Guidelines for the United Nations Trust Fund for Human Security

Transcription

1 Guidelines for the United Nations Trust Fund for Human Security Eighth Revision 1 30 October This sets out the revised Guidelines for the United Nations Trust Fund for Human Security, effective as of 30 October The seventh revision which became effective on 9 November 2012 is hereby superseded and cancelled. 1

2 I. INTRODUCTION On 10 September 2012, the General Assembly adopted by consensus General Assembly resolution 66/290 on a common understanding on human security. While the consensus resolution provides formal clarity on what constitutes human security, the following offers a brief outline of the principles that underpin the application of the human security approach. Human security is a people-centred, comprehensive, context-specific and prevention-oriented framework that considers the broad range of conditions that threaten the survival, livelihood and dignity of people, particularly those who are most vulnerable. By identifying the concrete needs of populations under stress, human security highlights the complexity of the challenges and promotes integrated solutions that ensure greater coherence and stronger impact. As a result, the advancement of human security gives rise to more tangible and sustainable results that comprehensively address the root causes behind current and emerging challenges; identify priorities based on the actual needs, vulnerabilities and capacities of Governments and people; and advance solutions that strengthen the protection and empowerment of all peoples and communities. The combination of these elements help bolster actions taken by the United Nations, Governments and other actors to build resilience, prevent crises and support people s aspirations to be free from fear, want and indignity. II. OBJECTIVE OF THE UNITED NATIONS TRUST FUND FOR HUMAN SECURITY To realize the full potential of the human security approach, the United Nations Trust Fund for Human Security (UNTFHS) finances activities carried out by UN organisations 2 to demonstrate the added value of the human security approach and extend its usage and awareness both within and outside of the United Nations system. III. PROJECTS TO BE SUPPORTED BY THE UNTFHS a) Projects that mainstream and advance the operational impact of the human security approach by meeting the key funding criteria specified in section IV.1. and 3 below. b) Projects that extend the global awareness of the human security approach and its usage by meeting the key funding criteria specified in section IV.2. and 3 below. IV. KEY FUNDING CRITERIA 1. Projects to mainstream and advance the operational impact of the human security approach 2 UN organisations means organisations which are bound by UN financial rules and regulations. Those organisations which have the capacity to coordinate and mobilize personnel, financial and other relevant resources for operating a field-based project are considered to be the main applicants. Other UN organisations should demonstrate that their proposed project meets the key funding criteria of the Guidelines. On an exceptional basis and when appropriate, the Secretary-General may also designate non-un organisations as potential recipients for funding under the UNTFHS. 2

3 Applying organisations are requested to utilise the tools provided in the handbook titled Human Security in Theory and Practice: Application of the Human Security Approach and the United Nations Trust Fund for Human Security and meet the following criteria: a) Advancing the integration and mainstreaming of the human security approach across the work of the United Nations, in particular, at the local and country level. b) Building partnerships with national and international stakeholders to expand the reach of project activities and to promote greater support and replication of the human security approach. c) Having a pilot catalytic and innovative nature that could be replicated in other regions or countries through other sources of funding. d) Providing concrete and sustainable benefits to vulnerable people and communities threatened in their survival, livelihood and dignity. e) Implementing the protection and empowerment framework by comprehensively including both top-down protection and bottom-up empowerment measures. f) Promoting partnerships with civil society groups, NGOs, and other local entities and encouraging implementation by these entities. g) Advancing multi-sectoral and integrated responses that take into account the people-centred, comprehensive, context-specific and prevention-oriented aspects of the human security concept. h) Promoting inter-agency cooperation based on the comparative advantage of the applying organisations so as to advance the operational impact of human security. i) Concentrating on those areas of human insecurity that are currently neglected and avoiding duplication with existing programmes and activities. j) Including a component designated specifically for the dissemination of the human security approach. k) Paying special attention to the needs of persons with disabilities in the design and implementation of projects. These are examples of situations that can be addressed from a human security perspective. This list is indicative and not exhaustive and is updated periodically. Responding to the multi-dimensional consequences of climate-related threats and advancing disaster risk reduction responses based on the human security approach and targeted to the needs of communities and their aspiration to live through strengthened resilience and reduced vulnerability. Advancing the post-conflict transition to peace and sustainable development by addressing the root causes of conflict, enhancing people's ability to live free from fear, want and indignity and restoring trust and confidence in an inclusive peacebuilding process at the local and national level. Developing disaggregated and tailored poverty reduction plans that account for the impact of inequities, social exclusion and discrimination, and detect potential flash-points that if breached could result in sharp escalation of vulnerability and insecurity in a broad range of areas critical to human security. Addressing the economic, environmental and social components of health related insecurities through the development of integrated responses across sectors that address the systemic and behavioural changes needed for improvement in health and that 3

4 strengthen community preparedness to identify, respond to and control health related challenges. Combining institutional and community-based strategies to address and respond to the complexity of factors contributing to violence, in particular at the community level, whether urban or rural. Providing a people-centred analysis of the causes and the potential risks of migration by identifying the gaps in the protection and empowerment of vulnerable migrants and promoting solutions that address the underlying causes of migration and in turn result in comprehensive responses that focus on the actual needs and capacities of governments and peoples in order to make the migration process more people-centred, humane and rational. In addition to clearly demonstrating the relevance of the project to the key funding criteria above, applying organisations should receive the consent of the recipient Government to implement the project and should ensure that project activities are in line with national strategies and priorities so as to ensure national ownership, sustainability and replication. 2. Projects to extend awareness of the human security approach and its usage at all levels In developing projects to extend awareness of the human security approach and its usage at all levels (national, regional and international), applying organisations are requested to meet the following criteria: a) Promoting and facilitating the application of the human security approach through: i) Strengthening outreach to non-intergovernmental international fora; or ii) Enhancing cooperation with regional organisations; or iii) Improving collaboration with civil society and non-governmental actors. b) Contributing to the formulation of concrete and action-oriented initiatives to address specific human security challenges. Projects aiming to extend the global awareness of the human security approach and its usage must be planned with the direct involvement of the HSU. Such projects should enhance the capacity of partner entities to formulate and implement human security policies, programmes and responses. 3. The UNTFHS will not consider applications: a) Stand-alone projects which do not indicate concrete plans to mainstream the human security approach and do not apply the approach beyond the duration of the project. b) Requesting funds to fill a funding gap for initiatives which do not apply the human security approach. c) Requesting funds for stand-alone research and data collection. d) Requesting funds for emergency assistance that does not ensure self-sustainability at the community-level. e) Where a substantial part of the budget covers official/un staff travel and/or conference services. f) Where a substantial part of the budget covers institutional recurrent costs and/or personnel 4

5 costs. g) Requesting funds to cover costs of large-scale infrastructure projects (construction of small infrastructure may be funded if the people being targeted carry out the construction work and the expenses for construction work should not exceed 30% of the total budget.). h) For funding of large-scale micro-credit and/or grant schemes. i) For projects that are carried out by non-un organisation(s) without substantive involvement of the applying UN organisation(s). j) Submitted by individuals and non-un organisations. k) For dissemination projects that are planned without the direct involvement of the HSU. V. FOCUS OF IMPLEMENTATION a) Projects shall be distributed globally with priority given to countries and regions where insecurities of people are most critical and pervasive. b) Projects shall build partnerships to expand the reach of activities by integrating and mainstreaming the human security approach through other sources of funding that promote greater support for its replication. VI. BUDGET a) For operational projects where the resources of the UNTFHS are designed to provide seed-money for catalytic and innovative projects that mainstream and advance the operational impact of the human security approach: i) Co-funding 3 by sources outside the UNTFHS that support the implementation of the UNTFHS-funded project and the achievement of its objectives is required. ii) While there is no explicit lower budget limit for operational projects funded under the UNTFHS, the total project budget should be sufficient to meet all key funding criteria as described in Section IV of these Guidelines. iii) For these projects, the seed-money provided by the UNTFHS will not be more than approximately two million US dollars (US$2,000,000) per project and the applying organisation(s) must provide indications of co-funding as part of the concept note, and evidence of confirmed co-funding as part of the full project proposal. b) For projects that aim to extend awareness and usage of the human security approach by enhancing the capacity of entities to formulate and implement human security policies, programmes and responses, the total budget should not exceed three hundred thousand US dollars (US$300,000). c) Projects shall make the maximum use of local and regional resources and avoid using costly foreign expertise. VII. APPLICATION PROCESS, PROJECT REVISION AND REPORTING 1. Who can apply? 3 Co-funding for UNTFHS projects is defined as funds that are additional to the UNTFHS funds and that are provided by sources outside the UNTFHS that support the implementation of the UNTFHS-funded project and the achievement of its objectives. 5

6 UN organisations as specified in Section II are eligible to apply for funding under the UNTFHS. 2. Application procedures The project development process is broken down into two phases: (i) concept note and (ii) full project proposal. The accompanying Annexes (Project Advisory Notes) provide detailed information on the requirements for the preparation of concept notes and full project proposals, as well as reporting, project revisions, financial agreements and fund management modality. a) UN organisation(s) that seek support from the UNTFHS should submit a concept note to the HSU for initial assessment. b) The HSU will inform the applying organisation(s) of the outcome of its review and if positive will encourage the applying organisation(s) to formulate a full project proposal. The full project proposal should further define the details of the proposed activities and should be in line with the UN Financial Regulations and Rules. Proposals that satisfy the review process will be submitted to the Executive Office of the Secretary-General for further review and approval. c) Upon approval from the Executive Office of the Secretary-General, the Controller of the United Nations will authorize expenditures in accordance with the UN Financial Regulations and Rules. 3. Where to apply? Concept notes and project proposals should be submitted electronically to the HSU (humansecurity@un.org) with a cover letter signed by the relevant UN Resident Coordinator. 4. Project revisions If applying organisation(s) wish to make any changes to the originally approved project, they must submit their written requests to the HSU for approval as outlined in Annex Reporting and Publication a) The applying organisations(s) will report to the HSU on the implementation of project activities funded by the UNTFHS and will submit substantive and financial reports as prescribed in Annex 3. b) The applying organisation(s) will publicize the progress and results of the project by highlighting the added value of the human security approach through local and international media as well as other suitable channels. VIII. ADMINISTRATION OF THE UNTFHS 1. Donors a) Any party who agrees to the terms provided in the Guidelines for the UNTFHS is eligible to become a donor. 6

7 b) The UNTFHS is not open to earmarked contributions. However, donors may express their geographical and sectoral interests with regard to the funding of projects. 2. Administration and Resources of the UNTFHS a) Resources of the UNTFHS consist of voluntary cash contributions from donors and interest accruing there from. b) The UNTFHS is administered in accordance with the UN Financial Regulations and Rules. c) The UNTFHS is managed by the HSU at the United Nations. 3. Accountability a) The HSU will provide an annual report to all the donors who contributed to the fund in the reporting period i.e. the calendar year covered by the report on the management of the UNTFHS. The report will contain information on inter alia, the income and expenditure, contributions from donors, an overview of the approved projects and other activities conducted during the period. b) Information provided in the project annual reports may be included in the Secretary-General s report to the General Assembly concerning the UNTFHS. c) The HSU may share the information from project annual reports with other stakeholders and use its contents for analysis, lessons learned, advocacy and public information purposes. 7

8 ANNEXES - PROJECT ADVISORY NOTES Annex 1: Concept Note Requirements A concept note is an outline proposal. The objective of the concept note is twofold: a) to allow UN organisations to submit a proposal in summary form for preliminary assessment and evaluation without the need to prepare a fully-detailed proposal; and b) to allow the HSU to make a timely evaluation of submitted proposals to determine their appropriateness. Applying organisations should clearly demonstrate the relevance of the project to Objectives of the UNTFHS (Section II) and Key Funding Criteria (Section IV) outlined in the Guidelines. Furthermore, they should receive the consent of the recipient Government to implement the project and should ensure that projects are in line with national strategies and priorities so as to ensure national ownership. Concept notes should be prepared in line with the format presented in this annex and should utilise the tools provided in Human Security in Theory and Practice. 4 The body text of the concept note should not exceed ten (10) pages excluding the budget. Organisations should be aware that the acceptance of a concept note and an invitation to prepare a more detailed proposal by the HSU are not guarantees that the proposal will necessarily be accepted for funding. Concept notes should be submitted electronically to the HSU to humansecurity@un.org with a signed cover letter. Any concept note that does not meet these basic criteria will not be appraised. 4 Human Security in Theory and Practice: Application of the Human Security Approach and the United Nations Trust Fund for Human Security can be downloaded from the HSU website. 8

9 Concept Note Format Date of submission Benefiting country and location Title of the project Duration of project Lead UN organisation Implementing UN organisation(s) Non-UN implementing partners Total project budget including indirect support costs in US$ Amount requested from the UNTFHS in US$ Amount to be sourced from other donors in US$ (please list each donor and the amount to be contributed) dd/mm/yyyy (the date should be updated whenever the proposal is revised and resubmitted) From dd/mm/yy to dd/mm/yy (xx months) Give name, title and address of the focal person in the lead UN organisation. Give name, title and address of the focal persons in each UN implementing organisation. 1. Introduction (a) Situation analysis Provide background information on the target country/region, description and analysis of the human security challenges and opportunities and their inter-linkages as well as the magnitude of the situation in the targeted region, and where applicable, the multi-sectoral nature of the human security challenges and the need for activities to be implemented in an integrated manner by more than one UN organisation. (b) Past and current interventions Explain what has been done in the past to address the human security challenges in the targeted region, and provide an assessment of ongoing complimentary initiatives and how they relate to the proposed project. Refer to relevant priorities of national and authorities and the UN Country Team and/or Mission. 2. Rationale for Funding from the UNTFHS (a) Relevance to the UNTFHS Guidelines Explain the project s relevance to the Guidelines of the UNTFHS. Describe how the project applies the human security approach, especially in light of the Key Funding Criteria (IV) and the guidance provided in Human Security in Theory and Practice. Please refrain from general 9

10 justifications. (b) Action plan for integration and mainstreaming of the human security approach Provide an action plan to advance the integration and mainstreaming of the human security approach across the work of the UN at the local and country level. (c) Pilot catalytic and innovative nature of the project Explain how the project adopts a pilot catalytic and innovative nature and how the project will be replicated in other regions through other sources of funding. 3. Project Details (a) Results framework Describe (i) the human security goal(s), which is a long-term effect on an identifiable population group produced by an intervention; (ii) the objectives of the project, which are short or medium-term effects of the project that contribute to the human security goal(s); (iii) the expected outputs, which are products and services needed to achieve an objective and which result from the completion of project activities; and (iv) the activities that the proposed project is expected to implement to obtain the stated outputs. (b) Beneficiaries Describe the direct and indirect beneficiaries of the proposed project, their location and their approximate numbers. (c) Project development Describe how the proposed project was developed and who was consulted during preparation. (d) Partnership strategy Briefly describe partnership strategies that will be implemented to achieve the human security goal(s). 4. Dissemination, Public Information and Communications The project must include a component designated specifically for the dissemination of the concept of human security. Describe the strategy and action plan for disseminating and communicating the concept of human security and its approach. For example, agencies could produce videos, photo galleries, brochures, pamphlets, and publications for the project. Sharing of lessons learned through site visits to the project by interested parties may also be considered. The budget for promotion activities should be limited to a maximum of 4% of the project budget (excluding the programme support costs). 10

11 5. Monitoring and Evaluation Plan Briefly describe the monitoring and evaluation plan. The inclusion of a Human Security Impact Assessment (HSIA) in overall monitoring and evaluation plans is not required but highly encouraged. Please refer to Human Security in Theory and Practice for suggestions on incorporating HSIA. Note: Implementing organisations are encouraged to consider an independent external mid-term evaluation for projects of two or more years in duration. The mid-term review should take place within 12 to 18 months of the start of the implementation, and the findings should be communicated to the HSU. The results should be used to determine whether the targets outlined in the proposal are achievable within the allotted timeframe. The review can also serve as an opportunity for reflection, allowing the project partners to make course corrections and refine indicators, targets and implementation timeframes, as needed. Implementing organisations are required to implement a final evaluation gathering inputs of all key project stakeholders, preferably independent and external. The required budget for each evaluation should be included in the budget tables. 6. Budget All concept notes must include Tables 1 and 2, below, and multi-agency projects must also include Table 3. The budget estimate (Table 1) should reflect the activities described in the project narrative, and include sufficient detail to provide a transparent overview of how the UNTFHS funds will be spent. The budget estimate (Table 1) should indicate the annual cost (year 1, year 2 etc ) in relation to the proposed objectives, outputs and activities. Budget lines should be itemised wherever possible, including quantity and unit prices of items to be procured. Budgets should not include government staff salaries and recurrent costs for regular UN agency operations (i.e. maintenance costs). The implementing organisations budgets should include indirect support costs at the rate up to 7%. 5 UN Secretariat implementing departments should not add indirect support costs to their budgets, as the UN separately charges 7% indirect support costs against their programme budget. For joint projects, only the parallel fund management option can be used. Operational details on the parallel fund management option are provided in Annex 7. Contingencies or unforeseen costs arising during project implementation will be considered on a case by case basis and therefore must not be included in the budget. 5 If however, the relevant legislative body of the organisation has approved a higher rate, that is, up to a maximum of 10%, this rate will be accepted only upon submission of the legislative body s written decision. 11

12 Table 1: Detailed budget by results Detailed description Objective 1 Output 1.1 Activity Activity Output 1.2 Activity Activity Objective 1 Subtotal Objective 2 Output 2.1 Activity Activity Output 2.2 Activity Activity Objective 2 Subtotal Project coordination costs Total project cost Indirect support costs (x% of the total project cost) TOTAL PROJECT BUDGET (project cost + indirect support costs) Budget (US$) Year 1 Year 2 Year 3 Total Object class Implementing organisations Funding source Guidance for Table 1 a) There is no limit to the number of objectives, outputs, and activities that a project can have. b) All budget lines must not be rounded off to the nearest dollar. The exact amount, i.e. including two decimals must be reflected. c) Each activity budget line must include a detailed breakdown of resources required for implementation as described in the concept note narrative. d) Objectives, outputs, and activities listed in the budget table should correspond directly to those listed in the Project Details section. e) For each activity, please indicate the object class that it is linked to. f) Project coordination costs should include: (i) a breakdown of all UN staff salaries to be covered by the project (costs for consultants should be listed under the specific activity on 12

13 which they will work); (ii) a line for dissemination, public affairs and communications costs for operational projects; (iii) a line for monitoring and evaluation costs; (iv) any project acquisitions, operating expenses, or travel not listed under the activities above; and (v) any other additional costs not listed under the project activities. 13

14 Table 2: Budget summary by reporting object class Object class Staff and other personnel costs Travel on official business Contractual services General operating and other direct costs Equipment, vehicles and furniture (including depreciation) Supplies, commodities, materials Transfers and grants to counterparts Indirect support costs (x% of the project cost) Total project budget Budget (US$) Year 1 Year 2 Year 3 Org A Org B Org C Org A Org B Org C Org A Org B Org C Total Table 3: Budget summary by organisation Implementing organisation Organisation 1 Organisation 2 Project Cost (A) Indirect support costs (X 6 %*A) Project Cost (B) Indirect support costs (Y%*B) Budget (US$) Year 1 Year 2 Year 3 Total 6 X% relates to the indirect support costs rate for Organisation 1, Y% to the indirect support costs rate of Organisation 2 etc 14

15 Organisation 3 Total project cost (A+B+C) Project Cost (C) Indirect support costs (Z%*C) Estimated indirect support costs (X%*A)+(Y%*B)+(Z%*C) Total estimated project budget (project cost + indirect support costs) 15

16 Annex 2: Full Proposal Requirements Full proposals should be developed in line with the following format. Proposals must be no more than 20 pages excluding the contents page, list of acronyms, budget, project location map and any other annexes if required (these additional papers must not be more than a further 20 pages in total). Full proposals should be submitted electronically to the HSU to humansecurity@un.org or to the HSU programme focal point(s) with a signed cover letter. Organisations that submit proposals for funding consideration will be informed of the UN Secretariat decision by the HSU, including the terms and conditions for the approved funds. Any proposal that does not meet these basic criteria will not be appraised. 16

17 Full Proposal Format Section I: Basic data/summary Date of submission Benefiting country and location(s) Title of the project Duration of project Lead UN organisation Implementing UN organisation(s) Non-UN implementing partners Total project budget including indirect support costs in US$ Amount requested from the UNTFHS in US$ Amount to be sourced from other donors in US$ (please list each donor and the amount to be contributed) dd/mm/yyyy (the date should be updated whenever the proposal is revised and resubmitted) From dd/mm/yy to dd/mm/yy (xx months) Give name, title and address of the focal person in the lead UN organisation. Give name, title and address of the focal persons in each UN implementing organisation. Executive summary: A brief statement of project objectives, expected results and main activities; the main intended beneficiaries and so on. The summary should preview the main purpose of the proposal and should not be more than half a page. Section II: Human security context (a) Situation analysis Provide background information on the target country/region, description and analysis of the human security challenges and opportunities and their inter-linkages as well as the magnitude of the situation in the targeted region, and where applicable, the multi-sectoral nature of the human security challenges and the need for activities to be implemented in an integrated manner by more than one UN organisation. (b) Past and current interventions Explain what has been done in the past to address the human security challenges in the targeted region, provide an assessment of ongoing complimentary initiatives and how they relate to the proposed project, and explain why the human security approach and the proposed project is necessary. 17

18 (c) National and local government commitments Explain the project s relationship to national and local government strategies and priorities and the degree of commitments from national and local governments. (d) Pilot catalytic and innovative nature of the project Explain how the project adopts a pilot catalytic and innovative nature and how the project will be replicated in other regions or through other sources of funding. Section III: Rationale for funding from the UNTFHS (a) Application of the human security approach Explain how the project applies the human security approach, especially in light of the relevance to the Guidelines of the UNTFHS, especially in light of the Key Funding Criteria (IV) and the guidance provided in Human Security in Theory and Practice. Please refrain from general justifications. (b) Added value of the human security approach Explain how application of the human security approach will add value to address human security challenges described in Section II. You may refer to pages 9-11 of the Human Security in Theory and Practice. (c) Action plan for integration and mainstreaming of the human security approach Provide a detailed action plan with target dates to advance the integration and mainstreaming of the human security approach across the work of the UN at the local and country level. (d) Pilot catalytic and innovative nature of the project Explain how the project adopts a pilot catalytic and innovative nature and how the project will be replicated in other regions through other sources of funding. Section IV: Project development (a) Project identification Explain how the project was identified and formulated. (b) Consultation with stakeholders Explain in what ways the (i) national and local governments; (ii) beneficiaries and local communities; (iii) other UN organisations and international actors in the country; and (iv) any other stakeholders is applicable; were consulted in the process of project development. 18

19 Section V. Project details (a) Results framework Describe (i) the human security goal(s), which is a long-term effect on an identifiable population group produced by an intervention; (ii) the objectives of the project, which are short or medium-term effects of the project that contribute to the human security goal(s); (iii) the expected outputs, which are products and services needed to achieve an objective and which result from the completion of project activities; and (iv) the activities that the proposed project is expected to implement to obtain the stated outputs. (b) Beneficiaries Describe the direct and indirect beneficiaries of the proposed project, disaggregated by gender, in terms of their (i) location; (ii) numbers; and (iii) if applicable, communities/ethnicities. Describe the criteria used to select the beneficiaries, particularly with respect to achieving a balance between genders and different community/ethnic groups. Section VI: Partnership strategy (a) Participation of beneficiaries and governments Explain how beneficiaries and local communities, as well as national and local governments will be involved in the implementation, monitoring and evaluation of the proposed project and what results are expected. (b) Partnership with other organisations Explain how the proposed project will interact and engage with other international/national organisations including NGOs and donors. Section VII: Risk management and sustainability (a) Risk management Describe the main risks and potential negative externalities 7 that could affect the proposed project s success, their impact and probability and proposed mitigation measures using the template below. Description of risks and negative externalities Impact Probability Proposed mitigation measures Responsible organisation(s) Note: Impact and probability should be indicated in high, medium or low. 7 Please refer to page 17 of the Human Security in Theory and Practice for guidance on negative externalities. 19

20 (b) Sustainability Describe (i) provisions made to ensure that the project is sustainable; (ii) underlying assumptions of the sustainability strategy; and (iii) expected roles of national and local governments and other organisations in ensuring the sustainability after the conclusion of the funding period. Section VIII: Dissemination, public information and communications Describe strategy and action plan for disseminating and communicating the concept of human security and its approach, explaining how the message (vision, lessons learned and achievements) of the proposed project will be disseminated to beneficiaries, national and local governments, donors and other stakeholders. Also explain how the proposed project help raise the profile of the UN organisations in promoting the concept of human security. The budget for promotion activities should be limited to a maximum of 4% of the project budget (excluding the programme support costs). Section VIII: Monitoring and evaluation (a) Monitoring Describe the monitoring framework using the template below, which should cover all activities under the proposed project, i.e. those funded by the UNTFHS and other funding sources. Objectively Results verifiable indicators Human Security Goal Baseline Target Means of verification Responsible organisation/staff Frequency Objectives Outputs (b) Evaluation Describe the evaluation plan using the template below: 20

21 Evaluation title Type Time Budget in US$ Mid-term evaluation Internal or external Xth month Final evaluation External Xth month Section IX: Management structure Describe the management structure of the project and associated functions or terms of reference. Establishment of a Project Steering Committee, comprised of representatives from relevant national and/or local government offices, implementing UN organisations and non-un implementing partners, is strongly encouraged. Section X: Budget All proposals must include Tables 1 and 2, below, and multi-agency projects must also include Table 3. The budget estimate (Table 1) should reflect the activities described in the project narrative, and include sufficient detail to provide a transparent overview of how the UNTFHS funds will be spent. The budget estimate (Table 1) should indicate the annual cost (year 1, year 2 etc ) in relation to the proposed objectives, outputs and activities. Budget lines should be itemised wherever possible, including quantity and unit prices of items to be procured. Budgets should not include government staff salaries and recurrent costs for regular UN agency operations (i.e. maintenance costs). The implementing organisations budgets should include indirect support costs at the rate up to 7%. If however, the relevant legislative body of the organisation has approved a higher rate, that is, up to a maximum of 10%, this rate will be accepted ONLY upon submission of the legislative body s written decision. UN Secretariat implementing departments should not add indirect support costs to their budgets, as the UN separately charges 7% indirect support costs against their programme budget. For joint projects, only the parallel fund management option can be used. Operational details on the parallel fund management option are provided in Annex 7. Contingencies or unforeseen costs arising during project implementation will be considered on a case by case basis and therefore must not be included in the budget. 21

22 Budget templates Table 1: Detailed budget by results Detailed description Objective 1 Output 1.1 Activity Activity Output 1.2 Activity Activity Objective 1 Subtotal Objective 2 Output 2.1 Activity Activity Output 2.2 Activity Activity Objective 2 Subtotal Project coordination costs Total project cost Indirect support costs (x% of the total project cost) TOTAL PROJECT BUDGET (project cost + indirect support costs) Budget (US$) Year 1 Year 2 Year 3 Total Object class Implementing organisations Funding source Guidance for Table 1 a) There is no limit to the number of objectives, outputs, and activities that a project can have. b) All budget lines must not be rounded off to the nearest dollar. The exact amount i.e. including two decimals must be reflected. c) Each activity budget line must include a detailed breakdown of resources required for implementation as described in the concept note narrative. d) Objectives, outputs, and activities listed in the budget table should correspond directly to those listed in the Project Details section. e) For each activity, please indicate the object class that it is linked to. f) Project coordination costs should include: (i) a breakdown of all UN staff salaries to be covered by the project (costs for consultants should be listed under the specific activity on which they will work); (ii) a line for dissemination, public affairs and communications costs 22

23 for operational projects; (iii) a line for monitoring and evaluation costs; (iv) any project acquisitions, operating expenses, or travel not listed under the activities above; and (v) any other additional costs not listed under the project activities. Table 2: Budget summary by reporting object class Object class Staff and other personnel costs Travel on official business Contractual services General operating and other direct costs Equipment, vehicles and furniture (including depreciation) Supplies, commodities, materials Transfers and grants to counterparts Indirect support costs (x% of the project cost) Total project budget Budget estimate amount (US$) Year 1 Year 2 Year 3 Org A Org B Org C Org A Org B Org C Org A Org B Org C Total Table 3: Budget summary by organisation Implementing organisation Organisation 1 Project Cost (A) Indirect support costs (X 8 %*A) Budget (US$) Year 1 Year 2 Year 3 Total 8 X% relates to the indirect support costs rate for Organisation 1, Y% to the indirect support costs rate of 23

24 Organisation 2 Organisation 3 Total project cost (A+B+C) Project Cost (B) Indirect support costs (Y%*B) Project Cost (C) Indirect support costs (Z%*C) Estimated indirect support costs (X%*A)+(Y%*B)+(Z%*C) Total estimated project budget (project cost + indirect support costs) Organisation 2 etc 24

25 Section XI: Work plan Describe the project work plan using the template below, which should cover all activities under the proposed project, i.e. those funded by the UNTFHS and other funding sources (Note: Fill out the timeline in line with the work plan). Objective 1: Output 1.1: Activity 1.1.1: Activity 1.1.2: Output 1.2: Activity 1.2.1: Activity 1.2.2: Objective 2: Output 2.1: Activity 2.1.1: Activity 2.1.2: Output 2.2: Activity 2.2.1: Activity 2.2.2: Activities Implementing organisation Output 1.1 Subtotal Output 2.1 Subtotal Objective 1 Subtotal Output 2.1 Subtotal Output 2.2 Subtotal Objective 2 Subtotal Indirect Support Costs Total Project Budget Amount (US$) Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 25

26 Annex 3: Reporting Requirements All implementing organisations are required to submit full and complete reports (annually and a final report) on the manner in which funds are spent and the progress made in accomplishing the results of the project. The report should provide an analysis on the overall strategic impact of the project in advancing the human security concept. The narrative report should cover all activities implemented in the project, including those funded by the UNTFHS and those funded by other donors. The HSU may share the information from reports with donors and other stakeholders and use its contents for analyses, advocacy and public information purposes. Information provided in the reports may also be included in the Secretary-General s report to the General Assembly concerning the UNTFHS. On-going projects The lead agency for multi-agency projects should submit one consolidated narrative annual progress report in line with the requirements below (progress report format). This report should include inputs from all the organisations involved. Each implementing organisation shall furnish certified financial reports, as appropriate for the period. For allotment-funded projects, the UN Secretariat offices and departments may meet the requirements for financial utilisation reports by submitting a completed financial utilisation report for allotment projects with expenditure breakdown by IMIS object class, supported by a copy of the relevant IMIS status of allotments report. Copies of all evaluation reports should be submitted to the HSU. Annual narrative progress reports for the final year of the projects are not required as long as the final reports describe clearly and adequately the activities and achievements of the final year of the project. The extent to which all the points mentioned can be addressed depends on the nature of the project. All submissions should be submitted to the HSU and should be sent electronically to humansecurity@un.org or to the HSU programme focal point(s) with a signed cover letter. 26

27 Progress report format: The following information should be included in the report: Section 1: Basic data/summary Date of submission Benefiting country and location Title of the project Duration of project Lead UN organisation Implementing UN organisation(s) Non-UN implementing partners Total project budget including indirect support costs in US$ Amount requested from the UNTFHS in US$ Amount to be sourced from other donors in US$ (please list each donor and the amount to be contributed) Reporting period Type of report dd/mm/yyyy (the date should be updated whenever the report is revised and resubmitted) From dd/mm/yy to dd/mm/yy (xx months) Give name, title and address of the focal person in the lead UN organisation. Give name, title and address of the focal persons in each UN implementing organisation. Specify first, second or third progress report or final report Executive summary: A short narrative focusing on three main questions: (i) How far have the expected outputs been achieved? (ii) What is the impact of the project so far? and (iii) What progress has been made towards mainstreaming human security approach in the work of the UN Country Team? The executive summary should not be more than half a page. List of acronyms Section II: Results (a) Progress on project activities Report the progress on project activities using the template below. Please also report on those activities that could not be implemented during the reporting period as planned. Planned activities for this reporting period Activity 1.1.1: Activity 1.1.2: Progress Reason for variation from original plans (if any) 27

28 (b) Results monitoring Report on the project results using the template below, which should cover all activities under the proposed project, i.e. those funded by the UNTFHS and other funding sources. Results Human Security Goal: Objective 1: Output 1.1: Output 1.2: Objective 2: Output 2.1: Output 2.2: Objectively verifiable indicators Baseline Target Means of verification Progress as of the reporting date (c) Progress on advancement of the integration and mainstreaming of the human security approach Report the progress against the action plan presented in Section III of the full proposal. (d) Progress on facilitating the replication of the project approach Report on the actions taken to facilitate the replication of the project approach by other sources of funding by other sources of funding in other areas in the country, and the results of such actions. Section III. Challenges faced and lessons learned (a) Challenges faced during the reporting period and mitigation measures Describe challenges faced and mitigation measures using the template below Challenges faced Mitigation measures (b) Lessons learned during the reporting period Describe lessons learned and recommendations using the template below Lessons learned Recommendations 28

29 Note: When identifying lessons learned, consider issue such as: - Good practice/innovative approach in project management - Impact of application of the human security concept - Impact of key partnerships and inter-agency collaboration - Impact of the project on women, girls, men and boys, respectively (provide data disaggregated by gender and age) - Notable cross-cutting issues (c) Findings from evaluation (if any) Summarize the findings from evaluation, if evaluation was conducted during the reporting period. Attach the TOR and final report of evaluation if applicable. Section IV: Financial status In addition to the official financial statements to be submitted by each UN implementing organisation, which should be certified by authorized financial officers in accordance with the respective agencies financial rules and regulations, fill out the template below as part of the project report. Financial statements should report on the contribution by the UNTFHS only. 29

30 Table 1: Financial status Implementing Organisation Organisation A Organisation B Approved budget for year 1 (I) Funds received in year 1 (II) Approved budget for year 2 (III) Funds received in year 2 (IV) Approved budget for year 3 (V) Funds received in year 3 (VI) Total funds received to date (VII = II+IV+VI) Expenditure to date (VIII) Variance between funds received & expenditure (IX = VII-VIII) Delivery rate as a per cent (X = VIII/VII) Organisation C Total 30

31 Section VI: Promotional activities Describe the progress made in raising the profile of the project, and of issues it seeks to address. Indicate whether the project or elements thereof, are worthy in terms of telling a human security story. In an effort to further promote human security, organisations are requested to submit high-resolution, non-copyrighted photographs to the HSU from the project sites and the local communities. Photographs will be featured on the HSU website and will be included in other promotional materials considered by the HSU. Furthermore, for those projects where funding was provided for promotion of project activities, organisations are requested to submit a sample of the materials produced by the project. Electronic submissions should be sent to humansecurity@un.org or to the HSU programme focal point(s). Completed projects Following the completion of projects, implementing organisations are responsible for submitting final narrative reports. Final narrative reports should use the same format as the progress report. In addition to the usual progress report format, the final narrative reports should also provide details on the relevance, effectiveness, efficiency, impact, sustainability and overall performance of the project using the completed final assessment form in Annex 3A below. Final narrative reports should be submitted within six months after the contribution has been fully expended, or the project has been completed, whichever is first to occur. The lead organisation for multi-organisation projects should submit one consolidated final narrative report. This report should include inputs from all the organisations involved. Each implementing organisation shall submit the final certified financial reports within six months after the completion of the project. For allotment-funded projects, the UN Secretariat offices and departments may meet the requirements for financial utilisation reports by submitting a completed financial utilisation report for allotment projects with expenditure breakdown by IMIS object class, supported by a copy of the relevant IMIS status of allotments report. 31

32 Annex 3A: Final Assessment Form PART 1: Basic project information Project title Project number Country and region Lead UN organisation Implementing UN organisations(s) Non-UN implementing partners Project start date Project completion date Originally planned Actual Extension(s) approved on Total project budget including indirect support costs in US$ Amount requested from the UNTFHS in US$ Amount to be sourced from (each of) other donors in US$ Project goal Project objectives PART II: Numerical rating Rate the relevance and performance of the project, using the following scale: 1 Excellent 2 Good 3 Satisfactory 4 Unsatisfactory 5 Not applicable 6 Insufficient information Rating Criteria RELEVANCE: 1. Has the project proven to be as relevant as originally envisaged? Comments: Rating EFFECTIVENESS: 2. Were the project s main objectives achieved in keeping with the original activities, outputs and performance indicators? 32

33 Rating Criteria Comments: Rating 3. How would you assess the effectiveness of the management and administrative arrangements employed to implement the project? Comments: 4. How effectively did the project partners collaborate? (Elaborate what, if any, were the major challenges) Comments: EFFICIENCY 5. Were the anticipated outputs generated on time and within the budget, as specified in the work plan and implementation schedule? (if certain outputs were not achieved, elaborate briefly the reasons) Comments: IMPACT 6. How would you rate the overall performance and impact of the project? Comments: 7. If appropriate, were the communications and public/media outreach components of the project effectively implemented? To what extent were the project s achievements disseminated to benefit wider audiences (even beyond the project s direct beneficiaries)? Comments: SUSTAINABILITY 8. What is the prospect that the project s activities and achievements will be sustained following UNTFHS support? (Elaborate on major factors and potential follow-up needs that are likely to influence whether the project s activities will be sustained) Comments: OVERALL PERFORMANCE ASSESSMENT 9. How would you rate the overall performance of the project, considering the Relevance, Effectiveness, Efficiency, Impact and Sustainability of the project? Comments: 33