Terms of Reference: CTP in challenging contexts: Case Study on CTP risks in Yemen

Transcription

1 Terms of Reference: CTP in challenging contexts: Case Study on CTP risks in Yemen Commissioning Manager Additional technical support Stefan Bumbacher, CaLP Senior Technical Officer Yassmin Moor, Regional Programme Manager Lynn Yoshikawa, North American Regional Representative Date July 2018 Consultancy duration days (tbc) Timeframe August September 20 th, 2018 Location Consultant profile required Home-based, possibly with travel to Yemen Expertise in writing Case Studies about the implementation of humanitarian programmes; solid understanding and experience of the use of cash transfer programming in emergencies 1. Background to the work The Global Objective 2 of the Global Framework for Action seeks to ensure that cash is routinely considered, alongside other modality tools. While in the past two years CTP is being considered much more systematically, there remain barriers and constraints to systematic adoption of CTP, particularly unconditional and unrestricted modalities. According to the State of the World s Cash Report, the biggest barrier to more effective and extensive usage of CTP is the perceived risks of CTP, mainly because of concerns about misappropriation or leakage of cash. The report notes a dilemma - in that donors may be able to tolerate diversion of a modest proportion of in-kind aid but can be much more sensitive to diversion of cash since it is perceived that there is greater risk of harm with cash modalities compared to alternatives. This acts as an inhibitor for greater consideration of CTP and is felt by implementing agencies as well as certain donors. Panellists and participants of the Grand Bargain Cash Workstream Workshop (31 May 1 June 2017) agreed however that the existing evidence did not show cash to be riskier than other modalities and pointed out that no delivery modalities are risk free. As potential ways to decrease risks, the following was suggested: improved evidence base, good internal control systems, good monitoring, and capacity building and training for staff. To achieve this, the participants of the workshop decided that a working group on risks involved with CTP shall be established. The State of the World s Cash Report identifies the important role that donors play in demonstrating an appetite for risk and building confidence among implementing agencies. This is particularly sensitive in conflict environments where the threats posed by armed groups are real and where access and oversight are restricted. Agencies highlighted a need for more evidence on effective safeguards for CTP in such contexts. Recent guidance on remote programming for cash was identified as a first step in filling this gap. There is also the need for an evidenced-based conversation about the relative risks of cash and in-kind assistance in such contexts. In 2018, CaLP is conducting a variety of activities on CTP and risk, with the goal to lower the barriers and constraints of systematic adoption and consideration of CTP. Building evidence and learning from specific context is one part of this endeavour. A first case study on CTP in challenging contexts: Case Study on CTP and risks in Northern Mali was finalised in June and will be published in July. Building on this case study, another context should be analysed. 1

2 Yemen, one of the poorest countries in the Middle East, has experienced many natural and manmade disasters and is currently also facing famine. Cash and market-based interventions were implemented in Yemen before the current crisis, mainly with a development focus through the Social Welfare Fund, which delivered unconditional cash transfers to 1.5 million vulnerable households. The Food Security and Agriculture Cluster partners have also been providing unconditional cash assistance to vulnerable households since 2012, which expanded over the years to reach 900,000 beneficiaries on monthly basis in The conflict that started in March 2015 has left almost 19 million people in need. The conflict has caused extensive damage to public and private infrastructure. Imports and distribution of critical goods were negatively affected by fluctuating restrictions on import, damaged port infrastructure, insurance and banking hurdles, security risks and high transport costs. The Yemeni economy has been wilfully destroyed and macroeconomic situation continues to deteriorate, while economic decline and import restrictions are impacting the availability and price of basic goods in markets. Despite these challenges, as the conflict escalated in March 2015, humanitarian partners increased both unconditional and conditional cash and vouchers modalities as a potential tool for scaling up the emergency response recognizing its immense potential within the Yemeni context in stimulating local demand and market functioning. 2 A case study should shed light on how large-scale CTP implementation was increased despite the mentioned challenges, what risks were identified in both North and South Yemen, how these risks were mitigated and to what result, and how the changing security situation affected the identified risks, decision making processes, the amendment of the programme, and ultimately the scale-up of the programme. 2. Scope and objectives 2.1. Primary objective The primary objective of this work is to outline a case study on CTP and risk in North and South Yemen (building on the case study on CTP and risk in Northern Mali) and draw lessons learned and recommendations on risks in challenging contexts Specific objectives Identification specific risks in North and South Yemen: As mentioned above, the perceived risk of CTP is the biggest barrier to more effective and extensive usage of CTP, mainly because of concerns about misappropriation and/or leakage of cash. To compare modality-specific risk, the identified risk for implementation of CTP and non-ctp programmes shall be identified (e.g. through compiling of risk registries, risk matrices, etc.), as well as the potentially different analysis of context-specific risk by implementing organizations, country offices, HQs and donors. Identification to what degree and how these risks influenced/influence decisions around transfer modalities and programmatic approaches in both North and South Yemen: To better understand the barriers and constraints to systematic adoption of CTP, it shall be identified to what degree CTP specific risks influenced/influence the decision around transfer modalities (specifically if certain modality-related risks are consistently given higher probability, if the confidence in risk mitigation measures differs for certain modalities, and if there is a higher risk-appetite or threshold for risk-taking for certain modalities) 1 HRP Yemen 2018 ( 2 HRP Yemen 2018 ( 2

3 and programme design (specifically if and how counter-terrorism legislation influenced the decision about transfer modality, process and/or mechanism) in North and South Yemen. Identification of chosen mitigation measures and safeguards, and their results in North and South Yemen: Create a register of mitigation measures and safeguards chosen to mitigate/avoid risks in North and South Yemen and make assumptions about their results. Identification how programmes and risk mitigation measures were adapted over time as the conflict escalated in 2015: Identify what effect the change in the security situation (e.g. de-risking) in Yemen had on CTP implementation and the chosen risk mitigation measures in the North and South. Outline of lessons learned and recommendations: Based on the above, draw lessons learned and recommendations for operational agencies, donors, CaLP, and others, to inform response option analysis in other challenging contexts and ultimately support the more systematic consideration of CTP. 3. Key steps and methodology The consultancy will involve a mixture of desk-based and field work. The primary focus for field work will be Yemen, but access to areas of CTP implementation might be difficult. The methodology is expected to include the following components. Given the nature of the work these won t necessarily be chronological and will involve a degree of overlap and iteration: Desk review: to include CTP implementers reports, documentation reports from the Cash Working Group in Yemen, reports from learning events, remote cash guidance, and any other relevant document. Inception report: based on in-depth consultations with CaLP, and potentially other stakeholders, an inception report containing a detailed methodology, work plan (timeline, locations, deliverables, etc.) and tentative table of contents of the Case Study should be produced. This stage of the process should also include the drafting of any tools for primary data collection and analysis. Primary data collection (remote and possibly field-based): Remote consultations to be conducted by phone/skype or equivalent. Fieldwork, if any, is not expected to exceed 5 days. The following are the anticipated key components of the data collection process: o Key informant interviews/structured consultations of donors, HQ staff, and staff of regional offices, using remote platforms/communications. CaLP will facilitate the identification of interviewees. o Key informant interviews/structured consultations with project staff working on selected CTP interventions and staff working on non-ctp interventions, variously using both remote platforms/communications and eventually face-to-face meetings. CaLP will facilitate identification of interested projects and make the necessary connections and logistical arrangements. o Key informant interviews/structured consultations with relevant decision makers (Head of mission, Head of programmes), cluster leads and CWG leads. o Key informant interviews with other relevant stakeholders (e.g. global CTP advisors involved in CTP in Yemen, those involved with other initiatives that can inform the case study). Data analysis and write-up: This includes the writing of the Case Study (max. 25 pages): o Findings from the desk review and primary data collection should be documented and summarized in a Case Study. The Case Study should include clear lessons learned. In addition, it will be useful to highlight where further work is required that is beyond the scope of the consultancy. o Review of the draft guidance by CaLP and other external expertise. 3

4 o Based on feedback, Case Study is being revised and finalized. 4. Management arrangements This project will be under the overall management of Stefan Bumbacher (CaLP Senior Technical Officer). Technical supervision will be provided by Yassmin Moor (Regional Programme Manager). CaLP will also convene a limited number of other technical experts to support the review and validation of outputs. 5. Workplan and key deliverables: Milestones and deliverables Consultant contract signed Complete an inception report to include finalized methodology, workplan and data collection tools to be determined in consultation with CaLP Desk review of relevant materials Data collection, including both remote consultations and field work. This should be documented in a report detailing key findings, including how these could be incorporated into updated Guidance Write-up of Case Study August September The final draft of the case study needs to be delivered by 20 th September Milestones and Payment Schedule: Payments will be made as follows: Submission and approval of the inception report: 30% of the payment Submission of draft report: 30% of the payment Submission and approval of final report: 40% of the payment 7. Essential Profile of the Consultant(s): The consultant(s) should have the following essential skills and knowledge: Understanding and experience of implementation of CTP in complex humanitarian settings. Experience and knowledge of MENA is a plus. Knowledge and experience of the ways of working of emergency NGOs, UN, local organisations and donors, including strategies and specifically approaches for risk mitigation. The ability to assemble large amounts of information and identify critical aspects Able to communicate complex subject matter (in a written and oral form) into accessible and simple case study that is accessible to people with varying language skills. Experience in conducting in depth interviews and qualitative methods for the development of case studies. Experience of working remotely with a diverse range of stakeholders, ensuring effective consultation and engagement is achieved Fluency (written and oral) in English. 8. Application Procedures 4

5 Applications are invited from suitably qualified and experienced consultants with the capacity to undertake the above activities. The consultant should submit a detailed proposal with the following components: a) Technical proposal to include: Maximum of four pages outlining the Consultants understanding of the TOR and the proposed methodology to conduct the assignment, including techniques and tools to be used Writing samples A detailed activities schedule/work plan with time frame A copy of the consultant s CV (except for consultants on framework agreements with CaLP) b) Financial Proposal detailing the following: Itemized consultant s fees and costs - consultant should indicate professional rates and time input for each team member (where relevant) Validity period of quotation NB: The financial proposal does not apply to consultants on framework agreements with CaLP 9. Proposal Submissions: Expressions of Interest (including technical and financial proposals) must be sent to consult@cashlearning.org by July 31 st Consultants may also be asked to submit a writing sample as part of the selection process. Any additional clarifications on the consultancy should be addressed to sbumbacher@cashlearning.org. 5