal using the CHF Reserve application template and submit this to the cluster coordinator/co-coordinator with copy to head of. If the request is not endorsed by the cluster coordinator/co-coordinator the requesting organisation can appeal the decision to the by preparing and forwarding proposals along with the cluster coordinator/co-coordinator s feedback. The head of will then consult with the HC for direction on the matter. Requesting Organisation Outline of request by sent to Coordinator. Proposal and budget in standard CHF Reserve application format sent to coordinator. 2 Days 2 The cluster coordinator/co-coordinator will review the proposal and add initial review comments to the proposal template before submitting to the. Submission by the cluster coordinator/co-coordinator indicates endorsement that the project is technically sound, cost effective and responds to unplanned for in-country emergency and/or covers a critical gap. Coordinator Proposal with cluster coordinator review comments sent to: chfsouthsudan@un.org 2-3 Days 3 The will review the proposal to ensure it is in keeping with overall CAP or emerging priorities, cost effective and is in proper form and quality. This may require some communication with the requesting organization. ; Requesting Organization Final project proposal and budget completed by requesting organization 2-3 Days Note: Completion of this step depends on the requestor timely submissions. 4 When the proposal is complete, the will prepare overall recommendation, allocation letter and table for the signature of the HC s consideration. If deemed necessary the can call a review meeting with the cluster coordinator/co-coordinator and relevant parties. Recommendation memo Database update 1 Day 5 The HC makes a decision on whether or not to approve the allocation. The HC may consult the Advisory Board before authorising CHF Reserve allocations, if necessary via a silent ( ) procedure against an agreed timeline or directly authorize allocations to projects under the CHF Reserve and subsequently inform the Advisory Board. Whenever possible, the HC will give the Advisory Board advance notice of pending application(s) and request their endorsement of the concerned allocation(s). HC Grant decision Decision of the HC transmitted by to requesting organization. 1-5 Days The HC s Office or informs the requesting organization of the decision of the HC. If CHF Reserve allocation is granted 6 If approved, the HC instructs the Administrative Agent, and in case of allocations to NGOs also UNDP as PUNO, to proceed with disbursement of funds 2 HC Signed allocation, allocation letter and table. 1-3 Days 2 In case of time critical assistance the allocation procedures including the disbursement process can be fast tracked Page 14 of 15

15 7 The informs the Coordinator/Co-coordinator of the HC s decision and if the project was not in the CAP, requests recipient organization to upload the project onto OPS. ; Coordinator requesting OPS upload New project uploaded onto OPS. 1 Day 8 Recipient PUNOs sign the acceptance letter and submit it to Recipient NGOs sign the PPA documents and submit it to Note: signing by UNDP is upon completion of all requested PPA documents. CHF Recipient; Signed acceptance letter Signed PPA between UNDP and recipient NGOs 1-3 Days 9 UNDP as Administrative Agent disburses funds as per instruction by the HC. For allocations to NGOs, UNDP as PUNO contracts NGOs as per their standard agreement and disburses funds accordingly. Once compliant documentation is received by UNDP, disbursement is on average 3 days to UN Agencies and 5 days to NGOs UNDP; Requesting Organisation Disbursement of funds 3 Days for UN Agencies 5-10 Days for NGOs Page 15 of 15