UNDP annotated Project Document for projects financed by the various GEF Trust Funds

12 July 2019

Projects that receive financing from the various GEF 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 POPP1.

The UNDP standard project document template includes UNDP-specific requirements. Additional GEF-specific requirements have been added to the UNDP standard project document, and this combined UNDP-GEF project document template must be used for UNDP projects financed by the GEF Trust Fund, LDCF and SCCF. The UNDP-GEF project document template is also available in the POPP.

The UNDP-GEF project document template is to be used for projects that are categorized by the GEF as medium-sized (MSP) with a GEF grant of USD 2 million or less, or full-sized (FSP) with a GEF grant above USD 2 million. This includes global and regional projects, and DIM executed projects noting that some sections will need to be amended as indicated throughout the template. All GEF Enabling Activity projects should also use this template noting that some sections are not required as indicated throughout the template.

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 available in the POPP.

A. Effectiveness date : PIFs approved as of 13 June 2019 must use this UNDP-GEF GEF-7 project document template. No other template will be accepted. GEF-7 projects approved since the beginning of GEF-7 (01 July 2018) should also use this template if there is enough time to switch to this template before submission to the GEF for final approval.

All GEF-6 project documents pending CEO endorsement and/or Project Document signature must include the updated text in the Risk Management Section of this GEF-7 Project Document. This section includes key legal text now required by UNDP for all UNDP project documents.

B. GEF Cancellation Deadlines for projects approved as of 01 March 2019 : The UNDP-GEF GEF-7 project document, GEF CEO endorsement request and supporting documentation must be finalized in English and be submitted in accordance with the following deadlines or the project will be automatically cancelled by the GEF. See GEF Cancellation Policy for additional details:

FSP projects:a) Deadline for submission to UNDP-GEF team for technical and financial clearance is within 10 months of

PIF approval by GEF Council.

1 UNDP Policies and Procedures at https://popp.undp.org/SitePages/POPPRoot.aspx

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b) Deadline for submission to the GEF is within 12 months of PIF approval by GEF Council. If this deadline is not met the project is automatically cancelled by the GEF Secretariat.

c) GEF CEO must endorse the project within 18 months of PIF approval by GEF Council. If this deadline is not met the project is automatically cancelled by the GEF Secretariat. This means that the submission package submitted to the GEF within 12 months of PIF approval must be fully complete, with all Council, STAP and GEF SEC comments addressed.

MSP projects:a) Deadline for submission to UNDP-GEF team for technical and financial clearance is with in 6 months of PIF

approval by GEF CEO.b) Deadline for submission to GEF is within 8 months of PIF approval by GEF CEO. If this deadline is not met

the project is automatically cancelled by the GEF Secretariat.c) GEF CEO must endorse the project within 12 months of PIF approval by GEF CEO. If this deadline is not

met the project is automatically cancelled by the GEF Secretariat. This means that the submission package submitted to the GEF within 8 months of PIF approval must be fully complete, with all Council, STAP and GEF SEC comments addressed.

Child projects under a PFD or Impact Program: a) Deadline for submission to UNDP GEF team for technical and financial clearance is 8 months before

Program Commitment deadline included in the PFD.b) Deadline for submission to the GEF is 6 months before Program Commitment deadline. If this deadline is

not met the project is automatically cancelled by the GEF Secretariat.c) Deadline for CEO endorsement is the Program Commitment deadline. If this deadline is not met the

project is automatically cancelled by the GEF Secretariat.

C. Guidance for the PPG Team Leader:

1. Audience: The primary audience of the UNDP-GEF project document is the Implementing Partner and those who will implement the project to achieve the expected results. The GEF Council has already approved this project when the PIF was approved and the GEF Secretariat will review the CEO endorsement template and project document for consistency with the approved PIF and compliance with GEF policies, and then recommend the project for CEO endorsement. Where feasible, avoid duplication between the UNDP-GEF project document and the GEF CEO Endorsement template.

2. Be realistic and outcome focused: Be mindful of the high-level results that can realistically be achieved within the resource and time constraints allocated to this project knowing that projects can only be extended once and only on an exceptional basis.

3. Identify the capacity of the Implementing Partner (IP) early in the PPG phase: The mandatory UNDP capacity assessments using the Partner Capacity Assessment Tool (PCAT) as well as the micro-capacity assessment for Harmonized Approach to Cash Transfers (HACT) should be completed very early in the project design phase if they have not been done already.

These tools will help identify the capacity of the Implementing Partner. If the IP is shown to have the capacity necessary to fully implement this project, then this should be reflected in the kind of support services that UNDP will provide. Understanding the capacity of the IP early in the design phase will also help to define the necessary governance and management arrangements (e.g. whether responsible parties are required for implementation support etc…) and corresponding budget required to properly execute this project.

The UNDP Country Office should ensure completion of the PCAT and subsequent HACT, if not done already, with support from the UNDP Country Support team. Please work with the Regional Technical

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Advisor to ensure follow up with these teams so that these important tools are completed in a timely manner. Further information is available in the UNDP POPP.

4. More than one GEF Agency involved in implementing a single GEF project: This UNDP-GEF project document can only include the UNDP portion of the activities under the approved GEF PIF; it is not a joint GEF Agency project document template. This project document template outlines the responsibilities of a single Implementing Partner. If the approved GEF PIF is to be implemented by UNDP exclusively, but then split among many different IPs, then each IP will need to sign the project document describing their responsibilities.

In addition, when more than one GEF Agency is involved in implementing a single GEF PIF, the GEF Agencies will need to agree on which single Agency will lead, and use their policies and procedures, for the following: GEF PIR, MTR and TE (and associated GEF Core Indicators and METTs). If UNDP is to lead these M&E activities, then the standard M&E plan of this UNDP-GEF Project document can remain as is. If UNDP is not going to lead these activities, the M&E plan will need to be edited accordingly.

5. Do not amend the Legal Context and Risk Management Sections: do not amend these standard sections unless otherwise indicated in the standard text. Any changes/amendments/notes will need to be approved by the UNDP Legal Office before submission to the GEF which could lead to serious delays and consequently the automatic cancellation of the project by the GEF. These sections are mandatory, cannot be amended unless otherwise indicated, and are critical to UNDP’s compliance with UNDP and GEF policies.

6. ‘Annotated’ means:

a. Guidance is in italic text and highlighted in yellow. Do not leave any text highlighted in yellow in the final draft submitted to UNDP-GEF for internal approval.

b. Guidance highlighted in pink outlines sections that do not apply for some projects including GEF Enabling Activities (EAs) and DIM executed projects. Do not leave any text highlighted in pink in the final draft submitted to UNDP-GEF for internal approval.

c. Standard text that must be included in each project document is noted in plain text and should not be altered (unless indicated).

d. A non-annotated version of the standard UNDP-GEF GEF-7 project document template is available separately here:

7. Follow guidance on the page length of each section: keep it ‘short and simple’. The project document should not exceed 60 pages excluding Annexes. Avoid the use of lengthy and overly complex narrative. Keep the text concise. Additional background information relevant to understanding the background and context of the project design should be annexed to the project document (e.g. technical reports).

8. Adhere to the formatting guidance: The Project Document and its Annexes should be formatted using the Calibri font (size 10 for standard text; 14 for headers; 12 for sub-headers; 9 for figure/table legends and footnotes). Avoid use of double spacing. Please ensure consistency in the formatting.

9. Further information 2: The project development team should also become familiar with the documents listed below. a. GEF IEO generic Theory of Change included in the GEF IEO document “An Evaluative Approach to

Assessing GEF’s Additionality”.b. STAP “Achieving More Enduring Outcomes from GEF Investment”

2 As these links may become inactive over time, please notify the UNDP-GEF team if you notice an inactive link.

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c. UNDP Programme and Operations Policies and Procedures : Formulate Programs and Projectsd. UNDP Website for latest programming guidance from UNDPe. GEF Polices and Guidelines f. GEF CEO endorsement template and guidanceg. GEF STAP (Scientific and Technical Advisory Panel) h. GEF IEO (Independent Evaluation Office) evaluationsi. UNDP Social and Environmental Safeguards : including supporting guidance notes. See SES Toolkit for

detailed guidance. j. UNDP Social and Environmental Accountability Mechanism , SECU and SRM

D. GEF Conditions when UNDP is requested to provide Support Services during project implementation : this does not apply to DIM executed projects where UNDP is the implementing partner

The GEF Secretariat is carefully screening country requests for execution related Support Services in GEF funded projects. As the Secretariat has reminded UNDP, costs associated with execution support must be reviewed and cleared by GEF Secretariat who retain the right to reject such requests when they are to be charged to the GEF grant.

As a reminder, as per the GEF policy, an Agency fee for project cycle management services is provided to the GEF Agencies to enable them to manage a portfolio of projects and programmatic approaches through the various phases of the project cycle including providing quality assurance and oversight (GEF/C.39/9). The fee covers the quality assurance and oversight services involved with GEF 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. Please see Annex 8 of the GEF Guidelines on the Project and Program Cycle Policy 9 June 2017 for additional details. ‘Development Effectiveness’ costs are therefore not eligible for recovery from the project budget.

The GEF fee policy also explicitly states that “in cases where a GEF Agency performs some functions as a national executing agency, at the request of the government, the payment of such services should be covered by either the country’s own national budget for the project, or covered by the project management cost estimated as part of the total project cost. In any case, the selection process for the GEF Partner Agency that shall perform executing functions should be transparent, and this exception from normal GEF practice should be clearly described at the project concept stage, i.e. including such information in the PIF. The associated cost for such service should be included as a component of in the project management cost budget”.

UNDP Support services to a GEF-financed project can be technical and/or administrative in nature. However, it is important to bear in mind that GEF does not consider such support services as mandatory or routine. The Government requests for UNDP support services will only be approved by the GEF Secretariat on an exceptional basis providing there is a strong context specific justification.

Standard Operating Procedure to follow in cases where UNDP Support Services are likely .

1. At PIF preparation : As early as possible, assess whether the proposed project is likely to require UNDP support services. The assessment will need to be made based on (a) previous experiences of working with the IP where capacity constraints have been an issue; (b) contextual specificity of the proposed project and likely capacity constraints of the IP that will emerge when a detailed micro-capacity is conducted during the PPG phase; or (c) other contextual factors that may result in a request by the Govt for UNDP support services. If it is deemed that UNDP support costs are likely, for whatever reason, UNDP will need to discuss with Government the current GEF policy (as per above) and the requirements that it specifies. A decision will need to be made on how to move forwards including weighing options such as: (a) that the IP addresses current deficiencies in operational capacity and ensures it can implement itself; or (b) the OFP is prepared to request from the GEF Sec the right to acquire support services, including from UNDP, if that

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is deemed the most effective and efficient option. This conversation needs to take place during the PIF preparation phase and key stakeholders (OFP, prospective IP) need to be fully informed and involved in determining the way forward.

2. At PIF submission : Indicate whether UNDP Support Services are likely to be requested by the Implementing Partner and list the type of services that are likely to be confirmed and fully costed by CEO endorsement (e.g. technical support, procurement, recruitment, payment or other services). These expected services do not need to be costed at PIF submission.

Please include as much information as possible in the narrative of the PIF highlighting the country request for these services noting that providing these specific project services does not detract from country ownership. This is very important as the PIF will be endorsed by the GEF OFP and approved by the GEF Council.

3. At CEO endorsement : For any NIM or NGO/IGO implemented project, a request letter and the UNDP LOA must be fully completed, signed, and attached to the UNDP-GEF Project document. These two fully completed documents must be submitted for internal review within 10 months of PIF approval for full size projects or 8 months of PIF approval for medium-sized projects. If these are not fully completed for internal clearance, the project will not be technically or financially cleared and risks being cancelled by the GEF.

The request letter: must be signed by the GEF OFP and the Implementing Partner. It should include the following information: a. Acknowledge that this is an exceptional request.b. Explain why these services cannot be provided by the Implementing Partner. Note that if the request

is coming from a middle-income country, it will receive extra scrutiny from the GEF Secretariat.c. Justify why UNDP is being requested to provide these support services. Refer directly to the results of

the PCAT and HACT if low capacity is an important justification. Note that there are many other reasons why UNDP support might be fully justified (e.g. cost effectiveness, value added etc…)

The LOA: the standard UNDP LOA template must be completed and signed by the Resident Representative and the Government/IP. It should include the following information:a. Administrative support services to be provided by UNDP operations staff:

List the specific services to be provided. The support services must be specific and known activities and cannot refer to anticipated or expected support services.

Costs must be included in the ceiling for the Project Management Cost Budget3. These costs must be estimated at actual or transaction-based cost (UPL/LPL) and based on the procurement plan, not as flat percentage;

For budgeting purposes and to be transparent, the Expense Account for COS must be used: COS (Admin): “64397-Services to Projects-CO staff” and/or “74596-Service to Projects – GOE”. (To be revised upon UNDP creation of a new budgetary account for UNDP Support Services).

b. The Technical support services to be provided by UNDP programme staff:

3 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 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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These staff services cannot include any oversight functions as this would duplicate GEF implementation functions paid by the GEF Fee and would be a direct violation of GEF policy and would jeopardize UNDP’s accreditation status with the GEF.

UNDP programme staff must deliver these services, which cannot be further outsourced to consultants. These services must deliver a specific output included in the project results framework and must be an output that UNDP is fully qualified to deliver. For example, a gender analysis and/or a gender action plan; a technical report.

These UNDP programme staff cannot be the same staff/individuals who will be providing implementation functions (i.e. oversight/quality assurance) to that same project. This would violate the ‘firewall’ between implementation and execution required by the GEF.

All technical services must be specified and known and cannot refer to anticipated or expected technical support services.

The UNDP-GEF RTA and the PTA must approve the technical services included in the TOR (and the qualifications). The RTA and the PTA have the full authority to edit, revise, and/or refuse the technical services if they are contrary to GEF policy.

In addition to listing these services in the LOA, they must also be included in the mandatory Annex “Terms of References” in the UNDP-GEF project document and must include the qualifications necessary to undertake these technical services.

Technical support costs must be within the technical component budget in the TBWP. For budgeting purposes and to be transparent, the Expense Account with detailed budget notes

for COS must be used: COS (Technical): “6xxxx- Regular Staff budget accounts”. (To be revised upon UNDP creation of a new budgetary account for UNDP Support Services).

4. After CEO endorsement: The GEF Secretariat must approve any changes to UNDP Support Services after CEO endorsement. The GEF Secretariat has the authority to disallow/not approve the request, which could lead to the cancellation of the project. We therefore strongly recommended to avoid this situation by planning properly during the project design and development phase. The request for new/changed UNDP support services after CEO endorsement must be approved the UNDP-GEF Executive Coordinator before submission to the GEF Secretariat for consideration.

5. Timesheets : UNDP is required to demonstrate compliance with these GEF policies, typically through annual reporting called ‘GEF timesheets’. Moving forward, UNDP Country Offices and other UNDP staff will record their time spent providing either Implementation support services (GEF Project Management Services paid by the GEF Fee) or GEF pre-approved UNDP support services (administrative and technical support services). This will be done annually online in PIMS+ (not in separate excel files). Further details are forthcoming.

E. Guidance for UNDP:

1. Use this annotated UNDP-GEF-7 project document template as your checklist when reviewing draft project documents, including the list of mandatory Annexes. If the draft you receive does comply with the requirements outlined in this template, then the work of the PPG team is not of acceptable quality and is not complete.

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Add Government Logo when appropriate

United Nations Development Programme

Annotated Project Document template for projectsfinanced by the various GEF Trust Funds

Project title: please use this same title as the ATLAS project title and the PIMS+ project title

Country(ies): Implementing Partner (GEF Executing Entity): see explanation of who (only one party) can be an Implementing Partner at https://info.undp.org/global/popp/ppm/Pages/Defining-a-Project.aspx

Execution Modality: insert national execution (NIM) if the Implementing Partner is a Government; direct implementation (DIM) if UNDP is the Implementing Partner; CSO/NGO/non-UN, other IGO or UN Agency as relevant.

Contributing Outcome (UNDAF/CPD, RPD, GPD): insert text of the relevant programme outcome. Insert N/A if project is multi-country.

UNDP Social and Environmental Screening Category: insert one of the following: moderate or high. Low risk is highly unlikely and must be fully justified and cleared by the PTA/RBM Team. See further information at http://www.undp.org/content/undp/en/home/operations/social-and-environmental-sustainability-in-undp/SES.html

Some EAs are exempt from the SESP.

UNDP Gender Marker: insert one of the following: 1, 2, or 3. Note that a gender maker of 0 (zero) is not appropriate. See further information at https://intranet.undp.org/unit/bpps/sdev/gef/default.aspx

Atlas Award ID: this should have been created at PIF stage and awarded upon CEO endorsement

Atlas Project/Output ID: this should be created at PIF stage

UNDP-GEF PIMS ID number: Equivalent to GEF Agency Project noted in CEO endorsement request.

GEF Project ID number:

LPAC meeting date: this date must be before the CEO endorsement date

Latest possible date to submit to GEF: this date must be 12 months after PIF approval for FSPs and 8 months of PIF approval for MSPs or the project is automatically cancelled by the GEF

Latest possible CEO endorsement date: this date must be 18 months after PIF approval for FSPs and 12 months of PIF approval for MSPs or the project is automatically cancelled by the GEF

Planned start date: this is defined as the expected Planned end date: this is defined as the planned date

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project document signature date. Equivalent to Expected Implementation Start noted in CEO endorsement request. Project document signature must occur within 25 days of GEF CEO endorsement of this project.

of operational closure. Equivalent to Expected Completion Date noted in CEO endorsement request.

Expected date of posting of Mid-Term Review to ERC: mandatory to add date. This must be within 36 months of CEO endorsement. This is not required for MSPs or EAs

Expected date of posting Terminal evaluation report to ERC: mandatory to add date. Note operational closure is within 3 months of posting the TE so this date should be prior to the planned end date. Not required for EAs.

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

(1) FINANCING PLAN (only cash transferred to UNDPs bank account and included in the TBWP for this specific GEF project should be included under this section (1), all others should be included under section (2).

GEF Trust Fund (specify if fund is LDCF/SCCF and include only the portion approved by GEF CEO under UNDP)

USD

UNDP TRAC resources (only if included in the TBWP for this specific GEF project)

USD

Confirmed cash co-financing to be administered by UNDP

USD

… … add additional rows if necessary

(1) Total Budget administered by UNDP USD

(2) CONFIRMED CO-FINANCING (all other co-financing that is not cash co-financing administered by UNDP)e.g. Government Ministry of X USD

Name of co-financier… … add additional rows if necessary

(3) Total confirmed co-financing USD

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

SIGNATURES

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Signature: print name below Agreed by Government Development Coordination Authority4

Date/Month/Year: within 25 days of GEF CEO endorsement

Signature: print name below Agreed by Implementing Partner5

Date/Month/Year: within 25 days of GEF CEO endorsement

Signature: print name below Agreed by UNDP6

Date/Month/Year: within 25 days of GEF CEO endorsement

Key GEF Project Cycle Milestones:

Project document signature: within 25 days of GEF CEO endorsementFirst disbursement date: within 40 days of GEF CEO endorsementInception workshop date: within 60 days of GEF CEO endorsementOperational closure: within 3 months of posting of TE to UNDP ERCFinancial closure: within 6 months of operational closure

4 Other evidence of government agreement may be accepted in lieu of a signature, unless the programme country government requires a signature.5 Not required when UNDP is the implementing partner (i.e. DIM implementation modality). If a UN Agency is the implementing partner, and has signed a SBEAA with UNDP, then the Government Development Coordination Authority4, UNDP and UN Agency sign the project document. If an IGO is the implementing partner, and has signed a SBEAA with UNDP, then the Government Development Coordination Authority4, UNDP and IGO sign the project document. If a CSO/NGO is the implementing partner, the Government Development Coordination Authority4 and UNDP sign the project document and attached it to the Project Cooperation Agreement to be signed by the CSO/NGO and UNDP. 6 For NIM projects this is the Resident Representative. For DIM projects in a single country this is the Resident Representative. For global, regional DIM projects this is BPPS.

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I. TABLE OF CONTENTS

I. Table of Contents...........................................................................................................................................10II. Development Challenge.................................................................................................................................11III. Strategy..........................................................................................................................................................11IV. Results and Partnerships................................................................................................................................12V. Project Results Framework.............................................................................................................................14VI. Monitoring and Evaluation (M&E) Plan..........................................................................................................18VII. Governance and Management Arrangements...............................................................................................22VIII. Financial Planning and Management..............................................................................................................26IX. Total Budget and Work Plan...........................................................................................................................29X. Legal Context..................................................................................................................................................34XI. Risk Management...........................................................................................................................................35XII. Mandatory Annexes.......................................................................................................................................48

Annex 1: Project map and Geospatial Coordinates of project sites......................................................................49Annex 2: Multi Year Work Plan..............................................................................................................................50Annex 3: Monitoring Plan:.....................................................................................................................................51Annex 4: Stakeholder Engagement Plan...............................................................................................................53Annex 5: UNDP Risk Log.........................................................................................................................................54Annex 6: Overview of Technical Consultancies.....................................................................................................56Annex 7: Terms of References...............................................................................................................................59Annex 16: GEF Core indicators..............................................................................................................................65Annex 17: GEF 7 Taxonomy...................................................................................................................................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 ProjectGEF Global Environment FacilityGEFSEC Global Environment Facility SecretariatMSP Medium Sized ProjectPIF Project Identification FormPIR GEF Project Implementation ReportPOPP Programme and Operations Policies and ProceduresPPG Project Preparation GrantSTAP GEF Scientific Technical Advisory PanelUNDP-GEF UNDP Global Environmental Finance Unit

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II. DEVELOPMENT CHALLENGE Maximum length 2 pages

Guidance to project developer: Note that the CEO Endorsement Request requires a description of any changes in alignment with the project design outlined in the original PIF. Therefore, this section can be brief. This section should align with the following sections of the GEF CEO Endorsement template: Part II PROJECT JUSTIFICATION 1a Project Description sub points 1, and section 7 Consistency with National Priorities

Describe the development challenge that the project seeks to address. The problem statement should be based on a clear causal chain analysis, which subsequently links to the Theory of Change (see section III), describing root causes, underlying causes and immediate causes.

Include evidence demonstrating the magnitude of the problem, and how it affects different population groups (e.g. women, indigenous people, marginalized groups); Describe why it is important to address the problem in terms of poverty reduction and addressing inequality and exclusion.

Describe how addressing this challenge is consistent with national strategies and plans or reports and assessments under relevant conventions (e.g. National Action Plan for Adaptation (NAPA) under LDCF/UNFCCC; National Action Program (NAP) under UNCCD; ASGM NAP (Artisanal and Small-scale Gold Mining) under Mercury; Minamata Initial Assessment (MIA) under Minamata Convention; National Biodiversity Strategies and Action Plan (NBSAP) under UNCBD; National Communications (NC) under UNFCCC; Technology Needs Assessment (TNA) under UNFCCC; National Capacity Self-Assessment (NCSA) under UNCBD, UNFCCC, UNCCD; National Implementation Plan (NIP) under POPs; Poverty Reduction Strategy Paper (PRSP); National Portfolio Formulation Exercise (NPFE) under GEFSEC; Biennial Update Report (BUR) under UNFCCC; any others that may be relevant).

III. STRATEGY Maximum length 2 pages

Guidance to project developer: Note that the CEO Endorsement Request only requires a description of any changes in alignment with the project design outlined in the original PIF. Therefore, this section can be brief. This section should align with the following sections of the GEF CEO Endorsement template: Part II PROJECT JUSTIFICATION 1a Project Description sub questions 2, 3, 4, 5, 6, 10 Benefits.

Elaborate a theory of change by explaining how and why the strategy that this project recommends is the most appropriate approach to address the development challenge outlined above. Develop a solution tree, building on the causal chain analysis (Section II) outlining possible pathways and solutions to address the stated problem(s). Specify any assumptions underlying the identified solutions and select the most suitable solution pathway(s) for the project. Include a theory of change diagram outlining the selected approach, assumptions and risks identified to the logic of the approach chosen.

Outline how the chosen strategy is aligned with the GEF focal area(s) strategy and/or Impact Program strategies. Include any changes to the incremental/additional cost reasoning since PIF approval. Support the choice of strategy/approach with credible external evidence including from evaluations.

See UNDP guidance on Theory of Change and GEF generic Theory of Change included in the GEF IEO document “An Evaluative Approach to Assessing GEF’s Additionality”.

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IV. RESULTS AND PARTNERSHIPS Recommended length 2 - 7 pages

Guidance to project developer: Include detail next to the underlined sub-sections below. When describing project sites, note the requirement to provide geo-referenced information and map in Annex.

CEO endorsement template: Align the technical content of the expected results sub-section below with Part II PROJECT JUSTIFICATION 1a Project Description sub questions 3 and 7 and 1b Project Map and Geo-Coordinates. 2 Stakeholders, 3 Gender Equality and Women’s Empowerment, 4 Private Sector Engagement, 5 Risks, 7 Consistency with National Priorities

Expected Results: The text under this heading should translate the strategy above into the work that will be done through the project. Per project component and intended outcome, describe the planned interventions and outputs to be delivered, linking this to the theory of change. State what change can be expected and attributable to the project, and the higher level change the project will contribute to.

Partnerships: Describe how the project will work with partners to achieve results. Briefly map what other stakeholders and initiatives are doing to address the development challenge this project is also addressing and how their work is critical to the achievement of the results of this project (this can be presented as a table). This should include other GEF/LCDF/SCCF financed projects and other relevant projects. Elaborate on the private sector’s engagement in the project, if any.

Risks: Specify the risks that might prevent the project results from being achieved and the social and environmental risks posed by the project, as identified in the SESP included as a separate Annex. Refer to the detailed risk log included in Annex. See the 2019 Enterprise Risk Management policy for the risk categories that need to be used. Reference the Environmental and Social Management Framework (or other safeguards management plan), if required, which is also to be included as a separate Annex. If further assessment and management plan(s) are to be undertaken during project implementation, then specify which project activities cannot commence until those plans are in place. Description of a project-level Grievance Redress Mechanism, if required, should be included in the management plan (if prepared) or in an annex.

Stakeholder engagement plan: A stakeholder engagement plan must be included in Annex or be included in this section. A comprehensive, gender-responsive stakeholder engagement plan is required for all projects that are considered “high risk” (as per social and environmental screening procedure). If the plan is annexed, then use this section to provide a summary on how stakeholders will be consulted and involved in project activities and monitoring, the means and timing of engagement, how information will be disseminated, and an explanation of any resource requirements throughout the project/program cycle to ensure proper and meaningful stakeholder engagement. If Free, Prior and Informed Consent (FPIC) is required for specific project activities, then ensure that this is clearly stipulated. Select what role civil society will play in the project (Consulted only; Member of Advisory Body; contractor; Co-financier; Member of project steering committee or equivalent decision-making body; Executor or co-executor; Other (Please explain)). See GEF Guidelines on the Implementation of the Policy on Stakeholder Engagement.

Gender equality and Women’s Empowerment: A gender analysis and gender action plan must be included as a separate Annex. Summarize main recommendations of the gender analysis and key elements of the gender action plan in this section, clearly outlining what the project will do to address gender equality in project outcomes. Indicate whether the project expects to include any gender-responsive measures to address gender gaps or promote gender equality and women’s empowerment? (Yes/No). Indicate in which results area(s) the project is expected to contribute to gender equality: closing gender gaps in access to and control over natural resources; improving women’s participation and decision making; and or generating socio-economic benefits or services for women. Indicate (yes/no) whether the project's results framework or logical framework include gender-responsive indicators? See GEF Guidelines on Gender Equality.

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South-South and Triangular Cooperation (SSTrC): Learning opportunities and technology transfer from peer countries will be further explored during project implementation. To present opportunities for replication in other countries, the project will codify good practices and facilitate dissemination through global ongoing South-South and global platforms, such as Africa Solutions Platform, the UN South-South Galaxy knowledge sharing platform and PANORAMA7.

In addition, to bring the voice of [insert country xxxx] to global and regional fora, the project will explore opportunities for meaningful participation in specific events where UNDP could support engagement with the global development discourse on [insert topic xxxxx]. The project will furthermore provide opportunities for regional cooperation with countries that are implementing initiatives on [insert topic xxxxx] in geopolitical, social and environmental contexts relevant to the proposed project in [insert country xxx].

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

7 https://panorama.solutions/en

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V. PROJECT RESULTS FRAMEWORKGuidance to project developer: Indicators are required for the project objective and project outcomes only. As per table B in the CEO endorsement request template, each project should have no more than 4 Project Components and no more than 8 project outcomes in total (two per component). Include results that contribute to gender equality and women’s empowerment as per the findings of the gender analysis.

When choosing indicators, keep the following requirements in mind: Do not include more than a total of 21 indicators 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 GEF Core indicators relevant to this project (see Annex) must be added to the results framework at the objective level. See detailed methodologies here. Note that these

indicators will be monitored annually in the GEF PIR. They must also be reported to the GEF at midterm and end of the project. You will need to list the source of the baseline data and targets and explain how this data was collected and how it should be collected during project implementation in the

Monitoring Plan in annex. The Monitoring Plan should also outline how indicators and the corresponding targets were derived, such as what calculations or figures add up to a total value.

The indicators must be directly connected to the objective or outcome and need to measure the change we would like to see at the objective or outcome level. The indicators should not be a list of outputs or activities that will be delivered under that outcome or objective. Indicators such as “number of participants to a workshop” or

“report produced” for example are NOT objective or outcome level indicators and should not be included in the results framework! As many indicators as feasible must be gender responsive and disaggregated by gender (i.e. # male, # female, not # households). Include socioeconomic co-benefit indicators The indicators should link to data that the country already measures and collects and should link to the SDG indicators where feasible. 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). The indicators must be SMART: specific; measurable; attributable; relevant; time-bound, timely, trackable and targeted. See GEF Evaluation Policy for additional details.

Do not include footnotes to the framework as these will not be transferred to the project’s PIR. Any notes should be included in the Monitoring Plan in Annex.Do not make any changes to the standard headings below (i.e. project objective, outcome 1, outcome 2 etc.). Do not embed tables within the Results Framework; use simple text-only formatting.

CEO endorsement template: This results framework should align with Table B and will be the same as that required in the GEF CEO Endorsement template Annex A: Project Results Framework

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This project will contribute to the following Sustainable Development Goal (s): list relevant SDG(s)

This project will contribute to the following country outcome (UNDAF/CPD, RPD, GPD): copy relevant outcome here

Objective and Outcome Indicators(no more than a total of 21 indicators)

Baseline8 Must be determined

during PPG phase

Mid-term Target9

Expected level of progress before MTR process starts

End of Project TargetExpected level when terminal

evaluation undertakenProject Objective:

1-5 indicators maximum

Mandatory Indicator 1: # direct project beneficiaries disaggregated by gender (individual people)(see methodology available from UNDP GEF)

Mandatory Indicator 2 : # indirect project beneficiaries disaggregated by gender (individual people)(see methodology available from UNDP GEF)

Mandatory GEF Core Indicators 2 - 5 : use selected GEF Core indicators (including sub-indicators, as appropriate) and other objective-level indicators here. No more than 5 objective level indicators.

Project component 1 (no indicators required)

Copy the project component from table B of the CEO endorsement request

Project Outcome10 1

2 indicators maximum

Indicator 6: project specific

Indicator 7: project specific

Outputs to achieve Outcome 1 List the outputs here. Do not add indicators for outputs.

Outcome 2

2 indicators maximum

Indicator 8: project specific

Indicator 9: project specific

8 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. 9 Target is the change in the baseline value that will be achieved by the mid-term review and then again by the terminal evaluation.10 Outcomes are 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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Outputs to achieve Outcome 2 List the outputs here. Do not add indicators for outputs.

Project component 2 (no indicators required)

Copy the project component from table B of the CEO endorsement request

Outcome 3

2 indicators maximum

Indicator 10: project specific

Indicator 11: project specific

Outputs to achieve Outcome 3 List the outputs here. Do not add indicators for outputs.

Outcome 42 indicators maximum

Indicator 12: project specific

Indicator 13: project specific

Outputs to achieve Outcome 4 List the outputs here. Do not add indicators for outputs.

Project component 3 (no indicators required)

Copy the project component from table B from the CEO endorsement request

Outcome 5

2 indicators maximum

Indicator 14: project specific

Indicator 15: project specific

Outputs to achieve Outcome 5 List the outputs here. Do not add indicators for outputs.

Outcome 62 indicators maximum

Indicator 16: project specific

Indicator 17: project specific

Outputs to achieve Outcome 6 List the outputs here. Do not add indicators for outputs.

Project component 4 (no indicators required)

Knowledge management and M&ECopy the project component from table B of the CEO endorsement request

Outcome 7

2 indicators maximum

Indicator 18: project specific

Indicator 19: project specific

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Outputs to achieve Outcome 7 List the outputs here. Do not add indicators for outputs.

Outcome 82 indicators maximum

Indicator 20: project specific

Indicator 21: project specific

Outputs to achieve Outcome 8 List the outputs here. Do not add indicators for outputs.

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VI. MONITORING AND EVALUATION (M&E) PLANGuidance to project developer: Medium sized projects with a GEF Grant under USD 2 million and EA projects are not required to undertake a mid-term review. MSPs do not need to update the GEF Core indicators at mid-term. Delete these sections if this project is an MSP project.

If more than one GEF Agency is involved in project implementation, agreement must be reached on which (only ONE) GEF Agency will submit the annual PIR, MTR and TE (and associated Core Indicators) to the GEF. If UNDP will NOT lead on these M&E tasks then delete the paragraphs on PIR, MTR and TE, and Core Indicators below.

Complete each line in the M&E Budget table; do not leave the provided estimates add actual figures necessary for this project. Add the total budget for M&E which should be 5 – 7% of the total GEF grant to the project Component on KM and M&E.

Complete the monitoring plan in Annex. Do not leave this Annex blank.

Additional text can be added to suit the needs of the project.

CEO endorsement template: Refer to this section of the UNDP-GEF project document in Part II: PROJECT JUSTIFICATION 9: Describe the Budgeted M&E Plan.

----------

The project results, corresponding indicators and mid-term and end-of-project targets in the project results framework will be monitored annually and evaluated periodically during project implementation. If baseline data for some of the results indicators is not yet available, it will be collected during the first year of project implementation. The Monitoring Plan included in Annex details the roles, responsibilities, frequency of monitoring 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 is responsible for ensuring full compliance with all UNDP project monitoring, quality assurance, risk management, and evaluation requirements.

Additional mandatory GEF-specific M&E requirements will be undertaken in accordance with the GEF Monitoring Policy and the GEF Evaluation Policy and other relevant GEF policies11. The costed M&E plan included below, and the Monitoring plan in Annex, will guide the GEF-specific M&E activities to be undertaken by this project.

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.

Additional GEF monitoring and reporting requirements:

Inception Workshop and Report: A project inception workshop will be held within 60 days of project CEO endorsement, with the aim to: a. Familiarize key stakeholders with the detailed project strategy and discuss any changes that may have

taken place in the overall context since the project idea was initially conceptualized that may influence its strategy and implementation.

b. Discuss the roles and responsibilities of the project team, including reporting lines, stakeholder engagement strategies and conflict resolution mechanisms.

c. Review the results framework and monitoring plan.

11 See https://www.thegef.org/gef/policies_guidelines

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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 and other stakeholders in project-level M&E.

e. Update and review responsibilities for monitoring project strategies, including the risk log; SESP report, Social and Environmental Management Framework and other safeguard requirements; project grievance mechanisms; gender strategy; knowledge management strategy, and other relevant management strategies.

f. Review financial reporting procedures and budget monitoring and other mandatory requirements and agree on the arrangements for the annual audit.

g. Plan and schedule Project Board meetings and finalize the first-year annual work plan. h. Formally launch the Project.

GEF Project Implementation Report (PIR): Not required for EA projects. The annual GEF PIR covering the reporting period July (previous year) to June (current year) will be completed for each year of project implementation. 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 quality rating of the previous year’s PIR will be used to inform the preparation of the subsequent PIR.

Knowledge management: The project team will ensure extraction and dissemination of lessons learned and good practices to enable adaptive management and upscaling or replication at local and global scales. Results will be disseminated to targeted audiences through relevant information sharing fora and networks. The project will contribute to scientific, policy-based and/or any other networks as appropriate (e.g. by providing content, and/or enabling participation of stakeholders/beneficiaries)

GEF and/or LDCF/SCCF Core Indicators : Not required for EA projects. The GEF and/or LDCF/SCCF Core indicators included as Annex will be used to monitor global environmental benefits and will be updated for reporting to the GEF prior to MTR and TE. Note that the project team is responsible for updating the indicator status. The updated monitoring data should be shared with MTR/TE consultants prior to required evaluation missions, so these can be used for subsequent groundtruthing. The methodologies to be used in data collection have been defined by the GEF and are available on the GEF website. If relevant to the project: The required Protected Area Management Effectiveness Tracking Tool (METTs) have been prepared and the scores include in the GEF Core Indicators.

Independent Mid-term Review (MTR): [delete if this is a GEF medium-size project (MSP or EA]The terms of reference, the review process and the final 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).

The evaluation will be ‘independent, impartial and rigorous’. The consultants that will be hired by UNDP evaluation specialists to undertake the assignment will be independent from organizations that were involved in designing, executing or advising on the project to be evaluated. Equally, the consultants should not be in a position where there may be the possibility of future contracts regarding the project under review.

The GEF Operational Focal Point and other stakeholders will be actively involved and consulted during the evaluation process. Additional quality assurance support is available from the UNDP-GEF Directorate.

The final MTR report and MTR TOR will be publicly available in English and will be posted on the UNDP ERC by (add date). A management response to MTR recommendations will be posted in the ERC within six weeks of the MTR report’s completion.

Terminal Evaluation (TE): Not required for EA projects.

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An independent terminal evaluation (TE) will take place upon completion of all major project outputs and activities. 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 .

The evaluation will be ‘independent, impartial and rigorous’. The consultants that will be hired by UNDP evaluation specialists to undertake the assignment will be independent from organizations that were involved in designing, executing or advising on the project to be evaluated. Equally, the consultants should not be in a position where there may be the possibility of future contracts regarding the project being evaluated.

The GEF Operational Focal Point and other stakeholders will be actively involved and consulted during the terminal evaluation process. Additional quality assurance support is available from the UNDP-GEF Directorate.

The final TE report and TE TOR will be publically available in English and posted on the UNDP ERC by (add date). A management response to the TE recommendations will be posted to the ERC within six weeks of the TE report’s completion.

Final Report: Not required for EA projects. The project’s terminal GEF 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.

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 Policy12 and the GEF policy on public involvement13.

Monitoring and Evaluation Plan and Budget: Not required for EA projects.

GEF M&E requirements Responsible Parties Indicative costs (US$)

Time frame

Inception Workshop Implementing PartnerProject Manager

Total: 30,000 Within 60 days of CEO endorsement of this project.Cannot be charged to GEF Fee.

Inception Report Project Manager None Within 90 days of CEO endorsement of this project.Cannot be charged to GEF Fee.

Monitoring of indicators in project results framework

Project Manager will oversee national institutions/agencies charged with collecting results data.

Per year: 5,000

Annually prior to GEF PIR. This will include GEF core indicators.

Cannot be charged to GEF Fee.

GEF Project Implementation Regional Technical None15 Annually typically between June-

12 See http://www.undp.org/content/undp/en/home/operations/transparency/information_disclosurepolicy/13 See https://www.thegef.org/gef/policies_guidelines

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Monitoring and Evaluation Plan and Budget: Not required for EA projects.

GEF M&E requirements Responsible Parties Indicative costs (US$)

Time frame

Report (PIR) AdvisorUNDP Country Office14

Project Manager

August

Monitoring all risks(Atlas risk log)

Project Manager add On-going. Cannot be charged to GEF Fee.

Monitoring of [list safeguards management frameworks and/or plans here; delete row if none]

Project Safeguards Officer Add as per plan

On-going.Cannot be charged to GEF Fee.

Monitoring of stakeholder engagement plan

Project Stakeholder Engagement Officer

add On-going.Cannot be charged to GEF Fee.

Monitoring of gender action plan Project Gender Officer add On-going.Cannot be charged to GEF Fee.

Project Board Meetings Implementing PartnerProject Manager

Total 45,000 Annually.Cannot be charged to GEF Fee.

Reports of Project Board Meetings

Implementing PartnerProject Manager

None Annually.Cannot be charged to GEF Fee.

Lessons learned and knowledge generation

Project Manager Total 20,000 Annually.Cannot be charged to GEF Fee.

Supervision missions UNDP Country Office1414 None15 Annually

Oversight missions UNDP-GEF RTA and UNDP-GEF Directorate

None15 Troubleshooting as needed

Mid-term GEF and/or LDCF/SCCF Core indicators and METT or other required Tracking Tools

List name of institution/agency that will collect this data

USD 10,000 Before mid-term review mission takes place.Cannot be charged to GEF Fee.

Independent Mid-term Review (MTR) and management response

UNDP Evaluation Specialists and independent evaluation consultants.

USD 50,000 Add date included on cover page of Project DocumentOnly oversight can be charged to the GEF Fee.

Terminal GEF and/or LDCF/SCCF Core indicators and METT or other required Tracking Tools

List name of institution/agency that will collect this data

USD 10,000 Before terminal evaluation mission takes placeCannot be charged to GEF Fee.

Independent Terminal Evaluation (TE) and management response

UNDP Evaluation Specialists and independent evaluation consultants.

USD 50,000 - 75,000

Add date included on cover page of Project DocumentOnly oversight can be charged to the GEF Fee.

Translation of MTR and TE UNDP Country Office1414 USD 2,000 – As required. GEF will only accept

14 Or equivalent for regional or global project15 The costs of UNDP CO and UNDP-GEF Unit’s participation and time are charged to the GEF Agency Fee.

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Monitoring and Evaluation Plan and Budget: Not required for EA projects.

GEF M&E requirements Responsible Parties Indicative costs (US$)

Time frame

reports into English 10,000 reports in English.Cannot be charged to GEF Fee.

Audit Appointed auditors for project audits

Per year: 5,000 – 10,000

Annually or other frequency as per UNDP Audit policies.Cannot be charged to GEF Fee.

TOTAL indicative COST Excluding oversight/project assurance costs. Project implementation costs to be included in Component 4 KM and M&E outcome in TBWP.

5 – 7 % of GEF grant NOT total budget.

VII. GOVERNANCE AND MANAGEMENT ARRANGEMENTS

Guidance to project developer: As stated in the UNDP POPP, project developers and the UNDP Country office must ensure compliance with UNDP policies on selection of Implementing Partner and Responsible Parties. Refer to the link here: https://popp.undp.org/SitePages/POPPSubject.aspx?SBJID=452&Menu=BusinessUnit

This entails completing the partner capacity assessment tool and the HACT capacity assessment early in the GEF PPG phase. The partner capacity assessment tool considers project management capacities and the HACT assessment helps to identify capacity gaps in the partner’s financial management system and practices, and to determine ways and means of addressing them. The assessment also informs decisions on the use of national implementation and the role of UNDP in providing support services at the request of the Implementing Partner. The costs of completing the PCAT and HACT assessments, if not already completed, are to be charged to the PPG budget. If the Implementing Partner requests UNDP support services (both Technical and Administrative Support Services) these costs need to be transparently and correctly budgeted in the TBWP.

Complete and do not remove any sections or text under the project governance structure. Do not, for example, delete the following sentence “In case consensus cannot be reached within the Board, the UNDP Resident Representative (or their designate) will mediate to find consensus and, if this cannot be found, will take the final decision to ensure project implementation is not unduly delayed.

Note that the only role for UNDP in the Project Board for a NIM project is Project Assurance. UNDP cannot be the Project Director or the Beneficiary Representative or the Development Partner.

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:

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Implementing Partner: The Implementing Partner for this project is [must be one of the following: Government entity OR UNDP OR United Nations Agency or Civil Society inlcuding non-governmental organizations or non-UN intergovernmental organization. There can only be one Implementing Parter for one Project Document]

The Implementing Partner is the entity to which the UNDP Administrator has entrusted the implementation of UNDP assistance specified in this signed project document along with the assumption of full responsibility and accountability for the effective use of UNDP resources and the delivery of outputs, as set forth in this document.

The Implementing Partner is responsible for executing this project. Specific tasks include: Project planning, coordination, management, monitoring, evaluation and reporting. This includes

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.

Risk management as outlined in this Project Document; Procurement of goods and services, including human resources; Financial management, including overseeing financial expenditures against project budgets; Approving and signing the multiyear workplan; 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.

Responsible Parties: When identified in advance, list the roles and responsibilities of the Responsible Parties. UNDP cannot be a responsible party. If UNDP is the implementing partner for this project, and the responsible parties have been identified, include the legal instruments used by UNDP to engage a responsible party in Annex to this Project Document (not required for submission to the GEF for CEO endorsement).

Project stakeholders and target groups: Describe how project target groups will be engaged in decision making for the project.

UNDP: UNDP is accountable to the GEF for the implementation of this project. This includes oversight of project execution to ensure that the project is being carried out in accordance with agreed standards and provisions. UNDP is responsible for delivering GEF project cycle management services comprising project approval and start-up, project supervision and oversight, and project completion and evaluation. UNDP is responsible for the Project Assurance role of the Project Board/Steering Committee.

Add following sentence if the implementing partner is UNDP: If UNDP is the implementing partner for this project, a strict firewall will be maintained between project oversight costs and personnel (called implementation by the GEF) and implementation of the project costs and personnel (called execution by the GEF).

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Project Manager (Implementing Partner)

Project Board/Steering Committee

Development Partners Specify. Cannot be UNDP

in NIM project

Project ExecutiveSpecify. Cannot be UNDP in

NIM project

Beneficiary RepresentativesSpecify. Cannot be UNDP in

NIM project

Project AssuranceUNDP

Add names/title of UNDP personnel at Country level, and regional level (i.e. RTA),

and global level (i.e. PTA)

Project Support (e.g. Project team)

Project Organisation Structure

Responsible Party A Responsible Party CResponsible Party B

Project organisation structure:

Project Board: The Project Board (also called Project Steering Committee) is responsible for taking corrective action as needed to ensure the project achieves the desired results. 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 consensus cannot be reached within the Board, the UNDP Resident Representative (or their designate) will mediate to find consensus and, if this cannot be found, will take the final decision to ensure project implementation is not unduly delayed. (do not edit or delete this sentence!)

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 mitigation and management actions to

address specific risks; Agree on project manager’s tolerances as required, within the parameters set by UNDP-GEF, and provide

direction and advice for exceptional situations when the project manager’s tolerances are exceeded; Advise on major and minor amendments to the project within the parameters set by UNDP-GEF; Ensure coordination between various donor and government-funded projects and programmes; Ensure coordination with various government agencies and their participation in project activities; Track and monitor co-financing for this project; Review the project progress, assess performance, and appraise the Annual Work Plan for the following

year; Appraise the annual project implementation report, including the quality assessment rating report; Ensure commitment of human resources to support project implementation, arbitrating any issues within

the project;

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Review combined delivery reports prior to certification by the implementing partner; Provide direction and recommendations to ensure that the agreed deliverables are produced satisfactorily

according to plans; Address project-level grievances; Approve the project Inception Report, Mid-term Review and Terminal Evaluation reports and

corresponding management responses; Review the final project report package during an end-of-project review meeting to discuss lesson learned

and opportunities for scaling up.

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

a. Project Executive: Is an individual who represents ownership of the project and chairs the Project Board. The Executive is normally the national counterpart for nationally implemented projects. The Project Executive is: Add name and title(this is typically an individual from the Government Coordination Agency or the Implementing Partner, never UNDP for a NIM project. Strive to have the individual confirmed and their name added to this project document, or list the organization and state that the name is to be determined)

b. Beneficiary Representative(s): Individuals or groups representing the interests of those who will ultimately benefit from the project. Their primary function within the board is to ensure the realization of project results from the perspective of project beneficiaries. Often civil society representative(s) can fulfil this role. The Beneficiary representative (s) is/are: Add name (s) and titles

(this is typically an individual from a key CSO/NGO partner or other key beneficiary partner or the Implementing Partner if not selected above, never UNDP for a NIM project. Strive to have the individual confirmed and their name added to this project document, or list the organization and state that the name is to be determined)

c. Development Partner(s): Individuals or groups representing the interests of the parties concerned that provide funding and/or technical expertise to the project. The Development Partner(s) is/are: Add name (s) and titles

(this is typically an individual from a key co-financing partner, or a technical partner like a national University or another UN or GEF Agency for example, never UNDP for a NIM project. Strive to have the individual confirmed and their name added to this project document, or list the organization and state that the name is to be determined)

d. Project Assurance: UNDP performs the quality assurance role and 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. UNDP provides a three – tier oversight services involving the UNDP Country Offices and UNDP at regional and headquarters levels. Project assurance is totally independent of the Project Management function.

Project Manager: The Project Manager has the authority to run the project on a day-to-day basis on behalf of the Implementing Partner within the constraints laid down by the Project Board. The Implementing Partner appoints the Project Manager, who must be different from the Implementing Partner’s representative in the Project Board.

The Project Manager’s primary 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 Project Manager will inform the Project Board and the Project Assurance roles of any delays or difficulties as they arise during implementation so that appropriate support and corrective measures can be adopted. The Project Manager will remain on contract until the Terminal Evaluation report and the corresponding management

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response have been finalized and the required tasks for operational closure and transfer of assets are fully completed.

Specific responsibilities include:

Manage the overall conduct of the project. Plan the activities of the project and monitor progress against the approved workplan. Execute activities by managing personnel, goods and services, training and low-value grants, including

drafting terms of reference and work specifications, and overseeing all contractors’ work. Monitor events as determined in the project monitoring plan, and update the plan as required. Provide support for completion of assessments required by UNDP, spot checks and audits. Manage requests for the provision of UNDP financial resources through funding advances, direct

payments or reimbursement using the FACE form. Monitor financial resources and accounting to ensure the accuracy and reliability of financial reports. Monitor progress, watch for plan deviations and make course corrections when needed within project

board-agreed tolerances to achieve results. Ensure that changes are controlled and problems addressed. Perform regular progress reporting to the project board as agreed with the board, including measures to

address challenges and opportunities. Prepare and submit financial reports to UNDP on a quarterly basis. Manage and monitor the project risks – including social and environmental 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 revisions to the multi-year workplan, as needed, as well as annual and quarterly plans if required. Prepare the inception report no later than one month after the inception workshop. Ensure that the indicators included in the project results framework are monitored annually in advance of

the GEF PIR submission deadline so that progress can be reported in the GEF PIR. Prepare the GEF PIR; Assess major and minor amendments to the project within the parameters set by UNDP-GEF; Monitor implementation plans including the gender action plan, stakeholder engagement plan, and any

environmental and social management plans; Monitor and track progress against the GEF Core indicators. Support the Mid-term review and Terminal Evaluation process.

VIII. FINANCIAL PLANNING AND MANAGEMENT

Guidance to project developer: please complete missing text below. See GEF Guidelines on Co-financing

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 other co-financing. UNDP, as the GEF Implementing Agency, is responsible for the oversight of the GEF resources and the cash co-financing transferred to UNDP bank account only.

Confirmed 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. Co-financing will be used for the following project activities/outputs:

Co-financing Co-financing Co-financing Planned Co-financing Risks Risk Mitigation

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source type amount Activities/Outputs Measures(e.g. government) In kind (e.g. Projet management,

office space, infrastructure development etc…)

To co-financing being realized

… … … … … …

Implementing Partner (IP) request for UNDP to provide country support services (do not add this paragraph if this project is implemented by UNDP (i.e. DIM)): The Implementing Partner and GEF OFP have requested UNDP to provide support services in the amount of USD$ [add total amount listed in the LOA included in Annex] for the full duration of the project. The request letter (signed by the GEF OFP and the IP) and the signed letter of agreement between UNDP and the Implementing Partner detailing these support services are included in Annex. To ensure the strict independence required by the GEF and in accordance with the UNDP Internal Control Framework, these execution services should be delivered independent from the GEF-specific oversight and quality assurance services (i.e. not done by same person to avoid conflict of interest).

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).

Audit: The project will be audited as per UNDP Financial Regulations and Rules and applicable audit policies. Audit cycle and process must be discussed during the Inception workshop. If the Implementing Partner is an UN Agency, the project will be audited according to that Agencies applicable audit policies.

Project Closure: Project closure will be conducted as per UNDP requirements outlined in the UNDP POPP. On an exceptional basis only, and if there is no increase of the project budget, one extension of the operational closure date beyond the initial duration of the project may be approved by the UNDP-GEF Directorate. However, all costs incurred to close the project must be included in the project closure budget and reported as final project commitments presented to the Project Board during the final project review. The only costs a project may incur following the final project review are those included in the project closure budget.

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. Operational closure must happen with 3 months of posting the TE report to the UNDP ERC. 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 Implementing Partner and other parties of the project, UNDP 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

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the life of a project. In all cases of transfer, a transfer document must be prepared and kept on file16. The transfer should be done before Project management Unit (team) complete their assignments.

Financial completion (closure): 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 6 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.

Refund to GEF: Should a refund of unspent funds to the GEF be necessary, this will be managed directly by the UNDP-GEF Directorate in New York. No action is required at CO level on the actual refund from UNDP project to the GEF Trustee.

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

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IX. TOTAL BUDGET AND WORK PLANGuidance 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 fully aligned with Table B

Guidance to project developer on budget notes:a. If the project is a full size project, include USD 50,000 for independent lead consultant to undertake the mid-term review and USD 50,000 – 75,000 for independent lead

consultant to undertake the terminal evaluation. If the project is medium sized, include USD 50,000 – 75,000 for independent lead consultant to undertake terminal evaluation.

b. If the project is a full size project, include sufficient allocation (e.g. USD 20,000 - 30,000) for independent national consultant to undertake the mid-term review and independent national consultant (e.g. 20,000 - 30,000) to undertake terminal evaluation.

c. Include sufficient allocation to translate the mid-term review and terminal evaluation into English as appropriated. The total amount should include the M&E budget included in Section VIe. UNDP Direct Project Service/Country Office Support Services) – Staff/General Operating Expense (GOE) - include only when requested by the Implementing Partner. For

requested technical support services provided by UNDP existing staff, use regular staff budgetary account. For requested administrative direct project support such as procurement, payments, recruitment, workshops and etc Refer to UNDP Direct Project Services policy on GEF/AF funded projects.

f. Include an estimated audit cost USD 5,000-10,000 a year (or other amount as provided by UNDP Country Office).

Total Budget and Work PlanAtlas Award ID: 000xxxxx Atlas Output Project ID: 000xxxxx

Atlas Proposal or Award Title: xxxxxxxxxxxxxxxxx

Atlas Business Unit Xxx10

Atlas Primary Output Project Title xxxxxxxxxxxxxxxxxxxxxxx

UNDP-GEF PIMS No. xxxx

Implementing Partner Name of the implementing Partner (only one Implementing partner can be entered here)

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Atlas Activity (GEF Component)

Atlas Implementing

Agent (Responsible

Party/17 , IP, or UNDP)

Atlas Fund ID

Donor Name

Atlas Budgetary Account

Code

ATLAS Budget Account

Description

Amount Year

{please enter

calendar year} (USD)

Amount Year

{please enter

calendar year} (USD)

Amount Year

{please enter

calendar year} (USD)

Amount Year

{please enter

calendar year} (USD)

Amount Year {please enter calendar year}

(USD)

Add addition

al columns

as needed

Total (USD)

See Budget Note:

COMPONENT 1(as per Table B of CEO endorsement request)

Party 1

62000(62160)(62180)(62181)(62190)(62040)

GEF Trustee (for GEF,

LDCF, SCCF, NPIF

& CBIT)

Or other donor

...

71200 International Consultants $ $ $ $ $

71300 Local Consultants $ $ $ $ $

72100Contractual services - Companies

$ $ $ $ $

etc $ $ $ $ $

sub-total GEF $ $ $ $ $

xxxxx Donor 2

72100Contractual services - Companies

$ $ $ $ $

72500 Supplies $ $ $ $ $

74500 Miscellaneous $ $ $ $ $

sub-total Donor 2 $ $ $ $ $

Total Outcome 1 $ $ $ $ $

17Only 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.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.

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COMPONENT 2:(as per Table B of CEO endorsement request)

Party 1

62000(62160)(62180)(62181)(62190)(62040)

GEFTrustee (for GEF,

LDCF, SCCF, NPIF

& CBIT)

Or other donor

71200 International Consultants $ $ $ $ $

71300 Local Consultants $ $ $ $ $

72100Contractual services - Companies

$ $ $ $ $

sub-total GEF $ $ $ $ $

xxxxx Donor 2

72500 Supplies $ $ $ $ $

74500 Miscellaneous $ $ $ $ $

sub-total donor 2 $ $ $ $ $

Total Outcome 2 $ $ $ $ $

COMPONENT 3:(as per Table B of CEO endorsement request)

Party 1

62000(62160)(62180)(62181)(62190)(62040)

GEF(

Or other donor

...

71200 International Consultants $ $ $ $ $

71300 Local Consultants $ $ $ $ $

72100Contractual services - Companies

$ $ $ $ $

75700Training, workshop, conference

$ $ $ $ $

sub-total GEF $ $ $ $ $

xxxxx Donor 2

72500 Supplies $ $ $ $ $

74500 Miscellaneous $ $ $ $ $

sub-total donor 2 $ $ $ $ $

Total Outcome 2 $ $ $ $ $

COMPONENT 4: KM and M&E18

Party 1 62000(62160)

71200 International Consultants

$ $ $ $ $ a

18 This must include the M&E budget included in section IV Monitoring and Evaluation Plan including audit cost.

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(as per Table B of CEO endorsement request)

(62180)(62181)(62190)(62040)

GEFTrustee (for GEF, LDCF, SCCF, NPIF & CBIT

Or other donor

...

71300 Local Consultants $ $ $ $ $ b

72100Contractual services - Companies

$ $ $ $ $ c

74100 Professional services $ $ $ $ $ f

sub-total GEF $ $ $ $ $

xxxxx Donor 2

72500 Supplies $ $ $ $ $

74500 Miscellaneous $ $ $ $ $

sub-total donor 2 $ $ $ $ $

Total Outcome 5 $ $ $ $ $ d

PROJECT MANAGEMENT

UNIT19

(This is not to appear as an Outcome in the Results Framework)

Party 1 62000(62160)(62180)(62181)(62190)(62040)

GEFTrustee (for GEF, LDCF, SCCF, NPIF & CBIT

Or other donor

...

71200 International Consultants $ $ $ $ $

71300 Local Consultants $ $ $ $ $

71600 Travel $ $ $ $ $

72500 Supplies $ $ $ $ $

64397 Services to projects - CO staff $ $ $ $ $ e

74596 Services to projects - GOE for CO

$ $ $ $ $ e

sub-total $ $ $ $ $

xxxxx Donor 2 71200 International Consultants $ $ $ $ $

71300 Local Consultants $ $ $ $ $

71600 Travel $ $ $ $ $

72500 Supplies $ $ $ $ $

19 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 CO Support Costs if requested by Government Implementing Partner and GEF OFP; Any other projected PMU cost as appropriate. Audit should be funded under Outcome 4 on KM and M&E or under project outcomes.

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64397 Services to projects - CO staff $ $ $ $ $ e

74596 Services to projects - GOE for CO

$ $ $ $ $ e

sub-total $ $ $ $ $

Total Management $ $ $ $ $

PROJECT TOTAL $ $ $ $ $

Summary of Funds: 20

AmountYear 1

AmountYear 2

AmountYear 3

AmountYear 4 Total

GEF $ $ $ $ $

Donor 2 (e.g. UNDP $ $ $ $ $

Donor 3 (cash and in-kind) e.g. Government $ $ $ $ $

TOTAL $ $ $ $ $

Budget note number

Comments: Budget note should be output based rather than input based. Even for individual consultants’ outputs of the consultants must be clear. Include cost breakdown and calculation basis (e.g. daily fee and number of days/weeks, unit cost and number), as well as a total amount for the budget line.

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

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X. LEGAL CONTEXTGuidance to project developer: choose one of the following options. Delete the options not selected. Do not amend/edit or in any other way change the standard text below. Any changes/amendments/notes will need to be approved by the UNDP Legal Office before submission to the GEF which could lead to serious delays and consequently the automatic cancellation of the project by the GEF. These sections are mandatory, cannot be edited, and are critical to UNDP’s compliance with UNDP and GEF policies.

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.

The designations employed and the presentation of material on this map do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations or UNDP concerning the legal status of any country, territory, city or area or its authorities, or concerning the delimitation of its frontiers or boundaries.

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.

The designations employed and the presentation of material on this map do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations or UNDP concerning the legal status of any country, territory, city or area or its authorities, or concerning the delimitation of its frontiers or boundaries.

Option c. For Global and Regional ProjectsThis 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.

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The designations employed and the presentation of material on this map do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations or UNDP concerning the legal status of any country, territory, city or area or its authorities, or concerning the delimitation of its frontiers or boundaries.

XI. RISK MANAGEMENT

Guidance to project developer: Select one of the following options that corresponds to the implementation modability of the Project. Delete the options not selected. Do not edit or in any other way change the standard text below unless the text requires it. Any changes/amendments/notes will need to be approved by the UNDP Legal Office before submission to the GEF which could lead to serious delays and consequently the automatic cancellation of the project by the GEF. These sections are mandatory, cannot be edited, and are critical to UNDP’s compliance with UNDP and GEF policies.

Option a. Implementing Partner is a Government Entity (NIM)1. 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.

2. 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.

3. 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.

4. The Implementing Partner acknowledges and agrees that UNDP will not tolerate sexual harassment and sexual exploitation and abuse of anyone by the Implementing Partner, and each of its responsible parties, their respective sub-recipients and other entities involved in Project implementation, either as contractors or subcontractors and their personnel, and any individuals performing services for them under the Project Document.

(a) In the implementation of the activities under this Project Document, the Implementing Partner, and each of its sub-parties referred to above, shall comply with the standards of conduct set forth in the Secretary General’s Bulletin ST/SGB/2003/13 of 9 October 2003, concerning “Special measures for protection from sexual exploitation and sexual abuse” (“SEA”).

(b) Moreover, and without limitation to the application of other regulations, rules, policies and procedures bearing upon the performance of the activities under this Project Document, in the implementation of activities, the Implementing Partner, and each of its sub-parties referred to above, shall not engage in any form of sexual harassment (“SH”). SH is defined as any unwelcome conduct of a sexual nature that might

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reasonably be expected or be perceived to cause offense or humiliation, when such conduct interferes with work, is made a condition of employment or creates an intimidating, hostile or offensive work environment.

5. a) In the performance of the activities under this Project Document, the Implementing Partner shall (with respect to its own activities), and shall require from its sub-parties referred to in paragraph 4 (with respect to their activities) that they, have minimum standards and procedures in place, or a plan to develop and/or improve such standards and procedures in order to be able to take effective preventive and investigative action. These should include: policies on sexual harassment and sexual exploitation and abuse; policies on whistleblowing/protection against retaliation; and complaints, disciplinary and investigative mechanisms. In line with this, the Implementing Partner will and will require that such sub-parties will take all appropriate measures to:

i. Prevent its employees, agents or any other persons engaged to perform any services under this Project Document, from engaging in SH or SEA;

ii. Offer employees and associated personnel training on prevention and response to SH and SEA, where the Implementing Partner and its sub-parties referred to in paragraph 4 have not put in place its own training regarding the prevention of SH and SEA, the Implementing Partner and its sub-parties may use the training material available at UNDP;

iii. Report and monitor allegations of SH and SEA of which the Implementing Partner and its sub-parties referred to in paragraph 4 have been informed or have otherwise become aware, and status thereof;

iv. Refer victims/survivors of SH and SEA to safe and confidential victim assistance; and

v. Promptly and confidentially record and investigate any allegations credible enough to warrant an investigation of SH or SEA. The Implementing Partner shall advise UNDP of any such allegations received and investigations being conducted by itself or any of its sub-parties referred to in paragraph 4 with respect to their activities under the Project Document, and shall keep UNDP informed during the investigation by it or any of such sub-parties, to the extent that such notification (i) does not jeopardize the conduct of the investigation, including but not limited to the safety or security of persons, and/or (ii) is not in contravention of any laws applicable to it. Following the investigation, the Implementing Partner shall advise UNDP of any actions taken by it or any of the other entities further to the investigation.

b) The Implementing Partner shall establish that it has complied with the foregoing, to the satisfaction of UNDP, when requested by UNDP or any party acting on its behalf to provide such confirmation. Failure of the Implementing Partner, and each of its sub-parties referred to in paragraph 4, to comply of the foregoing, as determined by UNDP, shall be considered grounds for suspension or termination of the Project.

6. 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).

7. 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.

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8. 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.

9. 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.

10. 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.

11. In the event that an investigation is required, UNDP has the obligation to conduct investigations relating to any aspect of UNDP projects and programmes in accordance with UNDP’s regulations, rules, policies and procedures. 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.

12. 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.

13. 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. Recovery of such amount by UNDP shall not diminish or curtail the Implementing Partner’s obligations under this Project Document.

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.

14. 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

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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.

15. 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.

16. 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)1. UNDP as the Implementing Partner will comply with the policies, procedures and practices of the United

Nations Security Management System (UNSMS.)

2. UNDP as the Implementing Partner will undertake all reasonable efforts to ensure that none of the [project funds]21 [UNDP funds received pursuant to the Project Document]22 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.

3. 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).

4. 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.

5. In the implementation of the activities under this Project Document, UNDP as the Implementing Partner will handle any sexual exploitation and abuse (“SEA”) and sexual harassment (“SH”) allegations in accordance with its regulations, rules, policies and procedures.

6. 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.

7. 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

21 To be used where UNDP is the Implementing Partner22 To be used where the UN, a UN fund/programme or a specialized agency is the Implementing Partner

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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. In the performance of the activities under this Project, UNDP as the Implementing Partner shall ensure, with respect to the activities of any of its responsible parties, sub-recipients and other entities engaged under the Project, either as contractors or subcontractors, their personnel and any individuals performing services for them, that those entities have in place adequate and proper procedures, processes and policies to prevent and/or address SEA and SH.

d. 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.

e. 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.

f. 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.

g. 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.

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h. 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 this 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. Recovery of such amount by UNDP shall not diminish or curtail any responsible party’s, subcontractor’s or sub-recipient’s obligations under this Project Document.

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.

i. 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.

j. 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.

k. 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.

Option c. CSO/NGO/Non-UN or other IGO with no signed SBEAA with UNDP1. 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.

2. 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

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be deemed a breach of the Implementing Partner’s obligations under this Project Document and the Project Cooperation Agreement between UNDP and the Implementing Partner23.

3. 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.

4. The Implementing Partner acknowledges and agrees that UNDP will not tolerate sexual harassment and sexual exploitation and abuse of anyone by the Implementing Partner, and each of its responsible parties, their respective sub-recipients and other entities involved in Project implementation, either as contractors or subcontractors and their personnel, and any individuals performing services for them under the Project Document.

(a) In the implementation of the activities under this Project Document, the Implementing Partner, and each of its sub-parties referred to above, shall comply with the standards of conduct set forth in the Secretary General’s Bulletin ST/SGB/2003/13 of 9 October 2003, concerning “Special measures for protection from sexual exploitation and sexual abuse” (“SEA”).

(b) Moreover, and without limitation to the application of other regulations, rules, policies and procedures bearing upon the performance of the activities under this Project Document, in the implementation of activities, the Implementing Partner, and each of its sub-parties referred to above, shall not engage in any form of sexual harassment (“SH”). SH is defined as any unwelcome conduct of a sexual nature that might reasonably be expected or be perceived to cause offense or humiliation, when such conduct interferes with work, is made a condition of employment or creates an intimidating, hostile or offensive work environment.

5. a) In the performance of the activities under this Project Document, the Implementing Partner shall (with respect to its own activities), and shall require from its sub-parties referred to in paragraph 4 (with respect to their activities) that they, have minimum standards and procedures in place, or a plan to develop and/or improve such standards and procedures in order to be able to take effective preventive and investigative action. These should include: policies on sexual harassment and sexual exploitation and abuse; policies on whistleblowing/protection against retaliation; and complaints, disciplinary and investigative mechanisms. In line with this, the Implementing Partner will, and will require that such sub-parties will take all appropriate measures to:

i. Prevent its employees, agents or any other persons engaged to perform any services under this Project Document, from engaging in SH or SEA;

ii. Offer employees and associated personnel training on prevention and response to SH and SEA, where the Implementing Partner and its sub-parties referred to in paragraph 4, have not put in place its own training regarding the prevention of SH and SEA, the Implementing Partner and such sub-parties may use the training material available at UNDP;

iii. Report and monitor allegations of SH and SEA of which the Implementing Partner and its sub-parties referred to in paragraph 4 have been informed or have otherwise become aware, and status thereof;

iv. Refer victims/survivors of SH and SEA to safe and confidential victim assistance; and

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

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v. Promptly and confidentially record and investigate any allegations credible enough to warrant an investigation of SH or SEA. The Implementing Partner shall advise UNDP of any such allegations received and investigations being conducted by itself or any of its sub-parties referred to in paragraph 4 with respect to their activities under the Project Document, and shall keep UNDP informed during the investigation by it or any of such sub-parties, to the extent that such notification (i) does not jeopardize the conduct of the investigation, including but not limited to the safety or security of persons, and/or (ii) is not in contravention of any laws applicable to it. Following the investigation, the Implementing Partner shall advise UNDP of any actions taken by it or any of the other entities further to the investigation.

b) The Implementing Partner shall establish that it has complied with the foregoing, to the satisfaction of UNDP, when requested by UNDP or any party acting on its behalf to provide such confirmation. Failure of the Implementing Partner, and each of its sub-parties referred to in paragraph 4, to comply of the foregoing, as determined by UNDP, shall be considered grounds for suspension or termination of the Project.

6. 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).

7. 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.

8. 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.

9. 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.

10. 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.

11. In the event that an investigation is required, UNDP has the obligation to conduct investigations relating to any aspect of UNDP programmes and projects in accordance with UNDP regulations, rules, policies and procedures. 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.

12. 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.

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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.

13. 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 this Project Document. Such amount may be deducted by UNDP from any payment due to the Implementing Partner under this or any other agreement. Recovery of such amount by UNDP shall not diminish or curtail the Implementing Partner’s obligations under this Project Document.

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.

14. 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.

15. 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.

16. 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

a. [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.)

b. In the implementation of the activities under this Project Document, [Name of UN Agency/IGO] as the Implementing Partner will handle any sexual exploitation and abuse (“SEA”) and sexual harassment (“SH”) allegations in accordance with its regulations, rules, policies and procedures. Notwithstanding the foregoing, the [Name of UN Agency/IGO], as the Implementing Partner, will notify UNDP of any such allegations and investigations it may conduct further to such allegations.

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c. [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.

c. In the performance of the activities under this Project, [Name of UN Agency/IGO] as the Implementing Partner shall ensure, with respect to the activities of any of its responsible parties, sub-recipients and other entities engaged under the Project, either as contractors or subcontractors, their personnel and any individuals performing services for them, that those entities have in place adequate and proper procedures, processes and policies to prevent and/or handle SEA and SH.

d. [Name of UN Agency/IGO] agrees to undertake all reasonable efforts to ensure that none of the [project funds]24 [UNDP funds received pursuant to the Project Document]25 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.

e. 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).

f. 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.

g. 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.

24 To be used where UNDP is the Implementing Partner25 To be used where the UN, a UN fund/programme or a specialized agency is the Implementing Partner

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h. 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.

i. [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.]

j. [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.]

k. 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.

l. 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 this Project Document. Such amount may be deducted by UNDP from any payment due to the Implementing Partner under this or any other agreement. Recovery of such amount by UNDP shall not diminish or curtail the Implementing Partner’s obligations under this Project Document.

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.

m. 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.

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n. 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.

o. 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.

Special Clauses. In case of government cost-sharing through the project, the following clauses should be included:

1. The schedule of payments and UNDP bank account details.

2. The value of the payment, if made in a currency other than United States dollars, shall be determined by applying the United Nations operational rate of exchange in effect on the date of payment. Should there be a change in the United Nations operational rate of exchange prior to the full utilization by the UNDP of the payment, the value of the balance of funds still held at that time will be adjusted accordingly. If, in such a case, a loss in the value of the balance of funds is recorded, UNDP shall inform the Government with a view to determining whether any further financing could be provided by the Government. Should such further financing not be available, the assistance to be provided to the project may be reduced, suspended or terminated by UNDP.

3. The above schedule of payments takes into account the requirement that the payments shall be made in advance of the implementation of planned activities. It may be amended to be consistent with the progress of project delivery.

4. UNDP shall receive and administer the payment in accordance with the regulations, rules and directives of UNDP.

5. All financial accounts and statements shall be expressed in United States dollars.

6. If unforeseen increases in expenditures or commitments are expected or realized (whether owing to inflationary factors, fluctuation in exchange rates or unforeseen contingencies), UNDP shall submit to the government on a timely basis a supplementary estimate showing the further financing that will be necessary. The Government shall use its best endeavors to obtain the additional funds required.

7. If the payments referred above are not received in accordance with the payment schedule, or if the additional financing required in accordance with paragraph [] above is not forthcoming from the Government or other sources, the assistance to be provided to the project under this Agreement may be reduced, suspended or terminated by UNDP.

8. Any interest income attributable to the contribution shall be credited to UNDP Account and shall be utilized in accordance with established UNDP procedures.

In accordance with the decisions and directives of UNDP's Executive Board:

The contribution shall be charged:

(a) […%] cost recovery for the provision of general management support (GMS) by UNDP headquarters and country offices

(b) Direct cost for implementation support services (ISS) provided by UNDP and/or an executing entity/implementing partner.

9. Ownership of equipment, supplies and other properties financed from the contribution shall vest in UNDP. Matters relating to the transfer of ownership by UNDP shall be determined in accordance with the relevant policies and procedures of UNDP.

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10. The contribution shall be subject exclusively to the internal and external auditing procedures provided for in the financial regulations, rules and directives of UNDP.”

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XII. MANDATORY ANNEXES

Guidance to the project developer: The following Annexes must be included within this Project Document and not as separate documents. They must be completed as part of the submission package to the GEF and included in the project document that is signed by the relevant parties:1. Project Map and geospatial coordinates of the project area

2. Multiyear Workplan

3. Monitoring Plan

4. Stakeholder Engagement Plan (as annex or in main body)

5. UNDP Atlas Risk Log

6. Overview of technical consultancies/subcontracts

7. Terms of Reference for Technical services to be provided by UNDP, the Project Board, Project Manager, Chief Technical Advisor and other positions as appropriate

The following Annexes must be completed as part of the submission package to the GEF, but do not have to be included as part of the Project Document if this is more convenient (i.e. they can be annexed separately). These separate annexes must be included in the project document that is signed by the relevant parties:8. Signed letter from the Implementing Partner and GEF OFP requesting UNDP Support Services (if required on

exceptional basis)

9. Signed LOA between UNDP and IP requesting UNDP Support Services (if required on exceptional basis)

10. Social and Environmental Screening Procedure (SESP) may not be required for EAs

11. Environmental Social Management Framework (ESMF) if required. not be required for EAs

12. Gender Analysis and Gender Action Plan

13. Procurement Plan – for first year of implementation especially

14. GEF focal area specific annexes (e.g. METT, GHG calculations, target landscape profile, feasibility study, other technical reports)

15. 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 etc..

The following Annexes can be prepared as separate documents. They must be completed as part of the submission package to the GEF and are entered line-by-line into the GEF Portal. These separate annexes do not need to be part of the project document that is signed by the relevant parties:16. GEF and/or LDCF/SCCF Core indicators (see template below)

17. GEF Taxonomy (see template below)

The following Annexes must completed/prepared as separate documents. Most must be completed early in the PPG phase to help inform the design of the project. They must be made available to the LPAC members. They do not need to be submitted to the GEF and do not need to be part of the project document that is signed by the relevant parties.18. Partners Capacity Assessment Tool and HACT assessment may not be required for EAs if less than US$300,000

will be transferred to IP

19. UNDP Project Quality Assurance Report (to be completed in UNDP online corporate planning system)

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Annex 1: Project map and Geospatial Coordinates of project sites

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Annex 2: Multi Year Work Plan

Outcomes Outputs Activities Year 1 Year 2 Year 3 Year 4 Year 5Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Outcome 1

Outcome 2

Etc…

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Annex 3: Monitoring Plan: This Monitoring Plan and the M&E Plan and Budget in Section VI of this project document will both guide monitoring and evaluation at the project level for the duration of project implementation.

Monitoring IndicatorsTargets

Description of

indicators and targets

Data source/Collection

Methods26Frequency Responsible for

data collectionMeans of

verification Risks/Assumptions

Project objective from the results framework

Indicator 1 Copy from results framework

Split out midterm and end of project targets as needed.

Describe the indicator and detail how the target values were derived.

List the source of the baseline data and targets and explain how this data was collected and how it should be collected during project implementation. Detail which methodology should be used (e.g. GEF GHG measurement methodology).

Annually

Reported in DO tab of the GEF PIR

For example, National Office of Statistics; UNDP Country Office;Project consultant

Consultant report

National statistics report

Explain risk and assumptions that were made when the objective was selected, and the project theory of change developed. What risks were identified that if materialized will stop the project from reaching its objective/outcome. Include any assumptions made when estimating the target values.

Indicator 2Indicator 3Indicator 4Indicator 5

Project Outcome 1

Indicator 6

Indicator 7

Project Outcome 2

Indicator 8

Indicator 9

Indicator 10

26 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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Monitoring IndicatorsTargets

Description of

indicators and targets

Data source/Collection

MethodsFrequency Responsible for

data collectionMeans of

verification Risks/Assumptions

Project Outcome 3 Indicator 11

Project Outcome 4

Indicator 12

Indicator 13

Project Outcome 5

Indicator 14

Indicator 15

Project Outcome 6

Indicator 16

Indicator 17

Project Outcome 7

Indicator 18

Indicator 19

Project Outcome 8

Indicator 20

Indicator 21

Add indicators included in gender action plan, stakeholder engagement plan or other monitoring plans as needed.

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Annex 4: Stakeholder Engagement Plan Guidance to project developer: The scope and details of the Stakeholder Engagement Plan will vary according to the nature of the project, the number of stakeholders and the potential impact of the project and its risks. Please refer to the GEF Guidelines on the Implementation of the Policy on Stakeholder Engagement. Additional guidance is available under the UNDP Social and Environmental Standards.

The Stakeholder Engagement Plan must include the following minimum elements and must be publicly available in a form and language appropriate to the relevant stakeholders and disseminated proactively to them: Public engagement undertaken during project development The stakeholders, their relevant interests, and why they are included The steps and actions to achieve meaningful consultation and inclusive participation, including information dissemination Roles and responsibilities for implementation of the Plan The timing of the engagement throughout the project cycle The budget for stakeholder engagement throughout the project cycle and, where applicable, for related capacity-building to support this engagement Key indicators of stakeholder engagement during project implementation, and steps that will be taken to monitor and report on progress and issues

that arise

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Annex 5: UNDP Risk LogGuidance to project developer: Complete the table below. Please refer to the UNDP Enterprise Risk Management guide for further information.

# Description Date Identified

Risk Category Impact &Probability

Risk Treatment / Management Measures

Risk Owner Status

GUIDANCE: Enter a brief description of the risk. Risk description should include future event and cause.

Risks identified through HACT, SES, Private Sector Due Diligence, and other assessments should be included.

(In Atlas, use the Description field. Note: This field cannot be modified after first data entry)

Enter date

Social and EnvironmentalFinancialOperational OrganizationalPoliticalRegulatoryStrategicOther

Subcategories for each risk type should be consulted to understand each risk type (see Deliverable Description for more information)

(In Atlas, select from list)

Describe the potential effect on the project if the future event were to occur.

Enter probability based on 1-5 scale (1 = Not likely; 5 = Expected)

Enter impact based on 1-5 scale (1 = Low; 5 = Critical)

(in Atlas, use the Management Response box. This field can be modified at any time. Create separate boxes as necessary using “+”, for instance to record updates at different times. Check “critical” if P x I = 20 or above)

What actions have been taken/will be taken to manage this risk.

(in Atlas, use the Management Response box)

The person or entity with the responsibility to manage the risk.

(in Atlas, use the Management Response box)

Status and effectiveness of management measures.

(in Atlas, use the Management Response box to describe status of management measures. Update Probability and Impact as needed)

1 Social and EnvironmentalFinancialOperational OrganizationalPoliticalRegulatoryStrategicOther

Text

P =I =

2 Social and EnvironmentalFinancial

Text

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Operational OrganizationalPoliticalRegulatoryStrategicOther

P =I =

3

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Annex 6: 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 OutputsFor Project Management / Monitoring & Evaluation

Local / National contractingProject Manager

Rate: $1,200/week

43 weeks / over 5 years

The Project Manager (PM), together with the Lead Technical Advisor will be responsible for the overall management of the project, including the mobilization of all project inputs, supervision over project staff, consultants and sub-contractors. See the full TOR above for details.

International / Regional and global contracting

Lead Technical Advisor

Rate: $2,000/week

20 weeks / over 5 years

The Lead Technical Adviser will be responsible for providing overall technical backstopping and management support to the Project.See the full TOR above for details.

For Technical AssistanceOutcome 1

Local / National contractingProtected Area Capacity Development National Specialist

Rate: $300/week

80 weeks / over 5 years

Under close supervision of Lead Technical Advisor and Project Manager (PM) the Protected Area Capacity Development Specialist (PACDS) will work closely with the Protected Area Capacity Development Advisor (PACDA) to conduct protected area capacity building related to the project under Outputs 1.2 and 1.3 and support a working group for improved protected area capacity building and work with that group to:

Contribute to the development of a capacity development strategy and action plan for increasing the management effectiveness of the PA system.

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Consultant Time Input Tasks, Inputs and Outputs 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 & Biodiversity Strategy Advisor

Rate: $ 2,000/week

25 weeks / over 5 years

In close coordination with the Project Manager (PM), the international Protected Areas and Biodiversity Advisor (PABA) will provide international perspective, strategic guidance and technical inputs to the implementation of activities under Outputs 1.1 to 1.6, including the following:

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; 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.

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Consultant Time Input Tasks, Inputs and Outputs 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 7: Terms of ReferencesGuidance to project developer: The following template includes example text to help guide the completion of this Annex for the project in question.

Terms of Reference of Techncial Services to be provided by UNDP: These staff costs cannot include any oversight functions as this would duplicate GEF implementation functions paid by the GEF Fee and would be a direct

violation of GEF policy and would jeopardize UNDP’s accreditation status with the GEF. All technical services must be specified and known and cannot refer to anticipated or expected technical support services. The qualifications necessary to undertake these technical services must be included in the TOR. The UNDP-GEF RTA and the PTA must approve the technical services included in the TOR (and the qualifications). The RTA and the PTA have the full

authority to edit, revise, and/or refuse the technical services if they are contrary to GEF policy.

Terms of Reference for Key Project Staff

Project ManagerBackgroundThe Project Manager (PM) will be appointed by the project implementing partner. 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.

Duties and Responsibilities Manage the overall conduct of the project. Plan the activities of the project and monitor progress against the approved workplan. Execute activities by managing personnel, goods and services, training and low-value grants, including drafting terms of reference and work specifications,

and overseeing all contractors’ work. Monitor events as determined in the project monitoring plan, and update the plan as required. Provide support for completion of assessments required by UNDP, spot checks and audits. Manage requests for the provision of UNDP financial resources through funding advances, direct payments or reimbursement using the FACE form. Monitor financial resources and accounting to ensure the accuracy and reliability of financial reports. Monitor progress, watch for plan deviations and make course corrections when needed within project board-agreed tolerances to achieve results. Ensure that changes are controlled and problems addressed. Perform regular progress reporting to the project board as agreed with the board, including measures to address challenges and opportunities. Prepare and submit financial reports to UNDP on a quarterly basis. Manage and monitor the project risks – including social and environmental 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 revisions to the multi-year workplan, as needed, as well as annual and quarterly plans if required. Prepare the inception report no later than one month after the inception workshop.

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Ensure that the indicators included in the project results framework are monitored annually in advance of the GEF PIR submission deadline so that progress can be reported in the GEF PIR.

Prepare the GEF PIR; Assess major and minor amendments to the project within the parameters set by UNDP-GEF; Monitor implementation plans including the gender action plan, stakeholder engagement plan, and any environmental and social management plans; Monitor and track progress against the GEF Core indicators. Support the Mid-term review and Terminal Evaluation process.

Required skills and expertise A university degree (MSc or PhD) in a subject related to natural resource management or environmental sciences. 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 OfficerUnder 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:

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;

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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 OfficerUnder 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.

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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 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; 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 AssistantUnder the guidance and supervision of the Project Manager, the Project Assistant will carry out the following tasks:

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

Project Accountant/Finance Assistant/Finance officerUnder 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 UNDP or 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

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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; 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 16: GEF Core indicatorsGuidance to project developer: Please complete these tables as appropriate, noting that all projects are expected to provided data for Core Indicator 11 (direct beneficiaries; first indicator in the Results Framework) at a minimum. However, if it is concluded that no indicators are relevant to the project, then an explanation must be provided (to request an exceptional waiver from the GEFSec). Any changes to the PIF-stage selection of indicators (including sub-indicators) and/or any significant changes to the PIF-stage figures must be cleared by the RTA. This Annex must be completed by the submission deadline, but it does not need to be included in the ProDoc submitted to the GEF as this data must be manually entered into the GEF Portal. The supplemental METTs, if required, should be prepared in the GEF-7 Excel template and should not be included in the ProDoc but attached as a separate document.There is a separate Core Indicators worksheet for LDCF/SCCF projects, which is in draft as of June 2019. Please request that worksheet from the UNDP-GEF Unit.

Core Indicator 1

Terrestrial protected areas created or under improved management for conservation and sustainable use

(Hectares)

Hectares (1.1+1.2)Expected Achieved

PIF stage Endorsement MTR TE                       

Indicator 1.1 Terrestrial protected areas newly created      Name of Protected Area

WDPA ID IUCN categoryHectares

Expected AchievedPIF stage Endorsement MTR TE

            (select)                                    (select)                        

Sum                        Indicator 1.2 Terrestrial protected areas under improved management effectiveness      Name of Protected Area

WDPA ID IUCN category Hectares

METT Score Baseline Achieved

Endorsement MTR TE            (select)                                    (select)                        

Sum      Core Indicator 2

Marine protected areas created or under improved management for conservation and sustainable use

(Hectares)

Hectares (2.1+2.2)Expected Achieved

PIF stage Endorsement MTR TE                       

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Indicator 2.1 Marine protected areas newly created      Name of Protected Area

WDPA ID IUCN categoryHectares

Expected AchievedPIF stage Endorsement MTR TE

            (select)                                    (select)                        

Sum                        Indicator 2.2 Marine protected areas under improved management effectiveness      Name of Protected Area

WDPA ID IUCN category Hectares

METT Score Baseline Achieved

PIF stage Endorsement MTR TE            (select)                                    (select)                        

Sum      Core Indicator 3

Area of land restored (Hectares)

Hectares (3.1+3.2+3.3+3.4)Expected Achieved

PIF stage Endorsement MTR TE                       

Indicator 3.1 Area of degraded agricultural land restored      Hectares

Expected AchievedPIF stage Endorsement MTR TE

                                              

Indicator 3.2 Area of forest and forest land restored      Hectares

Expected AchievedPIF stage Endorsement MTR TE

                                              

Indicator 3.3 Area of natural grass and shrublands restored      Hectares

Expected AchievedPIF stage Endorsement MTR TE

                                              

Indicator 3.4 Area of wetlands (including estuaries, mangroves) restored      

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HectaresExpected Achieved

PIF stage Endorsement MTR TE                                              

Core Indicator 4

Area of landscapes under improved practices (hectares; excluding protected areas) (Hectares)

Hectares (4.1+4.2+4.3+4.4)Expected Expected

PIF stage Endorsement MTR TE                       

Indicator 4.1 Area of landscapes under improved management to benefit biodiversity      Hectares

Expected AchievedPIF stage Endorsement MTR TE

                                              

Indicator 4.2 Area of landscapes that meet national or international third-party certification that incorporates biodiversity considerations

     

Third party certification(s):      

     

     

HectaresExpected Achieved

PIF stage Endorsement MTR TE                                              

Indicator 4.3 Area of landscapes under sustainable land management in production systems      Hectares

Expected AchievedPIF stage Endorsement MTR TE

                                              

Indicator 4.4 Area of High Conservation Value Forest (HCVF) loss avoided      Include documentation that justifies HCVF     

HectaresExpected Achieved

PIF stage Endorsement MTR TE                                              

Core Indicator 5

Area of marine habitat under improved practices to benefit biodiversity (Hectares)

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Indicator 5.1 Number of fisheries that meet national or international third-party certification that incorporates biodiversity considerations

     

Third party certification(s):      

     

     

NumberExpected Achieved

PIF stage Endorsement MTR TE                                              

Indicator 5.2 Number of large marine ecosystems (LMEs) with reduced pollution and hypoxial      Number

Expected AchievedPIF stage Endorsement MTR TE

                                              

Indicator 5.3 Amount of Marine Litter AvoidedMetric Tons

Expected AchievedPIF stage Endorsement MTR TE

                                              

Core Indicator 6

Greenhouse gas emission mitigated (Metric tons of CO₂e )

Expected metric tons of CO₂e (6.1+6.2)PIF stage Endorsement MTR TE

Expected CO2e (direct)                        Expected CO2e (indirect)                        

Indicator 6.1 Carbon sequestered or emissions avoided in the AFOLU sector       Expected metric tons of CO₂e

PIF stage Endorsement MTR TEExpected CO2e (direct)                        

Expected CO2e (indirect)                        Anticipated start year of

accounting                       

Duration of accounting                        Indicator 6.2 Emissions avoided Outside AFOLU      

Expected metric tons of CO₂eExpected Achieved

PIF stage Endorsement MTR TEExpected CO2e (direct)                        

Expected CO2e (indirect)                        

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Anticipated start year of accounting

                       

Duration of accounting                        Indicator 6.3 Energy saved      

MJExpected Achieved

PIF stage Endorsement MTR TE                                              

Indicator 6.4 Increase in installed renewable energy capacity per technology      

TechnologyCapacity (MW)

Expected AchievedPIF stage Endorsement MTR TE

(select)                        (select)                        

Core Indicator 7

Number of shared water ecosystems (fresh or marine) under new or improved cooperative management

(Number)

Indicator 7.1 Level of Transboundary Diagnostic Analysis and Strategic Action Program (TDA/SAP) formulation and implementation

     

Shared water ecosystem

Rating (scale 1-4)PIF stage Endorsement MTR TE

                                                          

Indicator 7.2 Level of Regional Legal Agreements and Regional Management Institutions to support its implementation

     

Shared water ecosystem

Rating (scale 1-4)PIF stage Endorsement MTR TE

                                                          

Indicator 7.3 Level of National/Local reforms and active participation of Inter-Ministerial Committees      Shared water ecosystem

Rating (scale 1-4)PIF stage Endorsement MTR TE

                                              

Indicator 7.4 Level of engagement in IWLEARN through participation and delivery of key products      

Shared water ecosystem

Rating (scale 1-4)Rating Rating

PIF stage Endorsement MTR TE                             

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                             Core Indicator 8

Globally over-exploited fisheries Moved to more sustainable levels (Metric Tons)

Fishery Details     

Metric TonsPIF stage Endorsement MTR TE

                       Core Indicator 9

Reduction, disposal/destruction, phase out, elimination and avoidance of chemicals of global concern and their waste in the environment and in processes, materials and products

(Metric Tons)

Metric Tons (9.1+9.2+9.3)Expected Achieved

PIF stage PIF stage MTR TE                       

Indicator 9.1 Solid and liquid Persistent Organic Pollutants (POPs) removed or disposed (POPs type)      

POPs typeMetric Tons

Expected AchievedPIF stage Endorsement MTR TE

(select) (select) (select)                        

(select) (select) (select)                        

(select) (select) (select)                        Indicator 9.2 Quantity of mercury reduced      

Metric TonsExpected Achieved

PIF stage Endorsement MTR TE                       

Indicator 9.3 Hydrochloroflurocarbons (HCFC) Reduced/Phased out Metric Tons

Expected AchievedPIF stage Endorsement MTR TE

                       Indicator 9.4 Number of countries with legislation and policy implemented to control chemicals and

waste     

Number of CountriesExpected Achieved

PIF stage Endorsement MTR TE                       

Indicator 9.5 Number of low-chemical/non-chemical systems implemented particularly in food production, manufacturing and cities

     

Technology Number

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Expected AchievedPIF stage Endorsement MTR TE

                                                          

Indicator 9.6 Quantity of POPs/Mercury containing materials and products directly avoidedMetric Tons

Expected AchievedPIF stage Endorsement PIF stage Endorsement

                                              

Core Indicator 10

Reduction, avoidance of emissions of POPs to air from point and non-point sources (grams of toxic

equivalent gTEQ)

Indicator 10.1 Number of countries with legislation and policy implemented to control emissions of POPs to air

     

Number of CountriesExpected Achieved

PIF stage Endorsement MTR TE                       

Indicator 10.2 Number of emission control technologies/practices implemented      Number

Expected AchievedPIF stage Endorsement MTR TE

                       Core Indicator 11

Number of direct beneficiaries disaggregated by gender as co-benefit of GEF investment (Number)

Number Expected Achieved

PIF stage Endorsement MTR TEFemale                        

Male                        Total                        

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Annex 17: GEF 7 Taxonomy Guidance to project developer: Please complete these tables as appropriate ticking the most relevant keywords/topics/themes. This Annex must be completed by the submission deadline, but it does not need to be included in the ProDoc submitted to the GEF as this data must be manually entered into the GEF Portal. Level 1 Level 2 Level 3 Level 4

Influencing models        Transform policy and

regulatory environments   

  Strengthen institutional capacity and decision-making

   

  Convene multi-stakeholder alliances

  

  Demonstrate innovative approaches

   

  Deploy innovative financial instruments

   

Stakeholders        Indigenous Peoples      Private Sector        Capital providers      Financial intermediaries and market

facilitators 

    Large corporations      SMEs      Individuals/Entrepreneurs      Non-Grant Pilot      Project Reflow    Beneficiaries      Local Communities      Civil Society        Community Based Organization      Non-Governmental Organization      Academia      Trade Unions and Workers Unions    Type of Engagement        Information Dissemination      Partnership      Consultation      Participation  

CommunicationsAwareness RaisingEducationPublic CampaignsBehavior Change

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Capacity, Knowledge and Research

Enabling ActivitiesCapacity DevelopmentKnowledge Generation and ExchangeTargeted ResearchLearning

Theory of ChangeAdaptive ManagementIndicators to Measure Change

Innovation  Knowledge and Learning  

Knowledge Management    Innovation      Capacity Development      Learning    Stakeholder Engagement

Plan   

Gender Equality        Gender Mainstreaming  

Beneficiaries    Women groups      Sex-disaggregated indicators      Gender-sensitive indicators    Gender results areas  

Access and control over natural resources    Participation and leadership      Access to benefits and services      Capacity development      Awareness raising      Knowledge generation  

Focal Areas/Theme    Integrated Programs

   Commodity Supply Chains (27Good

Growth Partnership)   

      Sustainable Commodities Production      Deforestation-free Sourcing      Financial Screening Tools      High Conservation Value Forests      High Carbon Stocks Forests      Soybean Supply Chain      Oil Palm Supply Chain

27

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      Beef Supply Chain      Smallholder Farmers      Adaptive Management    Food Security in Sub-Sahara Africa             Resilience (climate and shocks)      Sustainable Production Systems      Agroecosystems      Land and Soil Health      Diversified Farming

     Integrated Land and Water

Management      Smallholder Farming      Small and Medium Enterprises      Crop Genetic Diversity      Food Value Chains      Gender Dimensions      Multi-stakeholder Platforms

   Food Systems, Land Use and Restoration  

      Sustainable Food Systems      Landscape Restoration      Sustainable Commodity Production      Comprehensive Land Use Planning      Integrated Landscapes      Food Value Chains      Deforestation-free Sourcing      Smallholder Farmers    Sustainable Cities        Integrated urban planning      Urban sustainability framework      Transport and Mobility      Buildings      Municipal waste management      Green space      Urban Biodiversity      Urban Food Systems      Energy efficiency      Municipal Financing      Global Platform for Sustainable Cities      Urban Resilience  Biodiversity        Protected Areas and Landscapes        Terrestrial Protected Areas      Coastal and Marine Protected Areas

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      Productive Landscapes      Productive Seascapes

     Community Based Natural Resource

Management    Mainstreaming        Extractive Industries (oil, gas, mining)      Forestry (Including HCVF and REDD+)      Tourism      Agriculture & agrobiodiversity      Fisheries      Infrastructure      Certification (National Standards)      Certification (International Standards)    Species        Illegal Wildlife Trade      Threatened Species       Wildlife for Sustainable Development      Crop Wild Relatives      Plant Genetic Resources      Animal Genetic Resources      Livestock Wild Relatives      Invasive Alien Species (IAS)    Biomes        Mangroves      Coral Reefs      Sea Grasses      Wetlands      Rivers      Lakes      Tropical Rain Forests      Tropical Dry Forests      Temperate Forests      Grasslands       Paramo      Desert    Financial and Accounting        Payment for Ecosystem Services

     Natural Capital Assessment and

Accounting      Conservation Trust Funds      Conservation Finance    Supplementary Protocol to the CBD        Biosafety      Access to Genetic Resources Benefit

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Sharing  Forests      Forest and Landscape Restoration

REDD/REDD+    Forest        Amazon      Congo      Drylands  Land Degradation        Sustainable Land Management  

     Restoration and Rehabilitation of

Degraded Lands       Ecosystem Approach      Integrated and Cross-sectoral approach      Community-Based NRM      Sustainable Livelihoods      Income Generating Activities      Sustainable Agriculture      Sustainable Pasture Management

     Sustainable Forest/Woodland

Management

     Improved Soil and Water Management

Techniques      Sustainable Fire Management      Drought Mitigation/Early Warning    Land Degradation Neutrality        Land Productivity      Land Cover and Land cover change      Carbon stocks above or below ground    Food Security    International Waters        Ship      Coastal  

Freshwater    Aquifer    River Basin    Lake Basin    Learning      Fisheries      Persistent toxic substances      SIDS : Small Island Dev States      Targeted Research  

PollutionPersistent toxic substances

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    Plastics

     Nutrient pollution from all sectors

except wastewater      Nutrient pollution from Wastewater

   Transboundary Diagnostic Analysis and

Strategic Action Plan preparation 

    Strategic Action Plan Implementation      Areas Beyond National Jurisdiction      Large Marine Ecosystems      Private Sector      Aquaculture      Marine Protected Area      Biomes        Mangrove      Coral Reefs      Seagrasses      Polar Ecosystems      Constructed Wetlands  Chemicals and Waste  

Mercury    Artisanal and Scale Gold Mining      Coal Fired Power Plants      Coal Fired Industrial Boilers      Cement      Non-Ferrous Metals Production      Ozone      Persistent Organic Pollutants  

   Unintentional Persistent Organic

Pollutants 

   Sound Management of chemicals and

Waste 

    Waste Management        Hazardous Waste Management      Industrial Waste      e-Waste    Emissions      Disposal      New Persistent Organic Pollutants      Polychlorinated Biphenyls      Plastics      Eco-Efficiency      Pesticides      DDT - Vector Management      DDT - Other  

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    Industrial Emissions      Open Burning  

   Best Available Technology / Best

Environmental Practices 

    Green Chemistry    Climate Change

Climate Change AdaptationClimate Finance

      Least Developed Countries      Small Island Developing States      Disaster Risk Management      Sea-level rise

Climate Resilience      Climate information      Ecosystem-based Adaptation      Adaptation Tech Transfer

     National Adaptation Programme of

Action      National Adaptation Plan      Mainstreaming Adaptation      Private Sector      Innovation      Complementarity      Community-based Adaptation      Livelihoods    Climate Change Mitigation

Agriculture, Forestry, and other Land Use

      Energy Efficiency

     Sustainable Urban Systems and

Transport      Technology Transfer      Renewable Energy      Financing      Enabling Activities    Technology Transfer  

     Poznan Strategic Programme on

Technology Transfer

     Climate Technology Centre & Network

(CTCN)      Endogenous technology      Technology Needs Assessment      Adaptation Tech Transfer    United Nations Framework on  

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Climate Change      Nationally Determined Contribution

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