UNITED NATIONS CENTRAL EMERGENCY
RESPONSE FUND (CERF) GRANTS
Basic Facts and Information
Health Action in Crises Cluster (HAC)
WHO Geneva
April 2010
CERF focal points at HQ:
Cristina del Pueyo
Tel. (41 22) 791 4135
E-mail:delpueyoc@who.int
Nicole Adler
Tel. (41 22) 791 1344
e-mail adlern@who.int
2
UNITED NATIONS
CENTRAL EMERGENCY RESPONSE FUND (CERF) GRANTS
TABLE OF CONTENTS
LIST OF ACRONYMS …………………………………………………………………………………………………………………………………3
QUICK REFERENCE GUIDE …………………………………………………………………………………………………..............….4
1.
INTRODUCTION
1.1
1.2
1.3
1.4
1.5
1.6
1.7
2.
APPLICATION PROCESS
2.1
3.
3.3
3.4
3.5
3.6
3.7
3.8
3.9
Prepare the grant application….………….……………………………………………………………………………….11
Prepare the budget..…….………………………………………………………………………………………………………12
3.2.1 Overview..………………………………………………………………………………………………………………12
3.2.2 Supplies and equipment…………………………………………………………………………………………13
3.2.3 Funds earmarked for NGOs……………………………………………..……………………………………13
3.2.4 Project management, monitoring and reporting costs (PMR)….…..……………………13
3.2.5 Programme support costs (PSC)……………………………………………………….……………………14
Obtain internal clearances....…………..………………………………………………………………………………14
Countersign the letter of understanding………………………………………………………………………………15
Create the award….……………….…………….………………………………………………………………..…………….15
Fund the workplan………….…………………………….………………………………………………………………………15
Implement the project……….…………………………………………………………………………………………………15
3.7.1 Request a no-cost extension.………………………………………………………………………………….15
Liquidate project funds……………………………………………….………………………………………………………16
Report on project…………..………………………………………………………………………………………………….…16
3.9.1 Narrative reports..……………………………………………………………………………………………………16
3.9.2 Financial reports..………………………………………………………………………………………………..…17
WORKING WITH PARTNERS
4.1
Annex
Annex
Annex
Annex
Annex
Overview………………..………………………………………………….…………………………………………………………11
INTERNAL WHO PROCESSES AND PROCEDURES
3.1
3.2
4.
Overview of the CERF..…….………………………….………………………………………………….……………………6
Types of CERF grant…………………………….…………………………………………………………………………………7
Rapid response grants……………………………………………………………………………………………………..…….7
1.3.1 Criteria……………….……………………………………………………………………………………………..….…..7
1.3.2 Activation………………...……………………………………………………………………………………………….7
1.3.3 Implementation period.……………………….………….………………………………………...............8
Grants for under-funded emergencies…………………………………………………………………………………8
1.4.1 Criteria……………………………………………………………………….………………………………………………8
1.4.2 Activation……………..………………………………………………………………………………………………….8
1.4.3 Implementation period……………………………….…………………………………………………………….8
Regional CERF grants………………………………………………………………………………………………………………9
CERF grants and WHO.…………………………………………….………………………………………………………..….9
Terminology of CERF grant applications………………………………………………………………………………10
1
2
3
4
5
Nongovernmental organizations………………………………………………………………………………………….17
CERF life-saving criteria - health activities
CERF application template
CERF reporting requirements
CERF reporting template - annual report of the RC/HC
Project cycle of CERF grants
3
LIST OF ACRONYMS
CAP
Consolidated Appeals Process
CHAP
Common Humanitarian Action Plan
CERF
Central Emergency Response Fund
EHA
Emergency and Humanitarian Action
ERC
Emergency Relief Coordinator
FTS
Financial Tracking Service
GSM
Global Management System
HAC
Health Action in Crises Cluster (WHO headquarters)
HC
Humanitarian Coordinator
IAM/HQ
Income and Award Management unit, WHO headquarters
IOM
International Organization for Migration
LOU
Letter of understanding
NGO
Nongovernmental organization
OCHA
UN Office for the Coordination of Humanitarian Affairs
PMR
Project management, monitoring and reporting costs
PSC
Programme support costs
RC
Resident Coordinator
RO
Regional Office
RRO
Emergency Response and Recovery Operations (HAC/HQ)
UFE
Under-funded emergencies
UN
United Nations
UNCT
United Nations Country Team
WCO
WHO country office
4
CERF QUICK REFERENCE GUIDE
CERF RAPID RESPONSE GRANTS
Situation to be
addressed
- Sudden onset emergencies, or rapid
deterioration of existing complex emergencies;
CERF GRANTS FOR UNDER-FUNDED
EMERGENCIES
Life-saving activities within existing humanitarian
response efforts in under-funded emergencies.
- Slow-onset natural disasters (drought, locust
infestations, etc.) where time-critical interventions
can prevent escalation of the disaster and reduce
overall costs and impact.
Objective
Criteria
Activation of
grant
mechanism
Implementation period
Application
process
CERF budgets
See section 1.3 of this document for more
information.
• To promote early action and response to save
lives.
• To enhance response to time-critical
requirements.
See section 1.4 of this document for more
information.
See section 1.3 of this document for more
information.
See section 1.4 of this document for more
information.
Activities that have an immediate impact on the
health of populations affected by an emergency.
Activities that have an immediate impact on the
health of populations affected by an emergency.
See Annex 1 (CERF live-saving criteria).
See Annex 1 (CERF live-saving criteria).
The Humanitarian/Resident Coordinator (HC/RC)
in the field alerts the Emergency Relief
Coordinator (ERC) to the need for rapid response
grants, OR the ERC solicits proposals from the
country if s/he feels the situation warrants the use
of CERF rapid-response funds. It can also be
triggered by the Health Cluster or other group
based on evidence of life-threatening gaps.
Twice a year (January and July), the ERC selects
countries eligible for under-funded emergency
grants, using financial data generated by OCHA's
Financial Tracking Service (FTS), in consultation
with the HC/RC. WHO's contribution to this
process is crucial..
See section 1.3.2 of this document for more
information.
Three months from countersignature of the letter
of understanding by the ERC.
See section 1.4.2 of this document for more
information.
To strengthen core elements of humanitarian
response in under-funded crises.
Round 1 (January) allocation: project must be
implemented by 31 December of same year.
Round 2 (July) allocation: project must be
implemented by 30 June of following year.
See section 1.3.3 of this document for more
information.
Field driven:
• HC/RC decides priority needs based on needs
assessments, and in consultation with the UN
country team. WHO's contribution through the
Health Cluster is critical.
• Agencies prepare grant applications and
submit to HC/RC for review and approval.
WHO applications must be cleared through the
regional office (RO) and HAC/HQ.
• HC/RC submits consolidated package to the
ERC for approval.
See section 1.4.3 of this document for more
information.
See section 2.1 of this document for more
information.
• Budgets must be closely linked to activities.
• Following items are not eligible:
o
recurrent costs (government staff salaries,
maintenance costs, etc.)
o
generic early warning and prevention
activities and regular agency stockpiling
o
capacity building (only if related to direct
implementation of emergency response)
o
training (funded only if related to direct
implementation of emergency response)
• Budget must include PMR and PSC.
See section 2.1 of this document for more
information.
See section 3.2.1 of this document for more
information.
See section 3.2.1 of this document for more
information.
Same as for rapid response grants
Same as for rapid response grants
5
CERF QUICK REFERENCE GUIDE
Internal
clearance
process for
WHO grant
applications
CERF RAPID RESPONSE GRANTS
CERF GRANTS FOR UNDER-FUNDED
EMERGENCIES
Applications to be submitted simultaneously to
the relevant EHA regional adviser:
Applications to be submitted simultaneously to
the relevant EHA regional adviser:
o
o
o
o
o
o
o
o
o
o
o
o
AFRO: Dr K. Kalambay (kalambayk@afro.who.int)
AMRO: Dr J.-L. Poncelet (ponceletj@paho.org)
EMRO: Dr I. Shaikh (shaikhi@@emro.who.int)
EURO: Dr G. Rockenschaub (GRO@euro.who.int)
SEARO: Dr R. Ofrin (ofrinr@searo.who.int)
WPRO: Dr A. Pesigan (pesigana@wpro.who.int)
And to HAC/HQ:
Ms C. Del Pueyo (delpueyoc@who.int)
Ms N. Adler (adlern@who.int)
Relevant geographic desk
Signature of
letter of
understanding
See section 3.3 of this document for more
information
Handled by HAC/HQ. Focal points:
Creation of
award
No-cost
extensions
Reporting requirements
Narrative
Financial
Where to go
for more
information
And to HAC/HQ:
Ms C. Del Pueyo (delpueyoc@who.int)
Ms N. Adler (adlern@who.int)
Relevant geographic desk
See section 3.3 of this document for more
information
Ms Cristina del Pueyo (delpueyoc@who.int)
Ms Nicole Adler (adlern@who.int).
See section 3.4 of this document for more
information.
AFRO: Dr K. Kalambay (kalambayk@afro.who.int)
AMRO: Dr J.-L. Poncelet (ponceletj@paho.org)
EMRO: Dr I. Shaikh (shaikhi@@emro.who.int)
EURO: Dr G. Rockenschaub (GRO@euro.who.int)
SEARO: Dr R. Ofrin (ofrinr@searo.who.int)
WPRO: Dr A. Pesigan (pesigana@wpro.who.int)
Same as for rapid response grants
See section 3.4 of this document for more
information.
HAC/HQ is responsible for requesting the creation
of all CERF awards.
Same as for rapid response grants
See section 3.5 of this document for more
information.
Should be requested only exceptionally. Request
must be made before the end of the project. May
be granted under certain conditions.
See section 3.5 of this document for more
information.
Should be requested only exceptionally. Request
must be made before the end of the project. May
be granted under certain conditions.
See section 3.7.1 of this document for more
information.
See section 3.7.1 of this document for more
information.
HC/RC annual report due March each year.
Agency-specific annual report due April each year.
Same as for rapid response grants.
See section 3.9.1 and Annex 3 of this document
for more information.
HAC/HQ prepares interim and financial reports for
all CERF grants twice a year on the following
dates:
See section 3.9.1and Annex 3 of this document for
more information.
Same as for rapid response grants.
15 February
30 June
See section 3.9.2 and Annex 3 of this document
for more information.
See section 3.9.2 and Annex 3 of this document
for more information.
•
Consult this document.
•
Consult this document.
•
Visit the CERF web site:
•
Visit the CERF web site:
http://ochaonline.un.org/Default.aspx?alias=ocha
online.un.org/cerf)
• Call the HAC/HQ focal points:
Nicole Adler (GPN 11344)
Cristina del Pueyo (GPN 14135)
http://ochaonline.un.org/Default.aspx?alias=ocha
online.un.org/cerf)
• Call the HAC/HQ focal points:
Nicole Adler (GPN 11344)
Cristina del Pueyo (GPN 14135)
6
1.
INTRODUCTION
This document aims to provide basic information on United Nations Central Emergency Response Fund
(CERF) grants, from writing CERF proposals through to completion of the project. It describes the terms
and conditions of different types of CERF grants, explains the procedures for preparing CERF grant
applications and managing CERF-funded projects, and sets out the details of the different types of
technical and financial reports to be submitted to the CERF.
It is complemented by three practical documents (see SOP 12.4):
¾
How to Write a CERF Proposal
¾
How to Construct a CERF Budget
¾
CERF Life-Saving Criteria: Sample Products and Activities.
The Health Action in Crises Cluster at HQ (HAC/HQ) hopes that WHO country offices (WCOs) will find this
document useful. Please send comments and suggestions for improvement to HAC/HQ's focal point for
CERF grants (delpueyoc@who.int).
Overview of the CERF1
1.1
•
Established in 1991 as a US$50 million emergency loan facility for United Nations (UN)
organizations and specialized agencies.
•
Upgraded2 in December 2005 to incorporate a grant facility, which was launched in March 2006
with the following objectives:
¾
¾
¾
1
2
Promote early action and response to reduce loss of life.
Enhance response to time-critical requirements.
Strengthen core elements of humanitarian response in under-funded crises.
•
Funded by voluntary contributions from around the globe including Member States of the UN,
private businesses, foundations and individuals.
•
Loan element of the CERF remains unchanged (US$50 million).
•
Managed by the UN Office for the Coordination of Humanitarian Affairs (OCHA) on behalf of the
United Nations Emergency Relief Coordinator (ERC).
•
OCHA's New York office (hereinafter called the "CERF secretariat") handles contract management
for CERF grants.
•
OCHA's Geneva office is responsible for the financial tracking of CERF grants.
•
In the 2008-2009 biennium, WHO received just over US$69 million in CERF grants to fund over
130 projects (US$47 million in rapid response grants and US$22.3 million in grants for underfunded emergencies).
•
Only UN agencies and the International Organization for Migration (IOM) are eligible for CERF
grants.
•
NGOs and governments are not eligible for direct funding from the CERF's grant facility, but can
receive funds through UN agencies as implementing partners.
•
The CERF's objective is to save lives. All grant applications prepared by WHO must be in line
with the CERF's life-saving criteria for health sector activities. See Annex 1 and the CERF web
site (http://ochaonline.un.org/cerf/CERFHome/tabid/1705/language/en-US/Default.aspx).
•
The CERF's overall definition of life-saving activities is "Actions that within a short time span
remedy, mitigate or avert direct loss of life, physical and psychological harm or threats to a
population or major portion thereof and/or protect their dignity. Also permissible are common
humanitarian services that are necessary to enable life-saving activities and multi-agency
assessments in the instance of sudden onset disasters."
•
The CERF's overall definition of life-saving health activities is "activities that have an immediate
impact on the health of populations affected by an emergency".
CERF web site: http://ochaonline.un.org/Default.aspx?alias=ochaonline.un.org/cerf
UN Resolution A/RES/60/124 refers
7
1.2
Types of CERF grant
Two types of humanitarian funding are available under the CERF's grant component:
•
Rapid response grants
•
Grants for underfunded emergencies
Rapid response grants
Purpose
Implementation
period
CERF funds
available
1.3
Grants for underfunded emergencies
o Promote early action & response for sudden onset
emergencies (natural disasters & complex
emergencies) or the rapid deterioration of
existing complex emergencies.
o Enhance response to time-critical requirements,
e.g. provide time-critical funds to respond to
slow-onset natural disasters in order to prevent
escalation & reduce impact/costs.
Three months
Two-thirds of the CERF's grant
earmarked for rapid response grants.
facility
is
o Support
activities
within
existing
humanitarian response operations.
o Round
1
(January)
allocation:
31
December of same year.
o Round 2 (July) allocation: 30 June of
following year.
One-third of the CERF's grant facility is
earmarked for underfunded emergencies.
Rapid response grants
1.3.1 Criteria
Project proposals for rapid response grants must be:
•
Life-saving, as defined in the CERF's life-saving criteria (see Annex 1).
•
Based on needs assessments.
•
Chosen from the core humanitarian programmes3.
•
Essential for the humanitarian response (prioritized by the Humanitarian Coordinator/Resident
Coordinator (HC/RC) and the United Nations Country Team (UNCT)).
CERF rapid response funds may be used to support common humanitarian services that are necessary to
enable life-saving activities.
1.3.2 Activation
The activation process is field driven:
3
1.
The HC/RC in the country alerts the ERC to the need for rapid response funds. The initial
communication should include a justification including (1) cause of the situation; (2) number of
people affected; (3) description of humanitarian indicators and indication of any rapid
deterioration thereof; (4) displacement figures; (5) implications if needs are not met; (6) review
of fund-raising efforts to date. The ERC can also solicit proposals from the country if s/he feels
the situation warrants the use of CERF rapid-response funds. The process can also be triggered
by the Health Cluster or another Cluster, based on evidence of life-threatening gaps.
2.
The ERC takes a decision to activate the CERF, determines the amount of funding to be made
available, and communicates the same to the HC/RC.
"Core humanitarian programmes" are defined as those that actions that within a short time span remedy, mitigate
or avert direct loss of life, physical and psychological harm or threats to a population or major portion thereof and/or
protect their dignity. Also permissible are common humanitarian services that are necessary to enable life-saving
activities and multi-agency assessments in the instance of sudden onset disasters.
8
3.
4.
Based on needs assessments, the HC/RC, in consultation with the UNCT:
o
Identifies priorities and life-saving needs.
o
Allocates funds per sector, based on evidence of needs.
Each agency, in consultation with partners, begins preparing CERF grant applications (see
sections 2 and 3).
1.3.3 Implementation period
•
Three months following countersignature of the Letter of Understanding (LoU).
•
WHO is authorized to begin obligating funds as of the day the LoU is countersigned by the CERF.
In some cases e.g. following an acute emergency, WHO is authorized to expend funds
immediately on the day of the disaster. In these cases, the LoU signed between OCHA and WHO
will specify the starting date of expenditures, provided WHO states the reasons for expending
money before the funds have been received.
1.4
Grants for under-funded emergencies
1.4.1 Criteria
UFE grants:
•
Should focus on essential humanitarian, life-saving activities within existing humanitarian
response efforts.
•
May also be used to support common humanitarian services that are necessary to enable lifesaving activities.
1.4.2 Activation
•
Twice a year (January and July) the ERC selects countries that are eligible for UFE grants. The
selection is made based on funding data captured by OCHA's Financial Tracking Service (FTS)
(www.reliefweb.int/fts), as well as consultation with UN agencies and HC/RCs. WHO's
contribution to this process is critical. See the paper, "CERF Procedures for Grant Allocations to
Under-funded Emergencies"4 for more information.
•
The ERC informs the relevant HC/RCs of the level of funds available for each country and solicits
projects for life-saving activities.
•
The HC/RC, with support from the humanitarian country team, identifies gaps in the current
humanitarian response, sets priorities and determines which humanitarian projects should be
proposed for funding.
1.4.3 Implementation period
4
•
Projects funded from round 1 allocations (January) must be implemented by 31 December of the
same year.
•
Projects funded from round 2 allocations (July) must be implemented by 30 June of the following
year.
http://ochaonline.un.org/cerf/HowtoApply/CERFGuidance/tabid/5818/language/en-US/Default.aspx
9
1.5
Regional CERF grants
The CERF will accept regional (as opposed to country-based) grant requests based on the following
criteria:
•
Trans-boundary human diseases in ongoing humanitarian situations;
•
Animal diseases (i.e. Rift Valley Fever, Anthrax) and plague (i.e. locust) infestation with high
impact on human life and livelihoods;
•
Return of refugees and other displaced populations from multiple countries;
•
Natural disasters that have cross-border implications.
Regional grant applications should be submitted by agency headquarters and/or HCs/RCs in the country
of origin (for return of refugees).
1.6
CERF grants and WHO
The CERF is WHO's largest humanitarian donor. However, WHO must compete with other agencies for
CERF grants. The CERF secretariat makes its funding decisions based on:
•
Relevance of the project proposal, based on evidence of needs and gaps (jointly assessed and
disseminated by cluster/sectoral group lead).
•
Implementation capacity of the agency.
•
Cost effectiveness.
•
Good-quality reporting on previous grants.
These decisions, although communicated ultimately by the Emergency Relief Coordinator (ERC) in New
York, will in effect be taken at country level. If WHO is to continue to secure a high level of CERF funding,
it must ensure its competitive edge and prove its comparative advantage. In this respect, the following
points should be borne in mind:
•
•
•
•
•
Joint assessment, planning and coordination
WHO must play an active role in the in-country planning process and ensure it participates
regularly in country coordination mechanisms (meetings of the UN Country Team (UNCT) and
the Health Cluster, donor meetings, joint needs assessments, preparation of Consolidated
Appeals (CAPs) and Common Humanitarian Action Plans (CHAPs)).
CERF proposals must be the product of collaboration and cooperation between WHO and other
health partners on the ground, including NGOs. In countries where WHO is the lead agency of
the Health Cluster, the Organization is expected to:
¾
Lead the health sector input and set health criteria and priorities.
¾
Coordinate with other Clusters, particularly Nutrition and Water and Sanitation.
¾
Negotiate, in the context of discussions within the UN/CT, the overall amount to be
allocated for health sector activities.
¾
Within the Health Cluster, negotiate and reach consensus on the division of work within
the cluster and the amounts to be allocated per agency and project.
The activities for which NGO implementing partners are responsible must be clearly stated in the
proposal.
Fundable, high-quality proposals
WHO must ensure that grant applications include only activities that meet the CERF's life-saving
criteria (see Annex 1).
The objective of the proposal should be to address a vulnerable group in an acute or chronic
emergency, not to address programmatic gaps. Projects should be emergency- and populationspecific rather than disease-specific.
10
•
•
•
•
1.7
WHO staff preparing CERF budgets must know how to calculate programme management,
monitoring and reporting costs (PMR) and programme support costs (PSC) (see section 3.2).
Close management and monitoring
WHO offices in countries eligible for CERF grants must have enough capacity to manage CERF
funds and implement projects in a timely manner.
WCOs must ensure speedy liquidation of expenditures so that annual financial reports can be
prepared in accordance with the deadlines set by the CERF secretariat.
Timely, complete and informative reports
WCOs must prepare complete, accurate and timely narrative reports as per CERF reporting
requirements. Poor-quality or delayed reporting will severely jeopardize WHO's eligibility for
additional grants.
Terminology of CERF grant applications
CERF grants are given for life-saving activities (defined as activities that within a short time span
remedy, mitigate or avert direct physical harm or threats to a population of major portion thereof). CERF
grant proposals should make it clear to the reader why the proposed activities make sense in terms of
saving lives. See the document "CERF Life-Saving Criteria: Sample Products and Activities" in SOP 12.4.
In an emergency, local health services are always overwhelmed and unable to cope with the sudden
increase in demand generated by the disaster. The need to strengthen these services by building
capacity may appear obvious: however the grant application should state this clearly and explain what
the expected outcome will be (i.e. more lives saved as a result of immediately-strengthened capacities in
the local health systems).
Do not be shy about asking for funds to cover salary costs and operational/logistic expenditures, as well
as supplies: drugs need to be properly administered by skilled staff. (Remember, however, that staff
recruited using CERF funds can only be hired for the duration of the project and no longer.)
The CERF will also consider funding basic telecommunications equipment provided:
•
The project to be implemented is in a location that is in security phase III and above.
•
The requesting agency can show such equipment is essential to establish basic
communication networks for UN emergency operations.
Similarly, at local level, especially in rural and resource-poor settings, health workers' skills are often
outdated and they may not be familiar with new technology or life-saving supplies and drugs. Teaching
health staff how to administer life-saving drugs and vaccines and on-the-job supervision of newlytrained staff may also be critical in terms of lives saved. Greater skills are required and thus more
investment is needed for health workers than for, say, food workers (i.e. administering vaccines requires
greater skills than unloading sacks). Also in these settings, skilled health workers are usually scarce,
especially during crises. Therefore, in order to maximize the use of these health workers, some of their
more routine tasks are transferred to community providers who usually need basic training. These
arguments need to be reinforced in CERF grant proposals.
Replenishing emergency health kits in a crisis ensures there is no rupture in the chain of life-saving
medicines and medical supplies.
In conflict areas where WHO has field operations, the CERF will occasionally authorize the purchase of a
MOSS-compliant vehicle for WHO field staff provided the necessary justification is included in the
proposal.
11
2.
APPLICATION PROCESS
2.1
Overview
•
The WCO, in consultation with health partners including NGOs, begins developing grant
applications using the CERF application template (Annex 2).
•
Before submitting final applications to the RC/HC (who is normally the in-country head of OCHA),
the WCO must clear grant applications through the relevant EHA regional adviser and HAC/HQ.
(See list of regional office (RO) and HQ focal points in section 3.3.) The RO and HAC/HQ will
work with the WCO to strengthen proposals and revise budgets if needed.
•
After grant applications have been reviewed and cleared by the RO and HAC/HQ, the WCO
submits the final application to the RC/HC.
•
The HC/RC reviews the various proposals and submits a consolidated package of endorsed
proposals to the CERF Secretariat in New York for consideration.
•
The CERF secretariat reviews the proposals. For approved proposals, it sends an official LOU to
the headquarters office of the relevant agency.
•
ADG/HAC/HQ countersigns the LOU and returns it to the CERF secretariat. (See section 3.4 for
more details.)
•
As soon as the LOU has been countersigned, HAC/HQ creates the award on behalf of the WCO
and notifies the WCO accordingly. (See section 3.5 for more details.)
3.
INTERNAL WHO PROCESSES AND PROCEDURES
3.1
Prepare the grant application
All agencies must use the CERF application template (see Annex 2). The same form is used for both
rapid response and under-funded emergencies.
The form comprises seven pages:
•
Pages 1 to 4 are completed by the HC/RC. They describe the overall humanitarian context in the
country, set out the funding gaps that necessitate CERF funding, explain the decision-making
process by which the CERF grant request was developed, and list the amounts to be allocated to
each agency.
•
Pages 5 to 7 (agency project proposals) are completed by each agency.
The most common reasons for grant applications being rejected are:
•
The project is not life-saving as defined by the CERF (see Annex 1).
•
The project objectives are not clearly defined.
•
The activities are not linked to objectives and/or not clearly described.
•
Expected outcomes are not clearly formulated.
•
The project focuses on capacity building or surveillance activities only.
•
There is no clear link between the budget and the activities.
•
The project overlaps with work with being done by other agencies.
•
The budget for staff costs is deemed to be too high.
12
3.2
Prepare the budget
3.2.1 Overview
Budgets must:
•
Be clearly linked to the activities to be implemented.
•
Be prepared using the CERF budget template5. Figures must not be rounded up or down, but
calculated to the nearest US dollar.
•
Be organized under the following headings:
A.
B.
C.
D.
E.
F.
G.
Staff costs (salaries and other entitlements)
Travel
Contractual services
Operations
Acquisitions
Other
Indirect programme support costs
•
Include PMR and PSC. (See sections 3.2.4 and 3.2.5 below and "How to Construct a CERF
Budget" in SOP 12.4.)
•
Not include the following non-eligible costs:
¾
Recurrent costs (government staff salaries, maintenance costs, etc.).
¾
Generic early warning and prevention activities and regular agency stockpiling. (The
CERF will, however, fund the replenishment of quick turnover emergency stockpiles that
have been used in an emergency context.)
¾
Capacity building and training (funded only if related to direct implementation of
emergency response. (See "CERF Life-Saving Criteria: Sample Products and Activities" in
SOP 12.4.)
Other points to remember:
•
As a general rule of thumb, the CERF is reluctant to accept proposals where staff costs exceed
10% of the total budget. However, experience has shown that WHO's CERF staff costs are often
higher than this, as the provision of health involves significant human resources. In the project
summary of CERF proposals, WHO should include a clear justification defending higher staff costs,
pointing out, for example, that staff costs for health:
5
¾
Are much higher than those of other sectors, for example food aid (administering
vaccines requires greater skills than unloading sacks).
¾
Need to be sustained for longer than, for example, water and sanitation (i.e. for
continuous delivery of services rather than for one-time capital investment, installation
of pumps, etc.).
•
Bear in mind the WCO should only budget the costs of staff who are already working for WHO or
who can be deployed within a very short period (one to two weeks maximum).
•
The CERF will consider funding coordination and support services ("common services") provided
the agency can justify these costs on the grounds they are essential for the delivery of the
emergency humanitarian response. Common services that are eligible for funding include
emergency storage and transport, telecommunications devices and safety equipment. The CERF
has recently issued the first of a series of guidelines on the criteria for funding common
humanitarian services. The "Guidelines on Emergency Telecommunications Equipment" are
available on WHO's SOP web site (http://intranet.who.int/homes/hac/sop/). Other guidelines will
be posted as and when they are issued by the CERF.
For the latest CERF budget template, go to the OCHA website
13
3.2.2 Supplies and equipment
HAC/HQ works closely with ROs and WCOs to plan emergency supplies to be procured under CERF
projects. WCOs should prepare detailed lists of all project supplies needed at the same time they prepare
grant applications. RO and HAC/HQ can then determine whether the supplies are available from WHO
stocks or if an order needs to be placed with the supplier.
At the same time the grant application is submitted to the CERF, HAC/HQ's logistics team obtains price
and shipping estimates for project supplies that are not available from WHO stocks. This ensures these
items can be ordered without delay once the CERF secretariat has approved the grant application. The
tight management of supplies is particularly important for CERF three-month rapid response grants. See
SOP 9.1 for more information on the procurement services offered by the HAC/HQ logistics team.
3.2.3 Funds earmarked for NGOs
If the grant application includes activities to be implemented by an NGO implementing partner, the WCO
must:
•
Clearly indicate the following in the CERF grant application: 1) the name of the NGO; 2) the
activities to be implemented by the NGO; 3) the amount of funds earmarked for the NGO.
•
Retain a record of the humanitarian country team's decision to select the NGO as an
implementing partner. This information will need to be uploaded in the Global Management
System (GSM) in support of the grant agreement concluded between WHO and the NGO.
•
Create a supplier profile for the NGO in the GSM as soon as possible. This is vital to avoid delays
transferring funds later on.
HAC is responsible for negotiating letters of agreement with NGO implementing partners on behalf of
WCOs. As soon as the CERF secretariat approves the proposal submitted by WHO, HAC:
•
Prepares the letter of agreement to be signed between WHO and the NGO.
•
Transfers the funds to the NGO on receipt of the countersigned agreement.
See SOP 6.11 for more information on how to transfer CERF funds to NGO implementing partners.
3.2.4 Project management, monitoring and reporting costs (PMR)
Project coordination, monitoring and reporting (PMR) costs must be included in all CERF budgets. PMR is:
•
An integral part of WHO humanitarian/ emergency projects.
•
Official WHO policy and NOT discretionary: must be included in all extrabudgetary project
proposals.
•
Calculated as a 10% fixed rate on the total cost of activities.
•
Distributed 5% to the relevant RO and 5% to HQ.
•
Used to cover the costs of technical assistance, project management, coordination and advocacy
and resource mobilization support from ROs and HQ.
The CERF secretariat has agreed that PMR can be included in CERF grants provided it is not shown as a
separate budget line but distributed between the following budget lines:
A
Staff costs
•
Insert a new budget line under Staff Costs called "Office staff costs"
•
Put a percentage of the PMR under this budget line
D
Operations
•
Insert a new budget line under Operations called "Field Operational and Evaluation costs"
•
Put the remaining percentage of the PMR under this budget line
14
3.2.5 Programme support costs (PSC)
Programme support costs (PSC) are:
•
Levied by WHO on all extrabudgetary contributions.
•
Not given to the technical unit but transferred into a central account and used to pay for central
administrative services and WHO's global administrative infrastructure.
A reduced PSC rate of 7% is applied to all CERF grants. WHO's normal PSC rate is 13%.
For step-by-step instructions on preparing CERF budgets, see the document "How to Construct a CERF
budget" in SOP 12.4.
3.3
Obtain internal clearances
The RO and HAC/HQ should be closely involved in the preparation of CERF grant applications. Involving
RO and HQ staff at an early stage means that delays further down the line will be minimized or avoided,
as the proposal will already have gone through an internal technical and administrative review process.
Moreover, a careful internal review of the project will increase the likelihood of its acceptance by the
CERF secretariat.
The WCO should e-mail the draft grant application to the RO and HAC/HQ as per the table below:
WHO region
RO staff to be copied
AFRO
kalambayk@afro.who.int
ehaafro@afro.who.int
AMRO
ponceletj@paho.org
EMRO
shaikhi@emro.who.int
EURO
GRO@euro.who.int
SEARO
ofrinr@searo.who.int
WPRO
pesigana@wpro.who.int
HQ staff to be copied
hac_afrodesk@who.int
delpueyoc@who.int
adlern@who.int
hac_amrodesk@who.int
delpueyoc@who.int
adlern@who.int
hac_emrodesk@who.int
delpueyoc@who.int
adlern@who.int
hac_eurodesk@who.int
delpueyoc@who.int
adlern@who.int
hac_searodesk@who.int
delpueyoc@who.int
adlern@who.int
hac_wprodesk@who.int
delpueyoc@who.int
adlern@who.int
The RO and HQ will:
•
Review the technical content of the proposal.
•
Review the budget, including the cost of any proposed items for procurement, PMR and PSC.
•
Ensure the overall proposal meets both CERF and WHO requirements.
•
Return the draft proposal to the WHO country office the same day.
The country office then finalizes the proposal, taking RO and HQ comments into consideration, and
submits it to the HC/RC. The HC/RC consolidates all proposals into one package which s/he then sends
to the CERF secretariat in New York for funding consideration.
15
3.4
Countersign the letter of understanding
LOUs for CERF grants are signed between the CERF secretariat in New York and the headquarters office
of the relevant UN agency. No LOUs are signed at field level. The procedure is as follows:
•
If the CERF secretariat approves the proposal, it sends a signed LOU to WHO/HQ for
countersignature by ADG/HAC.
•
ADG/HAC/HQ countersigns the LOU and returns it to the CERF secretariat.
•
HAC/HQ notifies the RO and WCO the project has been approved, and begins the award
activation process (see below).
3.5
Create the award
Once WHO and the CERF have countersigned the LOU, HAC/HQ prepares the Award Activation Request
on behalf of the WCO, and submits it to the Income and Awards Management unit (IAM/HQ), which is
responsible for creating awards for all WHO offices worldwide. HAC retains the following funds in HQ:
•
HQ's portion of the PMR.
•
Funds for any supplies that the WCO has asked HQ to procure on its behalf.
•
Funds to be transferred to NGOs. (HAC will conclude letters of agreement with NGOs and handle
fund transfers to NGOs on behalf of the WCO.)
See SOP 13.3 for more information on the award creation process.
3.6
Fund the work plan
Before the WCO can begin implementing the project, it must allocate the CERF funds against its work
plan. Normally this is done by either the EHA focal point or the administrative officer in the WCO. HQ and
the RO must also allocate any CERF funds they retain (e.g. PMR, funds for procurement) against their
respective work plans.
3.7
Implement the project
WCOs must be able to manage CERF funds, implement CERF projects in a timely manner, and submit
high-quality, timely narrative reports that demonstrate clear outcomes. Poorly managed or delayed
projects and inadequate reports will severely jeopardize WHO's eligibility for future grants from the CERF.
3.7.1 Request a no-cost extension
The CERF secretariat will consider granting no-cost extensions on a case by case basis, provided WHO:
•
•
makes the request before the end of the project implementation period
provides solid justification.
CERF grants can be extended if the reasons are technical or even political (e.g. supplies did not arrive
on time due to problems with the suppliers, a sudden political upheaval,…). However, if the reason is
purely internal to the receiving agency , e.g. funds are not committed on time, the request will not be
approved.
There is no official guidance from the CERF on the maximum length of no-cost extensions, but the
general rule of thumb is as follows:
•
Rapid response grants may be extended for up to 45 days.
•
UFE grants are normally not extended, given their long implementation period (almost one year).
16
The procedure for requesting no-cost extensions is as follows:
•
The WCO drafts a request and justification for the CERF and submits it to the RO and HAC/HQ
(see section 3.3 above) for review.
•
Once RO/HQ clearance is received, the WCO submits the request to the HC/RC for endorsement.
•
Once HC/RC endorsement has been received, the WCO sends the extension request and the
HC/RC's endorsement to the RO and HAC/HQ.
•
HAC/HQ submits the request to the CERF secretariat on behalf of the WCO.
3.8
Liquidate project funds
All project funds must be liquidated within six months following the end of the implementation period.
See Annex 3 for more information.
3.9
Report on project
3.9.1 Narrative reports
The CERF requires two narrative reports:
1. Annual report of the RC/HC on the use of CERF grants. This report:
•
Is prepared by the RC/HC of the relevant country.
•
Is submitted to the CERF secretariat in or around March each year.
•
Covers the preceding calendar year.
•
Gives a broad overview and analysis of results achieved by sectors/clusters within the overall
humanitarian response in the country using CERF funding, based on inputs from participating
agencies in the field.
•
Includes individual success stories and photographs.
•
Is prepared on the CERF's standard reporting template (see Annex 4).
WCOs that have received CERF funds the previous year must contribute to the consolidated country
report as follows:
•
The WCO completes Section IV (Results Matrix) of the CERF reporting template and sends it to
the RO and HQ for clearance by 1 March each year.
•
The RO and HQ review, clear and send back to the WCO within one week.
•
The WCO submits its contribution, duly cleared by the RO and HQ, to the HC/RC for inclusion in
the RC/HC's annual report.
2. Agency-specific annual report. This report:
•
Is prepared by each UN agency that received CERF funds the previous year.
•
Is submitted to the CERF secretariat in or around April each year.
•
Covers the preceding calendar year.
•
Analyses the impact of the CERF funds on the agency's emergency response capacity and its
operations in under-funded crises.
•
Reports on lessons learned.
•
Provides specific success stories (including, where possible, useful accounts and photographs).
•
There is no standard reporting format for the agency-specific annual report, although agencies
should follow the CERF's guidelines on what the content of these reports should be.
17
WHO prepares its annual report to the CERF as follows:
•
WCOs prepare a one-to-two page narrative account of success stories, reflecting positive
outcomes.
•
They submit this document (and the completed Section IV of the Results Matrix - see above) to
the RO and HAC/HQ by 1 March each year.
•
HAC/HQ drafts the final report based on the inputs received from all WCOs, and sends it to the
CERF secretariat.
High-quality reporting is essential to ensure the CERF's continued funding of WHO projects.
3.9.2 Financial reports
WHO must provide interim and final financial reports to the CERF (see Annex 3). All financial reports are
prepared by HQ and certified by WHO's Chief Accountant.
4.
WORKING WITH PARTNERS
4.1
Nongovernmental organizations
Although NGOs cannot apply directly for CERF funds, they can receive funds as implementing partners.
See section 3.2.3 above and SOP 6.11.
18
Annex 1
Health activities that meet the CERF's life-saving criteria1
(extracted from the CERF's updated document "CERF life-saving Criteria" of 26 January 2010)
CERF definition of life-saving health activities: activities that have an immediate impact on the
health of populations affected by an emergency
Overall activity
Sample activities
Collection, processing, analysis and
dissemination
of
critical
health
information including access to and
availability of life-saving health services.
o
Health data collection, processing, analysis and dissemination
including production and dissemination of tools, i.e. tally sheets, daily
and weekly indicators, reporting sheets, registers, case definitions,
etc.
Ensuring equitable and timely access to
emergency primary health care.
o
o
Provision, distribution and replenishment
of quick turnover emergency stockpiles
which have been used in an emergency
context.
o
Support local health system in delivering PHC.
Support health care to address critical health problems (ARI, malaria,
diarrhoeal diseases), including mobile clinics and emergency referral
services.
Procurement of essential medicines and medical equipment to deal
with life-threatening diseases and health conditions.
Mass casualty management.
o
o
o
o
o
Repair of existing health facilities.
Addressing life-threatening conditions
related
to
communicable
diseases
(immunizations, outbreak control).
o
o
o
o
o
o
Priority reproductive health emergency
interventions.
o
Medical (including psychological) support
to survivors of sexual violence.
o
o
Addressing life-threatening conditions
related to chronic diseases which have
been interrupted in an emergency
context.
Priority responses to HIV/AIDS.
o
o
o
o
o
o
o
Support the provision of psychological
first aid.
1
o
Support to first aid centres and in-service health care.
Procurement & delivery of essential medicines & medical equipment.
Medical evacuation services.
Basic, rapid repairs to ensure medical facility functionality.
Provision of essential emergency medical equipment and medicines
to emergency awards.
Establishment of emergency early warning and response systems for
the early detection of and response to selected outbreaks of
communicable diseases.
Training of health staff.
Supply of drugs and materials.
Social mobilization and targeted health education.
Reactive mass vaccination campaign.
Preparation of specific ad hoc treatment units (e.g. cholera treatment
centre).
Supply of drugs and materials (including through interagency
reproductive health kits such as clean delivery kits and midwifery
kits. (As per revised inter-agency field manual on reproductive health
in humanitarian settings - MISP chapter.)
Updating health staff on protocols for clinical management of sexual
violence.
Supply of drugs and materials (including through inter-agency
reproductive health kits).
Procurement and delivery of drugs to deal with life-threatening
diseases and health conditions.
Dissemination of information on HIV/AIDS awareness.
Provision of condoms.
Provision of antiretroviral medication for prevention of mother-tochild transmission and post-exposure prophylaxis.
Provision of supplies and materials for standard precautions in
emergency health care settings (e.g. masks, gloves…).
Emergency awareness and response interventions for high-risk
groups.
Care and treatment for people with HIV whose treatments has been
interrupted.
Protect and care for people with severe mental disorders (suicidal
behaviour, psychoses, severe depression and substance abuse) in
communities and institutions.
For an expanded table showing sample activities, inputs, products and outcomes, see "CERF Life-Saving Criteria:
Sample Products and Activities" in SOP 12.4.
Annex 2
APPLICATION FOR GRANT FUNDING
I. APPLICANT INFORMATION
1. Country:
2. Resident/Humanitarian Coordinator:
Name:
3. Name and contact information of person to be
contacted on matters related to this grant request and
subsequent reporting:
Agency:
Telephone:
Email:
II. OVERALL GRANT REQUEST
A. SUMMARY
4. CERF grant window:
Rapid Response
Funding
Underfunded Emergencies
5a. Total amount required for the humanitarian
response:
US$
5b. Total amount received for the humanitarian
response:
US$
5c. Total amount of CERF funding requested:
US$
Beneficiaries
6. Geographical areas of implementation:
7a. Total number of individuals affected by the
crisis:
individuals
7b. Total number of individuals targeted with
CERF funding:
individuals
8. Are projects included in this request based on comprehensive needs assessments? (If “No”, provide explanation.)
Yes ⇒ Type (specifically joint multi-sector assessments) and date of assessment(s) undertaken for each
project and/or sector, and humanitarian partners involved:
No ⇒ Explanation:
9. Does the requesting agency have the capacity for immediate implementation and the timely delivery of
assistance (sufficient agency staff; access; clearance received for inputs to be imported etc.), following the approval
Yes
No
of funds by the ERC?
If “No” or in case of expected limitations, please explain:
Application Template January 2010
http://ochaonline.un.org/cerf
B. Humanitarian Context and Response (1 page)
10. Describe the humanitarian situation, including the cause of the crisis, affected population (IDPs, refugees
etc.), the main humanitarian consequences, and priority humanitarian needs. (Reference needs assessment
findings, including key data such as mortality/morbidity rates and nutritional status, needs of certain groups
(e.g. women, children, other population groups), gender specific considerations to project implementation, and
geographic regions affected).
11. Describe the overall humanitarian response, including the priority humanitarian actions per sector/cluster
identified by the humanitarian country team, and any gaps in the response and reasons for the gaps (e.g.
changes in security phases, inaccessible areas, etc).
Application Template January 2010
http://ochaonline.un.org/cerf
C. Grant Request Justification (1-2 pages)
12. Please describe the funding gaps for core humanitarian activities that necessitate a CERF grant at this
point in time, taking into account resources pledged or committed.
13. Describe the decision-making process for developing this CERF grant request, including information on
which coordination structures and rational were used for prioritizing projects, and on the involvement of NGOs
and the government.
Application Template January 2010
http://ochaonline.un.org/cerf
D. PROJECT ALLOCATION TABLE*
Date:
Country:
CERF window:
Requesting
Agency
Rapid Response
Project Title
Underfunded Emergencies
CAP/Flash
Appeal
project code
(if
applicable)
Cluster/
Sector/
Crosscutting
issue
Total
Project
Budget
Percentage of
funding
received to
date
Amount
requested from
CERF
Additional Justification
(if needed)
1
2
3
4
5
6
7
8
9
10
*Please fill out one table listing all projects submitted as one grant request.
CERF Application Template January 2010
http://ochaonline.un.org/cerf
Page 22 of 32
CERF No.
Date
Type of
submission
Sector
New
Revised
To be completed by the CERF Secretariat.
III. AGENCY PROJECT PROPOSALS (2 pages each)
1. Requesting agency:
2. Project title:
3. CAP/Flash Appeal project code:
(Mandatory to provide where an appeal exists)
4. Cluster/sector/cross-cutting issue:
5. Geographic areas of implementation targeted
with CERF funding:
6. Total number of individuals targeted with CERF
funding (provide a breakdown by sex and age).
(Please be specific)
a. Female
b. Male
c. Children under 5
Funding (USD)
d. Total individuals:
7a. Total project budget:
US$
7b. Total project funding received so far:
US$
8. Total amount of CERF funding requested:
Please provide the total amount and include
an estimation of the planned breakdown of
funds by type of partner:
a. UN agencies/IOM:
US$
b. NGOs (please list
US$
Note: The total requested from the CERF should not
be 100% of the total budget for this project, as
CERF funding should be complemented by other
funding sources.
individually):
c. Government:
US$
e. Total:
US$
9. Briefly describe the overall project, including information on how CERF funding will be used to support lifesaving/core humanitarian activities.1 Describe the profile of beneficiaries and how gender equality is mainstreamed in
project design and implementation (ensuring that the needs of women, girls, boys, and men are met equally). Include
relevant assessment data.
10. Description of the CERF component of the project (2 pages).
(a)
Objective(s)
(b)
Activities
(c)
2
Expected Outcomes and Indicators (please use SMART indicators)
11. Implementation Plan: Please include information on the mechanisms for implementation, grants to cooperating
partners, the duration for implementing CERF-funded activities, monitoring and reporting provisions.
1
The CERF Life-Saving Criteria, which specify sectoral activities that the CERF can fund, are available at
http://cerf.un.org.
2
SMART indicators are: specific, to avoid differing interpretations; measurable, to allow monitoring and evaluation;
appropriate to the problem statement; realistic and able to achieve; time-bound indicating a specific period of time
during which the results will be achieved. Indicators must be designed to enable you to identify the different impacts
(intended and unintended) your project has on women, girls, boys, and men.
12. CERF Project Budget
Please use the template below without modifying the section headings. Provide a detailed breakdown of items
(quantity, unity costs) and costs for each budget line for the CERF component of the project only. Add additional
rows, as needed.
Cost breakdown
A. Staff costs (salaries and other entitlements of UN staff)
B. Travel
C. Contractual Services (please list and provide general cost breakdown for
implementing partners)
D. Operations (please itemize expendable operational inputs, e.g. quantity of
food, medical supplies etc.)
E. Acquisitions (please itemize asset purchases, e.g. computers)
F. Other
Subtotal project requirements
Indirect program support costs (not to exceed 7% of subtotal project costs)
PSC amount
Total CERF project cost
Amount (USD)
Annex 3
REPORTING DEADLINES FOR CERF GRANTS
Financial deadlines
Type of
grant
Rapid response
Under-funded
emergency first allocation (i.e.
LOU has been countersigned by the CERF
during the period 1
January to 30 June)
Deadline for
encumbering funds9
Liquidation
deadline10
Narrative reporting deadlines
Financial reporting deadline
Interim report
9
Final report
Final report
11
HC/RC report
HQ report
Three months after
counter-signature of
the LOU by the CERF
31 December of same
year
Six months after the
end of the implementation period
15 February
or 30 June12
15 February or
30 June
(whichever date
comes first after
the liquidation
deadline).
March of following
year.
April of following
WHO country office
year
input to be shared with
RO/HQ by 1 March.
Under-funded
30 June of following
emergency - second
year
allocation (i.e. LOU has
been countersigned
by the CERF
during the period
1 July to 31 December)
9
Defined as the deadline by which all funds are encumbered, i.e. a PTAEO is raised.
Defined as the deadline by which full payment against all encumbrances must be made (and, at the end of the WHO biennium, delivery of all goods).
11
Certified financial statement signed by WHO's Chief Accountant
12
HAC prepares interim and final financial reports twice a year, on 15 February and 30 June. Not all CERF projects will need an interim financial statement. For
example: WHO implements a three-month rapid response project from 1 April to 30 June. WHO must liquidate all project encumbrances by 31 December. The
next due date for submission of financial reports to the CERF is 15 February. HAC will only need to prepare a final financial report for the project, as all
encumbrances will by then have been fully liquidated.
10
Annex 4
ANNUAL REPORT OF
THE RESIDENT/HUMANITARIAN COORDINATOR
ON THE USE OF CERF GRANTS
Country
Resident/Humanitarian Coordinator
Reporting Period
I.
1 January 2009 – 31 December 2009
Summary of Funding and Beneficiaries (To be completed by the Office of the Resident/Humanitarian
Coordinator)
Total amount required for the
humanitarian response:
US$
Total amount received for the
humanitarian response:
US$
Funding
Breakdown of total country funding
received by source:
CERF
US$
CHF/HRF COUNTRY LEVEL FUNDS
US$
OTHER (Bilateral/Multilateral)
US$
Total amount of CERF funding received
from the Rapid Response window:
US$
Total amount of CERF funding received
from the Underfunded window:
US$
Please provide the breakdown of CERF
funds by type of partner:
a. Direct UN agencies/IOM
implementation:
US$
b. Funds forwarded to NGOs for
implementation (in Annex,
please provide a list of each
US$
NGO and amount of CERF
funding forwarded):
c. Funds for Government
implementation:
e. TOTAL:
Beneficiaries
Total number of individuals affected by the
crisis:
US$
US$
individuals
Total number of individuals reached with
CERF funding:
total individuals
children under 5
females
Geographical areas of implementation:
22 January 2010
- 27 -
Analysis (To be completed by the Office of the Resident/Humanitarian Coordinator.
portion of the report to three pages.)
Please keep this
Briefly provide an overview of the humanitarian situation in the country that prompted each application for CERF
funding and why CERF funding was sought. Please provide an analysis of the added value of CERF to the
humanitarian response in your country. Particularly, what did CERF funding enable humanitarian actors to do that
would not have been possible otherwise.
If possible, please provide quantitative measures of the outcomes generated with CERF funding. For example:
describe the additional number of beneficiaries that were served, or how many more programmes were run, or how
many days earlier programmes were launched. If possible, draw on available reporting and cite any relevant
examples of CERF outcomes.
In writing the analysis of the added value of the CERF, please consider the following:
For allocations from the Rapid Response window, for example, indicate whether/how CERF funding enabled
prompt, early action to respond to life-saving needs and time-critical requirements. Specifically, consider:
Did CERF funding:
•
•
•
•
catalyze rapid intervention?
stabilize an insecure situation?
at an early stage result in less funding being required at a later stage?
help to meet time critical needs?
In addition:
•
•
•
Was CERF flexible enough to meet immediate needs?
How did CERF funds enable timely implementation?
Was CERF the first or largest funder? In writing this, please include what percentage of funding through
CAP/Flash/Pooled/etc was from CERF.
For allocations from the Underfunded emergencies window, provide an analysis of how CERF funding enabled the
continuation of poorly-funded, essential core elements of the overall response. Specifically, consider:
Did CERF funding:
•
•
•
strengthen overall humanitarian response?
allow humanitarian programme continuity, including prevent breaks in the pipeline or cover gaps?
help mobilize other resources?
Finally, please comment on how CERF improved country level coordination for each CERF application. Include
details on how the Humanitarian Country Team and clusters (if operational) prioritized and initiated the CERF
process and coordinated activities.
II.
Lessons learned: (To be completed by the Office of the Resident/Humanitarian Coordinator together
with the UN Humanitarian Country Team)
This section should include constructive references to difficulties or constraints encountered during the request for
CERF funding and funding allocation, specifically on matters that are within the responsibility of the CERF
Secretariat. Please propose follow-up actions and suggest improvements. This information will be used for
internal purposes only and will not be posted to the CERF website, so be as candid as possible.
Lesson learned
Suggestion for follow-up/improvement
22 January 2010
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Responsible
Entity
III.
Results: (To be completed by participating agencies)
Please fill out the table below on a project-by-project basis, grouping the projects and results by cluster/sector. Include the final number of beneficiaries as well as
the actual implementing partners. List the major results achieved by CERF-funded projects, either on a project or on an aggregated sector/cluster level. Please refer
to the expected results listed in the original CERF project application forms and compare to the actual outcomes. If available provide an analysis of the improvements
achieved for the beneficiaries.
Sector/
Cluster
CERF project
number and
title
(If applicable,
please provide
CAP/Flash
Project Code)
Amount
disbursed
from CERF
(US$)
Total Project
Budget
(US$)
Typically, the
CERF
allocation is
only a part of
the total
project
budget,
please
indicate the
total funds
received for
the project.
Number of
Beneficiaries
targeted with
CERF funding
Please provide
a breakdown
of children
under 5 and
number of
women
reached.
Expected Results/
Outcomes
Please provide the
expected results/
outcomes as specified
in the original CERF
application.
Results and improvements
for the target beneficiaries
Please list the results of
the project and provide an
explanation of any
discrepancies between
what was expected and
what was actually
achieved.
CERF’s added
value to the
project
Monitoring and
Evaluation
Mechanisms
Gender Equity
Please explain,
briefly, what was
the added value
of CERF funding
for this project?
Please describe
the monitoring
and evaluation
mechanisms
used for this
project?
Who benefitted
from this
project? Was
the benefit equal
among women,
girls, boys and
men?
ƒƒƒ
EXAMPLE
Water and Sanitation
ƒƒƒ
07-HCR-0XX
“Care and
Assistance to
Sudanese
refugees”
500,000
1.2 million
67,000
Sudanese
refugees
20,000
children
10,000
Women
ƒƒƒ
Increase water per
person
per day from 6
litres to 15 litres
22 January 2010
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With the connection of
two water points and
erection of 95 cubic
meter water tanks
improved quantity of
water supplied to
refugees from 6 litres/
day/person to 12
litres/day/person for
66,000 Sudanese
refugees
Rapid
allocation of
CERF funds
allowed the
project begin
immediate
after the
needs were
identified.
ƒƒƒ
HCR and its
partners
assessed the
number of
refugees in
the camps.
Weekly staff
meetings
were carried
out to assess
the project’s
progress.
ƒƒƒ
ƒƒƒ
Special
attention was
paid to the
hygiene
needs of girls
and young
women to
ensure full
participation
in school
activities.
Separate
latrines built
for boys and
girls.
Annex 1: NGOS and CERF Funds Forwarded to Each Implementing NGO Partner
NGO Partner
Sector
Project Number
Amount Forwarded
Date Funds
Forwarded
Annex 2: Acronyms and Abbreviations
Acronyms should be written out in full the first time they are used. Please provide a full list of all acronyms and
abbreviations that are included in the report.
22 January 2010
- 30 -
Instructions: Under the leadership of the Resident/Humanitarian Coordinator (RC/HC), Humanitarian Country
13
Teams (UN agencies, IOM, and NGOs) are required to provide one consolidated narrative report per year.
The annual report is due on 30 March, covering all the CERF allocations provided to agencies in the respective
country in the prior calendar year (January-December). Inputs by these dates will help the CERF Secretariat
meet reporting obligations to the General Assembly and ECOSOC. Information contained in the report will be
posted on the CERF website, shared with contributors to the Fund and provided to the members of the CERF
Advisory Group.
Using the template below, the report should include:
1. Summary of Funding and Beneficiaries;
2. Analysis of the value added to the CERF;
3. Lessons learned;
4. Results matrix;
5. Annex 1- list of funds forward to NGOs; and
6. Annex 2- list of acronyms and abbreviations used throughout the report. Acronyms should be written out in
full the first time they are used.
13
Individual agency reports will be returned to the Office of the Resident/Humanitarian Coordinator.
22 January 2010
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Annex 5
PROJECT CYCLE FOR CERF GRANTS
Rapid response: The HC/RC alerts the ERC to the need for rapid
response funds, based on needs assessments conducted by the UN CT.
OR
Under funded emergencies: ERC announces eligible countries in
January and July each year.
Final technical and financial
reports: Final reports prepared
by HAC/HQ and certified by Chief
Accountant.
Decision-making: ERC
determines amount of funding
& informs country
Identification of priorities:
HC/RC identifies priority needs
in consultation with UN/CT and
allocates budget per sector
Interim financial report:
Interim financial report prepared
by HAC/HQ and certified by Chief
Accountant.
Preparation of grant
applications: Agencies begin
developing grant applications and
budgets.
Completion of project:
Project completed. All
funds liquidated within six
months.
Implementation of project:
Implementation period: three
months for rapid response, varies
for under-funded emergencies.
Internal clearance: WHO grant
applications submitted to RO and
HQ for review and returned to
CO within 24/36 hours.
Funding of workplan:
WCO budgets CERF funds in
emergency workplan.
Submission of proposals to
CERF: The HC/RC submits a
consolidated package of proposals
to the CERF for review/approval.
CERF approval: CERF reviews
proposals and sends funding decision
directly to agencies' headquarters
together with letter of understanding
(LOU).
Creation of award:
HAC/HQ prepares award activation
request.
Signature of agreement:
HAC/HQ countersigns LOU finalized
and returns to the CERF secretariat.
Date of countersignature = date on
which project implementation can
begin.
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