CHF Sudan 2015 Standard Allocation. Project Proposal and Budget Guidelines: SUBMISSION OF CONCEPT NOTES

Transcription

1 CHF Sudan 2015 Standard Allocation Project Proposal and Budget Guidelines: SUBMISSION OF CONCEPT NOTES

2 Content 1. Eligibility criteria and allocation process 2. Creation of project Concept Note 3. Project identification process (strategic review) 4. Selection of projects (preliminary approval)

3 Eligibility Criteria To apply for CHF funding NGO partners must: - Be nominated by the Sector Lead; - Have an approved project in the SRP 2015; - Meet the programme performance criteria of the Sector; - Satisfactory performance in Programme Monitoring; - Pass the UNDP Capacity Assessment; - Have fulfilled all UNDP and OCHA reporting requirements; - Not have any outstanding qualified audits; - Have submitted a Fraud Policy to UNDP; (prior to the finalization of the Project Partnership Agreement)

4 Standard Allocation Process Step 1. Submission of Projects Concept Notes Step 2. Strategic Reviews of Concept Notes Step 3. Selection of Projects (Preliminary Approval) Step 4. Submission of Full Project Proposal Step 8. Project Closure Step 7. Implementation & Monitoring Step 6. HC Final Approval and Disbursement Step 5. Technical Review

5 Submission of Project Concept Notes The registered member of the implementing partner creates a new project proposal in the CHF Grant Management System (GMS). Once the new project proposal has been initiated, the implementing partner defines the Project Concept Note. The Project Concept Note should address the priorities defined by their respective sectors as outlined in the Allocation Strategy Paper. It comprises of the following sections: Cover Page Logical Framework Budget Locations Step 1. Submission of Projects Concept Notes Step 2. Strategic Revies of Concept Notes Step 3. Selection of Projects (Preliminary Approval) Step 4. Submission of Full Project Proposal Step 8. Project Closure Step 7. Implementation & Monitoring Step 6. HC Final Approval and Disbursemement Step 5. Technical Review

6 Creation of Concept Notes

7 Creation of Concept Notes

8 Cover Page Project summary; Link with allocation strategy; Direct beneficiaries; Beneficiary type; Gender marker; Sub-Grants to Implementing Partners; Other contributions/matching funds (if any); Humanitarian context analysis; Grant request justification.

9 Cover Page Project Overview

10 Cover Page Project Beneficiaries

11 Cover Page Other Information

12 Cover Page Background

13 Logical Framework Overall project objective; Cluster objectives; SRP objectives; Sector Specific Objectives; Percentage of activities; Outcome; Output; Activities; Indicators;

14 Logical Framework Project Objectives

15 Logical Framework

16 Budget General principles Manually entered on GMS Submitted in US$ In line with the project proposal background and the logical framework For each budget line provide Unit Quantity, Unit Cost and Duration % of full cost of the project charged to CHF on a line by line basis Include sufficient details in the note field Add extra lines by selecting this option: Always Save and Stay option: Can be exported in Excel:

17 Budget Classification 1. Staff and Other Personnel Costs 2. Supplies, Commodities, Materials (Project Inputs) 3. Equipment 4. Contractual Services (DO NOT USE) 5. Travel 6. Transfers and Grants to Counterparts 7. General Operating and Other Direct Costs 8. PSC Cost 9. Audit Cost

18 1. Staff and Other Personnel Costs Direct Staff Salaries, social security contributions and other related benefits for staff working directly on the project. e.g. programme personnel like health officers, teachers, etc. Support Staff Salaries, social security contributions and other related benefits for staff engaged in management, support and administrative activities. e.g. country representative, administrative and finance personnel, human resources, logistic managers, etc.

19 2. Supplies, Commodities, Materials Purchase of goods and services (inputs) should be categorised by standard activities as appearing in the implementing partner s project logical framework: Procurement of consumable supplies for project implementation (e.g. drugs, food, NFIs, tents, seeds, tools, etc.) Costs associated with the delivery, storage and distribution of consumable supplies procured by the project, such as transportation, freight, customs, etc. Construction works: only the labor costs and known essential materials shall be budgeted and itemized, providing unit /quantity and unit cost Training costs associated with the direct implementation of the project (e.g. Technical training for direct personnel like training of community nutrition workers on Infant and Young Child Feeding practices) Communications materials for training and awareness raising, such as posters, pamphlets, etc., as well as the reproduction of these items.

20 3. Equipment Procurement of non-consumables for the benefit of project recipients and directly related to the project implementation (e.g. IT equipment for registration, medical equipment, etc.) Low value items should be included in budget section 2 CHF generally does not fund the purchase of vehicles. If included, a strong justification is required

21 4. Contractual Services DO NOT USE All costs for good and services should be inserted in budget section 2, irrespectively of who is providing the service (implementing partner or third supplier).

22 5. Travel Travel costs of staff, consultants and other project personnel, such as daily subsistence allowance, local flights, hazard pay and other travel entitlements, fuel and vehicle/boat rental costs for staff Details of the position who will be travelling should be indicated Staff travelling must be posts included in the budget under section1.

23 6. Transfers and Grants to Counterparts Entities receiving sub-grants could be NGOs, government or other non-commercial entities For each transfer and/or sub-grant provide the estimated cost breakdown of partnership agreements by: Staffing Direct project activities are purchase of goods and services categorised by standard activities as appearing in the agency s project logical framework Programme support costs (PSC) refer to the general operating and office running costs (max 7%)

24 7. General Operating and Other Direct Costs General operating costs, including office running costs, office stationary/supplies, and utilities such as telecommunications, internet, and office rental for the implementation of this project. For these costs provide information of office location. Other direct costs that cannot be mapped to the expense categories above, such as such as technical supervisory support, monitoring and evaluation, reporting, and others. General Operating Costs originating from Khartoum country offices, or from other locations other than the one where the project implementation takes place, are allowable under the conditions for inclusion of shared costs (section 3 page 12 of this document).

25 8. Programme Support Costs (PSC) PSC are indirect costs incurred by the implementing partner regardless of the scope and level of its activities and which cannot be traced unequivocally to specific activities, projects or programmes. i.e. headquarters and statutory bodies, legal services, general procurement and recruitment etc. PSC is charged as a maximum 7 per cent of the approved direct project expenditures (categories 1 to 7) incurred by the implementing partner.

26 9. Audit Cost All NGOs must allocate 1 per cent of the direct project expenditures to be retained by UNDP/FU to undertake independent project audits

27 Shared Costs The implementing partner may share certain country office costs to different uses and projects, for example staff, office rent, utilities, etc. All shared cost must be directly linked to the project implementation and allocated to the CHF project in direct proportion to the benefit or time input the project derives from that shared costs. For staff-related costs, if a position is cost-shared, the percentage of the monthly cost corresponding to the time that the person will dedicate to the project shall be budgeted. Non-staff shared costs should be shared on the basis of an equitable cost allocation system.

28 Ineligible Expenditures Debts and provisions for possible future losses or debts. Interest owed by the implementing partner to any third party. Items already financed from other sources. Incentives in the form of hardware to government entities. International travel unless directly linked to the delivery of the project objectives. In any case international travel will have to be approved on a caseby-case basis when requested to support project activities. Purchases of land or buildings. Currency exchange losses. Costs related to establishing reserves such as severance reserves or cessation benefits accrued by the implementing partner, contractors or staff. Government staff salaries except with those cases where the government staff has been fully seconded to a CHF funded project. Hospitality expenses, provision of food/refreshments for project staff (potable water is allowed). Incentives, mark-ups, gifts to staff. Fines and penalties. Duties, charges, taxes (including VAT) recoverable by the implementing partner. Global evaluation of programmes.

29 Locations

30 Strategic Review of Concept Notes 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 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 PRGs review and score the proposals according to four set of 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. Step 1. Submission of Projects Concept Notes Step 2. Strategic Reviews of Concept Notes Step 3. Selection of Projects (Preliminary Approval) Step 4. Submission of Full Project Proposal Step 8. Project Closure Step 7. Implementation & Monitoring Step 6. HC Final Approval and Disbursement Step 5. Technical Review

31 Strategic Review of Concept Notes The PRG scores the proposals against Strategic and Programmatic Relevance, and Sector Specific Criteria; The selection of Project Concept Notes is made on the basis of eligibility (A) and selection (B,C,D) criteria:

32 Required Criteria: A.1. Is the partner eligible for CHF funding from the 2015 First Allocations? A.2. Is the project either top or high priority in the SRP? (Yes/No)

33 Strategic and Programmatic Relevance B.1. Is the Concept Note in line with the SRP Objectives? B.2. Is the Concept Note in line with the Sector Specific Objectives? B.3. HNO sector geographical score (0 to 5) B.4. Are the beneficiaries defined and targeted (reaching the most vulnerable)? B.5. Are the needs well explained and documented? B.6. Does the Concept Note demonstrate consultation with beneficiaries in the identification of needs and development of project outputs (delivery)? B.7. Is there a link between needs and activities planned in the Logical Framework? B.8. Does the Concept Note show clear linkage between objectives, outputs and activities? B.9. The targets listed in the Logical Framework are realistic. B.10. Gender issues have been sufficiently mainstreamed within the Concept Note. 70%

34 Cost Effectiveness C.1. Proportion of direct costs versus support costs; C.2. Proportion staff costs over total budget is approximate to sector average; C.3. Proportion of general operating costs over total budget is approximate to sector average; C.4. Cost per beneficiary is approximate to the sector average; 10%

35 Sector Specific Criteria D.1. Does the implementing partner have previous experience in the geographic area and in the work of the sector/sub sector? D.2. Does the partner participate actively in Khartoum and/or State Level coordination mechanisms; D.3. Compliance with sector defined criteria. 20%

36 Selection of Projects (Preliminary Approval) Based on the outcome of the PRGs, sector leads report on the PRGs and put forward a list of selected projects for review by the CHF Technical Unit. The CHF Technical Unit does quality control of the PRG process with aim to examining whether the process was fair, free and transparent and to examine whether or not the proposed Concept Notes are in line with the Sector Strategy. The CHF Technical Unit reports on the outcomes to the HC; Once the HC approves the list of pre-approved concept notes, partners will be invited to develop full project proposal for technical review. Step 1. Submission of Projects Concept Notes Step 2. Strategic Reviews of Concept Notes Step 3. Selection of Projects (Preliminary Approval) Step 4. Submission of Full Project Proposal Step 8. Project Closure Step 7. Implementation & Monitoring Step 6. HC Final Approval and Disbursement Step 5. Technical Review

37 Cross Cutting Issues Accountability to Affected Population

38 Accountability to Affected Populations AAP is about humanitarian agencies enhancing the effectiveness of their work by systematically engaging aid recipients in the decisions that affect their lives. It means giving people affected by humanitarian crises a voice and hand in the design and implementation of programmes intended to benefit them. Taking account of others ideas Accounting for our actions All segments: women, girls, boys, men of all ages, disabled etc.

39 How and When? Consult beneficiaries during assessment, design, implementation, monitoring, and evaluation of programmes Establishing transparent, two-way channels of communication for information sharing; Facilitate participatory processes for decision-making and mutual learning. Actively gather and respond to feedback and complaints ALNAP OCHA and AAP 39

40 AAP in the 2015 Standard Allocation Concept Notes B. Strategic and Programmatic Relevance B.6. Does the Concept Note demonstrate consultation with beneficiaries in the identification of needs and development of project outputs (delivery)? (Fully:5; Partially:2.5; No:0) CHF AAP Resources AAP Framework AAP Guidance Sheet (also available in Arabic) 40

41 Next Steps Step 1. Submission of Projects Concept Notes Step 2. Strategic Reviews of Concept Notes Step 3. Selection of Projects (Preliminary Approval) Step 4. Submission of Full Project Proposal Step 8. Project Closure Step 7. Implementation & Monitoring Step 6. HC Final Approval and Disbursement Step 5. Technical Review

42 Help in GMS:? FTS & GMS focal point: Adil Saad

43 Contacts 43

44 CHF Sector Focal Points 44

45 Thank you!