UN-HABITAT

UNITED NATIONS HUMAN SETTLEMENTS PROGRAMME

OPPORTUNITIES FUND FOR URBAN YOUTH DEVELOPMENT (Urban Youth Fund)

MANAGEMENT HANDBOOK

May 2009 (last update: June 2011)

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

Management Handbook and Guidance

Page 2 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

1. Introduction ................................................................................................................. 4 2. The Opportunities Fund for Urban Youth-led Development ...................................... 5 2.1 Background ........................................................................................................... 5 2.2 Strategy, objectives and target groups .................................................................. 6 2.3 Focus areas ............................................................................................................ 6 2.4 Eligibility of applicants ......................................................................................... 6 2.5 Size and use of grants ........................................................................................... 7 2.6 Partners, roles and responsibilities........................................................................ 7 3. Management of the Project Life Cycle ....................................................................... 9 3.1 Information and promotion of the Fund................................................................ 9 3.2 Reception and registration of applications ............................................................ 9 3.3 Evaluation of applications................................................................................... 10 3.4 Grant agreements and disbursement of funds ..................................................... 12 3.5 Monitoring and evaluation .................................................................................. 12 3.6 Dissemination of programme results .................................................................. 13 3.7 Ethics and integrity ............................................................................................. 14 4. Annexes..................................................................................................................... 15 Annex I Glossary ................................................................................................... 15 Annex II Project Life Cycle ................................................................................... 17

Management Handbook and Guidance

Page 3 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

1. Introduction
The purpose of this document is to provide guidance in the management of the Opportunities Fund for Urban Youth-Led Development (Urban Youth Fund). This handbook presents the Fund and gives an overview of the tasks involved in implementing the Fund. While the handbook is primarily intended for UN-HABITAT staff who are directly involved in the management of the Fund, it will also be available for potential donors and partners. The handbook is not all-encompassing and should be read in conjunction with the UNHABITAT Governing Council Resolutions and the Opportunities Fund for Urban YouthLed Development Operational Guidelines, Application Guidelines and other relevant documents in order to obtain a comprehensive understanding of the Fund.

Management Handbook and Guidance

Page 4 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

2. The Opportunities Fund for Urban Youth-led Development (also known as the Urban Youth Fund)
2.1 Background
Globally, 85 per cent of the worlds young people live in developing countries, where they often comprise a large portion of their communities. An increasing number of young people around the world are growing up in cities especially in the fast-growing cities of sub-Saharan Africa, Asia and Latin America. In many cities around the continent, more than 70 per cent of inhabitants are under the age of 30. Yet these young people have few resources available to improve their own living environment. This is a major oversight as there are many youth-led initiatives in slums and squatter settlements that are in urgent need of financial support to develop their communities. The United Nations Human Settlements Programme (UN-HABITAT) regards young people as a major force for a better world. Thus their empowerment through effective and meaningful participation in decision-making is crucial. UN-HABITAT also stresses the role of young people in the alleviation of poverty and inequality. The UN-HABITAT Agenda commits governments and UN-HABITAT to working in partnership with youth in order to develop and enhance effective skills and provide education and training to prepare youth for current and future decision-making roles and sustainable livelihoods in human settlements management and development. The UN-HABITAT Governing Council, which took place Nairobi, Kenya from 16th 20th April 2007, adopted a resolution for the establishment of an Opportunities Fund for Urban Youth-Led Development. The Fund aims to advance the achievement of the Millennium Development Goals and the HABITAT Agenda through piloting innovative projects on employment, governance, shelter and secure tenure; sharing best practices, and assisting vocational training and credit mechanisms to promote entrepreneurship and employment for young people. The Opportunities Fund for Urban Youth-Led Development was officially launched on November 4th 2008 at the 3rd World Urban Youth Forum in Nanjing, China. The first call for applications for the Fund was announced on 25th March 2009. The deadline for the first round of applications was on 1st June 2009. Later, the secretariat has established the following calendar for the Fund. a) Call for applications: 15 February b) Deadline for applications: 15 April c) Announcement of winners: 12 August d) Project start: January (following year)

Management Handbook and Guidance

Page 5 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

2.2 Strategy, Objectives and Target Groups

The Fund aims to assist youth-led organizations in designing and implementing projects that will contribute to sustainable urbanization in the developing world. Furthermore, the Fund seeks to gain insight from successful grassroots youth projects and create greater awareness of the need for youth mainstreaming in development policies and strategies. The overarching objective of the Fund is to increase the opportunities of urban young people in the developing world to improve the living conditions for themselves and their communities. Specifically, the Fund engages urban youth-led organizations in community projects that contribute to sustainable urbanization. Expected outcomes are the following: i) increased capacity of youth-led organizations to manage projects management and to raise funds, ii) improved knowledge of what works in youth-led development projects, and iii) increased awareness amongst policy-makers and donors of the need to mainstream youth development. The intended beneficiaries of the Fund are young men and women living in urban areas in developing regions. The direct beneficiaries are officially registered, nongovernmental, urban youth-led organizations in developing regions. Support is to be targeted to young people who need assistance the most, in particular the most vulnerable in urban slums.

2.3 Focus Areas

In general, proposals should contribute to sustainable urbanization and directly benefit vulnerable youth. While not excluding other proposals, the following focus areas have been established: a) Projects that mobilize young people to strengthen youth-related policy formulation; b) Projects that support the development of interest-based information networks; c) Projects that demonstrate innovative approaches to employment, good governance, adequate shelter and secure tenure; d) Projects that facilitate the exchange of best practices; e) Projects that facilitate vocational training and credit mechanisms to promote entrepreneurship and employment for young men and women; f) Projects that build the capacities of governments, civil society organizations and private enterprises to better respond to the needs and issues of young people.

2.4 Eligibility of Applicants

Eligible applicants are officially registered, non-governmental or community-based youth-led organizations based in developing regions. The term youth-led refers to organizations where youth aged 15-32 play a significant role in the governance and management of the organization. These youth are also the primary personnel of the organization. Male and female youth should be equally involved in the organizations governance and implementation of activities.
Management Handbook and Guidance

Page 6 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

Applicants may apply in partnership with other actors such as private enterprises, government agencies, UN organizations and non-governmental organizations (NGOs). These partners may be local or from abroad.

2.5 Size and Use of Grants

The grants should support activities that could not otherwise have been implemented without support from the Fund. The Fund will provide grants ranging up to USD 25,000. Proposals for projects above USD 25,000 will be considered on a case-by-case basis. Proposed projects must take place in an urban settlements context in the applicant organizations country of registration. Cross-border and international projects may be considered on a case-by-case basis. Awarded projects should be carried out within 12 months of receiving a grant.

2.6 Partners, roles and responsibilities

The Partners and Youth Branch at the UN-HABITAT headquarters in Nairobi, Kenya is the Secretariat of the Fund. The main task of the Secretariat is to operationalize the Fund and make sure the Fund is utilized for the intended purpose. Specifically, the Secretariat is responsible for the following: a) b) c) d) e) f) g) h) i) j) Developing the Funds policies, operational procedures and strategic plan; Developing a resource mobilization strategy and mobilize resources for the Fund; Preparing annual work plans and budgets; Promoting the Fund and announcing calls for grant applications; Short-listing potential beneficiaries to the Steering Committee; Disbursing grants to successful applicants: Developing and implementing monitoring and evaluation plans; Preparing operational and financial reports; Documenting and publishing best practices; and Developing a research agenda and carrying out research aimed at informing UNHABITATs policies on youth-led development and the operations of the Fund.

A Steering Committee has been established as the technical oversight body of the Fund. The Steering Committee includes representatives from UN-HABITATs Inter-Divisional Task Force on Youth and two youth representatives from the UN-HABITAT Youth Advisory Board. The primary responsibilities of the Steering Committee are the following: a) b) Review and make recommendations on the Funds policies and operational strategies; Review and make recommendations on annual work plans and budgets;
Management Handbook and Guidance

Page 7 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

c) d) e) f)

Review and make recommendations on operational and financial reports; Review and make recommendations on monitoring and evaluation reports; Review the short listed potential beneficiaries for the Fund and approve the proposals for funding; and Report to the Advisory Committee on its work.

An Advisory Committee has been established to develop criteria for the operationalization of the Fund and mainstreaming youth issues in the work of the UNHABITAT. The Advisory Committee is comprised by a minimum of six members, including two youth representatives from UN-HABITATs Youth Advisory Board. Other members of the Advisory Committee are UN-HABITAT senior managers and representatives of contributing donors. The main responsibilities of the Advisory Committee will be to advise on all aspects of the Fund and to make recommendations for adoption to the Executive Director of UNHABITAT. The committee will also be responsible for the following tasks: a) b) c) d) e) f) g) Advise and make recommendations for policies and procedures for the Fund; Advise and make recommendations on strategic issues; Advise and make recommendations on operations reports, financial reports, budgets and audit reports; Monitor the implementation of decisions made by the Steering Committee; Advise and make recommendations on the monitoring and evaluation reports; Promote the Fund to potential partners and stakeholders; and Report to the Executive Director of UN-HABITAT on the overall progress of the Fund.

UN-HABITATs Regional Offices for Latin-America and the Caribbean (ROLAC), African an Arab States (ROAAS) and Asia and Pacific (ROAP) will assist the Secretariat to adapt and implement the operationalization of the Fund in their respective regions. The Regional Offices will be responsible for undertaking some or all of the following tasks in their respective regions (according to their capacity): a) b) c) d) e) f) g) h) i) j) Announce the call for proposals; Translate application documents and information material; Market the Fund to potential applicants and other relevant partners; Assist applicants to draft proposals; Receive and screen proposals for the Fund; Create a shortlist of applicants; Translate shortlisted applications into English; Maintain a database of applicants; Disburse the grant funds to successful applicants; and Monitor grant recipients.

Management Handbook and Guidance

Page 8 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

3. Management of the Project Life Cycle

3.1 Information and Promotion of the Fund
In order to reach a maximum number of potential applicants, the Secretariat of the Fund has developed an information and promotion strategy taking into account national and regional specific requirements. The communications activities of the Fund should ensure that youth organizations are informed about the Fund, its purpose, eligibility requirements and application procedures. A call for applications will take place annually. The deadline for applications will be two (2) months following the call for applications. The call for applications will be issued by the Secretariat of the Fund through announcements on the UN-HABITAT website, partner websites, social networking sites, through newsletters of UN-HABITAT and partnering organizations, and through press releases distributed through wire-services to newspapers across the world. The Secretariat can also place ads in selected regional newspapers and on the Internet to announce the call for applications. In addition to the call for applications, the Secretariat shall, in co-operation with the Regional Offices, develop informational and promotional material to attract potential applicants whilst targeting specific groups in order to guarantee quality applications. The Secretariat of the Fund shall also prepare newspaper articles and opinion pieces that contribute to raising the awareness of youth-led development. The Secretariat has set up and shall continue to maintain a website which provides all the necessary information about the Fund, including application guidelines, information about and address to the online application portal, contact information and news about the Fund. The website and all application documents shall be available in English, French and Spanish. [The regional offices of UN-HABITAT shall, through their technical partners, provide information, advice and assistance to potential applicants through the project planning process.] The Secretariat of the Fund will promote the Fund at relevant events and websites. All publications and materials produced for the Fund shall comply with the guidelines relating to the visual identity of UN-HABITAT.

3.2 Application Procedure

The application procedure of the Fund takes place at the online application portal. This portal opens for applicants on the date for the call for application (15 February) and closes on the date of the deadline (15 April).

Management Handbook and Guidance

Page 9 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

The applicants can log in and work on the application as many times they want until the deadline. The application must be submitted before the deadline in order to be registered for the eligibility check. All applicants can track the development of their application on the portal even after the portal closes for applications, and the applicants will receive emails after each step in the selection process. Applicants may not submit their application without all mandatory attachments, and a fully completed application.

3.3 Evaluation of Applications

The purpose of the evaluation procedure is to guarantee impartiality and equal treatment of all applicants in a fully transparent way. Grant award decisions should be solely based on the criteria for exclusion, eligibility and selection outlined in the Operational Guidelines and the Application Guidelines of the Fund. The secretariat will perform the whole evaluation procedure in the management system of the application portal (CMS). Every step of the evaluation procedure (eligibility check, Quality Assessment and selection of winners) will be saved by the system with the name of the evaluator and the date and time of the evaluation. All proposals submitted to the Fund go through a four-stage selection process: 1. 2. 3. 4. Formal eligibility check; Quality assessment; Feedback; and Grant award decision.

The Secretariat shall inform all applicants whether or not they have been awarded a grant. In the case of successful grant applications, the applicant shall be informed about the size of the grant awarded before the start of activities for which the grant was requested. The start of the project should not be before January the following year. If the grant application is not approved, the secretariat shall give reasons for rejection with reference to the criteria and priorities of the Fund. Within six months of the end of each selection round, the Secretariat shall publish the grant award results on the UN-HABITAT Opportunities Fund website. The list of awarded projects shall include the name and contact details of the beneficiary, the subject of the grant and the amount awarded.

Management Handbook and Guidance

Page 10 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

3.3.1 Formal Eligibility Check

The aim of the eligibility check is to determine whether grant applications comply with the exclusion criteria and eligibility criteria outlined in the Operational Guidelines and the Application Guidelines of the Fund. The eligibility check shall result in a list of grant applications that will be further subject to a quality assessment and a list of applications rejected on formal grounds. In case of doubt with regard to any of the exclusion or eligibility criteria the Secretariat may request further documentation from the applicant. The eligibility check of each application shall be undertaken by a single staff member or consultant in the CMS. The result will be sent automatically to the applicants on email. The applicant may also log in to the system to check the status of their application. The name, date and time of the eligibility check will be saved by the CMS.

3.3.2 Quality Assessment

Applications that have passed the eligibility check shall undergo a quality assessment based on the selection criteria outlined in the Operational Guidelines and the Application Guidelines of the Fund. The outcome of the quality assessment shall be a shortlist of proposals and a reserve list, sorted by geographical origin of the applicant, type of grant and order of merit. For each application on the shortlist and reserve list the proposed grant amount shall be specified. In case of doubt with regard to the selection criteria the secretariat may request further documentation from the applicant or contact references for more information. The assessment of each application shall be undertaken by a single staff member or consultant in the CMS. The system will save the results, date, time and name of the evaluator. Shortlisted applications should be distributed geographically according to in which regions youth are in the greatest need of support. The formula for distribution shall be based on objective criteria such as the Millennium Development Goals Report and the Human Development Index. To ease monitoring, applications from countries where UNHABITAT is represented will be prioritized.

The goal of the Fund is to have the following geographical distribution of grants: 1. African and Arab states (33%) 2. Asia and Pacific region (33%) 3. Latin America and the Caribbean (33%)

Management Handbook and Guidance

Page 11 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

3.3.3 Feedback
During the evaluation of applications, feedback will be sought from the UN-HABITAT Youth Advisory Board, Regional Offices, Habitat Programme Managers (HPM), country representatives and partners on proposals from their respective regions/countries. The aim of the feedback process is to provide information about the organizational capacity of applicant organizations and the suitability of their proposed projects to the local context. The input will be used to inform the short listing of applications and grant award decisions made by the Steering Committee.

3.3.4 Grant Award Decision

Shortlisted applications will be presented to the Steering Committee of the Fund sorted by geographical origin of the applicant, type of grant and order of merit. The committee shall decide on whether a proposal is to be accepted or rejected, based on their quality. For each of the grants accepted the proposed grant amount shall be specified. Upon completion of their work, the members of the Steering Committee shall sign a record listing the grant applications and grant amounts awarded. The Secretariat will be available at Steering Committee meetings to answer any questions members may have regarding the evaluation of individual applications.

3.4 Grant Agreements and Disbursement of Funds

Successful applicants will enter into a grant agreement with UN-HABITAT before grant disbursements can be made. The Secretariat will draw-up grant agreements, sign (director of PSD) the agreements on behalf of UN-HABITAT and send the agreements in duplicate for the beneficiary to sign. Upon signing and returning the grant agreement, grants will be disbursed to the beneficiary. Payments will be made in USD into the bank account of the organization. Beneficiaries will receive 60% of the grant upon return of the signed agreement. The rest (40%) will be disbursed after the beneficiary submits the mid-term report, financial statement and copies of all receipts and the secretariat approves these documents. At the end of the project, the beneficiary must submit a final report, financial statement and copies of all receipts If a beneficiary fails to implement the granted project as specified in the grant agreement, UN-HABITAT reserves the right to suspend payments and/or terminate the grant agreement. UN-HABITAT further reserves the right to reduce the grant and/or demand full or partial repayment of funds that have already been disbursed to the beneficiary.

3.5 Monitoring and Evaluation

The Secretariat will, with the support of UN-HABITAT Regional Offices, country representatives and other partners, monitor and evaluate the implementation of granted
Management Handbook and Guidance

Page 12 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

projects. These efforts will consist of remote monitoring, monitoring visits to beneficiaries and external evaluation of a sample of projects.

3.5.1 Remote Monitoring

The Secretariat will, with the support of UN-HABITAT regional offices, country representatives and other partners, make available the necessary resources to give advice by phone, e-mail and letters to beneficiaries seeking help. Based on requests for advice, the Secretariat will establish and maintain a list of frequently asked questions which will be published on the Opportunities Fund website and sent to the beneficiaries.

3.5.2 Monitoring Visits

The Secretariat will implement a programme of on-site visits in view of monitoring the implementation of individual projects and thereby the Fund as a whole. Monitoring visits shall be used to collect information on the management of projects and the impact of the project on the beneficiary and the local community. The visits shall further aim to support the beneficiary, gather examples of best practices and contribute to maintaining good relations between the beneficiary and UN-HABITAT. The Secretariat shall ensure that a balanced sample of projects are visited based on the geographical location of the project, the type of grant, the type of organization and the type of project carried out by the organization. A minimum of [10-20%] of all beneficiaries shall be visited within a programme period. Monitoring visits may be carried out by UN-HABITAT staff and country representatives or partners/consultants hired to that effect by the Secretariat. The visits shall be carefully planned and cover the topics outlined in the attached checklist for monitoring visits. Monitoring visits will be based on available budgetary resources.

3.5.3 External Evaluation

An external agency will be contracted to carry out a thorough evaluation of at least 5% of granted projects.

3.6 Dissemination of Programme Results

Based on project reports, monitoring visits and communication with beneficiaries, the Secretariat will identify projects that are particularly worthy of being disseminated and exploited. These best practices shall be systematically gathered and made available to other potential users through the UN-HABITAT website and printed publications. The Secretariat shall also organize and attend suitable events in order to showcase and debate the results of the Fund. The Secretariat will also facilitate research on youth-led development by making applications, project reports and other material available for researchers [and as well by
Management Handbook and Guidance

Page 13 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

offering small grants to students pursuing graduate degrees (i.e. Masters degrees) who will conduct research related to the Fund].

3.7 Ethics and Integrity

The Secretariat of the Fund shall take all measures required to guarantee the sound and efficient management of the Fund and to preserve the good reputation of UN-HABITAT. The Secretariat shall take appropriate measures to prevent irregularities and fraud and systematically inform the Steering Committee and Advisory Committee of the Fund of any suspected cases of irregularity and fraud occurring in the utilization of grants. In the interest of preventing any conflict of interests, UN-HABITAT and its staff members may not apply for the Fund. Other actors that are involved in the grant award process may not receive a grant under the selection round in which they participate. To ensure a high quality of internal control, an individual staff member or consultant may not counsel a potential applicant and evaluate their grant application in the same selection round. Further, an individual staff member or consultant may not do both the eligibility check and the quality assessment on the same application.

Management Handbook and Guidance

Page 14 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

4. Annexes
Annex I Glossary
Term Advisory Committee Application Guidelines Applicant Organization Assessment Assessor Beneficiary Call for proposals Definition The Advisory Committee shall advise on the overall management of the Fund. Public document providing a description of the Programme objectives and Actions, as well as conditions and procedures for requesting grant support. Normally accompanied by specific call(s) for proposals. The organization/institution submitting a grant application to the Opportunities Fund. Evaluation of a grant application or a report from a beneficiary, based on standardized criteria and tools (i.e., guidelines, checklists etc.). Person called upon to assess a grant application, a report from a beneficiary etc. The organization which signs the grant agreement issued by the UNHABITAT. Public document setting out the specific conditions for submitting a grant application and specifying the criteria on the basis of which the grant award procedure will be undertaken. (Potential) applicant Provision of advice and guidance to potential applicants or to actual beneficiaries. Criteria referring to formal technical conditions of the grant award procedure (such as final date for submission, use of a specific application form, etc.) and of the priorities of the Opportunities Fund (such as belonging to the target group, proposing a fundable activity, etc.). Criteria related to the specific situation in which an applicant may be and that result in an automatic exclusion of the grant application from the grant award process. Direct financial contribution to finance an activity.

Candidate Counseling Eligibility criteria

Exclusion criteria

Grant

Management Handbook and Guidance

Page 15 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

Grant agreement

A grant agreement is the contractual document issued by UN-HABITAT to an organization that is the beneficiary of a grant from the Opportunities Fund following a grant award decision. The grant agreement outlines the contractual conditions in terms of rights and obligations of the beneficiary and UN-HABITAT. A formal request for support from the Opportunities Fund. Process covering all stages for the treatment of grant applications from their submission to the grant award decision. Follow-up of performance and realizations of a beneficiary and provision of feedback and guidance in view of improving the supported activity and management of the grant as needed Visit to a beneficiary organization in view of monitoring. Monitoring of beneficiaries based on oral or written information (i.e., letters, e-mail, phone calls, and reports). UN-HABITATs Partners and Youth Branch is the Secretariat of the Fund and responsible for the day-to-day management of the Fund. Criteria that are used to assess the quality of a grant application in the light of the objectives and priorities set. Criteria used to compare the quality of grant applications in a selection round in view of their ranking in order of priority. The Steering Committee is the technical oversight body of the Fund and also makes grant award decisions.

Grant application Grant award procedure Monitoring

Monitoring visit Remote monitoring Secretariat

Selection criteria

Steering committee

Management Handbook and Guidance

Page 16 of 17

UN-HABITAT Opportunities Fund for Urban Youth Led Development (Urban Youth Fund)

Annex II Project Life Cycle (* : to be in place for 2nd Round)

The Advisory Committee reviews reports, make recommendations and submit report to the Executive Director UN-HABITAT who then submits a final report to the UN-HABITAT Governing Council.

The Secretariat prepares and issues a request for proposals to potential beneficiaries.

The Steering Committee reports to the Advisory Committee on grant decisions. The UN-HABITAT country-level Programme Managers screen proposals and submit short-listed proposals to the Secretariat.

The Secretariat reviews proposals, short-lists approved proposals and forwards them onto the Steering Committee for review and award of grants.

Potential beneficiaries submit proposals submitted through the UN-HABITAT countrylevel Programme Managers.*

The Steering Committee reviews the short-list and makes decisions to award grants.

The Steering Committee reviews reports and forwards them onto the Advisory Committee.

Secretariat releases grants based on the Steering Committees decisions.

Regional-level partners submit progress reports to the Secretariat, which consolidates progress reports and submits them to the Steering Committee.

Potential Beneficiaries

Regional-level partners disburse grants to beneficiaries.*

Beneficiaries report to Regional-level partners on the progress of project implementation.*

FINAL BENEFICIARIES Management Handbook and Guidance

Page 17 of 17