Annex A:
TERMS OF REFERENCE (TOR)
for
Small Grant Scheme (SGS) in Support of UNDP Iraq Crisis Response and Resilience
Programme (ICRRP)
1. Background
Since the fall of Mosul on 9 June, armed opposition groups (AOGs) including Baathists,
tribal militias and members of the former regime/military, along with the Islamic State in Iraq
and the Levant (ISIL), have taken control of large swathes of Iraq’s predominantly Sunni
provinces of Ninewa, Salah Al-Din and Diyala. The cities of Mosul, Tikrit, Tal Afar, Beiji,
Quayyara, Sinjar, Suleiman Bek, Rashad, Hawijah, Riyadh, Fallujah and Saqlawiyah, are
currently under addition to approximately 220,000 Syrian refugees. Without a cessation in
violent conflicts and associated political settlement, further displacement is anticipated and
the number of those displaced will continue to increase. Given the scale and complexity of
the current humanitarian catastrophe, the United Nations have declared a ‘Level 3
Emergency,’ the highest level of humanitarian crisis, for Iraq on 13 August 2014.
In response to the crisis, UNDP has launched Iraq Crisis Response and Resilience
Programme (ICRRP) for the next 2 years. Under the overall framework of ICRRP, UNDP
addresses the urgent issue of income generation and job creation, capacity building of local
communities and rehabilitation of basic social and productive infrastructure in Iraq for the
most vulnerable amongst the IDPs and host communities.
Non-Governmental Organizations (NGOs) and Civil Society Organizations (CSOs) play an
important role to provide emergency assistance and basic services to the IDPs and host
communities, utilizing their network with local actors and knowledge on cultural and social
factors particular to the community. In this context, UNDP has established a mechanism and
procedures by which financial resources are provided to utilize NGOs/CSOs and local
authorities for emergency assistance and public service provision (incl. environment, shelter,
health, sanitation, education, agriculture) based on specific community needs.
2. Objectives of Small Grants Scheme (SGS)
The Small Grant Scheme (SGS) aim to strengthen cooperation with NGOs/CSOs to jointly
implement community-based initiatives with UNDP, responding to a wide range of priority
needs of the affected populations in an inclusive and participatory manner and by this
increasing social between fragmented groups.
It seeks for innovative projects to respond to the urgent socio-economic needs of the
displaced population and the host communities and develop self-reliance and build resilience
of target populations to the maximum extent.
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2.1. Objectives:
The objectives of SGS are to:
1) Respond to the urgent socio-economic needs of the displaced population and the host
communities through strong partnership with NGOs/CSOs
2) Promote social cohesion through a community based participatory approach involving
the beneficiary groups and local stakeholders, with strong focus on local ownership.
2.2. Expected Output
The following are the expected outputs to be achieved by the project funded through SGS.
Each Small Grant Project should target to achieve one or more output(s), as described below:
1. Capacity of local communities and productive infrastructure enhanced to more
effectively deliver basic social services.
2. Small-scale social and public infrastructure rehabilitated or constructed based on
priority community needs (e.g., water and sanitation provision; solid waste collection
and disposal; electricity distribution, and community centres).
3. Improved short and longer term income generation, job creation and other related
livelihood initiatives for both IDPs and host communities, especially women and
other vulnerable groups , including but not limited to:
a. Micro- and SME businesses strengthened both for the displaced populations and
host communities;
b. Vocational and technical, financial and administrative skills enhanced to
respond to market needs, as well as facilitates self-employment and on-the job
training;
c. Increased access to productive resources for women in the formal and
informal sectors (especially finances and land), Women entrepreneurs
business skills are enhanced
4.
Other initiatives promote individual self-reliance and community resilience of
refugees, IDPs and host communities (e.g., environment).
3. Project Approaches and Priority Areas:
The following approaches will be adopted for each Small Grant project:
3.1 Participatory and Integrated Approach
A participatory, inclusive and integrated approach will be used throughout implementation of
the SGS. This will provide opportunities for social dividends in parallel to providing urgently
needed community based emergency employment and income generation. Addressing early
recovery needs through the improvement of social and economic infrastructure will increase
the impact of the projects. All interventions will be implemented in consultation with
community representatives in a participatory manner, with a view to promoting social
cohesion and inclusiveness at the local level.
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The SGS will address a wide range of community priorities, ranging from infrastructure
rehabilitations (irrigation works, environmental health, access roads, market places, etc.), to
vocational trainings and micro-finance. Women and youth will be specifically targeted by the
project, as they are most affected by the current conflicts and represent the most vulnerable
groups within the society.
3.2 Community-Based Approach
The SGS will also aim to promote a community based approach and involves the beneficiary
communities and local stakeholders with strong focus on local ownership in all phases of
project identification and implementation and enhance the sustainability of the project works,
empowerment of local communities and contributes much needed improvements in living
conditions in Iraq.
3.3 Priority Areas for SGS
The following are the main priorities areas or focus for the SGS:
 Public infrastructure rehabilitation or construction (private infrastructure is not
eligible for funding);
 Cash assistance projects in particular should follow the standard/harmonized policies
in terms of wage limits and technical guidance.
 Targeting un- or under-employed women and youth (excluding children) from
vulnerable groups of IDPs, host communities or both, depending on the situation.
 Projects will be gender balance with at least 30% participation of women.
 Projects uphold “Do no-harm” principles.
 Projects will be conflict sensitive and include mechanisms to increase social cohesion.
4.
Geographical coverage:
All the proposed Small Grant Projects should be within Kurdistan Region of Iraq.
5.
Beneficiaries:
The following are the direct and indirect beneficiaries that will be targeted by the SGS:
 The vulnerable groups of the displaced population, both IDPs and Refugees as well as
host communities
• Youth in general, since the project will create jobs and alternative sources of income,
which may help reducing migration and displacement of this important stratum of the
society;
• A minimum of (30%) of the beneficiaries should be women and their families,
benefiting from income generation activities, vocational training, and job
opportunities;
• Person with special needs, such as the people with disability and the elderly
Indirect beneficiaries can be including:
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End users of the rehabilitated social and economic infrastructure as well as improved
services in host communities;
Civil Society Organizations, local government institutions, private sector;
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The general population of project’s target areas in the Kurdistan Region of Iraq;
6. Budget
The budget ceiling for the SGS will range from USD50,000 to USD300,000. The budget
breakdown should be stipulated in the project proposal. The amount requested in the proposal
must be realistic and be based on the organization’s administrative and financial management
capabilities. The proposal should reflect the best-value of money and maximize transfer of
value to the beneficiary user within a given budget.
UNDP contribution will be paid in trances. The schedule of payments will be determined
upon the confirmation of funding.
7. Duration of Project
Recommended duration of the Small Grant Project is 6 months or less.
8. Reporting
 The CSO shall report to UNDP on the implementation of the Activities and
achievement of the Deliverables of the Small Grant Project.
 The CSO shall provide UNDP with (a) monthly reports, due within five (5) days after
the end of each month; and (b) a final report, due within thirty (30) days after the
completion of the Activities or expiration or prior termination of the project.
 Each report must be written in the English language and must, inter alia, contain
information on:
a) Activities carried out under the Agreement during the reported period;
b) Progress towards achieving the Deliverables during the reported period;
c) Corresponding indicators, baselines, sources of data, and data collection
methods;
d) Any new issues, risks, challenges and opportunities that should be considered in
implementing the Activities;
e) Financial data, including cash receipts and disbursements incurred by the CSO,
reconciliation of outstanding advances and foreign exchange loss or gain during
the reported period, if applicable; and
f) Cumulative financial data, showing satisfactory management and use of UNDP
resources.
 The CSO shall provide such additional reports related to the Activities as may be
reasonably required by UNDP under its regulations, rules, policies and procedures.
9. Maintenance of Records
 The NGO/CSO shall keep accurate and up-to-date records and documents, including original
invoices, bills, and receipts pertinent to each transaction related to the activities under the
Small Grant Project.
 The NGO/CSO shall promptly disclose to UNDP any income, including interest, arising
from the Activities. Such income shall be reflected in a revised Work Plan and recorded as
accrued income to UNDP, unless otherwise agreed by the Parties.
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The NGO/CSO should set-up and maintain a sub-project filing system, both physical and
electronic, and keep all relevant papers, documents, such as approved sub-project
proposals, signed MOUs, payment requests and receipts, lists of people employed in the project and prove of their payments, material procurement papers and receipts, materials/
tools’ local price surveys, monitoring reports, pictures, video clips, and progress and final
reports;
Set-up and maintain the project accounting system and track sub-project payments within
that system. Maintain the inventory lists of the items purchased for the sub-projects and
handover documentation.
The financial books/documents related to the project are subjected for auditing upon the
request of UNDP within a maximum period of 5 years after completion of the project. So
it is the responsibility of the implementing NGO/CSO to keep and maintain these books
during this period.
10. Implementation Arrangement and Management
 The NGO/CSO shall follow the Standard Terms and Conditions of the CSO Responsible
Party Agreement
 The NGO/CSO should ensure the safety and security of staff working for the
Implementing Institution;
 The NGO/CSO should ensure that the equipment and assets procured under this subproject of the Implementing Institution are maintained properly and are kept and
administered in line with UNDP Rules and Regulations;
 The NGO/CSO should monitor staff movements, their attendance and leave records, work
plans, and ensure timely and correct salary payments;
11. Language
All reports, surveys and other written project documentation produced by the organizations
will be drafted in English.
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