Quick Impact Projects (Qips) : A Provisional Guide
Quick Impact Projects (Qips) : A Provisional Guide
Quick Impact Projects (Qips) : A Provisional Guide
(QiPs)
A PROVISIONAL GUIDE
Comments and feedback on the Guide from UNHCR field and partner staff are welcome.
Sajjad Malik
malik@unhcr.org
Senior Rural Development officer,
Reintegration and Rural Settlement Section
Division of Operational Support
UNHCR, Geneva
Mark Mattner
Junior Professional Consultant (former)
Reintegration and Rural Settlement Section
Division of Operational Support
UNHCR, Geneva
Irma Specht
Conflict and DDR Specialist (former)
ILO Infocus Programme Crisis Response & Reconstruction
Geneva
Layout by
Myriam Mohn-Kubler
Reintegration and Local Settlement Section
Division of Operational Support
May 2004
Copyright United Nations High Commissioner for Refugees (UNHCR) 1999. Any chapter or part
thereof may be reproduced, translated into other languages, or adapted to meet local needs without
prior permission of UNHCR, provided:
i) the chapters or parts used are distributed free, and not for profit, and
ii) acknowledgement is given to UNHCR as the originating source.
UNHCR, Geneva, would be grateful to receive copies of any adaptation or translation into other
languages.
BOXES
Box 1 Main features of QiPs .................................................................................. 1
Box 2 Building a Road - using labour intensive methods………………………..… ... 3
Box 3 How to Design a QiP Focused on Economic Benefits…………………………. 4
Box 4 An Urban QiP in Somalia………………………………………………………. 5
Box 5 Some weakness of QiPs………………………………………………………… 6
Box 6 General questions for the community in the assessment phase………………… 11
Box 7 Community Participation/Local Inputs………………………………………… 12
Box 8 Community Empowerment Projects: tools to consolidate reintegration ………. 14
ANNEXES
Annex 1 Coexistence QiPs......................................................................................... 19
Annex 2 QiPs Assessment Checklist........................................................................... 23
Annex 3 Community Consultations for Design of QiPs…………………………........... 27
Annex 4 QiP - Project Proposal…………………………………………………… ........ 31
Annex 5 Short Format for Sub-Project Agreement………………………………........... 33
Appendix 1: General Conditions for Short Sub-Project Agreements.............. 36
Appendix 2: Standards of Conduct Ensuring Protection form Sexual............ 52
Exploitation and Abuse
Annex 6 QiP Tracking Sheet………………………………………………………......... 55
Annex 7 QiP Monitoring Form……………………………………………………......... 57
Annex 8 QiP Completion Form……………………………………………………......... 59
Annex 9 Labour Market and Employment Prospects…………………………….. ......... 61
i)
ii)
About this Guide
The purpose of this Guide is to provide practical suggestions on designing Quick impact
Projects (QiPs) in a way that contributes to solutions for refugee and returnee situations and
produces sustainable outcomes. It is designed to propose a standardised approach to QiPs,
avoiding the common pitfalls that have been identified from lessons learnt in the past. The
Guide is intended for UNHCR field staff, implementing partners and other actors involved in
implementing QiPs, including beneficiary communities, local and national authorities, as well
as multilateral and bilateral development agencies.
Part 1 discusses the main features of QiPs, explains the different types of QiPs and how they
can be strategically used in the implementation of durable solutions.
Part 2 outlines some of the key factors that are crucial for project success.
Part 3 outlines the QiP project cycle and provides detailed guidance on the various stages of
needs assessment, project design, implementation, monitoring, evaluation and reporting.
The annexes contain additional information and tools, including checklists, formats for
project monitoring and reporting and short format for sub-project agreement for QiPs and
other tools useful in designing and implementing QiPs.
This is also the best avenue through which to exploit the comparative advantages
that UNHCR currently has in Afghanistan in terms of extensive field presence,
resources and implementation capacity. This was repeatedly recognised by both
UNDP and Bank representatives today.”
iii)
iv)
Introduction
This implies inter alia to ensure access to basic services and self reliance of refugees pending
durable solutions; and, in voluntary repatriation the restoration of national protection (to
obviate the need for international protection); and, through the reintegration process, the
ability to maintain sustainable livelihoods, access basic services and fully reintegrate into
communities and countries of origin. In post-conflict situations, UNHCR should situate its
repatriation and reintegration work within a broader context of transition from conflict to
peace and try to build peace and bridge the gap between relief and development so as to avoid
creating a dependence of returnees on humanitarian assistance and to ensure returnees’ early
and sustainable reintegration.
The term Quick Impact Project (QiP) was first used by UNHCR in 1991 to describe
small-scale, low cost projects designed to assist reintegration of returnees and displaced
persons in Nicaragua. During the 1990s, QiPs evolved from ‘one-shot’ community based
infrastructure interventions to more elaborate sets of activities and were presented as tools
linking relief to longer-term development. The QiPs also began to include income generating
and micro-credit schemes. On the whole, they were seen as quick, focussed and relatively
simple to implement, producing rapid results and supporting area/community development.
Lessons learned, however, calls for planning and implementing QiPs in an integrated manner
rather than as several stand-alone projects.
In May 2003, UNHCR issued the Framework for Durable Solutions for Refugees and Persons
of Concern, consisting of:
Æ Development Assistance for Refugees (DAR) which aims to achieve and facilitate:
§ burden sharing with the host country;
§ compensation for the burden aspect of the host community;
§ development of the host country and of the host community;
§ gender equality, dignity and improved quality of refugee life;
§ empowerment and enhancement of productive capacities and self-reliance of
refugees, particularly of women, pending durable solutions.
Æ Development through Local Integration (DLI) applied in situations where the State
opts to provide opportunities for gradual integration of refugees. DLI would solic it
additional development assistance with the aim of attaining a durable solution in
terms of local integration of refugees as an option and not an obligation.
v)
It is essential, that QiPs, while providing essential immediate relief, contribute to finding
durable solutions for displaced populations, especially within the context of DAR, DLI and
4Rs programming frameworks. In the 4Rs context, QiPs should be implemented in
conformity with the Handbook for Repatriation and Reintegration Activities, issued in May
2004.
Unless …(QiPs) ..form part of an integrated strategy for reintegration, rehabilitation and
reconstruction, and designed with community participation their impact is likely to be
insufficient, isolated and short-lived.
vi)
Part 1: Main Feature of QiPS
2. While benefiting all members of the community equally, QiPs can also make a significant
contribution to reconcile and promote the inclusion of groups with special needs. Box 1
presents the main features of QiPs.
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1.3 Strategic planning of QiPs
4. Lessons learnt from the many QiPs implemented throughout the world have shown that QiPs
need to be planned carefully and strategically. Without losing the speed of implementation,
which is their strength, QiPs should preferably be designed with a long term perspective.
Though some QiPs can be implemented in a few weeks time, maximum project cycle of a QiP
is anticipated to be 6 months. This relatively short input should be provided in such a way
that it has long lasting results. Two scenarios are possible in this respect:
♦ the QiP as a boost to on-going activities implemented in such a way that it helps
beneficiaries kick-start a number of activities which are likely to continue after the
maximum project period of 6 months. These are often projects that provide inputs to
initiatives that already exist in the communities, such as agricultural inputs to farmers
(seeds, fertilisers, tools); improvement of existing water-sources, improvement of
existing (damaged) infrastructure such as roads, markets, schools, health centres;
training in sustainable local development; maintenance and repair of small machinery;
and inputs into the local economy (e.g. small business management, etc).
♦ the QiP as part of an area-based development or recovery process, which has already
started or is about to start. In this way QiPs can be part of a start-off process that will
receive the necessary support for a longer period. In this scenario the strategy should
be to feed QiP activities into the longer term self reliance and reintegration strategy.
6. Within these technically broad ranges of QiPs, three categorizations are useful to make:
♦ QiPS focused on social benefits;
♦ QiPs focused on economic benefits; and
♦ QiPs focused on co-existence.
7. This differentiation relates to the objectives of a QiP in terms of the results and benefits they
are likely to produce. Such a differentiation is useful, in order to focus on the impact to be
obtained. However, these are not exclusive categories, as well designed QiPS will have
positive social, co-existence and economic impact. The following example shows how a QiP
that had a social objective, was designed in such a way that it is also benefited the local
economy and improved co-existence. Annex -1 provides further details on co-existence QiPs.
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Box 2: Building a Road - using labour intensive methods
Potential benefits/results
Social and coexistence benefits:
♦ improved road/living conditions;
♦ co-existence (jointly working on one project); and
♦ youth, men and women work together on a community project.
Economic benefits:
♦ sustainability in terms of maintenance (due to feelings of ownership);
♦ temporary jobs (short term employment);
♦ cash-flow in the society (possible input for the micro entrepreneurs);
♦ capacity building of local contractors (use private sector actors as implementers);
♦ improved access to economic opportunities;
♦ reduced costs for traders; and
♦ lower prices of goods and servic es for the population.
8. An assessment of needs and opportunities should determine the focus for the QiP –i.e. focus
mainly on social, co-existence or economic benefits or a combination of above.
9. QiPs that are designed to mainly have a positive social impact on the communities can be
designed in such a way that they would produce secondary benefits in terms of the creation of
employment, improving skills to increase employability, building capacities of private sector
actors and providing inputs to the local economies. Examples of these types of interventions
include the following:
♦ construction of essential services infrastructure, which are, were, or will be used by
refugees or returnees and local communities, such as water and sanitation works, or
hospitals, clinics and schools (such projects would include the provision of furniture,
heating and electricity if this is the local standard and if it can be operated and
maintained by the local community);
♦ rehabilitation of infrastructure which is essential for repatriation purposes (e.g.
rehabilitation of roads or border crossing facilities);
♦ rehabilitation of community infrastructure such as sports halls, cultural centres, parks,
places of worship, or community halls. (Community reconciliation may benefit from
the construction of shared community facilities for social, educational and
recreational activities);
♦ cash and material support to provide labour-intensive services (e.g. rubble remova l
and street cleaning);
♦ material, financial or technical support and capacity building for authorities (e.g.
municipal authorities) and/or local NGOs and associations involved in refugee or
returnee welfare. These include strengthening of judicial and legal institutions and
frameworks;
♦ environmenta l protection initiatives such as establishing tree nurseries for production
of cash crop trees intended for homestead and agro-forestry, domestic waste
management schemes and environmental awareness raising campaigns;
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♦ support to mass information initiatives, such as returnee or refugee information
campaigns on repatriation and reintegration.
The following information would be required for the design of QiPs focused on economic
benefits (please also see Annex 9):
♦ identify economic needs and the priorities of the population in the short and medium
term;
♦ collect information on ongoing economic activities in the area;
♦ collect information on pre-war economic activities of the population that have
stopped due to the war;
♦ list private sector actors (formal and informal) in the area;
♦ assess the demands for goods and services;
♦ assess which products are imported and exported from the area;
♦ assess access to markets for small traders and clients;
♦ assess the long term potential of the area in economic terms (potential for growth,
promising sectors etc.);
♦ assess economic development plans for the area (by national and local government,
private sector actors, development organisations and donors).
10. The most crucial element of QiPs focusing on economic benefits is to identify critical
investments to trigger economic activities in the communities and then to identify sound
investment opportunities for the medium and long-term.
11. Successful economic QiPs usually combine different elements of assistance such as:
♦ training (skill and business training);
♦ technical assistance (complementary package of business support services);
♦ forum- to reach consensus on the proposals; and,
♦ links with Micro-finance services (credit, grant and leasing).
12. An appropriate tool for designing QiPs focused on economic benefits is the Local Economic
Development (LED) approach (Source: ILO manual on Local Economic Development in
Post-Crisis Situations). This tool suggests that such interventions should be supported by a
local Forum - a consultative informal group of local private and public actors who are key-
players in the local economy. The key to ownership and sustainability is to design and
implement QiPs under guidance of such a forum.
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Box 4: An Urban QiP in Somalia
ILO in partnership with UNDP set up a documentation center for Local Economic
Development and Appropriate Technology (LEDAT) in order to facilitate the access to
information and techniques for the local stakeholders (NGOs, CBOs, women groups,
youth groups, chamber of commerce, business association and also individuals from
private sector).
The center is located in the Center of Hargeisa town, so as to be as accessible for the
highest numbers of organizations/groups/individuals.
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Part 2 Lessons Learned
13. The level of use of QiPS as a tool to link relief to development and to bring about conditions
for durable solutions (in a return or asylum situation) called for planning and implementing
QiPs in an integrated manner rather than as many stand-alone projects.
One critical source notes that “while QiPs have generally proven quite successful in
meeting their immediate objectives, they appear to have been less effective in attaining
their long-term goals. As a number of past evaluations have indicated, there is a
fundamental tension between speed and sustainability in UNHCR’s approach to
reintegration. Implemented very quickly but with relatively little planning or
preparation, doubts have been raised about the cost-effectiveness of QiPs and the extent
to which they are viable once UNHCR has left the scene”.
2.1.1 Sustainability
15. While QiPs may prove successful in meeting their immediate objectives, they have generally
been less effective in contributing to longer-term development objectives if not carefully
planned. Insufficient planning, especially grossly inadequate technical specifications and
standards and costing, has been one of the causes. Issues such as the recurrent cost of QiPs, as
well as the need for communities to assume ownership of projects for operations and
maintenance are also usually overlooked (see section 2.2 for further elaboration of these
points).
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2.1.3 Gender and age considerations
17. As in any UNHCR programme, gender considerations should be integral to the design and
management of QiPs. Concrete steps can be made in the design of QiPs to address the
following issues:
♦ discrimination: ensure that female -headed households and groups with special needs
are not discriminated against in benefiting from the project;
♦ capacity: ensure that implementing partners have the capacity to implement gender
and age-sensitive policies;
♦ partnerships : establish early contacts at the planning stage with organizations that
specialize in gender and age sensitive programming to ensure that adequate
monitoring and introduction of relevant expertise. Such organizations can help with
gender and age sensitive planning, staff recruitment, and training for UNHCR and
partner field staff. They can also facilitate understanding of the economic and
cultural factors that affect how females and groups with special needs gain equal
access to national protection and basic services;
♦ training: UNHCR and partner staff should be aware of techniques for gender and age-
sensitive analysis and programming;
♦ staffing: recruit and train local women as field staff and ensure that the composition
of staff includes an appropriate balance of female field officers;
♦ impact: evaluate how UNHCR policies and practices affect the role of women, girls
and different age groups in the household and community.
Further guidance should be sought from the Women, Children and Community
Development Section of the Division of Operational Support, UNHCR HQs.
For further guidance contact the Technical Support Section of the Division of Operational
Support, UNHCR HQs, for UNHCR Guidelines on Environmental Impact Assessments
and related Guidelines.
19. The following represent a synthesis of the crucial factors contributing to the failure or success
of QiPs. These have been drawn from a review of UNHCR evaluations and lessons-learnt
reports, complemented by approaches adopted by other UN agencies (e.g. ILO). Critical
factors include the following:
♦ community ownership: projects should respond to the needs expressed by local
communities. Community participation is an integral part of successful QiPs.
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Overall, communities should take ownership in terms of identification, design,
implementation, operation and maintenance and monitoring. QiPs should therefore,
be designed in a way appropriate to local capacity in both technical and managerial
terms. This can contribute to building capacity at the local level and potentially foster
reconciliation of community members;
♦ integrated approach rather than stand-alone projects: QiPs should form part of overall
strategies with an area development approach at both the national and local levels.
They should conform to local transition/ recovery or development plans where these
exist, including reference to the latest relevant socio-economic base-line data. Where
possible, projects should be mutually supportive (e.g. water supply system repair
linked to a school rehabilitation project);
♦ partnerships : activities should be managed through partnerships with other actors.
These actors may be community organisations, national/local authorities or
multilateral/bilateral agencies. These actors should be involved from the beginning of
the process through joint assessments, information sharing, analysis, strategy
development and programming. Wherever possible, QiPs should be implemented
using existing organisations as opposed to the rapid creation of ad hoc structures;
♦ recurrent cost: it is of primary importance to plan at the design stage how recurrent
cost, both operational and maintenance will be covered;
♦ timeframe: projects requiring maximum of 6 months to produce results should be
considered. Projects with longer duration should be handled as a programme under a
sub-agreement with an agency.
2.2.1 Cost-effectiveness
20. When implemented too quickly and with relatively little planning or preparation, QiPs will
not be cost-effective and their viability once UNHCR has left the scene may be uncertain -
producing ‘white elephants.’ This can be avoided by paying attention to the following:
♦ priorities: QiPs should address priority needs identified by communities;
♦ size: QiPs should be kept small, in line with the standards in this guide;
♦ limitations : UNHCR and partners need to explain to communit ies the limitations of
what a QiP can provide in terms of size and cost;
♦ expertise: technical expertise is essential to cost, monitor and inspect QiPs;
♦ indirect benefits: where feasible, indirect benefits, such as the provision of
employment and commercial opportunities, should be factored into the cost-
effectiveness analysis.
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directly the la rgest project in any programme. Community-based monitoring
mechanisms should also be developed;
♦ management procedures: as for any project, UNHCR programme and financial
management rules must be adhered to. This applies specifically to rules for
procurement and contracting, in accordance with the UNHCR manual;
♦ contracting arrangements: where implementing partners may not be formally
constituted bodies (e.g. an unregistered community council), special arrangements to
find acceptable contracting arrangements need to be made. These may include
contracting through an existing NGO or official body;
♦ standard formats: standard formats and practice should be applied globally, to assist
in systematising QiPs management. This should include recording expenditures
under QiPs, in order to track and compare expenditures from one region to another.
This item can be used flexibly to inc lude specific information on QiPs budgets;
♦ review: QiPs should be reviewed periodically (locality by locality) even after
completion.
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Part 3 The QiPs Project Cycle
22. The main steps in a QiPs project cycle are: Assessment; Planning; Project Proposal;
Implementation; Monitoring; and Evaluation. These steps are in line with the
UNHCR Operations Management Cycle (OMC) depicted in figure below.
3.1 Assessment
23. It is essential to adopt a genuine participatory approach in defining the priority needs of
communities. The challenge is to ensure effective consultation to elicit people's views and
understand their needs and prior ities. QiPs should be appropriate and provide technically
feasible responses to these needs. Collecting technical information is necessary to implement
the proposals gathered and there may be a need for further specialist assistance (e.g.
hydrogeological survey for drilling boreholes). Assessment and community consultation
checklists are provided as annexes 2 and 3.
ASSESSMENT
EVALUATION DESIGN
OPERATIONS
MANAGEMENT
MONITORING CYCLE
REPORTING RESOURCE
ALLOCATION
IMPLEMENTATION
COORDINATION
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25. Consideration needs to be given to the following technical aspects:
♦ inclusion of technicians with relevant skills in the survey team;
♦ analysis of constraints and justification of technical interventions;
♦ community commitment and long-term sustainability;
♦ specifications, bills of quantities and costs for proposed systems or structures;
♦ assessment of rehabilitation and construction capacities area-by-area (e.g. contracting
companies, local building expertise, availability of materials);
♦ as far as possible, designs and specifications should be standardised in agreement
with Government and other agencies; and
♦ compatibility and transfer of responsibility to other agencies.
♦ What are the key problems and constraints confronting the community?
♦ What are the main reasons for these constraints and what is needed to overcome
them?
♦ Has the community made any attempt to overcome these problems and why has
there been no result?
♦ In what way could a QIP address these problems? How will it contribute to their
development?
♦ Could other organisations provide or are providing any additional support?
♦ What skills and organisations are available in the community? What are the gaps?
♦ What contribution could the community make towards the project (cash, in-kind or
labour)?
♦ Has the community been previously involved in community-based projects?
♦ How will the project outputs be maintained and operated after completion?
♦ What are the levels of capacity within the community?
♦ How are gender and age issues taken into consideration?
♦ Who will be responsible for implementation and monitoring and how?
♦ What are the environmental concerns?
3.2 Planning
26. QiPs should form part of an overall recovery and transition-development strategy. Practice
has shown that QiPs are rarely successfully mainstreamed, when they are designed and
implemented without the involvement of stakeholders and concerned government
departments and communities. Communities, local authorities, development agencies and
local NGOs should be involved early in the planning stage. UNHCR and implementing
partners should know and understand the local and national development actors and their
programmes, especially local planning and line ministry executive authorities, and the
implementing role they can play in the QiPs programme. Planning should take place with
reference to relevant situational data (population profile, socio-economic survey, risk
analysis).
27. In addition, an in-depth assessment needs to be made regarding the technical and managerial
capacity of partners to plan, design, implement and monitor QiPs successfully. UNHCR
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should have sufficient capacity to help plan and design QiPs and monitor implementation.
Among the programming instruments that should be available are management, monitoring,
reporting, tracking and evaluation tools. If necessary, additional specialist expertise should be
sourced from outside or within UNHCR HQs or training should be conducted.
28. It is important that a formal hand-over agreement is made with the community after project
completion. This would clearly state the community’s commitments and obligations after
project completion in terms of the long-term operation and maintenance of the facilities.
While these steps may reduce the speed of implementation, they will improve the
sustainability of programmes.
29. Large programmes with several QiPs require at least three levels of plans:
i) overall strategy and objectives of QiPs in relation to local/national level rehabilitation,
reconstruction and development strategy;
ii) overall implementation plan of all QiPs in an area, showing locations, type and
implementation time-lines consolidated into one single document; and
iii) plan for each QiP;
Discussions should be held with communities on their participation in the planning and
design process and their contributions. This could include: materials in terms of their
quantity and local value, skilled and manual labour in terms of the type of work, person
days required and payment (cash or food), land or buildings, cash contribution and means
of collection.
The project proposal should include information on the community management and
leadership structures. It should also include provisions for equal opportunities for women,
people with disabilities, youth, minority groups etc. Additionally it should be assessed
what the private sector actors could contribute to the QiP.
30. Designed on the basis of thorough planning, a QiP proposal format consists of 3 parts: a)
Project Summary; b) Project description, and c) Project budget. For details see Annex 4.
31. The project description should state the core problems to be addressed by the project and the
expected project impact. It should also specify the number of beneficiaries, outline relevant
socio-economic data (age, sex, ethnic and religious background, education/skill profile,
rural/urban, etc).
32. The project description should also include the objectives which should result from a rapid
needs assessment. They should be achievable and clearly stated and quantified, wherever
possible, by showing precisely the expected results. Please refer to UNHCR Practical Guide
to The Systematic Use of Standards & Indicators in UNHCR Operations (First Edition,
January 2004). As a general rule, a project objective must specify the number of people to be
assisted, the end-result that is intended and the date by which the result should be achieved.
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33. A more detailed description of the project should then be provided. It should indicate the main
activities (building works, services, etc) to be carried out and specify performance indicators
of verification for each activity.
34. The budget should be broken down by nature of expenditure under one FMIS code (see short-
format sub-agreement in Annex 5). Each budget item should specify a unit, the unit cost,
number of units needed, the number of periods for which the units are needed.
35. QiPs should cover only direct costs of implementation. Support costs, such as expatriate’s
salary/per diem, administrative or miscellaneous overhead costs, should not be included in the
budget for QiPs.
3.4 Implementation
36. Direct implementation by UNHCR should be avoided unless absolutely necessary. Depending
on circumstances, select partners for individual QiPs or one partner for a programme that has
a number of QiPs. The creation of new parallel organisations (e.g. new local NGOs) for the
purposes of QiPs should be avoided. As a rule, existing structures should be strengthened,
both official and civil.
37. Sub-contracting by partners should be conducted according to accepted UNHCR rules and
procedures. UNHCR and partner staff need to be trained in these procedures, especially if
they are responsible for a large programme that has several QiPs (UNHCR financial rules on
tendering requirements and procedures).
38. Each implementing partner should have qualified experts, according to the particular type of
QiP being implemented. UNHCR also needs expertise, especially to carry out its monitoring
functions. They should generate in consultation with local authorities and line ministries,
technical standards, sample costing, simple manuals on implementation, design and oversee
the tendering process, etc.
39. For Criteria in choosing implementing partners please refer to UNHCR Manual. Some
general considerations include :
♦ experience in the particular task;
♦ systems for financia l and administrative management;
♦ staff with relevant expertise;
♦ equipment and vehicles to cover the range of QiPs and the geographical area; and
♦ knowledge of local contractors and suppliers, etc.
40. The community should be informed and involved throughout implementation. Help should be
given to enable communities cope with the possible tensions and strains, especially the
potential rejection of any newcomers into the community. Analyse carefully the implications
of who will benefit and who might not benefit from QiPs. Issues such as ownership of land
and control of water or other resources and services are all potentially divisive or cohesive
forces, depending on how they are managed.
41. Communities could be supported to implement their own QiPs, through the provision of
materials and technical support (e.g. hiring an engineer to advise on small construction or
shelter projects).
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Box 8: Community Empowerment Projects: tools to consolidate reintegration
(Sierra Leone)
An important focus of UNHCR’s work in Sierra Leone in 2003 was the empowerment of
communities to help people re-establish themselves in main areas of return. Through a few
selected implementing partners, funds were made available to support a range of Community
Empowerment Projects (CEPs). The scope of the projects is modest but strategic in
empowering different groups, such as women, children, adolescents and older people (all
priorities for UNHCR). The projects focused on small-scale interventions that communities
can manage, such as social activities, local construction and agricultural processing. By
helping people participate in decision making, CEPs are advancing political development and
democratization in a society plunged into conflict largely because of people’s exclusion from
decision making. CEPs are thus a potential tool to enhance protection and peace building, as
well as household economic recovery.
♦ More than 80 started in main return areas (August 2003);
♦ Alternative to previous partner- and UN-driven projects;
♦ Decisions made at the field level (the community sets priorities and makes plans);
♦ UNHCR and the National Council for Social Action (NaCSA) provide support;
♦ Indicative US$7,000 per site to provide material resources;
♦ Partners facilitate inclusive decision making;
♦ Link into the World Bank/NaCSA Direct Community Financing; and
♦ Enforce community understanding, knowledge and protection at the field level.
42. A set of standard forms should be used for each QiP, such as a project proposal (see Project
Proposal section), project agreement (e.g. the UNHCR short sub-agreement format), a project
tracking form, a monitoring form and a completion form (see Annexes 6, 7 and 8).
44. The purpose of monitoring is to help achieve effective performance by tracking progress
towards objectives and to provide feedback to improve operational plans and timely
corrective measures. Within UNHCR, monitoring aims to:
þ Provide managers and staff with the information they require to take timely and
well-informed operationa l decisions;
þ Identify and immediately correct operational problems;
þ Ensure assistance is delivered as planned and in an equitable manner;
þ Identify protection problems in a timely manner; and
þ Contribute to reporting required for Headquarters, ExCom, donors and others.
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45. Monitoring can only be accomplished if objectives are properly developed and clearly defined
and appropriate indicators formulated. Essential steps in undertaking any monitoring exercise
include:
þ Collecting the data with respect to the quantitative (e.g. number of clinics
rehabilitated) and qualitative (e.g. improved educational standards) indicators;
þ Analysing the data collected; and
þ Using the information to improve current and future projects and programmes.
46. A short monitoring plan should accompany each QiP or cluster of QiPs as appropriate,
detailing the location (Geographical Positioning System (GPS) coordinates), key indicators,
expected frequency of on-site monitoring visits and key responsible persons from the
community, the implementing partner and UNHCR. These people and their contact details
should be recorded for each QiP, to facilitate follow up.
47. A simple agreement setting out mutual responsibilities and authority (e.g. in the event of a
dispute) can be drafted and signed by all concerned. Make it clear who has the responsibility
and authority to supervise works and the extent of that authority (e.g. over recommending the
final disbursements, contingent upon certification of works).
48. The community or official authorities can be organised and supported to monitor the works in
their area. This will be particularly effective if communities fully own (and are well informed
about) the projects. Monitoring can be improved through the specialised NGOs specifically
to supervise and report on works or to advise communities.
49. Tracking of QiPs should include all critical information, such as objectives and outputs,
activities, cost, start and completion dates, contracted implementers, certification of the works
at key stages of implementation, community inputs, etc. These should be stored in a
comprehensive database using Excel or ACCESS. See Annex 6, QiP Tracking Sheet.
50. Information on each QiP can be contained on individual QiP sheets preferably with digital
photos of the works at key stages. A standard summary sheet should exist for each QiP file,
listing dates of key ‘events’ including instalments made, periodic financial, monitoring and
evaluation reports by partners and UNHCR, etc. This should show at a glance the QiPs status
and facilitate as a checklist on standard requirements and procedures. It should provide a
historical overview upon completion. See Annex 6 and Annex 7.
51. The main implementers of QiPs Programme (e.g. those receiving total funds for a programme
that contains a number of QiPs) should be inspected or audited according to a pre-determined
schedule and criteria. This can be done by professional auditors. For further advice please
contact Audit Unit at UNHCR Headquarters.
52. A useful approach is to organise visits by local authorities and donors to QiPs programme
area, either upon completion or during the works. They can, if they agree, also be part of the
inspection process, through specially assigned experts. This can be a way of getting access to
more expert staff for monitoring and inspection.
53. Each QiP should be formally certified upon completion and this should be recorded in the
database. That certification can be on a simple form detailing completion and formal hand-
over to future users. See Annex 8 QiP Completion Form.
15
3.6 Evaluation
54. Evaluation is as systematic and objective an analysis and assessment of an organisation’s
policies, programmes, practices, partnerships and procedures as possible and focuses on
planning, design, implementation and impacts.
55. An evaluation aims to ascertain the appropriateness and fulfilment of objectives, as well as
the efficiency, effectiveness, impact and viability of an organisation’s activities. It should
provide credible and useful information that enables the incorporation of lessons learned and
good practices into policy making, decision making, programming and implementation.
Evaluations should concern, and therefore be driven by, both Headquarters and field staff.
16
ANNEXES
17
18
Annex 1
Coexistence QiPs
Background
In 2000, UNHCR launched the pilot project Imagine Coexistence. The intention was to
explore an approach to ensure the sustainable repatriation and reintegration of people
returning to divided, and emotionally and economically strained communities. Governments
and local authorities may perceive returnees as disruptive and potential sources of new
violence and may be suspicious of them. Returnees themselves may face dislocation as they
find others living in their homes or no homes to return to. Moreover, returnees may find
themselves living side-by-side with those they only recently confronted as enemies.
Definition
Coexistence is a first step towards reconciliation. For UNHCR, coexistence may well be a more
realistic point of achievement rather than reconciliation and/or forgiveness given the
organisations rather short-term engagement in reintegration activities.
Coexistence:
♦ Is more than living peacefully side by side
♦ Involves some degree of communication
♦ Involves some degree of interaction
♦ Involves some degree of cooperation
To achieve coexistence communities and individuals require the capacity and determination
to recognise each other’s status and rights as human beings; develop a just and inclusive
vision for the community’s future; and jointly plan, design and implement economic, social,
cultural, or political development across former community divides.
Methodology
Imagine Coexistence is a bottom-up methodology, building on UNHCR’s existing connections
within local communities following repatriation. It aims at enabling community members to
find a reason, or an incentive, to come together. This is vital for people whom otherwise
distrust, fear and/or hate one another. Economic opportunities may constitute such an incentive,
and the chances for promoting coexistence increase when projects encourage members of
different groups to work alongside one another. The philosophy behind Imagine Coexistence is
that by bringing divided communities to communicate, interact and cooperate through the
provision of incentives (e.g. job creation), UNHCR can render return more sustainable and
prepare the grounds for later reconciliation work. The latter stresses the need for planning
coexistence interventions from the earliest stage jointly with actors in the field of reconciliation.
19
In principle coexistence interventions would apply a ‘cluster’ approach, where projects, often
with a primary income generation focus, are developed in various domains (education, arts,
environment, etc) by executing agencies (local associations, local NGOs and CBOs, private
companies, local authorities, informal community groups) through a participatory decision-
making process.
A Coexistence Steering Committee, made up of: (i) Communities; (ii) Partners; and (iii)
UNHCR staff, would review the proposals. On approval by this Committee, grants would be
paid out to the communities for their proposed activities/project implementation. The
Coexistence Steering Committee will use the criteria below for the selection of projects.
20
Examples of Coexistence Projects
♦ Launch of small businesses with inter-ethnic workforce and targeting client of all
ethnic groups (e.g. fruit drying chamber, PVC bag production, and nail production,
coffee bar, internet café, drugstore/sales shop, taxi service, brick making).
♦ Agricultural production (e.g. apple, mushrooms and strawberry production) through
trainin g of mixed communities by local agricultural associations and provision of
seeds and equipment (e.g. greenhouse).
♦ Animal husbandry after training of mixed communities groups on participatory
approaches. In Rwanda most groups opted for livestock rearing projects to generate
manure for fertiliser. Goats are owned and kept and managed by the community at
large.
♦ Skills training for youth including journalist and computer training of inter-ethnic
groups with the objective of increasing respect for other individuals rights/opinions
and enhance objectivity.
♦ Post-traumatic stress therapy for children of different ethnic groups.
♦ Birth preparation classes for groups of Croat and Serb women in Drvar, Bosnia.
♦ Sports projects (establishment of interethnic youth sports clubs (e.g. basketball,
handball, judo)).
♦ Inter-ethnic school of folk dancers: Production of folk dresses for inter-ethnic dancer
group to perform tradit ional dances of all ethnicities.
♦ Establishment of local newspaper, which also covers the issue of coexistence.
♦ Rehabilitation of existing market place to establish meeting place for all ethnicities.
♦ Support for activities of local NGOs already promoting coexistence e.g. acting and
dancing performances.
However, the path towards the development of the micro projects and the selection criteria for
micro projects that can be funded under Imagine Coexistence are distinct.
The substantial training component that precedes the development of the project proposals has a
focus on coexistence. It is explicit that only projects that can document clear elements of
coexistence (e.g. individuals of different ethnicity to plan and work together) can be funded.
21
It should be noted however that training of the communities on the concept of coexistence,
communication, cooperation and participatory decision making, should precede
implementation.
What are the coexistence issues: Coexistence problems may not be between different ethnic
groups, but can well be within one ethnic group e.g. between generations or groups of
individuals who found refuge in an asylum country and other groups that stayed in the village or
became IDPs in country of origin.
Is coexistence a priority for the authorities? In Bosnia it may have been the case with some of
the local authorities, but there appeared to be no commitment (or interest) at the national level
for coexistence and reconciliation. In such a context, it may be difficult to involve authorities
and obtain their support.
22
Annex 2
General Considerations
þ What are the grievances expressed by the community?
þ What previous aid has the community received?
þ What were the results of this aid?
þ What is the project area?
þ In what way could the project provide the most appropriate support?
Objectives
þ Are the objectives of the project clearly defined?
þ Are they reasonable and practical?
þ Are they ba sed on needs?
þ Are they compatible with longer-term area development objectives?
þ Who are the potential beneficiaries of the project?
Design
þ Is the project consistent with the transition/recovery programme strategy, including
national and sectoral objectives and priorities?
þ What is the relationship of the project with other activities in the area especially the
transition/ recovery programme?
þ What additional support could other organisations provide or are providing in this area?
þ Is the project feasible?
þ Does the design take into account local conditions and customs?
þ Is the timing realistic?
þ What are the risks, if any, associated with the project and could these cause it to fail?
þ Are there any issues requiring further investigation? If so, what are they?
Community Participation
þ Have beneficiaries been involved in identifying needs and in the design and planning of
project?
þ Is there a mechanism to allow participants to voice complaints or make suggestions to
amend the project?
þ Do all project beneficiaries have a stake in it?
23
þ Are they in some way contributing to the project?
þ To what extent are beneficiaries able to influence the course of the project?
þ What mechanisms are there for this?
Project Impact
þ What are the proposed activities and outputs of the project?
þ How will the project impact on people's lives in terms of livelihood creation, enhancing
absorption capacity, improvement of basic services etc.?
þ What is the expected impact in the immediate and medium/long terms of the
programme comprising of various QiPs?
þ What are the risks in terms of negative impact (in terms of e.g. environment, gender,
local economy, and vulnerable groups)?
Implementation
þ Does the implementing partner have the necessary managerial and technical capability
to implement the project?
þ What human, financial and material resources are needed to implement the project?
þ What time is required to implement the project?
þ Does the project include training to ensure community implementation and
maintenance?
Cost Effectiveness
þ What are the capital costs of the project?
þ Are the costs reasonable?
þ Are the resources adequate to the requirements?
þ To what extent is the project the cheapest way to achieve the defined objectives?
þ Are salaries compatible with local conditions?
þ Are equipment costs appropriate to local conditions?
24
Sustainability
þ Has the government authority provided inputs in the design of the project in conformity
with transition/recovery programme?
þ For how long will the project be sustainable?
þ What effect will the project have on the environment?
þ What effect will the project have on the local economy
þ What are the recurrent cost implications of the project?
þ Are adequate resources available to operate and maintain the project in the future?
þ Who will fund the recurrent costs i.e. operational and maintenance costs of the project
in the medium and long-term?
þ Has an agreement been reached with the relevant government authority that recurrent
costs will be forthcoming from government budgets?
Replicability
þ What is the multiplier effect likely to be?
þ Could the activities be expanded to neighbouring areas?
25
26
Annex 3
During this exercise, the field survey team is facing three main tasks:
þ become acquainted with the social groups and the physical environment in which
activities are to be carried out;
þ inform residents of objectives of the visit;
þ hold discussions with the beneficiaries (including villagers, community leaders,
local/community organisation leaders, professionals such as teachers or medical
personnel both men and women).
Community Meetings
The community meetings could be conducted in two ways:
þ separate discussions with individual groups on selected issues;
þ joint discussions with a large integrated group on matters of common interest.
Attendance of the meetings depends on the time available, the social characteristics of the
population or the particular topic discussed. Men, women, young and elderly persons could
either meet together or in separate discussions. The survey team should seek opinions from
those people reluctant to speak out in large public meetings and would ensure equal
opportunity for consultation with women.
Such community discussions would bring planners and communities together to share
information, identify needs, and define development approaches and priorities. In this
process, the survey team would be expected to:
þ learn from local people about their grie vances, desires and aspirations;
27
þ inform them about the team's technical assessments of opportunities for development
investments and disseminate any other available information;
þ assess community readiness to contribute towards the project activities.
Data Gathered
While it is important to gather the data required for programme of QiPs proposals and
planning, there should be sufficient flexibility in the conduct of community discussions. The
interests of the community or group should dictate the agenda. This requires a great deal of
sensitivity from facilitators in the survey team.
Findings
The information gathered should be summarised and presented to a community meeting in
order to allow for the following steps:
þ a review of the production support services (credit and technical assistance) and social
services (education, health, drinking water, etc.);
þ expression of beneficiaries’ views on the assessment findings and on its project
implications in terms of the community’s developmental priorities; and
þ discussion of possible solutions to urgent problems.
28
Activity Purpose
4. Follow-up of the ♦ Check technical feasibility of proposals in the field
Locality Study ♦ Check social acceptability of proposals through discussion
with individuals and groups
29
30
Annex 4
2. Project Description
2.1 Project Justification
Briefly state the core problems to be addressed and the expected project impact.
For example “alleviate shortage of water in village with increased population from
3,000 to 5,000 due to returning population”.
2.2 Beneficiaries
Specify the number of beneficiaries.
Outline relevant socio-economic data (age, sex, ethnic and religious background, education/
skill profile, rural/urban etc).
2.3 Objectives
Objectives should result from a needs assessment and should be clearly stated and quantified,
wherever possible, by showing precisely the expected results. As a general rule, a project
objective must specify:
♦ the number of people to be assisted
♦ the end-result that is intended
♦ the date by which the result should be achieved
31
2.4 Activities
Indicate main activities (building works, services, etc) to be carried out.
Specify outputs and performance indicators of verification for each activity.
For details please refer to Project Planning in UNHCR, A Practical Guide on the use
of Objectives, Outputs and Indicator – March 2002
3. Project Budget
Project Number and Title _________________________________________________
Sector _______________________________________________________________
Budget Description Unit Unit Cost Quantities Total Costs Total costs
Code (currency) Quantity (currency) (currency)
Period 1 Period 2 Period 1 Period 2
32
Annex 5
UNHCR
To/A: All Representatives, Chiefs of Mission and Heads of Offices in the Field
All Directors and Deputy Directors of Bureaux and Divisions
All Heads of Desks and Desk Officers
All Senior Resource Managers
All Programme and Finance Officers in the Field
All VAR Administrators at HQ
From/De: Marjon Kamara, Director, Division of Operational Support
File Code/Dossier: ADM 1.1, OPS 1.2
2. Following several requests from the Field, the Short Format for Sub-Project
Agreements is herewith re-issued. The Short Format consists of a cover page and two
Appendices, the “General Conditions” and the “Standards of Conduct”. The cover page can
also be used for subsequent revisions. For revisions, the Appendices do not have to be
attached any more.
3. The Short Format is valid from 01 January 2004. It is a simplified Agreement for sub-
projects having a single objective in one FMIS sector and a total value of no more than US$
50,000. It exists only for bipartite Agreements with non-governmental organisations. For
Agreements with departments of the host government and for tripartite Agreements, please
use the standard formats mentioned in Paragraph 1 above.
4. Field Offices are requested to use this format, and not any earlier versions thereof.
French and Spanish versions of the Short Format are attached to the electronic version of this
Memorandum.
33
SHORT FORMAT FOR SUB-PROJECT AGREEMENTS
34
Art. 1.15 Agreement Revision: This Agreement and its attachments supersede the original
Agreement, signed on by [the Agency] and on by UNHCR as well as all
previous revisions to the Agreement. All Annexes and Appendices mentioned in Art. 1.14 or
as amended by previous revisions remain in force unless replaced by this revision. The
following Annex(es) are herewith replaced : .
(this clause is for revisions only).
Authorised Officer for UNHCR Authorised Officer for the Implementing
Partner
Signature: Signature:
Name : Name :
Title : Title :
Date : Date :
Place : Place :
35
Appendix 1
1.01 The term of the Short Sub-Project Agreement (hereinafter referred to as “the
Agreement”) shall commence on the day the Agreement is signed, unless,
for exceptional circumstances, the commencement date is set at an earlier
date, and terminate once all the obligations under the Agreement have been
fulfilled. The Sub-Project shall commence and be completed in accordance
with the time frame or schedule set out in Art. 1.6.
1.02 Should either Party during the implementation of the Sub-Project consider
that a revision of any terms of the Agreement or the Annexes thereto
becomes advisable, including its extension beyond the planned termination
date and/ or extension of the liquidation period as indicated in Art. 1.6, then
such a revision shall be made prior to the expiration of the Agreement and
only with the written consent of the Parties to the Agreement. The revision
shall be made in the prescribed form for Supplementary Short Sub-Project
Agreements.
2.01 The Parties agree to carry out their respective responsibilities under the
Agreement in accordance with these General Conditions for Short Sub-
Project Agreements (hereinafter referred to as the “General Conditions”) and
in accordance with the following documents: Annexes B and C and the
Standards of Conduct as set out in Appendix 2. The Parties further agree to
implement the Sub-Project in accordance with UNHCR policies and
procedures.
2.02 The Agency shall make available the necessary human resources to
implement the Sub-Project in accordance with the General Conditions,
namely its employees or persons hired for the implementation of the Sub-
Project, including beneficiaries of the Sub-Project, agents and
subcontractors (referred to as “the Agency Personnel”).
2.03 Both Parties shall endeavour to promote and facilitate the participation in the
Sub-Project of other members of the United Nations system,
intergovernmental and non-governmental organisations in meeting the total
requirements of the Sub-Project. Both Parties will inform each other if and
36
when contributions towards the Sub-Project have been received so that the
Agreement can be amended accordingly.
2.04.1 UNHCR does not accept any liability for claims arising out of the
activities performed under the Agreement, or any claims for death,
bodily injury, disability, damage to property or other hazards that
may be suffered by Agency Personnel as a result of their work
pertaining to the Sub-Project. The Agency shall be responsible for
dealing with all claims brought against it by Agency Personnel. It is
further understood that adequate medical and life insurance for
Agency Personnel, as well as insurance coverage for service-
incurred illness, disability or death, are the responsibility of the
Agency.
2.04.2 UNHCR shall not be liable to indemnify any third party in respect of
any claim, debt, damage or demand arising out of the
implementation of the Sub-Project and which may be made against
any of the Parties to the Agreement. The Agency shall be
responsible for dealing with all claims made against UNHCR and its
officials and persons performing services for UNHCR (hereinafter
referred to “UNHCR Personnel”), arising out of the acts or
omissions of the Agency or its personnel.
2.05.1 Agency Personnel shall refrain from any conduct that would
adversely reflect on UNHCR and the United Nations and shall not
engage in any activity which is incompatible with the aims and
objectives of the United Nations or the mandate of UNHCR to
ensure the protection of refugees and other persons of concern to
UNHCR; more specifically, they shall prevent, oppose and combat
all exploitation and abuse of refugees and other persons of concern
to UNHCR as set out in Appendix 2 to the Agreement.
2.05.2 The Agency shall be fully responsible for all services performed by
Agency Personnel as defined in Paragraph 2.02 above.
37
privileges and immunities specified in Article V, Art. 18, of the
Convention on the Privileges and Immunities of the United Nations
of 13 February 1946.
3. Obligations of UNHCR
UNHCR shall assist in the implementation of the Sub-Project set out in Art.
1.1 to 1.5 by making available the advisory services of its personnel.
3.02 Customs
UNHCR shall make every effort to assist the Agency in clearing all
equipment and supplies foreseen and necessary for the implementation of
this Sub-Project through customs at places of entry into the country where
activities related to the Sub-Project are to take place.
3.03 Remittances
3.03.1 UNHCR shall, within the ten working days following the signing of
the Agreement by the Parties, make a first remittance (Art. 1.11) to
the designated bank account as stated in Art. 1.12.
UNHCR shall not be liable for the payment of any expenses, fees, tolls or
any other financial cost not outlined by the Agreement, unless UNHCR has
explicitly accepted such liability prior to the expenditure by the Agency.
38
4. Obligations of the Agency
4.01.1 The Agency shall utilise UNHCR’s funds towards the cost of
implementing the Sub Project in accordance with the Sub-Project
description (Art. 1.1 to 1.5) and Budget (Annex B to the
Agreement). UNHCR shall not be liable for any expenditure or
obligations made in advance or in excess of actual instalment
payments, unless these were expressly authorised by UNHCR.
4.01.2 The Agency shall deposit all remittances received from UNHCR into
a separate bank account unless the deposit into a general or pool
account has been authorised in the Agreement (Art. 1.12). The use
of a general or pool account may be authorised if the deposit and
the use of UNHCR funds remain traceable. The account into which
the UNHCR remittances are deposited should be interest bearing.
In the case of a general or pool account, any interest earnings shall
be apportioned according to the source of funds and a fair share
shall be credited to the UNHCR Sub-Project.
4.01.3 The Agency shall apply the most favourable official rate of
exchange for all transactions relating to the implementation of the
Sub-Project.
4.01.6 The Agency shall effect payments to the beneficiaries of the Sub-
Project governed by the Agreement only when the Sub-Project
objective (Art. 1.4 and Art. 1.5) and the Budget annexed thereto
provide for such payments to be made. If a beneficiary is a regular
recipient of payments under the terms of the Agreement, the
UNHCR Beneficiary Card (UNHCR 109/Rev.1), or its equivalent,
should be used to record all such payments to each beneficiary.
4.01.7 The Agency shall credit any miscellaneous income to the Sub-
Project accounts as a receipt of funds against agreed Sub-Project
requirements. Miscellaneous income shall include, inter alia,
proceeds or receivables from the sale of any item or property
39
provided under the Sub-Project governed by the Agreement, as well
as any bank interest earned or accrued on Sub-Project funds
remitted by UNHCR and which have been deposited or temporarily
placed in an interest-bearing account. At the end of the liquidation
period of the Sub-Project, all miscellaneous income remaining in
the Sub-Project accounts, or which is an outstanding receivable,
shall be reported in the Sub-Project Monitoring Report (SPMR) due
at that time. The use of such miscellaneous income during the
course of the Sub-Project, for Sub-Project-related activities,
requires prior consultation with and written authorisation by
UNHCR.
4.01.8 The Agency shall refund all undisbursed funds, including any
“miscellaneous income” (see paragraphs above) to UNHCR at the
same time as submitting the final Sub-Project Monitoring Report
(SPMR).
40
(m) inventories of assets and consumables (see Paragraph 4.10
below);
(n) building and construction contracts and subcontracts.
4.02.2 The Agency shall allow access to the above Sub-Project records to
persons duly authorised by UNHCR.
The provisions in this section are applicable only when personnel is being seconded,
temporarily assigned to, or employed under the Sub-Project governed by the
Agreement.
4.03.3 for each position, fully or partly funded by UNHCR as part of the
Agreement, present a flat monthly rate (“pro-forma costs”) which
includes all salaries, benefits and costs payable at source, e.g.
overtime costs, travel costs and per diem, taxes, social security
contributions, housing costs and board, hardship and other
allowances;
41
4.03.6 establish contracts with personnel recruited or seconded under the
Sub-Project governed by the UNHCR Agreement, in accordance
with the applicable regulations, including inter alia;
(a) a description of duties and functional responsibilities;
(b) remuneration, including applicable benefits and employment
termination indemnities;
(c) period of contract including a defined probationary period;
(d) provisions for the termination of the contract on the grounds
of misconduct, incompetence or breach of confidentiality.
4.03.8 ensure that all project personnel, including beneficiaries of the Sub-
Project employed on direct Sub-Project implementation, are fully
insured against accidents at least at the same level accorded to
nationals, if any, employed under the Sub-Project governed by the
UNHCR Agreement. Costs for this insurance may be charged
against the appropriate budget line of the Sub-Project, if such a
provision has been made;
4.03.9 submit with the final SPMR a list of project personnel showing for
each staff member the name, functional title, period of employment
and total cost charged to the Sub-Project.
4.04.1 The Agency shall facilitate inspection and audit of the Sub-Project
by the UNHCR Audit Service of the United Nations Office of the
Internal Oversight Services, the UNHCR Inspector General’s Office,
or any other person duly authorised by UNHCR. Should they at any
time wish to do so, the United Nations Board of Auditors may also
carry out an audit of the Sub-Project. Audits of the Sub-Project will
include, inter alia, the examination of the Sub-Project accounting
records in order to determine that the charging of administrative and
operational support costs to the Sub-Project complies with those
specified in the annexes to the Agreement. For auditing purposes,
Sub-Project accounting records shall be retained for the six years
following the completion of the Sub-Project.
4.04.2 The Agency shall facilitate visits by the duly authorised persons to
the Sub-Project site(s) to evaluate the progress and achievements
of the Sub-Project during its period of implementation or thereafter.
42
4.04.3 UNHCR reserves the right to request an external audit for all
UNHCR Agreements if this is deemed beneficial.
4.05 Procurement
4.05.2 The Agreement will indicate who is responsible for any procurement
(Art. 1.5 and Annex C, Workplan) and whether the Agency has
been pre-qualified to carry out procurement on behalf of UNHCR
(Art. 1.13). All procurement of goods and services has to be strictly
in accordance with the UNHCR Procurement Guidelines for
Implementing Partners.
4.05.3 Only under exceptional circumstances, and with the prior written
approval by UNHCR, may a contract for purchases of goods and/or
services be concluded with other departments of the Agency that is
signatory to the Agreement, or with commercial entities in which the
Agency or its Senior Management have a direct or indirect interest.
4.05.5 The Agency shall ensure that all customs and registration
documents, licenses and operating permits which may be required
for the importation of Sub-Project supplies and the operation of
equipment will be applied for in ample time prior to the forecasted
importation date in order to avoid delays at the port of entry. The
Agency shall indicate to the competent authorities that the Sub-
Project supplies are bought with UNHCR funds.
In the event the Agency requires the services of another operational partner,
sub-contractor and/or supplier, it shall obtain the prior written approval of
UNHCR for all such arrangements. The Agency shall be fully responsible for
all work and services performed by these operational partners, sub-
contractors and suppliers and for all acts and omissions committed by them
or their employees. The approval of UNHCR of another operational partner,
sub-contractor and/or supplier shall not relieve the Agency of any of its
obligations under the Agreement. The terms of any arrangement with
another operational partner, sub-contractor and/or supplier shall be subject
to and conform to the provisions of the Agreement.
43
4.07 Use of Assets
The provisions in the following paragraphs are applicable only when assets are
procured with UNHCR funds or otherwise made available to the Agency by UNHCR
for use within a Sub-Project governed by the Agreement.
4.07.1 Assets shall be defined as any item of property valued at US$ 1,500
or more per unit, or the equivalent in local currency at the United
Nations official rate of exchange, and having a serviceable life of at
least five years and owned by UNHCR regardless of its funding
source or user, including in-kind donations. Vehicles and boats,
plant, telecommunications, computer and security equipment,
elsewhere termed “special items,” shall be regarded as assets from
a minimum acquisition value of US$ 100 per unit.
4.07.4 UNHCR assets shall be used exclusively for the intended purposes
of the Sub-Project under which they have been acquired and their
use for any other purpose is prohibited. In the event of any breach
of this provision, the Agency may be liable to UNHCR for
compensatory damages equivalent to the value of the assets on the
effective date of the hand over. The use of vehicles shall be
recorded in a logbook that, inter alia, shall show the dates, distance
travelled and purpose of each trip.
4.07.5 The Agency agrees to retain all UNHCR identification logos, which
shall not be removed.
4.07.6 Should any costs, direct or indirect, or any levies, duties or taxes be
associated with or become payable upon the granting of the right of
use of UNHCR assets to the Agency (because the Government did
not agree to the Agency being tax exempt) UNHCR shall not be
liable for those costs.
44
4.07.7 Before the disposal of any asset, written approval of UNHCR shall
be obtained. The proceeds of the sale of any assets, if authorised,
should revert to UNHCR.
4.07.8 The right of use of assets does not preclude the reversion of the
assets to UNHCR in the event that the need for such assets is
identified under other projects. UNHCR may therefore exercise the
right to re-deploy and/or transfer to another UNHCR Sub-Project
any asset subject to these provisions.
4.08.2 The Agency shall abide by the terms and conditions of the
“Agreement on the Transfer of Ownership of UNHCR Assets",
which shall come into effect on the date specified therein.
The provisions in this section are applicable only when the construction of permanent
or semi-permanent structures or infrastructure is undertaken by the Agency and if the
subcontracting of such work is envisaged.
45
4.09.3 ensure that a contract being awarded to third parties for building
construction is established in accordance with local professional
standards and practices, and includes conditions that, inter alia,
provide that:
(a) the contractor shall complete the work so as to be fit for
occupation on a date specified in the Workplan (Annex C)
attached to the Agreement. Failure to meet this deadline will
normally incur a financial penalty payable by the contractor
and calculated according to a daily or weekly rate for any
delay;
(b) except for any reasonable initial down payment that may be
required according to local practice, payments to the
contractor against the construction cost as shown in the
tender document are made only on work performed.
Normally such payments will not exceed 90 per cent of the
invoice value; the balance of 10 per cent being withheld as a
retention that will not be paid until the satisfactory completion
of all work has been verified at the end of the warranty period.
Initial down payments will be deducted from subsequent
payments to be made against submitted invoices;
(c) if, during the course of construction, it becomes apparent that
the contractor is for any reason unable to fulfil his/her
obligations under the contract or if he/she delays or neglects
to complete the building within the time prescribed and fails to
proceed with such work, then a second contractor may be
employed to complete the building and be authorised to use
any plant materials and property of the first contractor upon
the ground;
(d) any defects that appear within a specified warranty period
after completion shall be made good within a reasonable time
by the contractor at his/her own cost. The duration of the
warranty period will be in accordance with that established
under normal local practices, but should in no instance be
less than six months, and should be included in the formal
terms of the contract;
(e) following a final inspection of the building(s) by the
supervising surveyor or engineer, a delivery document will be
signed by the parties to the contract indicating the date on
which the hand-over has taken place, stating that the building
has been constructed in conformity with the provisions of the
building contract and the approved plans and specifications.
Normally the hand-over will only take place once all work has
been satisfactorily completed. If, however, in exceptional
circumstances delivery takes place before that time, the
delivery document will refer in detail to all outstanding work to
be performed and will describe all apparent shortcomings and
defects. The delivery document will also provide the date
from which the guarantee provisions come into operation.
This date will normally be the date of hand over or when all
work is finally completed, whichever is later;
(f) if the warranty period extends beyond the end of the
liquidation period of the Sub-Project and no new Agreement
46
has been entered into, the Agency will remit the guarantee
amount withheld pursuant to Paragraph (b) above to UNHCR
for settlement after verification of satisfactory completion of
work.
4.09.4 The Agency shall ensure that all buildings constructed under the
Sub-Project governed by the Agreement are used exclusively for
the purpose of the Sub-Project as specified in Art. 1.3 and Art. 1.4
of the Agreement.
4.09.5 The Agency shall discuss with UNHCR, at least 90 days prior to the
termination of the Sub-Project governed by the Agreement, the
future use of all buildings thereafter. Under no circumstances shall
such buildings be disposed of or earmarked for disposition before
these consultations with UNHCR.
The paragraphs in this section are applicable only when the Agency is entrusted with
the storage, warehousing and/or distribution of food and non-food items under the
Sub-Project.
4.10.5 check the quality and quantity of the food and non-food items upon
receipt, immediately notifying UNHCR of any loss or damage
observed, or goods delivered that do not comply with contractual
specifications;
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4.10.6 comply with the distribution principles stated in UNHCR and Word
Food Programme distribution guidelines, in particular those
ensuring that distribution is equitable, effective, timely, involves
refugee women at all levels and in all phases of the process and
protects vulnerable groups from exploitation and abuse;
The provisions in this section apply only when a Revolving Loan Fund is established by
the Agreement and is funded wholly or in part with UNHCR monies.
4.11.2 not use the loan repayments and related interest for any other
purpose than that provided for in the initial Agreement establishing
the loan fund, unless with the written approval of UNHCR;
4.11.5 not change the purpose of the Revolving Loan Fund Grant unless
justified by a careful assessment involving all co-funders.
The Agency is granted the right to use the UNHCR visibility logo (in its
entirety) as defined in the UNHCR Identity Guide Book – January 2002 – for
the activities related to the Sub-Project, only.
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4.13 Observing UNHCR Policies and Guidelines
The Agency shall, at its own expense, comply with all laws and regulations
of its country of residence or operation, if different, and assume all liabilities
and obligations imposed by any law or regulation with respect to its
performance under the Agreement.
5. General Conditions
5.02 Confidentiality
5.02.3 The Agency may not communicate at any time to any other person,
Government or authority external to UNHCR information known to it
by reason of its association with UNHCR which has not been made
public, except with the authorisation of UNHCR; nor shall the
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Agency at any time use such information to private advantage .
These obligations do not lapse upon termination of the Agreement.
5.04.3 In the event of, and as soon as possible after the occurrence of,
any cause constituting force majeure, the Agency shall give notice
and full particulars in writing to UNHCR, of such occurrence or
change if the Agency is thereby rendered unable, wholly or in part,
to perform its obligations and meet its responsibilities under the
Agreement. The Parties shall consult on the appropriate action to
be taken, which may include termination of the Agreement, with
either Party giving to the other at least seven days written notice of
such termination.
The Parties shall use their best efforts to settle amicably any dispute, controversy or
claim arising out of the Agreement or the breach, termination or invalidity thereof.
Where the Parties wish to seek such an amicable settlement through conciliation, the
conciliation shall take place in accordance with the United Nations Commission on
International Trade Law (UNCITRAL) Conciliation Rules then obtaining, or according to
such other procedure as may be agreed between the Parties.
5.06 Arbitration
Any dispute, controversy or claim between the Parties arising out of the Agreement or
the breach, termination or invalidity thereof, unless settled amicably in accordance with
Art. 5.05 above within sixty (60) days after receipt by one Party of the other Party's
request for such amicable settlement, shall be referred by either Party to arbitration in
accordance with the UNCITRAL Arbitration Rules then obtaining. The arbitration
tribunal shall consist of one Arbitrator agreed to by the Parties and appointed in
accordance with the UNCITRAL Arbitration Rules. If the Parties cannot agree on the
50
selection of a single arbitrator, then they may appoint each one Arbitrator who shall
choose the third Arbitrator. In the event of disagreement as to the nomination of the third
arbitrator, the latter shall be appointed by the Chairman of the Court of Arbitration of the
International Chamber of Commerce. The arbitration tribunal shall have no authority to
award punitive damages. The parties shall be bound by any arbitration award rendered
as a result of such arbitration as the final adjudication of any such controversy, claim or
dispute. The place of arbitration shall be Geneva.
5.07.2 UNHCR may terminate forthwith the Agreement at any time should
the mandate or the funding of UNHCR be curtailed or terminated, in
which case the Agency shall be reimbursed by UNHCR for all
reasonable costs incurred by the Agency prior to receipt of the
notice of termination; this does not extend to expenditure incurred
in excess of the funds made available under the Agreement.
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Appendix 2
Standards of Conduct
Ensuring Protection from Sexual Exploitation and Abuse
Sexual exploitation and sexual abuse may occur in many different forms. Sexual
exploitation is defined as any abuse of a position of vulnerability, differential power or
trust for sexual purposes; this includes profiting monetarily, socially or politically from
the sexual exploitation of another. Sexual abuse is actual or threatened physical
intrusion of a sexual nature, including inappropriate touching by force or under unequal
or coercive conditions.
2. Sexual activity with children (persons under the age of 18) is prohibited
regardless of the age of majority or age of consent locally3. Mistaken belief in the age
of a child is not a defence.
These six standards are not intended to be an exhaustive list. Other types of sexually
exploitative or abusive behaviour may be grounds for disciplinary measures, including
summary dismissal.
3
Executive Heads of Agencies (Governmental or NGO) may use their discretion in applying this standard where a staff member
is legally married to someone under the age of eighteen but over the age of majority or consent in both their country of
citizenship and the country in which they are stationed.
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allegations of abuse and to take disciplinary actions when sexual exploitation or
sexual abuse is found to have occurred, will constitute grounds for termination of the
Agreement with UNHCR.
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54
Annex 6
This form must be harmonised with the QiP project proposal sheet
QiP No.
QiP Title
QiP Total Budget
Location Name/Administrative entity (region,
district, chiefdom, etc.) and GPS coordinates
Justification/Main need
Objectives and Expected Outputs
FMIS Sector (water, sanitation, etc.)
Implementing Partner Name, Location and
Contact information including name of project
manager
Date and form of Community Consultation
Names and contacts of Community
Representatives
Community Contribution
Date of Signature of Sub-agreement
Duration
Proposed Starting date
Proposed Completion Date
Estimated life-expectancy of project outputs (e.g.
expected sustainability of infrastructure or
service)
Estimated Number of Beneficiaries
Estimated Cost per Head
Expected Number of on-site Monitoring Visits
Dates of Monitoring visits
Date of Project Completion Inspection
Name of UNHCR Officer holding primary
responsib ility of project
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56
Annex 7
QiPs No (reference):
Project (title):
Location (District/Municipality/Village):
Indicators:
Status of QiP:
Constraints:
Actions taken:
General Comments:
2nd HFO/HSO :
Viewed/Monitoring visit Name Signature Date
Comments:
3rd BO :
Viewed Name Signature Date
Comments:
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58
Annex 8
Partner:
QiP Title:
QiP Number:
Sector:
Agriculture Livestock
Community Services Public Infrastructure
Education Sanitation
Forestry Transport
Health Water
Income-Generation
Location (District/Municipality/Village):
Implementing Partner:
Outputs Achieved:
Yes Partially No
If PARTIALLY or NO, give reasons:
Termination:
On time Early Late
If EARLY or LATE, give reasons:
Cost Over-Run:
Yes No
If Yes, give reasons and amount:
Recurrent Costs:
Have arrangements been made to finance recurrent cost resulting from the project?
Yes No
Please explain:
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Technical Performance: construction and equipment performed according to design criteria; environmental
considerations :
Utilisation by beneficiaries: degree of uptake of the service; satisfaction with performance and quality:
Cooperating agency obligations: provision of resources (funds, staff, materials and equipment) in accordance with
handover agreement:
UNHCR Officer:
Name Signature Date
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Annex 9
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