SHF 2017

Allocation Decisions

SHF AB Meeting

11 May, 2017

Funding balances

Description Amount (US$ mil)Allocated 1st Allocation 18PDS 1.5RfE ($5.5 original) 3.5Management costs 2.6

Total allocations 25.6

Total received contributions (includingcarry over)

21.6

Total pledged 6Total contributions 27.6

Balance in fund 2.0

1st allocation: for decision

REMAINING FUNDING BALANCE ($2.0 mil)

To decide:

Um Dukhun: RRR (Health/Nutrition) project

missing ($300,000) - CRS

Abyei: Health ($250,000) - GAH

Kutum: Multi-Sector ($500,000) - GOAL

Sortony: WASH - OXFAM

Reserve Overview

RESERVE FOR EMERGENCIES ($3.5 mil)

Approved WASH: Tadamon-Blue Nile ($0.2mil)

In process Refugees/IDPs: Al Lait-ND ($1mil)

Expected Jebel Marra

Refugee influx

Two areas bordering localities

Protracted Displacement Pilot (PDS)

Re-discussion on target locality with

Durable Solutions Working Group

Allocation process postponed

SHF 2017

Communication Protocols(Performance, Alleged fraud, Misuse of funds)

SHF AB Meeting

11 May, 2017

Sanctions related to performance issues by

implementing partner (IP)

Suspected fraud or misuse of funds by IP

No single or defined process for such cases

SHF Communication Protocol

Principles To create a culture of transparency and self-reporting

without fear of repercussions and encourage

strengthening of IP’s internal control mechanisms and

processes

To avoid incriminating partners without confirmed

evidence of wrong-doing

To encourage confidential donor information-sharing to

limit exposure of funds

No IP name will be shared with donors before an

investigation is launched

Every communication on an IP name is

CONFIDENTIAL

Communication: steps

IP: Mandatory to report credible indication /

suspicion of fraud or misappropriation of CBPF

funds to SHF TU

Any allegation / alert / SHF TU examination

of evidence No communications / no disclosure of

sources

Imposition of conservative measures Communication to AB without disclosing IP

name, except if risk of jeopardising the

examination

Pro-active communication by SHF to specific

stakeholders if deemed relevant

Outcomes of SHF TU examination or partner

internal investigation

If resolved, without IP name to AB, no further

communication

If unresolved, referral to other process

Launch formal investigation Suspected fraud reported to Office of Audit

and Investigations (OAI)

OAI determines whether investigation will be

opened

For confidentiality, information disclosed as

required

SHF donors receive information with partner

name disclosed, OCHA informs capital level

donors

UN CT is notified, IP name shared on

request on verification of partner list

Pro-active communication by SHF to

specific stakeholders if deemed relevant

Outcomes of formal investigation SHF donors, UN CT are informed on main

findings and IP name on confidential basis

Communication to AB without disclosing IP

name

Closure of case Same as above

*Third party formal investigation outcome No communication of donor/agency source

Use of information for sanction

measures/follow-up actions

Revelation of IP name if relevant for SHF

projects

2016 Operational Review –

Annual report

I. 2016 Key Figures

Key Figures

Total allocations: $38.8 million

Total contributions: $48.3 million

113 projects funded

49 different partners funded

Key Achievements

Reached beneficiaries

Sector Planned Reached % Covered

COORDINATION AND COMMON SERVICES 475,000 809,129 170%

EDUCATION 17,964 20,298 113%

EMERGENCY SHELTER AND NON-FOOD ITEMS 128,444 147,178 115%

FOOD SECURITY AND LIVELIHOODS 148,535 161,915 109%

HEALTH 1,004,585 1,076,990 107%

NUTRITION 179,876 163,868 91%

PROTECTION 61,978 69,954 113%

RECOVERY, RETURNS AND REINTEGRATION 11,615 12,215 105%

REFUGEE MULTI-SECTOR 158,357 167,358 106%

WATER, SANITATION AND HYGIENE 1,010,168 1,051,271 104%

3,196,523 3,680,176 115%

Disaggregated beneficiaries

0 200,000 400,000 600,000 800,000 1,000,000 1,200,000

Planned

Reached

Planned

Reached

Planned

Reached

Planned

Reached

Me

nW

om

en

Bo

ysG

irls

Gender disaggregated beneficiary data

II. Contributions Overview

Contributions Trend 2006-2017

172 167

150

120

141148

80

55 58 5448

11

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017

III. Allocation Overview

Allocation per Type

Allocation per Sector

Allocation per Organization Type

Allocations Geography

Reserve for Emergencies

Estimated Allocation Timelines

StepsFirst

Allocation

Reserve for

Emergencies

Number of projects submitted 72 projects 30 projects

1: Submission of proposals 15 6

2: Strategic review 8 NA

3: Preliminary approval 5 NA

4:Technical and financial review 27 14

5:Final approval by HC (incl. contracting) 6 3

6:Disbursement 5 21

Total (working days) 66 44

IV. Accountability and Risk

Project Monitoring (till end 2016)

Type of Allocation# of

projects

Projects

monitored%

2016 - Reserve for Emergencies (ongoing) 30 6 20%

2016 - 1st Standard Allocation (ongoing) 73 39 53%

2015 - Reserve for Emergencies 13 4 31%

2015 - 1st Standard Allocation 85 60 71%

2015 - 2nd Standard Allocation 46 30 65%

Reporting (projects ending 2016)

Reprogramming Requests

NGO Financial Monitoring

Financial Monitoring

CategoryFrequency 2016 Activity

Financial Report Review Quarterly 120 active projects

Field-based Financial Missions

(spot checks)By issue identified

14 missions (Op

Modalities)

10 missions (actual of

which 7 in line with

Op Modalities)

NGO Project AuditAnnually/Semi-

Annual127 projects

Fraud Reporting Quarterly

58 CDs/Executive

Directors Reporting

(full compliance)

Audit Summary

$25.6 million Expenditures

127 Projects

51 NGOs

Ineligible Expenditures

Management Costs

2016 Results

Indicators Target Achievements

Outcome 1: Improved humanitarian response

% of allocations processed within identified timelines 100 33% for RfE

# of training days provided to stakeholders by HFU12

26 sessions / 4 different topics

Outcome 2: Strengthened humanitarian leadership

Risk management procedures developed in Operational Manual yes yes

% of Allocations with an individual monitoring plan 100 100

# of IP Financial Spot Checks carried out Variable 7/14 (10 done)

% of reports submitted by partners on time85 8.5%

Annual Report published annually yes yes

# of Governance items reviewed and/or updated 3 3

Outcome 3: Better coordination and resources mobilised

# of AB meetings held per year; minutes shared 4 6

% of HRP as fund’s annual fund-raising target 8% 4%

V. 2017 SHF Calendar

2017 SHF Calendar

Month Activity

JuneAfter Action Review – start review procedures

Operational Review 1st half 2017

August Monitoring mission with donors

SeptemberDiscussion unit budget at AB

Organize screening of new partners

OctoberPresent review of procedures

Update risk management framework

NovemberPledging meeting donors

Start prioritization process 2018 allocation

December

VI. Recommendations

Recommendations

Roll-out resource mobilization strategy

Increase efficiency - review procedures (e.g. RfE)

Follow-up pilot outcomes and share results

Redefine eligibility criteria and process

Intensify narrative reporting follow-up

Align financial field-based monitoring with Operational

Modalities

Continue Forensic Audit to identify issues with partners

in advance of eligibility