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UNDP annotated Project Document for nationally implemented (NIM) projects

financed by the GEF/LDCF/SCCF Trust Funds


UPDATE 11 July 2017

Projects that receive financing from the GEF/LDCF/SCCF1 Trust Funds are required to comply with GEF
policies approved by the GEF Council and the LDCF/SCCF Council in addition to (i.e. do not replace)
standard UNDP project policies and procedures outlined in the UNDP POPP2. As such, the UNDP
standard project document has been amended to include these additional GEF-specific requirements.

This template is to be used for nationally-implemented projects that are categorized by the GEF as
medium-sized with a GEF grant of USD 2 million or less or full-sized with a GEF grant above USD 2
million. Other standard UNDP-GEF project document templates are/will be made available.

Projects that are financed by other vertical funds - such as the Green Climate Fund (GCF) – must use a
different standard UNDP-GCF (not GEF) project document template.

Guidance:

This annotated UNDP-GEF project document template for nationally-implemented projects includes
guidance for project developers (i.e. PPG/IP consultants) noted in italic. Standard text that must also be
completed and included in each project document is noted in plain text. A ‘clean’ version of the
standard UNDP-GEF project document template (i.e. without the guidance text noted in italic) is
available separately.

The project developer should refer to this annotated guidance along with the UNDP-GEF PRODOC
power point presentation when drafting the project document. The project developer should also
become familiar with the documents listed below under further information.

The project developer should prepare this UNDP-GEF project document as a guide to those who will
implement the project at the national level. Be mindful of what can realistically be achieved within the
resource and time constraints of this project (i.e. project budget and project duration noted in the PIF).
Projects will, in general, not be extended beyond the agreed project duration.

1
Global Environment Facility (GEF); Least Developed Countries Fund (LDCF); Special Climate Change Fund (SCCF)
2
UNDP Policies and Procedures at https://intranet.undp.org/global/popp/ppm/Pages/Contents.aspx?lang=en

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The project developer must also prepare the GEF CEO Endorsement template3 and respond to
comments received from the GEF partnership (i.e. Council, STAP, GEFSEC and others). Duplication
between the UNDP-GEF project document and the GEF CEO Endorsement template should be avoided
noting however that some GEF-specific requirements (e.g. baseline analysis) explained in the GEF PIF or
GEF CEO Endorsement template may also be useful information to those who will implement the project
at the national level.

Requirements:

1. GEF PIFs (for MSP and FSP projects only) approved as of 25 May 2017 that are to be nationally
implemented must use this UNDP-GEF NIM project document template. No other templates will
be accepted. Note that PIFs approved before the 25 May 2017 can use the previous version of the
UNDP-GEF project document template dated 16 February 2016.

2. It is strongly recommended to keep the total number of pages of the final UNDP-GEF project
document to 50 pages excluding Annexes. The project document should contain the essential
information for project implementation (i.e. not approval) only. Additional information should be
placed in Annex.

3. The UNDP-GEF project document must be finalized in English and submitted to the UNDP-GEF Unit
for clearance within 16 months (for full-size projects) or 10 months (for medium-sized projects) of
PIF approval. If the fully completed project document with all required Annexes is not submitted
within the specified deadline set by the GEF, the project will be automatically cancelled by the GEF.
See the GEF Cancellation Policy for additional details.

Further information:

We highly recommend that the project developer become familiar with the following documents before
drafting the project document:
1. GEF OPS 5: At the Crossroads for Higher Impact (GEF IEO, 2014)
2. Relevant GEF STAP (Scientific and Technical Advisory Panel) documents. Note the guidance on
incorporating resilience into project design.
3. Results-based Management a Handbook (Harmonizing RBM concepts and approaches for improved
development results at country level) (UNDG, 2011)
4. Designing a Multi-Stakeholder Results Framework: A toolkit to guide participatory diagnostics and
planning for stronger results and effectiveness (World Bank Institute, 2013)
5. Designing a results framework for achieving results: A how-to guide (World Bank IEG, 2012)
6. Guidelines for Preparing a Design and Monitoring Framework (ADB, 2007)
Please also consult the following key UNDP and GEF policy documents:
1. Strategic documents: UNDP Strategic Plan 2014 – 2017; Sustainable Development Goals: GEF-6
Results Framework
2. Policy documents:

3
See https://www.thegef.org/gef/guidelines_templates

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a. UNDP Social and Environmental Safeguards: including supporting guidance notes
b. UNDP Information Disclosure Policy
c. Gender: UNDP Gender Equality Strategy; GEF Policy on Gender Mainstreaming
d. GEF policies: including cancellation policy; co-financing; monitoring and evaluation; public
involvement; incremental cost reasoning.
3. Operational guidelines: UNDP National Implementation Modality (NIM) guidelines; UNDP
Programme and Operations Policies and Procedures (POPP) on project management; UNDP
Evaluation Resource Centre
4. GEF Templates: GEF CEO endorsement template and GEF Secretariat review sheet; GEF-6 Tracking
tools
5. UNDP IRRF Indicators: see additional guidance when preparing the project results framework:
https://intranet.undp.org/unit/office/exo/IRRF/default.aspx

6. Direct Project Costs: general background information available here:


https://info.undp.org/global/popp/frm/Pages/Direct-Project-Costs.aspx
The GEF Council has adopted rules and issued guidance on when and how Direct Project Costs
may be recovered for projects financed by the GEF Trust Fund, the Least Developed Countries
Fund, the Special Climate Change Fund, and the Nagoya Protocol Implementation Fund.4 For any
projects financed by these funds and approved on or after 7 June 2012, UNDP must observe the
following requirements:
a. The costs of any project cycle management services provided by UNDP must be paid
exclusively from the fees paid to UNDP and not from the project budget. Project cycle
management services are the quality assurance and oversight services involved with project
identification, preparation of project concept, preparation of detailed project document,
project approval and start-up, project implementation and supervision, and project
completion and evaluation.5 ‘Development Effectiveness’ costs are therefore not eligible for
recovery from a project budget;
b. Direct Project Costs – which will include the costs of any activities over and above the
project cycle management services for which UNDP receives a fee – may only be charged to
the project budget upon the specific request of, and agreement with, the Implementing
Partner. These costs are not mandatory, and according to the GEF Secretariat and
Adaptation Fund Board these costs should not be considered routine or normal, but instead
provided only on an exceptional basis.
c. For any NIM or NGO implemented project, any Implementing Partner request for services
incurring Direct Project Costs must be clearly documented and agreed in a Letter of
Agreement (LOA) between the Implementing Partner and UNDP, outlining the services to be
provided and their itemized costs. For the Adaptation Fund, further documentation (in a
separate letter or in the project document) is also needed from the Implementing Partner to
UNDP outlining why the services are needed and justifying the exceptional basis for the
request.;

4
For the GEF Council, see paragraphs 32 and 33 of the 42nd Council Meeting Joint Summary of the Chairs regarding the paper, Fee Structure for
Agencies, Part I and Part II (GEF/C.42/09, June 2012).
5
For the GEF, these services are defined in GEF Council paper, Rules and Guidelines for Agency Fees and Project Management Costs
(GEF/C.39/9).

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d. The costs of any anticipated or known Direct Project Costs need to be clearly
documented in the Project Information Form (PIF for GEF projects) or project concept or
proposal (for Adaptation Fund projects) submitted for approval. Any DPCs requested by an
Implementing Partner after GEF CEO endorsement or AFB approval need to be submitted to
the GEF Secretariat or Adaptation Fund Board Secretariat, as appropriate;
e. Direct Project Costs must be within the Project Management Cost/Executions Costs
Budget provided to Implementing Partners under GEF and Adaptation Fund projects6; and

6
Project Management Costs (PMCs) represent the Implementing Partner’s management costs associated with the unit executing the project on
the ground and are included in the project budget. For GEF projects, the GEF Secretariat currently adopts the following approach: PMC shall
not exceed 10% of GEF project grant for projects requesting GEF project grants up to $2 million, and shall not exceed 5% of the GEF project
grant for projects requesting GEF project grants of $2 million and above. In principle, no PMC will be provided for DIM projects without
justification. In exceptional cases where the PMC exceeds the fixed percentage amounts, a justification should be provided on the additional
budget needed for the PMC.

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Add Government Logo when appropriate
United Nations Development Programme

Annotated Project Document template for nationally implemented projects


financed by the GEF/LDCF/SCCF Trust Funds

Project title:

Country: Implementing Partner: see Management Arrangements:


explanation of who (only one party) National Implementation
can be an Implementing Partner at Modality (NIM)
https://info.undp.org/global/popp/pp
m/Pages/Defining-a-Project.aspx

UNDAF/Country Programme Outcome: insert text of the relevant country programme outcome

UNDP Strategic Plan Output: insert one of the following: 1.3, 1.4, 1.5 or 2.5 see results framework for
detail

UNDP Social and Environmental Screening UNDP Gender Marker: insert one of the following:
Category: insert one of the following: low, 1, 2, or 3. Note that a gender maker of 0 (zero) is
moderate or high. See further information at not appropriate. See further information at
http://www.undp.org/content/undp/en/home/o https://intranet.undp.org/unit/bpps/sdev/gef/def
perations/social-and-environmental- ault.aspx
sustainability-in-undp/SES.html

Atlas Project ID (formerly Award ID): this Atlas Output ID (formerly Project ID): this should
should have been created as proposal at PIF be created at PIF stage
stage

UNDP-GEF PIMS ID number: GEF ID number:

Planned start date: this is defined as the Planned end date: this is defined as the planned
expected project document signature date date of operational closure. Calculate the planned
end date by adding the project duration in months
noted on the PIF to the expected project document
signature date

PAC meeting date: this is defined as the expected project appraisal committee meeting date. The
LPAC meeting can occur before the project document is submitted to the GEF for CEO endorsement. If
this cannot take place within 16 (FSP)/10 (MSP) months of PIF approval the LPAC meeting must be

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held after CEO endorsement or the project risks being cancelled by the GEF. See further information
on the GEF cancellation policy here:
https://www.thegef.org/gef/policies_guidelines/project_cancellation

Brief project description: Briefly (no more than 200 words) describe the overall development
challenge and the expected results of the project.

FINANCING PLAN (only cash transferred to UNDP bank account and budgeted under the same GEF
project should be included under this section (1), all others should be included under section (2).

GEF Trust Fund or LDCF or SCCF USD

UNDP TRAC resources USD

Cash co-financing to be administered by UNDP USD

… … add additional rows if necessary

(1) Total Budget administered by UNDP USD

PARALLEL CO-FINANCING (all other co-financing that is not cash co-financing administered by UNDP)

UNDP USD

Government USD

… … add additional rows if necessary

(2) Total co-financing USD

(3) Grand-Total Project Financing (1)+(2) USD

SIGNATURES

Signature: print name below Agreed by Date/Month/Year:


Government

Signature: print name below Agreed by Date/Month/Year:


Implementing
Partner

Signature: print name below Agreed by Date/Month/Year:


UNDP

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I. TABLE OF CONTENTS

I. Table of Contents ............................................................................................................................... 8


II. Development Challenge ................................................................................................................... 10
III. Strategy ............................................................................................................................................ 10
IV. Results and Partnerships .................................................................................................................. 10
V. Project Management ....................................................................................................................... 13
VI. Project Results Framework .............................................................................................................. 14
VII. Monitoring and Evaluation (M&E) Plan ........................................................................................... 19
VIII. Governance and Management Arrangements ................................................................................ 25
IX. Financial Planning and Management ............................................................................................... 30
X. Total Budget and Work Plan ............................................................................................................ 32
XI. Legal Context .................................................................................................................................... 38
XII. Risk Management............................................................................................................................. 39
XIII. Mandatory Annexes ......................................................................................................................... 49
Annex A: Multi Year Work Plan .............................................................................................................. 50
Annex B: GEF Tracking Tool at baseline ................................................................................................. 51
Annex C: Overview of Technical Consultancies ..................................................................................... 52
Annex D: Terms of Reference ................................................................................................................. 55
Annex E: UNDP Social and Environmental Screening Procedure and plans as needed......................... 64
Annex F: Stakeholder Engagement Plan ................................................................................................ 65
Annex G: Gender Analysis and Action Plan............................................................................................. 66
Annex H: UNDP Risk Log ........................................................................................................................ 67
Annex I: Results of the capacity assessment of the project implementing partner and HACT micro
assessment .............................................................................................................................................. 69
Annex J: Additional agreements ............................................................................................................. 70

Guidance to project developer: Include a list of tables and figures as appropriate. A list of acronyms
and abbreviations may also be necessary. Some typical examples include:

FSP Full Sized Project


GEF Global Environment Facility
GEFSEC Global Environment Facility Secretariat
MSP Medium Sized Project
PIF Project Identification Form
PIR GEF Project Implementation Report
POPP Programme and Operations Policies and Procedures
PPG Project Preparation Grant

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STAP GEF Scientific Technical Advisory Panel
UNDP-GEF UNDP Global Environmental Finance Unit

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II. DEVELOPMENT CHALLENGE
Recommended length ¼ - 2 pages

Guidance to project developer: Describe the development challenge/context that the project seeks to
address and how it is relevant to national development priorities, global environment and/or adaptation
issues, and the sustainable development goals (SDGs). Include evidence to support the analysis, including
data demonstrating the magnitude of the problem, how it affects different populations groups
(especially women and men, minority and other excluded groups) and why it is important. Identify the
immediate, underlying and root causes of the challenges (including capacity limitations) and the main
barriers to change as identified in the problem tree analysis supporting the Theory of Change.

GEF CEO endorsement template: Align (and avoid unnecessary duplication) with the following sections
of the GEF CEO Endorsement template: Part II PROJECT JUSTIFICATION A.1 Project Description sub
questions 1) and 2); and, B.1 Consistency with National Priorities.

III. STRATEGY
Recommended length ½ - 3 pages

Guidance to project developer: Explain the detailed theory of change (ToC) for this project and what
UNDP with partners will do to address the development challenge/context described above. Identify the
approach that has been selected, with a clear rationale backed by credible evidence, integrating gender
concerns into the approach. Identify what knowledge, good practices and lessons learned (including from
evaluation) have informed the analysis of available choices and the selected strategy.

Detail the project’s selected approach and explain how it is expected to lead to change at the output
level. Clearly link the project’s ToC to the programme/CPD’s ToC by stating how the project will
contribute to the UNDAF/CPD outcome. State key assumptions about what will change, for whom, and
how this will happen. Assumptions should include consideration of internal factors (relating to project
design and implementation) and external factors (relating to other partners, stakeholders and context)
that will be critical for achieving expected changes. Cite best available evidence which supports these key
assumptions in the ToC, including findings from evaluation and other credible research, as well as
knowledge, good practices and lessons learned from previous work by UNDP and others, in this country
and in other relevant contexts.

It is good practice to include a theory of change diagram in the annex showing the linkages between the
development challenge and the immediate, underlying and root causes.

GEF CEO endorsement template: Align (and avoid unnecessary duplication) with the following sections
of the GEF CEO Endorsement template: Part II PROJECT JUSTIFICATION A.1 Project Description sub
questions 3) and 4) and 6).

IV. RESULTS AND PARTNERSHIPS


Recommended length 1.5 - 5 pages

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Guidance to project developer: Include detail next to the underlined sub-sections below.

CEO endorsement template: Align the technical content of the expected results sub-section below with
Part II PROJECT JUSTIFICATION A.1 Project Description sub questions 5); and A.7 Benefits; and A.8
Knowledge Management. See the GEF KM strategy for further information. Align the technical content
of the stakeholder engagement sub-section below with Part II PROJECT JUSTIFICATION A.3 Stakeholders.
Align the technical content of the mainstreaming gender sub-section below with Part II PROJECT
JUSTIFICATION A.4 Gender Equality and Women’s Empowerment. Align the technical content of the risk
management sub-section with Part II PROJECT JUSTIFICATION A.5 Risk and A.1 6) innovativeness,
sustainability and potential for scaling up.

----------
Expected Results: The text under this heading should translate the strategy above into the work that will
be done through the project. Describe the planned interventions of the project and explain why those
interventions are the best suited to achieve the intended results, linking this to the theory of change.
State what change we expect to see that will be attributable to the project by project closure, and higher
level change the project will contribute to. It is highly recommended to include Component/Outcome 4:
Knowledge Management and M&E as a stand-alone component/outcome in the project results
framework and in the total budget and work plan.

Partnerships: Describe how the project will work with partners to achieve results and briefly map what
other stakeholders and initiatives are doing to address the development challenge. This should include
other GEF/LCDF/SCCF financed projects and other relevant projects. This can be in tabular format. Link
the partners selected to the project ToC. For example, what are the assumptions and expected results
achieved by partners that are critical for the achievement of results of this project?

Risks and Assumptions: Specify the key risks - including social and environmental risks identified in the
final SESP - that can threaten the achievement of results through the chosen strategy and the
assumptions on which the project results depend. Describe how project risks will be mitigated. All social
and environmental risks identified in the final SESP must be included in the risk log included in Annex.
Details of the mitigation and management measures for projects with moderate or high social and
environmental risks must be outlined in a stand-alone Environmental and Social Management Plan or
Framework also to be included in Annex.

Stakeholder engagement plan: A stakeholder engagement plan must be included in Annex. Summarize
the main elements of the stakeholder engagement plan in this section. See Social and Environmental
Safeguards guidance for further information.

Gender equality and empowering women: A gender analysis and gender action plan must be included in
Annex. Summarize main elements of the gender action plan in this section, clearly outlining what the
project will do to mainstream gender in individual components/outcomes. See Gender Mainstreaming
Guidance for further information. Ensure that the findings from the gender analysis are meaningfully
integrated into the project’s strategy, theory of change and results framework.

South-South and Triangular Cooperation (SSTrC): Describe how the project intends to
support/encourage SS/TrC to achieve and sustain results, if applicable. See UNDP SS/TRC for further
information.

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Sustainability and Scaling Up: Describe how the project will use relevant national systems, and specify
the transition arrangements to sustain and/or scale-up results, as relevant. How will the intervention
continue to be implemented without grant financing once this project is completed? Describe how
national capacities will be strengthened and monitored as relevant, and how national ownership will be
ensured.

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V. PROJECT MANAGEMENT
Recommended length ½ - 1 page

Guidance to project developer: Include detail next to the underlined sub-sections below.

----------

Cost efficiency and effectiveness: Identify how the project strategy is expected to deliver maximum
results with available resources, with reference to evidence on similar approaches in this country or
similar contexts. Include measures based on good practice and lessons learned. Explain why the
selected pathway is the most efficient and effective of available options. Consider undertaking a financial
analysis outlining the costs and benefits to the Implementing Parnter of the project if income will be
generated or savings realized from new technologies. Consider undertaking an economic analysis
outlining the costs and benefits of the project to society.

Project management: provide information on the location (s) where the project will be operationalized,
the number and local of physical project offices, arrangement for dedicated or shared operations support,
how the project will work with other projects etc.

Agreement on intellectual property rights and use of logo on the project’s deliverables and disclosure of
information: To accord proper acknowledgement to the GEF for providing grant funding, the GEF logo
will appear together with the UNDP logo on all promotional materials, other written materials like
publications developed by the project, and project hardware. Any citation on publications regarding
projects funded by the GEF will also accord proper acknowledgement to the GEF. Information will be
disclosed in accordance with relevant policies notably the UNDP Disclosure Policy7 and the GEF policy on
public involvement8.

7
See http://www.undp.org/content/undp/en/home/operations/transparency/information_disclosurepolicy/
8
See https://www.thegef.org/gef/policies_guidelines

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VI. PROJECT RESULTS FRAMEWORK
Guidance to project developer: Indicators are required for the project objective and the four project component/outcomes only. Each indicator must have a
baseline value and an expected value to be achieved by the mid-point (mid-term target) of implementation and an expected value to be achieved by project
closure (end-of-project target). Do not include more than a total of 15-16 indicators in order to keep the M&E burden manageable as these indicators must be
monitored annually and will be reported to the GEF and other stakeholders through the annual PIR (see M&E section for further details). The indicators must be
disaggregated by sex as relevant, and sourced from existing national data sets as much as possible. Indicators and targets that measure and monitor results
contributing to gender equality and women’s empowerment should be incorporated per the findings of the gender analysis. Lower level results (i.e. outputs and
activities) can be detailed in the Work Plan included in Annex A. Do not include footnotes to the framework as these will not be transferred to the project’s PIR.
Do not make any changes to the standard headings below (i.e. project objective, outcome 1, outcome 2).
For ecosystem and biodiversity projects, the following four types of indicators are expected to be included: Spatial indicator, biodiversity status indicator, threat
reduction indicator, socioeconomic/development indicator. Please use GEF Tracking Tool indicators where applicable.
CEO endorsement template: This results framework will be the same as that required in the GEF CEO Endorsement template Annex A: Project Results Framework
This project will contribute to the following Sustainable Development Goal (s): list relevant SDG goal (s)
This project will contribute to the following country outcome included in the UNDAF/Country Programme Document: copy relevant outcome here
This project will be linked to the following output of the UNDP Strategic Plan: consult with the UNDP Country Office and the UNDP-GEF Regional Technical
Advisor before selecting one of the following outputs. Delete the outputs copied below that are not selected. See opening section under further information
for additional details.
Output 1.3: Solutions developed at national and sub-national levels for sustainable management of natural resources, ecosystem services, chemicals and
waste.
Output 1.4: Scaled up action on climate change adaptation and mitigation cross sectors which is funded and implemented.
Output 1.5: Inclusive and sustainable solutions adopted to achieve increased energy efficiency and universal modern energy access (especially off-grid
sources of renewable energy)
Output 2.5: Legal and regulatory frameworks, policies and institutions enabled to ensure the conservation, sustainable use, and access and benefit sharing of
natural resources, biodiversity and ecosystems, in line with international conventions and national legislation.
Objective and Outcome Indicators Baseline9 Mid-term End of Project Data Collection Methods and
(no more than a total of 15 -16 Target10 Target Risks/Assumptions11
indicators)

9
Baseline, mid-term and end of project target levels must be expressed in the same neutral unit of analysis as the corresponding indicator. Baseline is the current/original status or condition and need to be quantified. The
baseline must be established before the project document is submitted to the GEF for final approval. The baseline values will be used to measure the success of the project through implementation monitoring and
evaluation.
10
Target is the change in the baseline value that will be achieved by the mid-term review and then again by the terminal evaluation.
11
Data collection methods should outline specific tools used to collect data and additional information as necessary to support monitoring. The PIR cannot be used as a source of verification.

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Project Objective: Mandatory Indicator 1 and 2: copy Must be Expected Expected level List the source of the data and explain
one or both of the standard IRRF determined level of when terminal how the data will be collected and
3-4 indicators maximum indicators linked to the output during PPG progress by evaluation which methodology will be used (e.g.
selected above. phase completion undertaken GEF GHG measurement methodology).
of 2nd GEF PIR Risks:

Assumptions:
Mandatory indicator 3: # direct Must be Expected Expected level List the source of the data and explain
project beneficiaries. determined level of when terminal how the data will be collected and
during PPG progress by evaluation which methodology will be used (e.g.
phase completion undertaken GEF GHG measurement methodology).
of 2nd GEF PIR Risks:

Assumptions:
Indicator 4: project specific As above As above As above List the source of the data and explain
how the data will be collected and
which methodology will be used (e.g.
GEF GHG measurement methodology).
Risks:

Assumptions:
12
Component/Outcome 1 Indicator 5: project specific As above As above As above List the source of the data and explain
how the data will be collected and
3 indicators maximum which methodology will be used (e.g.
GEF GHG measurement methodology).
Risks:

Assumptions:
Indicator 6: project specific As above As above As above List the source of the data and explain
how the data will be collected and

12
Outcomes are short to medium term results that the project makes a contribution towards, and that are designed to help achieve the longer term objective. Achievement of outcomes will be influenced both by project
outputs and additional factors that may be outside the direct control of the project.

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which methodology will be used (e.g.
GEF GHG measurement methodology).

Risks:

Assumptions:
Indicator 7: project specific As above As above As above List the source of the data and explain
how the data will be collected and
which methodology will be used (e.g.
GEF GHG measurement methodology).
Risks:

Assumptions:
Component/ Outcome 2 Indicator 8: project specific As above As above As above List the source of the data and explain
how the data will be collected and
3 indicators maximum which methodology will be used (e.g.
GEF GHG measurement methodology).
Risks:

Assumptions:
Indicator 9: project specific As above As above As above List the source of the data and explain
how the data will be collected and
which methodology will be used (e.g.
GEF GHG measurement methodology).
Risks:

Assumptions:
Indicator 10: project specific As above As above As above List the source of the data and explain
how the data will be collected and
which methodology will be used (e.g.
GEF GHG measurement methodology).
Risks:

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Assumptions:

Component/ Outcome 3 Indicator 11: project specific As above As above As above List the source of the data and explain
how the data will be collected and
3 indicators maximum which methodology will be used (e.g.
GEF GHG measurement methodology).
Risks:

Assumptions:
Indicator 12: project specific As above As above As above List the source of the data and explain
how the data will be collected and
which methodology will be used (e.g.
GEF GHG measurement methodology).
Risks:

Assumptions:
Indicator 13: project specific As above As above As above List the source of the data and explain
how the data will be collected and
which methodology will be used (e.g.
GEF GHG measurement methodology).
Risks:

Assumptions:
Component/ Outcome 4 Indicator 14: project specific As above As above As above List the source of the data and explain
Knowledge Management how the data will be collected and
and M&E which methodology will be used (e.g.
3 indicators maximum GEF GHG measurement methodology).
Risks:

Assumptions:
Indicator 15: project specific As above As above As above List the source of the data and explain
how the data will be collected and

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which methodology will be used (e.g.
GEF GHG measurement methodology).

Risks:

Assumptions:
Indicator 16: project specific As above As above As above List the source of the data and explain
how the data will be collected and
which methodology will be used (e.g.
GEF GHG measurement methodology).
Risks:

Assumptions:

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VII. MONITORING AND EVALUATION (M&E) PLAN
Guidance to project developer: The standard text below should be modified for medium sized projects
with a GEF Grant under USD 2 million. MSPs are not required to undertake a mid-term review and do not
need to update the GEF Tracking Tool at mid-term. Additional text can be added to suit the needs of the
project. None of the standard text should be removed from this section.

CEO endorsement template: Refer to this section of the UNDP-GEF project document in Part II: PROJECT
JUSTIFICATION C: Describe the Budgeted M&E Plan.
----------

The project results as outlined in the project results framework will be monitored annually and
evaluated periodically during project implementation to ensure the project effectively achieves these
results. Supported by Component/Outcome Four: Knowledge Management and M&E, the project
monitoring and evaluation plan will also facilitate learning and ensure knowledge is shared and widely
disseminated to support the scaling up and replication of project results.

Project-level monitoring and evaluation will be undertaken in compliance with UNDP requirements as
outlined in the UNDP POPP and UNDP Evaluation Policy. The UNDP Country Office will work with the
relevant project stakeholders to ensure UNDP M&E requirements are met in a timely fashion and to
high quality standards. Additional mandatory GEF-specific M&E requirements (as outlined below) will be
undertaken in accordance with the GEF M&E policy and other relevant GEF policies13.

In addition to these mandatory UNDP and GEF M&E requirements, other M&E activities deemed
necessary to support project-level adaptive management will be agreed during the Project Inception
Workshop and will be detailed in the Inception Report. This will include the exact role of project target
groups and other stakeholders in project M&E activities including the GEF Operational Focal Point and
national/regional institutes assigned to undertake project monitoring. The GEF Operational Focal Point
will strive to ensure consistency in the approach taken to the GEF-specific M&E requirements (notably
the GEF Tracking Tools) across all GEF-financed projects in the country. This could be achieved for
example by using one national institute to complete the GEF Tracking Tools for all GEF-financed projects
in the country, including projects supported by other GEF Agencies.14

M&E Oversight and monitoring responsibilities:


Project Manager: The Project Manager is responsible for day-to-day project management and regular
monitoring of project results and risks, including social and environmental risks. The Project Manager
will ensure that all project staff maintain a high level of transparency, responsibility and accountability in
M&E and reporting of project results. The Project Manager will inform the Project Board, the UNDP
Country Office and the UNDP-GEF RTA of any delays or difficulties as they arise during implementation
so that appropriate support and corrective measures can be adopted.

The Project Manager will develop annual work plans based on the multi-year work plan included in
Annex, including annual output targets to support the efficient implementation of the project. The
Project Manager will ensure that the standard UNDP and GEF M&E requirements are fulfilled to the
highest quality. This includes, but is not limited to, ensuring the results framework indicators are

13
See https://www.thegef.org/gef/policies_guidelines
14
See https://www.thegef.org/gef/gef_agencies

19 | P a g e
monitored annually in time for evidence-based reporting in the GEF PIR, and that the monitoring of risks
and the various plans/strategies developed to support project implementation (e.g. ESMP, gender action
plan, stakeholder engagement plan etc..) occur on a regular basis.

Project Board: The Project Board will take corrective action as needed to ensure the project achieves
the desired results. The Project Board will hold project reviews to assess the performance of the project
and appraise the Annual Work Plan for the following year. In the project’s final year, the Project Board
will hold an end-of-project review to capture lessons learned and discuss opportunities for scaling up
and to highlight project results and lessons learned with relevant audiences. This final review meeting
will also discuss the findings outlined in the project terminal evaluation report and the management
response.

Project Implementing Partner: The Implementing Partner is responsible for providing all required
information and data necessary for timely, comprehensive and evidence-based project reporting,
including results and financial data, as necessary. The Implementing Partner will strive to ensure project-
level M&E is undertaken by national institutes, and is aligned with national systems so that the data
used and generated by the project supports national systems.

UNDP Country Office: The UNDP Country Office will support the Project Manager as needed, including
through annual supervision missions. The annual supervision missions will take place according to the
schedule outlined in the annual work plan. Supervision mission reports will be circulated to the project
team and Project Board within one month of the mission. The UNDP Country Office will initiate and
organize key GEF M&E activities including the annual GEF PIR, the independent mid-term review and the
independent terminal evaluation. The UNDP Country Office will also ensure that the standard UNDP and
GEF M&E requirements are fulfilled to the highest quality.

The UNDP Country Office is responsible for complying with all UNDP project-level M&E requirements as
outlined in the UNDP POPP. This includes ensuring the UNDP Quality Assurance Assessment during
implementation is undertaken annually; that annual targets at the output level are developed, and
monitored and reported using UNDP corporate systems; the regular updating of the ATLAS risk log; and,
the updating of the UNDP gender marker on an annual basis based on gender mainstreaming progress
reported in the GEF PIR and the UNDP ROAR. Any quality concerns flagged during these M&E activities
(e.g. annual GEF PIR quality assessment ratings) must be addressed by the UNDP Country Office and the
Project Manager.

The UNDP Country Office will retain all M&E records for this project for up to seven years after project
financial closure to support ex-post evaluations undertaken by the UNDP Independent Evaluation Office
(IEO) and/or the GEF Independent Evaluation Office (IEO).

UNDP-GEF Unit: Additional M&E and implementation quality assurance and troubleshooting support
will be provided by the UNDP-GEF Regional Technical Advisor and the UNDP-GEF Directorate as needed.

Audit: The project will be audited as per UNDP Financial Regulations and Rules and applicable audit
policies on NIM implemented projects.15

15
See guidance here: https://info.undp.org/global/popp/frm/pages/financial-management-and-execution-modalities.aspx

20 | P a g e
Additional GEF monitoring and reporting requirements:

Inception Workshop and Report: A project inception workshop will be held within two months after the
project document has been signed by all relevant parties to, amongst others:
a) Re-orient project stakeholders to the project strategy and discuss any changes in the overall context
that influence project strategy and implementation;
b) Discuss the roles and responsibilities of the project team, including reporting and communication
lines and conflict resolution mechanisms;
c) Review the results framework and finalize the indicators, means of verification and monitoring plan;
d) Discuss reporting, monitoring and evaluation roles and responsibilities and finalize the M&E budget;
identify national/regional institutes to be involved in project-level M&E; discuss the role of the GEF OFP
in M&E;
e) Update and review responsibilities for monitoring the various project plans and strategies, including
the risk log; SESP, Environmental and Social Management Plan and other safeguard requirements;
project grievance mechanisms; the gender strategy; the knowledge management strategy, and other
relevant strategies;
f) Review financial reporting procedures and mandatory requirements, and agree on the arrangements
for the annual audit; and
g) Plan and schedule Project Board meetings and finalize the first year annual work plan.

The Project Manager will prepare the inception report no later than one month after the inception
workshop. The inception report will be cleared by the UNDP Country Office and the UNDP-GEF Regional
Technical Adviser, and will be approved by the Project Board.

GEF Project Implementation Report (PIR): The Project Manager, the UNDP Country Office, and the
UNDP-GEF Regional Technical Advisor will provide objective input to the annual GEF PIR covering the
reporting period July (previous year) to June (current year) for each year of project implementation. The
Project Manager will ensure that the indicators included in the project results framework are monitored
annually in advance of the PIR submission deadline so that progress can be reported in the PIR. Any
environmental and social risks and related management plans will be monitored regularly, and progress
will be reported in the PIR.

The PIR submitted to the GEF will be shared with the Project Board. The UNDP Country Office will
coordinate the input of the GEF Operational Focal Point and other stakeholders to the PIR as
appropriate. The quality rating of the previous year’s PIR will be used to inform the preparation of the
subsequent PIR.

Lessons learned and knowledge generation: Results from the project will be disseminated within and
beyond the project intervention area through existing information sharing networks and forums. The
project will identify and participate, as relevant and appropriate, in scientific, policy-based and/or any
other networks, which may be of benefit to the project. The project will identify, analyse and share
lessons learned that might be beneficial to the design and implementation of similar projects and
disseminate these lessons widely. There will be continuous information exchange between this project
and other projects of similar focus in the same country, region and globally.

GEF Focal Area Tracking Tools: The following GEF Tracking Tool(s) will be used to monitor global
environmental benefits: list the required GEF Tracking Tool(s), as agreed with the UNDP-GEF Regional
Technical Advisor. The baseline/CEO Endorsement GEF Focal Area Tracking Tool(s) – submitted as Annex

21 | P a g e
to this project document – will be updated by the Project Manager/Team (not the evaluation
consultants hired to undertake the MTR or the TE) (indicate other project partner, if agreed) and shared
with the mid-term review consultants and terminal evaluation consultants before the required
review/evaluation missions take place. The updated GEF Tracking Tool(s) will be submitted to the GEF
along with the completed Mid-term Review report and Terminal Evaluation report.

Independent Mid-term Review (MTR): An independent mid-term review process will begin after the
second PIR has been submitted to the GEF, and the MTR report will be submitted to the GEF in the same
year as the 3rd PIR. The MTR findings and responses outlined in the management response will be
incorporated as recommendations for enhanced implementation during the final half of the project’s
duration. The terms of reference, the review process and the MTR report will follow the standard
templates and guidance prepared by the UNDP IEO for GEF-financed projects available on the UNDP
Evaluation Resource Center (ERC). As noted in this guidance, the evaluation will be ‘independent,
impartial and rigorous’. The consultants that will be hired to undertake the assignment will be
independent from organizations that were involved in designing, executing or advising on the project to
be evaluated. The GEF Operational Focal Point and other stakeholders will be involved and consulted
during the terminal evaluation process. Additional quality assurance support is available from the UNDP-
GEF Directorate. The final MTR report will be available in English and will be cleared by the UNDP
Country Office and the UNDP-GEF Regional Technical Adviser, and approved by the Project Board.

Terminal Evaluation (TE): An independent terminal evaluation (TE) will take place upon completion of all
major project outputs and activities. The terminal evaluation process will begin three months before
operational closure of the project allowing the evaluation mission to proceed while the project team is
still in place, yet ensuring the project is close enough to completion for the evaluation team to reach
conclusions on key aspects such as project sustainability. The Project Manager will remain on contract
until the TE report and management response have been finalized. The terms of reference, the
evaluation process and the final TE report will follow the standard templates and guidance prepared by
the UNDP IEO for GEF-financed projects available on the UNDP Evaluation Resource Center. As noted in
this guidance, the evaluation will be ‘independent, impartial and rigorous’. The consultants that will be
hired to undertake the assignment will be independent from organizations that were involved in
designing, executing or advising on the project to be evaluated. The GEF Operational Focal Point and
other stakeholders will be involved and consulted during the terminal evaluation process. Additional
quality assurance support is available from the UNDP-GEF Directorate. The final TE report will be cleared
by the UNDP Country Office and the UNDP-GEF Regional Technical Adviser, and will be approved by the
Project Board. The TE report will be publically available in English on the UNDP ERC.

The UNDP Country Office will include the planned project terminal evaluation in the UNDP Country
Office evaluation plan, and will upload the final terminal evaluation report in English and the
corresponding management response to the UNDP Evaluation Resource Centre (ERC). Once uploaded to
the ERC, the UNDP IEO will undertake a quality assessment and validate the findings and ratings in the
TE report, and rate the quality of the TE report. The UNDP IEO assessment report will be sent to the GEF
IEO along with the project terminal evaluation report.

Final Report: The project’s terminal PIR along with the terminal evaluation (TE) report and
corresponding management response will serve as the final project report package. The final project
report package shall be discussed with the Project Board during an end-of-project review meeting to
discuss lesson learned and opportunities for scaling up.

22 | P a g e
Mandatory GEF M&E Requirements and M&E Budget:
Note to project developers: Delete rows with italic text as appropriate (e.g. if the project is medium-
sized).
GEF M&E requirements Primary Indicative costs to be Time frame
responsibility charged to the Project
Budget16 (US$)
GEF grant Co-
financing
Inception Workshop UNDP Country USD 11,000 add Within two
Office months of
project
document
signature
Inception Report Project Manager None None Within two
weeks of
inception
workshop
Standard UNDP monitoring and UNDP Country None None Quarterly,
reporting requirements as Office annually
outlined in the UNDP POPP
Risk management Project Manager None None Quarterly,
Country Office annually
Monitoring of indicators in Project Manager Per year: add Annually before
project results framework (add USD 4,000 PIR
name of national/regional
institute if relevant)
GEF Project Implementation Project Manager None None Annually
Report (PIR) and UNDP Country
Office and UNDP-
GEF team
NIM Audit as per UNDP audit UNDP Country Per year: add Annually or
policies Office USD 3,000 – other frequency
5,000 as per UNDP
Audit policies
Lessons learned and knowledge Project Manager add add Annually
generation
Monitoring of environmental Project Manager add add On-going
and social risks, and UNDP Country
corresponding management Office
plans as relevant
Stakeholder Engagement Plan Project Manager add add On-going
UNDP Country

16
Excluding project team staff time and UNDP staff time and travel expenses.

23 | P a g e
GEF M&E requirements Primary Indicative costs to be Time frame
responsibility charged to the Project
Budget16 (US$)
GEF grant Co-
financing
Office
Gender Action Plan Project Manager add add On-going
UNDP Country
Office
UNDP GEF team
Addressing environmental and Project Manager add add On-going
social grievances UNDP Country
Office

Project Board meetings Project Board add add At minimum


UNDP Country annually
Office
Project Manager
Supervision missions UNDP Country None17 add Annually
Office
Oversight missions UNDP-GEF team None17 add Troubleshooting
as needed
GEF Secretariat learning UNDP Country None add To be
missions/site visits Office and Project determined.
Manager and
UNDP-GEF team
Mid-term GEF Tracking Tool to Project Manager USD 10,000 add Before mid-term
be updated by (add name of review mission
national/regional institute if takes place.
relevant)
Independent Mid-term Review UNDP Country USD 20,000 add Between 2nd and
(MTR) and management Office and Project - 30,000 3rd PIR.
response team and UNDP-
GEF team
Terminal GEF Tracking Tool to Project Manager USD 10,000 add Before terminal
be updated by (add name of evaluation
national/regional institute if mission takes
relevant) place
Independent Terminal UNDP Country USD 30,000 add At least three
Evaluation (TE) included in Office and Project - 60,000 months before
UNDP evaluation plan, and team and UNDP- operational

17
The costs of UNDP Country Office and UNDP-GEF Unit’s participation and time are charged to the GEF Agency Fee.

24 | P a g e
GEF M&E requirements Primary Indicative costs to be Time frame
responsibility charged to the Project
Budget16 (US$)
GEF grant Co-
financing
management response GEF team closure
Translation of MTR and TE UNDP Country USD 2,000 – add As required.
reports into English Office 10,000 GEF will only
accept reports
in English.
TOTAL indicative COST 5% of GEF add
Excluding project team staff time, and UNDP staff and grant NOT
travel expenses total
budget.

VIII. GOVERNANCE AND MANAGEMENT ARRANGEMENTS

Guidance to project developer: Standard text that must be completed for this specific project is included
below as a starting point. The text should be modified as necessary provided it is within UNDP rules and
regulations, policies and procedures. Explain the roles and responsiblities of the parties involved in
governing and managing the project.
A project can be jointly governed with other projects, for example, through a national steering sub-
committee linked to Results Groups under the UNDG Standard Operating Procedures for countries
adopting the Delivering as One approach.

Minimum requirements for a project’s governance arrangements include stakeholder representation (i.e.
UNDP, national partners, beneficiary representatives, donors etc..) with authority to make decisions
regarding the project. The project’s management arrangements must include, at minimum, a project
manager and project assurance that advises the project governance mechanism. The chart below must
be fully completed, additional structures can be added as appropriate.

CEO endorsement template: Align the technical content of the governance and management
arrangements section with Part II PROJECT JUSTIFICATION A.6 Institutional Arrangement and
Coordination.
----------

Roles and responsibilities of the project’s governance mechanism: The project will be implemented
following UNDP’s national implementation modality, according to the Standard Basic Assistance
Agreement between UNDP and the Government of xxx, and the Country Programme.
The Implementing Partner for this project is [insert name of the national implementing partner]. The
Implementing Partner is responsible and accountable for managing this project, including the
monitoring and evaluation of project interventions, achieving project outcomes, and for the effective
use of UNDP resources.

The Implementing Partner is responsible for:


 Approving and signing the multiyear workplan;

25 | P a g e
 Approving and signing the combined delivery report at the end of the year; and,
 Signing the financial report or the funding authorization and certificate of expenditures.

The project organisation structure is as follows:

Project Organisation Structure

Project Board/Steering Committee


Senior Beneficiary: Executive: Senior Supplier:
specify specify
specify

Three Tier Project Assurance


(country, regional and global)
Add name of UNDP Country Project Manager/Unit
Office Programme Officer; (e.g. CTA, M&E, Project Support (e.g.
Regional Technical Advisor safeguards, technical experts)
procurement)

TEAM A TEAM B TEAM C

Project Board: The Project Board (also called Project Steering Committee) is responsible for making by
consensus, management decisions when guidance is required by the Project Manager, including
recommendations for UNDP/Implementing Partner approval of project plans and revisions, and
addressing any project level grievances. In order to ensure UNDP’s ultimate accountability, Project
Board decisions should be made in accordance with standards that shall ensure management for
development results, best value money, fairness, integrity, transparency and effective international
competition. In case a consensus cannot be reached within the Board, final decision shall rest with the
UNDP Programme Manager.

Specific responsibilities of the Project Board include:


 Provide overall guidance and direction to the project, ensuring it remains within any specified
constraints;
 Address project issues as raised by the project manager;
 Provide guidance on new project risks, and agree on possible countermeasures and
management actions to address specific risks;
 Agree on project manager’s tolerances as required;
 Review the project progress, and provide direction and recommendations to ensure that the
agreed deliverables are produced satisfactorily according to plans;

26 | P a g e
 Appraise the annual project implementation report, including the quality assessment rating
report; make recommendations for the workplan;
 Provide ad hoc direction and advice for exceptional situations when the project manager’s
tolerances are exceeded; and
 Assess and decide to proceed on project changes through appropriate revisions.

The composition of the Project Board must include the following roles:

Executive: The Executive is an individual who represents ownership of the project who will chair the
Project Board. This role can be held by a representative from the Government Cooperating Agency or
UNDP. The Executive is: Add who will represent the Executive for the project.

The Executive is ultimately responsible for the project, supported by the Senior Beneficiary and Senior
Supplier. The Executive’s role is to ensure that the project is focused throughout its life cycle on
achieving its objectives and delivering outputs that will contribute to higher level outcomes. The
executive has to ensure that the project gives value for money, ensuring cost-conscious approach to the
project, balancing the demands of beneficiary and suppler.

Specific Responsibilities: (as part of the above responsibilities for the Project Board)
 Ensure that there is a coherent project organisation structure and logical set of plans;
 Set tolerances in the AWP and other plans as required for the Project Manager;
 Monitor and control the progress of the project at a strategic level;
 Ensure that risks are being tracked and mitigated as effectively as possible;
 Brief relevant stakeholders about project progress;
 Organise and chair Project Board meetings.

Senior Supplier: The Senior Supplier is an individual or group representing the interests of the parties
concerned which provide funding and/or technical expertise to the project (designing, developing,
facilitating, procuring, implementing). The Senior Supplier’s primary function within the Board is to
provide guidance regarding the technical feasibility of the project. The Senior Supplier role must have
the authority to commit or acquire supplier resources required. If necessary, more than one person may
be required for this role. Typically, the implementing partner, UNDP and/or donor(s) would be
represented under this role. The Senior Suppler is: Add who will represent the Senior Supplier for the
project.

Specific Responsibilities (as part of the above responsibilities for the Project Board)
 Make sure that progress towards the outputs remains consistent from the supplier perspective;
 Promote and maintain focus on the expected project output(s) from the point of view of
supplier management;
 Ensure that the supplier resources required for the project are made available;
 Contribute supplier opinions on Project Board decisions on whether to implement
recommendations on proposed changes;
 Arbitrate on, and ensure resolution of, any supplier priority or resource conflicts.

Senior Beneficiary: The Senior Beneficiary is an individual or group of individuals representing the
interests of those who will ultimately benefit from the project. The Senior Beneficiary’s primary function
within the Board is to ensure the realization of project results from the perspective of project

27 | P a g e
beneficiaries. The Senior Beneficiary role is held by a representative of the government or civil society.
The Senior Beneficiary is: Add who will represent the Senior Beneficiary for the project.

The Senior Beneficiary is responsible for validating the needs and for monitoring that the solution will
meet those needs within the constraints of the project. The Senior Beneficiary role monitors progress
against targets and quality criteria. This role may require more than one person to cover all the
beneficiary interests. For the sake of effectiveness, the role should not be split between too many
people.

Specific Responsibilities (as part of the above responsibilities for the Project Board)
 Prioritize and contribute beneficiaries’ opinions on Project Board decisions on whether to
implement recommendations on proposed changes;
 Specification of the Beneficiary’s needs is accurate, complete and unambiguous;
 Implementation of activities at all stages is monitored to ensure that they will meet the
beneficiary’s needs and are progressing towards that target;
 Impact of potential changes is evaluated from the beneficiary point of view;
 Risks to the beneficiaries are frequently monitored.

Project Manager: The Project Manager has the authority to run the project on a day-to-day basis on
behalf of the Project Board within the constraints laid down by the Board. The Project Manager is
responsible for day-to-day management and decision-making for the project. The Project Manager’s
prime responsibility is to ensure that the project produces the results specified in the project document,
to the required standard of quality and within the specified constraints of time and cost.
The Implementing Partner appoints the Project Manager, who should be different from the
Implementing Partner’s representative in the Project Board.
Specific responsibilities include:
 Provide direction and guidance to project team(s)/ responsible party (ies);
 Liaise with the Project Board to assure the overall direction and integrity of the project;
 Identify and obtain any support and advice required for the management, planning and control
of the project;
 Responsible for project administration;
 Plan the activities of the project and monitor progress against the project results framework and
the approved annual workplan;
 Mobilize personnel, goods and services, training and micro-capital grants to initiative activities,
including drafting terms of reference and work specifications, and overseeing all contractors’
work;
 Monitor events as determined in the project monitoring schedule plan/timetable, and update
the plan as required;
 Manage requests for the provision of financial resources by UNDP, through advance of funds,
direct payments or reimbursement using the fund authorization and certificate of expenditures;
 Monitor financial resources and accounting to ensure the accuracy and reliability of financial
reports;
 Be responsible for preparing and submitting financial reports to UNDP on a quarterly basis;

28 | P a g e
 Manage and monitor the project risks initially identified and submit new risks to the project
board for consideration and decision on possible actions if required; update the status of these
risks by maintaining the project risks log;
 Capture lessons learned during project implementation;
 Prepare the annual workplan for the following year; and update the Atlas Project Management
module if external access is made available.
 Prepare the GEF PIR and submit the final report to the Project Board;
 Based on the GEF PIR and the Project Board review, prepare the AWP for the following year.
 Ensure the mid-term review process is undertaken as per the UNDP guidance, and submit the
final MTR report to the Project Board.
 Identify follow-on actions and submit them for consideration to the Project Board;
 Ensure the terminal evaluation process is undertaken as per the UNDP guidance, and submit the
final TE report to the Project Board;

Project Assurance: UNDP provides a three – tier supervision, oversight and quality assurance role –
funded by the GEF agency fee – involving UNDP staff in Country Offices and at regional and
headquarters levels. Project Assurance must be totally independent of the Project Management
function. The quality assurance role supports the Project Board and Project Management Unit by
carrying out objective and independent project oversight and monitoring functions. This role ensures
appropriate project management milestones are managed and completed. The Project Board cannot
delegate any of its quality assurance responsibilities to the Project Manager. This project oversight and
quality assurance role is covered by the GEF Agency.

Governance role for project target groups: Describe how project target groups will be engaged in
decision making for the project.

29 | P a g e
IX. FINANCIAL PLANNING AND MANAGEMENT

Guidance to project developer: please complete missing text below.


CEO endorsement template: Align the technical content with Part C Confirmed Sources of Co-finance for
the project by name and source.

----------------------
The total cost of the project is USD XXX. This is financed through a GEF or LDCF or SCCF grant of USD XXX
, USD XXX in cash co-financing to be administered by UNDP and USD XXX in parallel co-financing. UNDP,
as the GEF Implementing Agency, is responsible for the execution of the GEF resources and the cash co-
financing transferred to UNDP bank account only.

Parallel co-financing: The actual realization of project co-financing will be monitored during the mid-
term review and terminal evaluation process and will be reported to the GEF. The planned parallel co-
financing will be used as follows:

Co-financing Co- Co- Planned Risks Risk


source financing financing Activities/Outputs Mitigation
type amount Measures
(e.g. In kind (e.g. office space, To co-
government) infrastructure financing
development etc…) being
realized
… … … … … …

UNDP Direct Project Services as requested by Government (if any): list the services the UNDP Country
Office will provide. The GEF Council has adopted rules and issued guidance on when and how Direct
Project Costs may be recovered for projects financed by the GEF Trust Fund, and the LDCF, SCCF Funds.
See opening section under further information for additional details.

Budget Revision and Tolerance: As per UNDP requirements outlined in the UNDP POPP, the project
board will agree on a budget tolerance level for each plan under the overall annual work plan allowing
the project manager to expend up to the tolerance level beyond the approved project budget amount
for the year without requiring a revision from the Project Board. Should the following deviations occur,
the Project Manager and UNDP Country Office will seek the approval of the UNDP-GEF team to ensure
accurate reporting to the GEF: a) Budget re-allocations among components in the project with amounts
involving 10% of the total project grant or more; b) Introduction of new budget items/or components
that exceed 5% of original GEF allocation.

Any over expenditure incurred beyond the available GEF grant amount will be absorbed by non-GEF
resources (e.g. UNDP TRAC or cash co-financing).

Refund to GEF: Should a refund of unspent funds to the GEF be necessary, this will be managed directly
by the UNDP-GEF Unit in New York.

30 | P a g e
Project Closure: Project closure will be conducted as per UNDP requirements outlined in the UNDP
POPP.18 On an exceptional basis only, a no-cost extension beyond the initial duration of the project will
be sought from in-country UNDP colleagues and then the UNDP-GEF Executive Coordinator.

Operational completion: The project will be operationally completed when the last UNDP-financed
inputs have been provided and the related activities have been completed. This includes the final
clearance of the Terminal Evaluation Report (that will be available in English) and the corresponding
management response, and the end-of-project review Project Board meeting. The Implementing Partner
through a Project Board decision will notify the UNDP Country Office when operational closure has been
completed. At this time, the relevant parties will have already agreed and confirmed in writing on the
arrangements for the disposal of any equipment that is still the property of UNDP.

Transfer or disposal of assets: In consultation with the NIM Implementing Partner and other parties of
the project, UNDP programme manager (UNDP Resident Representative) is responsible for deciding on
the transfer or other disposal of assets. Transfer or disposal of assets is recommended to be reviewed
and endorsed by the project board following UNDP rules and regulations. Assets may be transferred to
the government for project activities managed by a national institution at any time during the life of a
project. In all cases of transfer, a transfer document must be prepared and kept on file19.

Financial completion: The project will be financially closed when the following conditions have been
met: a) The project is operationally completed or has been cancelled; b) The Implementing Partner has
reported all financial transactions to UNDP; c) UNDP has closed the accounts for the project; d) UNDP
and the Implementing Partner have certified a final Combined Delivery Report (which serves as final
budget revision).

The project will be financially completed within 12 months of operational closure or after the date of
cancellation. Between operational and financial closure, the implementing partner will identify and
settle all financial obligations and prepare a final expenditure report. The UNDP Country Office will send
the final signed closure documents including confirmation of final cumulative expenditure and unspent
balance to the UNDP-GEF Unit for confirmation before the project will be financially closed in Atlas by
the UNDP Country Office.

18
see https://info.undp.org/global/popp/ppm/Pages/Closing-a-Project.aspx

19
See
https://popp.undp.org/_layouts/15/WopiFrame.aspx?sourcedoc=/UNDP_POPP_DOCUMENT_LIBRARY/Public/PPM_Project%20
Management_Closing.docx&action=default.

31 | P a g e
X. TOTAL BUDGET AND WORK PLAN
Guidance to project developer: This table must be completed using a separate excel file and then be copied here. All sub-totals and totals must tally. All figures
must be “numeric value”, not “text”.
CEO endorsement template: The TBWP table of the ProDoc needs to be align with Tables B and D

Responsible Atlas
Amou Amou Amou Amou Amou
GEF Party/20 Donor Budgeta ATLAS See
Fund nt nt nt nt nt Total
Component/Atlas (Atlas Name ry Budget Budget
ID Year 1 Year 2 Year 3 Year 4 Year 5 (USD)
Activity Implementin Account Description Note:
(USD) (USD) (USD) (USD) (USD)
g Agent) Code
International
71200 $ $ $ $ $
Consultants
Local
71300 $ $ $ $ $
Consultants
62000 GEF
(LDCF) Contractual
(62160) 72100 $ $ $ $ $
services
(62180) (SCCF)
etc $ $ $ $ $
COMPONENT/ (CBIT)
(62181)
OUTCOME 1: (62190) (NPIF)
Party 1
(as per the results
(62040)
framework) Or other sub-total GEF $ $ $ $ $
donor
...
Contractual
72100 $ $ $ $ $
services
xxxxx Donor 2
72500 Office Supplies $ $ $ $ $
74500 Miscellaneous $ $ $ $ $

20
Only the responsible parties to be created as Atlas Implementing Agent as part of the COAs should be entered here. Sub-level responsible parties reporting directly to NIM Implementing Partners should not entered
here. For example, if under NIM, UNOPS signs LOA with the IP to manage component 2, and a department of Ministry X will manage component 3, this means that UNOPS will be listed as the responsible party under
component 2. The rest of the components will list the IP as the responsible party.
20
Only cash co-financing actually transferring to UNDP bank accounts and to be budgeted and used under this project should be entered in the main TBWP table and in Atlas. Other co-financing should only be shown in the
summary table.

32 | P a g e
sub-total
$ $ $ $ $
Donor 2
Total
$ $ $ $ $
Outcome 1
International
71200 $ $ $ $ $
Consultants
Local
71300 $ $ $ $ $
Consultants
62000 GEF Contractual
72100 $ $ $ $ $
(62160) services
(LDCF)
(62180) (SCCF)
(62181) (CBIT)
COMPONENT/
(62190) (NPIF)
OUTCOME 2: sub-total GEF $ $ $ $ $
Party 1 (62040)
(as per the results
framework) Or other
donor

72500 Office Supplies $ $ $ $ $


74500 Miscellaneous $ $ $ $ $
xxxxx Donor 2
sub-total
$ $ $ $ $
donor 2
Total
$ $ $ $ $
Outcome 2
International
71200 $ $ $ $ $
Consultants
62000 Local
COMPONENT/ (62160) 71300 $ $ $ $ $
Consultants
OUTCOME 3: GEF
Party 1 (62180) Contractual
(as per the results (LDCF) 72100 $ $ $ $ $
(62181) services
framework) (SCCF)
(62190) Training,
(CBIT) 75700 workshop, $ $ $ $ $
(62040)
(NPIF) meetings

33 | P a g e
Or other
sub-total GEF $ $ $ $ $
donor
...
72500 Office Supplies $ $ $ $ $
74500 Miscellaneous $ $ $ $ $
xxxxx Donor 2
sub-total
$ $ $ $ $
donor 2
Total
$ $ $ $ $
Outcome 2
International
71200 $ $ $ $ $ a
Consultants
Local
71300 $ $ $ $ $ b
Consultants
62000 GEF
(LDCF) Contractual
(62160) 72100 $ $ $ $ $ c
services
(62180) (SCCF)
Professional
(CBIT) 72100 $ $ $ $ $ f
COMPONENT/ (62181) services
(62190) (NPIF)
OUTCOME 4:
KM and M&E Party 1 (62040)
(as per the results Or other sub-total GEF $ $ $ $ $
framework donor
...
72500 Office Supplies $ $ $ $ $
74500 Miscellaneous $ $ $ $ $
xxxxx Donor 2
sub-total
$ $ $ $ $
donor 2
Total
$ $ $ $ $ d
Outcome 5

34 | P a g e
International
71200 $ $ $ $ $
Consultants
Local
71300 $ $ $ $ $
Consultants
62000 GEF
71600 Travel $ $ $ $ $
(62160) (LDCF)
72500 Office Supplies $ $ $ $ $
(62180) (SCCF)
Services to
(62181) (CBIT)
64397 projects - CO $ $ $ $ $ e
(62190) (NPIF) staff
(62040) Services to
PROJECT Or other 74596 projects - GOE $ $ $ $ $ e
MANAGEMENT donor for CO
UNIT21 ... sub-total $ $ $ $ $
International
(This is not to 71200 $ $ $ $ $
Party 1 Consultants
appear as an
Local
Outcome in the 71300 $ $ $ $ $
Consultants
Results
Framework) 71600 Travel $ $ $ $ $
72500 Office Supplies $ $ $ $ $
Donor 2 Services to
64397 projects - CO $ $ $ $ $ e
staff
Services to
74596 projects - GOE $ $ $ $ $ e
for CO
sub-total $ $ $ $ $
Total
$ $ $ $ $
Management
PROJECT TOTAL $ $ $ $ $

21
Should not exceed 5% of total project budget for FSPs and 10% for MSPs. PMU costs will be used for the following activities: Full time or part time project manager (and or coordinator); Full time or part time project
administrative/finance assistant; Travel cost of the PMU project staff; Other General Operating Expenses such as rent, computer, equipment, supplies, etc. to support the PMU; UNDP Direct Project Cost if requested by
Government Implementing Partner; Any other projected PMU cost as appropriate. Audit should be funded under Outcome 4 on KM and M&E or under project outcomes.

35 | P a g e
Summary of
Funds: 22
Amount Amount Amount Amount
Year 1 Year 2 Year 3 Year 4 Total
GEF $ $ $ $ $
Donor 2 (e.g. UNDP $ $ $ $ $
Donor 3 (cash and in-kind) e.g.
Government $ $ $ $ $
TOTAL $ $ $ $ $

Budget note Comments


number

Guidance to project developer:


a. If the project is a full size project, include USD 20,000 - 30,000 for independent lead consultant to undertake the mid-term review and USD 30,000 –
60,000 for independent lead consultant to undertake the terminal evaluation. If the project is medium sized, include USD 20,000 – 40,000 for independent
lead consultant to undertake terminal evaluation.
b. If the project is a full size project, include sufficient allocation (e.g. USD 10,000 to 15,000) for independent national consultant to undertake the mid-term
review and independent national consultant (e.g. USD 15,000 to 20,000) to undertake terminal evaluation.
c. Include sufficient allocation to translate the mid-term review and terminal evaluation into English as appropriate
d. The total amount should include the M&E budget included in Section VI
e. Project execution support services (Direct Project Service) – Staff/General Operating Expense (GOE) - include only when requested by the NIM
Implementing Partner: procurement, payments, workshops. Refer to UNDP DPC policy on GEF/AF funded projects.
f. Include an estimated audit cost USD 3,000-5,000 a year (or other amount as provided by UNDP Country Office).

22
Summary table should include all financing of all kinds: GEF financing, cofinancing, cash, in-kind, etc...

36 | P a g e
37 | P a g e
XI. LEGAL CONTEXT
Guidance to project developer: choose one of the following options. Delete the options not selected.

Annotated project document: Select one of the following options as applicable. Delete all other
options from the document. The last two paragraphs are mandatory for all project documents.

Option a. Where the country has signed the Standard Basic Assistance Agreement (SBAA)
This project document shall be the instrument referred to as such in Article 1 of the Standard Basic
Assistance Agreement between the Government of (country) and UNDP, signed on (date). All
references in the SBAA to “Executing Agency” shall be deemed to refer to “Implementing Partner.”
This project will be implemented by [name of entity] (“Implementing Partner”) in accordance with its
financial regulations, rules, practices and procedures only to the extent that they do not contravene the
principles of the Financial Regulations and Rules of UNDP. Where the financial governance of an
Implementing Partner does not provide the required guidance to ensure best value for money, fairness,
integrity, transparency, and effective international competition, the financial governance of UNDP shall
apply.
Option b. Where the country has NOT signed the Standard Basic Assistance Agreement (SBAA)
The project document shall be the instrument envisaged and defined in the Supplemental Provisions to
the Project Document, attached hereto and forming an integral part hereof, as “the Project Document”.
This project will be implemented by [name of entity] (“Implementing Partner”) in accordance with its
financial regulations, rules, practices and procedures only to the extent that they do not contravene the
principles of the Financial Regulations and Rules of UNDP. Where the financial governance of an
Implementing Partner does not provide the required guidance to ensure best value for money, fairness,
integrity, transparency, and effective international competition, the financial governance of UNDP shall
apply.
Option c. For Global and Regional Projects
This project forms part of an overall programmatic framework under which several separate associated
country level activities will be implemented. When assistance and support services are provided from
this Project to the associated country level activities, this document shall be the “Project Document”
instrument referred to in: (i) the respective signed SBAAs for the specific countries; or (ii) in the
Supplemental Provisions to the Project Document attached to the Project Document in cases where the
recipient country has not signed an SBAA with UNDP, attached hereto and forming an integral part
hereof. All references in the SBAA to “Executing Agency” shall be deemed to refer to “Implementing
Partner.”
This project will be implemented by [name of entity] (“Implementing Partner”) in accordance with its
financial regulations, rules, practices and procedures only to the extent that they do not contravene the
principles of the Financial Regulations and Rules of UNDP. Where the financial governance of an
Implementing Partner does not provide the required guidance to ensure best value for money, fairness,
integrity, transparency, and effective international competition, the financial governance of UNDP shall
apply.

38 | P a g e
Any designations on maps or other references employed in this project document do not imply the
expression of any opinion whatsoever on the part of UNDP concerning the legal status of any country,
territory, city or area or its authorities, or concerning the delimitation of its frontiers or boundaries.

XII. RISK MANAGEMENT

Guidance to project developer: The following standard text must be included. Address points in italic
and then remove italic text.
Option a. Government Entity (NIM)
Consistent with the Article III of the SBAA [or the Supplemental Provisions to the Project Document], the
responsibility for the safety and security of the Implementing Partner and its personnel and property,
and of UNDP’s property in the Implementing Partner’s custody, rests with the Implementing Partner. To
this end, the Implementing Partner shall:
a) put in place an appropriate security plan and maintain the security plan, taking into account the
security situation in the country where the project is being carried;
b) assume all risks and liabilities related to the Implementing Partner’s security, and the full
implementation of the security plan.

UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to the
plan when necessary. Failure to maintain and implement an appropriate security plan as required
hereunder shall be deemed a breach of the Implementing Partner’s obligations under this Project
Document.

The Implementing Partner agrees to undertake all reasonable efforts to ensure that no UNDP funds
received pursuant to the Project Document are used to provide support to individuals or entities
associated with terrorism and that the recipients of any amounts provided by UNDP hereunder do not
appear on the list maintained by the Security Council Committee established pursuant to resolution
1267 (1999). The list can be accessed via
http://www.un.org/sc/committees/1267/aq_sanctions_list.shtml.

Social and environmental sustainability will be enhanced through application of the UNDP Social and
Environmental Standards (http://www.undp.org/ses) and related Accountability Mechanism
(http://www.undp.org/secu-srm).

The Implementing Partner shall: (a) conduct project and programme-related activities in a manner consistent
with the UNDP Social and Environmental Standards, (b) implement any management or mitigation plan
prepared for the project or programme to comply with such standards, and (c) engage in a constructive and
timely manner to address any concerns and complaints raised through the Accountability Mechanism. UNDP
will seek to ensure that communities and other project stakeholders are informed of and have access to
the Accountability Mechanism.

39 | P a g e
All signatories to the Project Document shall cooperate in good faith with any exercise to evaluate any
programme or project-related commitments or compliance with the UNDP Social and Environmental
Standards. This includes providing access to project sites, relevant personnel, information, and
documentation.

The Implementing Partner will take appropriate steps to prevent misuse of funds, fraud or corruption,
by its officials, consultants, responsible parties, subcontractors and sub-recipients in implementing the
project or using UNDP funds. The Implementing Partner will ensure that its financial management, anti-
corruption and anti-fraud policies are in place and enforced for all funding received from or through
UNDP.

The requirements of the following documents, then in force at the time of signature of the Project
Document, apply to the Implementing Partner: (a) UNDP Policy on Fraud and other Corrupt Practices
and (b) UNDP Office of Audit and Investigations Investigation Guidelines. The Implementing Partner
agrees to the requirements of the above documents, which are an integral part of this Project Document
and are available online at www.undp.org.

In the event that an investigation is required, UNDP has the obligation to conduct investigations relating
to any aspect of UNDP projects and programmes. The Implementing Partner shall provide its full
cooperation, including making available personnel, relevant documentation, and granting access to the
Implementing Partner’s (and its consultants’, responsible parties’, subcontractors’ and sub-recipients’)
premises, for such purposes at reasonable times and on reasonable conditions as may be required for
the purpose of an investigation. Should there be a limitation in meeting this obligation, UNDP shall
consult with the Implementing Partner to find a solution.

The signatories to this Project Document will promptly inform one another in case of any incidence of
inappropriate use of funds, or credible allegation of fraud or corruption with due confidentiality.

Where the Implementing Partner becomes aware that a UNDP project or activity, in whole or in part, is
the focus of investigation for alleged fraud/corruption, the Implementing Partner will inform the UNDP
Resident Representative/Head of Office, who will promptly inform UNDP’s Office of Audit and
Investigations (OAI). The Implementing Partner shall provide regular updates to the head of UNDP in the
country and OAI of the status of, and actions relating to, such investigation.

UNDP shall be entitled to a refund from the Implementing Partner of any funds provided that have been
used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance
with the terms and conditions of the Project Document. Such amount may be deducted by UNDP from
any payment due to the Implementing Partner under this or any other agreement.

Where such funds have not been refunded to UNDP, the Implementing Partner agrees that donors to
UNDP (including the Government) whose funding is the source, in whole or in part, of the funds for the
activities under this Project Document, may seek recourse to the Implementing Partner for the recovery
of any funds determined by UNDP to have been used inappropriately, including through fraud or
corruption, or otherwise paid other than in accordance with the terms and conditions of the Project
Document.

40 | P a g e
Note: The term “Project Document” as used in this clause shall be deemed to include any relevant
subsidiary agreement further to the Project Document, including those with responsible parties,
subcontractors and sub-recipients.

Each contract issued by the Implementing Partner in connection with this Project Document shall
include a provision representing that no fees, gratuities, rebates, gifts, commissions or other payments,
other than those shown in the proposal, have been given, received, or promised in connection with the
selection process or in contract execution, and that the recipient of funds from the Implementing
Partner shall cooperate with any and all investigations and post-payment audits.

Should UNDP refer to the relevant national authorities for appropriate legal action any alleged
wrongdoing relating to the project, the Government will ensure that the relevant national authorities
shall actively investigate the same and take appropriate legal action against all individuals found to have
participated in the wrongdoing, recover and return any recovered funds to UNDP.

The Implementing Partner shall ensure that all of its obligations set forth under this section entitled
“Risk Management” are passed on to each responsible party, subcontractor and sub-recipient and that
all the clauses under this section entitled “Risk Management Standard Clauses” are included, mutatis
mutandis, in all sub-contracts or sub-agreements entered into further to this Project Document.

Option b. UNDP (DIM)


UNDP as the Implementing Partner will comply with the policies, procedures and practices of the United
Nations Security Management System (UNSMS.)

UNDP as the Implementing Partner will undertake all reasonable efforts to ensure that none of the
[project funds]23 [UNDP funds received pursuant to the Project Document]24 are used to provide support
to individuals or entities associated with terrorism and that the recipients of any amounts provided by
UNDP hereunder do not appear on the list maintained by the Security Council Committee established
pursuant to resolution 1267 (1999). The list can be accessed via
http://www.un.org/sc/committees/1267/aq_sanctions_list.shtml. This provision must be included in all
sub-contracts or sub-agreements entered into under this Project Document.

Social and environmental sustainability will be enhanced through application of the UNDP Social and
Environmental Standards (http://www.undp.org/ses) and related Accountability Mechanism
(http://www.undp.org/secu-srm).

UNDP as the Implementing Partner will: (a) conduct project and programme-related activities in a manner
consistent with the UNDP Social and Environmental Standards, (b) implement any management or mitigation
plan prepared for the project or programme to comply with such standards, and (c) engage in a constructive and
timely manner to address any concerns and complaints raised through the Accountability Mechanism. UNDP
will seek to ensure that communities and other project stakeholders are informed of and have access to
the Accountability Mechanism.

23
To be used where UNDP is the Implementing Partner
24
To be used where the UN, a UN fund/programme or a specialized agency is the Implementing Partner

41 | P a g e
All signatories to the Project Document shall cooperate in good faith with any exercise to evaluate any
programme or project-related commitments or compliance with the UNDP Social and Environmental
Standards. This includes providing access to project sites, relevant personnel, information, and
documentation.

UNDP as the Implementing Partner will ensure that the following obligations are binding on each
responsible party, subcontractor and sub-recipient:

a. Consistent with the Article III of the SBAA [or the Supplemental Provisions to the Project
Document], the responsibility for the safety and security of each responsible party,
subcontractor and sub-recipient and its personnel and property, and of UNDP’s property in
such responsible party’s, subcontractor’s and sub-recipient’s custody, rests with such
responsible party, subcontractor and sub-recipient. To this end, each responsible party,
subcontractor and sub-recipient shall:
i. put in place an appropriate security plan and maintain the security plan, taking into
account the security situation in the country where the project is being carried;
ii. assume all risks and liabilities related to such responsible party’s, subcontractor’s
and sub-recipient’s security, and the full implementation of the security plan.

b. UNDP reserves the right to verify whether such a plan is in place, and to suggest
modifications to the plan when necessary. Failure to maintain and implement an
appropriate security plan as required hereunder shall be deemed a breach of the
responsible party’s, subcontractor’s and sub-recipient’s obligations under this Project
Document.

c. Each responsible party, subcontractor and sub-recipient will take appropriate steps to
prevent misuse of funds, fraud or corruption, by its officials, consultants, subcontractors and
sub-recipients in implementing the project or programme or using the UNDP funds. It will
ensure that its financial management, anti-corruption and anti-fraud policies are in place
and enforced for all funding received from or through UNDP.

d. The requirements of the following documents, then in force at the time of signature of the
Project Document, apply to each responsible party, subcontractor and sub-recipient: (a)
UNDP Policy on Fraud and other Corrupt Practices and (b) UNDP Office of Audit and
Investigations Investigation Guidelines. Each responsible party, subcontractor and sub-
recipient agrees to the requirements of the above documents, which are an integral part of
this Project Document and are available online at www.undp.org.

e. In the event that an investigation is required, UNDP will conduct investigations relating to
any aspect of UNDP programmes and projects. Each responsible party, subcontractor and
sub-recipient will provide its full cooperation, including making available personnel, relevant
documentation, and granting access to its (and its consultants’, subcontractors’ and sub-
recipients’) premises, for such purposes at reasonable times and on reasonable conditions
as may be required for the purpose of an investigation. Should there be a limitation in
meeting this obligation, UNDP shall consult with it to find a solution.

42 | P a g e
f. Each responsible party, subcontractor and sub-recipient will promptly inform UNDP as the
Implementing Partner in case of any incidence of inappropriate use of funds, or credible
allegation of fraud or corruption with due confidentiality.

Where it becomes aware that a UNDP project or activity, in whole or in part, is the focus of
investigation for alleged fraud/corruption, each responsible party, subcontractor and sub-
recipient will inform the UNDP Resident Representative/Head of Office, who will promptly
inform UNDP’s Office of Audit and Investigations (OAI). It will provide regular updates to the
head of UNDP in the country and OAI of the status of, and actions relating to, such
investigation.

g. UNDP will be entitled to a refund from the responsible party, subcontractor or sub-recipient
of any funds provided that have been used inappropriately, including through fraud or
corruption, or otherwise paid other than in accordance with the terms and conditions of the
Project Document. Such amount may be deducted by UNDP from any payment due to the
responsible party, subcontractor or sub-recipient under this or any other agreement.

Where such funds have not been refunded to UNDP, the responsible party, subcontractor or
sub-recipient agrees that donors to UNDP (including the Government) whose funding is the
source, in whole or in part, of the funds for the activities under this Project Document, may
seek recourse to such responsible party, subcontractor or sub-recipient for the recovery of
any funds determined by UNDP to have been used inappropriately, including through fraud
or corruption, or otherwise paid other than in accordance with the terms and conditions of
the Project Document.

Note: The term “Project Document” as used in this clause shall be deemed to include any
relevant subsidiary agreement further to the Project Document, including those with
responsible parties, subcontractors and sub-recipients.

h. Each contract issued by the responsible party, subcontractor or sub-recipient in connection


with this Project Document shall include a provision representing that no fees, gratuities,
rebates, gifts, commissions or other payments, other than those shown in the proposal,
have been given, received, or promised in connection with the selection process or in
contract execution, and that the recipient of funds from it shall cooperate with any and all
investigations and post-payment audits.

i. Should UNDP refer to the relevant national authorities for appropriate legal action any
alleged wrongdoing relating to the project or programme, the Government will ensure that
the relevant national authorities shall actively investigate the same and take appropriate
legal action against all individuals found to have participated in the wrongdoing, recover and
return any recovered funds to UNDP.

j. Each responsible party, subcontractor and sub-recipient shall ensure that all of its
obligations set forth under this section entitled “Risk Management” are passed on to its
subcontractors and sub-recipients and that all the clauses under this section entitled “Risk
Management Standard Clauses” are adequately reflected, mutatis mutandis, in all its sub-
contracts or sub-agreements entered into further to this Project Document.

43 | P a g e
Option c. CSO/NGO/Non-UN or other IGO with no signed SBEAA with UNDP
Consistent with the Article III of the SBAA [or the Supplemental Provisions to the Project Document], the
responsibility for the safety and security of the Implementing Partner and its personnel and property,
and of UNDP’s property in the Implementing Partner’s custody, rests with the Implementing Partner. To
this end, the Implementing Partner shall:
a) put in place an appropriate security plan and maintain the security plan, taking into account the
security situation in the country where the project is being carried;
b) assume all risks and liabilities related to the Implementing Partner’s security, and the full
implementation of the security plan.

UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to the
plan when necessary. Failure to maintain and implement an appropriate security plan as required
hereunder shall be deemed a breach of the Implementing Partner’s obligations under this Project
Document and the Project Cooperation Agreement between UNDP and the Implementing Partner25.

The Implementing Partner agrees to undertake all reasonable efforts to ensure that no UNDP funds
received pursuant to the Project Document are used to provide support to individuals or entities
associated with terrorism and that the recipients of any amounts provided by UNDP hereunder do not
appear on the list maintained by the Security Council Committee established pursuant to resolution
1267 (1999). The list can be accessed via
http://www.un.org/sc/committees/1267/aq_sanctions_list.shtml.

Social and environmental sustainability will be enhanced through application of the UNDP Social and
Environmental Standards (http://www.undp.org/ses) and related Accountability Mechanism
(http://www.undp.org/secu-srm).

The Implementing Partner shall: (a) conduct project and programme-related activities in a manner consistent
with the UNDP Social and Environmental Standards, (b) implement any management or mitigation plan
prepared for the project or programme to comply with such standards, and (c) engage in a constructive and
timely manner to address any concerns and complaints raised through the Accountability Mechanism. UNDP
will seek to ensure that communities and other project stakeholders are informed of and have access to
the Accountability Mechanism.

All signatories to the Project Document shall cooperate in good faith with any exercise to evaluate any
programme or project-related commitments or compliance with the UNDP Social and Environmental
Standards. This includes providing access to project sites, relevant personnel, information, and
documentation.

The Implementing Partner will take appropriate steps to prevent misuse of funds, fraud or corruption,
by its officials, consultants, responsible parties, subcontractors and sub-recipients in implementing the
project or using the UNDP funds. The Implementing Partner will ensure that its financial management,
anti-corruption and anti-fraud policies are in place and enforced for all funding received from or through
UNDP.

25
Use bracketed text only when IP is an NGO/IGO

44 | P a g e
The requirements of the following documents, then in force at the time of signature of the Project
Document, apply to the Implementing Partner: (a) UNDP Policy on Fraud and other Corrupt Practices
and (b) UNDP Office of Audit and Investigations Investigation Guidelines. The Implementing Partner
agrees to the requirements of the above documents, which are an integral part of this Project Document
and are available online at www.undp.org.

In the event that an investigation is required, UNDP has the obligation to conduct investigations relating
to any aspect of UNDP programmes and projects. The Implementing Partner shall provide its full
cooperation, including making available personnel, relevant documentation, and granting access to the
Implementing Partner’s (and its consultants’, responsible parties’, subcontractors‘ and sub-recipients’)
premises, for such purposes at reasonable times and on reasonable conditions as may be required for
the purpose of an investigation. Should there be a limitation in meeting this obligation, UNDP shall
consult with the Implementing Partner to find a solution.

The Implementing Partner will promptly inform UNDP in case of any incidence of inappropriate use of
funds, or credible allegation of fraud or corruption with due confidentiality.

Where the Implementing Partner becomes aware that a UNDP project or activity, in whole or in part, is
the focus of investigation for alleged fraud/corruption, the Implementing Partner will inform the UNDP
Resident Representative/Head of Office, who will promptly inform UNDP’s Office of Audit and
Investigations (OAI). The Implementing Partner shall provide regular updates to the head of UNDP in the
country and OAI of the status of, and actions relating to, such investigation.

UNDP shall be entitled to a refund from the Implementing Partner of any funds provided that have been
used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance
with the terms and conditions of the Project Document. Such amount may be deducted by UNDP from
any payment due to the Implementing Partner under this or any other agreement.

Where such funds have not been refunded to UNDP, the Implementing Partner agrees that donors to
UNDP (including the Government) whose funding is the source, in whole or in part, of the funds for the
activities under this Project Document, may seek recourse to the Implementing Partner for the recovery
of any funds determined by UNDP to have been used inappropriately, including through fraud or
corruption, or otherwise paid other than in accordance with the terms and conditions of the Project
Document.

Note: The term “Project Document” as used in this clause shall be deemed to include any relevant
subsidiary agreement further to the Project Document, including those with the Implementing Partner,
responsible parties, subcontractors and sub-recipients.

Each contract issued by the Implementing Partner in connection with this Project Document shall
include a provision representing that no fees, gratuities, rebates, gifts, commissions or other payments,
other than those shown in the proposal, have been given, received, or promised in connection with the
selection process or in contract execution, and that the recipient of funds from the Implementing
Partner shall cooperate with any and all investigations and post-payment audits.

45 | P a g e
Should UNDP refer to the relevant national authorities for appropriate legal action any alleged
wrongdoing relating to the project, the Government will ensure that the relevant national authorities
shall actively investigate the same and take appropriate legal action against all individuals found to have
participated in the wrongdoing, recover and return any recovered funds to UNDP.

The Implementing Partner shall ensure that all of its obligations set forth under this section entitled
“Risk Management Standard Clauses” are passed on to each responsible party, subcontractor and sub-
recipient and that all the clauses under this section entitled “Risk Management” are included, mutatis
mutandis, in all sub-contracts or sub-agreements entered into further to this Project Document.

Option d. UN Agency other than UNDP, and IGO with signed SBEAA with UNDP

[Name of UN Agency/IGO] as the Implementing Partner will comply with the policies, procedures and
practices of the United Nations Security Management System (UNSMS.)

[Name of UN Agency/IGO] as the Implementing Partner will ensure that the following obligations are
binding on each responsible party, subcontractor and sub-recipient that is not a UN entity:

a. Consistent with the Article III of the SBAA [or the Supplemental Provisions to the Project
Document], the responsibility for the safety and security of each responsible party,
subcontractor and sub-recipient and its personnel and property, and of [Name of UN
Agency/IGO]’s property in such responsible party’s, subcontractor’s and sub-recipient’s
custody, rests with such responsible party, subcontractor and sub-recipient. To this end, each
responsible party, subcontractor and sub-recipient shall:

i. put in place an appropriate security plan and maintain the security plan, taking into
account the security situation in the country where the project is being carried;
ii. assume all risks and liabilities related to such responsible party’s, subcontractor’s
and sub-recipient’s security, and the full implementation of the security plan.

b. [Name of UN Agency/IGO] reserves the right to verify whether such a plan is in place, and to
suggest modifications to the plan when necessary. Failure to maintain and implement an
appropriate security plan as required hereunder shall be deemed a breach of the responsible
party’s, subcontractor’s and sub-recipient’s obligations under this Project Document.

[Name of UN Agency/IGO] agrees to undertake all reasonable efforts to ensure that none of the [project
funds]26 [UNDP funds received pursuant to the Project Document]27 are used to provide support to
individuals or entities associated with terrorism and that the recipients of any amounts provided by
UNDP hereunder do not appear on the list maintained by the Security Council Committee established
pursuant to resolution 1267 (1999). The list can be accessed via
http://www.un.org/sc/committees/1267/aq_sanctions_list.shtml.

26
To be used where UNDP is the Implementing Partner
27
To be used where the UN, a UN fund/programme or a specialized agency is the Implementing Partner

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Social and environmental sustainability will be enhanced through application of the UNDP Social and
Environmental Standards (http://www.undp.org/ses) and related Accountability Mechanism
(http://www.undp.org/secu-srm).

The Implementing Partner shall: (a) conduct project and programme-related activities in a manner consistent
with the UNDP Social and Environmental Standards, (b) implement any management or mitigation plan
prepared for the project or programme to comply with such standards, and (c) engage in a constructive and
timely manner to address any concerns and complaints raised through the Accountability Mechanism. UNDP
will seek to ensure that communities and other project stakeholders are informed of and have access to
the Accountability Mechanism.

All signatories to the Project Document shall cooperate in good faith with any exercise to evaluate any
programme or project-related commitments or compliance with the UNDP Social and Environmental
Standards. This includes providing access to project sites, relevant personnel, information, and
documentation.

The Implementing Partner will take appropriate steps to prevent misuse of funds, fraud or corruption,
by its officials, consultants, responsible parties, subcontractors and sub-recipients in implementing the
project or programme or using the UNDP funds. The Implementing Partner will ensure that its financial
management, anti-corruption and anti-fraud policies are in place and enforced for all funding received
from or through UNDP.

[This text should be included when the Implementing Partner is a non-UN IGO: The requirements of the
following documents, then in force at the time of signature of the Project Document, apply to the
Implementing Partner: (a) UNDP Policy on Fraud and other Corrupt Practices and (b) UNDP Office of
Audit and Investigations Investigation Guidelines. The Implementing Partner agrees to the requirements
of the above documents, which are an integral part of this Project Document and are available online at
www.undp.org.]

[This text should be included when the Implementing Partner is a non-UN IGO: In the event that an
investigation is required, UNDP has the obligation to conduct investigations relating to any aspect of
UNDP projects or programmes. The Implementing Partner shall provide its full cooperation, including
making available personnel, relevant documentation, and granting access to the Implementing Partner’s
(and its consultants’, responsible parties’, subcontractors‘ and sub-recipients’) premises, for such
purposes at reasonable times and on reasonable conditions as may be required for the purpose of an
investigation. Should there be a limitation in meeting this obligation, UNDP shall consult with the
Implementing Partner to find a solution.]

The Implementing Partner and UNDP will promptly inform one another in case of any incidence of
inappropriate use of funds, or credible allegation of fraud or corruption with due confidentiality.

Where the Implementing Partner becomes aware that a UNDP project or activity, in whole or in part, is
the focus of investigation for alleged fraud/corruption, the Implementing Partner will inform the UNDP
Resident Representative/Head of Office, who will promptly inform UNDP’s Office of Audit and
Investigations (OAI). The Implementing Partner shall provide regular updates to the head of UNDP in the
country and OAI of the status of, and actions relating to, such investigation.

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UNDP shall be entitled to a refund from the Implementing Partner of any funds provided that have been
used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance
with the terms and conditions of the Project Document. Such amount may be deducted by UNDP from
any payment due to the Implementing Partner under this or any other agreement.

Where such funds have not been refunded to UNDP, the Implementing Partner agrees that donors to
UNDP (including the Government) whose funding is the source, in whole or in part, of the funds for the
activities under this Project Document, may seek recourse to the Implementing Partner for the recovery
of any funds determined by UNDP to have been used inappropriately, including through fraud or
corruption, or otherwise paid other than in accordance with the terms and conditions of the Project
Document.

Note: The term “Project Document” as used in this clause shall be deemed to include any relevant
subsidiary agreement further to the Project Document, including those with responsible parties,
subcontractors and sub-recipients.

Each contract issued by the Implementing Partner in connection with this Project Document shall
include a provision representing that no fees, gratuities, rebates, gifts, commissions or other payments,
other than those shown in the proposal, have been given, received, or promised in connection with the
selection process or in contract execution, and that the recipient of funds from the Implementing
Partner shall cooperate with any and all investigations and post-payment audits.

Should UNDP refer to the relevant national authorities for appropriate legal action any alleged
wrongdoing relating to the project, the Government will ensure that the relevant national authorities
shall actively investigate the same and take appropriate legal action against all individuals found to have
participated in the wrongdoing, recover and return any recovered funds to UNDP.

The Implementing Partner shall ensure that all of its obligations set forth under this section entitled
“Risk Management Standard Clauses” are passed on to each responsible party, subcontractor and sub-
recipient and that all the clauses under this section entitled “Risk Management” are included, mutatis
mutandis, in all sub-contracts or sub-agreements entered into further to this Project Document.

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XIII. MANDATORY ANNEXES
A. Multi year Workplan (see template below)
B. GEF Tracking Tool (s) at baseline
C. Overview of technical consultancies/subcontracts (see example template below)
D. Terms of Reference for Project Board, Project Manager, Chief Technical Advisor and other
positions as appropriate (see example template below)
E. UNDP Social and Environmental and Social Screening Template (SESP) and Environmental and
Social Management Plan (ESMP) for moderate and high risk projects
F. Stakeholder Engagement Plan
G. Gender Analysis and Action Plan
H. UNDP Risk Log (to be completed by UNDP Country Office, see template below)
I. Results of the capacity assessment of the project implementing partner and HACT micro
assessment (to be completed by UNDP Country Office)
J. Additional agreements: such as cost sharing agreements, project cooperation agreements
signed with NGOs (where the NGO is designated as the “executing entity”), letters of financial
commitments, GEF OFP letter, GEF PIFs and other templates for all project types, LOA with the
government in case DPCs are applied should be attached.
K. UNDP Project Quality Assurance Report (to be completed in UNDP online corporate planning
system by UNDP Country Office, does not need to be attached as separate document)

Other Annexes that may be required:


 Procurement Plan (for at least first year of implementation)
 GEF focal area specific annexes (e.g. e.g. GHG calculations, target landscape profile, capacity
assessment report, feasibility study, other technical reports)
 List of people consulted during project development
 Legal/institutional assessment (for most EBD projects)
 Target landscape profile including biophysical, socioeconomic and environmental information,
biodiversity information and locally specific threats to biodiversity, maps etc. (for PA and
landscape management projects).

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Annex A: Multi Year Work Plan

Output Indicator Responsible Year 1 Year 2 Year 3 Year 4 Year 5


Party Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

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Annex B: GEF Tracking Tool at baseline

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Annex C: Overview of Technical Consultancies

Guidance to project developer: The following template includes example text to help guide the completion of this template for the project in
question. Please remove all example italic text.

Consultant Time Input Tasks, Inputs and Outputs


For Project Management / Monitoring & Evaluation
Local / National contracting
Project Manager 43 weeks / The Project Manager (PM), together with the CTA will be responsible for the overall management of the project,
over 5 years including the mobilization of all project inputs, supervision over project staff, consultants and sub-contractors. See
the full TOR above for details.
Rate: $1,200/week

International / Regional and global contracting


Chief Technical 20 weeks / The Chief Technical Adviser (CTA) will be responsible for providing overall technical backstopping and management
Advisor over 5 years support to the Project.
See the full TOR above for details.
Rate: $2,000/week

For Technical Assistance


Outcome 1
Local / National contracting
Protected Area 80 weeks / Under close supervision of Chief Technical Advisor (CTA) and Project Manager (PM) the Protected Area Capacity
Capacity over 5 years Development Specialist (PACDS) will work closely with the Protected Area Capacity Development Advisor (PACDA) to
Development conduct protected area capacity building related to the project under Outputs 1.2 and 1.3 and support a working

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Consultant Time Input Tasks, Inputs and Outputs
National Specialist group for improved protected area capacity building and work with that group to:

Rate: $300/week  Contribute to the development of a capacity development strategy and action plan for increasing the
management effectiveness of the PA system.
 Coordinate the establishment of PA management standards and a PA and individual performance monitoring
system for different categories of PAs.
 Contribute to the development of a program of training to raise focal competencies of senior and mid-level
protected area managers and practioners.
 Contribute to the indentification of incentive mechanisms for increasing the motivation of field staff.
 Contribute to the development and institutionalisation of modernized reporting structure and methods.
 Contribute to the development of law enforcement and habitat/biodiversity monitoring protocols.
 Coordinate the development and institutionalisation of a PA information and knowledge management system
enabling learning from, and upscaling of, pilot/individual project activities.
 Coordinate the development of official guidelines for community engagement and co-management.

International / Regional and global contracting

International PA & 25 weeks / In close coordination with the Project Manager (PM), the international Protected Areas and Biodiversity Advisor
Biodiversity over 5 years (PABA) will provide international perspective, strategic guidance and technical inputs to the implementation of
Strategy Advisor activities under Outputs 1.1 to 1.6, including the following:

Rate: $ 2,000/week  For Output 1.1, the PABA will coordinate and provide technical advice to the international and national policy
specialists, participate in the policy review process and provide inputs to policy recommendations for
strengthening the national PA system

 For Output 1.2, the PABA will coordinate and provide technical advice to the international and national capacity
building specialists regarding the capacity development strategy and action plan for increasing the management
effectiveness of the PA system; development of PA management standards and performance monitoring system;

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Consultant Time Input Tasks, Inputs and Outputs
the development and institutionalisation of a modernized PA reporting system; the development of law
enforcement and habitat/biodiversity monitoring protocols; and the development and institutionalisation of a
PA information and knowledge management system

 For Output 1.3, the PABA will provide technical advice to the international and national capacity building
specialists, and provide guidance and inputs to the development and delivery of a program of training to raise
focal competencies of senior and mid-level protected area managers and practitioners.

 For Output 1.4, the PABA will coordinate and provide technical advice to the international and national
sustainable financing experts regardingdevelopment of a sustainable financing strategy for the PA system,
capacity building for implementation of the strategy, the development of a series of studies to inform
sustainable financing policies and plans, and integrating PA system concerns into REDD+ programme
development.

 For Output 1.5, the PABA will coordinate and provide technical advice to the international and national
landscape conservation regarding awareness and knowledge building for State, Region and local government
units in Kachin State and Sagaing Region on the value of PAs; and implementation of a social marketing
campaign linked to cofinanced WCS national communications strategy work.

 For Output 1.6, the PABA will provide technical advice and support to the national PABS, NWCD and other
stakeholders for implementation of PA gap analysis recommendations; coordinate plans for biological and social
ground-truthing surveys for areas of conservation value; and facilitate a cooperative process to identify potential
areas for PA creation.

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Annex D: Terms of Reference
Guidance to project developer: The following template includes example text to help guide the completion of this template for the project in
question.

Terms of Reference for the Project Board

The Project Board (PB) will serve as the project’s decision-making body. It will meet according to necessity, at least twice each year, to review
project progress, approve project work plans and approve major project deliverables. The PB is responsible for providing the strategic guidance
and oversight to project implementation to ensure that it meets the requirements of the approved Project Document and achieves the stated
outcomes. The PB’s role will include:

 Provide strategic guidance to project implementation;


 Ensure coordination between various donor funded and government funded projects and programmes;
 Ensure coordination with various government agencies and their participation in project activities;
 Approve annual project work plans and budgets, at the proposal of the Project Manager;
 Approve any major changes in project plans or programmes;
 Oversee monitoring, evaluation and reporting in line with GEF requirements;
 Ensure commitment of human resources to support project implementation, arbitrating any issues within the project;
 Negotiate solutions between the project and any parties beyond the scope of the project;
 Ensure that UNDP Social and Environmental Safeguards Policy is applied throughout project implementation; and, address related grievances
as necessary.

These terms of reference will be finalized during the Project Inception Workshop.

Terms of Reference for the Technical Advisory Committee (TAC)

The TAC will provide technical advice and inputs relating to project implementation and will be chaired by the PD with support from the PM. The
members of the TAC will consist of representatives from Government Ministry, UNDP, other relevant government agencies, research and
educational organizations, NGOs (including WCS), technical experts and other relevant stakeholders to be agreed by the Project Board. Technical
experts may be invited in to discuss specific issues. Indicative Terms of Reference are as follows. These will be reviewed by the Project Board
during project inception and may be extended as necessary.

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 Review planned activities and ensure that they are technically sound and that, wherever possible, there is integration and synergy between
the various project components during planning and implementation;
 Promote technical coordination between institutions, where such coordination is necessary and where opportunities for synergy and sharing
of lessons exist;
 Provide technical advice and guidance on specific issues concerning illegal and unsustainable wildlife trade;
 Share information on project progress and lessons learned with related stakeholders at the national level;
 The TAC or a subset of its members may be requested to undertake specific project-related tasks, such as preparing or reviewing analytical
reports, strategies and action plans, etc.;
 Other tasks as indicated by the Project Board

Terms of Reference for Key Project Staff

Project Director
Background
The Project Director (PD) is the Deputy Director General of Law Enforcement of the MOEF, who will be accountable to the MoEF and UNDP for the
achievement of objectives and results in the assigned Project. The PD will be part of the Project Steering Committee and answer to it. The PD will
be financed through national government funds (co-financing), whose appointment will be made by the Director General of Law Enforcement, in
consultation with the UNDP CO.

Duties and Responsibilities


 Serve as a member of the Project Board.
 Supervise compliance with objectives, activities, results, and all fundamental aspects of project execution as specified in the project document.
 Supervise compliance of project implementation with MoEF policies, procedures and ensure consistency with national plans and strategies.
 Facilitate coordination with other organizations and institutions that will conduct related conservation activities for the protected area
system, same target landscapes or same themes from elsewhere in Indonesia, especially related to the UNDP/GEF E-PASS project in Sulawesi
and UNDP/GEF Project Transforming effectiveness of biodiversity conservation in priority Sumatran landscapes.
 Participate in project evaluation, testing, and monitoring missions.
 Coordinate with national governmental representatives on legal and financial aspects of project activities.
 Coordinate and supervise government staff inputs to project implementation.
 Coordinate, oversee and report on government cofinancing inputs to project implementation.

Project Manager
Background

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The Project Manager (PM), will be locally recruited following UNDP procedure, with input to the selection process from the Project partners. The
position will be appointed by the project implementing agencies and funded entirely from the Project. The PM will be responsible for the overall
management of the Project, including the mobilisation of all project inputs, supervision over project staff, consultants and sub-contractors. The
PM will report to the PD in close consultation with the assigned UNDP Programme Manager for all of the Project’s substantive and administrative
issues. From the strategic point of view of the Project, the PM will report on a periodic basis to the Project Board, based on the PD’s instruction.
Generally, the PM will support the PD who will be responsible for meeting government obligations under the Project, under the NIM execution
modality. The PM will perform a liaison role with the government, UNDP and other UN agencies, CSOs and project partners, and maintain close
collaboration with other donor agencies providing co-financing. The PM will work closely with the Project Implementation Unit Coordinators.

Duties and Responsibilities


 Plan the activities of the project and monitor progress against the approved work-plan.
 Supervise and coordinate the production of project outputs, as per the project document in a timely and high quality fashion.
 Coordinate all project inputs and ensure that they are adhere to UNDP procedures for nationally executed projects.
 Supervise and coordinate the work of all project staff, consultants and sub-contractors ensuring timing and quality of outputs.
 Coordinate the recruitment and selection of project personnel, consultants and sub-contracts, including drafting terms of reference and work
specifications and overseeing all contractors’ work.
 Manage requests for the provision of financial resources by UNDP, through advance of funds, direct payments, or reimbursement using the
UNDP provided format.
 Prepare, revise and submit project work and financial plans, as required by Project Board and UNDP.
 Monitor financial resources and accounting to ensure accuracy and reliability of financial reports, submitted on a quarterly basis.
 Manage and monitor the project risks initially identified and submit new risks to the project board for consideration and decision on possible
actions if required; update the status of these risks by maintaining the project risks log.
 Liaise with UNDP, Project Board, relevant government agencies, and all project partners, including donor organisations and CSOs for effective
coordination of all project activities.
 Facilitate administrative support to subcontractors and training activities supported by the Project.
 Oversee and ensure timely submission of the Inception Report, Project Implementation Report, Technical reports, quarterly financial reports,
and other reports as may be required by UNDP, GEF and other oversight agencies.
 Disseminate project reports and respond to queries from concerned stakeholders.
 Report progress of project to the steering committees, and ensure the fulfilment of PSC directives.
 Oversee the exchange and sharing of experiences and lessons learned with relevant community based integrated conservation and
development projects nationally and internationally.
 Assist community groups, municipalities, CSOs, staff, students and others with development of essential skills through training workshops and
on the job training thereby increasing their institutional capabilities.

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 Encourage staff, partners and consultants such that strategic, intentional and demonstrable efforts are made to actively include women in
the project, including activity design and planning, budgeting, staff and consultant hiring, subcontracting, purchasing, formal community
governance and advocacy, outreach to social organizations, training, participation in meetings; and access to program benefits.
 Assists and advises the Project Implementation Units responsible for activity implementation in the target sites.
 Carry regular, announced and unannounced inspections of all sites and the activities of the Project Implementation Units.

Required skills and expertise


 A university degree (MSc or PhD) in a subject related to natural resource management or environmental sciences.
 At least 10 years of experience in natural resource management (preferably in the context of wildlife conservation and law enforcement).
 At least 5 years of demonstrable project/programme management experience.
 At least 5 years of experience working with ministries, national or provincial institutions that are concerned with natural resource and/or
environmental management.

Competencies
 Strong leadership, managerial and coordination skills, with a demonstrated ability to effectively coordinate the implementation of large
multi-stakeholder projects, including financial and technical aspects.
 Ability to effectively manage technical and administrative teams, work with a wide range of stakeholders across various sectors and at all
levels, to develop durable partnerships with collaborating agencies.
 Ability to administer budgets, train and work effectively with counterpart staff at all levels and with all groups involved in the project.
 Ability to coordinate and supervise multiple Project Implementation Units in their implementation of technical activities in partnership with a
variety of subnational stakeholder groups, including community and government.
 Strong drafting, presentation and reporting skills.
 Strong communication skills, especially in timely and accurate responses to emails.
 Strong computer skills, in particular mastery of all applications of the MS Office package and internet search.
 Strong knowledge about the political and socio-economic context related to the Indonesian protected area system, biodiversity conservation
and law enforcement at national and subnational levels.
 Excellent command of English and local languages.

Project Monitoring and Evaluation Officer


Under the overall supervision and guidance of the Project Manager, the M&E Officer will have the responsibility for project monitoring and
evaluation. The M&E Officer will work closely with the Communications Officer on knowledge management aspects of the project. Specific
responsibilities will include:

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 Monitor project progress and participate in the production of progress reports ensuring that they meet the necessary reporting requirements
and standards;
 Ensure project’s M&E meets the requirements of the Government, the UNDP Country Office, and UNDP-GEF; develop project-specific M&E
tools as necessary;
 Oversee and ensure the implementation of the project’s M&E plan, including periodic appraisal of the Project’s Theory of Change and Results
Framework with reference to actual and potential project progress and results;
 Oversee/develop/coordinate the implementation of the stakeholder engagement plan;
 Oversee and guide the design of surveys/ assessments commissioned for monitoring and evaluating project results;
 Facilitate mid-term and terminal evaluations of the project; including management responses;
 Facilitate annual reviews of the project and produce analytical reports from these annual reviews, including learning and other knowledge
management products;
 Support project site M&E and learning missions;
 Visit project sites as and when required to appraise project progress on the ground and validate written progress reports.

The Project M& E Officer will be recruited based on the following qualifications
 Masters degree, preferably in the field of environmental or natural resources management;
 At least five years of relevant work experience preferably in a project management setting involving multi-lateral/ international funding
agency. Previous experience with UN project will be a definite asset;
 Significant experience in collating, analyzing and writing up results for reporting purposes;
 Very good knowledge of results-based management and project cycle management, particularly with regards to M&E approach and
methods. Formal training in RBM/ PCM will be a definite asset;
 Knowledge and working experience of the application of gender mainstreaming in international projects;
 Understanding of biodiversity conservation, law enforcement, sustainable livelihoods and associated issues;
 Very good inter-personal skills;
 Proficiency in computer application and information technology.
 Excellent language skills in English (writing, speaking and reading) and in local languages.

Project Gender Officer

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Under the overall supervision and guidance of the Project Manager, the Gender Officer will have the responsibility for the implementation of the
Gender Action Plan. The Gender Officer will work closely with the M&E Officer, Safeguards Officer and Communications Officers on related
aspects of project implementation, reporting, monitoring, evaluation and communication. Specific responsibilities will include:

 Monitor progress in implementation of the project Gender Action Plan ensuring that targets are fully met and the reporting requirements are
fulfilled;
 Oversee/develop/coordinate implementation of all gender-related work;
 Review the Gender Action Plan annually, and update and revise corresponding management plans as necessary;
 Work with the M&E officer and Safeguards Officer to ensure reporting, monitoring and evaluation fully address the gender issues of the
project;

The Project Gender Officer will be recruited based on the following qualifications:
 Master’s degree in gender studies, gender and development, environment, sustainable development or closely related area.
 Demonstrated understanding of issues related to gender and sustainable development; at least 5 years of practical working experience in
gender mainstreaming, women’s empowerment and sustainable development in relevant Country/Region/Area of Work;
 Proven experience in gender issues in Country/Region/Area of Work
 Previous experience with UN projects will be a definite asset;
 Demonstrated understanding of the links between sustainable development, social and gender issues;
 Experience in gender responsive capacity building;
 Experience with project development and results-based management methodologies is highly desired/required;
 Excellent analytical, writing, advocacy, presentation, and communications skills.
 Excellent language skills in English (writing, speaking and reading) and in local languages.

Project Safeguards Officer (for projects with a SESP rating of moderate or high)
Under the overall supervision and guidance of the Project Manager, the Environmental and Social Safeguards Officer will have the responsibility
for the implementation of the environmental and social management plan/framework. The Safeguards Officer will work closely with the M&E
Officer and Communications Officers on related aspects of project reporting, monitoring, evaluation and communication. Specific responsibilities
will include:
 Monitor progress in development/implementation of the project ESMP/ESMF ensuring that UNDPs SES policy is fully met and the reporting
requirements are fulfilled;
 Oversee/develop/coordinate implementation of all safeguard related plans;
 Ensure social and environmental grievances are managed effectively and transparently;

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 Review the SESP annually, and update and revise corresponding risk log; mitigation/management plans as necessary;
 Ensure full disclosure with concerned stakeholders;
 Ensure environmental and social risks are identified, avoided, mitigated and managed throughout project implementation;
 Work with the M&E officer to ensure reporting, monitoring and evaluation fully address the safeguard issues of the project;

The Project Safeguards Officer will be recruited based on the following qualifications:
 A Bachelor’s degree, preferably in the field of community development or natural resource / environmental management;
 A environmental and safeguards qualification (certificate, demonstrated experience)
 At least three years of relevant work experience of communications for project or programme implementation, ideally involving international
donors. Previous experience with UN projects will be a definite asset;
 Previous experience in developing and implementing environmental and social safeguard strategies for organizations or projects
 Very good inter-personal skills
 Proficiency in computer application and information technology.
 Excellent language skills in English (writing, speaking and reading) and in local languages.

Project Assistant
Under the guidance and supervision of the Project Manager, the Project Assistant will carry out the following tasks:
 Assist the Project Manager in day-to-day management and oversight of project activities;
 Assist the M&E officer in matters related to M&E and knowledge resources management;
 Assist in the preparation of progress reports;
 Ensure all project documentation (progress reports, consulting and other technical reports, minutes of meetings, etc.) are properly
maintained in hard and electronic copies in an efficient and readily accessible filing system, for when required by PB, TAC, UNDP, project
consultants and other PMU staff;
 Provide PMU-related administrative and logistical assistance.

The Project Assistant will be recruited based on the following qualifications:


 A Bachelors degree or an equivalent qualification;
 At least three years of work experience preferably in a project involving biodiversity conservation, natural resource management and/or
sustainable livelihoods. Previous experience with UN project will be a definite asset;
 Very good inter-personal skills;
 Proficiency in the use of computer software applications especially MS Word and MS Excel.

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 Excellent language skills in English (writing, speaking and reading) and in local languages

Project Accountant
Under the guidance and supervision of the Project Manager, the Project Accountant will have the following specific responsibilities:
 Keep records of project funds and expenditures, and ensure all project-related financial documentation are well maintained and readily
available when required by the Project Manager;
 Review project expenditures and ensure that project funds are used in compliance with the Project Document and GoI financial rules and
procedures;
 Validate and certify FACE forms before submission to UNDP;
 Provide necessary financial information as and when required for project management decisions;
 Provide necessary financial information during project audit(s);
 Review annual budgets and project expenditure reports, and notify the Project Manager if there are any discrepancies or issues;
 Consolidate financial progress reports submitted by the responsible parties for implementation of project activities;
 Liaise and follow up with the responsible parties for implementation of project activities in matters related to project funds and financial
progress reports.

The Project Accountant will be recruited based on the following qualifications:


 A Bachelors degree or an advanced diploma in accounting/ financial management;
 At least five years of relevant work experience preferably in a project management setting involving multi-lateral/ international funding
agency. Previous experience with UN project will be a definite asset;
 Proficiency in the use of computer software applications particularly MS Excel;
 Excellent language skills in English (writing, speaking and reading) and in local languages.

Project Communications Officer


Under the overall supervision and guidance of the Project Manager, the Communications Officer will have the responsibility for leading
knowledge management outputs in Component 4 and developing the project communications strategy at the project outset and coordinating its
implementation across all project components. The Communications Officer will work closely with the M&E Officer on knowledge management
aspects of the project. Specific responsibilities will include:
 Develop a project communications strategy / plan, incorporate it with the annual work plans and update it annually in consultation with
project stakeholders; coordinate its implementation
 Coordinate the implementation of knowledge management outputs of the project;

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 Coordinate and oversee the implementation of public awareness activities across all project components;
 Facilitate the design and maintenance of the project website/webpages and ensure it is up-to-date and dynamic;
 Facilitate learning and sharing of knowledge and experiences relevant to the project;

The Project Communications Officer will be recruited based on the following qualifications:
 A Bachelors degree, preferably in the field of community development or natural resource / environmental management;
 A communications qualification (diploma, Bachelors degree)
 At least three years of relevant work experience of communications for project or programme implementation, ideally involving international
donors. Previous experience with UN projects will be a definite asset;
 Previous experience in developing and implementing communications strategies for organizations or projects
 Strong professional working capacity to use information and communications technology, specifically including website design and desk top
publishing software
 Understanding of illegal wildlife trade, biodiversity conservation, sustainable livelihoods and associated issues;
 Very good inter-personal skills
 Excellent language skills in English (writing, speaking and reading) and in local languages

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Annex E: UNDP Social and Environmental Screening Procedure and plans as needed

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Annex F: Stakeholder Engagement Plan

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Annex G: Gender Analysis and Action Plan

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Annex H: UNDP Risk Log
# Descriptio Date Type Impact & Countermeasure Owner Submitted, Last Update Status
n Identifie Probability s / Mngt updated by
d response
1 Enter a When Environmenta Describe the What actions Who has Who When was e.g. dead,
brief was the l potential have been been submitted the status of reducing,
description risk first Financial effect on the taken/will be appointed to the risk the risk last increasing,
of the risk identified Operational project if this taken to counter keep an eye checked no change
Organizationa risk were to this risk on this risk
l occur
Political
(In Atlas, Regulatory Enter (in Atlas, use (In Atlas, (In Atlas, (in Atlas, use
(In Atlas, select Strategic probability the automaticall automaticall the
use the date. Other on a scale (in Atlas, use the Managemen y recorded) y recorded) Managemen
Description Note: Subcategories from 1 (low) Management t Response t Response
field. Note: date for each risk to 5 (high) Response box. box) box)
This field cannot type should P= This field can be
cannot be be be consulted modified at any
modified modified to understand Enter impact time. Create
after first after each risk type on a scale separate boxes as
data entry) initial (see from 1 (low) necessary using
entry) Deliverable to 5 (high) “+”, for instance
Description I= to record updates
for more at different
information) (in Atlas, use times)
the
(In Atlas, Managemen
select from t Response
list) box. Check
“critical” if
the impact
and
probability

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are high)
2 Environmenta Text
l
Financial
Operational
Organizationa P=
l I=
Political
Regulatory
Strategic
Other
3
4

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Annex I: Results of the capacity assessment of the project implementing partner and HACT micro assessment

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Annex J: Additional agreements

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