7. SGWI Sample Risk Analysis_Mitigation Plan Template.docx

S/GWI Sample Risk Analysis and Mitigation Plan Template

The safety and security of recipients and beneficiaries are of utmost importance. S/GWI requires all recipients to conduct thorough risk assessments and take all actions necessary in accordance with those assessments to mitigate those risks. S/GWI does not take responsibility for the risks incurred by any recipient. A sample/suggested risk analysis and mitigation plan template is below.

Description of Risk (Illustrative sample questions are included for consideration)

(Illustrative sample actions included below)

Risks affecting participants Please pay particular attention to potential risks associated with challenging existing gender norms through project implementation Do program activities increase risk to participant safety and security both online and offline?

Consider broader/more expansive and non-traditional definitions of security, as appropriate.

Program/gender and inclusion analysis takes into consideration specific challenges facing women and girls. Program takes an approach that is sensitive to the needs and perspectives of beneficiaries. The grantee has robust safeguards in place and is experienced in safeguarding staff and beneficiaries. Program safeguards include measures in working with survivors of GBV in order to be sensitive to avoid re-traumatization as applicable.

Grantee provides/organizes transportation for beneficiaries as needed.

Grantee organizes events in local, recognized locations and/or holds virtual events as needed.

Grantee conducts regular political/context analyses to monitor for potential shocks and plan accordingly.

Grantee identifies allies within community leadership positions and government, as appropriate, to serve as champions of the project.

Grantee submits necessary registration documents in a timely fashion to avoid delays with project implementation.

Project includes comprehensive engagement with communities and stakeholders throughout the project activities design and implementation. Regular monitoring of satisfaction within communities. Close coordination with other actors working in target locations to ensure relevance and impact of activities.

Grantee’s financial management processes are 2 CFR 200 compliant.

Is there cash disbursement to sub-awardees and/or beneficiaries?

A cash disbursement policy exists that clearly outlines what the recipient can pay for in cash and up to what amount. Items that can be paid in cash do not include salaries, any recurring payments, or high-value items. The petty cash limit is $500 or less.

Grantee conducts constant security monitoring and communication with all staff. Grantee engages with government and community leaders to understand and take measures to reduce risks. Grantee prepares emergency protocols as part of the risk management plan. Grantee has strong cybersecurity practices and other measures as appropriate to safeguard information, including protected personally identifiable information (PII).

Is there an active conflict?

Grantee has put into place controls to mitigate against the risk that the assistance would benefit terrorist organizations or individuals with ties to terrorist organizations. Examples include re-scoping the proposed project; working with trusted implementing partners that will take certain risk mitigation measures; scaled assistance / disbursing funds in tranches; screening and/or vetting subaward grantees, contractors/subcontractors, vendors, certain or all beneficiaries, or other parties; provisions in agreements with contractors/grantees that provide for certain due diligence, oversight, monitoring, reporting; restrictive clauses or termination provisions, etc.

Could the assistance be diverted, misused, or otherwise provide a benefit to a terrorist organization or individual associated with such an organization?