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["Partner Capacity Assessment Tool - Introduction & Overview"]
["Background: This Partner Capacity Assessment Tool (PCAT) is designed to streamline UNDP’s approach to capacity assessments of project Implementing Partners (IPs) and Responsible Parties (RPs). It does this by consolidating all of the existing partner capacity assessment checklists, and eliminating duplicative questions and questions that don't add value. The PCAT also saves time by: (i) providing rapid guidance on which capacity assessments will ensure project risks are identified; and (ii) generating a summary report of the resulting risk assessments, risk mitigation actions and associated budgets for inclusion in the Project Document. The PCAT also includes capacity assessments for new programming instruments, including On-Granting and Performance-Based Payment Agreements."]
["Purpose: The UNDP Enterprise Risk Management (ERM) Policy identifies 'Capacities of the Partners' as a key Strategic Risk to be managed for the success of UNDP's work. The PCAT is designed to assess the level of risk that is present when UNDP works with Partners to implement programmes and projects. The level of risk is identified by analyzing partner capacity and matching project management and oversight with the level of risk assessed. By identifying areas for capacity improvement, the PCAT should also help to reduce future Partner risk levels if the capacity building actions are implemented and sustained."]
["Applicability: The PCAT is applicable to all Partners, including IPs and RPs, in all contexts, including crisis contexts. It also applies to Grantees for determining eligibility to receive a grant. The PCAT outlines the minimum requirements for capacity assessments based on UNDP thresholds (such as USD 150,000 per annum for HACT). This does not preclude offices doing additional capacity assessments for Partners that fall below the thresholds should they consider this to be beneficial for their office."]
["Responsibility and Timing: The PCAT should be completed by the Project Developer as soon as possible during the Project Design phase, with HACT Micro-Assessment inputs from the Third-Party Service Provider where required. The PCAT generates a summary of the results of the Partner capacity assessments that can be attached to the Project Document, eliminating the need to write long-form/narrative reports on capacity assessment results."]
[]
["How to Use the PCAT: Follow these 4 steps:"]
["Step 1: Review Pre-Requisites for Partnering: ","Start the PCAT with 'Pre-Requisites for Partnering.' Here you will enter background information about your office and the Partner, and then review 5 questions to assess whether the Partner meets certain basic criteria for partnering with UNDP (such as not being on UN Sanctions, UNDP Vendor Sanctions or UN Global Marketplace Ineligibility Lists). If the Partner meets the 'Pre-Requisites for Partnering,' you will then move to the next section 'Capacity Assessment Scoping.' If the Partner does not meet the 'Pre-Requisites for Partnering,' you will be advised to do no further assessments as the Partner cannot work with UNDP.",null,null,null,null,null,null,"Go to Pre-Requisites for Partnering"]
["Step 2: Complete Capacity Assessment Scoping","The PCAT is a dynamic tool that will display only the capacity assessments you need based on the answers you provide to 10 'assessment scoping' questions. These questions include: \n(i) whether or not this is a humanitarian project for which a rapid capacity assessment is needed; \n(ii) what role the Partner will fulfill on the project (IP vs RP vs Other); \n(iii) what type of organization the Partner is (Govt, CSO/NGO, Private Sector etc); \n(iv) whether the Partner is expected to receive more than USD 150,000 per annum; \n(v) whether a HACT Micro-Assessment has been done; \n(vi) whether the Partner will be managing construction activities; \n(vii) whether the Partner will undertake grant-making activities on behalf of UNDP (on-granting); \n(viii) whether the Partner will be implementing activities funded by Global Environment Facility (GEF) or Green Climate Fund (GCF);\n(ix) in the case of RPs, whether a Performance-Based Payment Agreement (PBPA) will be used for the project; and\n(x) whether the PBPA will exceed USD 150,000 per year. \nYour answers to these questions will determine which capacity assessments are displayed for completion. You will be provided with a link that will take you straight to the assessment(s) to be completed. Also, all of the background information you entered above for your office and the Partner will automatically be brought forward.",null,null,null,null,null,null,"Go to Capacity Assessment Scoping"]
["Step 3: Complete the Capacity Assessment(s)","Complete the capacity assessment(s) as needed. Based on the results of the capacity assessment and the level of assessed risk, you will be asked to identify risk mitigation strategies (such as capacity building actions and/or enhanced monitoring & assurance activities) and the associated budget required to implement those strategies.",null,null,null,null,null,null,"Follow the links provided on the Capacity Assessment Scoping page"]
["Step 4: Conclude on the Capacity Assessment(s)","The PCAT will automatically summarize the results of the completed capacity assessments, providing you with a concise document to attach to your Project Document.",null,null,null,null,null,null,"Go to Conclude on Capacity Assessment"]
["Optional: Additional Guidance Resources","If you need additional guidance, review the IP and/or RP decision trees, which provide step-by-step overviews of the capacity assessments needed; or try the POPP Points to Remember for important points on HACT and on specific programme/project instruments, such as On-granting or Performance-Based Payment Agreements (PBPAs).",null,null,null,null,null,null,"IP Decision Tree"]
[null,null,null,null,null,null,null,null,"RP Decision Tree"]
[null,null,null,null,null,null,null,null,"HACT - POPP Points to Remember"]
[null,null,null,null,null,null,null,null,"On-Granting - POPP Points to Remember"]
[null,null,null,null,null,null,null,null,"PBPAs - POPP Points to Remember"]

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["Partner Capacity Assessment Tool - Step 1: Pre-Requisites for Partnering - applicable to all Partners"]
["Return to PCAT Overview page"]
["Applicability: This 'Pre-requisites for Partnering' section should be completed for all UNDP partners, regardless of whether they are IPs, RPs, Other Partners or grant recipients."]
["Responsibility & Timing: The Project Developer should complete this 'Pre-requisites for Partnering' as early as possible in the Project Design phase to ensure that the proposed partner is not a prohibited organization and does not engage in practices that are inconsistent with UNDP's social & environmental standards and code of ethics."]
[]
["Background Information (Enter this information here and it will be carried throughout the PCAT - no need to enter it again)"]
["Region","Africa","Comments: (Optional)"]
["Office","Lesotho","XXX"]
["Programme Start","2018-07-01"]
["Programme End","2022-06-30"]
["Partner Name","XYZ"]
["Partner budget for this Project (USD)",750000]
[]
["ERM Risk Category ","Risk being addressed","Q. #","Pre-requisites for Partnering Questions","What to review to determine your response","Response","Action Needed"]
["Regulatory (6.3, FRR)","Violation of UN sanctions",1,"Is the organization listed on the Consolidated United Nations Security Council Sanctions List, the UNDP vendor sanctions list, the UN Global Marketplace Ineligibility List or the UNDP Internal Excluded List? ","UN Sanctions List\n\n","Select",{"$f":"IF(F15=\"Yes\",\"Continue to Question 2\",IF(F15=\"No\",\"Continue to Question 3\",IF(F15=\"Select\",\" \")))","v":" "}]
[null,null,null,null,"UNDP Vendor Sanctions List\n"]
[null,null,null,null,"UN Global Marketplace Ineligibility List (accessible to UNDP Buyer Roles)\n"]
[null,null,null,null,"UNDP Internal Excluded List \n(Consult your AML/CFT Focal Point)"]
[null,null,2,"If ‘Yes’ to Q1, is the organization listed in the Cleared List? ","Cleared List","Select",{"$f":"IF(F19=\"The organization is not listed in the Cleared List\",\"Stop! This organization cannot be a UNDP Partner. No further assessment should be performed\",IF(F19=\"The organization is listed in the Cleared List\",\"Continue to Question 3\",IF(F19=\"Select\",\" \")))","v":" "}]
[null,null,3,"Are there any causes for concern with respect to the submitted self-certification form (applicable to NGOs/CSOs, IGOs, and private entities)? Concerns may include incomplete self-certification, modifications or omissions made on the form, etc.","Self-Certification template","Select",{"$f":"IF(F20=\"The organization has not properly completed the standard Self-Certification template\",\"Stop! This organization must complete the Self-Certification\",IF(F20=\"The organization has completed the standard Self-Certification template\",\"Continue to Question 4\",IF(F20=\"Not Applicable (Self-Certification is applicable to NGO/CSO/IGO/private entities)\",\"Continue to Question 4\",IF(F20=\"Select\",\" \"))))","v":" "}]
[null,null,null,null,null,null,"Comments "]
["Strategic (7.5 Code of conduct & ethics), Social & Environmental (1.1-1.12)","Violation of programming principles and ethical standards",4,"Is there any credible evidence that the organization persistently commits acts that violate: (i) UNDP's social and environmental standards (human rights, gender equality, labor conditions, environmental sustainability standards); or (ii) code of conduct/ethics standards to such an extent that UNDP's association with the organization cannot be adequately managed or justified?","* Internet/press search\n* Donor evaluations, assessments\n* Significant criticism from donors/CSOs/ media/social media or other significant partners of UNDP locally or globally\n* Significant criticism from governmental agencies / political parties that makes UNDP's partnering politically sensitive\n* Recurring local or global public events against the organization (e.g. local demonstrations, online protests, etc)\n* Relevant legal case in progress/in court etc.","Select",{"$f":"IF(F22=\"Yes - evidence found - manageable\",\"Provide comments below on the evidence found. If you proceed with this Partner, explain how the associated risks to UNDP will be managed for this project. Be sure to include this information in the Project Risk Log.\",\" \")","v":" "}]
[null,null,null,null,null,null,{"$f":"IF(F22=\"Yes - evidence found - manageable\",\"Example 1\",\" \")","v":" "}]
["Strategic (7.6 Public opinion & media)","Damage to UNDP's reputation",5,"Has an internet/donor evaluation report search revealed any credible and significant adverse publicity or controversy about the organization that could damage UNDP's reputation by association to such an extent that the association cannot be adequately managed or justified?",null,"Select",{"$f":"IF(F24=\"Yes - adverse publicity found - manageable\",\"Provide comments below on the evidence found. If you proceed with this Partner, explain how the associated risks to UNDP will be managed for this project. Be sure to include this information in the Project Risk Log.\",\" \")","v":" "}]
[]
["Regulatory (6.3, FRR)","Absence of neutrality",6,"If the Partner is a CSO/NGO or private sector organization, is there any credible evidence that the organization has political affiliations that could compromise UNDP's neutrality, perceived or actual, in a way that cannot be adequately managed and justified?",null,"Select",{"$f":"IF(F26=\"Yes - neutrality concerns found - manageable\",\"Provide comments below on the evidence found. If you proceed with this Partner, explain how the associated risks to UNDP will be managed for this project. Be sure to include this information in the Project Risk Log.\",\" \")","v":" "}]
[]
["Financial (2.3 Corruption & Fraud); Strategic (7.5 Code of Conduct & Ethics)","Fraud, corruption and potential damage to UNDP's reputation",7,"If there is a history of fraud and/or any potential Conflicts of Interest (CoI) in relation to this organization, have they been reviewed and satisfactorily resolved or if not, can they be adequately managed or justified in the context of this specific project? (Consider such as issues as the organization employing any individual/s who is/are currently holding any position in UNDP or the UN OR any individual/s who is/are related by blood or affinity to any UNDP or UN staff member.)","* Internet/press search on fraud issues\n* Donor evaluations or assessments for fraud issues\n* Discussions and/or documents and/or written confirmation from the Partner disclosing conflicts of interest or such relationships","Select",{"$f":"IF(F28=\"Evidence of fraud and/or conflicts found - manageable\",\"Provide comments below on the evidence found. If you proceed with this Partner, explain how the associated risks to UNDP will be managed for this project. Be sure to include this information in the Project Risk Log.\",\" \")","v":" "}]
[]
["Conclusion on 'Pre-Requisites for Partnering' & Next Steps",null,null,null,{"$f":"IF(OR(F15=\"Select\",F22=\"Select\",F24=\"Select\",F26=\"Select\",F28=\"Select\"),\"Please answer all questions before proceeding\",IF(OR(F15=\"Yes\",F22=\"Yes - evidence found - not manageable\",F24=\"Yes -  adverse publicity found - not manageable\",F26=\"Yes - neutrality concerns found - not manageable\",F28=\"Evidence of fraud and/or conflicts found - not manageable\"),\"Do not proceed with this Partner. No further Capacity Assessment actions needed.\",IF(AND(F15=\"No\",F22=\"No evidence found\",F24=\"No adverse publicity found\",F26=\"No neutrality concerns found\",F28=\"No evidence of fraud or conflicts found\"),\"Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'\",IF(AND(F15=\"No\",F22=\"No evidence found\",F24=\"No adverse publicity found\",F26=\"N/A\",F28=\"No evidence of fraud or conflicts found\"),\"Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'\",IF(OR(F15=\"No\",F22=\"Yes - evidence found - manageable\",F24=\"Yes - adverse publicity found - manageable\",F26=\"Yes - neutrality concerns found - manageable\",F28=\"Evidence of fraud and/or conflicts found\"),\"Ensure your management and justification plans are documented. Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'\")))))","v":"Please answer all questions before proceeding"}]
[{"$f":"IF(D31=\"b. Have you documented your management & justification plans?\",\"a. Have you included information on manageable risks in your Risk Log?\",\" \")","v":" "},null,{"$f":"IF(D31=\"b. Have you documented your management & justification plans?\",\"Yes or No\",\" \")","v":" "},{"$f":"IF(E30=\"Ensure your management and justification plans are documented. Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'\",\"b. Have you documented your management & justification plans?\",\" \")","v":" "},{"$f":"IF(D31=\"b. Have you documented your management & justification plans?\",\"Yes or No\",\" \")","v":" "},{"$f":"IF(D31=\"b. Have you documented your management & justification plans?\",\"c. Is a budget needed to implement these plans? If yes, estimate the amount.\",\" \")","v":" "},{"$f":"IF(F31=\"c. Is a budget needed to implement these plans? If yes, estimate the amount.\",\"USD\",\" \")","v":" "}]
[{"$f":"IF(A31=\"a. Have you included information on manageable risks in your Risk Log?\", \"Your answers to a, b, and c above will be transferred to the 'Conclude on CA' worksheet for ease of reference.\", \" \")","v":" "},null,null,null,null,"Capacity Assessment Scoping"]

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["Partner Capacity Assessment Tool - Step 2: Capacity Assessment Scoping - applicable to all Partners",null,null,"Return to PCAT Overview page"]
["Purpose: This 'Capacity Assessment Scoping' tool is designed to assist you in identifying the Partner capacity assessments that will help manage risks stemming from UNDP's engagement with IPs, RPs or Other partners. It will lead you through a series of questions and based on your responses, indicate for you the capacity assessments that should be completed, including HACT Micro-Assessments."]
["Applicability: This 'Capacity Assessment Scoping' should be completed for all UNDP partners, regardless of whether they are IPs or RPs or Private Sector partners fulfilling other roles."]
["Responsibility & Timing: The Project Developer should complete this 'Capacity Assessment Scoping' as early as possible in the Project Design phase to ensure that the Capacity Assessments needed are identified early and arrangements made for their timely completion. "]
[]
["Background Information (carried forward from 'Partner Pre-requisites' worksheet)"]
["Region",{"$f":"'Partner Pre-requisites'!B7","v":"Africa"},{"$f":"'Partner Pre-requisites'!C7","v":"Comments: (Optional)"}]
["Office",{"$f":"'Partner Pre-requisites'!B8","v":"Lesotho"},{"$f":"'Partner Pre-requisites'!C8","v":"XXX"}]
["Programme Start",{"$f":"'Partner Pre-requisites'!B9","v":"2018-07-01"}]
["Programme End",{"$f":"'Partner Pre-requisites'!B10","v":"2022-06-30"}]
["Partner Name",{"$f":"'Partner Pre-requisites'!B11","v":"XYZ"}]
["Partner budget for this Project (USD)",{"$f":"'Partner Pre-requisites'!B12","v":750000}]
[]
["Capacity Assessment Scope Questions",null,"Select Responses from the Dropdown menus"]
["1. Is this a humanitarian project for which a rapid CSO/NGO Partner capacity assessment is needed?",null,"No",{"$f":"IF(C15=\"Yes\",\"Go to Humanitarian Rapid Screen\",\" \")","v":" "}]
["2. What role will this organization fulfil on this project? (Note: Grantees (low value grants recipients) are required to complete the \"Partner Pre-requisites\" only)",null,"IP"]
["3. What is the nature of this organization? (Govt, CSO etc)",null,"Government",{"$f":"IF(OR(C17=\"IGO with SBEAA\", C17=\"IGO with no SBEAA\"),\"Not sure if this IGO has an SBEAA? Check the BERA Partnerships Page at the link provided.\",\" \")","v":" "},{"$f":"IF(D17=\"Not sure if this IGO has an SBEAA? Check the BERA Partnerships Page at the link provided.\", \"BERA Partnerships Page\",\" \")","v":" "}]
["4. Will this Partner receive more than US $150,000 per annum?",null,"Yes"]
["5. Has a Partner Capacity Assessment (including HACT Micro-Assessment) already been performed during the Programme Period? ",null,"No",{"$f":"IF(AND(C17=\"Government\",C18=\"Yes\",C19=\"No\"),\"Be sure to ask your UNCT or HACT Focal Point whether another UN Agency has already done a HACT Micro-Assessment. One phone call could save you time and money!\",IF(AND(C17=\"IGO\",C18=\"Yes\",C19=\"No\"),\"Be sure to ask your UNCT or HACT Focal Point whether another UN Agency has already done a HACT Micro-Assessment. One phone call could save you time and money!\",IF(AND(C17=\"CSO/NGO\",C18=\"Yes\",C19=\"No\"),\"Be sure to ask your UNCT or HACT Focal Point whether another UN Agency has already done a HACT Micro-Assessment. One phone call could save you time and money!\",IF(AND(C17=\"CSO/NGO not new to UNDP/UN System\",C18=\"Yes\",C19=\"No\"),\"Be sure to ask your UNCT or HACT Focal Point whether another UN Agency has already done a HACT Micro-Assessment. One phone call could save you time and money!\",\" \"))))","v":"Be sure to ask your UNCT or HACT Focal Point whether another UN Agency has already done a HACT Micro-Assessment. One phone call could save you time and money!"}]
["6. Will the Partner being implementing construction activities?",null,"No"]
["7. Will the Partner undertake grant-making activities on behalf of UNDP?",null,"Yes"]
["8. Will the Partner be implementing project activities funded by the Global Environment Facility (GEF) or the Green Climate Fund (GCF)?",null,"Yes"]
["9. Will this project utilize a Performance-Based Payment Agreement with the RP?",null,"Yes"]
["10. Will the PBPA exceed USD300,000?",null,"Yes"]
[]
["If you don't see the assessments you expect, please refresh your answers to the questions above starting with Q1."]
[]
["Capacity Assessments needed for this IP:",null,"Links to these Capacity Assessments"]
[{"$f":"IF(AND(C16=\"IP\",C17=\"Government\",C18=\"Yes\",C19=\"No\"),'RP Response Combos'!B13,IF(AND(C16=\"IP\",C17=\"Government\",C18=\"Yes\",C19=\"Yes\"),'RP Response Combos'!C13,IF(AND(C16=\"IP\",C17=\"Government\",C18=\"Yes\",C19=\"N/A\"),'RP Response Combos'!D13,IF(AND(C16=\"IP\",C17=\"Government\",C18=\"No\",C19=\"Yes\"),'RP Response Combos'!E13,IF(AND(C16=\"IP\",C17=\"Government\",C18=\"No\",C19=\"No\"),'RP Response Combos'!F13,IF(AND(C16=\"IP\",C17=\"Government\",C18=\"No\",C19=\"N/A\"),'RP Response Combos'!G13,IF(AND(C16=\"IP\",C17=\"UN Agency\",C18=\"Yes\",C19=\"No\"),'RP Response Combos'!H13,IF(AND(C16=\"IP\",C17=\"UN Agency\",C18=\"Yes\",C19=\"Yes\"),'RP Response Combos'!I13,IF(AND(C16=\"IP\",C17=\"UN Agency\",C18=\"Yes\",C19=\"N/A\"),'RP Response Combos'!J13,IF(AND(C16=\"IP\",C17=\"UN Agency\",C18=\"No\",C19=\"Yes\"),'RP Response Combos'!K13,IF(AND(C16=\"IP\",C17=\"UN Agency\",C18=\"No\",C19=\"No\"),'RP Response Combos'!L13,IF(AND(C16=\"IP\",C17=\"UN Agency\",C18=\"No\",C19=\"N/A\"),'RP Response Combos'!M13,IF(AND(C16=\"IP\",C17=\"IGO\",C18=\"Yes\",C19=\"No\"),'RP Response Combos'!N13,IF(AND(C16=\"IP\",C17=\"IGO\",C18=\"Yes\",C19=\"Yes\"),'RP Response Combos'!O13,IF(AND(C16=\"IP\",C17=\"IGO\",C18=\"Yes\",C19=\"N/A\"),'RP Response Combos'!P13,IF(AND(C16=\"IP\",C17=\"IGO\",C18=\"No\",C19=\"No\"),'RP Response Combos'!Q13,IF(AND(C16=\"IP\",C17=\"IGO\",C18=\"No\",C19=\"Yes\"),'RP Response Combos'!R13,IF(AND(C16=\"IP\",C17=\"IGO\",C18=\"No\",C19=\"N/A\"),'RP Response Combos'!S13,IF(AND(C16=\"IP\",C17=\"CSO/NGO new to UNDP/UN System\",C18=\"Yes\",C19=\"No\"),'RP Response Combos'!T13,IF(AND(C16=\"IP\",C17=\"CSO/NGO new to UNDP/UN System\",C18=\"Yes\",C19=\"Yes\"),'RP Response Combos'!U13,IF(AND(C16=\"IP\",C17=\"CSO/NGO new to UNDP/UN System\",C18=\"Yes\",C19=\"N/A\"),'RP Response Combos'!V13,IF(AND(C16=\"IP\",C17=\"CSO/NGO new to UNDP/UN System\",C18=\"No\",C19=\"No\"),'RP Response Combos'!W13,IF(AND(C16=\"IP\",C17=\"CSO/NGO new to UNDP/UN System\",C18=\"No\",C19=\"Yes\"),'RP Response Combos'!X13,IF(AND(C16=\"IP\",C17=\"CSO/NGO new to UNDP/UN System\",C18=\"No\",C19=\"N/A\"),'RP Response Combos'!Y13,IF(AND(C16=\"IP\",C17=\"CSO/NGO not new to UNDP/UN System\",C18=\"Yes\",C19=\"Yes\"),'RP Response Combos'!Z13,IF(AND(C16=\"IP\",C17=\"CSO/NGO not new to UNDP/UN System\",C18=\"Yes\",C19=\"No\"),'RP Response Combos'!AA13,IF(AND(C16=\"IP\",C17=\"CSO/NGO not new to UNDP/UN System\",C18=\"Yes\",C19=\"N/A\"),'RP Response Combos'!AB13,IF(AND(C16=\"IP\",C17=\"CSO/NGO not new to UNDP/UN System\",C18=\"No\",C19=\"Yes\"),'RP Response Combos'!AC13,IF(AND(C16=\"IP\",C17=\"CSO/NGO not new to UNDP/UN System\",C18=\"No\",C19=\"No\"),'RP Response Combos'!AD13,IF(AND(C16=\"IP\",C17=\"CSO/NGO not new to UNDP/UN System\",C18=\"No\",C19=\"N/A\"),'RP Response Combos'!AE13,))))))))))))))))))))))))))))))","v":"Programmatic & HACT Micro-Assessment needed"},null,{"$f":"IF(A29=\"Conduct Risk-Based Pre-Screen; Programmatic & HACT Micro-Assessment needed\",\"Risk-Based Pre-Screen\",IF(A29=\"Conduct Risk-Based Pre-Screen; Programmatic & HACT Micro-Assessment not needed\",\"Risk-Based Pre-Screen\",\" \"))","v":" "},{"$f":"IF(AND(C16=\"IP\",C17=\"CSO/NGO selected using Collaborative Advantage\"),\"Please refresh your response to Question 3 above to choose the correct CSO/NGO categories for IPs\",IF(AND(C16=\"IP\",C17=\"CSO/NGO selected using Competitive Selection\"),\"Please refresh your response to Question 3 above to choose the correct CSO/NGO categories for IPs\",IF(AND(C16=\"IP\",C17=\"Private Sector\"),\"Please refresh your response to Question 3 above as Private Sector cannot be an IP\",\" \")))","v":" "}]
[null,null,{"$f":"IF(A29=\"Programmatic & HACT Micro-Assessment needed\",\"Programmatic Assessment\",IF(A29=\"Conduct Risk-Based Pre-Screen; Programmatic & HACT Micro-Assessment needed\",\"Programmatic Assessment\",\" \"))","v":"Programmatic Assessment"}]
[null,null,{"$f":"(IF(AND(C17=\"CSO/NGO new to UNDP/UN System\",C18=\"Yes\"),\"Additional Questions for CSOs/NGOs\",IF(AND(C17=\"CSO/NGO not new to UNDP/UN System\",C18=\"Yes\",C19=\"No\"),\"Additional Questions for CSOs/NGOs\",\" \")))","v":" "}]
[null,null,{"$f":"IF(A29=\"Programmatic & HACT Micro-Assessment needed\",\"HACT Micro-Assessment\",IF(A29=\"Conduct Risk-Based Pre-Screen; Programmatic & HACT Micro-Assessment needed\",\"HACT Micro-Assessment\",\" \"))","v":"HACT Micro-Assessment"}]
[{"$f":"IF(C20=\"Yes\",\"Construction Management Capacity Assessment needed\", \" \")","v":" "},null,{"$f":"IF(C20=\"Yes\",\"Construction Assessment\",\" \")","v":" "}]
[{"$f":"IF(C21=\"Yes\",\"On-granting Capacity Assessment needed\",\" \")","v":"On-granting Capacity Assessment needed"},null,{"$f":"IF(C21=\"Yes\",\"On-Granting Assess\",\" \")","v":"On-Granting Assess"}]
[{"$f":"IF(C22=\"Yes\",\"GEF & GCF Procurement Assessment needed\", \" \")","v":"GEF & GCF Procurement Assessment needed"},null,{"$f":"IF(C22=\"Yes\",\"GEF & GCF Procurement Assess\",\" \")","v":"GEF & GCF Procurement Assess"}]
[{"$f":"IF(OR(C17=\"UNDP (DIM)\",C17=\"UN Agency\"),\"Conclusion: No Capacity Assessments are needed. No further action is required.\",IF(AND(C16=\"IP\",C17=\"Government\",C18=\"No\",C20=\"No\",C21=\"No\"),\"Conclusion: No Capacity Assessments are needed. No further action is required\",IF(AND(C16=\"IP\",C17=\"Government\",C18=\"Yes\",C19=\"Yes\",C20=\"No\",C21=\"No\"),\"Conclusion: No Capacity Assessments are needed. No further action is required\",IF(AND(C16=\"IP\",C17=\"CSO/NGO not new to UNDP/UN System\",C18=\"No\",C20=\"No\",C21=\"No\"),\"Conclusion: No Capacity Assessments are needed. No further action is required\",IF(AND(C16=\"IP\",C17=\"CSO/NGO not new to UNDP/UN System\",C18=\"Yes\",C19=\"Yes\",C20=\"No\",C21=\"No\"),\"Conclusion: No Capacity Assessments are needed. No further action is required\",IF(AND(C16=\"IP\",C17=\"IGO\",C18=\"No\",C20=\"No\",C21=\"No\"),\"Conclusion: No Capacity Assessments are needed. No further action is required\",IF(AND(C16=\"IP\",C17=\"IGO\",C18=\"Yes\",C19=\"Yes\",C20=\"No\",C21=\"No\"),\"Conclusion: No Capacity Assessments are needed. No further action is required\",IF(AND(C16=\"IP\",C17=\"CSO/NGO new to UNDP/UN System\",C18=\"No\",C20=\"No\",C21=\"No\"),\"Conclusion: Aside from the Risk-Based Pre-Screen, no Capacity Assessments are needed.\",\"\"))))))))","v":""}]
[]
[]
["Capacity Assessments needed for this RP:",null,"Links to these Capacity Assessments"]
[{"$f":"IF(AND(C16=\"RP\",C17=\"Government\",C18=\"Yes\",C19=\"No\"),'RP Response Combos'!B6,IF(AND(C16=\"RP\",C17=\"Government\",C18=\"Yes\",C19=\"Yes\"),'RP Response Combos'!C6,IF(AND(C16=\"RP\",C17=\"Government\",C18=\"Yes\",C19=\"N/A\"),'RP Response Combos'!D6,IF(AND(C16=\"RP\",C17=\"Government\",C18=\"No\",C19=\"Yes\"),'RP Response Combos'!E6,IF(AND(C16=\"RP\",C17=\"Government\",C18=\"No\",C19=\"No\"),'RP Response Combos'!F6,IF(AND(C16=\"RP\",C17=\"Government\",C18=\"No\",C19=\"N/A\"),'RP Response Combos'!G6,IF(AND(C16=\"RP\",C17=\"UN Agency\",C18=\"Yes\",C19=\"No\"),'RP Response Combos'!H6,IF(AND(C16=\"RP\",C17=\"UN Agency\",C18=\"Yes\",C19=\"N/A\"),'RP Response Combos'!I6,IF(AND(C16=\"RP\",C17=\"UN Agency\",C18=\"Yes\",C19=\"Yes\"),'RP Response Combos'!J6,IF(AND(C16=\"RP\",C17=\"UN Agency\",C18=\"No\",C19=\"No\"),'RP Response Combos'!K6,IF(AND(C16=\"RP\",C17=\"UN Agency\",C18=\"No\",C19=\"N/A\"),'RP Response Combos'!L6,IF(AND(C16=\"RP\",C17=\"UN Agency\",C18=\"No\",C19=\"Yes\"),'RP Response Combos'!M6,IF(AND(C16=\"RP\",C17=\"IGO\",C18=\"Yes\",C19=\"No\"),'RP Response Combos'!N6,IF(AND(C16=\"RP\",C17=\"IGO\",C18=\"Yes\",C19=\"Yes\"),'RP Response Combos'!O6,IF(AND(C16=\"RP\",C17=\"IGO\",C18=\"Yes\",C19=\"N/A\"),'RP Response Combos'!P6,IF(AND(C16=\"RP\",C17=\"IGO\",C18=\"No\",C19=\"Yes\"),'RP Response Combos'!Q6,IF(AND(C16=\"RP\",C17=\"IGO\",C18=\"No\",C19=\"No\"),'RP Response Combos'!R6,IF(AND(C16=\"RP\",C17=\"IGO\",C18=\"No\",C19=\"N/A\"),'RP Response Combos'!S6,IF(AND(C16=\"RP\",C17=\"CSO/NGO\",C18=\"Yes\",C19=\"Yes\"),'RP Response Combos'!T6,IF(AND(C16=\"RP\",C17=\"CSO/NGO\",C18=\"Yes\",C19=\"No\"),'RP Response Combos'!U6,IF(AND(C16=\"RP\",C17=\"CSO/NGO\",C18=\"Yes\",C19=\"N/A\"),'RP Response Combos'!V6,IF(AND(C16=\"RP\",C17=\"CSO/NGO\",C18=\"No\",C19=\"Yes\"),'RP Response Combos'!W6,IF(AND(C16=\"RP\",C17=\"CSO/NGO\",C18=\"No\",C19=\"No\"),'RP Response Combos'!X6,IF(AND(C16=\"RP\",C17=\"CSO/NGO\",C18=\"No\",C19=\"N/A\"),'RP Response Combos'!Y6,IF(AND(C16=\"RP\",C17=\"Private Sector\",C18=\"Yes\",C19=\"Yes\"),'RP Response Combos'!Z6,IF(AND(C16=\"RP\",C17=\"Private Sector\",C18=\"Yes\",C19=\"No\"),'RP Response Combos'!AA6,IF(AND(C16=\"RP\",C17=\"Private Sector\",C18=\"Yes\",C19=\"N/A\"),'RP Response Combos'!AB6,IF(AND(C16=\"RP\",C17=\"Private Sector\",C18=\"No\",C19=\"Yes\"),'RP Response Combos'!AC6,IF(AND(C16=\"RP\",C17=\"Private Sector\",C18=\"No\",C19=\"No\"),'RP Response Combos'!AD6,IF(AND(C16=\"RP\",C17=\"Private Sector\",C18=\"No\",C19=\"N/A\"),'RP Response Combos'!AE6))))))))))))))))))))))))))))))","v":false},null,{"$f":"IF(OR(A40=\"Competitive Procurement Process not required; HACT Micro-Assessment needed\",A40=\"HACT Micro-Assessment needed\",A40=\"Competitive procurement process required; Private Sector due diligence needed; HACT Micro-Assessment needed.\"),\"HACT Micro-Assessment\",\" \")","v":" "},{"$f":"IF(AND(C16=\"RP\",C17=\"CSO/NGO new to UNDP/UN System\"),\"Please refresh your response to Question 3 above to choose the correct CSO/NGO categories for RPs\",IF(AND(C16=\"RP\",C17=\"CSO/NGO not new to UNDP/UN System\"),\"Please refresh your response to Question 3 above to choose the correct CSO/NGO categories for RPs\",\" \"))","v":" "}]
[null,null,{"$f":"IF(C17=\"Private Sector\",\"Private Sector Due Diligence\",\" \")","v":" "}]
[{"$f":"IF(C20=\"Yes\",\"Construction Management Assessment needed\",\" \")","v":" "},null,{"$f":"IF(C20=\"Yes\",\"Construction Assessment\",\" \")","v":" "}]
[{"$f":"IF(C21=\"Yes\",\"On-Granting Assessment needed\",\" \")","v":"On-Granting Assessment needed"},null,{"$f":"IF(C21=\"Yes\",\"On-Granting Assessment\",\" \")","v":"On-Granting Assessment"}]
[{"$f":"IF(C22=\"Yes\",\"GEF & GCF Procurement Assessment needed\", \" \")","v":"GEF & GCF Procurement Assessment needed"},null,{"$f":"IF(C22=\"Yes\",\"GEF & GCF Procurement Assess\",\" \")","v":"GEF & GCF Procurement Assess"}]
[{"$f":"IF(C23=\"Yes\",\"PBPA Proposal Due Diligence needed. Also follow HACT assessment and assurance requirements in line with prevailing policies where applicable.\",\" \")","v":"PBPA Proposal Due Diligence needed. Also follow HACT assessment and assurance requirements in line with prevailing policies where applicable."},null,{"$f":"IF(C23=\"Yes\",\"PBPA Proposal Due Diligence\",\" \")","v":"PBPA Proposal Due Diligence"}]
[null,null,{"$f":"IF(AND(C23=\"Yes\",C24=\"Yes\"),\"HACT Micro-Assessment\",\" \")","v":"HACT Micro-Assessment"}]
[{"$f":"IF(AND(C40=\" \",C41=\" \",C42=\" \",C43=\" \",C45=\" \"),\"Conclusion: No Capacity Assessments are needed. No further action is required.\",\" \")","v":" "}]
[]
[]
["Capacity Assessments needed for this Partner fulfilling an 'Other' Role:",null,"Links to these Capacity Assessments"]
[{"$f":"IF(C16=\"Other\",\"Private Sector Due Diligence required.\",\" \")","v":" "},null,"Private Sector Due Diligence",{"$f":"IF(AND(C16=\"Other\",C17=\"Private Sector\"),\" \",\"Please refresh your response to Question 3 above to select Private Sector.\")","v":"Please refresh your response to Question 3 above to select Private Sector."}]
[]
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["Return to PCAT Overview page"]
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[{"$f":"IF(OR('Partner Pre-requisites'!E30=\"Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'\",'Partner Pre-requisites'!E30=\"Do not proceed with this Partner. No further Capacity Assessment actions needed.\"),1,2)","v":2}]
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[{"$f":"IF(OR('Partner Pre-requisites'!E30=\"Please answer all questions before proceeding\",'Partner Pre-requisites'!E30=\"Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'\",'Partner Pre-requisites'!E30=\"Do not proceed with this Partner. No further Capacity Assessment actions needed.\"),1,2)","v":1}]

{"sheet":"Humanitarian Rapid Screen","index":3,"n_rows":44,"n_cols":7,"rows_kept":44,"cut":false,"hidden":false,"merged":[[43,0,43,1],[41,2,43,2],[44,0,44,6],[41,5,43,6],[35,0,35,6],[36,0,38,6],[40,0,40,6],[41,0,42,1],[41,3,42,3],[41,4,42,4],[34,0,34,6],[29,0,29,6],[31,5,31,6],[30,5,30,6],[30,2,30,3],[32,5,32,6],[33,5,33,6],[31,2,31,3],[33,2,33,3],[32,2,32,3],[0,0,0,6],[3,0,3,6],[5,0,5,6],[2,0,2,6],[1,0,1,6],[6,2,6,6],[28,0,28,6],[24,0,24,3],[24,5,24,6],[25,0,25,3],[25,5,25,6],[26,0,26,3],[26,4,26,6],[7,2,11,6],[23,0,23,6],[27,0,27,6]]}
["Partner Capacity Assessment Tool - Humanitarian Context Rapid Screen for CSOs/NGOs"]
["Return to Capacity Assessment Scoping "]
["Purpose of the Humanitarian Context Rapid Screen: This Rapid Screen is designed to quickly assess the risk profile of CSO/NGO Partners to understand whether they present low, moderate or higher risk levels for UNDP and to determine any risk mitigation strategies that should be adopted to optimize the success of the project."]
["Responsibility & Timing: The Project Developer should complete this Humanitarian Context Rapid Screen for CSOs/NGOs to assess the preliminary risk profile of potential Partners in order to proceed with project activities. A more comprehensive Partner Capacity Assessment, including the HACT Micro-Assessment where required, should be completed within 3 months of the project's commencement, or sooner if more than USD 300,000 is disbursed (which triggers the need for HACT procedures to be followed)."]
[]
["Background Information (carried forward from 'Partner Pre-requisites' worksheet)"]
["Region",{"$f":"'Partner Pre-requisites'!B7","v":"Africa"},{"$f":"'Partner Pre-requisites'!C7","v":"Comments: (Optional)"}]
["Office",{"$f":"'Partner Pre-requisites'!B8","v":"Lesotho"},{"$f":"'Partner Pre-requisites'!C8","v":"XXX"}]
["Programme Start",{"$f":"'Partner Pre-requisites'!B9","v":"2018-07-01"}]
["Programme End",{"$f":"'Partner Pre-requisites'!B10","v":"2022-06-30"}]
["Partner Name",{"$f":"'Partner Pre-requisites'!B11","v":"XYZ"}]
["Partner budget for this Project (USD)",{"$f":"'Partner Pre-requisites'!B12","v":750000}]
[]
["ERM Risk Category ","Risk being addressed","Q. #","CSO/NGO Rapid Screen Questions","What to review to determine your response","Response \n(Y/N)","Comments \n(required for all red responses)"]
["Regulatory (6.3, FRR)","Inadequate legal status",1,"Is the Partner a legal entity that is currently registered to operate in the country?","* Legal incorporation documents\n* Registration with government or umbrella CSO","Select"]
["Strategic (7.3 Partner Capacities)","Inadequate programmatic reach",{"$f":"C15+1","v":2},"Does the Partner have access to beneficiaries in the geographic areas covered by the project, or the affected area(s)?","* Annual Report\n* Evaluation reports on implemented projects","Select"]
["Strategic (7.3 Partner Capacities)","Misalignment of programme focus",3,"Are the project outputs proposed to be delivered by this Partner aligned with its mandate, constituency base and experience?","* Mission statement/Charter document\n* Annual Report\n* Policy Statements\n* Evaluation reports on implemented projects","Select"]
["Political (5.2 Political will)","Absence of leadership commitment",4,"Is the Partner's leadership willing to implement the proposed project?","* Minutes of meetings or other written confirmation from the potential Partner","Select"]
["Political (5.1 Government Commitment)","Absence of national government commitment",5,"Has the national government raised any objections to this organization being considered as a Partner for this project?","* Minutes of meetings or other written confirmation from government counterparts\n* UNDAF joint results group work plans","Select"]
["Financial (2.3, Corruption & fraud)","Inadequate financial integrity",6,"Is the Partner financially healthy based on its most recent audited financial statements? (e.g. assets exceed liabilities, accumulated surpluses exist, cash and investments exceed current liabilities, audit report does not raise significant issues, etc)","* Most recent financial statements with audit report","Select"]
["Financial (2.5, Delivery)","Inability to physically receive funds from UNDP",7,"Can the Partner physically receive funds from UNDP in a secure and accountable manner?","* Letter of confirmation from the potential Partner with details of the bank (including routing if through correspondent banks)\n* Original bank statement","Select"]
["Strategic (7.3 Partner Capacities)","Delayed project implementation due to absorption capacity",8,"Does the Partner need to undertake significant recruitment of programme, financial or procurement management staff, or specialized technical capacities (environment, health, advocacy, etc), to undertake this project?","* Organizational Structure vis-à-vis size and complexity of existing projects combined with the addition of this project\n* CVs and confirmed availability of technical specialists vis-à-vis what is needed for this project\n* Also consider staff turnover rates","Select"]
["Strategic (7.3 Partner Capacities)","Inadequate experience, poor track record",9,"If this is a new Partner that UNDP has not worked with before, has a satisfactory UN or donor reference been received for the organization that will implement the project in-country? (The reference should address areas such as: size, scope and complexity of prior projects, delivery compared to original planning; expenditure compared to budget; timeliness of implementation; timeliness and quality of reports; quality of results)","* Donor reference ","Select"]
[]
["Conclusion on Humanitarian Context Rapid Scan for CSOs/NGOs",null,null,null,"Assessment Response","Comments \n"]
["Choose the most appropriate assessment based on the responses above",null,null,null,"Select"]
["Next Steps",null,null,null,{"$f":"IF(E26=\"Select\",\"Please select the most appropriate assessment above\",IF(E26=\"All responses green\",\"Proceed with this Partner\",IF(E26=\"Most responses green with some red\",\"If proceeding with this Partner, continue to Risk Mitigation Strategies below\",IF(E26=\"Most responses red with few green\",\"Refrain from engaging this organization as a Partner\"))))","v":"Please select the most appropriate assessment above"}]
[]
["Risk Mitigation Strategies"]
["If this Partner scored red on any of the questions above, and you will proceed with this Partner on the project, briefly describe below the risk mitigation strategies (such as capacity building and/or enhanced monitoring & assurance activities) that will be implemented as part of the project and the estimated budget needed for those activities. Be sure to add these risks and risk mitigation strategies to the Risk Register."]
["Risk identified above (i.e., red response)","Risk Mitigation Strategies (i.e. capacity building actions and/or enhanced monitoring and assurance activities)","Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document",null,"Estimated budget required for these activities (include in the Project Budget)\n(USD)","Comments (Optional)"]
["Issue 1 (describe)","Select"]
["Issue 2 (describe)","Select"]
["Issue 3 (describe)","Select"]
[]
["Comments on overall 'Humanitarian Context Rapid Scan' for this Partner: (Optional)"]
[]
[]
[]
[]
["Signature and Title of Staff Member completing this CSO/NGO Humanitarian Rapid Screen:"]
[]
[]
["Signature",null,null,"Title","Date"]

{"sheet":"New CSO-NGO Pre-Screen","index":4,"n_rows":36,"n_cols":7,"rows_kept":36,"cut":false,"hidden":false,"merged":[[34,0,34,6],[35,0,41,6],[31,2,31,3],[31,5,31,6],[32,2,32,3],[32,5,32,6],[33,2,33,3],[33,5,33,6],[30,2,30,3],[30,5,30,6],[23,0,23,6],[24,0,24,3],[24,5,24,6],[25,0,25,3],[25,5,25,6],[26,0,26,3],[26,4,26,6],[27,0,27,6],[28,0,28,6],[29,0,29,6],[7,2,11,6],[0,0,0,6],[2,0,2,6],[3,0,3,6],[5,0,5,6],[6,2,6,6],[1,0,1,6]]}
["Partner Capacity Assessment Tool - New CSO-NGO Risk-Based Pre-Screen"]
["Return to Capacity Assessment Scoping"]
["Purpose of the New CSO-NGO Pre-Screen: This Pre-Screen is designed to quickly assess the risk profile of CSO/NGO Partners who have not worked with UNDP before to understand whether they present low, moderate or higher risk levels for UNDP and to determine whether to proceed with further Partner capacity assessments, including the Programme-Project Management Assessment and/or HACT Micro-Assessment if required. "]
["Responsibility & Timing: The Project Developer should complete this New CSO/NGO Pre-Screen as soon as possible in the project design phase if a CSO/NGO that has no track record with UNDP or the UN System is being considered for the project. This will help to assess whether the CSO/NGO has certain minimum capacities to partner with UNDP. It will also help to avoid situations where the Partner may subsequently fail the HACT Micro-Assessment, which can lead to project delays if a new Partner must be identified. A more comprehensive Partner Capacity Assessment, including the HACT Micro-Assessment where required, should be completed if the Partner passes this Pre-Screen and will receive more than USD 300,000 during the Programme Period."]
[]
["Background Information (carried forward from 'Partner Pre-requisites' worksheet)"]
["Region",{"$f":"'Partner Pre-requisites'!B7","v":"Africa"},{"$f":"'Partner Pre-requisites'!C7","v":"Comments: (Optional)"}]
["Office",{"$f":"'Partner Pre-requisites'!B8","v":"Lesotho"},{"$f":"'Partner Pre-requisites'!C8","v":"XXX"}]
["Programme Start",{"$f":"'Partner Pre-requisites'!B9","v":"2018-07-01"}]
["Programme End",{"$f":"'Partner Pre-requisites'!B10","v":"2022-06-30"}]
["Partner Name",{"$f":"'Partner Pre-requisites'!B11","v":"XYZ"}]
["Partner budget for this Project (USD)",{"$f":"'Partner Pre-requisites'!B12","v":750000}]
[]
["ERM Risk Category ","Risk being addressed","Q. #","New CSO/NGO Pre-Screen Questions","What to review to determine your response","Response \n(Y/N)","Comments \n(required for all red responses)"]
["Regulatory (6.3, FRR)","Inadequate legal status",1,"Is the Partner a legal entity that is currently registered to operate in the country?","* Legal incorporation documents\n* Registration with government or umbrella CSO","Select"]
["Strategic (7.3 Partner Capacities)","Inadequate programmatic reach",{"$f":"C15+1","v":2},"Does the Partner have access to beneficiaries in the geographic areas covered by the project, or the affected area(s)?\n","* Annual Report\n* Evaluation reports on implemented projects","Select"]
["Strategic (7.3 Partner Capacities)","Misalignment of programme focus",{"$f":"C16+1","v":3},"Are the project outputs proposed to be delivered by this Partner aligned with its mandate, constituency base and experience?","* Mission statement/Charter document\n* Annual Report\n* Policy Statements\n* Evaluation reports on implemented projects","Select"]
["Political (5.2 Political will)","Absence of leadership commitment",4,"Is the Partner's leadership willing to implement the proposed project?","* Minutes of meetings or other written confirmation from the potential IP","Select"]
["Political (5.1 Government Commitment)","Absence of national government commitment",5,"Has the national government raised any objections to this organization being considered as a Partner for this project?","* Minutes of meetings or other written confirmation from government counterparts\n* UNDAF joint results group work plans","Select"]
["Financial (2.3, Corruption & fraud)","Inadequate financial integrity",6,"Is the Partner financially healthy based on its most recent audited financial statements? (e.g. assets exceed liabilities, accumulated surpluses exist, cash and investments exceed current liabilities, audit report does not raise significant issues, etc)","* Most recent financial statements with audit report","Select"]
["Financial (2.5, Delivery)","Inability to physically receive funds from UNDP",7,"Can the Partner physically receive funds from UNDP in a secure and accountable manner?","* Letter of confirmation from the potential IP with details of the bank (including routing if through correspondent banks)\n* Original bank statement","Select"]
["Strategic (7.3 Partner Capacities)","Delayed project implementation due to absorption capacity",8,"Does the Partner need to undertake significant recruitment of programme, financial or procurement management staff, or specialized technical capacities (environment, health, advocacy, etc), to undertake this project?","* Organizational Structure vis-à-vis size and complexity of existing projects combined with the addition of this project\n* CVs and confirmed availability of technical specialists vis-à-vis what is needed for this project\n* Also consider staff turnover rates","Select"]
["Strategic (7.3 Partner Capacities)","Inadequate experience, poor track record",9,"Has a satisfactory UN or donor reference been received for the organization that will implement the project in-country? (The reference should address areas such as: size, scope and complexity of prior projects, delivery compared to original planning; expenditure compared to budget; timeliness of implementation; timeliness and quality of reports; quality of results)","* Donor reference ","Select"]
[]
["Conclusion on New CSO/NGO Pre-Screen",null,null,null,"Assessment Response","Comments \n"]
["Choose the most appropriate assessment based on the responses above",null,null,null,"Select"]
["Next Steps",null,null,null,{"$f":"IF(E26=\"Select\",\"Please select the most appropriate assessment above\",IF(E26=\"All responses green\",\"Proceed with this Partner\",IF(E26=\"Most responses green with some red\",\"If proceeding with this Partner, continue to Risk Mitigation Strategies below\",IF(E26=\"Most responses red with few green\",\"Refrain from engaging this organization as a Partner\"))))","v":"Please select the most appropriate assessment above"}]
[]
["Risk Mitigation Strategies"]
["If this Partner scored red on any of the questions above, and you will proceed with this Partner on the project, briefly describe below the risk mitigation strategies (such as capacity building and/or enhanced monitoring & assurance activities) that will be implemented as part of the project and the estimated budget needed for those activities."]
["Risk identified above (i.e., red response)","Risk Mitigation Strategies (i.e. capacity building actions and/or enhanced monitoring and assurance activities)","Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document",null,"Estimated budget required for these activities (include in the Project Budget)\n(USD)","Comments (Optional)"]
["Issue 1 (describe)","Select"]
["Issue 2 (describe)","Select"]
["Issue 3 (describe)","Select"]
[]
["Comments on overall 'New CSO/NGO Pre-Screen' for this Partner: (Optional)"]

{"sheet":"Programme-Project Mgt","index":5,"n_rows":69,"n_cols":12,"rows_kept":69,"cut":false,"hidden":false,"merged":[[1,11,1,13],[14,0,14,10],[60,0,60,10],[61,0,61,6],[61,7,61,10],[47,0,47,10],[56,3,56,5],[50,3,50,5],[51,3,51,5],[52,3,52,5],[48,3,48,5],[49,3,49,5],[55,3,55,5],[53,3,53,5],[54,3,54,5],[46,0,46,10],[0,0,0,10],[12,0,12,10],[3,0,3,10],[4,0,4,10],[6,5,6,10],[7,5,7,10],[8,5,8,10],[9,5,9,10],[5,5,5,10],[11,0,11,10],[26,3,26,5],[33,6,33,8],[18,3,18,5],[19,3,19,5],[24,3,24,5],[25,3,25,5],[22,3,22,5],[23,3,23,5],[20,3,20,5],[32,3,32,5],[30,3,30,5],[33,0,34,4],[34,6,34,10],[31,3,31,5],[27,3,27,5],[28,3,28,5],[62,0,62,6],[62,7,62,10],[59,0,59,10],[57,6,57,8],[58,6,58,10],[57,0,58,4],[68,0,68,3],[65,0,65,10],[66,0,67,10],[63,7,63,10],[64,0,64,6],[64,7,64,10],[68,4,68,10],[63,0,63,6],[29,3,29,5],[35,0,35,10],[44,0,44,3],[45,0,45,10],[39,0,39,6],[39,7,39,10],[40,0,40,6],[40,7,40,10],[36,0,36,10],[37,0,37,6],[37,7,37,10],[38,0,38,6],[44,4,44,10],[42,0,43,10],[38,7,38,10],[41,0,41,10],[13,3,13,5],[16,3,16,5],[21,3,21,5],[1,0,1,10],[2,0,2,10],[5,2,5,4],[6,2,10,4],[10,5,10,10],[17,3,17,5],[15,3,15,5]]}
["Partner Capacity Assessment Tool: Programme & Project Management Assessment\n\t\t\t\t\t"]
["Purpose: This worksheet is designed to assess the Partner's Programme & Project Management capacity. It covers topics that are not included in the HACT Micro-Assessment.",null,null,null,null,null,null,null,null,null,null,"Return to Capacity Assessment Scoping"]
["Responsibility & Timing: The Programme & Project Management capacity assessment should be completed by the Project Developer as soon as possible in the Project Design Phase."]
[]
["Background Information (carried forward from 'Partner Pre-requisites' worksheet)"]
["Region",{"$f":"'Partner Pre-requisites'!B7","v":"Africa"},{"$f":"'Partner Pre-requisites'!C7","v":"Comments: (Optional)"},null,null,"Guide for determining the relative importance to this project of each capacity assessed below1: "]
["Office",{"$f":"'Partner Pre-requisites'!B8","v":"Lesotho"},{"$f":"'Partner Pre-requisites'!C8","v":"XXX"},null,null,"The risk categories below should be used to assess the relative importance of each capacity to this specific project:"]
["Programme Start",{"$f":"'Partner Pre-requisites'!B9","v":"2018-07-01"},null,null,null,"High Risk: This capacity is critical for the success of the project. Without this capacity there is a high likelihood that the IP will not fulfil the project goals."]
["Programme End",{"$f":"'Partner Pre-requisites'!B10","v":"2022-06-30"},null,null,null,"Substantial Risk: This capacity is very important for the success of the project. Without this capacity there is a substantial likelihood that the IP will not fulfil the project goals."]
["Partner Name",{"$f":"'Partner Pre-requisites'!B11","v":"XYZ"},null,null,null,"Moderate Risk: This capacity is important for the success of the project. Without this capacity there is a moderate likelihood that the IP will not fulfil the project goals."]
["Partner budget for this Project (USD)",{"$f":"'Partner Pre-requisites'!B12","v":750000},null,null,null,"Low Risk: This capacity is not important for the success of this project. Without this capacity there is a low likelihood that the IP will not fulfil the project goals."]
[]
["Programme & Project Management Assessment\t\t\t"]
["ERM Risk Category\n","Risk Being Addressed\n","Q.#","Questions",null,null,"Response (Yes, No or N/A)","Relative Importance of Each Capacity to this Project?1 \n","Risk Assessment points","Risk Score based on Response","Remarks/ comments"]
[]
["Political (5.2 Political Will)","Absence of political commitment",1,"Is the organization's leadership willing to implement this project?",null,null,"Select","Select",{"$f":"IF($H16=\"Select\",0,IF($H16=\"High\",4,IF($H16=\"Substantial\",3,IF($H16=\"Moderate\",2,IF($H16=\"Low\",1,IF($H16=\"N/A\",0))))))","v":0},{"$f":"IF(G16=\"Select\",I16*0,IF(G16=\"Yes\",I16*0,IF(G16=\"No\",I16*1,IF(G16=\"N/A\",I16*0))))","v":0}]
["Political (5.3 Political instability; 5.4 Change/turnover in govt; 5.5 Armed conflict and instability)","Difficult Programmatic Context",{"$f":"C16+1","v":2},"Is there a stable enabling environment for the Partner to operate within, in terms of political changes or social unrest, ongoing conflicts, poor physical infrastructure, natural disasters, humanitarian crises?",null,null,"Select","Select",{"$f":"IF($H17=\"Select\",0,IF($H17=\"High\",4,IF($H17=\"Substantial\",3,IF($H17=\"Moderate\",2,IF($H17=\"Low\",1,IF($H17=\"N/A\",0))))))","v":0},{"$f":"IF(G17=\"Select\",I17*0,IF(G17=\"Yes\",I17*0,IF(G17=\"No\",I17*1,IF(G17=\"N/A\",I17*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Misalignment of programmatic focus; Inadequate experience",{"$f":"C17+1","v":3},"Are the project outputs proposed to be delivered by this Partner aligned with its mandate, constituency base, and experience? (Consider scale of project, geographic spread, complexity of results to be achieved).",null,null,"Select","Select",0,{"$f":"IF(G18=\"Select\",I18*0,IF(G18=\"Yes\",I18*0,IF(G18=\"No\",I18*1,IF(G18=\"N/A\",I18*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate Programmatic Reporting",4,"Does the Partner provide its stakeholders and beneficiaries with an annual or periodic programme performance report and do they have an opportunity to provide feedback on the IP's programme performance, either through public meetings or other grievance mechanisms?",null,null,"Select","Select",0,{"$f":"IF(G19=\"Select\",I19*0,IF(G19=\"Yes\",I19*0,IF(G19=\"No\",I19*1,IF(G19=\"N/A\",I19*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Poor Communications",5,"Does the Partner have established protocols and appropriate infrastructure to communicate internally (including sub-offices and to sub-recipients) and to external stakeholders (donors, partners, other implementers, government, etc.)? ",null,null,"Select","Select",0,0]
["Strategic (7.3 Partner capacities)","Absence of Critical Networks",6,"If the Partner depends on any upstream organization(s) for its successful performance, is there any evidence that this dependent relationship will cease or be impaired during the duration of this project? (Consider: (i) type of relationship - local or international network, association, affiliated group, municipal or provincial government drawing on central government support; and (ii) nature of dependency - financial, programmatic, administrative)",null,null,"Select","Select",{"$f":"IF($H21=\"Select\",0,IF($H21=\"High\",4,IF($H21=\"Substantial\",3,IF($H21=\"Moderate\",2,IF($H21=\"Low\",1,IF($H21=\"N/A\",0))))))","v":0},{"$f":"IF(G21=\"Select\",I21*0,IF(G21=\"Yes\",I21*1,IF(G21=\"No\",I21*0,IF(G21=\"N/A\",I21*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Absence of/weaknesses in Critical Networks",7,"Has the Partner assessed the capacity of any downstream partners it will rely upon for the success of the project, and if capacity gaps were found, has it developed a suitable plan to address them (such as capacity building and/or increased monitoring)?",null,null,"Select","Select",{"$f":"IF($H22=\"Select\",0,IF($H22=\"High\",4,IF($H22=\"Substantial\",3,IF($H22=\"Moderate\",2,IF($H22=\"Low\",1,IF($H22=\"N/A\",0))))))","v":0},{"$f":"IF(G22=\"Select\",I22*0,IF(G22=\"Yes\",I22*0,IF(G22=\"No\",I22*1,IF(G22=\"N/A\",I22*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Absence of Critical Networks",8,"Is the Partner party to knowledge networks, coordinating bodies, and other fora that are essential for the successful implementation of this project?",null,null,"Select","Select",0,0]
["Strategic (7.3 Partner capacities)","Inadequate Technical Capacities",9,"Do the skills and experience of the Partner’s technical professionals match those required for the project and will they be available for the duration of the project (particularly if the project is implemented in remote or challenging geographical areas)?",null,null,"Select","Select",0,0]
["Strategic (7.3 Partner capacities)","Inadequate Technical Infrastructure",10,"Does the Partner have the necessary technical and administrative infrastructure (e.g, offices, laboratories, equipment, software, technical data bases, etc.) to support the implementation of the project), including in remote areas or regions if required?",null,null,"Select","Select",0,0]
["Strategic (7.3 Partner capacities)","Poor Absorption Capacity",11,"If the existing programmatic and financial management capacities (staffing, systems, etc) are not adequate to meet the additional requirements of the project, does the Partner have the ability to strengthen the capacities within a reasonable timeframe so that the project is not significantly delayed? (i.e. can it recruit staff and/or implement a suitable system promptly?)",null,null,"Select","Select",0,{"$f":"IF(G26=\"Select\",I26*0,IF(G26=\"Yes\",I26*0,IF(G26=\"No\",I26*1,IF(G26=\"N/A\",I26*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Personnel Limitations",12,"If the organization has a salary scale that would apply to project personnel, would that scale inhibit hiring the best candidates?",null,null,"Select","Select",0,{"$f":"IF(G27=\"Select\",I27*0,IF(G27=\"Yes\",I27*1,IF(G27=\"No\",I27*0,IF(G27=\"N/A\",I27*0))))","v":0}]
["Strategic (7.5 Code of conduct & ethics), Social & Environmental (1.1-1.12)","Violation of programming principles and ethical standards",13,"Does the Partner have an internal policy and a training programme for personnel on the prevention of and response to sexual harassment (SH) and sexual exploitation and abuse (SEA)? ?",null,null,"Select","Select",0,{"$f":"IF(G28=\"Select\",I28*0,IF(G28=\"Yes\",I28*0,IF(G28=\"No\",I28*1,IF(G28=\"N/A\",I28*0))))","v":0}]
["Strategic (7.5 Code of conduct & ethics), Social & Environmental (1.1-1.12)","Violation of programming principles and ethical standards",14,"Does the Partner screen their personnel, and/or partners they engage with, for previous involvement or alleged involvement in SH or SEA? ",null,null,"Select","Select",0,{"$f":"IF(G29=\"Select\",I29*0,IF(G29=\"Yes\",I29*0,IF(G29=\"No\",I29*1,IF(G29=\"N/A\",I29*0))))","v":0}]
["Strategic (7.5 Code of conduct & ethics), Social & Environmental (1.1-1.12)","Violation of programming principles and ethical standards",15,"Does the Partner have a mechanism in place to report and monitor response to allegations of SH and SEA by and against their personnel? (Consider available reporting mechanisms such as emails, hotlines, phone numbers, contact person etc.)",null,null,"Select","Select",0,{"$f":"IF(G30=\"Select\",I30*0,IF(G30=\"Yes\",I30*0,IF(G30=\"No\",I30*1,IF(G30=\"N/A\",I30*0))))","v":0}]
["Strategic (7.5 Code of conduct & ethics), Social & Environmental (1.1-1.12)","Violation of programming principles and ethical standards",16,"Does the Partner have the capacity - internal or external - to investigate allegations of SH and SEA, and the ability to refer victims to appropriate victim assistance services (e.g. medical, legal or psychosocial)?   (Consider information on available capacity (such as trained investigators or access to external investigation services) and mechanisms (such as identified victim assistance providers)  in a written statement.)",null,null,"Select","Select",0,{"$f":"IF(G31=\"Select\",I31*0,IF(G31=\"Yes\",I31*0,IF(G31=\"No\",I31*1,IF(G31=\"N/A\",I31*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate Safety & Security\n",17,"Does the Partner have protocols and safeguards in place to minimize the risk of harm to project-affiliated people, the environment and assets? (e.g. sexual exploitation and abuse, physical safety & security, social & environmental safeguards, etc)",null,null,"Select","Select",{"$f":"IF($H32=\"Select\",0,IF($H32=\"High\",4,IF($H32=\"Substantial\",3,IF($H32=\"Moderate\",2,IF($H32=\"Low\",1,IF($H32=\"N/A\",0))))))","v":0},{"$f":"IF(G32=\"Select\",I32*0,IF(G32=\"Yes\",I32*0,IF(G32=\"No\",I32*1,IF(G32=\"N/A\",I32*0))))","v":0}]
["Strategic (7.5 Code of conduct & ethics), Social & Environmental (1.1-1.12)","Violation of programming principles and ethical standards",18,"Has the Partner advised employees, beneficiaries and other recipients to whom they should report sexual misconduct or where to they may report fraud, waste or misuse of agency resources or property? If so, does the IP have a policy against retaliation relating to such reporting?",null,null,"Select","Select",0,{"$f":"IF(G33=\"Select\",I33*0,IF(G33=\"Yes\",I33*0,IF(G33=\"No\",I33*1,IF(G33=\"N/A\",I33*0))))","v":0}]
[null,null,null,null,null,"Overall Risk Score for this Section",null,null,null,{"$f":"SUM(J16:J33)","v":0}]
[null,null,null,null,null,"Overall Risk Assessment for this Section",{"$f":"IF(J34<=18,\"Low Risk\",IF(J34<=36,\"Moderate Risk\",IF(J34<=54,\"Substantial Risk\",IF(J34>54,\"High Risk\"))))","v":"Low Risk"}]
[]
["Conclusion on Programme & Project Management Assessment "]
["Overall Risk Assessment",null,null,null,null,null,null,{"$f":"G35","v":"Low Risk"}]
["Select the risk mitigation strategies that will be employed (i.e. capacity building actions and/or enhanced monitoring and assurance activities)",null,null,null,null,null,null,"Select"]
["Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document",null,null,null,null,null,null,"PST"]
["Provide the estimated budget required for these activities (to be included in the Project Budget) ($US)",null,null,null,null,null,null,0]
["Comments on Overall Programme & Project Management Assessment: (Optional)"]
["LMN"]
[]
["Return to Capacity Assessment Scoping"]
[]
[]
["Additional Considerations for CSOs/NGOs \t\t"]
["Political (5.1 Government commitment)","Absence of National Government Commitment",1,"Has the national government raised any objections to this organization being considered as a Partner for this project?",null,null,"Select","Select",{"$f":"IF($H49=\"Select\",0,IF($H49=\"High\",4,IF($H49=\"Substantial\",3,IF($H49=\"Moderate\",2,IF($H49=\"Low\",1,IF($H49=\"N/A\",0))))))","v":0},{"$f":"IF(G49=\"Select\",I49*0,IF(G49=\"Yes\",I49*1,IF(G49=\"No\",I49*0,IF(G49=\"N/A\",I49*0))))","v":0}]
["Regulatory (6.3 FRR)","Inadequate legal status",{"$f":"C49+1","v":2},"Is the organization currently registered to operate in the country?",null,null,"Select","Select",{"$f":"IF($H50=\"Select\",0,IF($H50=\"High\",4,IF($H50=\"Substantial\",3,IF($H50=\"Moderate\",2,IF($H50=\"Low\",1,IF($H50=\"N/A\",0))))))","v":0},{"$f":"IF(G50=\"Select\",I50*0,IF(G50=\"Yes\",I50*0,IF(G50=\"No\",I50*1,IF(G50=\"N/A\",I50*0))))","v":0}]
["Regulatory (6.3 FRR)","Absence of Non-Profit Mandate",{"$f":"C50+1","v":3},"Does the organization have a not-for-profit mandate and nature? ",null,null,"Select","Select",0,{"$f":"IF(G51=\"Select\",I51*0,IF(G51=\"Yes\",I51*0,IF(G51=\"No\",I51*1,IF(G51=\"N/A\",I51*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate Governance & Oversight",4,"Does the CSO/NGO have a governing body or management team that actively monitors operations in-country to ensure organizational standards in programme and financial management are adhered to?",null,null,"Select","Select",0,{"$f":"IF(G52=\"Select\",I52*0,IF(G52=\"Yes\",I52*0,IF(G52=\"No\",I52*1,IF(G52=\"N/A\",I52*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Unclear/Uninvolved Constituency",5,"Does the CSO/NGO have a clear constituency with which it has regular and participatory links (including in programme design, review, and reporting of performance) and does it apply effective approaches to collect baseline information and reach its targets (i.e. participatory methods)?",null,null,"Select","Select",0,0]
["Social & Environmental (1.1-1.2, 1.7, 1.11)","Discriminatory membership",6,"If the organization is membership-based, are its membership policies based on principles of non-discrimination?",null,null,"Select","Select",0,0]
["Strategic (7.3 Partner capacities)","Inadequate In-country Presence",7,"Does the CSO/NGO maintain a strong presence in-country and/or the field (e.g. field offices, laboratories, equipment, software, technical data bases, etc.) that will oversee the day-to-day implementation of the project?",null,null,"Select","Select",0,0]
["Strategic (7.3 Partner capacities)","Project delays or interruptions ",8,"Is the CSO/NGO involved in any litigation that could impact the delivery of the project?",null,null,"Select","Select",0,{"$f":"IF(G56=\"Select\",I56*0,IF(G56=\"Yes\",I56*1,IF(G56=\"No\",I56*0,IF(G56=\"N/A\",I56*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate Logistical Capacity",9,"Does the CSO/NGO have adequate communications and logistical capacity to implement this project (e.g. coordination between main office and field offices, transportation of people and/or materials)?",null,null,"Select","Select",0,0]
[null,null,null,null,null,"Overall Risk Score for this Section",null,null,null,{"$f":"SUM(J49:J57)","v":0}]
[null,null,null,null,null,"Overall Risk Assessment for this Section",{"$f":"IF(J58<=9,\"Low Risk\",IF(J58<=18,\"Moderate Risk\",IF(J58<=27,\"Substantial Risk\",IF(J58>27,\"High Risk\"))))","v":"Low Risk"}]
[]
["Conclusion on Additional Considerations for CSO/NGO Capacity Assessment "]
["Overall Risk Assessment",null,null,null,null,null,null,{"$f":"G59","v":"Low Risk"}]
["Select the risk mitigation strategies that will be employed (i.e. capacity building actions and/or enhanced monitoring and assurance activities)",null,null,null,null,null,null,"Select"]
["Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document",null,null,null,null,null,null,"ABC"]
["Provide the estimated budget required for these activities (to be included in the Project Budget) ($US)",null,null,null,null,null,null,50000]
["Comments on Overall Additional Considerations for CSO/NGO Capacity Assessment: (Optional)"]
["TRS"]
[]
["Return to Capacity Assessment Scoping"]

{"sheet":"Construction Assess","index":6,"n_rows":40,"n_cols":12,"rows_kept":40,"cut":false,"hidden":false,"merged":[[1,11,1,13],[34,0,34,6],[34,7,34,10],[35,0,35,6],[35,7,35,10],[19,3,19,5],[28,6,28,10],[29,0,29,10],[30,0,30,10],[27,0,28,4],[6,2,10,3],[6,4,6,10],[7,4,7,10],[8,4,8,10],[9,4,9,10],[10,4,10,10],[39,0,39,3],[36,0,36,10],[37,0,38,10],[39,4,39,10],[21,3,21,5],[32,0,32,6],[32,7,32,10],[33,0,33,6],[33,7,33,10],[31,0,31,10],[22,3,22,5],[23,3,23,5],[24,3,24,5],[25,3,25,5],[26,3,26,5],[27,6,27,8],[0,0,0,10],[3,0,3,10],[4,0,4,10],[5,2,5,3],[1,0,1,10],[2,0,2,10],[5,4,5,10],[11,0,11,10],[20,3,20,5],[17,3,17,5],[18,3,18,5],[12,0,12,10],[13,3,13,5],[14,3,14,5],[15,3,15,5],[16,3,16,5]]}
["Partner Capacity Assessment Tool: Construction Management Assessment\n\t\t\t\t\t"]
["Purpose: This worksheet is designed to assess the Partner's capacity to manage construction activities if this is a key focus of the project. It covers key risk areas in management of construction projects that are not covered by the Programme & Project Management Assessment or the HACT Micro-Assessment. Further policies and operational guidance on this Construction Management Assessment will be forthcoming in 2019.",null,null,null,null,null,null,null,null,null,null,"Return to Capacity Assessment Scoping"]
["Responsibility & Timing: The Construction Management capacity assessment should be completed by the Project Developer (with the assistance of a suitable technical expert if required (e.g. procurement expert, construction management specialist) as soon as possible in the Project Design Phase."]
[]
["Background Information (carried forward from 'Partner Pre-requisites' worksheet)"]
["Region",{"$f":"'Partner Pre-requisites'!B7","v":"Africa"},{"$f":"'Partner Pre-requisites'!C7:G7","v":"Comments: (Optional)"},null,"Guide for determining the relative importance to this project of each capacity assessed below1: "]
["Office",{"$f":"'Partner Pre-requisites'!B8","v":"Lesotho"},{"$f":"'Partner Pre-requisites'!C8","v":"XXX"},null,"The risk categories below should be used to assess the relative importance of each capacity to this specific project:"]
["Programme Start",{"$f":"'Partner Pre-requisites'!B9","v":"2018-07-01"},null,null,"High Risk: This capacity is critical for the success of the project. Without this capacity there is a high likelihood that the IP will not fulfil the project goals."]
["Programme End",{"$f":"'Partner Pre-requisites'!B10","v":"2022-06-30"},null,null,"Substantial Risk: This capacity is very important for the success of the project. Without this capacity there is a substantial likelihood that the IP will not fulfil the project goals."]
["Partner Name",{"$f":"'Partner Pre-requisites'!B11","v":"XYZ"},null,null,"Moderate Risk: This capacity is important for the success of the project. Without this capacity there is a moderate likelihood that the IP will not fulfil the project goals."]
["Partner budget for this Project (USD)",{"$f":"'Partner Pre-requisites'!B12","v":750000},null,null,"Low Risk: This capacity is not important for the success of this project. Without this capacity there is a low likelihood that the IP will not fulfil the project goals."]
[]
["Construction Activities\t"]
["ERM Risk Category\n","Risk Being Addressed\n","Q.#","Questions",null,null,"Response (Yes, No or N/A)","Relative Importance of Each Capacity to this Project?1 \n","Risk Assessment points","Risk Score based on Response","Remarks/ comments"]
["Strategic (7.3 Partner capacities)","No or poor track record",1,"Does this Partner have a proven track record with UNDP or other UN Agencies in successfully managing and delivering outputs for construction projects of similar size and complexity as this project? (If possible and feasible, consider conducting a site visit to a prior construction project).",null,null,"Select","Select",{"$f":"IF($H15=\"Select\",0,IF($H15=\"High\",4,IF($H15=\"Substantial\",3,IF($H15=\"Moderate\",2,IF($H15=\"Low\",1,IF($H15=\"N/A\",0))))))","v":0},{"$f":"IF(G15=\"Select\",I15*0,IF(G15=\"Yes\",I15*0,IF(G15=\"No\",I15*1,IF(G15=\"N/A\",I15*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate leadership & oversight",{"$f":"C15+1","v":2},"Has there been any major changes in the Partner's management team since those projects were completed?",null,null,"Select","Select",{"$f":"IF($H16=\"Select\",0,IF($H16=\"High\",4,IF($H16=\"Substantial\",3,IF($H16=\"Moderate\",2,IF($H16=\"Low\",1,IF($H16=\"N/A\",0))))))","v":0},{"$f":"IF(G16=\"Select\",I16*0,IF(G16=\"Yes\",I16*1,IF(G16=\"No\",I16*0,IF(G16=\"N/A\",I16*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate staffing capacity",{"$f":"C16+1","v":3},"Has the Partner provided specific staffing/supervision commitments for the project in writing?",null,null,"Select","Select",0,{"$f":"IF(G17=\"Select\",I17*0,IF(G17=\"Yes\",I17*0,IF(G17=\"No\",I17*1,IF(G17=\"N/A\",I17*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate staffing capacity",4,"Has the Partner's current and projected workload been assessed to ensure it has the capacity to take on this project?",null,null,"Select","Select",0,0]
["Strategic (7.3 Partner capacities)","Inadequate technical expertise",5,"Does the Partner have sufficient technical expertise available to the project to ensure that construction specifications are adequately and timely defined/specific to ensure efficient, effective and transparent construction management?",null,null,"Select","Select",0,0]
["Strategic (7.3 Partner capacities)","Inadequate technical expertise",6,"If the Partner will rely on other organizations to complete aspects of the construction, has it assessed the capacities of those organizations to deliver works that meet appropriate quality standards, including access to own / operate relevant equipment and machinery that will be used for the works, if applicable.?",null,null,"Select","Select",0,0]
["Strategic (7.3 Partner capacities)","Inadequate quality assurance",7,"Does the Partner have adequate quality assurance mechanisms in place to ensure the construction is safe and meets national or international quality standards? (Consider whether quality assurance policies and procedures are in place and are overseen by a qualified professional; consider any past public reports and/or litigation related to quality assurance issues, etc)",null,null,"Select","Select",0,0]
["Social & Environmental ","Inadequate safeguards for doing no harm to people and/or the environment",8,"Does the Partner have protocols and safeguards in place to identify and manage risks associated with potential harm to people and/or the environment?",null,null,"Select","Select",0,0]
["Strategic (7.3 Partner capacities); Financial (2.5 Delivery)","No Pre-financing capacity",9,"Has the Partner's financial condition and ability to finance the work been confirmed?",null,null,"Select","Select",0,0]
["Strategic (7.3 Partner capacities); Financial (2.5 Delivery)","Pre-financing capacity",10,"If the Partner cannot pre-finance the work, can it provide performance and payment bonds/bank guarantee from a qualified surety in the amount of any advances provided by UNDP? ",null,null,"Select","Select",0,0]
["Regulatory (6.4 Other)","Insurance non-compliance",11,"Has the Partner provided proof of its compliance with insurance requirements? ",null,null,"Select","Select",0,0]
["Regulatory (6.4 Other)","Legal non-compliance",12,"Does the Partner have procedures in place to ensure it complies with national building codes and standards and any other applicable local laws and other requirements?",null,null,"Select","Select",0,0]
["Regulatory (6.4 Other)","Litigation risk",{"$f":"C26+1","v":13},"Has the Partner been subject to any litigation or arbitration in the past 5 years that could adversely affect or impact delivery of outputs under the project?",null,null,"Select","Select",0,{"$f":"IF(G27=\"Select\",I27*0,IF(G27=\"Yes\",I27*1,IF(G27=\"No\",I27*0,IF(G27=\"N/A\",I27*0))))","v":0}]
[null,null,null,null,null,"Overall Risk Score for this Section",null,null,null,{"$f":"SUM(J15:J27)","v":0}]
[null,null,null,null,null,"Overall Risk Assessment for this Section",{"$f":"IF(J28<=13,\"Low Risk\",IF(J28<=26,\"Moderate Risk\",IF(J28<=39,\"Substantial Risk\",IF(J28>39,\"High Risk\"))))","v":"Low Risk"}]
[]
["Conclusion on Construction Management Assessment "]
[]
["Overall Risk Assessment",null,null,null,null,null,null,{"$f":"G29","v":"Low Risk"}]
["Select the risk mitigation strategies that will be employed (i.e. capacity building actions and/or enhanced monitoring and assurance activities)",null,null,null,null,null,null,"Select"]
["Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document",null,null,null,null,null,null,"YYY"]
["Provide the estimated budget required for these activities (to be included in the Project Budget) ($US)",null,null,null,null,null,null,10000]
["Comments on Overall Construction Management Capacity Assessment: (Optional)"]
["XXX"]
[]
["Return to Capacity Assessment Scoping"]

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["Partner Capacity Assessment Tool: On-Granting Assessment \n\t\t\t\t\t\t"]
["Purpose: This On-Granting Assessment should be used for low-value grants that are awarded indirectly via ‘on-granting,' an arrangement where UNDP provides funds to a grant-making institution serving as an IP (under national implementation) or RP (under direct implementation or direct country office support services).",null,null,null,null,null,null,null,null,null,"Return to Capacity Assessment Scoping"]
["Responsibility: This on-granting assessment may be completed by the Project Developer or by the external service provider engaged to complete the HACT Micro-Assessment - as an add-on service"]
[]
["Background Information (carried forward from 'Partner Pre-requisites' worksheet)"]
["Region",{"$f":"'Partner Pre-requisites'!B7","v":"Africa"},{"$f":"'Partner Pre-requisites'!C7:G7","v":"Comments: (Optional)"},null,"Guide for determining the relative importance to this project of each capacity assessed below1: "]
["Office",{"$f":"'Partner Pre-requisites'!B8","v":"Lesotho"},{"$f":"'Partner Pre-requisites'!C8","v":"XXX"},null,"The risk categories below should be used to assess the relative importance of each capacity to this specific project:"]
["Programme Start",{"$f":"'Partner Pre-requisites'!B9","v":"2018-07-01"},null,null,"High Risk: This capacity is critical for the success of the project. Without this capacity there is a high likelihood that the IP will not fulfil the project goals."]
["Programme End",{"$f":"'Partner Pre-requisites'!B10","v":"2022-06-30"},null,null,"Substantial Risk: This capacity is very important for the success of the project. Without this capacity there is a substantial likelihood that the IP will not fulfil the project goals."]
["Partner Name",{"$f":"'Partner Pre-requisites'!B11","v":"XYZ"},null,null,"Moderate Risk: This capacity is important for the success of the project. Without this capacity there is a moderate likelihood that the IP will not fulfil the project goals."]
["Partner budget for this Project (USD)",{"$f":"'Partner Pre-requisites'!B12","v":750000},null,null,"Low Risk: This capacity is not important for the success of this project. Without this capacity there is a low likelihood that the IP will not fulfil the project goals."]
[]
["On-granting Assessment"]
["ERM Risk Category\n","Risk Being Addressed\n","Q.#","Questions",null,"Response (Yes, No or N/A)","Relative Importance of Each Capacity to this Project?1 \n","Risk Assessment points","Risk Score based on Response","Remarks/ comments"]
["SECTION 1: Goals, Governance and Grant Programme Design"]
["Strategic (7.3 Partner capacities)","Misaligned programmatic focus",1,"Are the Partner's mandate and experience aligned with the purpose, goals and desired outcomes of the grant programme?",null,"Select","High",{"$f":"IF($G16=\"Select\",0,IF($G16=\"High\",4,IF($G16=\"Substantial\",3,IF($G16=\"Moderate\",2,IF($G16=\"Low\",1,IF($G16=\"N/A\",0))))))","v":4},{"$f":"IF(F16=\"Select\",H16*0,IF(F16=\"Yes\",H16*0,IF(F16=\"No\",H16*1,IF(F16=\"N/A\",H16*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Unclear responsibilities and accountabilities",{"$f":"C16+1","v":2},"Does the Partner have a clear and transparent governance structure that clearly defines responsibilities and accountabilities throughout the grant-making design and implementation process, including decision-making authorities on programme design, proposal solicitation processes, design and approval of selection criteria, proposal assessment methods, grant award decisions, and grant implementation management (including authority to make changes to the grant agreement or suspend/terminate it if needed)?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Poor programme design",3,"Does the Partner have proven technical experience in designing 'fit-for-purpose' grant programmes, including determination of the best modalities to achieve the programme outcomes? This could include consideration of such programme features as: (i) determining whether to take a universal approach (open to all organizations) or a targeted approach (open to organizations with particular characteristics); (ii) working with established organizations or emerging organizations or a combination of both; (iii) using one-off, recurrent or time-limited grants; (iv) using multiple funding rounds or a rolling applications process; (v) using competitive tenders/applications or supported submissions/proposals; (vi) the best grant solicitation approaches and mechanisms to minimize burden and reach remote or marginalized groups; (vii) involving national or regional organizations or small local organizations or a combination of both; (viii) encouraging the use of consortiums/partnerships or single grant recipients; (ix) engaging with the grant recipient as a purchase/provider with limited flexibility on grant performance or as a participative partner facilitating capacity support if needed for grant performance; (x) risk-based grant portfolio and individual grant monitoring approaches; and (xi) determining the most effective monitoring and evaluation approaches to validate the outcomes achieved.",null,"Select","High",{"$f":"IF($G18=\"Select\",0,IF($G18=\"High\",4,IF($G18=\"Substantial\",3,IF($G18=\"Moderate\",2,IF($G18=\"Low\",1,IF($G18=\"N/A\",0))))))","v":4},{"$f":"IF(F18=\"Select\",H18*0,IF(F18=\"Yes\",H18*0,IF(F18=\"No\",H18*1,IF(F18=\"N/A\",H18*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate risk management",4,"Does the Partner have an effective risk identification and management system in place to identify the grant programme risks (including programmatic, financial, ethical, reputational, social and environmental risks) affecting its own organization, UNDP and downstream grant beneficiaries?",null,"Select","High",{"$f":"IF($G19=\"Select\",0,IF($G19=\"High\",4,IF($G19=\"Substantial\",3,IF($G19=\"Moderate\",2,IF($G19=\"Low\",1,IF($G19=\"N/A\",0))))))","v":4},0]
["Strategic (7.3 Partner capacities)","Inadequate legal basis for grant-making",5,"Does the Partner have a clear legal and regulatory framework for providing grants? (i.e. financial regulations or other rules of incorporation permit grant-making; necessary legal instruments exist to sign and manage grant agreements, etc)",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate programmatic experience",6,"Does the Partner have any previous experience with on-granting or institutional grant-making using international and/or multilateral resources?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate programmatic experience",7,"Does the Partner have a proven track record of working with small or emerging organizations to enhance their capacity to attract funding, manage grants, and/or expand/improve their social service delivery?",null,"Select","High",4,0]
["SECTION 2: Grant Proposal Solicitation"]
["Strategic (7.3 Partner capacities); Social & Environmental (1.1, 1.2, 1.8, 1.11)","Inconsistent or poor quality submissions; poor transparency",1,"Does the Partner have guidelines for grant applicants and do these guidelines clearly describe the grant-making process, including application, selection, award, monitoring and performance assessment? ",null,"Select","High",{"$f":"IF($G24=\"Select\",0,IF($G24=\"High\",4,IF($G24=\"Substantial\",3,IF($G24=\"Moderate\",2,IF($G24=\"Low\",1,IF($G24=\"N/A\",0))))))","v":4},{"$f":"IF(F24=\"Select\",H24*0,IF(F24=\"Yes\",H24*0,IF(F24=\"No\",H24*1,IF(F24=\"N/A\",H24*0))))","v":0}]
["Strategic (7.3 Partner capacities); Social & Environmental (1.1, 1.2, 1.8, 1.11)","Poor programmatic targeting and/or reduced pool of applicants",{"$f":"C24+1","v":2},"Does the Partner routinely publish notices, calls for proposals, application materials, grant-making guidelines, timelines and eligibility criteria in an easily understood and accessible manner (such as internet, local and/or national press, national and/or international media or other type of medium, taking into account the needs of the target population)?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities); Social & Environmental (1.1, 1.2, 1.8, 1.11)","Poor programmatic targeting and/or reach",{"$f":"C25+1","v":3},"If applicable, does the Partner have mechanisms to solicit applications from remote or marginalized groups who may not have access to traditional communication channels such as mainstream media or the internet or face other barriers (such as language)?",null,"Select","High",4,0]
["Social & Environmental (1.1, 1.2, 1.8, 1.11); Financial (2.3 Corruption & Fraud)","Potential for unequal treatment",4,"Does the Partner have documented policies and procedures for the submission, receipt, registration and opening of grant proposals, including provisions for how late and/or incomplete applications will be considered and for ensuring the security and confidentiality of grant proposals?",null,"Select","High",4,0]
["Social & Environmental (1.1, 1.2, 1.8, 1.11); Financial (2.3 Corruption & Fraud)","Potential for unequal treatment",5,"Does the Partner use transparent and non-discriminatory eligibility criteria?",null,"Select","High",{"$f":"IF($G28=\"Select\",0,IF($G28=\"High\",4,IF($G28=\"Substantial\",3,IF($G28=\"Moderate\",2,IF($G28=\"Low\",1,IF($G28=\"N/A\",0))))))","v":4},0]
["SECTION 3: Grant Proposal Assessment"]
["Strategic (7.3 Partner capacities)","Inadequate programmatic experience",1,"Does the Partner have previous experience in assessing applications and selecting grant recipients?",null,"Select","High",{"$f":"IF($G30=\"Select\",0,IF($G30=\"High\",4,IF($G30=\"Substantial\",3,IF($G30=\"Moderate\",2,IF($G30=\"Low\",1,IF($G30=\"N/A\",0))))))","v":4},{"$f":"IF(F30=\"Select\",H30*0,IF(F30=\"Yes\",H30*0,IF(F30=\"No\",H30*1,IF(F30=\"N/A\",H30*0))))","v":0}]
["Regulatory (6.3 FRR)","Violation of UN Sanctions; Financial and reputational damage",{"$f":"C30+1","v":2},"Does the Partner have sufficiently robust application screening mechanisms to ensure that any applicants on the UN Sanctions List, or with a history of fraudulent or corrupt practices, or potential ineligibility based on standard UN protocols (e.g., Ineligibility List; UNDP Vendor Sanctions List, etc) can be removed from consideration?",null,"Select","High",4,0]
["Social & Environmental (1.1, 1.2, 1.8, 1.11); Financial (2.3 Corruption & Fraud)","Potential for bias and/or unequal treatment",3,"Does the Partner have clear policies and procedures and criteria to support the transparent assessment and selection of grant proposals against the programme objectives (considering such areas as topic (i.e. climate change, poverty reduction, etc); implementation methods or approaches needed; identity of grantees (i.e. eligibility, relevant target groups, etc); capacities (i.e. reach/interaction with beneficiaries, absorptive ability, etc) and strength of the grantee's proposal).",null,"Select","High",4,0]
["Social & Environmental (1.1, 1.2, 1.8, 1.11); Financial (2.3 Corruption & Fraud)","Potential for bias and/or unequal treatment",4,"Does the Partner have an impartial grant application evaluation committee with clear composition guidelines that facilitate inclusive representation and/or any required technical skills, and a documented terms of reference to assess grant applications?",null,"Select","High",4,0]
["Social & Environmental (1.1, 1.2, 1.8, 1.11); Financial (2.3 Corruption & Fraud)","Potential for bias and/or unequal treatment",5,"Does this grant application evaluation committee use clear and published criteria to evaluate grant applications and does it document its assessment conclusions?",null,"Select","High",4,0]
["Social & Environmental (1.1, 1.2, 1.8, 1.11); Financial (2.3 Corruption & Fraud)","Potential for bias and/or unequal treatment",6,"If a single staff member is responsible for pre-screening and/or shortlisting or evaluating proposals, is there an evaluation committee or other independent staff member that reviews their work to ensure a transparent, fair and independent assessment?",null,"Select","High",4,0]
["Social & Environmental (1.1, 1.2, 1.8, 1.11); Financial (2.3 Corruption & Fraud)","Potential for bias and/or unequal treatment",7,"Where multiple grant applications meet the specified criteria but resource constraints prevent all qualified applicants receiving a grant award, does the Partner have mechanisms in place to assign priorities or weightings within the selection criteria and/or rank applicants to be able to proceed with an award(s)?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Sub-optimal programmatic impact",8,"Does the Partner have adequate mechanisms in place to assess the level of risk posed by potential grant recipients, including their existing capability to achieve the grant outcomes in line with the programme objectives (such as sector knowledge, project management skills, service delivery capacity or infrastructure, particular qualifications or experience, etc)? (Note: grants do not assume or require that eligible entities can prove capacity to implement their grant ideas a priori since the grant itself is often intended to strengthen or build up capacity, but the Implementing Partner should assess the grantee's existing capacity to identify gaps to be strengthened in order to facilitate achievement of outcomes and to enhance the longer-term capacity of the grantee). ",null,"Select","High",{"$f":"IF($G37=\"Select\",0,IF($G37=\"High\",4,IF($G37=\"Substantial\",3,IF($G37=\"Moderate\",2,IF($G37=\"Low\",1,IF($G37=\"N/A\",0))))))","v":4},0]
["Strategic (7.3 Partner capacities)","Sub-optimal programmatic impact",9,"If potential grant recipients pose high risks and/or capacity gaps are identified, does the Partner have staff and/or resources to mitigate those risks and/or provide capacity building support (using internal staff and/or external service providers)?",null,"Select","High",{"$f":"IF($G38=\"Select\",0,IF($G38=\"High\",4,IF($G38=\"Substantial\",3,IF($G38=\"Moderate\",2,IF($G38=\"Low\",1,IF($G38=\"N/A\",0))))))","v":4},0]
["Financial (2.3 Corruption & Fraud); Strategic (7.5 Code of conduct & Ethics, 7.6 Public opinion & media)","Fraud, corruption and potential damage to UNDP's reputation",10,"Does the Partner have effective mechanisms for dealing with Conflicts of Interest that may arise in the grant application assessment process? (such as identifying/disclosing/addressing any related parties issues/using alternate committee members if a conflict is identified, etc)",null,"Select","High",4,0]
["SECTION 4: Grant Award"]
["Strategic (7.3 Partner capacities)","Inadequate communications; Poor transparency ",{"$f":"C40+1","v":1},"Does the Partner have standard procedures for notifying successful and unsuccessful applicants of the outcome of the grant application process in writing within a reasonable timeframe following the grant award decision? ",null,"Select","High",{"$f":"IF($G41=\"Select\",0,IF($G41=\"High\",4,IF($G41=\"Substantial\",3,IF($G41=\"Moderate\",2,IF($G41=\"Low\",1,IF($G41=\"N/A\",0))))))","v":4},{"$f":"IF(F41=\"Select\",H41*0,IF(F41=\"Yes\",H41*0,IF(F41=\"No\",H41*1,IF(F41=\"N/A\",H41*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate communications; Poor visibility",{"$f":"C41+1","v":2},"Does the Partner use the grant award notification process as an opportunity to promote the programme, including the involvement of funding/development partners such as UNDP?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Poor transparency ",{"$f":"C42+1","v":3},"Does the Partner have mechanisms to meet UNDP's transparency requirements (including IATI) regarding public display of the results of the grant selection process, including the grant title, the grantee name and the contact information of the person signing the grant on behalf of the grantee?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate communications; Poor transparency ",{"$f":"C43+1","v":4},"Does the Partner have a mechanism to advise unsuccessful applicants on why their application was not successful and/or provide advice on capacity building needed?\t",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate communications; poor transparency",5,"Does the Partner have a mechanism to deal with appeals or grievances raised by unsuccessful applicants?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate legal instruments",6,"Does the Partner use a standard template for grant agreements that is acceptable to UNDP? (Consider whether grant the Partner's grant agreement template includes a description of the outcomes to be achieved; performance indicators; budget and grant payment terms and timelines; acceptable and unacceptable expense items; ownership of assets purchased with grant funds; monitoring, reporting and evaluation arrangements; actions that will cause the grant to be suspended or terminated; and information on how the grant will be closed out, including return of any unused funds, etc)",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate legal instruments",7,"Where applicable, does the Partner's grant agreement template include contingent repayment clauses and does it have policies, procedures and mechanisms to recover funds in situations where financing provided to a grant recipient enables them to generate additional revenue and/or reduce costs. (Note: In such cases, UNDP uses grant agreement clauses that enable it to receive payments from a grantee when the grantee generates a revenue stream and/or reduces costs following receipt of a UNDP grant.)",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate legal affairs management",8,"Does the Partner have clear rules on who is responsible for grant negotiations and which grant agreement clauses are negotiable and which are not?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate records management",9,"Does the Partner have an appropriate document management and retention policy and facilities to ensure there is satisfactory evidence to support the grant-making activities?",null,"Select","High",4,0]
["SECTION 5: Grant Implementation & Reporting"]
["Strategic (7.3 Partner capacities); Financial (2.5 Delivery)","Inadequate grant management",1,"Does the Partner's grant management system specify the subject, the beneficiary/ies, the duration, the maximum amount of funding, a budget of the action or work programme and the responsibilities of the beneficiary/ies?",null,"Select","High",{"$f":"IF($G51=\"Select\",0,IF($G51=\"High\",4,IF($G51=\"Substantial\",3,IF($G51=\"Moderate\",2,IF($G51=\"Low\",1,IF($G51=\"N/A\",0))))))","v":4},{"$f":"IF(F51=\"Select\",H51*0,IF(F51=\"Yes\",H51*0,IF(F51=\"No\",H51*1,IF(F51=\"N/A\",H51*0))))","v":0}]
["Strategic (7.3 Partner capacities); Financial (2.5 Delivery)","Inadequate grant management",{"$f":"C51+1","v":2},"Does the Partner have the systems and staffing capacity to undertake regular and systematic analysis and monitoring of the grant portfolio in order to assess risks, funding status, implementation progress, disbursement schedules and any changes thereto, and reporting (including interim and final reports from its grantees and to its stakeholders and to UNDP)?",null,"Select","High",4,{"$f":"IF(F52=\"Select\",H52*0,IF(F52=\"Yes\",H52*0,IF(F52=\"No\",H52*1,IF(F52=\"N/A\",H52*0))))","v":0}]
["Strategic (7.3 Partner capacities); Financial (2.5 Delivery)","Inadequate grant management",3,"Does the Partner have staff and procedures in place to manage grant recipients, including periodic review and monitoring of programme implementation and financial management practices? Consider the following: (i) how monitored (written reports, phone calls, site visits, workshops, photos, videos etc); (ii) when monitored (at critical milestones, regular periods, random spot checks, only on completion, etc); (iii) what is monitored (outputs, outcomes, finances, organizational capacity etc); and (iv) follow up actions (capacity support to improve performance; changes to disbursement schedules; contract variations/extensions/cancellation etc)",null,"Select","High",4,{"$f":"IF(F53=\"Select\",H53*0,IF(F53=\"Yes\",H53*0,IF(F53=\"No\",H53*1,IF(F53=\"N/A\",H53*0))))","v":0}]
["Strategic (7.3 Partner capacities); Financial (2.5 Delivery)","Inadequate grant management",4,"Does the Partner have policies, procedures and protocols in place to proactively identify, escalate and resolve poor performance by a grant recipient in a manner that best supports achievement of the programme outcomes?  (Consider policies and procedures relating to suspension, reduction, termination and recovery of grants, including for cases of substantial/persistent errors, irregularities, fraud or unresolved breach of contractual conditions, etc)",null,"Select","High",4,{"$f":"IF(F54=\"Select\",H54*0,IF(F54=\"Yes\",H54*0,IF(F54=\"No\",H54*1,IF(F54=\"N/A\",H54*0))))","v":0}]
["Strategic (7.3 Partner capacities); Financial (2.5 Delivery)","Inadequate financial management",5,"Do the Implementing Partner's grant award policies include basic rules for eligible costs (e.g. actual costs incurred by the grant recipient during implementation, ineligibility of pre-agreement/pre-implementation costs, percentage of operating expenditures that can be funded by the grant, etc)? (Note: Grants cannot be awarded retroactively for activities already started or completed at the time of the application.)",null,"Select","High",4,{"$f":"IF(F55=\"Select\",H55*0,IF(F55=\"Yes\",H55*0,IF(F55=\"No\",H55*1,IF(F55=\"N/A\",H55*0))))","v":0}]
["Strategic (7.3 Partner capacities); Financial (2.5 Delivery)","Inadequate financial management",6,"Does the Partner use a risk-based approach to determine whether to make payments in advance, upon delivery of progress reports, or once key milestones are reached? (Consider whether there is an effective interface between the performance monitoring and reporting system AND the payment system.)",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities); Financial (2.5 Delivery)","Inadequate financial management",7,"Does the Partner have mechanisms to disburse funds to grant recipients in a timely, transparent, secure and accountable manner?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate programme management",8,"Does the Partner have the necessary systems, capacities and incentives in place to encourage grant recipient transparency and accountability, reporting and learning? (e.g. mechanisms for reporting: (i) suspected fraud and abuse; and (ii) non-compliance with programming principles, including social and environmental standards, etc)",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate management of intellectual rights",9,"Does the Partner have policies and procedures surrounding intellectual property ownership that can meet UNDP's requirements? (Note: Since the solution to a development challenge is generated by the grantee, and not UNDP, the intellectual property for solutions rests with the grant recipient, but through the grant application process, the grantee agrees to give UNDP an irrevocable, unlimited, cost-free license to use the solution in its programmes, and to replicate and disseminate it. The grant recipient retains the right to use the solution for its own commercial benefits).",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate data security",10,"Does the Partner have appropriate safeguards to ensure the confidentiality, integrity and availability of data, including that of beneficiaries?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate programme management",11,"Does the Partner have sufficient and adequate technical expertise to effectively assess the programmatic and financial performance of grant recipients, including monitoring and evaluation of outcomes?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate programme management",12,"If the Partner assigns/delegates any aspect of the grant-making activities, does it follow this same on-granting assessment process performed by UNDP on its service providers? ",null,"Select","High",4,{"$f":"IF(F62=\"Select\",H62*0,IF(F62=\"Yes\",H62*0,IF(F62=\"No\",H62*1,IF(F62=\"N/A\",H62*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate programme management",13,"If the Partner assigns/delegates any aspect of the grant-making activities, does the Partner undertake to ensure that its proposed agreement template with the 3rd party is in a form that is acceptable to UNDP, including being consiistent with the Partner's agreement with UNDP?",null,"Select","High",4,0]
[null,null,null,null,"Overall Risk Score for this Section",null,null,null,{"$f":"SUM(I16:I63)","v":0}]
[null,null,null,null,"Overall Risk Assessment for this Section",{"$f":"IF(I64<=44,\"Low Risk\",IF(I64<=88,\"Moderate Risk\",IF(I64<=132,\"Substantial Risk\",IF(I64>132,\"High Risk\"))))","v":"Low Risk"}]
[]
["Conclusion on On-Granting Assessment "]
["Overall Risk Assessment",null,null,null,null,null,{"$f":"F65","v":"Low Risk"}]
["Select the risk mitigation strategies that will be employed (i.e. capacity building actions and/or enhanced monitoring and assurance activities)",null,null,null,null,null,"Select"]
["Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document",null,null,null,null,null,"ABC"]
["Provide the estimated budget required for these activities (to be included in the Project Budget) ($US)",null,null,null,null,null,50000]
["Comments on Overall On-Granting Capacity Assessment: (Optional)"]
["CCC"]
[]
["Return to Capacity Assessment Scoping"]

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["Partner Capacity Assessment Tool: Procurement Capacities for Partners who will implement projects funded by Global Environment Facility (GEF) and Green Climate Fund (GCF)\n\t\t\t\t\t"]
["Purpose: This worksheet is designed to assess the Partner's procurement capacity for all projects funded by Global Environment Facility (GEF) or Green Climate Fund (GCF). It is separate and distinct from the HACT micro-assessment and should be performed for all Partners that will implement GEF or GCF-funded projects, even where a HACT assessment has already been performed on the Partner.",null,null,null,null,null,null,null,null,null,null,null,"Return to Capacity Assessment Scoping"]
["Responsibility & Timing: The Procurement capacity assessment should be completed jointly by the Project Manager and the Country Office procurement team as soon as possible in the Project Design Phase."]
[]
["Background Information (carried forward from 'Partner Pre-requisites' worksheet)"]
["Region",{"$f":"'Partner Pre-requisites'!B7","v":"Africa"},"Comments: (Optional)",null,null,"Procurement Information for this Partner for this GEF or GCF project: (Enter information here)"]
["Office",{"$f":"'Partner Pre-requisites'!B8","v":"Lesotho"},{"$f":"'Partner Pre-requisites'!C8","v":"XXX"},null,null,"Procurement Budget that will be implemented by this Partner:",null,"(Enter information here)","Add comments here"]
["Programme Start",{"$f":"'Partner Pre-requisites'!B9","v":"2018-07-01"},null,null,null,"Procurement Type(s):",null,"Select","Add comments here"]
["Programme End",{"$f":"'Partner Pre-requisites'!B10","v":"2022-06-30"},null,null,null,"Any high risk/high exposure categories planned? (Y/N)",null,"(Enter information here)","For construction activities, refer to the PCAT construction capacity assessment by selecting \"yes\" to question 6: \"Will the Partner be implementing construction activities?\" on the Capacity Assessment Scoping Page. For other high risk/high exposure categories, contact your Regional Procurement Adviser to seek guidance/advice. If the Partner will be implementing high risk/high exposure captegories, the capacity assessment questions below should be evaluated in light of the capacities that will be needed for this type of procurement."]
["Partner Name",{"$f":"'Partner Pre-requisites'!B11","v":"XYZ"},null,null,null,"UNDP has prior experience wth this Partner and its procurement capacities (Y/N)",null,"(Enter information here)","If UNDP's prior experience with the Partner includes procurement capacity weaknesses, review and comment on how these weaknesses have been addressed (or not) by the Partner in the 'comments' section of the relevant capacity areas below and by selecting the assessment responses that reflect the current capacity. If the capacity weaknesses were significant and have not been rectified in a reasonable time period, re-evaluate whether this is the most suitable Partner to perform these procurement activities."]
["Partner budget for this Project (USD)",{"$f":"'Partner Pre-requisites'!B12","v":750000},null,null,null,"Will the Partner outsource or refer any elements of the budgeted procurement for this project to an another entity? ",null,"(Enter information here)","There may be cases where a Partner routes / channels procurement for some given categories and/or over specific thresholds through centralized procurement bodies / entities (i.e. a smaller NGO having to deliver portions of their procurement through regional office in a given NGO or a Ministerial department that uses the central procurement department in the Ministry of Finance to source all inputs required by a project funded by international organizations, etc.) If the Partner will channel the majority or all of the budgeted procurement for this project to another entity, consider performing this capacity assessment on that entity as well."]
[null,null,null,null,null,"Other relevant remarks on planned procurement activities or Partner capacities (optional)",null,"(Enter information here)"]
[null,null,null,null,null,"Procurement Risk Management Resources to consider",null,"Risk Radar","The Procurement Risk Management Radar provides a country-based rating for macro variables, for example inflation, political risk, corruption index, transparency, etc. and is a useful reference point for understanding the environment the Partner is operating in."]
[]
[]
["Procurement Capacity Assessment - PART A: Quantitative\t\t\t"]
["Quantitative Risk Elements",null,null,null,"Select your response from the drop-down list","Assigned rating based on your response \n(based on PSU rating system)","Relative importance of each capacity \n(based on PSU weighting system)","Risk Score based on Response \n(out of 5)\n1=Very Low Risk\n2=Low Risk\n3=Medium Risk\n4=High Risk\n5=Very High Risk","Remarks/Comments"]
["Partner's total procurement volume managed per year (all activities)",null,null,null,"Less than US $5 Million ",{"$f":"VLOOKUP(E18,'Procurement Capacity Responses'!$A$2:$B$6,2,FALSE)","v":1},0.2,{"$f":"F18*G18","v":0.2}]
["Year-to-Year total procurement volume variation",null,null,null,"Less than 20%",{"$f":"VLOOKUP(E19,'Procurement Capacity Responses'!$A$9:$B$13,2,FALSE)","v":1},0.15,{"$f":"F19*G19","v":0.15}]
["Procurement Review Committee compliance rate",null,null,null,"100 % of required cases were reviewed by the PRC",{"$f":"VLOOKUP(E20,'Procurement Capacity Responses'!$A$16:$B$18,2,FALSE)","v":1},0.25,{"$f":"F20*G20","v":0.25}]
["Consolidated procurement plan exists",null,null,null,"IP has a Consolidated Procurement Plan",{"$f":"VLOOKUP(E21,'Procurement Capacity Responses'!$A$21:$B$22,2,FALSE)","v":1},0.2,{"$f":"F21*G21","v":0.2}]
["What was the risk rating for the Procurement Section of the most recent HACT micro-assessment? (Note: HACT assessments are valid for a 4 year period).",null,null,null,"Low risk",{"$f":"VLOOKUP(E22,'Procurement Capacity Responses'!$A$25:$B$29,2,FALSE)","v":1},0.2,{"$f":"F22*G22","v":0.2}]
[null,null,null,null,null,null,{"$f":"SUM(G18:G22)","v":1},{"$f":"SUM(H18:H22)","v":1}]
[null,null,null,null,null,null,null,{"$f":"IF(H23<=1,\"Very Low Risk\",IF(H23<=2,\"Low Risk\",IF(H23<=3,\"Medium Risk\",IF(H23<4,\"High Risk\",IF(H23<=5,\"Very High Risk\")))))","v":"Very Low Risk"}]
[]
["Procurement Capacity Assessment - PART B: Qualitative\t\t\t"]
["Procurement capacity area","Guidance on elements of a well-functioning procurement capacity to review & evaluate during your assessment",null,null,null,"Responses to Capacity Questions\n(select the most appropriate response from the drop-down list in each box below based on your discussions with the IP and your review of documentation)",null,"Remarks/ comments",null,"Assigned rating based on your assessment\n (out of 5)\n1=Very Low Risk\n2=Low Risk\n3=Medium Risk\n4=High Risk\n5=Very High Risk","Relative importance of each capacity \n(based on PSU weighting system)","Risk score based on response\n"]
["1. Procurement strategy ","1.1 Does a procurement strategy exist and is it properly documented?",null,null,null,"Yes - very good quality"]
[null,"1.2 Do staff & management appear to be familiar with the procurement strategy?",null,null,null,"Yes - very good understanding"]
[null,"1.3 Does the procurement strategy include tools & mechanisms to categorize and prioritize high risk/high exposure procurement activities?",null,null,null,"Yes - very good tools & mechanisms"]
[null,"1.4 Does the IP have LTAs / Framework agreements in place and if so, what is the percentage of spend channeled through LTAS or similar?",null,null,null,"Yes >75%"]
[null,"CONCLUSION: Based on your responses to the questions above, please select the most appropriate conclusion regarding the IP's procurement strategy capacity from the drop-down list.",null,null,null,"VERY GOOD procurement strategy, with strong capacity in all areas.",null,null,null,{"$f":"VLOOKUP(F32,'Procurement Capacity Responses'!$A$32:$B$36,2,FALSE)","v":1},0.2,{"$f":"J32*K32","v":0.2}]
["2. Functions & organization of the procurement unit","1. Is the procurement unit well structured, with clear leadership, appropriate resourcing for its current procurement profile and volume, and well defined and assigned roles and responsibilities for the entire procurement cycle (including contract management)? Note: For assessing appropriate resourcing, a good benchmark is considered to be US$ 5 million procurement spend handled by each procurement staff member.\n",null,null,null,"Very good structure"]
[null,"2. Are delegations of authority and procurement thresholds clear, documented, and set at appropriate levels given existing competencies and capacities.\n",null,null,null,"Yes - very good & well aligned"]
[null,"3. Does the IP have and routinely use electronic procurement systems and associated data analytics?",null,null,null,"Always"]
[null,"4. Is there an active permanent Procurement Review Committee with alternative members? Note: this may include Procurement Review Bodies that are external to the Partner, such as a central tender board. ",null,null,null,"Yes - very active"]
[null,"CONCLUSION: Based on your responses to the questions above, please select the most appropriate conclusion regarding the IP's procurement functions & organizational structure from the drop-down list.",null,null,null,"VERY GOOD procurement unit functions and organization",null,null,null,{"$f":"VLOOKUP(F37,'Procurement Capacity Responses'!$A$38:$B$42,2,FALSE)","v":1},0.15,{"$f":"J37*K37","v":0.15}]
["3. Human resources & capacity of the Procurement Unit","1. Are there clear job descriptions and do actual staff functions appear to be aligned with them?\n",null,null,null,"Yes - very clear & aligned"]
[null,"2. Are staff competencies aligned with procurement complexity? (In assessing competency consider: Do staff have experience in conducting international procurement? Are trainings or certification available and have they resulted in sustainable technical & institutional knowledge? Are annual performance reviews done? Do staff have a reputation for professional, knowledgeable, and efficient procurement performance?)",null,null,null,"Competencies very good & aligned"]
[null,"3. What percentage of staff in the procurement unit (or those responsible for performing the IP's procurement function) have undergone procurement certification, acreditation, training, etc",null,null,null,">75%"]
[null,"4. Is there is a strong local market for procurement expertise that the IP could tap into to easily expand procurement unit staff to manage new projects?  \n",null,null,null,"Very good expansion possibility"]
[null,"5. Is the work of the Procurement Review Committee performed by members who are qualified to conduct procurement reviews and is their performance evaluated and recognized?\n",null,null,null,"Very good PRC"]
[null,"6. Has the IP experienced frequent turnover of senior management and senior procurement specialist staff within the past 5 years?",null,null,null,"No turnover"]
[null,"CONCLUSION: Based on your responses to the questions above, please select the most appropriate conclusion regarding the IP's procurement human resources capacity from the drop-down list.",null,null,null,"VERY GOOD procurement human resources capacity",null,null,null,{"$f":"VLOOKUP(F44,'Procurement Capacity Responses'!$A$44:$B$48,2,FALSE)","v":1},0.15,{"$f":"J44*K44","v":0.15}]
["4. Procurement cycle management","A. Planning: 1. Are procurement plans developed and regularly updated in a cross-functional manner (programmes & finance) and are they reviewed and endorsed by management?",null,null,null,"Very often"]
[null,"A. Planning: 2. Do procurement plans contain sufficient detail, realistic lead times and deadlines, accurate costings, and options for external support if in-house capacity does not exist?",null,null,null,"Very good plan content"]
[null,"A. Planning: 3. Are procurement plans uploaded to an electronic platform/system?",null,null,null,"Always"]
[null,"B. Sourcing: 1. Does the procurement unit conduct market analysis for high complex/high expenditure categories using established and/or commonly accepted good practices?",null,null,null,"Always"]
[null,"B. Sourcing: 2. Is pre-qualification used in relevant cases and are pre-qualification documents clear and complete, including all requirements for evaluation?",null,null,null,"Always"]
[null,"C. Solicitation documents: 1. Are standard solicitation documents available and used? (For example, do they use standard TORs/Requirements/Specs? Are documents tailored for project requirements and the procurement activity? Do they include all relevant information to prepare an offer? Do they establish clear evaluation criteria (and sub-criteria where relevant) and how they will be applied? Do they include KPIs where relevant? Do they include templates for the submitting companies? Do they allow receipt of comparable offers? Do they properly apply bid securities and performance securities?)",null,null,null,"Always"]
[null,"C. Solicitation documents: 2. Is there good collaboration between procurement staff and the requesting units when developing TORs and requirements to ensure that they are developed efficiently and accurately?",null,null,null,"Always"]
[null,"D. Communication between bidders and the procurement unit: 1. Does the procurement unit include in the bidding documents a debriefing conference or on-site visit when applicable and they are properly managed and documented? ",null,null,null,"Always"]
[null,"D. Communication between bidders and the procurement unit: 2. Are bidder’s clarifications replied to quickly, with complete information and in writing, and is the information shared with all bidders to ensure equal and timely information? ",null,null,null,"Always"]
[null,"E. Offers receipt and opening: 1. If the IP is not using electronic procurement systems, are offers kept safe & locked before the submission deadline?",null,null,null,"N/A - IP uses electronic systems"]
[null,"E. Offers receipt and opening: 2. Does a permanent bid opening committee exist and does it operate on a rotational basis?",null,null,null,"N/A - IP uses electronic systems"]
[null,"E. Offers receipt and opening: 3. Does the IP follow good bid receipt and opening practices? (For example, is the normal time lag between offer submission deadline and bid opening reasonable? Are public bid openings conducted when applicable? Are invitations to bid openings appropriate? Is relevant information read during the bidding ceremony and it is recorded in a bid opening record?)",null,null,null,"N/A - IP uses electronic systems"]
[null,"F. Evaluation of Offers: 1. Is the evaluation process (including technical) conducted appropriately? (For example, is the process is conducted within the validity of the offers? Is the evaluation done in a systematic manner that follows evaluation criteria specified in the bidding documents? Do evaluation sheets include all relevant information, including reasons for offer disqualifications? Are evaluations are properly documented?)",null,null,null,"Always"]
[null,"F. Evaluation of Offers: 2. Does the evaluation include screening of ineligible/sanctioned/suspended bidders? ",null,null,null,"Always"]
[null,"G. Contract Award: 1. Are contracts awarded based on lowest evaluated offer or cumulative score (if applicable) and are negotiations (if any) conducted within procurement rules?",null,null,null,"Always"]
[null,"G. Contract Award: 2. Do contract awards respect established thresholds?",null,null,null,"Always"]
[null,"G. Contract Award: 3. Does the Procurement Review Committee receive good quality submissions, and are they systematically analyzed, with documented minutes and recommendations that are routinely followed up?",null,null,null,"Always"]
[null,"H. Contract Management & Administration: 1. Does a contract management & administration system exist (manual or electronic) to properly monitor contract implementation (including communications with contractors/vendors on contract management & administration issues)?",null,null,null,"Yes - very good"]
[null,"H. Contract Management & Administration: 2. Do technical and procurement staff have clearly defined roles and responsibilities regarding contract management & administration?",null,null,null,"Yes - very good"]
[null,"H. Contract Management & Administration: 3. Are KPIs defined early on in the contract management process for complex contracts and are contracts, in general, executed in time and within the agreed original price?",null,null,null,"Always"]
[null,"H. Contract Management & Administration: 4. Is there a documented procedure for acceptance and quality control of goods/ works/ services and does the IP pay suppliers timely? ",null,null,null,"Yes - very good"]
[null,"H. Contract Management & Administration: 5. Do contract amendments comply with procurement rules?",null,null,null,"Always"]
[null,"H. Contract Management & Administration: 6. If the Partner will route/channel any elements of procurement for this project to another entity, does that entity have a proven track record of satisfactory procurement delivery?",null,null,null,"N/A - Partner will do all procurement directly"]
["4. Conclusion: Procurement cycle management","CONCLUSION: Based on your responses to the questions above, please select the most appropriate conclusion regarding the IP's procurement cycle management capacity from the drop-down list.",null,null,null,"VERY GOOD procurement cycle management capacity",null,null,null,{"$f":"VLOOKUP(F68,'Procurement Capacity Responses'!$A$50:$B$54,2,FALSE)","v":1},0.25,{"$f":"J68*K68","v":0.25}]
["5. Documentation & filing","1. Does the procurement unit maintain complete documentation of procurement cases to provide proper traceability and are the documents retained for an established period of time in accordance with the IP's document retention policy? (For traceability, consider how the IP documents the bidding process, including announcements, pre-qualification (if applicable), bidding documents, any applicable minutes (conference, on site visit), clarifications, opening records, evaluation records, copy of the offers, any complaints if applicable, copy of the contract, other documents as relevant to the procurement process)",null,null,null,"Very good documentation"]
[null,"2. Does the IP properly document its contract administration actions?",null,null,null,"Very good documentation"]
[null,"CONCLUSION: Based on your responses to the questions above, please select the most appropriate conclusion regarding the IP's procurement documentation & filing capacity from the drop-down list.",null,null,null,"VERY GOOD procurement documentation & filing capacity",null,null,null,{"$f":"VLOOKUP(F71,'Procurement Capacity Responses'!$A$56:$B$60,2,FALSE)","v":1},0.05,{"$f":"J71*K71","v":0.05}]
["6. Handling complaints","1. Does the IP have a responsive process for handling complaints and is it consistently followed? (Consider whether complaints are acknowledged and addressed in 48 hours, are properly documented, including claims and solutions; and whether the IP keeps a Complaints Log.)",null,null,null,"Very good process"]
[null,"CONCLUSION: Based on your responses to the questions above, please select the most appropriate conclusion regarding the IP's procurement complaint handling capacity from the drop-down list.",null,null,null,"VERY GOOD procurement complaint handling capacity",null,null,null,{"$f":"VLOOKUP(F73,'Procurement Capacity Responses'!$A$62:$B$66,2,FALSE)","v":1},0.1,{"$f":"J73*K73","v":0.1}]
["7. Perception and/or reputation among stakeholders and business community","1.Does the procurement unit have a reputation for efficient and effective performance amongst stakeholders and/or the business community? (Note: Stakeholder feedback needs to be viewed in context; however it can be a good indicator of efficiency and transparency combined with other capacity observations.)",null,null,null,"VERY GOOD perception and/or reputation"]
[null,"CONCLUSION: Based on your responses to the questions above, please select the most appropriate conclusion regarding the IP's procurement perception and/or reputation among stakeholders and the business community from the drop-down list.",null,null,null,"VERY GOOD perception and/or reputation",null,null,null,{"$f":"VLOOKUP(F75,'Procurement Capacity Responses'!$A$68:$B$72,2,FALSE)","v":1},0.1,{"$f":"J75*K75","v":0.1}]
[null,null,null,null,null,"Overall Risk Score for the Qualitative Assessment Section",null,null,null,null,null,{"$f":"(L32+L37+L44+L68+L71+L73+L75)","v":1}]
[null,null,null,null,null,"Overall Risk Assessment for the Qualitative Section",null,null,null,null,{"$f":"IF(L76<=1,\"Very Low Risk\",IF(L76<=2,\"Low Risk\",IF(L76<=3,\"Medium Risk\",IF(L76<4,\"High Risk\",IF(L76<=5,\"Very High Risk\")))))","v":"Very Low Risk"}]
[]
["Conclusion on Procurement Capacity Assessment "]
["Overall Risk Assessment - Quantitative & Qualitative",null,null,null,"Combined risk score (auto-calculated: adds H23 and L76, then divides by 2 to arrive at a risk score out of 5)",null,null,null,{"$f":"(H23+L76)/2","v":1},{"$f":"IF(I80<=1,\"Very Low Risk\",IF(I80<=2,\"Low Risk\",IF(I80<=3,\"Medium Risk\",IF(I80<4,\"High Risk\",IF(I76<=5,\"Very High Risk\")))))","v":"Very Low Risk"}]
["Select the risk mitigation strategies that will be employed (i.e. capacity building actions and/or enhanced monitoring and assurance activities)",null,null,null,null,null,null,null,null,"Enhanced monitoring & assurance activities"]
["Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document",null,null,null,null,null,null,null,null,"abc"]
["Provide the estimated budget required for these activities (to be included in the Project Budget) ($US)",null,null,null,null,null,null,null,null,10000]
["Comments on Overall Procurement Assessment: (Optional)"]
["xyz"]
[]
["Return to Capacity Assessment Scoping"]
[]
[]
["Additional Considerations for CSOs/NGOs \t\t"]
["Political (5.1 Government commitment)","Absence of National Government Commitment",1,null,null,"Has the national government raised any objections to this organization being considered as a Partner for this project?",null,null,null,"Select",{"$f":"IF($J91=\"Select\",0,IF($J91=\"High\",4,IF($J91=\"Substantial\",3,IF($J91=\"Moderate\",2,IF($J91=\"Low\",1,IF($J91=\"N/A\",0))))))","v":0}]
["Regulatory (6.3 FRR)","Inadequate legal status",{"$f":"C91+1","v":2},null,null,"Is the organization currently registered to operate in the country?",null,null,null,"Select",{"$f":"IF($J92=\"Select\",0,IF($J92=\"High\",4,IF($J92=\"Substantial\",3,IF($J92=\"Moderate\",2,IF($J92=\"Low\",1,IF($J92=\"N/A\",0))))))","v":0}]
["Regulatory (6.3 FRR)","Absence of Non-Profit Mandate",{"$f":"C92+1","v":3},null,null,"Does the organization have a not-for-profit mandate and nature? ",null,null,null,"Select",0]
["Strategic (7.3 Partner capacities)","Inadequate Governance & Oversight",4,null,null,"Does the CSO/NGO have a governing body or management team that actively monitors operations in-country to ensure organizational standards in programme and financial management are adhered to?",null,null,null,"Select",0]
["Strategic (7.3 Partner capacities)","Unclear/Uninvolved Constituency",5,null,null,"Does the CSO/NGO have a clear constituency with which it has regular and participatory links (including in programme design, review, and reporting of performance) and does it apply effective approaches to collect baseline information and reach its targets (i.e. participatory methods)?",null,null,null,"Select",0]
["Social & Environmental (1.1-1.2, 1.7, 1.11)","Discriminatory membership",6,null,null,"If the organization is membership-based, are its membership policies based on principles of non-discrimination?",null,null,null,"Select",0]
["Strategic (7.3 Partner capacities)","Inadequate In-country Presence",7,null,null,"Does the CSO/NGO maintain a strong presence in-country and/or the field (e.g. field offices, laboratories, equipment, software, technical data bases, etc.) that will oversee the day-to-day implementation of the project?",null,null,null,"Select",0]
["Strategic (7.3 Partner capacities)","Project delays or interruptions ",8,null,null,"Is the CSO/NGO involved in any litigation that could impact the delivery of the project?",null,null,null,"Select",0]
["Strategic (7.3 Partner capacities)","Inadequate Logistical Capacity",9,null,null,"Does the CSO/NGO have adequate communications and logistical capacity to implement this project (e.g. coordination between main office and field offices, transportation of people and/or materials)?",null,null,null,"Select",0]
[null,null,null,null,null,null,null,"Overall Risk Score for this Section"]
[null,null,null,null,null,null,null,"Overall Risk Assessment for this Section"]
[]
["Conclusion on Additional Considerations for CSO/NGO Capacity Assessment "]
["Overall Risk Assessment",null,null,null,null,null,null,null,null,{"$f":"#REF!","v":{"$error":"#REF!"}}]
["Select the risk mitigation strategies that will be employed (i.e. capacity building actions and/or enhanced monitoring and assurance activities)",null,null,null,null,null,null,null,null,"Select"]
["Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document",null,null,null,null,null,null,null,null,"ABC"]
["Provide the estimated budget required for these activities (to be included in the Project Budget) ($US)",null,null,null,null,null,null,null,null,50000]
["Comments on Overall Additional Considerations for CSO/NGO Capacity Assessment: (Optional)"]
["TRS"]
[]
["Return to Capacity Assessment Scoping"]

{"sheet":"PBPA Proposal Due Diligence","index":9,"n_rows":53,"n_cols":11,"rows_kept":53,"cut":false,"hidden":false,"merged":[[1,10,1,12],[22,0,22,9],[25,0,25,9],[37,0,37,9],[0,0,0,9],[1,0,1,9],[2,0,2,9],[4,0,4,9],[18,3,18,4],[14,0,14,9],[20,3,20,4],[21,3,21,4],[3,0,3,9],[13,3,13,4],[15,3,15,4],[16,3,16,4],[17,3,17,4],[10,4,10,9],[5,2,5,3],[6,2,10,3],[5,4,5,9],[6,4,6,9],[7,4,7,9],[8,4,8,9],[9,4,9,9],[12,0,12,9],[11,0,11,9],[29,3,29,4],[43,7,43,9],[44,0,44,9],[45,0,45,5],[45,6,45,9],[31,3,31,4],[48,6,48,9],[42,5,42,9],[43,0,43,3],[35,0,36,0],[38,0,39,0],[38,3,38,4],[40,3,40,4],[41,0,42,3],[41,5,41,7],[36,3,36,4],[47,6,47,9],[35,3,35,4],[46,0,46,5],[46,6,46,9],[52,0,52,3],[47,0,47,5],[19,3,19,4],[39,3,39,4],[48,0,48,5],[49,0,49,9],[50,0,51,9],[32,3,32,4],[33,3,33,4],[34,0,34,9],[23,3,23,4],[24,3,24,4],[26,3,26,4],[27,3,27,4],[28,3,28,4],[30,3,30,4]]}
["Partner Capacity Assessment Tool: Performance-Based Payment Agreement (PBPA) Proposal Due Diligence\n\t\t\t\t\t\t"]
["Applicability: This Performance-Based Payment Agreement (PBPA) Proposal Due Diligence Tool should be used to assess the capacity of a Responsible Party to fulfil the minimum requirements of a PBPA. It includes an assessment of the RP's ability to: (i) adequately present a technically sound and realistic programme design to achieve the desired project outcomes; (ii) pre-finance the project activities; (iii) measure and report performance; and (iv) comply with UNDP's programming principles, standards and quality requirements, including social and environmental safeguards.",null,null,null,null,null,null,null,null,null,"Return to Capacity Assessment Scoping"]
["Responsibility: This PBPA Proposal Due Diligence may be completed by the Project Developer or by the external service provider engaged to complete the HACT Micro-Assessment - as an add-on service"]
[]
["Background Information (carried forward from 'Partner Pre-requisites' worksheet)"]
["Region",{"$f":"'Partner Pre-requisites'!B7","v":"Africa"},{"$f":"'Partner Pre-requisites'!C7:G7","v":"Comments: (Optional)"},null,"Guide for determining the relative importance to this project of each capacity assessed below1: "]
["Office",{"$f":"'Partner Pre-requisites'!B8","v":"Lesotho"},{"$f":"'Partner Pre-requisites'!C8","v":"XXX"},null,"The risk categories below should be used to assess the relative importance of each capacity to this specific project:"]
["Programme Start",{"$f":"'Partner Pre-requisites'!B9","v":"2018-07-01"},null,null,"High Risk: This capacity is critical for the success of the project. Without this capacity there is a high likelihood that the IP will not fulfil the project goals."]
["Programme End",{"$f":"'Partner Pre-requisites'!B10","v":"2022-06-30"},null,null,"Substantial Risk: This capacity is very important for the success of the project. Without this capacity there is a substantial likelihood that the IP will not fulfil the project goals."]
["Partner Name",{"$f":"'Partner Pre-requisites'!B11","v":"XYZ"},null,null,"Moderate Risk: This capacity is important for the success of the project. Without this capacity there is a moderate likelihood that the IP will not fulfil the project goals."]
["Partner budget for this Project (USD)",{"$f":"'Partner Pre-requisites'!B12","v":750000},null,null,"Low Risk: This capacity is not important for the success of this project. Without this capacity there is a low likelihood that the IP will not fulfil the project goals."]
[]
["PBPA Proposal Due Diligence "]
["ERM Risk Category\n","Risk Being Addressed\n","Q.#","Questions",null,"Response (Yes, No or N/A)","Relative Importance of Each Capacity to this Project?1 \n","Risk Assessment points","Risk Score based on Response","Remarks/ comments"]
["SECTION 1: PBPA Proposal - Programme Design "]
["Strategic (7.1 Theory of Change, 7.2 Alignment with UNDP Strategic priorities)","Unclear strategic basis for the agreement",1,"Does the RP's PBPA proposal demonstrate appropriate strategic focus; technical soundness that is supported by an evidence-based theory of change; use of principled approaches (including demonstrated compliance with UNDP's programming principles and standards); and the potential for impact and sustainability of the project activities?",null,"Yes","High",{"$f":"IF($G16=\"Select\",0,IF($G16=\"High\",4,IF($G16=\"Substantial\",3,IF($G16=\"Moderate\",2,IF($G16=\"Low\",1,IF($G16=\"N/A\",0))))))","v":4},{"$f":"IF(F16=\"Select\",H16*0,IF(F16=\"Yes\",H16*0,IF(F16=\"No\",H16*1,IF(F16=\"N/A\",H16*0))))","v":0}]
["Financial (2.5 Delivery, 2.2 Value for money)","Unclear basis for agreeing successful performance",{"$f":"C16+1","v":2},"Does the RP's PBPA proposal include a quality Results Framework that identifies clear, objectively verifiable indicators that measure progress towards achieving results, and fair milestones and target results on which payments can depend?",null,"No","High",{"$f":"IF($G17=\"Select\",0,IF($G17=\"High\",4,IF($G17=\"Substantial\",3,IF($G17=\"Moderate\",2,IF($G17=\"Low\",1,IF($G17=\"N/A\",0))))))","v":4},4]
["Financial (2.5 Delivery, 2.2 Value for money)","Unclear basis for value of payments to be made under the agreement",3,"Does the RP's PBPA proposal include a complete results-based budget that appears reasonable based on UNDP's experience with the contextual environment and the programmatic subject-matter?",null,"Select","High",4,0]
["Strategic (7.1 Theory of Change, 7.2 Alignment with UNDP Strategic priorities); Financial (2.5 Delivery, 2.2 Value for money)","Unclear strategic basis for the agreement; Unclear basis for agreeing successful performance; Unclear basis for value of payments to be made under the agreement",4,"If the PBPA is USD300,000 or more, has an Independent Assessor validated: (a) the theory of change explaining how the results are expected to be achieved, b) the definition of the Result(s) to be achieved and the Deliverable(s) to be completed by the RP; c) the objectively verifiable  indicators to measure the achievement of Result(s); d) the setting of suitably ambitious but realistic milestones and target results for each indicator; e) that adequate risk management measures are in place, including an Environmental and Social Assessment and Management Plan when needed; and f) the Deliverable(s) and Performance-Based Payment Terms  (Annex A-3) are linked to the IA’s validation of the Result(s) achieved by the RP?",null,"Select","High",4,0]
["Operational (3.8 Partnership)","Possible disagreement on who will assess performance",5,"Where applicable, has an independent assessor been agreed with the RP?",null,"Select","High",4,0]
["Financial (2.5 Delivery, 2.2 Value for money)","Value for money' lost through results not being sustained",6,"Does the RP's PBPA proposal include arrangements for post-completion monitoring by the Independent Assessor to validate the sustainability of project results?",null,"Select","High",4,0]
["Financial (2.5 Delivery, 2.2 Value for money)","Unclear basis for agreeing successful performance",7,"Does the RP agree to incentives and reduced payments for performance successes or misses in the PBPA proposal?",null,"Select","High",4,0]
["SECTION 2: PBPA Governance "]
["Strategic (7.3 Partner capacities)","Inadequate programmatic experience",1,"Does the RP have a proven track record in designing and delivering projects in the relevant sector and/or intervention type that have been sustainable, scalable and replicable?",null,"Select","High",{"$f":"IF($G24=\"Select\",0,IF($G24=\"High\",4,IF($G24=\"Substantial\",3,IF($G24=\"Moderate\",2,IF($G24=\"Low\",1,IF($G24=\"N/A\",0))))))","v":4},{"$f":"IF(F24=\"Select\",H24*0,IF(F24=\"Yes\",H24*0,IF(F24=\"No\",H24*1,IF(F24=\"N/A\",H24*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate programmatic experience",{"$f":"C24+1","v":2},"Does the RP have a proven track record in successfully setting and achieving challenging targets?",null,"Select","High",4,{"$f":"IF(F25=\"Select\",H25*0,IF(F25=\"Yes\",H25*0,IF(F25=\"No\",H25*1,IF(F25=\"N/A\",H25*0))))","v":0}]
["SECTION 3: Pre-financing capacities"]
["Strategic (7.3 Partner capacities)","Inadequate financial stability",1,"Does the RP have a history of stable financial performance? (Review the financial statements for the past three years to determine whether the RP has: (i) had a steady income stream that covers annual operating costs; (ii) healthy accumulated surpluses; and (iii) had repeated annual operating deficits in recent years.)",null,"Select","High",{"$f":"IF($G27=\"Select\",0,IF($G27=\"High\",4,IF($G27=\"Substantial\",3,IF($G27=\"Moderate\",2,IF($G27=\"Low\",1,IF($G27=\"N/A\",0))))))","v":4},{"$f":"IF(F27=\"Select\",H27*0,IF(F27=\"Yes\",H27*0,IF(F27=\"No\",H27*1,IF(F27=\"N/A\",H27*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate financial liquidity",{"$f":"C27+1","v":2},"Does the RP have a history of good financial liquidity?  (Review the financial statements for the past three years to determine whether the RP has: (i) had a healthy financial liquidity whereby its current assets have been higher than its current liabilities (i.e the current ratio, which is current assets divided by current liabilities); and (ii) sufficient cash, investments and accounts receivable to meet its current liabilities (i.e. the quick ratio). Note: the higher the ratio, the better the RP's short-term financial strength.)",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate financial liquidity",3,"Does the RP have the capacity to pre-finance the project activities? (Review the most recent financial statements to determine whether the RP has adequate working capital (which is current assets - current liabilities) to meet at least three months of operating needs PLUS the cost of the activities foreseen by the UNDP project.)",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate financial liquidity",4,"Are there any significant contingent liabilities or post balance sheet date event disclosures in the RP's financial statements that could affect successful delivery of the project?",null,"Select","High",4,{"$f":"IF(F30=\"Select\",H30*0,IF(F30=\"No\",H30*0,IF(F30=\"Yes\",H30*1,IF(F30=\"N/A\",H30*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate financial liquidity",5,"If the RP does not have the capacity to pre-finance the UNDP project activities, does it meet the criteria for UNDP to provide 'working capital reimbursements' - that is, will the project be valued at $5m or more?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate financial liquidity",6,"If the RP does not have the capacity to pre-finance the UNDP project activities, is it able to arrange financing from other sources (e.g. from 3rd party debt or equity investors in blended finance arrangements)?",null,"Select","High",4,{"$f":"IF(F32=\"Select\",H32*0,IF(F32=\"Yes\",H32*0,IF(F32=\"No\",H32*1,IF(F32=\"N/A\",H32*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate financial management capacity",7,"Does the RP have adequate financial management capacities (staffing and systems) in place for monitoring and risk management activities?",null,"Select","High",4,0]
["Strategic (7.3 Partner capacities)","Ineffective cash flow management",8,"Does the RP have an effective cash flow management system that includes reasonably accurate projections (based on past history), a suitable projection period (e.g. 1 month or 3 months), and staff members with assigned responsibility for preparing and monitoring?",null,"Select","High",4,0]
["SECTION 4: Robust Monitoring & Evalution Capacities"]
["Strategic (7.3 Partner capacities); Operational (3.2 Responsiveness to lessons learned and evaluations)","Inadequate M&E capacity",1,"Does the RP have a well-developed data and analytics infrastructure to collect, track and document results? (Consider the following: (i) a clear organizational structure for M&E that is adequately staffed with appropriate M&E policies and systems; (ii) routine use of M&E frameworks, workplans and budgets; (iii) participation in M&E partnerships; (iv) regularized surveys and surveillance; (v) regular auditing of M&E activities; (vi) frequent contributions to national and sub-national databases; and (vii) suitable dissemination and use of M&E data.)",null,"Select","High",{"$f":"IF($G36=\"Select\",0,IF($G36=\"High\",4,IF($G36=\"Substantial\",3,IF($G36=\"Moderate\",2,IF($G36=\"Low\",1,IF($G36=\"N/A\",0))))))","v":4},{"$f":"IF(F36=\"Select\",H36*0,IF(F36=\"Yes\",H36*0,IF(F36=\"No\",H36*1,IF(F36=\"N/A\",H36*0))))","v":0}]
[null,"Inadequate use of M&E data and results",{"$f":"C36+1","v":2},"Does the RP use the M&E data collected to refine and tailor course correction actions in a timely manner to enhance the likelihood of project success?",null,"Select","High",4,{"$f":"IF(F37=\"Select\",H37*0,IF(F37=\"Yes\",H37*0,IF(F37=\"No\",H37*1,IF(F37=\"N/A\",H37*0))))","v":0}]
["SECTION 5: Robust Performance Reporting Capacities"]
["Strategic (7.3 Partner capacities); Operational (3.7 Reporting & communication)","Inadequate programmatic and financial reporting",{"$f":"C38+1","v":1},"Does the RP have a proven track record in producing complete, accurate and timely programmatic and financial reports for prior projects?",null,"Select","High",{"$f":"IF($G39=\"Select\",0,IF($G39=\"High\",4,IF($G39=\"Substantial\",3,IF($G39=\"Moderate\",2,IF($G39=\"Low\",1,IF($G39=\"N/A\",0))))))","v":4},{"$f":"IF(F39=\"Select\",H39*0,IF(F39=\"Yes\",H39*0,IF(F39=\"No\",H39*1,IF(F39=\"N/A\",H39*0))))","v":0}]
[null,"Inadequate programmatic and financial reporting",{"$f":"C39+1","v":2},"Does the RP have the capacity to produce programmatic and financial reports for the project according to the intervals required by the type of PBPA? (e.g. For: (i) >$300,000 and no working capital reimbursement: semi-annual and final financial reports; annual and final reports with evidence of progress; (ii) for $5 million or more with working capital reimbursements: quarterly and final financial reports; annual and final reports with evidence of progress; (iii) Low value PBPA ($300,000 or less): final financial report; final report with evidence of results achievement)",null,"Select","High",4,{"$f":"IF(F40=\"Select\",H40*0,IF(F40=\"Yes\",H40*0,IF(F40=\"No\",H40*1,IF(F40=\"N/A\",H40*0))))","v":0}]
["Financial (2.5 Delivery, 2.6 Other)","Ability to access partner records for audit",{"$f":"C40+1","v":3},"Has the RP consented to the project being audited, which is a UNDP requirement for a PBPA?",null,"Select","High",4,{"$f":"IF(F41=\"Select\",H41*0,IF(F41=\"Yes\",H41*0,IF(F41=\"No\",H41*1,IF(F41=\"N/A\",H41*0))))","v":0}]
[null,null,null,null,"Overall Risk Score for this Section",null,null,null,{"$f":"SUM(I16:I41)","v":4}]
[null,null,null,null,"Overall Risk Assessment for this Section",{"$f":"IF(I42<=22,\"Low Risk\",IF(I42<=44,\"Moderate Risk\",IF(I42<=66,\"Substantial Risk\",IF(I42>66,\"High Risk\"))))","v":"Low Risk"}]
[]
["Conclusion on PBPA Proposal Due Diligence"]
["Overall Risk Assessment",null,null,null,null,null,{"$f":"F43","v":"Low Risk"}]
["Select the risk mitigation strategies that will be employed (i.e. capacity building actions and/or enhanced monitoring and assurance activities)",null,null,null,null,null,"Capacity building actions"]
["Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document",null,null,null,null,null,"XYZ"]
["Provide the estimated budget required for these activities (to be included in the Project Budget) ($US)",null,null,null,null,null,10000]
["Comments on Overall PBPA Proposal Due Diligence Assessment: (Optional)"]
["ABC"]
[]
["Return to Capacity Assessment Scoping"]

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["Partner Capacity Assessment Tool - Private Sector Due Diligence"]
["This template is for UNDP Internal Use. It permits the collection of information on potential partner companies, helps to evaluate whether or not UNDP should pursue a partnership with the company, and determines which cases might need to be escalated to HQ.",null,null,null,null,null,null,null,null,null,"Return to Capacity Assessment Scoping"]
["This template contains the practical steps to be followed to reach a decision on a given partnership. It should be used in conjunction with the ‘’UNDP Policy on Due Diligence and Partnerships with the Private Sector 2013’’ and ‘’Risk Assessment Tool Guideline 2014’’ which explains each of the steps in more detail. This risk Assessment is a mandatory requirement for any type of partnership between UNDP and a private sector entity. Special attention should be paid to complete it well in advance of the planned partnership."]
["Content of the Private Sector Due Diligence Risk Assessment:\nCollate backround information.\nStep 1: Assess the Company against UNDP exclusionary criteria.\nStep 2: Research potential controversies.\nStep 3: Assess the Company's Commitment to ESG and the Partnership Risks and Benefits.\nStep 4: Make a decision on whether to partner with the Company.\nStep 5: Monitor and prepare Communication Materials.",null,null,null,"UNDP Policy on Due Diligence and Partnerships with the Private Sector 2013",null,null,"Risk Assessment Tool Guideline 2014"]
[]
["Company information"]
["Name of the company:",null,null,null,"[Full legal name]"]
["Contact details of UNDP’s main contact(s) at the company:",null,null,null,"[Contact details, website…]"]
["Sector:",null,null,null,"[Sector]"]
["Company description / background:",null,null,null,"[Description/background]"]
["Controlling company and subsidiaries:",null,null,null,"[Controlling company and subsidiaries]"]
["Countries / regions of operation of the company:",null,null,null,"[Countries/regions]"]
["Date of assessment:",null,null,null,"[Date]"]
["Annual turnover in US$:",null,null,null,"[Turnover]"]
["Number of employees:",null,null,null,"[Number of employees]"]
["Information sources:",null,null,null,"[Sources, e.g., internal research, third party and information received from the company, etc.]"]
["Credibility of the information:",null,null,null,"[Credibility, e.g. if the information was received from the company, explain how credible it is (ideally, the company should provide documentation such as policies, certificates, etc.]"]
["Relationships between UNDP staff and the company",null,null,null,"[Disclose any information about relationships between UNDP staff members involved in partnership development and the company that is being assessed]."]
["Comments:",null,null,null,"[Comments]"]
[]
["UN Partner"]
["Does UNDP or any other member of the UN family currently have, or has it previously had, any relationship with the company?",null,null,null,null,null,null,null,"Select"]
[" If yes, please briefly explain in the comment box the nature of the relationship with the company."]
["Comments: "]
[]
["Level of Due Diligence"]
["If the company is a general participant in a UNDP event, no risk assessment needs to be done. For major event panelists it is recommended that the exclusionary criteria are checked. For any other type of engagement the due diligence needs to be done as defined in the ‘’Level of Due Diligence’’ matrix (either limited or full due diligence)."]
["The level of due diligence applied will be influenced by the type of partnership and the sector of activity. Please refer to the Policy on Due Diligence and Partnerships with the Private Sector (2013) for an overview of the different types of partnership and details about the high-risk sectors mentioned in the footnote. For a detailed description about cases when the risk assessment needs to be done, please refer to the Guideline."]
["Select the appropriate level of due diligence to be applied from the table below (several types of partnership may apply, select all that are applicable)."]
["NB: Note that for private sector partnerships that involve project funding, the project must also be reviewed to ensure compliance with UNDP’s Social and Environmental Standards, including through UNDP’s Social and Environmental Screening Procedure (https://undp.unteamworks.org/ses)."]
["Type of Partnership",null,null,null,null,"Low Risk",null,"High Risk"]
["Advocacy and policy dialog",null,null,null,null,"Limited Due Diligence - if there are no issues with the exclusionary criteria and significant controversies (Step 1 and 2), you can move directly to decision (Step 4).",null,"Normal Due Diligence - all of the steps in this document must be completed.\n\nHigh-risk sectors include the following: \n* Oil and gas\n* Metals and mining\n* Utilities\n* Large infrastructure\n* Agriculture and fishing\n* Timber, pulp and paper\n* Alcohol\n* Chemicals (incl. pharmaceuticals)\n* Clothing, toys and consumer electronics\n* Fast food, high sugar drinks and soda\n\nA full list can be found in the policy."]
["Resource mobilization / Company providing financial resources to UNDP to implement ≤ US$100,000 (total contribution)"]
["Resource mobilization / Company providing financial resources to UNDP to implement\n>US$100,000",null,null,null,null,"Normal Due Diligence - all of the steps in this document must be completed."]
["Core business for inclusive market development (programmatic joint initiative)"]
["Innovations (e.g. pro-bono provision of technology to support a UNDP project)"]
["Transformational partnerships (broader collective partnerships)"]
["Description of the planned collaboration: describe below what is planned under the partnership, what kind of an agreement would it involve, how much money is the company giving to UNDP to implement, what are the roles of the partners etc."]
[]
[]
["Based on your review of the criteria above, select the appropriate level of Due Diligence for this Partner:",null,null,null,null,null,null,"Select"]
["Comments: (Optional)"]
[]
[]
["STEP 1: Assess the Company against UNDP Exclusionary Criteria"]
["UNDP has defined a set of exclusionary criteria outlining those business practices considered unacceptable to the organization. The Policy on Due Diligence and Partnerships with the Private Sector (2013) defines the threshold limits when UNDP cannot engage with companies involved in the below mentioned exclusionary criteria. The thresholds have also been defined for parent companies, subsidiaries and supply chain, so remember to also check any potential issues with them. If any evidence is found, the issue needs to be compared with the exclusionary criteria matrix and defined whether the evidence is within or above the exclusionary criteria threshold."]
[]
["ERM Risk Category\n","Risk Being Addressed\n","Q.#","Questions",null,null,null,null,"Response ","Remarks/ comments"]
["Social & Environmental","Association with unacceptable business practices",1,"Manufacture, sale or distribution of controversial weapons or their components, including cluster bombs, anti-personnel mines, biological or chemical weapons or nuclear weapons. \nNote 1: The Convention on Certain Conventional Weapons, ICRC, Ethical Investment Research Services and Ethix Sri Advisors Guidance to institutional investors also covers non-detectable fragments, blinding laser weapons, incendiary weapons, booby traps and depleted uranium ammunition.\nNote 2: There is no threshold option as UNDP will not, under any circumstances, partner with a company that has activities related to controversial weapons.",null,null,null,null,"Select"]
[null,null,{"$f":"C49+1","v":2},"Manufacture, sale or distribution of armaments and/or weapons or their components, including military supplies and equipment.",null,null,null,null,"Select"]
[null,null,{"$f":"C50+1","v":3},"Replica weapons marketed to children.",null,null,null,null,"Select"]
[null,null,4,"Manufacture, sale or distribution of tobacco or tobacco products.",null,null,null,null,"Select"]
["Regualtory (6.3 FRR)","Violation of UN Sanctions",5,"Violations of UN sanctions and the relevant conventions, treaties, and resolutions, and inclusion in UN ineligibility lists or UNDP vendor sanctions list.",null,null,null,null,"Select"]
["Social & Environmental","Association with unacceptable business practices",6,"Involvement in the manufacture, sale and distribution of pornography.",null,null,null,null,"Select"]
[null,null,7,"Manufacture, sale or distribution of substances subject to international bans or phase-outs, and wildlife or products regulated under the CITES\nNote 3: Initiatives and activities with private sector entities falling under the auspices of the Montreal Protocol; and the Stockholm and Minamata Conventions on Ozone depleting substances, POPs and Mercury respectively, will not be covered under this policy but under their specific guidelines.\nNote 4: CITES (the Convention on International Trade in Endangered Species of Wild Fauna and Flora) is an international agreement between governments. Its aim is to ensure that international trade in specimens of wild animals and plants does not threaten their survival. http://www.cites.org ",null,null,null,null,"Select"]
[null,null,8,"Gambling including casinos, betting etc. (excluding lotteries with charitable objectives).",null,null,null,null,"Select"]
["Social & Environmental (1.1 Human Rights)","Violation of Social & Environmental Standards",9,"Violation of human rights or complicity in human rights violations.",null,null,null,null,"Select"]
["Social & Environmental (1.6 Labor conditions & standards)",null,10,"Use or toleration of forced or compulsory labor.",null,null,null,null,"Select"]
["Social & Environmental (1.6 Labor conditions & standards)",null,11,"Use or toleration of child labor.",null,null,null,null,"Select"]
["Overall Assessment on Exclusionary Issues",null,null,null,null,null,"Pattern of Assessment Responses"]
["Choose the most appropriate assessment based on the responses above",null,null,null,null,"Select"]
["Conclusion & Next Steps",null,null,null,null,{"$f":"IF(F61=\"Select\",\"Please select the most appropriate assessment above\",IF(F61=\"All responses are green\",\"Continue to 'Section 2: Potential Controversies'\",IF(F61=\"One or more responses are orange OR several are yellow\",\"Explain below why a partnership is still worth pursuing AND send this completed Private Sector Due Diligence to HQ for review and finalization.\",IF(F61=\"One or more responses are red OR many are yellow\",\"Refrain from engaging this organization as a Partner\"))))","v":"Please select the most appropriate assessment above"}]
[]
["Explanation of why this Partnership is worth pursuing: (Complete if \"Conclusion and Next Steps\" above requires an explanation)"]
[]
[]
[]
["STEP 2: Research Potential Controversies"]
["Potential partner companies may be exposed to controversies or there may be factors that can cause reputational risks to UNDP. Annex 2 of the Risk Assessment Tool Guidelines contains guidance on how to gather information. List below any controversies and possible reputational risks that are not already covered in step 1.1., i.e. controversies not directly related to exclusionary criteria. Use the comment box to provide details of the criticism. Controversies and reputational risks may relate to issues such as:"]
["Labor: \n* Discrimination at work \n* Freedom of association and the right to collective bargaining\n* Occupational health and safety\n* Poor employment conditions.",null,null,"Communities: \n* Community health and safety\n* Impact on livelihoods\n* Local participation\n* Social discrimination\n* Indigenous peoples","Governance: \n* Corruption\n* Fraud\n* Tax evasion","Product Related: \n* Product safety: \n* Controversial products or services, e.g. use of conflict minerals in the products\n* Marketing of breast milk substitutes contrary to the WHO's International Code of Marketing of Breast-Milk Substitutes",null,null,"Environment: \n* Pollution (including climate change)\n* Impact on ecosystems & landscapes \n* Overuse of resources\n* Waste management\n* Mistreatment of animals","Ownership or Management:\n* Controversies related to the individuals owning or managing the company"]
["ERM Risk Category\n","Risk Being Addressed\n","Q.#","Questions",null,null,null,null,"Response ","Remarks/ comments"]
["Strategic (7.6 Public Opinion & Media)","Damage to UNDP's reputation by association",1,"Significant criticism from local or global NGOs / media/social media or other significant partners of UNDP (including CSO advisory committee, marginalized people etc.) locally or globally",null,null,null,null,"Select"]
[null,null,{"$f":"C72+1","v":2},"Significant criticism from governmental agencies / political parties that makes UNDP participation politically sensitive",null,null,null,null,"Select"]
[null,null,3,"Recurring local public events against the company (e.g. local demonstrations)",null,null,null,null,"Select"]
[null,null,4,"Global public events (e.g. significant demonstrations at several locations, significant online protests)",null,null,null,null,"Select"]
[null,null,5,"Relevant legal case in progress/in court etc.",null,null,null,null,"Select"]
[null,null,6,"History of financial instability (i.e. historical/threatened bankruptcy) or other financial controversy",null,null,null,null,"Select"]
[null,null,7,"Other (Provide comments)",null,null,null,null,"Select"]
["Overall Assessment on Potential Controversies",null,null,null,null,null,"Pattern of Assessment Responses"]
["Choose the most appropriate assessment based on the responses above",null,null,null,"Select"]
["Conclusion & Next Steps",null,null,null,{"$f":"IF(E80=\"Select\",\"Please select the most appropriate assessment above\",IF(E80=\"All responses are green\",\"If 'Normal' due diligence, continue with risk assessment. If Limited due diligence, skip 'Section 3' and go to 'Section 4: Make a decision'.\",IF(E80=\"One or more responses are red OR yellow\",\"Assess how the company addresses the identified significant controversies (public statements or contact the company). Continue with the risk assessment and consult HQ before taking final decision.\")))","v":"Please select the most appropriate assessment above"}]
[]
[]
["STEP 3: Assess Commitment to ESG and the Partnership Risks & Benefits"]
["ERM Risk Category\n","Risk Being Addressed\n","Q.#","Questions",null,null,null,null,"Response ","Remarks/ comments"]
["3 a) Company's Engagements"]
["Social & Environmental\n\n","Absence of commitment to SES Standards",1,"Is the company a participant in the UN Global Compact?",null,null,null,null,"Select"]
[null,null,{"$f":"C87+1","v":2},"If “yes” to the question above, is the company actively communicating its progress and level of reporting? See: General Communication on Progress (COP)",null,null,null,null,"Select"]
[null,null,{"$f":"C88+1","v":3},"Does the company have any sustainability-related certifications or reporting (e.g. ISO14001, SA8000, AA1000, OHSAS 18001, or GRI Principles)? Provide details in the comment box. ",null,null,null,null,"Select"]
[null,null,{"$f":"C89+1","v":4},"Is the company included in any sustainability or ESG-related indices (e.g. FTSE4Good, Dow Jones Sustainability Indexes, etc.), or similar national/regional initiatives? Does the company abide by any voluntary sustainability or ethical principles or guidelines ? List them in the Remarks/comments box.",null,null,null,null,"Select"]
["3 b) Company's commitment to ESG issues"]
["Human Rights"]
["Social & Environmental \n\n\n\n\n","Absence of commitment to SES Standards",1,"Does the company have a policy and a monitoring system that seeks to prevent or mitigate adverse human rights impacts, especially on the local communities, that are directly linked to its operations?  ",null,null,null,null,"Select"]
[null,null,{"$f":"C93+1","v":2},"Does the policy and a monitoring system cover occupational health and safety issues, ensuring that workers are afforded safe, suitable and sanitary working conditions? ",null,null,null,null,"Select"]
[null,null,3,"Does the policy and monitoring system cover land or property issues, i.e. does the company ensure that all affected owners and users of the land or property used by the company have been adequately consulted and compensated?",null,null,null,null,"Select"]
[null,null,4,"Does the policy and monitoring system cover the rights of indigenous peoples, and in particular the principles of self-determination and self-governance, the right to lands and natural resources, including issues of resettlement, and the right to free, prior and informed consent?",null,null,null,null,"Select"]
[null,null,5,"Does the policy and monitoring system cover the company’s security arrangements, i.e. whether or not they comply with international human rights principles for law enforcement and the use of force (e.g. have security personnel received adequate human rights training)? ",null,null,null,null,"Select"]
[null,null,6,"Does the company have an appropriate dispute resolution mechanism that is in line with the human rights norms and principles?",null,null,null,null,"Select"]
[null,null,7,"Does the company have a policy and a monitoring system that seeks to prevent or mitigate adverse human rights impacts that are directly linked to products and services by its business relationships (business partners, entities in its value chain, other non-State or State entities)?",null,null,null,null,"Select"]
["Labor"]
["Social & Environmental ","Absence of commitment to SES Standards",1,"Does the company have a policy and a monitoring system to ensure fair labor practices[1] at its operations?",null,null,null,null,"Select"]
[null,null,{"$f":"C101+1","v":2},"Does the policy and monitoring system adequately ensure equal opportunity to all employees and applicants regardless of ethnic origin, color, age, gender, sexual orientation, religion, marital status?",null,null,null,null,"Select"]
[null,null,{"$f":"C102+1","v":3},"Does the company have a policy and a monitoring system that seeks to promote fair labor practices in its interactions with suppliers and business partners?",null,null,null,null,"Select"]
[null,null,{"$f":"C103+1","v":4},"Does the policy and monitoring system ensure freedom of association and the right to collective bargaining?",null,null,null,null,"Select"]
[null,null,{"$f":"C104+1","v":5},"Does the policy and monitoring system ensure the elimination of forced or compulsory labor?",null,null,null,null,"Select"]
[null,null,{"$f":"C105+1","v":6},"Does the policy and monitoring system ensure the elimination of child labor?",null,null,null,null,"Select"]
["Environment\n"]
["Social & Environmental ","Absence of commitment to SES Standards",1,"Does the company have a policy and a monitoring system to minimize environmental damage at its operations? ",null,null,null,null,"Select"]
[null,null,{"$f":"C108+1","v":2},"Does the company have a policy and a monitoring system which it applies to working with suppliers to improve environmental performance, extending responsibility down the supply chain?",null,null,null,null,"Select"]
[null,null,3,"Does the company have a policy and a monitoring system to reduce emissions (emissions to air, waste and effluents)?",null,null,null,null,"Select"]
[null,null,4,"Does the company have a policy and a monitoring system to ensure that natural resources are used in a sustainable manner?",null,null,null,null,"Select"]
[null,null,5,"Does the company take action to reduce energy consumption?",null,null,null,null,"Select"]
[null,null,6,"Does the company prevent, minimize and remedy significant impacts on biodiversity?",null,null,null,null,"Select"]
[null,null,7,"Does the company have emergency procedures in place to prevent and address industrial accidents affecting the environment and human health effectively?",null,null,null,null,"Select"]
["Good Governance"]
["Strategic (7.5 Code of Conduct & Ethics); Financial (2.3 Corruption & Fraud)","Fraud, corruption & potential damage to UNDP's reputation",1,"Does the company have a policy and a monitoring system stating that it will not engage in corruption at any time or in any form in its interaction with suppliers, intermediaries, governments and business partners?",null,null,null,null,"Select"]
["Overall Assessment on Commitment to ESGs",null,null,null,null,null,"Pattern of Assessment Responses"]
["Is the company's commitment to ESG appropriate in relation to its exposure to risks? In principle, most answers would be expected to be positive for multinationals. For smaller and domestically oriented companies more flexibility can be applied.",null,null,null,null,null,"Select"]
["Conclusion & Next Steps",null,null,null,{"$f":"IF(G118=\"Select\",\"Please select the most appropriate assessment above\",IF(G118=\"All responses are green\",\"Continue risk assessment\",IF(G118=\"One or more responses are red OR yellow\",\"Explain below why you believe the company is willing and able to address significant gaps. Continue with risk assessment.\",IF(G118=\"All responses are red OR all responses are yellow\",\"Refrain from engaging\"))))","v":"Please select the most appropriate assessment above"}]
[]
[]
["3 c) Partnership Risks"]
["ERM Risk Category\n","Risk Being Addressed\n","Q.#","Questions",null,null,null,null,"Response ","Remarks/ comments"]
["UNDP must maintain impartiality and accountability to all of its private and public stakeholders. UNDP’s engagement with the private sector must therefore allow UNDP to remain unbiased, while supporting its overall goals and objectives. Similarly, the agreed partnership must not in any way compromise the integrity and independence of UNDP or that of the parties involved. Evaluate market risks and select applicable statements below:"]
["Regulatory (6.3 FRR)","Absence of neutrality",1,"Impartiality: UNDP will not – and will not be perceived to – give any unfair advantage to one or more businesses within an industry, sector or market, neither is it perceived to have endorsed a particular business, product or service.",null,null,null,null,"Select"]
[null,null,{"$f":"C125+1","v":2},"No market distortion: The partnership will not have negative unintended consequences by distorting a market by giving one business or group of businesses an unfair advantage and/or by crowding out other economic actors.",null,null,null,null,"Select"]
[null,null,{"$f":"C126+1","v":3},"Non-exclusivity: UNDP will not enter in an exclusive relationship with a company that would exclude UNDP from working with another company from the same sector.",null,null,null,null,"Select"]
[null,null,{"$f":"C127+1","v":4},"Reasonable benefit: The benefit to the company from the collaboration will not be disproportionately high compared to the public benefits or benefits to UNDP.",null,null,null,null,"Select"]
[null,null,{"$f":"C128+1","v":5},"Non-dependency in procurement / No conflict of interest: The company has been informed that partnering with UNDP will not provide preferential treatment in procurement process.",null,null,null,null,"Select"]
[null,null,{"$f":"C129+1","v":6},"Political Risks: It is unlikely that any potential political risks would arise during the partnership. (Political risks include the consequences and likelihood of changes in government. Special attention should be given to countries under United Nations sanctions. Political risks also include the risk of having the government withdraw support for the partnership or UNDP engaging in close partnership with an actor that is seen as business arm of the political elite.)",null,null,null,null,"Select"]
["3 d) Partnership Benefits"]
["The balance between expected risks and expected benefits must be in line with the risk tolerance of UNDP. UNDP may generally be willing to bear higher risks if the benefits of the partnership clearly outweigh the risks. Select applicable statements below:"]
["N/A","N/A",1,"There are significant potential gains in terms of achieving one or more of UNDP’s strategic priorities within the UNDP Strategic Plan and Private Sector Strategy.",null,null,null,null,"Select"]
[null,null,{"$f":"C133+1","v":2},"The company is among the most suitable partners available in the country context.",null,null,null,null,"Select"]
[null,null,3,"There is considerable potential for long-term engagement with the company, in which resources are contributed on a significant scale, and there may be a significant outcome in terms of human development.",null,null,null,null,"Select"]
[null,null,4,"The partnership is likely to create immediate results in the well-being of communities that are facing high rates of poverty and a low human development.",null,null,null,null,"Select"]
[null,null,5,"The partnership will create wider awareness of, and support for, UNDP and its causes from positive exposure and publicity surrounding the collaboration.",null,null,null,null,"Select"]
[null,null,6,"The partnership allows access to new innovations for development.",null,null,null,null,"Select"]
[null,null,7,"Other (specify):",null,null,null,null,"Select"]
["Overall Assessment on Partnership Risks & Benefits",null,null,null,null,null,"Pattern of Assessment Responses"]
["Choose the most appropriate assessment based on the responses above",null,null,null,null,null,"Select"]
["If the assessment is 'One or more responses are red OR yellow under Market & Political Risks', are these Partnership Risks sufficiently outweighed by the Green responses (i.e. Correct responses) under Partnership Benefits?",null,null,null,null,null,"Select"]
["Conclusion & Next Steps",null,null,null,null,null,{"$f":"IF(G141=\"Select\",\"Please select the most appropriate assessment above\",IF(G141=\"All responses are green under Market & Political Risks\",\"The risk-benefit analysis indicates that the partnership is worth pursuing. Go to Step 4: Make a decision.\",IF(AND(G141=\"One or more responses are red OR yellow under Market & Political Risks\",G142=\"Select\"),\"Please select the appropriate response.\",IF(AND(G141=\"One or more responses are red OR yellow under Market & Political Risks\",G142=\"Yes\"),\"The risk-benefit analysis indicates that the partnership is worth pursuing. Record your reasoning in the comment box below. Go to Step 4: Make a decision.\",IF(AND(G141=\"One or more responses are red OR yellow under Market & Political Risks\",G142=\"No\"),\"Refrain from engaging.\",IF(AND(G141=\"One or more responses are red OR yellow under Market & Political Risks\",G142=\"N/A\"),\"This is not a suitable response. Please select Yes or No.\"))))))","v":"Please select the most appropriate assessment above"}]
["Explain here why the Partnership benefits outweigh the risks: (Complete if \"Conclusion and Next Steps\" above requires an explanation)"]
[]
[]
[]
[]
["STEP 4: Make a decision"]
["Based on the information collected in this template, make a suggestion as to whether or not UNDP should engage in the partnership. Some partnerships may be considered worth pursuing given certain conditions. These conditions should be defined at this stage, and should be communicated to and accepted by the company. Use the box below to set out your proposal as to whether or not UNDP should engage in the partnership, including the conditions, if applicable. Remember that it is essential that there is separation between the staff who are directly involved in developing the relationship and making a recommendation as to whether or not to proceed, and the staff who make the final decision. "]
["Suggested decision by the initiating unit"]
["Choose the most appropriate assessment based on the conclusions in Steps 1-3 above.\t\t\t\t",null,null,null,null,"Select"]
["Rationale for the decision: "]
["Conditions: ",null,"Condition 1, 2, 3"]
["For cases that do not require escalation: decision by the RC/RR for COs, or the Regional Director for Regional Bureaus, or designated persons with the proper authority (please specify)."]
["Choose the most appropriate assessment based on the conclusions in Steps 1-3 above.\t\t\t\t",null,null,null,null,"Select"]
["Person designated to make the decision:"]
["Rationale for the decision: "]
["Conditions: "]
["In escalated cases, decision by HQ"]
["Choose the most appropriate assessment based on the conclusions in Steps 1-3 above.\t\t\t\t",null,null,null,null,"Select"]
["Rationale for the decision: "]
["Conditions: "]
[]
["STEP 5: Risk Log, Monitoring Plan & Communication Materials"]
["5.1 RiskLog"]
["The Project Manager should also document the risks that have been identified into a risk log (sample here). If the partnership is part of a project that already has a risk log, these risks can be added into the existing mechanism. In low-risk and short term partnerships the project manager may decide that risk log is not needed."]
["Has a risk log been done?",null,null,"Select",{"$f":"IF(D168=\"Select\",\"Please choose the appropriate response.\",IF(D168=\"Yes\",\"Attach the risk log to this document or explain in the comment box below where it can be found.\",IF(D168=\"No\",\"Explain in the comment box below why a risk log has not been done.\",IF(D168=\"N/A\",\" \"))))","v":"Please choose the appropriate response."}]
["Comments:"]
["5.2 Monitoring Plan"]
["The Project Manager should regularly scan publicly available information and informal intelligence systems for new controversies surrounding the company or its industry. Any significant issues that might cause potential damage should be flagged to HQ, and should be recorded in the Private Sector Due Diligence Database. Similarly, the Project Manager should regularly assess whether or not the company is meeting the conditions (if any) defined in step 4 above. Especially if there are specific conditions set for the partnership it is recommended to prepare a monitoring plan. The Project Manager can be supported in the monitoring activities by the Regional Bureau or HQ, especially in difficult cases."]
["Has a monitoring plan been defined?",null,null,"Select",{"$f":"IF(D172=\"Select\",\"Please choose the appropriate response.\",IF(D172=\"Yes\",\"Attach the monitoring plan to this document or explain in the comment box below where it can be found.\",IF(D172=\"No\",\"Explain in the comment box below why a monitoring plan has not been defined.\")))","v":"Please choose the appropriate response."}]
["Comments:"]
["5.3 Communications Materials"]
["The Project Manager is in charge of drawing up the needed communications materials that cover the basic details about the partnership and possibly address the main risks identified during the risk assessment process. For partnerships that do not involve significant risks, the Project Manager may decide that there is no need for communications materials."]
["Have the needed communications materials been drawn up?",null,null,"Select",{"$f":"IF(D176=\"Select\",\"Please choose the appropriate response.\",IF(D176=\"Yes\",\"Attach the communications materials to this document or explain in the comment box below where they can be found.\",IF(D176=\"No\",\"Explain in the comment box below why communications materials have not been drawn up.\",IF(D176=\"N/A\",\" \"))))","v":"Please choose the appropriate response."}]
["Comments:"]
[]
["Conclusion on Private Sector Due Diligence"]
["Overall Risk Assessment",null,null,null,null,null,null,{"$f":"F152","v":"Select"}]
["Select the risk mitigation strategies that will be employed (i.e. capacity building actions and/or enhanced monitoring and assurance activities)",null,null,null,null,null,null,"Select"]
["Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document",null,null,null,null,null,null,"Refer Risk Log & Monitoring Plan"]
["Provide the estimated budget required for these activities (to be included in the Project Budget) ($US)",null,null,null,null,null,null,5000]
["Comments on Overall Private Sector Due Diligence: (Optional)"]
["LMN"]
[]
["Return to Capacity Assessment Scoping"]

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["Partner Capacity Assessment Tool: Step 4: Capacity Assessment Conclusions\n\t\t\t\t\t"]
["Return to PCAT Overview page",null,"Return to Capacity Assessment Scoping"]
["Purpose: This worksheet is designed to capture the results of the Capacity Assessments completed and the resulting mitigation strategies for the risk levels identified. Risk mitigation strategies can include capacity building and/or enhanced monitoring and assurance activities. These activities should be included in the Project Document and the associated Project Budget. When completed, attach this worksheet to the Project Document. "]
["Responsibility & Timing: This Capacity Assessment Conclusion page is automatically generated based on the results of the assessments completed in the PCAT. It should be reviewed by the Project Developer for completeness and accuracy and attached to the Project Document. If changes need to be made to this Conclusion page, they should be done on the relevant Capacity Assessment Worksheet (i.e., Programme-Project Mgt, Construction Assess, On-Granting Assess, PBPA Proposal Due Diligence, Private Sector Due Diligence, etc) so that the corrections will be captured in the relevant assessments and automatically displayed here."]
[]
["Background Information (carried forward from 'Partner Pre-requisites' worksheet)"]
["Region",{"$f":"'Partner Pre-requisites'!B7","v":"Africa"},{"$f":"'Partner Pre-requisites'!C7","v":"Comments: (Optional)"}]
["Office",{"$f":"'Partner Pre-requisites'!B8","v":"Lesotho"},{"$f":"'Partner Pre-requisites'!C8","v":"XXX"}]
["Programme Start",{"$f":"'Partner Pre-requisites'!B9","v":"2018-07-01"}]
["Programme End",{"$f":"'Partner Pre-requisites'!B10","v":"2022-06-30"}]
["Partner Name",{"$f":"'Partner Pre-requisites'!B11","v":"XYZ"}]
["Partner budget for this Project (USD)",{"$f":"'Partner Pre-requisites'!B12","v":750000}]
[]
["Manageable Concerns noted in the 'Pre-Requisites for Partnering' Screen"]
["Area of concern","Assessment of Concern","Nature of evidence found and how associated risks to UNDP will be managed","Management & Justification Plans documented?","Information included in Project Risk Log? (Yes/No)","Estimated Budget to Implement Management & Justification Plans (if any)","Comments (Optional)"]
[{"$f":"IF('Partner Pre-requisites'!F22=\"Yes - evidence found - manageable\",\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",\" \")","v":" "},{"$f":"IF(A16=\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",'Partner Pre-requisites'!F22,\" \")","v":" "},{"$f":"IF(A16=\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",'Partner Pre-requisites'!G23,\" \")","v":" "},{"$f":"IF(A16=\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",'Partner Pre-requisites'!E31,\" \")","v":" "},{"$f":"IF(A16=\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",'Partner Pre-requisites'!C31,\" \")","v":" "},{"$f":"IF(A16=\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",'Partner Pre-requisites'!G31,\" \")","v":" "}]
[{"$f":"IF('Partner Pre-requisites'!F24=\"Yes - adverse publicity found - manageable\",\"Adverse publicity/Potential controversies\",\" \")","v":" "},{"$f":"IF(A17=\"Adverse publicity/Potential Controversies\",'Partner Pre-requisites'!F24,\" \")","v":" "},{"$f":"IF(A17=\"Adverse publicity/Potential Controversies\",'Partner Pre-requisites'!G25,\" \")","v":" "},{"$f":"IF(A17=\"Adverse publicity/Potential controversies\",'Partner Pre-requisites'!E31,\" \")","v":" "},{"$f":"IF(A17=\"Adverse publicity/Potential controversies\",'Partner Pre-requisites'!C31,\" \")","v":" "},{"$f":"IF(A17=\"Adverse publicity/Potential controversies\",'Partner Pre-requisites'!G31,\" \")","v":" "}]
[{"$f":"IF('Partner Pre-requisites'!F26=\"Yes - neutrality concerns found - manageable\",\"Neutrality concerns\",\" \")","v":" "},{"$f":"IF(A18=\"Neutrality concerns\",'Partner Pre-requisites'!F26,\" \")","v":" "},{"$f":"IF(A18=\"Neutrality concerns\",'Partner Pre-requisites'!G27,\" \")","v":" "},{"$f":"IF(A18=\"Neutrality concerns\",'Partner Pre-requisites'!E31,\" \")","v":" "},{"$f":"IF(A18=\"Neutrality concerns\",'Partner Pre-requisites'!C31,\" \")","v":" "},{"$f":"IF(A18=\"Neutrality concerns\",'Partner Pre-requisites'!G31,\" \")","v":" "}]
[{"$f":"IF('Partner Pre-requisites'!F28=\"Evidence of fraud and/or conflicts found - manageable\",\"Fraud and/or Conflict of Interest Concerns\",\" \")","v":" "},{"$f":"IF(A19=\"Fraud and/or Conflict of Interest Concerns\",'Partner Pre-requisites'!F28,\" \")","v":" "},{"$f":"IF(A19=\"Fraud and/or Conflict of Interest Concerns\",'Partner Pre-requisites'!G29,\" \")","v":" "},{"$f":"IF(A19=\"Fraud and/or Conflict of Interest Concerns\",'Partner Pre-requisites'!E31,\" \")","v":" "},{"$f":"IF(A19=\"Fraud and/or Conflict of Interest Concerns\",'Partner Pre-requisites'!C31,\" \")","v":" "},{"$f":"IF(A19=\"Fraud and/or Conflict of Interest Concerns\",'Partner Pre-requisites'!G31,\" \")","v":" "}]
[]
[]
["Capacity Assessment Conclusions for this IP"]
["Automatically Generated"]
["Capacity Assessment Component",null,"Overall Risk Assessment for this Component","Risk Mitigation Strategies (i.e. capacity building actions and/or enhanced monitoring and assurance activities)","Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document","Estimated budget required for these activities (include in the Project Budget) ($US)","Comments (Optional)"]
[{"$f":"IF('Capacity Assessment Scoping'!C30=\"Programmatic Assessment\",\"Conclusion on Programmatic Assessment\",\" \")","v":"Conclusion on Programmatic Assessment"},null,{"$f":"IF(A25=\" \",\" \",IF(A25=\"Conclusion on Programmatic Assessment\",'Programme-Project Mgt'!H38,\" \"))","v":"Low Risk"},{"$f":"IF(A25=\" \",\" \",IF(A25=\"Conclusion on Programmatic Assessment\",'Programme-Project Mgt'!H39,\" \"))","v":"Select"},{"$f":"IF(A25=\" \",\" \",IF(A25=\"Conclusion on Programmatic Assessment\",'Programme-Project Mgt'!H40,\" \"))","v":"PST"},{"$f":"IF(A25=\" \",\" \",IF(A25=\"Conclusion on Programmatic Assessment\",'Programme-Project Mgt'!H41,\" \"))","v":0},{"$f":"IF(A25=\" \",\" \",IF(A25=\"Conclusion on Programmatic Assessment\",'Programme-Project Mgt'!A43,\" \"))","v":"LMN"}]
[{"$f":"IF('Capacity Assessment Scoping'!C31=\"Additional Questions for CSOs/NGOs\",\"Conclusion on Programmatic Assessment - Additional Considerations for CSOs/NGOs\",\" \")","v":" "},null,{"$f":"IF(A26=\" \",\" \",IF(A26=\"Conclusion on Programmatic Assessment - Additional Considerations for CSOs/NGOs\",'Programme-Project Mgt'!H62,\" \"))","v":" "},{"$f":"IF(A26=\" \",\" \",IF(A26=\"Conclusion on Programmatic Assessment - Additional Considerations for CSOs/NGOs\",'Programme-Project Mgt'!H63,\" \"))","v":" "},{"$f":"IF(A26=\" \",\" \",IF(A26=\"Conclusion on Programmatic Assessment - Additional Considerations for CSOs/NGOs\",'Programme-Project Mgt'!H64,\" \"))","v":" "},{"$f":"IF(A26=\" \",\" \",IF(A26=\"Conclusion on Programmatic Assessment - Additional Considerations for CSOs/NGOs\",'Programme-Project Mgt'!H65,\" \"))","v":" "},{"$f":"IF(A26=\" \",\" \",IF(A26=\"Conclusion on Programmatic Assessment - Additional Considerations for CSOs/NGOs\",'Programme-Project Mgt'!A67,\" \"))","v":" "}]
[{"$f":"IF('Capacity Assessment Scoping'!C33=\"Construction Assessment\",\"Conclusion on Construction Management Assessment\",\" \")","v":" "},null,{"$f":"IF(A27=\" \",\" \",IF(A27=\"Conclusion on Construction Management Assessment\",'Construction Assess'!H33,\" \"))","v":" "},{"$f":"IF(A27=\" \",\" \",IF(A27=\"Conclusion on Construction Management Assessment\",'Construction Assess'!H34,\" \"))","v":" "},{"$f":"IF(A27=\" \",\" \",IF(A27=\"Conclusion on Construction Management Assessment\",'Construction Assess'!H35,\" \"))","v":" "},{"$f":"IF(A27=\" \",\" \",IF(A27=\"Conclusion on Construction Management Assessment\",'Construction Assess'!H36,\" \"))","v":" "},{"$f":"IF(A27=\" \",\" \",IF(A27=\"Conclusion on Construction Management Assessment\",'Construction Assess'!A38,\" \"))","v":" "}]
[{"$f":"IF('Capacity Assessment Scoping'!C34=\"On-Granting Assess\",\"Conclusion on On-Granting Assessment\",\" \")","v":"Conclusion on On-Granting Assessment"},null,{"$f":"IF(A28=\" \",\" \",IF(A28=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G68,\" \"))","v":"Low Risk"},{"$f":"IF(A28=\" \",\" \",IF(A28=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G69,\" \"))","v":"Select"},{"$f":"IF(A28=\" \",\" \",IF(A28=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G70,\" \"))","v":"ABC"},{"$f":"IF(A28=\" \",\" \",IF(A28=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G71,\" \"))","v":50000},{"$f":"IF(A28=\" \",\" \",IF(A28=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!A73,\" \"))","v":"CCC"}]
[{"$f":"IF('Capacity Assessment Scoping'!C35=\"GEF & GCF Procurement Assess\",\"Conclusion on GEF & GCF Procurement Assess\",\" \")","v":"Conclusion on GEF & GCF Procurement Assess"},null,{"$f":"IF(A29=\" \",\" \",IF(A29=\"Conclusion on GEF & GCF Procurement Assess\",'GEF & GCF Procurement Assess'!J80,\" \"))","v":"Very Low Risk"},{"$f":"IF(A29=\" \",\" \",IF(A29=\"Conclusion on GEF & GCF Procurement Assess\",'GEF & GCF Procurement Assess'!J81,\" \"))","v":"Enhanced monitoring & assurance activities"},{"$f":"IF(A29=\" \",\" \",IF(A29=\"Conclusion on GEF & GCF Procurement Assess\",'GEF & GCF Procurement Assess'!J82,\" \"))","v":"abc"},{"$f":"IF(A29=\" \",\" \",IF(A29=\"Conclusion on GEF & GCF Procurement Assess\",'GEF & GCF Procurement Assess'!J83,\" \"))","v":10000},{"$f":"IF(A29=\" \",\" \",IF(A29=\"Conclusion on GEF & GCF Procurement Assess\",'GEF & GCF Procurement Assess'!A85,\" \"))","v":"xyz"}]
[{"$f":"IF('Capacity Assessment Scoping'!C32=\"HACT Micro-Assessment\",\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\" \")","v":"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)"},null,{"$f":"IF(A30=\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\"Manually Enter\",\" \")","v":"Manually Enter"},{"$f":"IF(A30=\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\"Manually Enter\",\" \")","v":"Manually Enter"},{"$f":"IF(A30=\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\"Manually Enter\",\" \")","v":"Manually Enter"},{"$f":"IF(A30=\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\"Manually Enter\",\" \")","v":"Manually Enter"},{"$f":"IF(A30=\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\"Manually Enter\",\" \")","v":"Manually Enter"}]
[null,null,null,null,"Total",{"$f":"SUM(F25:F30)","v":60000}]
[]
["Comments on Overall Capacity Assessments for this IP: (Optional)"]
[]
[]
[]
[]
["Capacity Assessment Conclusions for this RP"]
["Automatically Generated"]
["Capacity Assessment Component",null,"Overall Risk Assessment for this Component","Risk Mitigation Strategies (i.e. capacity building actions and/or enhanced monitoring and assurance activities)","Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document","Estimated budget required for these activities (include in the Project Budget)\n($US)","Comments (Optional)"]
[{"$f":"IF(OR('Capacity Assessment Scoping'!C40=\"HACT Micro-Assessment\",'Capacity Assessment Scoping'!C46=\"HACT Micro-Assessment\"),\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\" \")","v":"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)"},null,{"$f":"IF(A41=\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\"Manually Enter\",\" \")","v":"Manually Enter"},{"$f":"IF(A41=\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\"Manually Enter\",\" \")","v":"Manually Enter"},{"$f":"IF(A41=\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\"Manually Enter\",\" \")","v":"Manually Enter"},{"$f":"IF(A41=\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\"Manually Enter\",\" \")","v":"Manually Enter"},{"$f":"IF(A41=\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\"Manually Enter\",\" \")","v":"Manually Enter"}]
[{"$f":"IF('Capacity Assessment Scoping'!C42=\"Construction Assessment\",\"Conclusion on Construction Management Assessment\",\" \")","v":" "},null,{"$f":"IF(A42=\" \",\" \",IF(A42=\"Conclusion on Construction Management Assessment\",'Construction Assess'!G29,\" \"))","v":" "},{"$f":"IF(A42=\" \",\" \",IF(A42=\"Conclusion on Construction Management Assessment\",'Construction Assess'!H34,\" \"))","v":" "},{"$f":"IF(A42=\" \",\" \",IF(A42=\"Conclusion on Construction Management Assessment\",'Construction Assess'!H35,\" \"))","v":" "},{"$f":"IF(A42=\" \",\" \",IF(A42=\"Conclusion on Construction Management Assessment\",'Construction Assess'!H36,\" \"))","v":" "},{"$f":"IF(A42=\" \",\" \",IF(A42=\"Conclusion on Construction Management Assessment\",'Construction Assess'!A38,\" \"))","v":" "}]
[{"$f":"IF('Capacity Assessment Scoping'!C43=\"On-Granting Assessment\",\"Conclusion on On-Granting Assessment\",\" \")","v":"Conclusion on On-Granting Assessment"},null,{"$f":"IF(A43=\" \",\" \",IF(A43=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G68,\" \"))","v":"Low Risk"},{"$f":"IF(A43=\" \",\" \",IF(A43=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G69,\" \"))","v":"Select"},{"$f":"IF(A43=\" \",\" \",IF(A43=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G70,\" \"))","v":"ABC"},{"$f":"IF(A43=\" \",\" \",IF(A43=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G71,\" \"))","v":50000},{"$f":"IF(A43=\" \",\" \",IF(A43=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!A73,\" \"))","v":"CCC"}]
[{"$f":"IF('Capacity Assessment Scoping'!A44=\"GEF & GCF Procurement Assessment needed\",\"Conclusion on GEF & GCF Procurement Assessment\",\" \")","v":"Conclusion on GEF & GCF Procurement Assessment"},null,{"$f":"IF(A44=\" \",\" \",IF(A44=\"Conclusion on GEF & GCF Procurement Assessment\",'GEF & GCF Procurement Assess'!J80,\" \"))","v":"Very Low Risk"},{"$f":"IF(A44=\" \",\" \",IF(A44=\"Conclusion on GEF & GCF Procurement Assessment\",'GEF & GCF Procurement Assess'!J81,\" \"))","v":"Enhanced monitoring & assurance activities"},{"$f":"IF(A44=\" \",\" \",IF(A44=\"Conclusion on GEF & GCF Procurement Assessment\",'GEF & GCF Procurement Assess'!J82,\" \"))","v":"abc"},{"$f":"IF(A44=\" \",\" \",IF(A44=\"Conclusion on GEF & GCF Procurement Assessment\",'GEF & GCF Procurement Assess'!J83,\" \"))","v":10000},{"$f":"IF(A44=\" \",\" \",IF(A44=\"Conclusion on GEF & GCF Procurement Assessment\",'GEF & GCF Procurement Assess'!A85,\" \"))","v":"xyz"}]
[{"$f":"IF('Capacity Assessment Scoping'!C41=\"Private Sector Due Diligence\",\"Conclusion on Private Sector Due Diligence\",\" \")","v":" "},null,{"$f":"IF(A45=\" \",\" \",IF(A45=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H180,\" \"))","v":" "},{"$f":"IF(A45=\" \",\" \",IF(A45=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H181,\" \"))","v":" "},{"$f":"IF(A45=\" \",\" \",IF(A45=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H182,\" \"))","v":" "},{"$f":"IF(A45=\" \",\" \",IF(A45=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H183,\" \"))","v":" "},{"$f":"IF(A45=\" \",\" \",IF(A45=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!A185,\" \"))","v":" "}]
[null,null,null,null,"Total",{"$f":"SUM(F41:F45)","v":60000}]
[]
["Comments on Overall Capacity Assessments for this RP: (Optional)"]
[]
[]
[]
[]
["Capacity Assessment Conclusions for this 'Other' Partner"]
["Automatically Generated"]
["Capacity Assessment Component",null,"Overall Risk Assessment for this Component","Risk Mitigation Strategies (i.e. capacity building actions and/or enhanced monitoring and assurance activities)","Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document","Estimated budget required for these activities (include in the Project Budget)\n($US)","Comments (Optional)"]
[{"$f":"IF('Capacity Assessment Scoping'!C51=\"Private Sector Due Diligence\",\"Conclusion on Private Sector Due Diligence\",\" \")","v":"Conclusion on Private Sector Due Diligence"},null,{"$f":"IF(A56=\" \",\" \",IF(A56=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H180,\" \"))","v":"Select"},{"$f":"IF(A56=\" \",\" \",IF(A56=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H181,\" \"))","v":"Select"},{"$f":"IF(A56=\" \",\" \",IF(A56=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H182,\" \"))","v":"Refer Risk Log & Monitoring Plan"},{"$f":"IF(A56=\" \",\" \",IF(A56=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H183,\" \"))","v":5000},{"$f":"IF(A56=\" \",\" \",IF(A56=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!A185,\" \"))","v":"LMN"}]
[null,null,null,null,"Total",{"$f":"SUM(F56:F56)","v":5000}]
[]
["Comments on Overall Capacity Assessments for this 'Other' Partner: (Optional)"]

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["Partner Capacity Assessment Tool: Additional Resources\n\t\t\t\t\t"]
["Return to PCAT Overview Page"]
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["Return to PCAT Overview Page"]
[]
["HACT Micro-Assessments"]
["For full POPP guidance on HACT, refer to this link:",null,null,null,null,null,"POPP Guidance on HACT","HACT Performance Dashboard"]
["Note: The HACT Micro-Assessment Questionnaire approved by UNDG must be used for all HACT Micro-Assessments:",null,null,null,null,null,"UNDG-approved Micro-Assessment Questionnaire (June 2016 version)"]
[]
["       POPP Points to Remember"]
["Purpose: The purpose of the Micro-Assessment is to assess the IP’s financial management capacity (i.e.  accounting, procurement, reporting, internal controls, etc.) to determine the overall risk rating and  assurance activities. The risk rating, along with other available information, is also taken into consideration when selecting the appropriate cash transfer modality for an IP, based on each agency’s business model. This assessment applies to both governmental and non-governmental IPs. The Micro Assessment results in an overall risk assessment, which is a key input to determining the Adjusted Risk Rating for the IP and guides the types and frequency of assurance activities to carry out."]
["Applicability: The HACT framework is applicable in every country and in all situations, including emergency, crisis and post-conflict countries. The prescribed procedures apply to all UNDP offices (headquarters, regional offices and country offices) that transfer cash to implementing partners in every country and operational context."]
["Completion by a third-party service provider: The Micro-Assessment is performed by a third party service provider and includes a site visit to the IP. The assessment primarily consists of interviews with IP personnel and a review of relevant documentation sufficient to complete the micro assessment questionnaire."]
["Use of HACT framework for IP capacity development activities: HACT is a risk-based approach, and the Framework identifies developing the IP’s capacity, with assistance from UNDP and other development partners, as core to managing risk. Identification of and planning to address IP capacity gaps (either through direct assistance by the country team or through other development partners) is an important element of the Framework. Country Offices should use HACT assessment results to help focus future capacity development activities in key thematic and mandated areas of development, and on developing the financial management capacity necessary for any IP. However capacity development activities do not negate the results of the micro-assessment in determining the Cash Transfer Modality (CTM)."]
["Overall Risk Ratings: The Micro-Assessment questionnaire provides an overall risk rating based on responses provided: \n- Low risk – Indicates a well‑developed financial management system and functioning control framework with a low likelihood of negative impact on the IP’s ability to execute the programme in accordance with the work plan.\n- Moderate/Medium Risk – Indicates a developed financial management system and control framework with moderate likelihood of potential negative impact on the IP’s ability to execute the programme in accordance with the work plan.\n- Significant Risk – Indicates an underdeveloped financial management system or control framework with a significant likelihood of potential negative impact on the IP’s ability to execute the programme in accordance with the work plan.\n- High Risk – Indicates an underdeveloped financial management system and control framework with a high likelihood of potential negative impact on the IP’s ability to execute the programme in accordance with the work plan."]
["Return to PCAT Overview Page"]
[]
["On-Granting Activities"]
["For full POPP guidance on On-Granting activities, refer to this link:",null,null,null,"POPP Grantees (includes On-Granting)",null,null,"also see the 'Low-Value Grants Operational Guide'"]
["Return to PCAT Overview Page"]
["       POPP Points to Remember"]
["Applicability: The On-Granting Assessment should be used for low-value grants that are awarded indirectly via ‘on-granting,' an arrangement where UNDP provides funds to a grant-making institution serving as an implementing partner (under national implementation) or responsible party (under direct implementation or direct country office support services). The institution then awards grants to recipient(s) following certain specified guidelines and appropriate due diligence. The ‘grant recipient’ in both cases is defined as an entity that is the final beneficiary of the grant. In the case of ‘on-granting’, UNDP and the grant-making institution must sign an agreement that defines the terms and conditions under which UNDP will provide funding to the grant-making institution to perform the grant-making function. Such an agreement defines the implementing partner/responsible party as an entity assessed by UNDP as possessing sufficient financial and grant management skills to bear responsibility for on-granting funds to Grant Recipient(s). UNDP is responsible for assessing the grant-making institution to ensure it has the programmatic, financial and management capacities and systems to effectively undertake its roles. This is achieved through completion of the standard programmatic and financial assessments applied to UNDP’s implementing partners, including HACT, AND the completion of the on-granting assessment."]
["Key Principles: UNDP defines low-value grants as cash awards - selected via programmatic decisions - to civil society and non-governmental partners to generate and solicit development solutions for which no repayment is typically required. If UNDP provides funds to a grant-making institution serving as either an implementing partner (under national implementation) or responsible party (under direct implementation or direct country office support services to NIM), this is called “on-granting.” The institution then awards grants to recipient(s) following certain specified guidelines and appropriate due diligence, including being qualified to perform that role after an assessment of their capacity for on-granting by UNDP. The on-granting capacity assessment is based on the following 8 good grantmaking principles:\n1. Outcomes are clearly defined\n2. Program structure is tailored to its circumstances, target group/s and purpose\n3. Governance is clear and strong \n4. Risks are identified and managed\n5. Decision-making is transparent and criteria-based \n6. Information is available and accessible \n7. Financial and grant performance are both monitored and reported on; and \n8. A contribution is made to the knowledge base of the broader community."]
["Key Thresholds to Remember: Funding provided to each grant recipient cannot exceed $150,000 per grant and $300,000 on a cumulative basis within the same programme period.  To receive multiple grants, the grant recipient must have produced the results agreed to in the prior grant agreement, and a new grant agreement must be approved by the project board or selection committee. The same entity could receive separate grants under different projects with a cumulative ceiling of $300,000 in the programme period. The UNDP business unit is responsible for reviewing proposed grant awards under UNDP projects and confirming that the amount falls under the grant threshold amounts allowable per programme period. If a responsible party oversees implementation of the grant project on behalf of the implementing partner originally selected by UNDP under on-granting, funding provided by it to any individual grant recipient shall not exceed $60,000 per individual grant and $120,000 on a cumulative basis within the same programme period.  "]
["Non-exclusivity: The award of grants is not exclusive. Several entities can be awarded separate grants for the same development challenge, or a consortium can be awarded a single grant to foster collaboration. Moreover, LVGs can be used in parallel to other engagement types; for instance the same NGO can concurrently be a grant recipient to develop a new local income-generation scheme and hold a procurement contract to provide logistical services for a workshop (provided there is no conflict of interest; see section below on difference between grants and procurement). All resources provided to the entity by UNDP during the programme period are considered when assessing what, if any, capacity assessments should be done . For example, if the value of a LVG plus procurement contract or responsible party agreement exceeds $300,000 total during the programme period, the relevant capacity assessment must be done for that partner."]
["Eligibility: Grants can be awarded to civil society and (national or international) non-governmental organizations, including non-governmental academic or educational institutions.  Private sector and commercial entities, and governmental organizations (e.g. regional governments, municipalities, etc.) are currently not eligible to receive LVGs. Under exceptional circumstances an individual can be a grantee when legislation prevents excluded and marginalized groups (e.g. LGBTQ people, sex workers, people affected by certain illnesses, etc.) from organizing and attaining legal status. The understanding would be that the individual signing the grant agreement represents the group barred from attaining legal status. If the country office’s senior management has determined that the engagement is critical to delivery of results and is in the best interests of UNDP, the head of the Business Unit may authorize the use of the IC modality with one or more of the principals. The value of each individual contract shall be capped at the established threshold for micro purchasing (USD 10,000). Grants must not be awarded to any organization or individual appearing on prohibited entity lists, such as the UN Sanctions List, UNDP Vendor Sanctions List, or other barred lists (such as the World Bank Barred List)."]
["Granting is not a substitution for Procurement: a grant cannot be used in lieu of a procurement process to provide commercial goods and services to a project since grants are intended to generate or solicit development solutions. So even in the case of a strategically important non-government entity, if its role is limited to the provision of goods and services, then a procurement process is necessary."]
["Technical Clearance on Micro-finance Grants: Low-value grants may be made for credit activities, and can be used by the recipient organization to cover the costs of its operations, purchase equipment, hire new staff or capitalize credit funds within the financial limits set out below. On all requests related to credit or microfinance, technical clearance from UNCDF is required. The policies for microfinance, credit and/or loan programmes administered by UNDP and/or UNCDF are covered by the UNDP/UNCDF Microfinance Policy. "]
["Return to PCAT Overview Page"]
[]
["Performance-Based Payment Agreements"]
["For full POPP guidance on Performance-Based Payment Arrangements, refer to this link:",null,null,null,null,null,"Performance-Based Payment Agreements"]
["Return to PCAT Overview Page"]
["       POPP Points to Remember"]
["Programmatic Use: Circumstances that might warrant the use of performance-based payments include, but are not limited to: (a) the desire of a donor to use a this approach to ensure results are achieved and mitigate financial risk; (b) particularly volatile development situations that cannot be effectively addressed by standard agreements; (c) specific sectors where performance-based payments are established practice, such as the use of results-based payment schemes by countries for reducing deforestation as supported in various UN Framework Convention on Climate Change decisions; (d) implementation capacities and arrangements exist and can be leveraged; and (e) development approaches and best practices to address the development challenge are readily available. "]
["Project Types: Performance-based payments may be used under a project implemented by UNDP, where a responsible party is selected to take programmatic and financial responsibility for delivering specified results. They may also be used under a nationally implemented project, where UNDP provides direct country office support services to the implementing partner, and those services include engaging a responsible partner using a performance-based payment arrangement."]
["Types of PBPAs: There are three types of PBPAs, which vary according to funding amount and use of working capital reimbursements. They have different conditions which are summarized at the link shown.",null,null,null,null,null,null,"Summary of PBPA Types & Conditions"]
["Key Thresholds to Remember: For PBPAs greater than US$300,000 per year, the achievement of specific, pre-agreed results (outputs and/or activities) must be validated through performance measures and quality certified by an independent assessor. Given the cost associated with engaging an independent assessor, it is recommended to use PBPAs of at least US$1,000,000 or more per annum. The project board may verify results for PBPAs of US$300,000 or less. "]
["Eligibility: The selection of a responsible party for a PBPA is a programmatic decision. RPs can include government entities, NGOs/community-based organizations, academic institutions, the private sector and non-UN intergovernmental organizations. PBPAs must not be awarded to any organization or individual appearing on prohibited entity lists, such as the UN Sanctions List, UNDP Vendor Sanctions List or the UN Global Marketplace Ineligibility List."]
["Return to PCAT Overview Page"]

{"sheet":"RP Response Combos","index":13,"n_rows":13,"n_cols":31,"rows_kept":13,"cut":false,"hidden":false,"merged":[[7,0,7,30],[0,0,0,30],[6,0,6,30]]}
["Responsible Party - Response Combinations"]
["What role will this organization fulfil on this project?","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP","RP"]
["What is the nature of this organization? (Govt, CSO etc)","Government","Government","Government","Government","Government","Government","UN Agency","UN Agency","UN Agency","UN Agency","UN Agency","UN Agency","IGO ","IGO","IGO","IGO","IGO","IGO","CSO/NGO ","CSO/NGO ","CSO/NGO","CSO/NGO ","CSO/NGO ","CSO/NGO ","Private Sector","Private Sector","Private Sector","Private Sector","Private Sector","Private Sector"]
["Will this organization receive more than US $300,000 during the Programme Period?","Yes","Yes","Yes","No","No","No","Yes","Yes","Yes","No","No","No","Yes","Yes","Yes","No","No","No","Yes","Yes","Yes","No","No","No","Yes","Yes","Yes","No","No","No"]
["Has a HACT Micro-Assessment already been performed during the Programme Period?","No","Yes","N/A","Yes","No","N/A","No","N/A","Yes","No","N/A","Yes","No","Yes","N/A","Yes","No","N/A","Yes","No","N/A","Yes","No","N/A","Yes","No","N/A","Yes","No","N/A"]
["Capacity Assessments needed","Competitive Procurement Process not required; HACT Micro-Assessment needed","Competitive Procurement Process not required; HACT Micro-Assessment not needed","Please choose \"Yes\" or \"No\" to Question 5 above since HACT Micro-Assessment is applicable to a Government Partner if the USD300,000 threshold is exceeded.","Competitive Procurement Process not required; HACT Micro-Assessment not needed","Competitive Procurement Process not required; HACT Micro-Assessment not needed","Competitive Procurement Process not required; HACT Micro-Assessment not needed","Competitive Procurement Process not required; HACT Micro-Assessment not needed","Competitive Procurement Process not required; HACT Micro-Assessment not needed","Please choose \"No\" or \"N/A\" to Question 5 above since HACT Micro-Assessment is not applicable to a UN Agency.","Competitive Procurement Process not required; HACT Micro-Assessment not needed","Competitive Procurement Process not required; HACT Micro-Assessment not needed","Please choose \"No\" or \"N/A\" to Question 5 above since HACT Micro-Assessment is not applicable to a UN Agency.","Competitive Procurement Process not required; HACT Micro-Assessment needed","Competitive Procurement Process not required; HACT Micro-Assessment not needed","Please choose \"Yes\" or \"No\" to Question 5 above since HACT Micro-Assessment is applicable to an IGO if the USD300,000 threshold is exceeded.","Competitive Procurement Process not required; HACT Micro-Assessment not needed","Competitive Procurement Process not required; HACT Micro-Assessment not needed","Competitive Procurement Process not required; HACT Micro-Assessment not needed","HACT Micro-Assessment not needed","HACT Micro-Assessment needed","Please choose \"Yes\" or \"No\" to Question 5 above since HACT Micro-Assessment is applicable to CSO/NGO if the USD300,000 threshold is exceeded.","HACT Micro-Assessment not needed","HACT Micro-Assessment not needed","HACT Micro-Assessment not needed","Competitive procurement process required; Private Sector due diligence needed; HACT Micro-Assessment not needed. ","Competitive procurement process required; Private Sector due diligence needed; HACT Micro-Assessment needed.","Please choose \"Yes\" or \"No\" to Question 5 above since HACT Micro-Assessment is applicable to Private Sector if the USD300,000 threshold is exceeded.","Competitive procurement process required; Private Sector due diligence needed; HACT Micro-Assessment not needed. ","Competitive procurement process required; Private Sector due diligence needed; HACT Micro-Assessment not needed. ","Competitive procurement process required; Private Sector due diligence needed; HACT Micro-Assessment not needed. "]
[]
["Implementing Partner - Response Combinations"]
["What role will this organization fulfil on this project?","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP","IP"]
["What is the nature of this organization? (Govt, CSO etc)","Government","Government","Government","Government","Government","Government","UN Agency","UN Agency","UN Agency","UN Agency","UN Agency","UN Agency","IGO","IGO","IGO","IGO","IGO","IGO","CSO/NGO new to UNDP/UN System","CSO/NGO new to UNDP/UN System","CSO/NGO new to UNDP/UN System","CSO/NGO new to UNDP/UN System","CSO/NGO new to UNDP/UN System","CSO/NGO new to UNDP/UN System","CSO/NGO not new to UNDP/UN System","CSO/NGO not new to UNDP/UN System","CSO/NGO not new to UNDP/UN System","CSO/NGO not new to UNDP/UN System","CSO/NGO not new to UNDP/UN System","CSO/NGO not new to UNDP/UN System"]
["Will this organization receive more than US $300,000 during the Programme Period?","Yes","Yes","Yes","No","No","No","Yes","Yes","Yes","No","No","No","Yes","Yes","Yes","No","No","No","Yes","Yes","Yes","No","No","No","Yes","Yes","Yes","No","No","No"]
["Has a HACT Micro-Assessment already been performed during the Programme Period?","No","Yes","N/A","Yes","No","N/A","No","Yes","N/A","Yes","No","N/A","No","Yes","N/A","No","Yes","N/A","No","Yes","N/A","No","Yes","N/A","Yes","No","N/A","Yes","No","N/A"]
["Capacity Assessments needed","Programmatic & HACT Micro-Assessment needed","Programmatic & HACT Micro-Assessment not needed","Please choose \"Yes\" or \"No\" to Question 5 above since HACT Micro-Assessment is applicable to a Government Partner if the USD300,000 threshold is exceeded.","Programmatic & HACT Micro-Assessment not needed","Programmatic & HACT Micro-Assessment not needed","Programmatic & HACT Micro-Assessment not needed","Programmatic & HACT Micro-Assessment not needed","Please choose \"No\" or \"N/A\" to Question 5 above since HACT Micro-Assessment is not applicable to a UN Agency.","Programmatic & HACT Micro-Assessment not needed","Please choose \"No\" or \"N/A\" to Question 5 above since HACT Micro-Assessment is not applicable to a UN Agency.","Programmatic & HACT Micro-Assessment not needed","Programmatic & HACT Micro-Assessment not needed","Programmatic & HACT Micro-Assessment needed","Programmatic & HACT Micro-Assessment not needed","Please choose \"Yes\" or \"No\" to Question 5 above since HACT Micro-Assessment is applicable to an IGO if the USD300,000 threshold is exceeded.","Programmatic & HACT Micro-Assessment not needed","Programmatic & HACT Micro-Assessment not needed","Programmatic & HACT Micro-Assessment not needed","Conduct Risk-Based Pre-Screen; Programmatic & HACT Micro-Assessment needed","Please choose \"No\" to Question 5 above. Since you have answered that the CSO/NGO is new to UNDP/UN System, it cannot have had a HACT Micro-Assessment.","Please choose \"No\" to Question 5 above since HACT Micro-Assessment is applicable to a CSO/NGO new to UNDP/UN System if the USD300,000 threshold is exceeded.","Conduct Risk-Based Pre-Screen; Programmatic & HACT Micro-Assessment not needed","Please choose \"No\" to Question 5 above. Since you have answered that the CSO/NGO is new to UNDP/UN System, it cannot have had a HACT Micro-Assessment.","Conduct Risk-Based Pre-Screen; Programmatic & HACT Micro-Assessment not needed","Programmatic & HACT Micro-Assessment not needed","Programmatic & HACT Micro-Assessment needed","Please choose \"Yes\" or \"No\" to Question 5 above since HACT Micro-Assessment is applicable to a CSO/NGO not new to UNDP/UN System if the USD300,000 threshold is exceeded.","Programmatic & HACT Micro-Assessment not needed","Programmatic & HACT Micro-Assessment not needed","Programmatic & HACT Micro-Assessment not needed"]

{"sheet":"Master Lists","index":14,"n_rows":193,"n_cols":11,"rows_kept":193,"cut":false,"hidden":false,"merged":[]}
[]
[]
[]
[]
[]
[]
[null,null,"Region",null,"Partner List",null,"IP",null,"RP",null,"Other"]
["Country",null,"Select",null,"Select",null,"Select",null,"Select",null,"Private Sector"]
["Select",null,"Africa",null,"IP",null,"Government",null,"Government"]
["Afghanistan",null,"Asia Pacific",null,"RP",null,"CSO/NGO new to UNDP/UN System",null,"CSO/NGO"]
["Albania",null,"Arab States",null,"Other",null,"CSO/NGO not new to UNDP/UN System",null,"IGO"]
["Algeria",null,"Latin America & Caribbean",null,null,null,"IGO",null,"UN Agency"]
["Angola",null,"CEE/CIS",null,null,null,"UN Agency",null,"Private Sector"]
["Anguilla",null,"HQ"]
["Antigua and Barbuda",null,null,null,null,null,"UNDP (DIM)"]
["Argentina"]
["Armenia"]
["Aruba"]
["Azerbaijan"]
["Bahamas"]
["Bahrain"]
["Bangkok Regional Hub"]
["Bangladesh"]
["Barbados",null,null,null,null,null,null,null,null,"Column1"]
["Belarus"]
["Belize"]
["Benin"]
["Bermuda"]
["Bhutan"]
["Bolivia"]
["Bosnia and Herzegovina"]
["Botswana"]
["BPPS"]
["Brazil"]
["Burkina Faso"]
["Burundi"]
["Cairo Regional Center"]
["Cambodia"]
["Cameroon, Republic of"]
["Cape Verde"]
["Cayman Islands"]
["Central African Republic"]
["Chad"]
["Chile"]
["China"]
["Colombia"]
["Comoros"]
["Congo"]
["Cook Islands"]
["Costa Rica"]
["Côte d’Ivoire"]
["Crisis Response"]
["Croatia"]
["Cuba"]
["Curacao"]
["Cyprus"]
["Dakar Regional Service Center"]
["Democratic Republic of the Congo"]
["Djibouti"]
["Dominica"]
["Dominican Republic"]
["Ecuador"]
["Egypt"]
["El Salvador"]
["Equatorial Guinea"]
["Eritrea"]
["Eswatini"]
["Ethiopia"]
["Fiji"]
["Gabon"]
["Gambia"]
["Georgia"]
["Ghana"]
["Grenada"]
["Guatemala"]
["Guinea"]
["Guinea-Bissau"]
["Guyana"]
["Haiti"]
["Honduras"]
["India"]
["Indonesia"]
["Iran, Islamic Republic"]
["Iraq"]
["Istanbul Regional Hub"]
["Jamaica"]
["Johannesburg Regional Center"]
["Jordan"]
["Kazakhstan"]
["Kenya"]
["Kiribati"]
["Korea, Democratic People's Republic"]
["Korea, Republic of"]
["Kosovo (as per UNSCR 1244)"]
["Kuwait"]
["Kyrgyzstan"]
["Lao People's Democratic"]
["Lebanon"]
["Lesotho"]
["Liberia"]
["Libya"]
["Madagascar"]
["Malawi"]
["Malaysia"]
["Maldives"]
["Mali"]
["Marshall Islands"]
["Mauritania"]
["Mauritius"]
["Mexico"]
["Micronesia, Federate"]
["Moldova"]
["Mongolia"]
["Montenegro"]
["Montserrat"]
["Morocco"]
["Mozambique"]
["Myanmar"]
["Namibia"]
["Nauru"]
["Nepal"]
["Netherlands Antilles"]
["Nicaragua"]
["Niger"]
["Nigeria"]
["Niue"]
["Pacific Centre (PC)"]
["Pakistan"]
["Palau, Republic of"]
["Panama"]
["Panama Regional Centre"]
["Papua New Guinea"]
["Paraguay"]
["Peru"]
["Philippines"]
["Programme of Assistance to the Palestinian People"]
["Qatar"]
["RB CEE/CIS"]
["RBA"]
["RBAP"]
["RBAS"]
["RBLAC"]
["Regional Center - Addis Ababa"]
["Regional Centre in Colombo"]
["Romania"]
["Russian Federation"]
["Rwanda"]
["Saint Maarten"]
["Samoa"]
["Sao Tome and Principe"]
["Saudi Arabia"]
["Senegal"]
["Serbia"]
["Seychelles"]
["Sierra Leone"]
["Solomon Islands"]
["Somalia"]
["South Africa"]
["South Sudan, Republic of"]
["Sri Lanka"]
["St. Kitts and Nevis"]
["St. Lucia"]
["St. Vincent and the Grenadines"]
["Sudan, Republic of the"]
["Suriname"]
["Syria"]
["Tajikistan"]
["Tanzania, United Republic of"]
["Thailand"]
["The former Yugoslav Republic of Macedonia"]
["Timor-Leste"]
["Togo"]
["Tokelau"]
["Tonga"]
["Trinidad and Tobago"]
["Trinidad Regional Center"]
["Tunisia"]
["Turkey"]
["Turkmenistan"]
["Turks and Caicos Islands"]
["Tuvalu"]
["Uganda"]
["Ukraine"]
["United Arab Emirates"]
["Uruguay"]
["Uzbekistan"]
["Vanuatu"]
["Venezuela"]
["Viet Nam"]
["Virgin Islands (British)"]
["Yemen"]
["Zambia"]
["Zimbabwe"]

{"sheet":"Procurement Capacity Responses","index":15,"n_rows":72,"n_cols":2,"rows_kept":72,"cut":false,"hidden":false,"merged":[]}
["Procurement Volume per year","Rating"]
["Less than US $5 Million ",1]
["Between US $5 Million  and US $ 10 Million",2]
["Between US $10 Million  and US $ 20 Million",3]
["Between US $20 Million  and US $ 50 Million",4]
["More than US $ 50 Million",5]
[]
["Procurement Volume Variation from Year to Year [Year X to Year Y]"]
["Less than 20%",1]
["Less than 30%",2]
["Less than 50%",3]
["Less than 75%",4]
["More than 75%",5]
[]
["PRC activities"]
["100 % of required cases were reviewed by the PRC",1]
["Less than 100 % of required cases were reviewed by the PRC",5]
["The organization does not have a PRC",5]
[]
["Consolidated Procurement Plan"]
["IP has a Consolidated Procurement Plan",1]
["IP does not have a Consolidated Procurement Plan ",5]
[]
["HACT Micro-assessment rating"]
["Low risk",1]
["Medium risk",3]
["Significant risk",3]
["High risk",5]
["Not assessed in the past 4 years",5]
[]
["Qualitative Conclusion Response Options","Rating"]
["VERY GOOD procurement strategy, with strong capacity in all areas.",1]
["GOOD procurement strategy capacity, with minor weaknesses in some areas that could be quickly addressed.",2]
["SATISFACTORY procurement strategy capacity, with moderate weaknesses in some areas that could be addressed in the short term.",3]
["POOR procurement strategy capacity, with major deficiencies in some areas.",4]
["VERY POOR procurement strategy capacity, with no procurement strategy and no understanding of the need for one.",5]
[]
["VERY GOOD procurement unit functions and organization",1]
["GOOD procurement unit functions and organization, with minor weaknesses in some areas that could be quickly addressed.",2]
["SATISFACTORY procurement unit functions and organization, with moderate weaknesses in some areas that could be addressed in the short term. ",3]
["POOR procurement unit functions and organization, with major deficiencies in some areas.",4]
["VERY POOR procurement unit functions and organization, with major deficiencies in all areas.",5]
[]
["VERY GOOD procurement human resources capacity",1]
["GOOD procurement human resources capacity, with minor weaknesses in some areas that could be quickly addressed.",2]
["SATISFACTORY procurement human resources capacity, with moderate weaknesses in some areas that could be addressed in the short term. ",3]
["POOR procurement human resources capacity, with major deficiencies in some areas.",4]
["VERY POOR procurement human resources capacity, with major deficiencies in all areas.",5]
[]
["VERY GOOD procurement cycle management capacity",1]
["GOOD procurement cycle management capacity, with minor weaknesses in some areas that could be quickly addressed.",2]
["SATISFACTORY procurement cycle management capacity, with moderate weaknesses in some areas that could be addressed in the short term. ",3]
["POOR procurement cycle management capacity, with major deficiencies in some areas.",4]
["VERY POOR procurement cycle management capacity, with major deficiencies in all areas.",5]
[]
["VERY GOOD procurement documentation & filing capacity",1]
["GOOD procurement documentation & filing capacity, with minor weaknesses in some areas that could be quickly addressed.",2]
["SATISFACTORY procurement documentation & filing capacity, with moderate weaknesses in some areas that could be addressed in the short term. ",3]
["POOR procurement documentation & filing capacity, with major deficiencies in some areas.",4]
["VERY POOR procurement documentation & filing capacity, with major deficiencies in all areas.",5]
[]
["VERY GOOD procurement complaint handling capacity",1]
["GOOD procurement complaint handling capacity, with minor weaknesses in some areas that could be quickly addressed.",2]
["SATISFACTORY procurement compliant handling capacity, with moderate weaknesses in some areas that could be addressed in the short term. ",3]
["POOR procurement complaint handling capacity, with major deficiencies in some areas.",4]
["VERY POOR procurement complaint handling capacity, with major deficiencies in all areas.",5]
[]
["VERY GOOD perception and/or reputation",1]
["GOOD perception and/or reputation, with minor weaknesses in some areas that could be quickly addressed.",2]
["SATISFACTORY perception and/or reputation, with moderate weaknesses in some areas that could be addressed in the short term. ",3]
["POOR perception and/or reputation, with major deficiencies in some areas.",4]
["VERY POOR perception and/or reputation, with major deficiencies in all areas.",5]