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TRANSCRIPT
C A S H F O R W O R K S O P s 2
ACKNOWLEDGEMENTS
The Standard Operating Procedures (SOPs) is prepared for the cash-for-work intervention under the Yemen Humanitarian Response Plan, funded by the Kingdom of Saudi Arabia and the United Arab Emirates AID. It is implemented by the United Nations Development Programme and its implementing partners: CARE International, Sustainable Development Fund and For All Foundation.
The document references the Early Livelihood Cluster-Iraq SOP (cash-for-work), OXFAM Cash Transfer and Complaint Guideline and UNDP`s Occupational Hazard and Safety and Social and Environmental Standards guidelines, Stakeholders Response Mechanism and Grievance Redress Mechanism. It is tailored to the operational perspectives suiting the needs of the project in the Yemen context.
The document is intended to support and guide the work of implementing partners to ensure the achievement of the planned results and impact on emergency employment intervention (cash-for-work).
C A S H - F O R - W O R K S O P s
For further information from UNDP Yemen, please contact:
Ms. Hyewon Jung Team LeaderEconomic Resilience and [email protected]
Mr. Arvind KumarProject ManagerEnhanced Rural Resilience in Yemen (ERRY) [email protected]
3 C A S H F O R W O R K S O P s
Cash-for-WorkObjectives
• Providing workers with income to meet basic needs.
• Improving and/or repairing community infrastructure, basic services and the local economy.
C A S H F O R W O R K S O P s 44
C A S H F O R W O R K S O P s5
Conduct baseline survey and cash- for-work (CFW) micro-project
assessment
PREPARATION
Evaluate the CFW micro-project
proposal by CFW technical team
Conduct CFW beneficiary registration
Sign agreement with communities
Complaint Handling Mechanism (CHM)
Launch the project and issue participant
cards, attendance sheet and capacity
building training on Occupational Hazard
and Safety (OHS)
Assessment proposal
Beneficiary registration
form
CFW agreement
CFW beneficiary cards
Cash-for-WorkProcess Flow
C A S H - F O R - W O R K S O P s
C A S H F O R W O R K S O P s 6
IMPLEMENTATION/MONITORING
Receive tools and material from supplier and conduct quality check
Hand over tools and material to
CFW groups
Conduct weekly site monitoring (project, quality
and technical work monitoring)
Complete site work. Certificate issued
jointly by CFW group and CFW technical team
Distribution
Conduct verification of the attendance
sheet
Prepare payment list and payment
documents
Submit payment documents to
finance
Conduct Post Distribution
Monitoring (PDM)
Progress meeting and CHM, risks and challenges update
(monthly or quarterly, depending upon transfer rounds)
Quality inspection report
Tools and material form
Site monitoring report
Completion certificate
C A S H - F O R - W O R K S O P s
C a s h - f o r - W o r k S O P s 7
Cash-for-Work Process
Step One: Preparation
7
C A S H F O R W O R K S O P s 8
Conduct baseline and CFW micro-project assessment
Evaluation of CFW proposal by technical team
Field Officer and M&E Officer
Head of Field Office (implementing partners), Engineers, Logistics and M&E Officers
Beginning of project implementation
Within two days of the micro-project identification
. 1 Conduct baseline of CFW intervention.
. 2 Consult target communities and facilitate the identification of micro- project.
. 3 Orient communities on the scope and objective of micro-project.
. 4 Collect information related to micro-projects identified by the targeted communities.
. 5 Categorize the identified micro-project as per Annex 1.
. 1 Formation of technical team by the implementing partner at Field Office-level.
. 2 The technical team should consist of civil engineers, programme representatives, Monitoring and Evaluation (M&E) Officer, Logistics or Procurement Officer (group of 3 - 5 members).
. 3 Identified project needs to be evaluated based on the criteria such as scale, risks, budget and impact. Please refer to Annex 2 and Annex 3.
. 4 Considering the above criteria, the evaluation team will need to endorse the micro-project.
. 5 Identified micro-projects need to be communicated back to target communities with justification and criteria used for the selection and assessment.
. 6 The micro-project should also be reviewed based on gender.
WHAT WHO WHEN
C A S H - F O R - W O R K S O P s
HOW
9 C A S H F O R W O R K S O P s
CFW beneficiary registration
Field Officers Within three days of CFW project approval
. 1 Formation of community committees consist of Village Cooperative Councils (VCC), Internally Displaced Persons (IDPs), host, Sheikh, Akal, community leaders, local council, etc.
. 2 Awareness and communication at household-level on beneficiary registration with focus on women-headed households, people with disabilities, IDPs and the marginalized to ensure awareness of the CFW registration. The awareness should also provide information about feedback and complaint mechanisms in case households or individuals are not selected. Ensure that at least 30% of the cash-for-work beneficiaries are women.
. 3 Implementing partner will orient the committee on beneficiary selection criteria. Please refer to Annex 4. Vulnerability criteria can be adopted as per the context.
. 4 The community committee drafts the first list of beneficiaries in consultation with households and subsequently hands over to the implementing partner for further verification.
. 5 Implementing partner does a sample or 100% verification of the drafted list based upon the scoring criteria and vulnerabilities.
. 6 Publication of final list of beneficiaries (2 - 3 days).
. 7 Installation of compliant box with hotline numbers at public place (2 - 3 days).
. 8 Respond to the feedback and complaints. Please refer to Annex 5.
. 9 Collection of final list of beneficiaries by the implementing partners for further process.
WHAT WHO WHEN
C A S H - F O R - W O R K S O P s
HOW
C A S H F O R W O R K S O P s 10
Launch of the project and issuance of beneficiary card and attendance sheet
Agreement with communities
Field Officer
Field Officer with the approval of Head of Field Office
Soon after the beneficiary registration with a gap in the start of CFW micro-project implementation
Within a day after beneficiary registration
. 10 Selected beneficiary details should be included in the registration form by the implementing partner - both soft and hard copies, if possible.
. 11 Beneficiary data should be accessible to all, but protected as well as encrypted, so that duplication may be avoided.
. 12 In case a beneficiary has moved after receiving one installment, and a new beneficiary needs to be inducted, the community committee should be informed - as well as the Head of the Field Office of the implementing partner - with a signed MEMO by both organizations.
. 1 Beneficiary card distribution.
. 2 Formation of cash-for-work groups as per the cultural context.
. 3 Each cash-for-work group will have a leader and deputy to supervise the work progress, as well as fill in the attendance sheet.
. 4 Cash-for-work safety training must be provided to each group before the start of the project to ensure safety risks are mitigated. Please refer to Annex 2, Annex 6 and Annex 7.
. 1 Letter of agreement signed by the implementing partner with targeted communities.
. 2 Representatives such as IDPs, host, Sheikh, Akal, local council and community leaders, if possible, should sign the agreement to avoid any potential conflict of interest as a part of the community engagement strategy.
WHAT WHO WHEN
C A S H - F O R - W O R K S O P s
HOW
11 C A S H F O R W O R K S O P s
Complaint Handling Mechanism (CHM)
Capacity building and awareness training to Project Team and targeted beneficiaries
M&E Officer
Local decision
At each step of cash for work process
The training can include the topics of all the stages of cash transfer including Occupational Hazard Safety (OHS) and Social and Environmental Standards (SES).
. 1 Review of implementing partners (IPs), CHM mechanism and identification of capacity needs support.
. 2 Implementing partner needs to adopt its own complaint handling mechanism at each step of cash-for-work.
. 3 During awareness creation, CHM needs to be explained to the targeted communities and the appropriate mechanism to channel the complaint should be discussed. For example, categories of complaint and channels of complaint (hotline, complaint box, SMS or any other form prescribed by the IPs).
. 4 Depending upon the nature of the complaint, the response should be provided as per the level of management. Please see Annex 5.
WHAT HOW WHO WHEN
C A S H - F O R - W O R K S O P s
As necessary
C A S H F O R W O R K S O P s 12
Cash-for-Work Process
Step Two: Implementation and Monitoring
12
13 C A S H F O R W O R K S O P s
Receive tools and material from supplier and conduct quality check
Hand over tools and materials to CFW groups
Logistics and M&E Officer
Logistic Officer and Field Officer
Prior to handing over the tool to participants
Before the beginning of the CFW scheme
. 1 Safety tools and cash-for-work tools are two different kits for the participants and must be separate.
. 2 Logistic Unit of IPs will receive the above tools through the organization procurement process.
. 3 A quality control check will be conducted by the Logistics Unit to ensure the quality of the above tools prior to giving them to the participants. Please refer to Annex 7.
. 4 The quality control check will be approved by the Head of Field Office of the IPs.
. 1 With the approval of quality control, the Logistic Unit and Field Officer can hand over the safety kits and cash-for-work tools to the cash-for-work group.
. 2 The kits can be handed over during the training and orientation of the participants.
. 3 The trainer must take the participants through Annex 6 and Annex 7 to ensure all the participants understand the potential risks and are aware of the mitigation measures. Please also refer to Annex 2.
WHAT HOW WHO WHEN
C A S H - F O R - W O R K S O P s
C A S H F O R W O R K S O P s 14
Conduct weekly site-monitoring (project, quality and technical work monitoring)
Complete site work and completion certificate issued jointly by CFW group and CFW Technical Team
Conduct verification of the attendance sheet
Field Officer and Engineers
CFW group, Field Officer and Engineers
Field Officer
During the implementation of the micro-project
Soon after the completion of the micro-project
Last day of the micro-project completion
. 1 Joint monitoring visits will be conducted by the Field Officer and Engineers.
. 2 Field Officer will check the quality of the work in terms of presence of CFW participants, maintenance of attendance sheet and usage of material.
. 3 The engineer will check the quality of the work in accordance with Bill of Quantity (BoQ).
. 4 The Field Officer and Engineer will also provide necessary support required by the group for the achievement of the micro-project.
. 1 A certificate will be signed after completion of the micro-project work on the site.
. 2 The completion certificate will be jointly signed by CFW groups, Engineers and Field Officer.
. 3 One copy will be handed over to the CFW group and the IP will keep another copy for the documentation purpose.
. 1 The Field Officer will conduct the final verification of the CFW attendance sheet. This will ensure that there is no objection over the participants and beneficiaries who worked on the CFW scheme, and their work days are accurately registered.
. 2 The verification and attendance sheet will be signed by the CFW leader and deputy in the presence of Field Officer and participants.
WHAT HOW WHO WHEN
C A S H - F O R - W O R K S O P s
15 C A S H F O R W O R K S O P s
Prepare payment list and payment documents
Submit payment documents to finance
Distribution of cash
Field Officer
Finance Officer
Field Officer and M&E Officer
Before the cash distribution
Before the cash distribution
During the distribution of the cash
The verification list from all cash-for-work groups will be provided to the finance team of the implementing partner to prepare the payment list and payment documents. Please refer to Annex 8.
Please refer to Annex 8.
. 1 Identify pay points and inform all the participants.
. 2 A minimum of 10 and a maximum of 60 participants are allowed at one pay point.
. 3 If the modality is through payment by ATM, then IPs need to calculate the transportation cost into the daily wage.
. 4 Deconfliction of pay point site.
. 5 Provision of drinking water and sanitary for participants during the payment.
. 6 In case of a no-show, the household must be identified and documented.
. 7 Place complaint box near the pay point.
. 8 The pay point should have separate entry and exit points to avoid any chaos or stampede.
. 9 Collection of list of paid and unpaid beneficiaries.
WHAT HOW WHO WHEN
C A S H - F O R - W O R K S O P s
C A S H F O R W O R K S O P s 16
Post Distribution Monitoring (PDM)
Progress monitoring meeting
Independent team of PDM
Two weeks after the cash distribution
. 10 Field Officer must collect the copy of the paid and unpaid beneficiaries for further reconciliation and verification.
. 11 The complaint box needs to be opened by M&E Officer in the presence of Head of Field Office and immediate response should be provided based on categories of complaint. Please to Annex 5.
. 1 of households (individuals) must be selected for the PDM.
. 2 Independent PDM team should be created who are not directly involved in the project.
. 3 Casual day laborers may be hired on daily basis as independent members of the PDM.
. 4 M&E team should not be engaged in conducting the PDM, otherwise the result will be biased.
Monthly or quarterly meeting to review:
. 1 CHM
. 2 Challenges
. 3 Risks related to CFW implementation process and activities
WHAT HOW WHO WHEN
C A S H - F O R - W O R K S O P s
5 -10%
17 C A S H F O R W O R K S O P s
Annexes
C A S H F O R W O R K S O P s 1818
C A S H F O R W O R K S O P s19
Annex 1: Work Norms and Categories of Cash-for-Work
C A S H F O R W O R K S O P s 20
CFW should be differentiated from casual labor in that it targets the poorest and most vulnerable conflict-affected households. As the project objective is primarily focused on creating employment opportunities, the CFW beneficiaries will be reported to the Emergency Employment and Community Rehabilitation (EECR) Cluster. On a case-by-case basis, agricultural-related cash-for-work beneficiaries will be reported to the Food Security and Agriculture Cluster (FSAC).
Work norms and categories of CFW
CASH FOR WORK
OBJECTIVE
TARGET POPULATION
TARGET POPULATION
WHO CAN TAKE PART
COMMUNITY NEEDS
WAGE SETTING
DEFINING PROJECTS
CASUAL LABOR
Providing income to most vulnerable households
Complete specific work or project
Most vulnerable segment of the population
Household
Community-identified households
Micro-projects are designed to benefit the community
Below local minimum/market wages
Community
Anyone interested and physically able
Individual
Anyone fit to participate can apply
Completion of a project
Generally minimum or market rate
Employer
C A S H - F O R - W O R K S O P s
21 C A S H F O R W O R K S O P s
The following table may be referred to as CFW norms. Intervention may be based upon the definition stated for each micro-project category. Orientation will need to be provided on Occupational Hazard and Safety (OHS) and Social and Environmental Standards (SES) to the project staff and target beneficiaries.
MICRO-PROJECTS
ECONOMIC
CATEGORY
WATER AND SANITATION
SHELTER
PROTECTION
EDUCATION
COMMUNITYINFRAS-TRUCTURE
Construction and establishing market center, pavement or roads to access market
Rehabilitation of well, water network points, water retention ponds, garbage cleaning, cleaning of sewage tank or drainage, etc.
Repair and rehabilitation of IDPs/host community houses
Construction of safe center to improve access to public places for the affected communities
Repair or rehabilitation of classrooms/boundary, pavement, school garden, WASH facility improvement, etc.
Gravel road, temporary road to access basic services and facilities, etc.
micro
Micro-projects
C A S H - F O R - W O R K S O P s
C A S H F O R W O R K S O P s22
Annex 2: Social and Environmental Standards (SES)
Checklists and Associated Risks
23 C A S H F O R W O R K S O P s
ENVIRONMENTAL AND CULTURAL
Does the intervention involve changes to the use of land and resources that may have adverse impacts on habitats, ecosystems, and/or livelihoods? (Y/N)If yes, then fill the subsequent blank areas.
Does the intervention involve the harvesting of natural forests, plantation development or reforestation? (Y/N)If yes, then fill the subsequent blank areas.
Does the project involve significant extraction, diversion or containment of surface or ground water? (Y/N)If yes, then fill the subsequent blank areas.
Will the proposed intervention potentially adversely impacts sites, structure or objects with historical, cultural artistic, traditional or religious values on intangible forms of culture? (Y/N)If yes, then fill the subsequent blank areas.
Does the intervention propose utilizing tangible or intangible forms of cultural heritage for commercial or other purposes. (Y/N) If yes, then fill the subsequent blank areas.
COMMUNITY HEALTH, SAFETY AND WORKING CONDITIONS
Would elements of the project intervention, operation, or decommissioning pose potential safety risks to targeted communities, or in general local communities. (Y/N)If yes, then fill the subsequent blank areas.
C A S H - F O R - W O R K S O P s
TYPE RISKSPROBABILITY AND IMPACT (1 - 5 SCALE)
SIGNIFICANCE (LOW,
MODERATE OR HIGH)
COUNTER MEASURES/
MANAGEMENT RESPONSE
STATUSTYPE RISKSPROBABILITY AND IMPACT (1 - 5 SCALE)
SIGNIFICANCE (LOW,
MODERATEOR HIGH)
COUNTER MEASURES/
MANAGEMENT RESPONSE
STATUSTYPE RISKSPROBABILITY AND IMPACT (1 - 5 SCALE)
SIGNIFICANCE (LOW,
MODERATE OR HIGH)
COUNTER MEASURES/
MANAGEMENT RESPONSE
STATUS
C A S H F O R W O R K S O P s 24
Would the intervention pose potential risks to community health and safety due to the transport storage, use and/or disposal of hazardous or dangerous materials (e.g. explosive, fuel, and other chemicals during construction and operation? (Y/N)If yes, then fill the subsequent blank areas.
Would failure of structural elements of the project pose risks to communities (e.g. collapse of building or infrastructure)? (Y/N)If yes, then fill the subsequent blank areas.
Would the intervention result in potential increased health risks (e.g. water borne diseases)? (Y/N)If yes, then fill the subsequent blank areas.
Does the intervention pose potential risks and vulnerabilities related to occupational health and safety due to physical or chemical hazards during the construction, operation or decommissioning? (Y/N)If yes, then fill the subsequent blank areas.
Does the intervention engage security personnel that may pose a potential risk to health and safety of communities and/or individuals? (Y/N)If yes, then fill the subsequent blank areas.
COMMUNITY HEALTH, SAFETY AND WORKING CONDITIONS
C A S H - F O R - W O R K S O P s
TYPE RISKSPROBABILITY AND IMPACT (1 - 5 SCALE)
SIGNIFICANCE (LOW,
MODERATEOR HIGH)
COUNTER MEASURES/
MANAGEMENT RESPONSE
STATUSTYPE RISKSPROBABILITY AND IMPACT (1 - 5 SCALE)
SIGNIFICANCE (LOW,
MODERATE OR HIGH)
COUNTER MEASURES/
MANAGEMENT RESPONSE
STATUS
25 C A S H F O R W O R K S O P s
TYPE RISKS
Is there a likelihood that the project would have inequitable or adverse discriminatory impacts on affected populations, parti-cularly people who are displaced, marginalized or excluded? (Y/N) If yes, then fill the subsequent blank areas.
Could the intervention potentially restrict availability, quality of, and access to, resources or basic services to marginalized individuals or groups? (Y/N)If yes, then fill the subsequent blank areas.
Is there a likelihood that the intervention would exclude any potentially affected stakeholders or marginalized groups from fully participating in decisions that may affect them? (Y/N)If yes, then fill the subsequent blank areas.
Is there a risk that the intervention would exacerbate conflicts and/or the risk of violence to targeted communities and individuals? (Y/N) If yes, then fill the subsequent blank areas.
Would the project potentially reproduce discriminations against women based on gender, especially regarding participation in design and implementation or access to opportunities and benefits? (Y/N) If yes, then fill the subsequent blank areas.
Would the intervention potentially limit women’s ability to use, develop or access services considering different roles and positions of women and men in accessing services? (Y/N) If yes, then fill the subsequent blank areas.
POLITICAL
GENDER
PROBABILITY AND IMPACT (1 - 5 SCALE)
SIGNIFICANCE (LOW,
MODERATE, HIGH)
COUNTER MEASURES/
MANAGEMENT RESPONSE
STATUS
C A S H - F O R - W O R K S O P s
TYPE RISKSPROBABILITY AND IMPACT (1 - 5 SCALE)
SIGNIFICANCE (LOW,
MODERATE OR HIGH)
COUNTER MEASURES/
MANAGEMENT RESPONSE
STATUSTYPE RISKSPROBABILITY AND IMPACT (1 - 5 SCALE)
SIGNIFICANCE (LOW,
MODERATEOR HIGH)
COUNTER MEASURES/
MANAGEMENT RESPONSE
STATUSTYPE RISKSPROBABILITY AND IMPACT (1 - 5 SCALE)
SIGNIFICANCE (LOW,
MODERATE OR HIGH)
COUNTER MEASURES/
MANAGEMENT RESPONSE
STATUS
C A S H F O R W O R K S O P s 26
Annex 3: Terms of Reference
C A S H F O R W O R K S O P s27
Through able-bodied emergency employment targets for asset rehabilitation implementation, the intervention will be designed for people with disabilities (women and men) to reach the most vulnerable section of the targeted community.
A balance approach to target IDPs/host/returnees will be applied to maintain the social cohesion among the target communities.
The generation of emergency employment will also ensure gender balance from its inception through the end of the project. Women and men will be encouraged to participate in beneficiary identification, awareness campaigns, identification of micro-projects and the implementation, monitoring and evaluation.
Through the employment scheme, target communities will be encouraged to prioritize their needs. Basic tools and equipment will be provided to ensure the safety and security of the engaged community members. Cash-for-work groups will be formed in the community to identify priorities based on the requirements for women and men, including people with disabilities and the marginalized. The focus of the micro-projects will be on increasing the access to the market center through the improvement of roads, market places, provision of solar, etc.
INCLUSIVENESSBENEFICIARY IDENTIFICATION
GENDER EMPLOYMENT SCHEME
COMMUNITY BASED PROJECTS
(10,100 individuals x15 days x 4 months) working days will be created through the emergency employment scheme. Individuals will receive USD $90 per month as an incentive through the employment scheme while implementing the micro-projects. The incentive is above the minimum food basket requirements (USD $65), helping individuals and households meet food and other necessary consumption requirements.
27
606,000
C A S H F O R W O R K S O P s 28
The implementing partner will be encouraged to ensure that the cash transfer pay points are deconflicted and a limited crowd is maintained during the transfer. Depend-ing upon the target comm-unity location, cash can also be transferred through the bank. Implementing partners will also be engaged in assessing the cash transfer risks and ensuring the minimum facilities around the pay points such as drinking water, toilets (women and men) and shade.
Community engagement will be the basic principle applied for the emergency employment. From the selection of the beneficiaries to implementation and evaluation, beneficiaries and non-beneficiaries will be engaged. Feedback and a complaint handling system will be introduced to promptly address the concerns of both beneficiaries and non-beneficiaries. A hotline mechanism will also be recommended to implementing partners for the sensitive and severe nature of complaints from the target communities.
Soon after the cash transfer (within two weeks), PDM will be conducted to understand the level of satisfaction, utilization of cash and community feedback. A community engagement micro-survey will be ensured in the PDM to gauge areas of improvement for better community engagement.
The cash-for-work activities will require a proper risk assessment and working norms to be developed. Considering the mandate of the intervention, the scale of work or community projects need to be driven without posing any occupational hazards. A small-scale grant ceiling will also be agreed across the intervention and prior approval will be required for heavy machinery or tools for cash-for-work activities. Personal Protective Equipment (PPE) should be considered for the cash-for-work participants to mitigate safety risks. Please see the above section on Social and Environmental Standards (SES) risks, which will require to be assessed before the implementation to avoid any such risks.
CASH TRANSFER AND CROWD
MANAGEMENT
FEEDBACK AND COMPLAINT MECHANISM
POSTDISTRIBUTION
MONITORING (PDM)
SYNERGY SES AND OCCUPATIONAL
HAZARD AND SAFETY
The targeted communities will be linked with the ongoing intervention of the Enhanced Rural Resilience in Yemen (ERRY) project on vocational training and micro-businesses related to solar intervention. Solar intervention also provides the emergency support for the functioning of the health system and services. Target villages will be linked where solar services have been provided to schools and have health centers and benefit from the services.
28
C A S H F O R W O R K S O P s29
Annex 4: Sample of Eligibility Criteria Scoring Matrix
C A S H F O R W O R K S O P s 30
Large family (7+)
Elder (60+) and living alone
Single parent (with children less than 18 years old)
Female-headed household living with able bodied male (18 - 55)
Female-headed household living with no able-bodied male (18 - 55)
Lactating mother and pregnant women
Children below 5 years old with reported malnutrition cases
Less than 7 family members
7 - 9 family members
10+ family members
0
1
More than 1
No
No
No
No
Yes: 2+
Yes: 1
Yes
Yes
Yes
Yes: 1
None
Yes: 2+
0
1
3
0
1
3
0
0
0
0
3
1
3
3
3
3
0
3
CATEGORIES INDICATOR/CONDITION POINTS TOTAL NOTES V
ULN
ERA
BIL
ITY
C A S H - F O R - W O R K S O P s
H
OU
SEH
OLD
SCORING MATRIX
31 C A S H F O R W O R K S O P s
Child-headed households
Chronic illness households
Demonstrated disability (permanent or long-term serious mobility impairment or capability)
Demonstrated disability (permanent or long-term serious mobility impairment or capability)
Total family/household disposable income (less than USD $6 a day)
Total family/household non-disposable income (if the above is applicable the scoring will be lower, otherwise the scoring will be higher)
Non-disposable income
No
Yes
Yes: 2+
Yes: 2+
No
No
No
No
No
Remittances
Community support
Yes: 1
Yes : 1
Yes
Yes
Yes
Zakat
Loan from family or money lenders
0
3
1
1
0
0
0
0
3
2
2
3
3
3
1
1
2
3
PHYS
ICA
L V
ULN
ERA
BIL
ITY
FIN
AN
CIA
L V
ULN
ERA
BIL
ITY
C A S H - F O R - W O R K S O P s
CATEGORIES INDICATOR/CONDITION POINTS TOTAL NOTESSCORING MATRIX
C A S H F O R W O R K S O P s 32
Type of shelter
Shelter condition
Shelter cost
Living condition
Concrete house/finished building
Public shelter (school/mosque)
Tent/makeshift shelter
Very poor condition
Unfinished building/damaged house
Mud house/finished building
Good condition
Pay rent
Poor condition
Do not pay rent
Independent (1 family in the house)
House shared with 2 - 3 families
House shared with 4+ families
0
3
3
3
3
3
0
3
1
0
0
3
3
SHEL
TER
VU
LNER
AB
ILIT
Y
C A S H - F O R - W O R K S O P s
CATEGORIES INDICATOR/CONDITION POINTS TOTAL NOTESSCORING MATRIX
C A S H F O R W O R K S O P s33
Annex 5: Complaint Handing Mechanisms (CHMs)
C A S H F O R W O R K S O P s 34
The CHM provides space to target and non-target beneficiaries to express their opinion, seek responses or clarification, and/or register any misuse or abuse of authority by an implementing partner or UNDP.
This chart provides the characterization of complaint and level of management to be engaged. In all such categories of complaint, it is important to ensure timely response to ensure proper handling and diminish the possibility of escalation. Communication channels such as a mobile hotline, mobile team, complaint desk and suggestion box need to be established to ensure the collection of feedback and complaints. Implementing partners should have a log during the cash-for-work implementation to be shared with UNDP on a monthly basis. The selected communication channels are mobile hotline, mobile team, compliant desk and the suggestion box.
CATEGORY 1
CATEGORY OF COMPLAINT
TYPES OF COMPLAINT
EXAMPLE LEVEL OF MANAGEMENT
TIMELINE FOR
RESPONSE
CATEGORY 2
CATEGORY 3
CATEGORY 4
CATEGORY 5
Request for information
Request for assistance
Minor discontent with activities
Major discontent with activities and overall strategy
Corruption or fraud
Request of information regarding time and place of distribution, etc.
Articles missing, dissatisfaction with the distribution process, etc.
Cash not received, problems with targeting, etc.
Implementing Partner
ImplementingPartner
Implementing Partner and UNDP Project Management Unit (PMU) need to be informed
Stakeholder Response Mechanism (SRM) of UNDP will be referred to in case PMU does not provide satisfactory solution
Implementing Partner and the PMU of UNDP should inform the senior management
Within two days of complaint registration
Within two days of complaint registration
Within three days of complaint registration
Within a week of complaint registration
Within a week of complaint registration
CHM
C A S H - F O R - W O R K S O P s
35 C A S H F O R W O R K S O P s
The implementing partner needs to have the operational Complaint Handling Mechanisms (CHMs) designed to systematically channel grievances and ensure satisfaction of beneficiaries at the national and sub-national levels. The main objectives are:
. 1 Improve the accountability to donors and the beneficiaries.
. 2 Increase the level of beneficiary satisfaction with the delivery of cash and enhance the beneficiary/IP relationship.
. 3 Provide an efficient, fair and accessible mechanism for resolving beneficiary/partner complaints.
. 4 Guide IP staff in handling complaints.
. 5 Allow rectification, alert to problems, and help continuously learn and improve.
. 6 Develop database/registry of complaints to record complaints.
The redress mechanisms should be built upon a number of principles including: (a) protection of beneficiary/stakeholder rights; (b) neutrality and equity; (c) promptness; (d) transparency; (e) confidentiality; and, (f ) accessibility. They cover a range of subjects including transparency of bids, procurement, delivery and quality of services, environmental impact, selection criteria, planning, implementation and impact of the project.
Beneficiaries and other stakeholders can convey their complaints through different channels including grievance boxes, face-to-face, hand-written letters and mail boxes, e-mail, fax, telephone, SMS, hotlines, and social media. Complaints can be lodged by individuals, communities, local authorities, civil society, partner organizations and other stakeholders who are, or may be, affected by the projectduring or after its implementation.
IMPLEMENTING A PARTNER REDRESSSYSTEM
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The project is administered by UNDP through the Project Management Unit (PMU). The PMU manages the day-to-day running through oversight and quality assurance for smooth project implementation. It is headed by a Project Manager who reports to the Economic Self Resilience and Recovery Unit Team Leader. Additionally, PMU is supported by the Country Office through the Management Support Unit (MSU), operations team and senior management.
Where a beneficiary or stakeholder is dissatisfied with a solution provided by the implementing partner in the redress of a compliant, they can contact the PMU/UNDP Country Office. Upon receipt of a compliant, the PMU will consult the implementing partner to ascertain that they have received and handled (concluded or pending) the case.
In situations where a complainant is appealing the remedy offered by the IPs, UNDP will receive, record and analyze the grievance. In analyzing the complaint, UNDP will consult with the respective IP on the matter - when and how it was reported, considered and resolved - to determine the best way to proceed. The review process may be handled at two levels: (a) by PMU; and/or, (b) the Country Office (CO) Senior Management.
At both levels, UNDP will encourage dialogue and negotiation with the complainant to reach an amicable solution. This may be accompanied, where necessary, with further verification of facts through PMU. If a solution is reached, PMU will submit a report to the Senior Management, the implementing partner, and UN OCHA (in this case). The report will also include a monitoring schedule, where applicable, to follow-up on the implementation of the agreement with progress reported on a quarterly basis.
Should the complaint not be addressed by PMU for various reasons including the requestor’s dissatisfaction, the matter will be referred to the UNDP Yemen Country Office Senior Management. The management will review the case with the support of the PMU in the provision of additional facts (including through Third Party Monitoring) and other necessary information to facilitate prompt resolution. Where an agreement is reached, Senior Management will submit a report describing what was agreed to the IPs and UN OCHA (in this case). However, should no agreement reached, and the requestor wishes to pursue the matter further, the management will advise on the availability of the UNDP Corporate Stakeholder Redress Mechanism for further consideration.
PROJECTMANAGEMENTREDRESS SYSTEM (UNDP)
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UNDPSTAKEHOLDERRESPONSEMECHANISM
The UNDP corporate Stakeholder Response Mechanism (SRM) helps project-affected stakeholders, governments and other partners jointly to resolve concerns and disputes. It is available when other existing stakeholder engagement processes have not successfully resolved issues of concern. Under the project, the SRM will supplement the IPs and project management mechanisms to provide stakeholders with an additional formal avenue to address grievances.
While the UNDP Country Office management leads in Stakeholder Response within the country, there is a Headquarters function which also supports the SRM. The SRM can help affected people, government agencies, local authorities, and other project stakeholders to:
• Start or restart dialogue• Facilitate discussions• Mediate disputes• Enhance understanding of the facts• Undertake other activities that may help resolve
concerns and disputes
Any community or individual who has been potentially affected by a UNDP-supported project may file a request for response from the SRM, through an official request form by mail or internet. The compliant must relate to a possible environmental or social impact and identify how the complainant(s) have been, or may be, adversely affected by the UNDP project or programme. Requests may also be submitted by an authorized representative, on behalf of a person or group of people who believe they have been, or may be, adversely affected by a UNDP-supported project.
Persons or organizations acting as representatives must include documentation showing that directly concerned stakeholders have requested representation.
UNDP retains the option to communicate directly with the concerned stakeholders while working with authorized representatives in its responses to requests. The SRM is strongly linked with the UNDP Social and Environmental Standards (SES), which was adopted as a mandatory review procedure in June 2014.
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The SES came into effect in January 2015 and has the following objectives:
• Strengthen the social and environmental outcomes of UNDP projects.
• Avoid adverse impacts to people and the environment affected by projects.
• Minimize, mitigate, and manage adverse impacts where avoidance is not possible.
• Strengthen UNDP and partner capacities for managing social and environmental risks.
• Ensure full and effective stakeholder engagement, including through a mechanism to respond to complaints from project-affected people.
Such Standards are reinforced through an accountability mechanism with two components:
. 1 A compliance Review to respond to claims that UNDP is not in compliance with applicable environmental and social policies; and, m
. 2 A stakeholder Response Mechanism (SRM) that ensures individuals, people, and communities affected by projects have access to appropriate grievance resolution procedures for hearing and addressing project-related complaints and disputes.
Upon receipt, requests to the SRM are first assessed for eligibility and then addressed in consultation with the UNDP Country Office and concerned stakeholders. All requests should provide the requestor’s relevant details including name, address, telephone number and other contact details. Should the requestor wish to have identity confidentiality, they should indicate so and the reasons.
If the assessment shows the need for dialogue or negotiation among the requestor and other stakeholders through the SRM, UNDP will facilitate the process after agreement with the parties. The process will be tailored to the needs of the requestors and stakeholders and will continue as long as the stakeholders believe it is beneficial, or until agreement is reached. UNDP will decide if and when to end the process should the stakeholders leave. When agreement is reached among all participating stakeholders, a report describing this agreement will be submitted to UNDP staff, the UNDP Administrator, and all participating stakeholders. Where appropriate, a plan for monitoring the implementation of what has been reached will be part of the agreement, and UNDP will issue a monitoring report at least annually.
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39 C A S H F O R W O R K S O P s
The SRM has clear guidelines on what it does not address. Exclusions include:
• Any request that is found by UNDP to have been filed fraudulently or maliciously.
• Requests that do not provide complete information as per SRM’s form.
• Requests not related to a project where UNDP’s role has ended and UNDP has no feasible pathway to address the requestor’s concerns.
• Requests by people or groups who have already raised the same issue with respect to UNDP-supported projects and received an SRM response, unless significant new information is available or there has been a significant change in circumstances.
• Requests that have not first been brought forward and pursued in good faith.
• Responsible party grievance mechanisms or through dialogue with the implementing partner’s Field Project Managers.
• Anonymous requests.
While the SRM is intended to resolve complaints relating to UNDP-supported projects, requests for this support do not lead to:
• The halting of any projects implemented by UNDP or its partners.
• A legal investigation conducted by UNDP, but rather verifying and examining the grievances.
• A guaranteed solution to the grievance(s) presented, but rather discussing ways to address the concerns raised.
• A restructuring of the project(s) targets and implementation unless approved by UNDP and concerned partners.
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The Stakeholder Response Mechanism (SRM) acts as the highest level of grievance redress mechanism. It is activated only when the implementing partners or the Project Management Unit, UNDP Yemen Country Office and/or standard practices for responding issues arising from project design and implementation issue(s) of concern and one or more stakeholders request UNDP’s assistance through the SRM.
The diagram to the right shows the three levels of the YHRP’s grievance redress procedure.
If they have raised their concerns with Implementing Partners and/or with UNDP through standard channels forstakeholder consultation and engagement and have not been satisfied with the response.UNDP’s Social and Environment Standards: http://www.undp.org/content/undp/en/home/operations/social-andenvironmental-sustainability-in-undp/SES.htmlhttp://www.undp.org/content/undp/en/home/operations/social-and-environmental-sustainability-inundp.html
1UNDP’s Corporate Stakeholder Response Mechanism (SRM):http://www.undp.org/content/undp/en/home/operations/accountability/secu-srm/stakeholder-response-mechanism.html
SRM’s form: http://www.undp.org/content/undp/en/home/operations/accountability/secu-srm.html5 UNDP may choose to waive this exclusion where the requestor indicates fear of retaliation or other adverseconsequences
Any grievances should be first raised with IPs.
If not statisfied with IPs response, requestors can raise their concern with UNDP YHRP Project Management Unit (PMU) at the Country Office.
If not satisfied with the outcome, requestors can forward their concern/complain formally to SRM.
IMPLEMENTING PARTNERS
UNDP SRM
THEPROJECTGRIEVANCEREDRESSPROCESS
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Annex 6:Roles and Responsibilities to Ensure Safety and Security
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PROJECT IMPLEMENTING PARTNERS (IPs)
• An orientation should be conducted on SOPs by the implementing partner for CFW groups. • The person (engineer) in charge of the site should also ensure that materials, equipment and tools are brought to
the site and meet minimum safety standards. • IPs are responsible for monitoring the Bill of Quantity (BoQ) for every micro-project that includes an item for
environmental mitigation measures (safety such as fencing the site), proper storage of material to facilitate movement, provision of sanitation for workers, safety clothing/attire and a first aid box.
• IPs should conduct safety training programmes, including induction training for all workers on the site.• IPs should ensure provision, construction and maintenance of safety facilities such as access roadways, pedestrian
routes, barricades and overhead protection.• IPs should inspect and rectify access and welfare facilities such as scaffolds, ladders, toilets and washing facilities. • IPs are responsible for investigation and review of the circumstances and causes of accidents and occupational
diseases. They are to advise the senior management on preventive measures and participation in pre-site planning. • Ensure working conditions and equipment are safe.• Inspect workplace safety.• Ensure workers have been adequately trained for the job they are expected to do.• Ensure workplace safety measures are implemented.• Ensure necessary personal protective equipment is available and used.
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CASH-FOR-WORK PARTICIPANTS PROJECT MANAGEMENT UNIT (UNDP)
Making the work site safe will require regular inspection and provision of the means for taking remedial measures. The training of CFW participants enables them to recognize the risks involved and how they can overcome them. Participants should be shown the safe way of getting a job done. Every participant is under a moral, and often also a legal, duty to take the maximum care for his or her own safety and that of fellow participants. The participants should be involved directly in the following ways:
• Tool Box Briefing: A five- to ten-minute session with the supervisor (CFW Technical Team and group) just prior to starting a task gives the workers and the supervisor a chance to talk about safety problems likely to be encountered and potential solutions to those problems. This activity is simple to implement and it may prevent a serious accident.
• Safety Check: A check by participants that the environment is safe before starting an operation may allow them to take remedial action to correct an unsafe situation that could later endanger them or another worker.
The primary purpose is to enable implementing partners including CFW participants to work together to implement and monitor the Standard Operating Procedures (SOPs) so as to prevent accidents and improve working conditions on site.
PMU will carry out site inspections through its field visits to the accessible locations. The following duties to be carried out by the PMU include:
• Regular monthly IP meetings to discuss the safety and health programme on site and to make recommendations for improvement, if needed.
• Consideration of reports of responsible safety personnel. • Investigate accidents in conjunction with IPs to determine
their causes and to propose remedies.• Discussion of accident and illness reports in order to make
recommendations for prevention.• Evaluate improvements made and report to donors.
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Annex 7:Checklist for Safety, Health and Welfare of Cash-for-Work Participants
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SAFETY ORGANIZATION AND MANAGEMENT
. 1 The organization (project implementing partner) has a written safety policy which states the safety and health standards to which the employer/contractors should adhere.
. 2 Safety and health records are kept at the site.
9. Ladders are removed from position or their r rungs boarded at the end of the working day.
10.
11.
12.
13.
. 1 Personal protective clothing and equipment is provided to protect the head, eyes, hands and feet.
2.
3.
3. Training is conducted at all levels, including f for managers, supervisors, workers, sub-contractors and contract workers.
4. Safety and health duties are specifically a assigned on site.
5. Tool-Box Briefings and safety checks are u used regularly on site.
6. All workers are aware that the site manager h has established a safety policy and what it e entails.
7. Safety aspects are included appropriately in site planning and layout.
8. There is a fence at the boundary of the site.
PERSONAL PROTECTIVE EQUIPMENT (PPE)
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Everyone can reach their place of work safely including safe roadways, walkways, gangways, staircases, ladders and scaffolds.
Holes and openings are securely fenced off or provided with fixed, clearly marked covers.
The site is kept tidy and materials are stored safely.
Proper arrangements have been made for collecting and disposing of waste and scrap at frequent intervals.
CFW participants are trained on the use of personal protective equipment.
The CFW participants wear and use the protective clothing and equipment.
CHECKLIST CHECKLIST YES YESNO NORE-MARKS
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WELFARE FACILITIES HAZARDOUS SUBSTANCES
EXCAVATIONS
HAND TOOLS
. 1 There are separate washing and latrine facilities for male and female workers.
. 1 Workers are aware of the hazards of the substances they are using and have been informed of the precautions to be taken by them, in particular when using cement.
. 1 Hand tools are regularly inspected for safe condition.
2.
2.
3. . 1 There are daily inspections of excavations to determine the possibility of a cave-in and weekly recorded inspections of the shoring. 4.
5. 2.
. 1 There are sufficient and suitable provisions made for first aid and medical treatment.
3.
. 1 All CFW participants are trained about action to be taken in emergency first-aid situations.
4.
5.
CHECKLIST CHECKLIST YES YESNO NO
FIRST AID
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Workers have been trained in the handling and use of hazardous chemicals.
A sufficiently long ladder for safely getting in and out of the excavation site is available and in use.
There are barriers to stop persons falling into the excavation site.
There are no buildings whose stability might be affected by the excavation site.
Arrangements such as properly secured stop blocks have been made to prevent vehicles driving into the excavations.
Tool handles are free from splits and cracks.
Tool handles are firmly fixed to the heads of all tools.
Hammers, chisels and other impact tools do not have mushroomed heads.
The edges or teeth of cutting tools are kept sharp.
2.
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SCAFFOLDING
TRANSPORT
ON BEHALF OF IMPLEMENTING PARTNER
. 1 There is proper access to all parts of the scaffold platforms.
. 1 Ladders that are in use are in good condition.
2.
2.
3.
3.
4. . 1 All site vehicles are in good repair.
5.
2.
. 1 Ladders are not being used for jobs which require a scaffold.
3.
2.
4.
NAME:FUNCTIONAL TITLE:ORGANIZATION NAME:SIGNATURE: DATE:
LADDERS
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Ladders are secured at or near the top whenever available, even if only used for a short time.
Ladders are inspected regularly for signs of damage or corrosion.
Drivers are trained to properly secure the loads of all site vehicles.
Vehicles are equipped with a reverse signal where appropriate.
When vehicles reverse with a load, the driver should be directed by a second trained worker.
There are effective barriers and warning notices to stop people using an incomplete scaffold (e.g. one that is not fully boarded).
The boards are arranged so as to avoid the risk of tripping.
Scaffolds are inspected by a qualified person at least once a week, and always after windy and bad weather.
The results of scaffold inspections are recorded and signed by the person who carried out the inspections.
Metal ladders are not being used near overhead power lines.
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Annex 8:Essential Documentation
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