enhancing the framework for implementation with partners...implementing partnership extends beyond...

Enhancing the Framework for Implementation with Partners

Establishing and Maintaining Partnership Background and summary of developments

Draft subject to consultation and approval

Version dated: 26 June 2012

Implementing Partnership Management Service 2

TableofContentsINTRODUCTION ......................................................................................................................... 3 BACKGROUND ........................................................................................................................... 3 SCOPE OF THE INITIATIVE AND FRAMEWORK ......................................................................... 4

PURPOSE: FRAMEWORK FOR IMPLEMENTATION WITH PARTNERS ..................................... 4 APPROACH TO ENHANCING THE FRAMEWORK .................................................................... 5 TIMELINE ............................................................................................................................... 6 PROGRESS MADE TO DATE ................................................................................................... 6

SUMMARY OF THE DRAFT PROPOSED PROCEDURES .............................................................. 7 ESTABLISHING PARTNERSHIP ................................................................................................ 7 SELECTION AND RENTEION FOR PROJECT IMPLEMENTATION (Work step 1) ...................... 8 PARTNER PORTAL .................................................................................................................. 9 ESTABLISHING PROJECT AGREEMENT (Work step 2) ............................................................ 9 TERMINATION OF PROJECT AGREEMENTS ......................................................................... 11 REVIEW OF STANDARD UNHCR PROJECT AGREEMENTS .................................................... 11


INTRODUCTION This document describes the background and rationale for the current initiative being undertaken for enhancing the UNHCR Framework for Implementation with Partners (the Framework). It provides draft high‐level concepts and notes generated through Reference Working Groups. In addition, it invites comments, suggestions and further improvements.

UNHCR seek to solicit views and contributions from the NGO partners (as one major stakeholder), particularly:

Whether the proposed Framework and the draft procedures meet the expectations of NGO partners;

Other proposals for further improvements;

Areas of focus to be prioritized for next steps.

Any other comments and proposals are most welcome.

BACKGROUND Since its inception, UNHCR has been collaborating with a broad range of partners that share common humanitarian principles, commitments and complementarities for protection of refugees and other persons of concern. Partners include governments, UN agencies, inter‐governmental, Red Cross and Red‐Crescent Movements, local, national and international non‐governmental organizations (NGOs), civil society actors, and other non‐profit entities. There are other forms of partnerships as well, such as with private corporate.

These partnerships take various forms and are established and maintained at global, country and local levels. Such cooperation covers a wide and constantly evolving spectrum of complementary and mutual support that form the foundation for achieving the desired outcomes for refugees and other persons of concern.

The nature of partnership is evolving and becoming more diverse and complex. Operations take place increasingly in highly volatile, insecure and challenging environments. Partners, particularly national/local NGOs, often represent the only way UNHCR can access refugees and persons of concern in some challenging locations.

The participation of partners in implementation of UNHCR programme has grown from less than 100 partners in the 1980s to more than 800 partners in 2011. The direct resources through partners for implementing 1,463 projects world‐wide accounted for 36% of UNHCR total annual expenditure and 61% of operational expenditure in 2011 (USD2.2 billion). Project expenditures require audit certification to provide assurance to donors and oversight and governing bodies for the effective utilization of resources.

UNHCR relies almost entirely on voluntary contributions from mainly governments and intergovernmental institutions and some corporation and individuals. The external Board of Auditors views UNHCR’s performance management and oversight matters related to implementation with partners is one of the high risks areas1. UNHCR financial statements have been qualified twice in the past 10 years due to this issue. UNHCR Inspector General’s Office and internal auditors (OIOS) have raised similar concerns. UNHCR must not only manage its operational performance but also mitigate risk of damaging its credibility and broadening donor base.

1 BOA report 2002, 2009 (qualified years), 2010, 2011


SCOPE OF THE INITIATIVE AND FRAMEWORK The High Commissioner sets strategic directions through articulating Global Strategic Priorities (GSP) for implementing annual programmes. The GSP are cascaded to address specific needs. UNHCR Offices develop country specific Operation Plans (COP) that are based on the assessed needs of refugees and other persons of concern and the peculiarities of the operating environment. The Operation Plan is then formulated into Projects.

UNHCR employs three types of implementation modalities2 for implementing programmes:

1. Direct implementation by UNHCR (staff, procurement, commercial contracts, etc.);

2. Collaboration with operational partners (no funds are transferred between partners ); and

3. Collaboration with implementing partners (UNHCR funds are transferred to partner).

The choice of implementation arrangement depends on various factors including: mandate; area of responsibilities; operational requisites; availability; and, added value. In any given situation, UNHCR may opt one or combination of these arrangements.

The scope of this initiative (The development of an enhanced UNHCR Framework for Implementing with Partners) is limited to collaboration with implementing partners.

UNHCR recognizes its relationship with implementing partners as one of pivotal and strategic partnership in implementing its mandate and draws a clear distinction between such partnerships and those of agents of delivery and commercial arrangements.

Implementing Partnership extends beyond the funding cycle and implementation period of a specific Project Agreement. The partnership is guided by the common humanitarian goals and Principles of Partnership and formalized through signed legally binding agreement.

PURPOSE: FRAMEWORK FOR IMPLEMENTATION WITH PARTNERS In 2010/2011, UNHCR launched an internal review and bench marking across nine UN agencies on implementing partnerships. It has recognized that most of its operational guidance related to the subject is outdated and gaps have emerged to adequately respond to the evolving nature of partnerships and to provide effective performance and accountability for resources entrusted for providing quality assistance/protection to refugees and other persons of concern.

UNHCR has thus adopted a risk‐based management approach3 and committed to review and improve its current policies and processes related to the Framework. The aim is to enhance collaborative partnerships for the achievement of best results for refugees and other persons of concern as well as to promote greater due diligence and accountability.

The decision to adopt a risk based management approach stems from UNHCR’s recognition that the “one‐size‐fits‐all” approach does not sufficiently address the complexity of working with partners of varying capacity as well as the variety of challenging operating environments. This is coupled with the fact that an increasing amount of UNHCR resources are channeled through partners.

The enhanced Framework is an integral and governance instrument. It sets out UNHCR’s standards operating procedures and expectations for sound management across the organizations. The enhanced Framework updates and articulates: policies; regulation; 2 Chapter IV UNHCR Operations Manual. 3 EXCOM report, 2011 and decision of the UNHCR Budget Committee, August 2011.


values; principles; accountabilities; responsibilities; and processes related to management of project agreements and the implementation partnership. The Framework also institutionalizes policies into practices, guides UNHCR operations and informs partners, hence providing for consistency and transparency.

The goal is to put in place a Framework that supports:

Attainment of common goals and achievement of the desired results for refugees and persons of concern;

Enhanced accountability;

Improved internal structures for better performance management and partnership;

Improved project management capacity for effective and efficient operations;

Risk reductions for both UNHCR and partners; and

Strengthened partnership (Establishment and Maintenance of Partnership).

The Framework will support Results‐Based Management (RBM); be aligned with Enterprise Risk Management (ERM); compliant with the requirements of the International Public Sector Accounting Standards (IPSAS); and, place emphasis on partnership considerations.

APPROACH TO ENHANCING THE FRAMEWORK The initiative to enhance the Framework was launched in September 2011. It is intended to produce a Handbook comprised of fully articulated policies, guidelines, procedures and tools related to the Framework.

The Framework can be viewed as four main “work steps” for simplicity and systematic perusal as follows (Annex A provides a high level outline):

1. Partner selection and retention for project implementation;

2. Project agreement & design;

3. Project agreement implementation & coordination; and

4. Project closure and lessons learned.

The initiative is being pursued in a consultative, coordinated, and comprehensive manner to ensure seamless development and introduction of improvements into UNHCR existing practices thus maintaining the technical integrity of the Framework. UNHCR is committed to engaging stakeholders at all stages of the initiative. Given the number and diversity of stakeholders and complexity of the Framework, a structured and comprehensive engagement strategy is essential.

A “Field‐First” approach to stakeholder consultations has been adopted in order to obtain the field perspective and generate practical, technically sound enhancements that will not impose onerous burden on operations. This consultative approach includes both colleagues from UNHCR and implementing partners to build on the varied experiences of all parties.

Under each work‐step, existing policies, guidelines and practices are analyzed to identify gaps and shortcoming and to draw lessons learned from experience. It builds on internal best practices and seeks to align with global leading practices.


The revision of business processes and development of proposed policies and procedures are undertaken with the aim of reducing their administrative burden, reducing risks and adding value. Enhancement efforts take into account the importance of incorporating the following attributes:

• Partnership • Relevancy • Flexibility • Simplicity

• Objectivity • Transparency • Integrity • Accountability

TIMELINE A two‐year work plan has been established to develop the Framework enhancements and introduce the new procedures in a phased manner. To ensure transition takes place with seamless integration and in harmony with existing partnerships the work plan involves the use of “work steps” in the development of enhancements coupled with piloting activities.

PROGRESS MADE TO DATE As mentioned above, the initiative is being undertaken in a systematic manner through four main “work steps”. To date, efforts have been focused on improving the policies, procedures and tools related to the initial stages of establishing implementing partnership. Specifically:

Establishing partnerships;

Embedding risk management into the projects / programmes;

Selection and retention procedures for partnering to deliver projects/programmes (Work Step 1);

Revising the Project Agreement document (Work Step 2);

Termination of Project Agreements (Work Step 2);

Work is also underway on project management process including monitoring/verification, joint reviews and audit (Work Step 3 and 4).

As the initiative progresses other areas of interest to both UNHCR, partners and its other stakeholders will be addressed. Areas being considered for the next stage include: maintaining partnership; capacity development for project agreement management; and budgeting, including overhead and support costs.

The following sections provide outline of the work so far have been drafted. Details are found in documents Work steps 1 and Work step 2.


SUMMARY OF THE DRAFT PROPOSED PROCEDURES

ESTABLISHING PARTNERSHIP Objective

The objective of the policy and procedure for establishing partnership is to ensure that UNHCR partners with organizations that share its commitment to the core values of UNHCR/UN and its commitment to refugees and persons of concern.

Establishing Partnership

NGOs and other non‐profit entities interested in partnering with UNHCR are encouraged to express their interest. UNHCR will expand the opportunity for engagement and access for prospective partners through utilizing innovative technology, web‐based Partner Portal.

UNHCR will partner with organizations and entities that are committed to:

Common humanitarian goals;

The core values of UNHCR/UN;

The Principles of Partnership; and,

Good governance, including transparency, accountability and sound financial management.

Organizations and entities interested in establishing partnership with UNHCR will not be subject to a selection process. They will be encouraged to inform UNHCR about their organization. UNHCR will rely on the information provided by the organization. However, UNHCR may vet the information, where necessary, to ensure the Prospective Partner is committed to the core values of UNHCR and its commitment to persons of concern.

UNHCR will not partner with organizations or entities that are: in breach of the United Nations core values and norms; sanctioned by the UN Security Council Committee on Sanctions pursuant to resolutions 1267 (1999) and 1989 (2011); involved or complicit in the violation of human rights; those posing serious risks to refugees and persons of concern and/or the reputation of UNHCR.

The Prospective Partner is expected to confirm its values and commitments through declarations. A high‐level process diagram for Establishing Partnership and Declarations expected from the potential partner are contained in Annex B.

Prospective Partners that meet all the requirements (as outlined in declarations) may be considered further for selection for Project implementation and will be requested to provide organizational information, Partner Profile. Information provided by the partners will be maintained through the Partner Portal. The proposed approach aims to encourage and provide wider opportunity for establishing partnership any time as possible in advance of engagement in implementation partnership.


SELECTION AND RENTEION FOR PROJECT IMPLEMENTATION (Work step 1) A complete detailing of the process, terms and concepts is provided in the document Work step 1.

Engagement of partners in Project implementation does not imply that implementation is merely a prescribed project. Implementing Partners will be selected from among partners that have been established through the support Partner Portal. The proposed approach aims to encourage partnership as early as possible in the programme cycle and allow for openness as well as providing wider opportunity to all interested partners for formulation of country level strategies and implementation of jointly agreed Projects.

Partners bring unique attributes to the Project. UNHCR operates in complex environment and each operation is unique necessitating selective mode of engagement and partnering with the most suitable organization in a particular environment to meet the specific requirements of projects.

Objective

The objective of the policy and procedure for selection of implementing partner is to ensure that UNHCR partners with the most suitable organization in a given operation for providing quality protection and assistance to persons of concern.

The “Most Suitable Partner” is an organization that provides the most value to meet the needs of a Project taking into account the requisites of operating environment.

UNHCR Offices must undertake adequate due diligence throughout the processes for partner selection and retention for Project implementation in order to:

a) Best meet the requirements of Projects thus ultimately effectively meeting the needs of persons of concern;

b) Demonstrate sound stewardship of funding provided by donors;

c) Demonstrate accountability and transparency for its decisions; and

d) Build on partnership principles and complementary advantages.

Procedure and Process

UNHCR or partners that are interested in proposing/implementing a specific project may initiate or express their interest by way of the partner updating its Partner Profile (via the Partner Portal) and providing simplified Concept Note. A UNHCR multi‐functional committee will take a selection decision using the information provided by the partner.

The process of partner selection for Project implementation involves the following main steps:

1. Expression of interest by UNHCR (informing partners of the objectives of the Project and criteria of selection);

2. Expression by partner (Updating Partner Profile and submission of Concept Note);

3. Preparation of a short‐list by Project Agreement Manager for the UNHCR multi‐functional committee;

4. Review by the committee and decision by Head of Office; and

5. Feedback to partners on the outcome of the selection process.


A high‐level process diagram for Partner Selection for Project Implementation is contained in Annex B.

Criteria to be considered for determining the Most Suitable Partner include, but are not limited to: sector expertise and experience: project management capacity, local experience and access to communities, contribution of resources, political considerations, cost effectiveness, experience working with UNHCR, and other: as required by the Field for any specific Project.

The policy and procedures calls for consistency but also allows for flexibility required by operations. The UNHCR Office may determine that it is not possible or feasible to undertake a complete selection/retention process as described in this document for a given Project due to operational constraints. In such cases, The Head of Office would be required to seek a waiver from the Head of Service of Implementing Partnership Management Service (IPMS), UNHCR HQ.

PARTNER PORTAL A web‐based tool, Partner Portal, will support the proposed approach. The tool provides the opportunity for a prospective partner to formally introduce itself to UNHCR through providing information regarding alignment with UNHCR mandate as well as organizational information. Information provided by the partner will form the Partner Profile that will enable UNHCR to have an understanding of the partner. Information is provided related to the Headquarters of the organization as well as at the Country of operation (if different from Headquarters information).

Partner Portal supports the expansion of opportunities to partner as it provides access to UNHCR any time throughout the year, the prospective partner to express its interest and updated its data regularly.

The Portal will be managed by UNHCR Headquarters (IPMS), but would allow access to all UNHCR offices and partners. It is understood that the majority of UNHCR partners have access to the Internet. However, the local UNHCR office will assist those who do not have access to the Internet.

ESTABLISHING PROJECT AGREEMENT (Work step 2) A complete detailing of the process, terms and concepts is provided in the document Work step 2.

Under UN/UNHCR rules and regulations4, the project agreement grants the High Commissioner the legal mandate and administrative authority that allows UNHCR to provide support through transfer of funds, equipment, in‐kind items and other resources to its partner for their participation in the implementation of the programme (Country Operation Plans, COP) for achieving Global Strategic Priorities.

4 UNHCR’s Financial Rules for Voluntary Funds.


Definition

Project Agreements5 are standard legal and administrative instruments that forms basis for transferring UNHCR resources6 to partners that participates in UNHCR Programme, as described above.

The agreements articulate the nature of the partnership, and set obligations and responsibilities and conditions and terms. Under such collaborative arrangements, the partner assumes the full responsibility and accountability to UNHCR for the effective use of resources and the delivery of outputs as set forth in such signed Project Agreement. UNHCR nevertheless, retains the overall responsibilities and accountability for its mandate and resources entrusted by its governing bodies and donors. Both parties are also obligated to fulfill their accountability towards the refugees and persons of concern and upholding the rights.

Objective

The objective of the policy and procedure for the establishment and termination of project agreements with partners is to ensure that UNHCR properly engages partners that are interested in the participation of undertaking agreed projects for the realization Country Operation Plans (COP) for achieving Global Strategic Priorities (GSP).

Types of Project Agreements

The standard formats of project agreements:

Exchange of Letters

Bipartite/Tripartite Project Agreement7/ and Short Format (up USD 50,000)

Asset Agreement

Project Agreements (be it Bipartite, Tripartite, or Exchange of Letters) contain standard provisions that:

define the purpose and objectives of the project and the means of achieving them;

specify the conditions which are to govern the financing and implementation of the project;

specify the amount of moneys to be made available by the High Commissioner, the currency in which it will be paid and, when applicable, the purposes for which it is to be used;

specify the termination date of the project;

prescribe the form of the financial statements to be submitted at least annually to the High Commissioner, and the dates on which they shall be submitted;

provide that the High Commissioner may arrange for such inspections and examinations as he/she deems necessary to ensure the proper implementation of the project;

Provide that expenditure made by the agency under the agreement may be audited on behalf of the High Commissioner.

5 Chapter IV. 6 Financial Rules and Chapter VI. 7 Known as Sub‐project Agreement


TERMINATION OF PROJECT AGREEMENTS Objective

The objective of the policy and procedure for the termination of project agreements is to ensure that UNHCR takes appropriate action if a partner’s actions demonstrate that it wishes to terminate the Agreement or is not committed to: common humanitarian goals; the core values of UNHCR; the Principles of Partnership; and/or, good governance, including transparency, accountability and sound financial management.

Definitions

Termination of a Project Agreement is different from standard closure of a Project Agreement and Partnership.

a) Standard closure of a Project Agreement is the completion of project activities in its normal programme cycle.

b) Termination of a Project Agreement may take place prior to the completion of project activities as a result of events (see Work step 2 for listing of events).

Partnership is not solely related to implementation of an agreement. If a Project Agreement for one project is termination, this does not automatically lead to the termination of relationship. Partnership is established globally, the relationship can only be terminated by Headquarters in cases of gross violations.

REVIEW OF STANDARD UNHCR PROJECT AGREEMENTS Scope of the review

The scope of the standard project agreements review covered the following aspects:

Project Agreements

Types of agreements, and their purposes

Updates and emerging needs

Content (parties, obligations, stakeholders, application of clauses, etc.)

Processes and procedures including signing authority, termination

Simplification

UN Harmonization (where applicable)

Termination of Project Agreements and Partnership

Termination of Project Agreements

Termination of partnership

Difference between the above two relations

Conditions

Procedures

Authorization of Field and Headquarters levels for the above two relations


Main Findings of the Review

Summary of the main findings through desk review, benchmarking and consultations with Field and HQs Reference Groups and Budapest Workshop include:

Content and Format

The existing four main agreement formats were found relevant and recommended to remain, albeit, with required updates/amendments from a content perspective;

Change name of standard Sub‐Project Agreement to Project Agreement including a general terminology update;

There is a need to improve upon the clarity of the purpose of the agreement (preamble) including reference to the Principles of Partnership;

Agreement considers the requirements of all stakeholders but there is the need to further clarify the obligations and responsibilities of all parties;

There is a need to ensure that the future Project Agreement represents an equitable balance between rights and obligations for both UNHCR and Partners;

There is a need to improve upon availability and standardization of the Letter of Mutual Intent and inclusion in UNHCR’s resource management systems (i.e. MSRP and FOCUS), as other standard agreements;

There is a need to detail several aspects of using a Letter of Mutual Intent, including: timeframe limitations; monetary limitations; and consideration of the risk of not being to enter into the anticipated Project Agreement;

There is a need to provide for the ability to document contributions from partners that are not easily monetized (in‐kind contributions) in the Project Description section of the Project Agreement;

Confirmed the need to address redundancies and improve upon certain clause, and Programme and Financial Arrangements,

Confirmed the need to update clauses related to assets for alignment with International Public Sector Accounting Standards (IPSAS);

Confirmed the need to enhance ethics through including the clauses related to the Inspector General’s Office and the UN Sanctions Committee list maintained pursuant to the UN Council Resolution 1267 and related resolutions;

There is a need to further elaborate/detail issues related to implementing partner personnel as well as privileges and immunities;

Several areas that required further detailing in the Project Agreement were brought forward (i.e. misc. income, monitoring, and project symbol, cost center); and,

There is a need for increased recognition and visibility of the partner participation.

Processes

There is a major risk for population of concern, UNHCR and partners when agreements are not signed in a timely fashion and there are delays in UNHCR transferring the first installment – this risk is particularly problematic for implementing partners;

The level of delegation and authority to sign agreement vary in certain countries with certain partners, creating uneven negotiation authority and delays in signing agreements


(UNHCR is highly decentralized and the Representative/Head Offices whirl higher authority); and

There is a need for more training at the Field level (both UNHCR and partners) related to understanding the content and importance of Project Agreements.

Proposed Main Changes

Inspection, Audit and Investigation

To enhance ethical conduct, protection and accountability towards the Project population; refugees and other persons of concern.

The Partner (i.e. Government or Agency) shall facilitate inspection and audit of the Project by the UNHCR Audit Service of the United Nations Office of the Internal Oversight Services, the UNHCR Inspector General’s Office, or any other person duly authorized by UNHCR. Should they at any time wish to do so, the United Nations Board of Auditors may also carry out an audit of the Project.

The Government or Agency will undertake to inform their personnel to refrain from any conduct that would adversely reflect on UNHCR and/or the United Nations and from any activity that is incompatible with the aim and objectives of the United Nations or the mandate of UNHCR to ensure the protection of refugees and other persons of concern to UNHCR. Standard of Conduct (Appendix 2) is an integral part of this agreement. (The Standard of Conduct and procedures related to managing and reporting misconduct are in a process of being revised in consultations with major partners).

The Government or Agency shall undertakes all possible measures to prevent its personnel from exploiting and abusing refugees and other persons of concern to UNHCR and engaging in any form of behavior that could amount to possible misconduct. The failure of the Government or Agency to take effective measures to prevent abuse, investigate allegations of abuse and to take disciplinary and corrective actions when misconduct is found to have occurred, will constitute grounds for termination of a Project Agreement with UNHCR.

The Government or Agency shall ensure close coordination with UNHCR regarding the planning and conduct of any investigation or administrative action into allegations of such abuse, and shall share with UNHCR the full investigative report. Where necessary and appropriate, UNHCR may conduct the investigation in coordination with the Government or Agency and share the findings with the Government or Agency.

Explicit Expression of Principles of Partnership

In order to stress and institutionalize partnership engagement and obligations of both parties in this aspect, include the Principles of Partnership.

General Provision of Cooperation

To improve expressions of equal partnership and participation of both parties in the common Project include the following Articles in the Governing Clauses.


Upon UNHCR

In the spirit of partnership, to develop and implement strategies to best serve refugees and other persons of concern, UNHCR shall make itself available to fully cooperate and engage in mutual consultation with the Agency, and support the Agency to assist and achieve desired results for refugees and persons of concern in the manner and in accordance with the implementation procedures and responsibilities described in this Agreement and its Project documentation (Annexes A, B, and C).

Upon Partner Agency

In a spirit of partnership to develop and implement strategies to best serve refugees and other persons of concern, the Agency shall make itself available to fully cooperate and engage in mutual consultation with UNHCR, and commits to assist and achieve the desired results for refugees and persons of concern in the manner and in accordance with the implementation procedures and responsibilities described in this Agreement and its Project documentation (Annexes A, B, C, and D) and Appendices

Copyright, Patents and other Proprietary Rights

To the extent that any such intellectual property or other proprietary rights consist of any intellectual property or other proprietary rights of the Agency that pre‐existed the performance by the Agency of its obligations under the Agreement, or that the Agency may develop or acquire, or may have developed or acquired, independently of the performance of its obligations under this Agreement, UNHCR does not and shall not claim any ownership interest thereto.

Status of Agency Personnel

The Government shall be requested by UNHCR to grant to Agency Personnel, other than nationals of the country employed locally or refugees, the privileges and immunities specified in Article V, Section 18, of the Convention on the Privileges and Immunities of the United Nations of 13 February 1946. (This Clause is planned to be modified legally applicable‐ since UN cannot transfer such privileges accorded by states to its partners)

Visibility

The Parties shall accord each other the maximum publicity possible, with regard to the implementation of the Project. The Parties agree to fully identify and acknowledge the funding and contribution towards the Project by each Party in reports, statements, advertisements and other materials regarding the Project. (To give the Partner more credit and exposure of the same level as UNHCR)

Termination

If, at any time, the Agency is sanctioned by the UN Security Council Committee on Sanctions pursuant to resolutions 1267 (1999) and 1989 (2011), or that the Agency has been evidenced supporting, directly or indirectly, individuals and entities associated with those sanctioned by the Committee, UNHCR will terminate the Agreement with immediate effect. (See the proposed procedure for termination of Project Agreement above)


Follow up

Technical issues relating to Appendix 1 (which is an integral part of the current sub‐agreement) will be addressed in further discussions following the Annual Consultation.

Upon conclusion of consultations with partners and other stakeholders, the Standard Project Agreement will be revised incorporating the proposed changes/solutions. Thereafter, it will subject to legal clearance and management approval.

Guidelines and trainings will be provided to enhance the capacity of UNHCR and partners for effective use of these agreements.

Identification of UNHCR activities within each work step – these activities run in tandem with activities undertaken by the implementing partner during project implementation

1.1 UNHCR and/or partners express interest to partner for project implementation 1.2 UNHCR multi-functional IP review committee establish selection criteria1.3 Project Agreement Manager creates short-list from partner provided concept note and updated organizational information 1.4 UNHCR multi-functional IP review committee selects the Most Suitable Partner from among partners for project implementation 1.5 Feedback to Partners

2.1 Project plan2.2 Set objectives, outputs, indicators2.3 Project budget2.4 Work plan2.5 Project risk register 2.6 Asset requirement plan2.7 Procurement plan2.8 Installment plan2.9 Reporting and frequency2.10 Monitoring plan2.11 Capacity development plan2.12 Negotiate and prepare agreement2.13 Finalize in MSRP and FOCUS2.14 Approval and signatures2.15 Project agreement termination

3.1 Performance monitoring and analysis3.2 Financial monitoring and analysis3.3 Procurement monitoring3.4 Asset management monitoring 3.5 Implementing partner reporting3.6 Internal reporting 3.7 Installments3.8 Feedback3.9 Revision

4.1 Performance reporting4.2 Final financial reporting4.3 Audit4.4 Payment reconciliation and recoveries4.5 Normal closure of project4.6 Disengagement/Phase-out4.7 Final performance evaluation

Summary of key issues and analysis of recommendations from BOA, OIOS, IGO, IP audit certificates, internal review

1. Standard selection process: Formally assess for new partners at

regular intervals Clear and transparent Consistently applied Documented Based on value for money assessment

2. Compliance with selection procedures (prerequisite and preliminary conditions)

1. Objectives, outputs, indicators relevant to project and inline with RBM

2. Clear performance expectations3. Appropriate procurement plan4. Establish monitoring plan5. Consistent capacity development approach

that is responsive to duration of relationship and increasing reliance on national NGOs

6. Agreements finalized in a timely manner and prior to transactions with IPs

7. Legal review of retrenchment benefits

1. Monitoring (performance and financial): Timely Frequency relevant to IP and project Common checklists Undertaken by staff with appropriate

skills Follow-up on findings Documented

2. Timely and complete reporting from IPs3. Monitoring of IP procurement4. Assets: inventories, reconciliations,

insurance5. Project amendments versus new

agreements

1. Implementing partner performance analysis2. Implementing partner financial reporting

improvements3. Audit UNHCR compliance (time/submission) Quality of audit services Guidance for auditors Rotation of auditors Systematic review/action of management letters (field and HQ)

4. Pursue timely recoveries5. Policy on country level commissioning of

evaluations6. Guidelines for termination, disengagement and

phase-out

Identify, analyze and evaluate risk

Top risksOperational RiskReputational Risk Most Suitable partner not selected for

implementation Integrity and/or transparency of the

selection process is compromised Administratively heavy selection process

delays project implementation, especially emergency situations

Develop mitigation measures

Procedures and tools to select Most Suitable partner: Objective, transparent, consistentFlexible to address operational needs Incorporates Principles of PartnershipAddresses risks and audit findings Complies with UNHCR rules/regulations

Embedding Risk Management into Project Agreement Management

1.0 2.0 3.0 4.0Partner selection for project implementation

Project design & agreement

Project Agreement implementation& coordination

Project closure and lessons learned

DRAFT

Main process

work steps

Sub-process work steps

Key issues from

audit &IGO

Under

development

UNHCR Framework for Implementation with Partners

EstablishingPartnership

UNHCR will partner with any organization that expresses and shares its commitment to UNHCR core values and commitment to persons of concern.1. UNHCR screens

Prospective Partner for UN Sanctions List

2. UNHCR grants access to Partner Portal

3. Prospective Partner declares that it shares the core values of UNHCR and its commitment to persons of concern

Partner can express interest in collaborating with UNHCR for project implementation

Partner provides organizational information via Partner Portal to enable UNHCR’s understanding of the partner

Under

development

ANNEX A

Organizationcontacts UNHCR to

express interest/respond

Org. on UNSanctions

List?

UNHCR grants accessto web-based Partner

Portal

Prospective partnercompletes declarations

NO

YES

Project AgreementManager announces

need to partnerfor a project

Partner providesproject Information(Concept Note +Updates Country

Information)

Project AgreementManager reviews

information providedby Partner

Project AgreementManager creates

short-list forMFT IP Review

Committee

MFT IP ReviewCommittee makesselection decision

Project AgreementManager informs

Partner(s) ofselection result

Partner provides itsHeadquarters +

Country Information

Positivedeclaration

Negativedeclaration

At anytime, an organization can express interest to partner with UNHCRAccess to UNHCR's web-based Partner Portal is provided to an organization if it is not on the UNSanctions 1267 ListProspective partner completes declarations related to the core values of UNHCR and itscommitment to populations of concernPartner provides Headquarters and Country Information to form its Partner ProfileUNHCR trusts that partner provides accurate and complete informationUNHCR may validate/verify information provided by partner, if required

The Project Agreement Manager is the UNHCR staff delegated by Head of Office. (Typically, the Project Agreement Manager is aProgramme Officer).MFT IP Review Committee (Chaired by Head of Office) is a UNHCR multi-functional team and makes selection decisionUNHCR announces the need to partner for project implementation. UNHCR expresses the goal of the project and its target group andsolicits Concept Notes.Announcement facilitated by the web-based Partner Portal or any other suitable medium(s).Relevancy and importance of selection criteria determined by MFT IP Review Committee and this information made available to Partners.Partner provides a Concept Note and Country information (Country information may have already been provided if there is an existingrelationship or if Headquarters information and Country information is the same)UNHCR Project Manager reviews the Concept Note and Partner Profile (Headquarters and Country Information) to create a short-list for theMFT IP Review CommitteeProject Agreement Manager informs selected partner and it is at the discretion of the Field to share selection result with other partners (asoperation permits).

Process ends Process ends

Once UNHCR and an organization have jointlyexpressed interest to become partners, thepossibility of collaborate to implement a projectexists.

The sub-process "Partner Selection for ProjectImplementation" applies when UNHCR is seeking apartner that will be entrusted with projectimplementation and UNHCR funding

Establishing PartnershipThe purpose of this sub-process is to:

Determine whether an organization is committed to the core values of UNHCR and its commitment to populations ofconcernProvide information so that UNHCR can better understand the partner

Partner Selection for Project ImplementationThe purpose of this sub-process is to select from among partners the Most Suitable Partner for project implementation.

Annex B: High Level Process Overview of Establishing Partnership and Partner Selection for Project Implementation

Framework_finalAnnex_AAnnex_B

enhancing the framework for implementation with partners...implementing partnership extends beyond...

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