International Humanitarian Assistance – Funding Application Guidelines for Non-Governmental Organizations

1 September 2017

Table of contents

Section 1: Introduction

1.1 Purpose of NGO Funding Application Guidelines

The purpose of the following Guidelines is to provide Canadian and international non-governmental organizations (NGOs) with guidance on the Global Affairs Canada (GAC) process and requirements to be considered for international humanitarian assistance funding.

1.2 Process Overview

The Department’s International Humanitarian Assistance Directorate (MHD) has revised its NGO Funding Application Guidelines to help strengthen the Department’s accountability, streamline processes and improve the overall efficiency and effectiveness of its humanitarian responses.

In keeping with the last revision, the first step to confirming an organization’s eligibility for MHD funding is the NGO Institutional Profile (Annex 1), to be submitted to MHD by the organization prior to being considered for humanitarian assistance funding. In this Profile, the NGO must demonstrate how it meets MHD’s ten minimum requirements (outlined in the box on page 2).

NGOs that meet the minimum requirements will then be eligible to submit funding proposals responding to complex humanitarian situations and sudden onset emergencies, including natural disasters.

The Department will advise NGOs if their Institutional Profile needs to be renewed.

NGO Minimum Requirements For GAC-MHD Funding

Institutional Requirements:

  1. Must be a legally incorporated organization;
  2. Must be a non-governmental organization, registered as a non-profit organization;
  3. Must have a Board of Directors or equivalent body;
  4. Must have measures in place to address the requirements of Canada’s anti-terrorism legislation;

Financial Requirements:

  1. Must submit audited financial statements for the past three fiscal years;
  2. Must demonstrate that the NGO has managed at least CAD $500,000 in international humanitarian assistance funding per year (from all sources), over the past three years;

Humanitarian Assistance Requirements:

  1. Must have at least five years of operational experience, expertise and capacity in providing international humanitarian assistance. This experience must be demonstrated in at least three overseas development assistance (ODA) countries;
  2. Must adhere to the following codes of conduct: the Code of Conduct of the International Committee of the Red Cross and Red Crescent Movement and NGOs in Disaster Relief; and the Plan of Action and Core Principles of Codes of Conduct on Protection from Sexual Abuse and Exploitation in Humanitarian Crises;
  3. Must demonstrate a commitment to work towards improving quality and accountability in international humanitarian assistance policies and programming; including meeting SPHERE Minimum Standards in Humanitarian Response; and
  4. Must have a demonstrated past performance of coordination in the field, which reflects an understanding of the Inter-Agency Standing Committee cluster system and participation in the field-level Inter-Agency Standing Committee cluster system.

1.3 Step-by-Step Process Summary

GAC-MHD's funding application process is as follows.

Submitting the Institutional Profile

Step 1 – Review of NGO requirements: NGOs interested in being considered for GAC-MHD funding must first ensure they meet all of the ten minimum requirements, which are identified in the box above “NGO Minimum Requirements for GAC-MHD Funding” and below in Section 2.1: “Process for Submitting the Institutional Profile.”

Step 2 – Institutional Profile: If the NGO believes it meets all of the ten minimum requirements, the organization can complete and submit the Institutional Profile outlined in Annex 1. In this Profile, the NGO must provide clear evidence demonstrating how it meets MHD’s ten minimum requirements. NGOs can complete the Institutional Profile in either English or French.

For the Institutional Profile, the NGO also needs to provide additional information and documentation relating to its governance, institutional capacity and humanitarian assistance experience. MHD will review this information and documentation only for those NGOs who meet the ten minimum requirements. The additional information and documentation will provide useful contextual and qualitative information about the NGO’s capacity to effectively deliver international humanitarian assistance.

Step 3 – MHD review of Institutional Profile: MHD reviews the NGO’s Institutional Profile and informs the organization in writing whether it meets all ten minimum requirements. In the event the organization does not meet all of the ten minimum requirements, MHD will specify which of the minimum requirements the NGO has not met.

Applying for GAC-MHD Funding

Step 4 – Submission of funding proposals by eligible NGOs: Only NGOs that meet MHD’s minimum ten requirements are eligible to submit funding proposals in response to annual funding appeals/complex humanitarian situations and other funding/sudden onset emergencies.

Step 5 – Review of funding proposals: MHD reviews funding requests. When reviewing proposals, MHD uses the information and documentation provided in the NGO’s Institutional Profile as a factor in making the decision to recommend funding the proposal or not.

Step 6 – Notification of funding proposal request: MHD informs the organization whether the proposal will be recommended for funding or not.

Note: information contained in NGO applications is subject to release upon request under the Access to Information Act or the Privacy Act.

Submitting the Institutional Profile and Applying for GAC-MHD funding

NGOs without an accepted institutional profile:

Step 1

NGO undertakes a self-assessment to determine whether their organization meets the ten minimum requirements.

Step 2

If yes, NGO completes the Institutional Profile and submits to GAC-MHD, including supporting documentation.

Step 3

GAC-MHD reviews the Institutional Profile.

GAC-MHD informs NGO whether the organization meets the minimum requirements and is eligible to submit proposals for GAC-MHD funding.

If YES (NGO meets minimum requirements)

NGOs are eligible to submit funding proposals to GAC-MHD.

NGOs provide information regarding any major changes or new or revised NGO policies to GAC-MHD, as necessary.

GAC will advise NGOs if their Institutional Profile needs to be renewed.

If NO (NGO does not meet minimum requirements)

Until their Institutional Profile is accepted, NGOs cannot submit funding proposals to GAC-MHD.

NGOs can resubmit their Institutional Profile once they can demonstrate that they meet the minimum ten requirements.

NGOs with an accepted and up-to-date institutional profile:

NGO is eligible to submit a funding proposal to GAC-MHD.

Step 4

An eligible NGO submits their proposal to GAC-MHD for consideration, typically in the fall for complex crises; and once international appeals have been launched for sudden onset emergencies.

Step 5

GAC-MHD reviews NGO proposal, using MHD proposal assessment.

Step 6

MHD informs the NGO whether their proposal will be recommended for funding or not.

1.4 GAC’s International Humanitarian Assistance Directorate (MHD)

GAC is the Government of Canada's operational lead for providing international humanitarian assistance in response to complex and sudden onset humanitarian situations in developing countries. The Department’s humanitarian assistance mandate is to help save lives, alleviate suffering and maintain the dignity of those affected by conflict and natural disasters by providing an appropriate, timely and effective response.

GAC’s broader objective is to lead Canada’s international effort to help people living in poverty, where girls and women are experiencing higher mortality rates and greater vulnerability. More than 90 percent of those affected by natural disasters live in developing countries. The poverty, high-density populations and environmental degradation affecting most of the people in these countries make them the most vulnerable to disasters and least able to help themselves when emergencies occur. Complex humanitarian situations also affect the world’s poorest countries disproportionately. International humanitarian assistance focuses on short-term interventions and does not aim to address the root causes of poverty or conflict, nor can it substitute for long-term development efforts.

GAC’s primary response to humanitarian situations, through the International Humanitarian Assistance Directorate (MHD), is the provision of financial support to experienced humanitarian partners, including United Nations (UN) agencies, the International Red Cross and Red Crescent Movement and non-governmental organizations (NGOs). GAC also provides relief supplies from the Department’s stockpile to humanitarian partners who act as consignees and funds the deployment of Canadian humanitarian technical experts through established rosters, as well as field hospitals through the Canadian Red Cross Society.

MHD funds organizations possessing the demonstrated knowledge, experience and capacity to meet the needs of vulnerable populations. There are two main types of GAC-MHD funding:

A number of key principles, best practices and legal frameworks guide GAC’s humanitarian assistance, including adherence to and promotion of international humanitarian, human rights and refugee law. GAC also seeks to protect and promote respect for the core humanitarian principles of humanity, impartiality, neutrality and independence.

Humanitarian Principles

Humanity – the centrality of saving lives and alleviating suffering wherever it is found.

Impartiality – humanitarian action must be carried out solely on the basis of need, giving priority to the most urgent cases of distress and making no distinctions on the basis of nationality, race, gender, religious belief, class or political opinions.

Neutrality – humanitarian action must not favour any side in an armed conflict.

Independence – humanitarian action must be autonomous from the political, economic, military or other objectives that any actor may hold with regard to areas where humanitarian action is being implemented.

In accordance with the Principles and Good Practice of Humanitarian Donorship (GHD), GAC strives to provide humanitarian assistance solely on the basis of need and in a responsive and equitable manner. Focusing on the needs of the most vulnerable and paying special attention to gender equality and environmental sustainability are essential components of GAC’s humanitarian response.

The humanitarian principle of “Do No Harm” is also critical in GAC’s humanitarian response. While not attempting to address or solve all potential dimensions of armed conflicts, the manner in which humanitarian assistance is delivered can adversely affect conflict-affected populations and the environment. It is therefore extremely important to avoid delivering aid (or appearing to deliver aid) in a manner that exacerbates any pre-existing tensions, inequalities, or environmental degradation in the project location.

Section 2: Submission of a NGO Institutional Profile

2.1 Process for Submitting the Institutional Profile

Step 1: Review of NGO requirements - Organizations receiving funding from MHD should have the necessary organizational, financial and humanitarian assistance capacity to ensure that funds are used effectively. As such, MHD requires that NGOs meet ten minimum requirements.

Institutional Requirements:

  1. Must be a legally incorporated organization;
  2. Must be a non-governmental organization, registered as a non-profit organization;
  3. Must have a Board of Directors or equivalent body;
  4. Must have measures in place to address the requirements of Canada’s anti-terrorism legislation (see sections 83.01 to 83.3 of the Criminal Code of Canada);

Financial Requirements:

  1. Must submit audited financial statements for the past three fiscal years. Only those organizations deemed to pose an acceptable level of financial risk to GAC will be eligible to apply for GAC funding;
  2. Must demonstrate that the NGO has managed at least CAD $500,000 in international humanitarian assistance funding per year (from all sources) over the past three years;

Humanitarian Assistance Requirements:

  1. Must have at least five years of operational experience, expertise and capacity in delivering international humanitarian assistance. This experience must be demonstrated in at least three overseas development assistance (ODA) countries;
  2. Must adhere to the following codes of conduct: the Code of Conduct of the International Committee of the Red Cross and Red Crescent Movement and NGOs in Disaster Relief; and the Plan of Action and Core Principles of Codes of Conduct on Protection from Sexual Abuse and Exploitation in Humanitarian Crises;
  3. Must demonstrate a commitment to work towards improving quality and accountability in international humanitarian assistance policies and programming, including meeting SPHERE Minimum Standards in Humanitarian Response; and
  4. Must have a demonstrated past performance of coordination in the field, which reflects an understanding of the Inter-Agency Standing Committee cluster system and participation in the field-level Inter-Agency Standing Committee cluster system.

Step 2: Institutional Profile - If the NGO believes it meets all ten of these minimum requirements and wants to be considered for project funding, the organization is invited to follow the instructions and fill out the Institutional Profile outlined in Annex 1 of these Guidelines.

NGOs should send Institutional Profiles and supporting documentation to: ahi-iha@international.gc.ca

Step 3: MHD review of Institutional Profile - MHD reviews the Institutional Profile and determines whether the NGO has met the ten minimum requirements. Once MHD has confirmed in writing that an NGO meets the minimum requirements, the NGO will then be eligible to submit funding proposals responding to complex and sudden onset humanitarian situations.

If an NGO meets the ten minimum requirements, MHD will review the additional information provided by the NGO as identified in the Institutional Profile template (Annex 1). The additional information will enable MHD to further assess the NGO’s capacity to successfully implement humanitarian assistance programming, such as the NGO's capacity to effectively manage financial resources; its capacity to manage risk; as well as its capacity to plan for and achieve gender equality results and environmental sustainability in international humanitarian contexts. This information will be considered in the review of proposals as part of MHD’s broader due diligence of NGOs.

Please note that GAC has a process for evaluating the fiduciary risk posed by our partner organizations and, as a result, MHD may ask NGOs for additional information to meet these corporate GAC due diligence requirements. The fiduciary risk assessment examines in greater detail the institutional issues listed in the box below, “Fiduciary Risk Assessment.”

Fiduciary Risk Assessment

Risk Factor # 1 – Recipient Governance and Stability
The risk is based on the degree to which the recipient can demonstrate effective governance, including independent and stable oversight structures, a clear strategic plan, accountability and transparency.

Risk Factor # 2 – Recipient Results Performance Prior History
The risk is based on the degree to which recipient has demonstrated ability to achieve results.

Risk Factor # 3 – Recipient Financial Viability
The risk is based on the degree to which the financial performance, situation and financial management capacity of the recipient are viable and stable.

Risk Factor # 4 – Corruption and Fraud
The risk is based on the degree to which anti-corruption systems safeguard that funds are being used for intended purposes and appropriately.

As part of this Departmental-level fiduciary risk assessment of partner organizations, MHD will share information provided by an NGO in its MHD Institutional Profile with other GAC programs.

International or national NGOs with a registered Canadian office should have their Canadian office complete the Institutional Profile. For those with no Canadian office (not a mandatory requirement), their international or national headquarters office should complete the Profile.

Important Note: The successful completion of the Institutional Profile is not a guarantee that humanitarian funding will be provided by GAC. MHD will assess each NGO funding proposal received based on its own merit.

NGOs that do not meet all of the ten criteria will not be eligible to apply for funding and will be provided with feedback in writing. Once an NGO can demonstrate that they meet the minimum ten requirements, MHD will invite the NGO to resubmit their Institutional Profile.

2.2 Supporting Documentation for the NGO Institutional Profile

NGOs should provide the following supporting documentation along with their Institutional Profile:

  1. Proof of non-profit status and incorporation under Canadian law or the laws of a foreign government;
  2. Audited financial statements for the past three financial years, covering the past three years and signed by the auditor and responsible board member;
  3. The NGO’s organization chart;
  4. If available, the organization’s strategic plan, institutional strategy or equivalent;
  5. If available, a copy of the Board’s liability insurance policy;
  6. Code of ethics, code of conduct, and anti-terrorism policies, anti-corruption policies, or equivalent documents;
  7. Any external audits, evaluations and institutional assessments of the NGO’s humanitarian responses done within the last five years (the two most recent);
  8. Two examples of international humanitarian assistance final project reports, including financial reports; and
  9. A copy of relevant corporate safety and security policy and procedure documents used by the NGO in humanitarian response operations.

For the full list of required supporting documentation, along with further details about each specific requirement, please see Annex 1, the Institutional Profile template.

2.3 Maintenance of Institutional Profiles

GAC will advise NGOs if their Institutional Profile needs to be renewed. NGOs are also expected to submit any major updates or changes to their organization, as relevant (for example, new policies; any major changes in the NGO’s financial situation; significant management changes).

Note that NGOs will be asked to submit their audited financial statements on an annual basis as part of GAC’s corporate due diligence requirements. Failure to do so can result in major delays in reviewing funding proposals submitted by the NGO.

Section 3: Applying for GAC-MHD Funding

3.1 Introduction

This section describes the funding application process for those NGOs that GAC-MHD has informed are eligible to submit funding proposals.

Step 4: Submission of funding proposals by eligible NGOs - Eligible NGOs may submit funding proposals in response to complex humanitarian situations (generally, in the context of annual funding or else when an ongoing situation has significantly deteriorated) or sudden onset emergencies (both natural disasters or man-made crises).

NGOs should send proposals to ahi-iha@international.gc.ca.

Step 5: Review of funding proposals - MHD reviews all project proposals received; however, MHD will not consider incomplete proposals. Each proposal will be assessed based on its appropriateness to a given humanitarian response and the proposal’s strength relative to others received, as well as MHD’s assessment of the local and international capacity of the organization relevant to the situation. Note that MHD will not recommend all project proposals received for funding. Availability of funding is another factor for consideration. Please refer to Section 3.3 “MHD Proposal Assessment Criteria” for more information.

Step 6: Notification of funding proposal requests: MHD will notify the applying NGO via email if GAC has approved the proposal for funding.

Please note: In line with the Government of Canada’s Proactive Disclosure efforts, project-related information for approved humanitarian funding initiatives are considered public information and are usually published on GAC’s website (including: name of organization receiving funds, purpose of project, project amount and results achieved). If for security reasons, this presents a problem, please advise GAC-MHD.

3.2 Activities MHD Does Not Fund

Please note that MHD does not fund the following NGO activities:

3.3 MHD Proposal Assessment Criteria

MHD assesses funding requests against several criteria including:

3.4 Requirements for Submitting an MHD proposal

The table below summarizes the requirements for submitting a funding proposal responding to a complex humanitarian situation or a sudden onset emergency. These are mandatory for a proposal to be assessed by MHD. If these requirements are not met, MHD will consider the proposal incomplete and will not consider it for review.

Note that the information requirements for proposal submission depend on the nature of the humanitarian crisis being addressed. Given the highly fluid operating context at the outset of sudden onset emergencies, as well as the limited availability of data regarding needs, minimum information requirements at the time of proposal submission differ as described in the table below. When preparing a proposal for a sudden onset emergency, NGOs should always contact the responsible MHD officer to confirm if MHD needs more than the minimum requirements.

MHD Documentation Requirements for Funding Proposals
 Annual Funding/Complex Humanitarian SituationOther Funding/Sudden Onset Emergency
* Within one month of grant signature
Institutional Profile on file with MHDYesYes
Project Summary Sheet (Annex 2)YesYes
Abridged proposal (Annex 3)NoYes
Full proposal (Annex 4)YesNo
Summary Budget (Annex 5)NoYes
Detailed budget (Annex 6)YesYes*
Logic Model (Annex 8)YesYes*
Output Activity Matrix (Annex 9)YesYes*
Performance Measurement Framework (Annex 10)YesYes*
Project Implementation Timeline (Annex 12)YesYes

3.5 Applying for GAC-MHD Funding – Annual Funding/Complex Humanitarian Situations

A complex humanitarian situation is an often protracted, multifaceted emergency in a country, region or society where there is total or considerable breakdown of authority or a lack of willingness/capacity to respond resulting from internal or external conflict requiring a multi-sectoral, international response that goes beyond the mandate or capacity of any single agency and/or the ongoing UN country program. Such an emergency is typically characterised by extensive violence and loss of life, massive displacement, as well as widespread damage to society and the economy.

MHD aligns its annual funding cycle for complex humanitarian situations with the launch of the Humanitarian Response Plans (HRPs) and International Committee of the Red Cross emergency appeals. While MHD accepts NGO proposals throughout the year, the majority of MHD funding for complex humanitarian situations is done between January and March.

In response to complex humanitarian situations, eligible NGOs with a valid Institutional Profile, should submit a full proposal (please see Annex 4 for the template). Please refer to the table above (“MHD Documentation Requirements for Funding Proposals”) for the proposal requirements in response to annual funding/complex humanitarian situation.

3.6 Applying for GAC-MHD Funding – Other Funding/Sudden Onset Emergencies

Typically, sudden onset humanitarian emergencies are the result of a natural disaster (e.g. cyclones, hurricanes, floods and earthquakes). Surges in violence linked to a lingering or new conflict can also lead to sudden onset humanitarian emergencies, characterized by significant displacement, a highly unstable situation on the ground and the need for humanitarian actors to respond quickly. These types of emergencies are typically accompanied by the launch of flash appeals by the United Nations and/or emergency appeals by the International Red Cross and Red Crescent Movement.

MHD recognizes the significant challenges the humanitarian community faces in the days following sudden onset emergencies, including identifying needs and reaching vulnerable populations in a timely manner. The application process for proposals responding to sudden-onset emergencies is designed to help ensure a rapid Canadian response, while also ensuring that applying NGOs have the necessary in-country knowledge and capacity to effectively deliver the proposed humanitarian assistance response.

Following such emergencies, eligible NGOs with a valid Institutional Profile can submit an Abridged Proposal to MHD (please see Annex 3 for the template). The proposal should focus on the conclusions of a preliminary needs assessment and the proposed response. Please refer to the table above (“MHD Documentation Requirements for Funding Proposals”) for the minimum requirements for a proposal in response to a sudden onset emergency to be considered complete.

Even when a proposal using the abridged format is accepted, NGOs are required to submit a logic model, performance management framework and detailed budget within one month of signature of the grant agreement. Note that MHD will consider this detailed budget as the final approved version. NGOs should refer to this detailed budget should they need to request GAC’s approval for budget variances or for no-cost project extensions. In addition, NGOs should base their final financial report on the detailed budget.

Note: MHD will only accept abridged proposals from NGOs during the initial phase of a sudden onset emergency.

When preparing a proposal for a sudden onset emergency, NGOs should always contact the responsible MHD officer to confirm if MHD needs more than the minimum requirements.

Section 4: Project Approval Process

Timing: For sudden onset emergencies, MHD typically begins assessing NGO proposals once international appeals have been launched. For complex humanitarian emergencies, MHD will begin the assessment of NGO proposals following the launch of the annual UN appeals/HRPs and International Committee of Red Cross emergency appeals (typically in the fall). Final decisions regarding complex humanitarian situation proposals can be expected between January and March.

Project approval: MHD will advise NGOs if their proposals have been approved.

Funding amount: The amount approved by GAC may be less than the amount requested in the project proposal. In such cases, NGOs will be expected to re-submit a revised project budget and revised expected outputs, if applicable, prior to the signature of the grant arrangement. If applicable, NGOs may also be requested to re-submit the Logic Model and Performance Measurement Framework.

Grant timeframe: MHD recognizes that NGOs generally launch their response to a sudden onset natural disaster immediately following the onset of said disaster. In such cases, MHD grants cover activities from the date of onset of the disaster to the project end date outlined in the grant agreement. The typical grant agreement duration is up to one year, in line with the annual appeals process. In line with Grand Bargain commitments, MHD will consider proposals for up to two years for protracted complex humanitarian emergencies in certain country contexts, and will advise NGOs in advance when it plans to do so.

Section 5: Project Implementation

5.1 Introduction

Given the rapidly changing operational environments in which NGOs operate, regular MHD-NGO communication is critical throughout project implementation. The sub-sections below outline examples of when this communication is required.

5.2 Project Updates

MHD will request that NGOs provide summary progress updates on an as-needed basis, particularly in sudden onset contexts, in the form of a short email, with reference to the project implementation timeline. Such requests will often be made on short notice. As such, MHD expects NGOs to have updated project information, including details relating to gender equality data, activities, and results, on hand, such as sit-reps from the field that can readily be shared with GAC. NGOs receiving MHD funding are also requested to share any regular situation reports produced by the organization that highlight their overall programming in various humanitarian situations, both sudden onset and protracted emergencies.

5.3 Implementation Issues

NGOs are required to inform MHD immediately of any issues that would affect delivery of MHD-supported projects, such as:

5.4 Requesting Revisions to the Approved Project and Budget

MHD expects that NGOs implement projects according to approved proposals and budgets. Any proposed changes to the approved goal or expected results of a project are to be requested in writing to MHD. In cases where budget revisions are required, NGOs should submit a written request and justification for the proposed revisions. A revised budget will be required if the variance exceeds 10% of direct personnel costs and 20% on all other direct project cost budget line items. Please note that project administration costs can never exceed 7.5% of direct project costs.

For projects approved through the sudden onset/other funding mechanism, NGOs should refer to the detailed budget should they need to request GAC’s approval for budget variances.

In such cases, MHD may also require the NGO submit a revised logic model and/or interim project narrative and financial report. Note that MHD will assess such requests on a case-by-case basis and will respond to the NGO via email.

5.5 Requesting No-Cost Extensions

GAC expects that project funds will be utilized by NGOs within the timeframe agreed upon in the grant agreement. However, requests for a no-cost extension can be reviewed on a case-by-case basis. In cases where a no-cost extension is required, the NGO should provide MHD with a written justification, at least 45 days in advance of the end date in the grant agreement, and suggest a new project end date. The request should be accompanied by a summary progress report and a financial report, with expenditures to date and an implementation plan for the no-cost extension period. For projects approved through the sudden onset/other funding mechanism, NGOs should refer to the detailed budget should they request GAC’s approval for a no-cost extension.

MHD will respond to NGO requests for no-cost extensions in writing. Please note that no-cost extensions will be approved only in exceptional cases.

Section 6: Project Reporting and Project Closure

6.1 General Process

Timely and reliable reporting by MHD’s partners is essential to help ensure that GAC funds are utilized effectively, efficiently and transparently. Interim and final project reports provide the implementing partner and MHD with key information on progress made on or toward expected results and the project’s overall performance. NGO reporting helps ensure that corrective action can be taken during project implementation, and that lessons learned can be applied to future humanitarian assistance programming. MHD therefore welcomes frank reporting from its NGO partners on issues such as project appropriateness, constraints, challenges and lessons learned, with particular attention to gender equality considerations.

Reports are submitted to MHD in accordance with the provisions outlined in the grant agreement. NGOs must report against the approved project budget, Logic Model (LM) and Performance Measurement Framework (PMF). Typically, an NGO submits only one project report, which includes a final financial and narrative report, due three months following the project end date. If the project is longer than 18 months, NGOs must submit interim reports, in addition to final reports. For projects approved through the sudden onset/other funding mechanism, NGOs should refer to the detailed budget when preparing the final project financial report.

Please refer to Annex 7 for the template and instructions on Project Reports.

As noted above, in sudden onset or high profile humanitarian contexts, status updates may also required. There is no template for these updates. MHD requires a short email providing an activity report with reference to the project implementation timeline; initial results (outputs); and immediate results, when available. Sit-reps from the field are adequate.

Note: As part of its project management cycle, GAC closes projects once final narrative and financial reports have been reviewed. In the event that reports are found not to fulfill MHD’s requirements, MHD may request additional information or revised reports from the partner.

6.2 Food Assistance Convention

Canada reports on its commitments under the FAC on an annual basis. NGOs must, therefore, indicate which activities (and funding) would be eligible to be counted towards Canada’s annual Food Assistance Convention (FAC) commitment (i.e. what proportion of the cash assistance is expected to meet food assistance needs). In addition, at the beginning of each year, GAC will contact NGO partners who have received funding in the previous calendar year to support activities or purchase commodities that could be eligible for reporting under the FAC in order to request the statistical information required for GAC to complete its annual reporting. The specific reporting template and instructions will be provided.

Annex 1: NGO Institutional Profile Template

NGO Institutional Profile
Name and Address of organization

Section 1: Contact Information

Please provide the names and contact information for two people who are authorized to speak on behalf of their NGO to MHD regarding the contents of the completed NGO Institutional Profile.

1) Primary contact:
Name:
Position:
Tel:
Fax:
Email:

2) Secondary contact:
Name:
Position:
Tel:
Fax:
Email:

Section 2: NGO Minimum Requirements or GAC-MHD Funding

A. Institutional Requirements

  1. Is your organization legally incorporated in Canada or in another country? Yes/No
    • Attach a copy of your organization’s Articles of Incorporation (or equivalent).
  2. Is your organization registered as a non-profit organization? Yes/No
    • Attach a copy of your organization’s registration documentation (or foreign equivalent, if your organization does not maintain an office in Canada).
  3. Does your organization have a Board of Directors or equivalent body? Yes/No
    • Attach the names and titles of all Board Members
  4. Does your organization have measures in place to address the requirements of Canada’s anti-terrorism legislation (see sections 83.01 to 83.3 of the Canadian Criminal Code)? Yes/No
    • Provide a description and supporting documentation to demonstrate the policy-level and practical operational measures that are in place to ensure compliance with the Criminal Code and to reduce the risk of aid diversion to the benefit of terrorists or other armed groups. If your organization has anti-terrorism policies, provide a copy of the policy or other relevant documents.

B. Financial Requirements

  1. Your organization must submit Board-approved audited financial statements for the past three fiscal years. NGOs should also submit corresponding management letters, if issued by the auditors. Only those organizations that pose an acceptable level of financial risk, as assessed by GAC, will be eligible to apply for GAC funding.
  2. Has your organization managed at least CAD $500,000 in international humanitarian assistance funding per year (from all sources) over the past three years? Yes/No
    • Provide evidence of the amount of humanitarian assistance funding managed over the past three years (e.g., grant agreements, financial reports, annual reports, board documents).

C. Humanitarian Assistance Requirements

  1. Does your organization have at least five years of experience delivering humanitarian assistance in at least three different ODA-eligible countries? Yes/No
    • Provide a table showing list of countries and sectors where the NGO has implemented humanitarian responses, including project duration, description and results achieved in each country, to demonstrate at least five years of recent experience.
  2. Does your organization adhere to The Code of Conduct of the International Committee of the Red Cross and Red Crescent Movement and NGOs in Disaster Relief? Yes/No
    • Provide concrete examples of how your organization ensures this Code of Conduct is consistently upheld.
  3. Does your organization have a code of conduct that is consistent with the core principles of the Inter-agency Standing Committee (IASC) Plan of Action and Core Principles of Codes of Conduct on Protection from Sexual Abuse and Exploitation in Humanitarian Crises? Yes/No
    • Specify how your organization has mainstreamed the Core Principles through its operations.
  4. Does your organization aspire to minimum standards of response and accountability initiatives of international humanitarian assistance (for example, SPHERE Minimum Standards in Humanitarian Response; the Minimum Standards for Child Protection in Humanitarian Action)? Yes/No
    • Name the standards most relevant to your organization and provide concrete examples of how your organization ensures these standards are consistently met and that accountability towards your organization’s beneficiaries is enhanced.
    • Provide concrete examples of how your NGO ensures these SPHERE standards are consistently met.
  5. Does your organization participate in the field-level Inter-Agency Standing Committee cluster system? Yes/No
    • Provide a table listing the cluster, location and year demonstrating your organization’s participation.

Section 3: Additional Information and Documentation

Organizational Capacity

MHD’s assessment of an NGO’s organizational capacity is based on the NGO’s ability to demonstrate it has the necessary governance and financial structures in place to effectively manage Canadian public funds.

In this section, NGOs should provide an overview of the following governance-related functions, practices and structures:

  1. Board of Directors: Provide information on your organization’s Board of Directors detailing the mandate, responsibilities and accountabilities of the Board; how Board are members selected; committee structures; by-laws and rules of procedure. If applicable, please provide a copy of the Board’s liability insurance policy membership or equivalent governing body; how it is elected; its mandate; its responsibilities and accountabilities to the Board.
  2. Governance: Provide your NGO’s organization chart; strategic plan; business plan; annual report for the past three years; code of ethics; code of conduct; anti-corruption policies. Has your organization been accused of or involved in any alleged or proven cases of corruption? Please provide any relevant details and background information.
  3. Corporate risk management practices: The organization should demonstrate that it has the necessary structures and controls in place to monitor and manage risks, including fiduciary risk.
  4. Audit and evaluation functions: Provide information on the organization’s audit and evaluation functions; for example, how often audits and evaluations are performed; how auditors/evaluators are selected.

Humanitarian Assistance Capacity

1. Demonstrated International Humanitarian Assistance Experience, Expertise and Capacity

In this section, NGOs should provide an overview of its experience and capacity in delivering international humanitarian assistance in either complex or sudden onset humanitarian situations. In addition to the information requested through the minimum requirements above, please include the following information:

2. Adherence to Established International Codes of Conduct and Standards

Several codes of conduct and standards have been developed by the international humanitarian community to ensure high standards of independence and effectiveness in the delivery of emergency programming.

In addition to the information requested through the minimum requirements above, the NGO should:

3. Experience in International Humanitarian Coordination

Coordination and policy dialogue are critical to improving the effectiveness of humanitarian responses by helping to ensure greater predictability, accountability and coherence, as well as avoiding programming duplication.

In this section, the NGO should demonstrate its support for international and national coordination, as well as policy dialogue efforts, by highlighting:

4. Gender Equality Capacity in International Humanitarian Contexts

Gender equality and the empowerment of women and girls are central to Canada’s International Assistance Policy and as such are an integral part of all Departmental policies, programs and projects.

Gender relations and inequalities are key factors that determine the ways in which people are affected by sudden onset emergencies and complex humanitarian situations. However, the distinct needs, priorities and capabilities of women, men, girls and boys are often overlooked in assessments and relief efforts. In order for humanitarian assistance to be effective, policies, planning and programming must address gender-related issues, such as the prevention of sexual and gender-based violence in humanitarian contexts, as well as the distinct health and sanitation needs of women, men, girls and boys. For women and girls in particular, lack of attention to gender issues along with their unequal participation in humanitarian decision-making, undermines the achievement of gender equality results and limits the overall effectiveness of humanitarian programming.

In this section, NGOs should include a description of:

Also describe efforts taken to ensure that: partner organizations have adequate gender equality capacity; and the gender balance in staffing within the organization at working and management levels.

Applicants are encouraged to review the “Gender Equality and Humanitarian Assistance: A guide to the issues”; Canada’s Feminist International Assistance Policy, The Department’s Policy on Gender Equality and other key documents available on GAC’s website.

5. Environmental Sustainability Capacity in Humanitarian Contexts

The international community increasingly recognizes the importance of integrating environment considerations into the delivery of humanitarian assistance. In these contexts, environmental threats to vulnerable populations can include hazardous waste, deforestation, degradation of land and natural cover, water quality/quantity and climate change. Inadequate attention to these threats can not only make humanitarian assistance less effective, but actually worsen or prolong a humanitarian crisis. The improved integration of environmental considerations into relief efforts also promotes sustainable, long-term resilience and reduces vulnerability, especially for the poor. In this section, the organization should highlight how it seeks to ensure that environmental considerations are effectively integrated throughout its humanitarian programming.

The NGO should also demonstrate its institutional capacity for environmental management (i.e. to identify, evaluate, and manage the environmental effects). Supporting documentation includes:

NGOs are encouraged to review documents related to documents related to GAC’s Environmental Integration Process.

6. Risk Management in Humanitarian Contexts

Safety and Security: Given the insecure and unpredictable environments where MHD programs, the Directorate requires its partners to have the necessary capacity to mainstream safety and security considerations and measures throughout their policies and programs.

NGOs must provide an overview of concrete measures taken at an institutional level to ensure the safety and security of its staff. Specifically, the NGO should indicate:

The NGO should also include copies of the NGO’s safety and security processes and procedures.

Financial and fiduciary: The NGO must provide an overview of how it manages financial resources in high-risk environments. The NGO must also describe what measures it takes to prevent corruption, as well as outline how it manages risks in its procurement practices, if relevant.

Other: The NGO must describe any other relevant risks specific to its humanitarian programming.

NGOs should send Institutional Profiles and all supporting documentation to ahi-iha@international.gc.ca

Annex 2: Template – Project Summary Sheet

MHD Project Summary Sheet – Project Title
(including year, type of crisis, country and sector)
Organization
Country

Template – Project Summary Sheet
* For final reporting purposes (Final Report), GAC will expect sex- and age- disaggregated data.
Date of Submission 
Contacts

Please include two contacts for the proposal (e.g. officer or manager responsible for the proposal / humanitarian assistance programming and point of contact for the grant)

1) Primary Proposal Contact:

Name:
Position:
Tel:
Fax:
Email:

2) Primary Grant Contact:

Name:
Position:
Tel:
Fax:
Email:

Flash/HRP appeal

Please specify whether this project is included in a Flash Appeal or HRP. (Y/N)

If yes, what are the corresponding Flash Appeal/HRP Appeal project number(s)?

Project locationPlease specify the location of project activities (country, region, etc):
Project delivery modality (please circle as appropriate)

Will your organization be directly responsible for implementing the project activities? (Y/N)

Will your organization be working through local partners? (Y/N)

Will your organization be using a combination of direct delivery and working through local partners? (Y/N)

What percentage of the budget will be directly transferred to local partners for implementation (including indirect and salary costs)?

Local partner organization(s) details, if appropriate

Please include the name and contact information of any local partner(s) that you will be working with to implement the activities in your funding proposal.

Full legal name:
Acronym:
Street Address:
Contact information (name, telephone and fax numbers, and e-mail address):

Expected project start and end dates 
Project cost

Total project cost:

Funds requested from GAC:

Funds requested from other Canadian governmental entities:

Funds requested from other donors (specify donors and status of these requests):

Funds provided by partner organization(s):

Funds provided by organization:

Estimated number of beneficiaries (male/female)

Total number of beneficiaries:

Number of beneficiaries to be reached with funds requested from MHD:

Gender and Sexual and Reproductive Health and Rights (SRHR)

Does this project include any component that primarily addresses any of the following: reproductive health services; family planning; STI prevention, treatment and care including HIV/AIDS; prevention and response to gender-based violence? (Y/N)

If yes, please specify and provide an estimate of the percentage of the project budget contributing to these components:

Sector details (estimated budget and number of beneficiaries – male/female - for each sector)
SectorBudget (GAC-MHD funding – please distribute all indirect costs)Estimated number of direct beneficiaries* (to be assisted with GAC-MHD funding)
Shelter:  
Non-food relief items:  
Nutrition:  
Health:  
Protection:  
WASH:  
Livelihoods:  
Other Sectors (Specify):  

Project summary (maximum half page): Briefly outline the proposed response, including the expected outcomes (Ultimate, Intermediate and Immediate) from the Logic Model), targeted beneficiaries, project outputs and gender equality considerations.

Project rationale: Based on specific needs assessments, specify why this project is required within the humanitarian context; the affected populations; local vulnerabilities and capacities; as well as why the applying NGO is best placed to address the identified needs.

Annex 3: MHD Abridged Proposal Template

Sudden Onset Emergency/Other Funding Mechanism

MHD Abridged Proposal
Project Title (including year, type of crisis, country and sector)
Organization
Country

A) Background and project rationale

In this section, the NGO should provide:

B) Gender Equality (GE) Analysis and GBV Risk Analysis

In this section, the NGO is to provide a gender equality analysis in the context of the emergency and proposed intervention, describe how the NGO will ensure that gender equality considerations are part of the assessment and immediate response, and include measures to prevent and mitigate GBV (GBV risk analysis). Also, identify specific gender equality results, indicators and sex and age disaggregated data that will be collected and reported, as well as any gender equality results.

C) Summary Project Description

In this section, the NGO should provide:

D) Risks and Risk Management

In this section, the NGO should outline the potential risks that could affect the expected project results (e.g. operational, safety and security, financial, security, terrorism and fiduciary) and risk management strategies. The table below can be used as a reference guide. Please note that MHD is interested in identifying risks that could negatively impact the achievement of expected results (downside risk); but potential positive effects of uncertain events (upside risk) should also be identified.

Risks and Risk Management Table
RiskLikelihood of risk occurringEffect on the achievement of expected resultsNGO’s risk management strategy
Note: The NGO must provide an analysis of the specific risks related to terrorism and corruption for the proposed project and the operational measures the NGO has in place to manage these risks.
1. There is a risk that...(Very Low / Low / High / Very High)(Very Low / Low / High / Very High) 
2. There is a risk that...(Very Low / Low / High / Very High)(Very Low / Low / High / Very High) 

E) On the ground capacity

In this section, the NGO is to provide specific information on its in-country operational capacity (e.g. pre-existing capacity on the ground), plus any relevant information on how it is supporting local implementing partner capacity to effectively deliver humanitarian assistance in the affected country.

Annex 4: MHD Full Proposal Template

Complex Humanitarian Situations/Annual Funding Mechanism

MHD Full Proposal (Complex Humanitarian Situations/Annual Funding)

Project Title (including year, type of crisis, country and sector)
Organization
Country

A) Background

This section should focus mainly on an analysis of assessed needs. The NGO can also provide a brief summary of the emergency situation. The NGO should summarize the findings of credible, evidence-based needs assessments in the proposed area(s) of operation. The NGO should specify when the needs assessments were conducted and by whom, and briefly describe the methodology (including how beneficiaries, including women, were consulted) and conclusions. If relevant and available, this section should provide sex- and age-disaggregated baseline data and sources, as well as data on the affected population in the proposed area(s) of operation.

B) Gender Equality (GE) and GBV risk Analysis

This section should provide an assessment of the specific gender equality issues in the context of the emergency at both the national and local levels (e.g. sexual and gender-based violence, participation of women and men in setting humanitarian priorities, access to humanitarian goods and services) with supporting quantitative and qualitative evidence. This section should also concretely describe how the project will seek to address issues raised in the analysis, how these issues will be integrated across the program cycle including implementation and monitoring and, where applicable, contribute to gender equality results. Please note that this gender analysis should focus on the specific gender issues in the context of the humanitarian situation and the specific obstacles/opportunities that women, men, girls and boys face. Also specify organizational capacity to implement gender equality aspects of the proposed initiative (e.g. is there dedicated gender equality staff to support the project? Are there systems in place to collect sex and age disaggregated data and monitor gender equality results? Have the LM and PMF been created with gender sensitive outcomes and indicators in mind?). This section should clearly explain how the analysis on gender equality and GBV risks is translated into the Logic Model, Outputs and Activities Matrix and Performance Measurement Framework.

C) Project Rationale

The NGO should indicate why the proposed intervention is a priority.

D) Proposed Response

This section should provide an overview of the NGO’s proposed response to the humanitarian situation and directly link the proposed response to the priority needs identified in the previous section. The NGO should include its proposed approach and methodology. The NGO should outline why the proposed modalities are the most appropriate and effective in the context of the humanitarian situation. The NGO should describe its broader humanitarian program and budget in each relevant country context, as well as an indication of how the particular project fits within it.

E) On the ground capacity

In this section, the NGO should provide specific information on its in-country operational capacity (e.g. pre-existing capacity on the ground, years of experience working in country), plus any relevant information on how it is supporting local implementing partner capacity to effectively deliver humanitarian assistance in the affected country.

F) Expected Results and Theory of Change

The NGO should provide a clear and logical overview of the expected results of the project, in the form of a Theory of Change Narrative:

  1. Explain the logical relationships between different levels of results (outcomes) and outputs, and lay out how the project’s activities will lead to its expected ultimate outcome. Make sure to note the assumptions on which these relationships depend, including the contributions of other actors.
  2. Where applicable, how environmental sustainability and gender equality are integrated through the theory of change to the intermediate outcomes level. (See Annex 8 for additional guidance.)
  3. Each outcome should include an estimated budget figure. All indirect costs, including overhead, should be distributed proportionately on outcomes so that the sum of all outcome budget figures equals the total project budget;

For each output included in the Logic Model include the following information:

Note: Please ensure to submit the Logic Model (see Annex 8), Output Activity Matrix (Annex 9) and Performance Measurement Framework (Annex 10) with the proposal.

For further information on GAC’s Results-based Management.

G) Humanitarian Coordination

MHD recognizes that an effective humanitarian response is one that is coordinated with other actors. This section should therefore describe how and with whom the NGO will coordinate its response. The NGO should specify whether it has staff assigned to coordinate cluster-related activities; how the organization will ensure that it is sharing the necessary information in a timely manner with relevant clusters; and, how the NGO will coordinate with relevant government actors at the local and national levels. Other related questions that may be addressed include:

H) Exit Strategy

This section is to present a clear plan for an appropriate exit/handover strategy at the end of the proposed project and a description of how the organization will dispose of any remaining materials and equipment at the end of the project.

I) Environmental Analysis and the Canadian Environmental Assessment Act (CEAA)

Environment Analysis for Humanitarian Programming

In your environmental analysis, describe how environmental considerations are incorporated into the design, implementation, and follow-up of your project. Any planned physical works require additional information (please refer to the “CEAA” section below). The environmental analysis should consider the following:

For additional guidance, please consult the Environmental Integration Process Screening Tool.

As appropriate, the Logic Model and Performance Measurement Framework should incorporate environmental considerations. The NGO should also clearly identify specific risks related to the environment in “j) Risks and Risk Management.”

Canadian Environmental Assessment Act (CEAA)

Clearly identify whether your proposal involves any “physical works” or “undertakings,” as defined below. If so, applicants are required to provide as much detail as is known about these physical works at the time of application.

According to the CEAA, a “physical work” is something that has been or will be constructed (human-made) and has a fixed location (such as a water well, building, shelter, bridge or pipeline, but not ships at sea). “Undertakings” associated with a physical work consist of all the various lifecycle steps of the physical work (construction, operation, modification, decommissioning, abandonment, and so on).

A GAC environment specialist will use the information provided in this section to determine whether the proposed project requires an environmental assessment, subject to or consistent with the CEAA, and return to you with further instructions.

If applicable to your project, please provide a response to the questions below in as much detail as is known when the application is submitted.

  1. General description of all physical works, including their purpose.
  2. Dimensions of each physical work (area, height, length) and measurements for both old and new footprints in the case of modifications.
  3. Will the physical work be carried out within 30 metres of a body of water? Please explain.
  4. Does the physical work involve the likely release of a polluting substance into a body of water? If so, please explain.
  5. Will the physical work be located on agricultural land?
  6. For buildings:
    • Will the building be on a serviced building lot and connected to the lot’s hook-ups to water and sewage mains? Otherwise, how will it be serviced?
    • Will it involve storing any article or substance that is hazardous to human beings or the environment?

If your organization has already completed an Environmental Assessment Report, please attach it to your proposal.

J) Risks and Risk Management

In this section, the NGO should outline the potential risks that could affect the expected project results (e.g. operational, financial, security, fiduciary) and risk management strategies. The table below can be used as a reference guide. Note that MHD is interested in identifying risks that could negatively impact the achievement of expected results (downside risk); but potential positive effects of uncertain events (upside risk) should also be identified.

Risks and Risk Management Table
RiskLikelihood of risk occurringEffect on the achievement of expected resultsNGO’s risk management strategy
Note: The NGO must provide an analysis of the specific risks related to terrorism and corruption for the proposed project and the operational measures the NGO has in place to manage these risks.
1. There is a risk that...(Very Low / Low / High / Very High)(Very Low / Low / High / Very High) 
2. There is a risk that...(Very Low / Low / High / Very High)(Very Low / Low / High / Very High) 

K) Participation

identify how beneficiaries (female/male including women, children and other marginalised or vulnerable groups such as older men and women and people with disabilities) and local delivery partners (including women leaders and/or women-led organizations) have been involved in the decision-making related to the design of the project, in what ways their feedback influenced the project design, and how they will be involved in the delivery and monitoring of the project as well as measures to identify how other key stakeholders in position of authority (including local authorities, religious, community and traditional leaders, and other members of influence) have been involved on the design of the project and how they will be involved in the delivery and monitoring of the project. In this section, you should also describe how the project will ensure their equitable involvement in decision-making, that marginalised and vulnerable groups, such as older people and persons with disabilities can access assistance and how they are included in needs assessments, beneficiary selection, protection and assistance activities, and monitoring and evaluation.

L) Monitoring and evaluation

In this section, the NGO should outline how specifically the project will be monitored and evaluated. This discussion should align to the PMF. It should explain who will be responsible for monitoring field activities (NGO or local implementing partner) especially in situations of remote management.

Annex 5: Summary Budget Template (for Abridged Proposals)

Summary Budget
Project Title (including year, type of crisis, country and sector)
Organization
Country

Summary Budget Template (for Abridged Proposals)
Budget LineIn Canadian Dollars (CAD)
GACOther SourcesTotal

A. Direct personnel costs, including salaries, allowances, benefits, insurance and other direct programming costs associated with organization and local staff in both Canada*/Headquarters and the field; staff includes permanent full-time, temporary and contract workers.

Provide a breakdown of staff in Canada and in the field, including any staff overseeing gender equality and/or GBV specifically.

* Note that direct personnel costs in Canada are allowable if quantifiable and if the added value to the specific project can be demonstrated.

   
B. Supplies and materials distributed to project beneficiaries (e.g. tents) or used to provide services directly to project beneficiaries (e.g. mobile clinics).   

C. Cash programming, including all direct and associated (administrative) costs. Applicable line items may include (but are not limited to): the value of the cash transfer, delivery fees, equipment costs, etc.

* Note that associated costs should be individually accounted for rather than added together.

** Projects delivering more than one type of cash transfer programming (e.g. a cash-for-work component as well as an unconditional emergency transfer) should treat the different components as sub-items under this budget line, listing the direct costs and associated costs for each component separately.

   
D. Logistics, including the costs of transporting, storing and distributing supplies and materials to beneficiaries.   
E. Local administrative costs, including details on budget sub-items in this category.   

F. Other training and capacity building, including activities undertaken to train and build the capacity of project beneficiaries and other stakeholders (for e.g. community organizations, local health professionals, local women’s organizations.

* Note that MHD typically does not fund this line item in sudden onset emergencies.

   

G. Assessment, Monitoring and Evaluation

That MHD will not cover separate monitoring costs incurred by the organization’s Canadian office/Headquarters. Organizations can use MHD funding to cover reasonable local costs incurred in local project monitoring. NGOs are encouraged to carry out evaluations of their proposed projects, once completed, to strengthen learning and accountability. In such cases, MHD may be prepared to share up to 50% of the cost of an external evaluation. This requires NGOs to seek input from MHD into the Terms of Reference for the evaluation. The approved Terms of Reference must include a requirement for the evaluation team to send a duplicate copy of the completed evaluation report directly to MHD.

   

H. Safety and security

MHD encourages partners to include security costs into project budgets. Safety and security budgetary considerations typically fall under the following areas:

  1. Material resources (e.g. telecommunication devices, first aid kits);
  2. Training (e.g. safety and security, first aid, fire safety, defensive driving); and
  3. Site enhancements that seek to make the project site safer for project assets and beneficiaries.

Note: that any security staff (security focal points, guards, consultants) should be accounted for under direct personnel costs (section A).

   
Subtotal Direct Project Costs   
I. Administrative Costs (maximum of 7.5% of direct project costs)   
Total Project Costs   

Please include descriptions of the specific costs associated with each budget line.

Travel Costs:

What are the anticipated travel costs associated with this project, included in the direct budget line items above?

Please identify travel costs in the budget line descriptions above, where relevant.

Annex 6: Detailed Budget Template (for Full Project Proposals)

For guidance, please refer to Budget line descriptions in Annex 5

Please include descriptions of the specific costs associated with each budget line.

Detailed Budget
Project Title (including year, type of crisis, country and sector)
Organization
Country

Detailed Budget Template (for Full Project Proposals)
Budget LineDescriptionUnit Cost/Monthly RateNo. of UnitsGAC-MHD ContributionOther ContributionsTotal
A

Personnel (include all personnel costs for project and break down by position):

  1. In-Canada/HQ Staff
  2. Field Staff
  3. Partner organization/local NGO staff
  4. Etc.
     
 Sub-Total Personnel:
B

Supplies and Materials:

  1. Item A
  2. Item B
  3. Item C
  4. ...
     
 Sub-Total Supplies and Materials:
C (if applicable)

Direct cash costs (costs linked directly to the implementation of cash assistance, value of cash transfer, etc.):

  1. Item A
  2. Item B

Indirect cash costs (costs not directly linked to the implementation of cash assistance, including administrative and financial management costs, etc.):

  1. Item C
  2. Item D
     
 Sub-Total Cash Programming:
D

Logistics:

  1. Transportation of Supplies and Materials
  2. Storage of Supplies and Materials
  3. Other (specify)
     
 Sub-Total Logistics:
E

Local Administrative Costs:

  1. Office Rent
  2. Staff Training
  3. Staff Transportation
  4. Communications
  5. Office Equipment
  6. Office Supplies
  7. Other (specify)
     
 Sub-Total Local Admin Costs:
F (if applicable)

Support to Partner Orgs:

  1. Office Rent
  2. Staff Training
  3. Staff Transportation
  4. Communications
  5. Office Equipment
  6. Office Supplies
  7. Other
     
 Sub-total Other Training & Capacity Building:
G

Assessment, Monitoring & Evaluation:

  1. Needs Assessments
  2. Local Monitoring
  3. Evaluation
     
 Sub-Total Assessment, M&E:
H

Safety and Security:

  1. Specify
     
 Sub-Total Safety and Security:
Sub-Total Direct Project Costs:
IHQ Administrative Costs (maximum of 7.5% of direct project costs)     
Total Project Costs:

Travel Costs:

What are the anticipated travel costs associated with this project, included in the direct budget line items above?

Please identify travel costs in the budget line descriptions above, where relevant.

Annex 7: Interim and Final Reports Template (Narrative and Financial)

Interim and/or Final MHD Project Report
Project Title (including year, type of crisis, country and sector)
Organization
Country
GAC Project Number

A. Project Overview

  1. Background and Project Rationale:
    • Provide a brief background on the humanitarian situation and approved project, as well as a justification for the project.
  2. Update on Humanitarian Emergency:
    • Provide a brief overview of the humanitarian emergency; and describe how the humanitarian and security situations have evolved over the lifespan of the project.

B. Project Description

  1. Amendments to Approved Project Proposal:
    • Summarize any amendments made to the signed grant agreement (especially those related to suspension of activities due to security).
  2. Purpose and Expected Results:
    • Provide the Logic Model that was approved upon grant signature or the amended version.
  3. Completed Outputs:
    • Provide a table summarizing completed project outputs, including a brief explanation in cases where actual outputs differ from planned outputs.

C. Actual Results Achieved

NGOs should use the Logic Model and Performance Measurement Framework, which were part of the original project proposal, as the basis for assessing and reporting on progress on or toward the achievement of expected outcomes.

  1. Performance Table:
    • Provide a table to analyse actual versus expected results.
  2. Summary Assessment of Project Performance:
    • Ensure that all narrative text on outcomes not only describes the change that has taken place, but also provides sufficient context and gives a sense of proportionality, for example: Where did the outcome occur (region and distribution in the region)? Who, and how numerous, were the beneficiaries or intermediaries who experienced the change (women, men, girls and boys, specific groups, organizations)?
    • Where relevant, examples should include evidence that illustrates progress related to the three crosscutting themes (gender equality, environmental sustainability, and governance).
    • Any factors or elements that could provide an explanation of performance (changes in political context, disaster, etc.) should be mentioned.
    • Complete and attach the PMF Reporting Template (Annex 11).

D. Performance Factors

In this section, the NGO should comment on a number of project performance factors:

E. Withdrawal and Transfer (Final Report only)

F. Financial Reporting

The final financial report is based on the project budget that forms part of the signed grant agreement. The NGO is to report on expenditures to date and provide a narrative justification for significant variances. A revised budget is required if the variance exceeds 10% of direct personnel costs and 20% on all other direct project cost budget line items. (Please note that project administration costs can never exceed 7.5% of direct project costs.) Expenditures are to be aligned with the breakdown provided in the original budget.

  1. Approved Budget versus Actual Expenditures
    • Provide a budget table clearly comparing original budget line items to actual disbursements.
  2. Narrative Explanation of Variances
    • Justify significant variances in the planned and actual budget allocations.

G. Lessons Learned

Interim/Final MHD Financial Report

Project Title (including year, type of crisis, country and sector)
Organization
Country
GAC Project Number

Interim and Final Reports Template (Narrative and Financial)
Budget LineApproved BudgetActual Disbursement% VarianceExplanation of significant variance (if greater than 10%)Total

A. Personnel (include all personnel costs for project and break down by position):

  1. In-Canada/HQ Staff
  2. Field Staff
  3. Partner organization/local NGO staff
  4. Etc.
     
Sub-Total Personnel     

B. Supplies & Materials:

  1. Item A
  2. Item B
  3. Item C
     
Sub-Total Supplies & Materials     

C. Cash programming (if applicable):

  1. Direct Costs
  2. Indirect Costs
     
Sub-Total Cash programming     

D. Logistics:

  1. Transportation of Supplies and Materials
  2. Storage of Supplies and Materials
  3. Other (specify)
     
Sub-Total Logistics     

E. Local Administrative Costs:

  1. Office Rent
  2. Staff Training
  3. Staff Transportation
  4. Communications
  5. Office Equipment
  6. Office Supplies
  7. Other
     
Sub-Total Local Administrative Costs     

F. Other Training and Capacity Building:

  1. Specify
     
Sub-total Other Training & Capacity Building     

G. Assessment, Monitoring & Evaluation:

  1. Needs Assessments
  2. Local Monitoring
  3. Evaluation
     
Sub-Total Assessment, Monitoring & Evaluation     

H. Safety and Security:

  1. Specify
     
Sub-Total Safety and Security     
I. HQ Administrative Costs (maximum of 7.5% of direct project costs):     

Annex 8: MHD Logic Model Guidance and Template

1. Guidance on Drafting the Logic Model

MHD has a program-level Logic Model (LM) that sets out the broad expected outcomes for the entire humanitarian assistance program. Because MHD funds many different projects, the ultimate and intermediate outcomes as well as the overall theory of change of its LM have been defined more broadly than would be the case for a single project.

In the past, MHD requested NGOs to use its program-level ultimate and intermediate outcomes as the standard placeholders for all NGO projects. Going forward, NGOs will need to develop their own project-level theory of change that is grounded in the realities of their sectors, country, and/or context in order to address their specific need or problem. This means that NGOs should define their own, more specific expected outcomes and outputs, which should then align with, rather than replicate, MHD’s program-level outcomes.

1.2 The Theory of Change and the Logic Model

The relationship between the MHD program-level LM and the NGO project-level LMs follow a parallel results “nesting” model. Nesting refers to an approach used to create LMs with more specific outcomes and outputs that align to broader outcome statements developed for the Program as a whole. Nested NGO project-level LMs should depict a more specific theory of change, but align to the broad theory of change reflected in the MHD LM, particularly at the ultimate and intermediate outcome levels.

In other words, each NGO project is a more granular expression of one or more elements of the MHD program individually, and each NGO project-level LM aligns to the program-level LM in a parallel relationship.

MHD program-level LM: The expected outcomes in the Program LM describe broad changes for the entire MHD program. This LM does not identify the immediate outcome, output and activity levels. These will be defined by the projects during the development of the NGO project-level LMs, along with their specific ultimate and intermediate outcomes.

NGO project-level LMs: The outcomes in the NGO projects’ LMs will vary depending on the nature of the project, but must always align to one or more of the outcomes of the MHD Program LM at the same level and be a more specific expression of that change in terms of who, what and where.

More specifically,

Design, Planning and Approval

The nesting model allows NGOs to develop project-level LMs that reflect the needs and context of local beneficiaries, thereby granting them with the flexibility to develop realistic LMs for their projects, while at the same time ensuring a clear linkage (context) and alignment (levels) with MHD’s LM. In this way, projects will have ultimate and intermediate outcomes that have a more realistic relationship with the project’s immediate outcomes and outputs, better reflecting project-specific theory of change. This makes management for results more meaningful and the Logic Model more useful.

Example
 MHD Program Logic ModelNGO Project Logic Model
Ultimate Outcome1000 - Reduced suffering, increased and maintained human dignity and lives saved in communities experiencing humanitarian crises in countries where Canada engages in humanitarian programming.1000 - Reduced suffering, increased and maintained human dignity, and lives saved for refugees, particularly women and girls, in X Camp in Country Y.
Intermediate Outcome1100 - Increased immediate access to and/or use of gender-responsive assistance (food assistance, material and services required to meet basic human needs) and protection by people affected by crises, including populations who have been forcibly displaced.1100 - Increased use of safe drinking water and gender-sensitive sanitation facilities that conform to cultural norms by refugees, particularly women and girls, in Camp X in Country Y.
Immediate Outcome 

1110 - Increased access to safe drinking water for refugees living in Camp X, particularly women and girls.

1120 - Improved access to gender sensitive sanitation facilities conforming to cultural norms of users for individuals living in Camp X in Country Y.

Output 1111 - Awareness raising campaigns conducted in Village X on the availability and value of maternal and newborn health services.
MHD Logic Model Template
7 Results-Based Management for International Assistance Programming A How-to Guide, Second Edition 2016, pg 16.
8 The right to life with dignity is reflected in the provisions of international law, and specifically the human rights measures concerning the right to life. Implicit in this is the duty not to withhold or frustrate the provision of life-saving assistance…the right to receive humanitarian assistance is a necessary element of the right to life with dignity. This encompasses the right to an adequate standard of living, including adequate food, water, clothing, shelter and the requirements for good health (Source: The Sphere Project: Humanitarian Charter and Minimum Standards in Humanitarian Response).
9 Results-Based Management for International Assistance Programming A How-to Guide, Second Edition 2016, pg 17
10 Assistance is defined as: Aid provided to address the physical and material…needs of person of concern. This may include food items, medical supplies, clothing, shelter, seeds and tools, as well as the provision of infrastructure, such as schools and roads. “Humanitarian assistance” refers to assistance provided by humanitarian organization for humanitarian purposes. (Source: ReliefWeb Glossary of Humanitarian Term).
11 Protection is defined as: A concept that encompasses all activities aimed at obtaining full respect for the rights of the individual in accordance with the letter and spirit of human rights, refugee and international humanitarian law. Protection involves creating an environment conducive to respect for human beings, preventing and/or alleviating the immediate effects of a specific pattern of abuse, and restoring dignified conditions of life through reparation, restitution, and rehabilitation (Source: Reliefweb Glossary of Humanitarian Terms). The right to protection and security is rooted in the provisions of international law, in resolutions of the United Nations and other intergovernmental organisations, and in the sovereign responsibility of states to protect all those within their jurisdiction. The safety and security of people in situations of disaster or conflict is of particular humanitarian concern, including the protection of refugees and internally displaced persons. As the law recognises, some people may be particularly vulnerable to abuse and adverse discrimination due to their status such as age, gender or race, and may require special measures of protection and assistance (Source: The Sphere Project: Humanitarian Charter and Minimum Standards in Humanitarian Response).
12 Protection is defined as: A concept that encompasses all activities aimed at obtaining full respect for the rights of the individual in accordance with the letter and spirit of human rights, refugee and international humanitarian law. Protection involves creating an environment conducive to respect for human beings, preventing and/or alleviating the immediate effects of a specific pattern of abuse, and restoring dignified conditions of life through reparation, restitution, and rehabilitation (Source: Reliefweb Glossary of Humanitarian Terms). The right to protection and security is rooted in the provisions of international law, in resolutions of the United Nations and other intergovernmental organisations, and in the sovereign responsibility of states to protect all those within their jurisdiction. The safety and security of people in situations of disaster or conflict is of particular humanitarian concern, including the protection of refugees and internally displaced persons. As the law recognises, some people may be particularly vulnerable to abuse and adverse discrimination due to their status such as age, gender or race, and may require special measures of protection and assistance (Source: The Sphere Project: Humanitarian Charter and Minimum Standards in Humanitarian Response).
13 Results-Based Management for International Assistance Programming A How-to Guide, Second Edition 2016, pg 18.
14 Results-Based Management for International Assistance Programming A How-to Guide, Second Edition 2016, pg 19.
Title Partner Name GAC Project Number 
Country/Region Total Budget GAC Project Number 
Requested from MHD 
Ultimate Outcome

The ultimate outcome is the highest-level change to which an organization, policy, program, or project contributes through the achievement of one or more intermediate outcomes. The ultimate outcome usually represents the raison d'être of an organization, policy, program, or project, and it takes the form of a sustainable change of state among beneficiaries7.

In order to align the proposed project with GAC’s MHD program-level Logic Model, NGOs are expected to develop an ultimate outcome that aligns to:

Reduced suffering, increased and maintained human dignity8 and lives saved in communities experiencing humanitarian crises in countries where Canada engages in humanitarian programming.

1000
Intermediate Outcome

An Intermediate outcome is a change that is expected to logically occur once one or more immediate outcomes have been achieved. In terms of time frame and level, these are medium-term outcomes that are usually achieved by the end of a project/program, and are usually changes in behaviour, practice or performance among intermediaries and/or beneficiaries9.

In order to align the proposed project with GAC’s MHD program-level Logic Model, NGOs are expected to develop intermediate outcome(s) that aligns to:

Increased immediate access to and/or use of gender-responsive assistance10 (food assistance, material and services required to meet basic human needs11) and protection12 by people affected by crises, including populations who have been forcibly displaced.

11001200
Immediate Outcomes (Examples)

An Immediate outcome is a change that is expected to occur once one or more outputs have been provided or delivered by the implementer. In terms of time frame and level, these are short-term outcomes, and are usually changes in capacity, such as an increase in knowledge, awareness, skills or abilities, or access* to... among intermediaries and/or beneficiaries.

* Changes in access can fall at either the immediate or the intermediate outcome level, depending on the context of the project and its theory of change13.

Examples of immediate outcome results statements include:

  • Increased equitable access for women and men, girls and boys to safe drinking water by women, men and children in Camp X;
  • Improved access to secure gender-sensitive sanitation facilities conforming to cultural norms of users, especially women for IDPs in region Y of country A;
  • Increased equitable for women and men, girls and boys access to emergency shelter for women;
  • Increased knowledge of how to access interventions aimed at preventing, identifying and treating severe and moderate acute malnutrition among children, pregnant/ lactating women and other vulnerable groups;
  • Increased access to maternal health services such as emergency obstetric care and having a skilled health professional present at delivery;
  • Increased access to services for survivors of sexual and gender based violence (e.g. counselling, legal services, medical services);
  • Increased equal access for women and men, girls and boys to environment-related health information; and
  • Increased equitable access to livelihoods opportunities, especially for women;

Immediate outcomes should be divided by sector. Adjust the table using the split-cell or merge-cell functions in order to include all the sectors addressed in the response:

  • WASH
  • Shelter & NFIs
  • Health
  • Nutrition
  • Livelihoods
  • Protection
1110112012101220
Outputs (Examples)

Outputs are the direct products or services stemming from the activities of an organization, policy, program or project14.

Output statements should specify, but not quantify (the target amount should be included in the Performance Monitoring Framework), the good or service provided, delivered or distributed. Examples of output statements include:

  • Water purification tablets provided to X;
  • Shelters built for X according to SPHERE standards.
1111
1112
1113
1121
1122
1123
1211
1212
1213
1221
1222
1223

Notes:

  1. The boxes in the template are to be used for illustration purposes only. NGOs can adjust the number as required provided there is a logical link between result levels.

Annex 9: Outputs and Activities Matrix

Activities are actions taken or work performed through which inputs are mobilized to produce outputs. In GAC-funded projects, activities are the direct actions taken or work performed by project implementers. Activities unpack an output into the set of tasks required to complete it. There can be more than one activity per output.

Complete the table to list all activities required for each output in the LM.

Outputs and Activities Matrix
Immediate Outcome 1110 
Output 1111 
Activity 1111.1 
Activity 1111.2 
Output 1112 
Activity 1112.1 
Activity 1112.2 
Immediate Outcome 1120 
Output 1121 
Activity 1121.1 
Activity 1121.2 
Output 1122 
Activity 1122.1 
Activity 1122.2 
Activity 1122.3 
Immediate Outcome 1210 
Output 1211 
Activity 1211.1 
Activity 1211.2 
Output 1212 
Activity 1212.1 
Activity 1212.2 
Activity 1212.3 
Immediate Outcome 1220 
Output 1221 
Activity 1221.1 
Activity 1221.2 
Activity 1221.3 
Output 1222 
Activity 1222.1 
Activity 1222.2 
Activity 1222.3 
Management Activities 
  
  
  

Annex 10: Performance Measurement Framework Template

Project Title (including year, type of crisis, country and sector):

Organization:

GAC Project Number:

Performance Measurement Framework Template
Expected ResultsIndicatorsBaseline DataTargetsData SourcesData Collection MethodsFrequencyResponsibility
Ultimate Outcome
        
       
       
Intermediate Outcomes
        
       
       
        
       
       
        
       
       
Immediate Outcomes
        
       
       
        
       
       
        
       
       
Outputs
        
       
       

Annex 11: Performance Measurement Framework Reporting Template

Project Title (including year, type of crisis, country and sector):

Organization:

GAC Project Number:

Performance Measurement Framework Template
Expected ResultsIndicatorsBaseline DataTargetsActual DataAnalysisRating
Ultimate Outcome
       
    
    
Intermediate Outcomes
       
    
    
       
    
    
       
    
    
Immediate Outcomes
       
    
    
       
    
    
       
    
    
Outputs
       
    
    

Note: Please keep in mind the importance of disaggregating indicators, baseline data and targets by sex and age.

Using the PMF Reporting Template:

Rating Scale

Annex 12: Project Implementation Timeline

The Project Implementation Timeline is a simple Gantt chart, which allows MHD to understand when project activities will start and be completed, as well as how the activities will be sequenced. The NGO should use the format provided below, which can be expanded/modified as needed. The Activities in the Project Implementation Timeline should match the activities in the Outputs and Activities Matrix. The end of the highlighted bars indicates the date on which the activity will be completed (e.g. all NFIs distributed to beneficiaries, all latrines constructed, etc.)

When providing status updates, NGOs can refer to the Project Implementation Timeline as a reference.

Example:

Project Implementation Timeline
ActivitiesMonth 1Month 2Month 3Month 4
w1w2w3w4w1w2w3w4w1w2w3w4w1w2w3w4
Activity 1111.1                
Activity 1111.2                
Activity 1121                
Activity 4                
Activity 5                

Annex 13: Glossary

Beneficiary: The set of individuals that experience the change of state, condition or well-being at the ultimate outcome level of a logic model. In its international assistance programming, GAC-funded implementers usually work through intermediaries to help achieve changes for beneficiaries. GAC implementers may also work directly with beneficiaries. In this case, beneficiaries may, like intermediaries, also experience changes in capacity (immediate outcome), and changes in behaviour, practices or performance (intermediate outcome).

Cluster Approach: A mechanism to strengthen partnerships and promote more effective international responses to humanitarian emergencies by better defining the roles and responsibilities of organizations within key sectors of the response, identifying gaps in the response across sectors and clarifying the division of labour. Key sectoral clusters in humanitarian emergencies include food, water and sanitation, health, shelter and protection.

Complex Humanitarian Situation (complex emergency): A protracted, multifaceted humanitarian emergency in a country, region or society where there is total or considerable breakdown of authority resulting from internal or external conflict and which requires a multi-sectoral, international response that goes beyond the mandate or capacity of any single agency and/or the ongoing UN country program. Complex humanitarian situations are situations typified by extensive violence and loss of life, massive displacements of people and widespread damage to societies and economies.

Donor: GAC or another donor organization that provides financial, technical and other types of support to a project.

Gender Equality: Gender equality means that women and men enjoy the same status and have equal opportunity to realize their full human rights and potential to contribute to national, political, economic, social and cultural development, and to benefit from the results.

Good Humanitarian Donorship (GHD): An informal donor forum and network that facilitates collective advancement of GHD principles and good practice. It recognizes that, by working together, donors can more effectively encourage and stimulate principled donor behaviour and, by extension, improved humanitarian action. The Principles and Good Practice of Good Humanitarian Donorship were drawn up to enhance the coherence and effectiveness of donor action, as well as their accountability to beneficiaries, implementing organizations and domestic constituencies, with regard to funding, co-ordination, follow-up and evaluation.

Humanitarian Action: Humanitarian action includes the protection of civilians and those no longer taking part in hostilities, and the provision of food, water and sanitation, shelter, health services and other items of assistance undertaken for the benefit of affected people and to facilitate the return to normal lives and livelihoods. (Good Humanitarian Donorship definition)

Implementer: Private firm, non-governmental organization, multilateral organization, educational institution, provincial or federal government department or any other organization selected by GAC to implement a project in a partner country. Depending on the context, an implementer may be referred to as an implementing organization, executing agency, partner or recipient.

Intermediary: Individual, group, institution or government, that is not the ultimate beneficiary of the project, but that will experience a change in capacity (immediate outcome) and a change in behaviour, practices or performance (intermediate outcome) which will enable them to contribute to the achievement of a sustainable change of state (ultimate outcome) of the beneficiaries. Intermediaries are often mandate holders or duty bearers that are responsible for providing services to the ultimate beneficiaries. They are the entities that implementers work with directly.

Natural Disaster: A phenomenon of nature that leads to a serious disruption of the functioning of society, causing widespread human, material or environmental losses that exceed the ability of the affected society to cope using its own resources.

Other Stakeholder: An individual, group, institution, or government with an interest or concern, – economic, societal or environmental – in a particular measure, proposal or event.

Protection: Involves ensuring the physical safety, personal dignity, integrity and empowerment of people exposed to extreme levels of risk, often the result of deliberate personal violence and deprivation. Protection is defined as all activities aimed at ensuring full respect for the rights of the individual in accordance with the letter and the spirit of relevant bodies of law, i.e. human rights law, international humanitarian law and refugee law.

Results-based Management (RBM): Results-based Management is a life-cycle approach to management that integrates strategy, people, resources, processes and measurements to improve decision-making, transparency and accountability. RBM is essential to exercise sound stewardship in compliance with government-wide performance and accountability standards.

RBM seeks to:

Stakeholder: Stakeholders include beneficiaries, intermediaries, implementers and donors as well as other actors.

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