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["Herramienta de evaluación de la capacidad del socio: introducción y descripción general"]
["Antecedentes: esta herramienta de evaluación de la capacidad de los socios (PCAT) está diseñada para simplificar el enfoque del PNUD para las evaluaciones de la capacidad de los socios ejecutores (IP) y las partes responsables (PR) del proyecto. Para ello, consolida todas las listas de verificación de evaluación de la capacidad de los socios existentes y elimina las preguntas duplicadas y las que no agregan valor. El PCAT también ahorra tiempo al: (i) proporcionar una guía rápida sobre qué evaluaciones de capacidad garantizarán que se identifiquen los riesgos del proyecto; y (ii) generar un informe resumido de las evaluaciones de riesgos resultantes, las acciones de mitigación de riesgos y los presupuestos asociados para su inclusión en el Documento de Proyecto. El PCAT también incluye evaluaciones de capacidad para nuevos instrumentos de programación, incluidos los acuerdos de pago basados en el desempeño y las subvenciones."]
["Propósito: La Política de Gestión de Riesgos Empresariales (ERM) del PNUD identifica las 'Capacidades de los Socios' como un Riesgo Estratégico clave que debe gestionarse para el éxito del trabajo del PNUD. El PCAT está diseñado para evaluar el nivel de riesgo que está presente cuando el PNUD trabaja con socios para implementar programas y proyectos. El nivel de riesgo se identifica analizando la capacidad de los socios y haciendo coincidir la gestión y supervisión del proyecto con el nivel de riesgo evaluado. Al identificar áreas de mejora de la capacidad, el PCAT también debería ayudar a reducir los futuros niveles de riesgo de los socios si se implementan y mantienen las acciones de creación de capacidad."]
["Aplicabilidad: El PCAT es aplicable a todos los socios, incluidos los IP y los RP, en todos los contextos, incluidos los contextos de crisis. También se aplica a los beneficiarios para determinar la elegibilidad para recibir una subvención. El PCAT describe los requisitos mínimos para las evaluaciones de capacidad basadas en los umbrales del PNUD (como USD 300 000 para HACT). Esto no impide que las oficinas realicen evaluaciones de capacidad adicionales para los socios que caen por debajo de los umbrales si consideran que esto es beneficioso para su oficina."]
["Responsabilidad y tiempo: El desarrollador del proyecto debe completar el PCAT lo antes posible durante la fase de diseño del proyecto, con aportaciones de microevaluación HACT del proveedor de servicios externo cuando sea necesario. El PCAT genera un resumen de los resultados de las evaluaciones de capacidad de los socios que se pueden adjuntar al documento del proyecto, eliminando la necesidad de redactar informes extensos / narrativos sobre los resultados de la evaluación de capacidad."]
[]
["Cómo usar el PCAT: Siga estos 4 pasos:"]
["Paso 1: Revise los requisitos previos para la asociación: ","Inicie el PCAT con 'Requisitos previos para la asociación'. Aquí ingresará información de antecedentes sobre su oficina y el Socio, y luego revisará 5 preguntas para evaluar si el Socio cumple con ciertos criterios básicos para asociarse con el PNUD (como no estar en las Sanciones de la ONU, Sanciones de proveedores del PNUD o Listas de Inelegibilidad del Mercado Global de la ONU) . Si el socio cumple con los 'Requisitos previos para la asociación', pasará a la siguiente sección 'Alcance de la evaluación de la capacidad'. Si el socio no cumple con los 'requisitos previos para la asociación', se le recomendará que no realice más evaluaciones, ya que el socio no puede trabajar con el PNUD.",null,null,null,null,null,null,"Ir a los requisitos previos para la asociación"]
["Paso 2: Completar el alcance de la evaluación de la capacidad","El PCAT es una herramienta dinámica que mostrará solo las evaluaciones de capacidad que necesita en función de las respuestas que proporcione a las 9 preguntas de \"determinación del alcance de la evaluación\". Estas preguntas incluyen: (i) si se trata de un proyecto humanitario para el que se necesita una evaluación rápida de la capacidad; (ii) qué papel cumplirá el Socio en el proyecto (PI vs RP vs Otro); (iii) qué tipo de organización es el socio (gobierno, OSC / ONG, sector privado, etc.); (iv) si el Socio recibirá más de USD 300,000 durante el Período del Programa; (v) si se ha realizado una microevaluación HACT; (vi) si el Socio gestionará las actividades de construcción; (vii) si el Socio llevará a cabo actividades de concesión de subvenciones en nombre del PNUD (sobre la concesión); (viii) en el caso de los PR, si se utilizará un Acuerdo de Pago Basado en el Desempeño (PBPA) para el proyecto; y (ix) si el PBPA superará los USD 300 000. Sus respuestas a estas preguntas determinarán qué evaluaciones de capacidad se muestran para completar. Se le proporcionará un enlace que lo llevará directamente a las evaluaciones que debe completar. Además, toda la información de antecedentes que ingresó anteriormente para su oficina y el Socio se presentará automáticamente.",null,null,null,null,null,null,"Ir al alcance de la evaluación de la capacidad"]
["Paso 3: Complete la (s) evaluación (es) de capacidad","Complete las evaluaciones de capacidad según sea necesario. Con base en los resultados de la evaluación de capacidad y el nivel de riesgo evaluado, se le pedirá que identifique estrategias de mitigación de riesgos (como acciones de desarrollo de capacidades y / o actividades mejoradas de monitoreo y aseguramiento) y el presupuesto asociado requerido para implementar esas estrategias.",null,null,null,null,null,null,"Siga los enlaces que se proporcionan en la página Análisis de alcance de la evaluación de la capacidad"]
["Paso 4: Concluya con la (s) evaluación (es) de capacidad","El PCAT resumirá automáticamente los resultados de las evaluaciones de capacidad completadas, proporcionándole un documento conciso para adjuntar a su documento de proyecto.",null,null,null,null,null,null,"Ir a la conclusión de la evaluación de la capacidad"]
["Opcional: recursos de orientación adicionales","Si necesita orientación adicional, revise los árboles de decisiones de PI y / o RP, que proporcionan descripciones paso a paso de las evaluaciones de capacidad necesarias; o pruebe los Puntos para recordar de POPP para obtener puntos importantes sobre HACT y sobre instrumentos específicos de programas / proyectos, como Acuerdos de pago basados en la concesión o en el desempeño (PBPA).",null,null,null,null,null,null,"Árbol de decisiones de PI "]
[null,null,null,null,null,null,null,null,"Árbol de decisión de RP"]
[null,null,null,null,null,null,null,null,"HACT - Puntos POPP para recordar"]
[null,null,null,null,null,null,null,null,"On-Grant - Puntos POPP para recordar"]
[null,null,null,null,null,null,null,null,"PBPA: puntos POPP para recordar"]

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["Herramienta de evaluación de la capacidad de los socios - Paso 1: Requisitos previos para la asociación - aplicable a todos los socios"]
["Regresar a la página de descripción general de PCAT"]
["Aplicabilidad: Esta sección de \"Requisitos previos para la asociación\" debe completarse para todos los socios del PNUD, independientemente de si son IP, RP, Otros socios o beneficiarios de subvenciones."]
["Responsabilidad y tiempo: el desarrollador del proyecto debe completar estos 'requisitos previos para la asociación' lo antes posible en la fase de diseño del proyecto para asegurarse de que el socio propuesto no sea una organización prohibida y no participe en prácticas que sean incompatibles con las normas ambientales y código de ética."]
[]
["Información de antecedentes (ingrese esta información aquí y se incluirá en todo el PCAT; no es necesario ingresarla nuevamente)"]
["Región","Latin America & Caribbean"]
["Oficina ","Costa Rica"]
["Iniciar programa","2021-05-01"]
["Fin del programa","2026-05-01"]
["Nombre del socio","Organización de Estudios Tropicales (OET)"]
["Presupuesto del socio para este proyecto (USD)",4386210]
[]
[]
["Regulatoria (6.3, FRR)","Violación de las sanciones de la ONU",1,"¿La organización figura en la Lista consolidada de sanciones del Consejo de Seguridad de las Naciones Unidas, en la lista de sanciones de proveedores del PNUD o en la Lista de inelegibilidad del Mercado Global de las Naciones Unidas?",null,"No",{"$f":"IF(F15=\"Yes\",\"Stop! This organization cannot be a UNDP Partner. No further assessment should be performed.\",IF(F15=\"No\",\"Continue to Question 2\",IF(F15=\"Select\",\" \")))","v":"Continue to Question 2"}]
[null,null,null,null,"Lista de sanciones a proveedores del PNUD\n"]
[null,null,null,null,"Lista de inelegibilidad del mercado global de las Naciones Unidas (accesible para los roles de comprador del PNUD)\n"]
[null,null,null,null,null,null,"Comentarios"]
["Estratégico (7.5 Código de conducta y ética), Social y ambiental (1.1-1.12)","Violación de los principios de programación y los estándares éticos.",2,"¿Existe alguna evidencia creíble de que la organización comete de manera persistente actos que violan: (i) los estándares sociales y ambientales del PNUD (derechos humanos, igualdad de género, condiciones laborales, estándares de sostenibilidad ambiental); o (ii) el código de conducta / normas éticas hasta el punto de que la asociación del PNUD con la organización no se pueda gestionar o justificar de forma adecuada?","* Búsqueda en Internet / prensa\n* Evaluaciones de donantes, valoraciones\n* Críticas significativas de donantes / OSC / medios de comunicación / redes sociales u otros socios importantes del PNUD a nivel local o mundial\n* Críticas significativas de agencias gubernamentales / partidos políticos que hacen que la asociación del PNUD sea políticamente sensible\n* Eventos públicos locales o globales recurrentes contra la organización (por ejemplo, manifestaciones locales, protestas en línea, etc.)\n* Caso legal relevante en curso / en la corte, etc.","No evidence found",{"$f":"IF(F19=\"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,{"$f":"IF(F19=\"Yes - evidence found - manageable\",\"Example 1\",\" \")","v":" "}]
["Estratégico (7.6 Opinión pública y medios de comunicación)","Daño a la reputación del PNUD",3,"¿Una búsqueda de informes de evaluación de donantes / en Internet ha revelado alguna publicidad adversa creíble y significativa o controversia sobre la organización que pudiera dañar la reputación del PNUD por asociación hasta tal punto que la asociación no pueda ser administrada o justificada de manera adecuada?",null,"No adverse publicity found",{"$f":"IF(F21=\"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":" "}]
[]
["Regulatoria (6.3, FRR)","Ausencia de neutralidad",4,"Si el Socio es una OSC / ONG o una organización del sector privado, ¿hay alguna evidencia creíble de que la organización tiene afiliaciones políticas que podrían comprometer la neutralidad del PNUD, percibida o real, de una manera que no puede ser administrada y justificada de manera adecuada?",null,"No neutrality concerns found",{"$f":"IF(F23=\"Yes - neutrality concerns found - manageable\",\"Provide comments below on the evidence found. If you proceed with this Partner, explain how the associated risks to UNDP will be managed for this project. Be sure to include this information in the Project Risk Log.\",\" \")","v":" "}]
[]
["Financiero (2.3 Corrupción y Fraude); Estratégico (7.5 Código de conducta y ética)","Fraude, corrupción y daño potencial a la reputación del PNUD",5," ","* Búsqueda en Internet / prensa sobre problemas de fraude\n* Evaluaciones de donantes o valoraciones para problemas de fraude\n* Discusiones y / o documentos y / o confirmación por escrito del Socio que revele conflictos de interés o tales relaciones.","No evidence of fraud or conflicts found",{"$f":"IF(F25=\"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":" "}]
[]
["Conclusión sobre los 'requisitos previos para la asociación' y los próximos pasos",null,null,null,{"$f":"IF(OR(F15=\"Select\",F19=\"Select\",F21=\"Select\",F23=\"Select\",F25=\"Select\"),\"Please answer all questions before proceeding\",IF(OR(F15=\"Yes\",F19=\"Yes - evidence found - not manageable\",F21=\"Yes -  adverse publicity found - not manageable\",F23=\"Yes - neutrality concerns found - not manageable\",F25=\"Evidence of fraud and/or conflicts found - not manageable\"),\"Do not proceed with this Partner. No further Capacity Assessment actions needed.\",IF(AND(F15=\"No\",F19=\"No evidence found\",F21=\"No adverse publicity found\",F23=\"No neutrality concerns found\",F25=\"No evidence of fraud or conflicts found\"),\"Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'\",IF(AND(F15=\"No\",F19=\"No evidence found\",F21=\"No adverse publicity found\",F23=\"N/A\",F25=\"No evidence of fraud or conflicts found\"),\"Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'\",IF(OR(F15=\"No\",F19=\"Yes - evidence found - manageable\",F21=\"Yes - adverse publicity found - manageable\",F23=\"Yes - neutrality concerns found - manageable\",F25=\"Evidence of fraud and/or conflicts found\"),\"Ensure your management and justification plans are documented. Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'\")))))","v":"Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'"}]
[{"$f":"IF(D28=\"b. Have you documented your management & justification plans?\",\"a. Have you included information on manageable risks in your Risk Log?\",\" \")","v":" "},null,{"$f":"IF(D28=\"b. Have you documented your management & justification plans?\",\"Yes or No\",\" \")","v":" "},{"$f":"IF(E27=\"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":" "},{"$f":"IF(D28=\"b. Have you documented your management & justification plans?\",\"Yes or No\",\" \")","v":" "},{"$f":"IF(D28=\"b. Have you documented your management & justification plans?\",\"c. Is a budget needed to implement these plans? If yes, estimate the amount.\",\" \")","v":" "},{"$f":"IF(F28=\"c. Is a budget needed to implement these plans? If yes, estimate the amount.\",\"USD\",\" \")","v":" "}]
[{"$f":"IF(A28=\"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,"Alcance de la evaluación de la capacidad"]

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["Herramienta de evaluación de la capacidad de los socios - Paso 2: Evaluación del alcance de la evaluación de la capacidad - aplicable a todos los socios",null,null,"Return to PCAT Overview page"]
["Propósito: Esta herramienta de 'Evaluación del alcance de la evaluación de la capacidad' está diseñada para ayudarlo a identificar las evaluaciones de la capacidad de los socios que ayudarán a gestionar los riesgos derivados del compromiso del PNUD con los PI, los RP u otros socios. Lo guiará a través de una serie de preguntas y, según sus respuestas, le indicará las evaluaciones de capacidad que deben completarse, incluidas las microevaluaciones HACT."]
["Aplicabilidad: Esta 'Evaluación del alcance de la evaluación de la capacidad' debe completarse para todos los socios del PNUD, independientemente de si son PI o RP o socios del sector privado que cumplen otras funciones."]
["Responsabilidad y tiempo: El desarrollador del proyecto debe completar este 'Alcance de la evaluación de la capacidad' lo antes posible en la fase de diseño del proyecto para asegurarse de que las evaluaciones de la capacidad necesarias se identifiquen con anticipación y se realicen los arreglos para su finalización oportuna."]
[]
["Información de antecedentes (extraída de la hoja de trabajo 'Requisitos previos para socios')"]
["Región","Latin America & Caribbean",{"$f":"'Requisitos previos para socios'!C7","v":0}]
["Oficina ","Costa Rica",{"$f":"'Requisitos previos para socios'!C8","v":0}]
["Inicio del programa ","2021-05-01"]
["Fin del Programa ","2026-05-01"]
["Nombre del Organizador ","Organización de Estudios Tropicales (OET)"]
["Presupuesto del socio para este proyecto (USD)",4386210]
[]
["Preguntas sobre el Alcance de la Evaluación de la Capacidad",null,"Seleccione Respuestas en los menús desplegables."]
["1. ¿Se trata de un proyecto humanitario para el que se necesita una evaluación rápida de la capacidad de los socios de las OSC / ONG?",null,"No",{"$f":"IF(C15=\"Yes\",\"Go to Humanitarian Rapid Screen\",\" \")","v":" "}]
["2. ¿Qué papel cumplirá esta organización en este proyecto?",null,"IP"]
["3. ¿Cuál es la naturaleza de esta organización? (Gobierno, CSO, etc.)",null,"CSO/NGO",{"$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. ¿Recibirá esta organización más de US $ 300.000 durante el Período del Programa?",null,"Yes"]
["5. ¿Se ha realizado ya una evaluación de la capacidad de los socios (incluida la microevaluación HACT) durante el período del programa?",null,"Yes",{"$f":"IF(AND(C17=\"Government\",C18=\"Yes\",C19=\"No\"),\"Be sure to ask your UNCT or HACT Focal Point whether another UN Agency has already done a HACT Micro-Assessment. One phone call could save you time and money!\",IF(AND(C17=\"IGO\",C18=\"Yes\",C19=\"No\"),\"Be sure to ask your UNCT or HACT Focal Point whether another UN Agency has already done a HACT Micro-Assessment. One phone call could save you time and money!\",IF(AND(C17=\"CSO/NGO\",C18=\"Yes\",C19=\"No\"),\"Be sure to ask your UNCT or HACT Focal Point whether another UN Agency has already done a HACT Micro-Assessment. One phone call could save you time and money!\",IF(AND(C17=\"CSO/NGO not new to UNDP/UN System\",C18=\"Yes\",C19=\"No\"),\"Be sure to ask your UNCT or HACT Focal Point whether another UN Agency has already done a HACT Micro-Assessment. One phone call could save you time and money!\",\" \"))))","v":" "}]
["6. ¿El socio implementará actividades de construcción?",null,"No"]
["7. ¿Realizará el Socio actividades de concesión de subvenciones en nombre del PNUD?",null,"No"]
["8. Will this project utilize a Performance-Based Payment Agreement with the RP?",null,"No"]
["9. Will the PBPA exceed USD300,000 during the Programme Period?",null,"No"]
[]
["Si no ve las evaluaciones que espera, actualice sus respuestas a las preguntas anteriores comenzando con Q1."]
[]
["Evaluaciones de capacidad necesarias para este IP:",null,"Enlaces a estas evaluaciones de capacidad"]
[{"$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":0},null,{"$f":"IF(A28=\"Conduct Risk-Based Pre-Screen; Programmatic & HACT Micro-Assessment needed\",\"Risk-Based Pre-Screen\",IF(A28=\"Conduct Risk-Based Pre-Screen; Programmatic & HACT Micro-Assessment not needed\",\"Risk-Based Pre-Screen\",\" \"))","v":" "},{"$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,{"$f":"IF(A28=\"Programmatic & HACT Micro-Assessment needed\",\"Programmatic Assessment\",IF(A28=\"Conduct Risk-Based Pre-Screen; Programmatic & HACT Micro-Assessment needed\",\"Programmatic Assessment\",\" \"))","v":" "}]
[null,null,{"$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,{"$f":"IF(A28=\"Programmatic & HACT Micro-Assessment needed\",\"HACT Micro-Assessment\",IF(A28=\"Conduct Risk-Based Pre-Screen; Programmatic & HACT Micro-Assessment needed\",\"HACT Micro-Assessment\",\" \"))","v":" "}]
[{"$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":" "},null,{"$f":"IF(C21=\"Yes\",\"On-Granting Assessment\",\" \")","v":" "}]
[{"$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(A38=\"Competitive Procurement Process not required; HACT Micro-Assessment needed\",A38=\"HACT Micro-Assessment needed\",A38=\"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":" "}]
[{"$f":"IF(C21=\"Yes\",\"On-Granting Assessment needed\",\" \")","v":" "},null,{"$f":"IF(C21=\"Yes\",\"On-Granting Assessment\",\" \")","v":" "}]
[{"$f":"IF(C22=\"Yes\",\"PBPA Proposal Due Diligence needed. Also follow HACT assessment and assurance requirements in line with prevailing policies where applicable.\",\" \")","v":" "},null,{"$f":"IF(C22=\"Yes\",\"PBPA Proposal Due Diligence\",\" \")","v":" "}]
[null,null,{"$f":"IF(AND(C22=\"Yes\",C23=\"Yes\"),\"HACT Micro-Assessment\",\" \")","v":" "}]
[{"$f":"IF(AND(C38=\" \",C39=\" \",C40=\" \",C41=\" \",C42=\" \"),\"Conclusion: No Capacity Assessments are needed. No further action is required.\",\" \")","v":"Conclusion: No Capacity Assessments are needed. No further action is required."}]
[]
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["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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["Regresar a la página de descripción general de PCAT"]
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[{"$f":"IF(OR('Requisitos previos para socios'!E27=\"Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'\",'Requisitos previos para socios'!E27=\"Do not proceed with this Partner. No further Capacity Assessment actions needed.\"),1,2)","v":1}]
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[{"$f":"IF(OR('Requisitos previos para socios'!E27=\"Please answer all questions before proceeding\",'Requisitos previos para socios'!E27=\"Proceed with this Partner. Continue to 'Section 2: Capacity Assessment Scoping'\",'Requisitos previos para socios'!E27=\"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":true,"merged":[[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],[0,0,0,6],[3,0,3,6],[5,0,5,6],[2,0,2,6],[1,0,1,6],[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],[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]]}
["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",{"$f":"'Requisitos previos para socios'!B7","v":"Latin America & Caribbean"},{"$f":"'Requisitos previos para socios'!C7","v":0}]
["Office",{"$f":"'Requisitos previos para socios'!B8","v":"Costa Rica"},{"$f":"'Requisitos previos para socios'!C8","v":0}]
["Programme Start",{"$f":"'Requisitos previos para socios'!B9","v":"2021-05-01"}]
["Programme End",{"$f":"'Requisitos previos para socios'!B10","v":"2026-05-01"}]
["Partner Name",{"$f":"'Requisitos previos para socios'!B11","v":"Organización de Estudios Tropicales (OET)"}]
["Partner budget for this Project (USD)",{"$f":"'Requisitos previos para socios'!B12","v":4386210}]
[]
["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":true,"merged":[[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],[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],[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]]}
["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",{"$f":"'Requisitos previos para socios'!B7","v":"Latin America & Caribbean"},{"$f":"'Requisitos previos para socios'!C7","v":0}]
["Office",{"$f":"'Requisitos previos para socios'!B8","v":"Costa Rica"},{"$f":"'Requisitos previos para socios'!C8","v":0}]
["Programme Start",{"$f":"'Requisitos previos para socios'!B9","v":"2021-05-01"}]
["Programme End",{"$f":"'Requisitos previos para socios'!B10","v":"2026-05-01"}]
["Partner Name",{"$f":"'Requisitos previos para socios'!B11","v":"Organización de Estudios Tropicales (OET)"}]
["Partner budget for this Project (USD)",{"$f":"'Requisitos previos para socios'!B12","v":4386210}]
[]
["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":true,"merged":[[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],[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],[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],[62,0,62,6],[62,7,62,10],[59,0,59,10],[57,6,57,8],[58,6,58,10],[57,0,58,4],[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],[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],[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]]}
["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",{"$f":"'Requisitos previos para socios'!B7","v":"Latin America & Caribbean"},{"$f":"'Requisitos previos para socios'!C7","v":0},null,null,"Guide for determining the relative importance to this project of each capacity assessed below1: "]
["Office",{"$f":"'Requisitos previos para socios'!B8","v":"Costa Rica"},{"$f":"'Requisitos previos para socios'!C8","v":0},null,null,"The risk categories below should be used to assess the relative importance of each capacity to this specific project:"]
["Programme Start",{"$f":"'Requisitos previos para socios'!B9","v":"2021-05-01"},null,null,null,"High Risk: This capacity is critical for the success of the project. Without this capacity there is a high likelihood that the IP will not fulfil the project goals."]
["Programme End",{"$f":"'Requisitos previos para socios'!B10","v":"2026-05-01"},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",{"$f":"'Requisitos previos para socios'!B11","v":"Organización de Estudios Tropicales (OET)"},null,null,null,"Moderate Risk: This capacity is important for the success of the project. Without this capacity there is a moderate likelihood that the IP will not fulfil the project goals."]
["Partner budget for this Project (USD)",{"$f":"'Requisitos previos para socios'!B12","v":4386210},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,"Yes","High",{"$f":"IF($H16=\"Select\",0,IF($H16=\"High\",4,IF($H16=\"Substantial\",3,IF($H16=\"Moderate\",2,IF($H16=\"Low\",1,IF($H16=\"N/A\",0))))))","v":4},{"$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",{"$f":"C16+1","v":2},"Is there a stable enabling environment for the Partner to operate within, in terms of political changes or social unrest, ongoing conflicts, poor physical infrastructure, natural disasters, humanitarian crises?",null,null,"Yes","Substantial",{"$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":3},{"$f":"IF(G17=\"Select\",I17*0,IF(G17=\"Yes\",I17*0,IF(G17=\"No\",I17*1,IF(G17=\"N/A\",I17*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Misalignment of programmatic focus; Inadequate experience",{"$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,"Yes","Moderate",2,{"$f":"IF(G18=\"Select\",I18*0,IF(G18=\"Yes\",I18*0,IF(G18=\"No\",I18*1,IF(G18=\"N/A\",I18*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Inadequate Programmatic Reporting",4,"Does the Partner provide its stakeholders and beneficiaries with an annual or periodic programme performance report and do they have an opportunity to provide feedback on the IP's programme performance, either through public meetings or other grievance mechanisms?",null,null,"No","Low",1,{"$f":"IF(G19=\"Select\",I19*0,IF(G19=\"Yes\",I19*0,IF(G19=\"No\",I19*1,IF(G19=\"N/A\",I19*0))))","v":1}]
["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,"Yes","Moderate",2,0]
["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,"No","Moderate",{"$f":"IF($H21=\"Select\",0,IF($H21=\"High\",4,IF($H21=\"Substantial\",3,IF($H21=\"Moderate\",2,IF($H21=\"Low\",1,IF($H21=\"N/A\",0))))))","v":2},{"$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,"Yes","Substantial",{"$f":"IF($H22=\"Select\",0,IF($H22=\"High\",4,IF($H22=\"Substantial\",3,IF($H22=\"Moderate\",2,IF($H22=\"Low\",1,IF($H22=\"N/A\",0))))))","v":3},{"$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,"Yes","Substantial",3,0]
["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,"Yes","Substantial",3,0]
["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,"Yes","Moderate",2,0]
["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,"Yes","Substantial",3,{"$f":"IF(G26=\"Select\",I26*0,IF(G26=\"Yes\",I26*0,IF(G26=\"No\",I26*1,IF(G26=\"N/A\",I26*0))))","v":0}]
["Strategic (7.3 Partner capacities)","Personnel Limitations",12,"If the organization has a salary scale that would apply to project personnel, would that scale inhibit hiring the best candidates?",null,null,"No","Moderate",2,{"$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,"Yes","Substantial",3,{"$f":"IF(G28=\"Select\",I28*0,IF(G28=\"Yes\",I28*0,IF(G28=\"No\",I28*1,IF(G28=\"N/A\",I28*0))))","v":0}]
["Strategic (7.5 Code of conduct & ethics), Social & Environmental (1.1-1.12)","Violation of programming principles and ethical standards",14,"Does the Partner screen their personnel, and/or partners they engage with, for previous involvement or alleged involvement in SH or SEA? ",null,null,"No","Low",1,{"$f":"IF(G29=\"Select\",I29*0,IF(G29=\"Yes\",I29*0,IF(G29=\"No\",I29*1,IF(G29=\"N/A\",I29*0))))","v":1}]
["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,"Yes","Moderate",2,{"$f":"IF(G30=\"Select\",I30*0,IF(G30=\"Yes\",I30*0,IF(G30=\"No\",I30*1,IF(G30=\"N/A\",I30*0))))","v":0}]
["Strategic (7.5 Code of conduct & ethics), Social & Environmental (1.1-1.12)","Violation of programming principles and ethical standards",16,"Does the Partner have the capacity - internal or external - to investigate allegations of SH and SEA, and the ability to refer victims to appropriate victim assistance services (e.g. medical, legal or psychosocial)?   (Consider information on available capacity (such as trained investigators or access to external investigation services) and mechanisms (such as identified victim assistance providers)  in a written statement.)",null,null,"Yes","Low",1,{"$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,"Yes","Substantial",{"$f":"IF($H32=\"Select\",0,IF($H32=\"High\",4,IF($H32=\"Substantial\",3,IF($H32=\"Moderate\",2,IF($H32=\"Low\",1,IF($H32=\"N/A\",0))))))","v":3},{"$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,"Yes","Moderate",2,{"$f":"IF(G33=\"Select\",I33*0,IF(G33=\"Yes\",I33*0,IF(G33=\"No\",I33*1,IF(G33=\"N/A\",I33*0))))","v":0}]
[null,null,null,null,null,"Overall Risk Score for this Section",null,null,null,{"$f":"SUM(J16:J33)","v":2}]
[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"]

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["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",{"$f":"'Requisitos previos para socios'!B7","v":"Latin America & Caribbean"},{"$f":"'Requisitos previos para socios'!C7:G7","v":0},null,"Guide for determining the relative importance to this project of each capacity assessed below1: "]
["Office",{"$f":"'Requisitos previos para socios'!B8","v":"Costa Rica"},{"$f":"'Requisitos previos para socios'!C8","v":0},null,"The risk categories below should be used to assess the relative importance of each capacity to this specific project:"]
["Programme Start",{"$f":"'Requisitos previos para socios'!B9","v":"2021-05-01"},null,null,"High Risk: This capacity is critical for the success of the project. Without this capacity there is a high likelihood that the IP will not fulfil the project goals."]
["Programme End",{"$f":"'Requisitos previos para socios'!B10","v":"2026-05-01"},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",{"$f":"'Requisitos previos para socios'!B11","v":"Organización de Estudios Tropicales (OET)"},null,null,"Moderate Risk: This capacity is important for the success of the project. Without this capacity there is a moderate likelihood that the IP will not fulfil the project goals."]
["Partner budget for this Project (USD)",{"$f":"'Requisitos previos para socios'!B12","v":4386210},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,20000]
["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",{"$f":"'Requisitos previos para socios'!B7","v":"Latin America & Caribbean"},{"$f":"'Requisitos previos para socios'!C7:G7","v":0},null,"Guide for determining the relative importance to this project of each capacity assessed below1: "]
["Office",{"$f":"'Requisitos previos para socios'!B8","v":"Costa Rica"},{"$f":"'Requisitos previos para socios'!C8","v":0},null,"The risk categories below should be used to assess the relative importance of each capacity to this specific project:"]
["Programme Start",{"$f":"'Requisitos previos para socios'!B9","v":"2021-05-01"},null,null,"High Risk: This capacity is critical for the success of the project. Without this capacity there is a high likelihood that the IP will not fulfil the project goals."]
["Programme End",{"$f":"'Requisitos previos para socios'!B10","v":"2026-05-01"},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",{"$f":"'Requisitos previos para socios'!B11","v":"Organización de Estudios Tropicales (OET)"},null,null,"Moderate Risk: This capacity is important for the success of the project. Without this capacity there is a moderate likelihood that the IP will not fulfil the project goals."]
["Partner budget for this Project (USD)",{"$f":"'Requisitos previos para socios'!B12","v":4386210},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},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",4,0]
["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",4,0]
["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",4,0]
["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",4,0]
["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,"BBB"]
["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"]

{"sheet":"PBPA Proposal Due Diligence","index":8,"n_rows":53,"n_cols":11,"rows_kept":53,"cut":false,"hidden":true,"merged":[[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],[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],[29,3,29,4],[43,7,43,9],[44,0,44,9],[45,0,45,5],[45,6,45,9],[31,3,31,4],[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],[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]]}
["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",{"$f":"'Requisitos previos para socios'!B7","v":"Latin America & Caribbean"},{"$f":"'Requisitos previos para socios'!C7:G7","v":0},null,"Guide for determining the relative importance to this project of each capacity assessed below1: "]
["Office",{"$f":"'Requisitos previos para socios'!B8","v":"Costa Rica"},{"$f":"'Requisitos previos para socios'!C8","v":0},null,"The risk categories below should be used to assess the relative importance of each capacity to this specific project:"]
["Programme Start",{"$f":"'Requisitos previos para socios'!B9","v":"2021-05-01"},null,null,"High Risk: This capacity is critical for the success of the project. Without this capacity there is a high likelihood that the IP will not fulfil the project goals."]
["Programme End",{"$f":"'Requisitos previos para socios'!B10","v":"2026-05-01"},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",{"$f":"'Requisitos previos para socios'!B11","v":"Organización de Estudios Tropicales (OET)"},null,null,"Moderate Risk: This capacity is important for the success of the project. Without this capacity there is a moderate likelihood that the IP will not fulfil the project goals."]
["Partner budget for this Project (USD)",{"$f":"'Requisitos previos para socios'!B12","v":4386210},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",{"$f":"C16+1","v":2},"Does the RP's PBPA proposal include a quality Results Framework that identifies clear, objectively verifiable indicators that measure progress towards achieving results, and fair milestones and target results on which payments can depend?",null,"Yes","High",{"$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},0]
["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,"Yes","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,"No","High",4,4]
["Operational (3.8 Partnership)","Possible disagreement on who will assess performance",5,"Where applicable, has an independent assessor been agreed with the RP?",null,"No","High",4,4]
["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,"Yes","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,"Yes","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,"Yes","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",{"$f":"C24+1","v":2},"Does the RP have a proven track record in successfully setting and achieving challenging targets?",null,"Yes","High",4,{"$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,"Yes","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",{"$f":"C27+1","v":2},"Does the RP have a history of good financial liquidity?  (Review the financial statements for the past three years to determine whether the RP has: (i) had a healthy financial liquidity whereby its current assets have been higher than its current liabilities (i.e the current ratio, which is current assets divided by current liabilities); and (ii) sufficient cash, investments and accounts receivable to meet its current liabilities (i.e. the quick ratio). Note: the higher the ratio, the better the RP's short-term financial strength.)",null,"Yes","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate financial liquidity",3,"Does the RP have the capacity to pre-finance the project activities? (Review the most recent financial statements to determine whether the RP has adequate working capital (which is current assets - current liabilities) to meet at least three months of operating needs PLUS the cost of the activities foreseen by the UNDP project.)",null,"Yes","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate financial liquidity",4,"Are there any significant contingent liabilities or post balance sheet date event disclosures in the RP's financial statements that could affect successful delivery of the project?",null,"No","High",4,{"$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 $5m or more?",null,"N/A","High",4,0]
["Strategic (7.3 Partner capacities)","Inadequate financial liquidity",6,"If the RP does not have the capacity to pre-finance the UNDP project activities, is it able to arrange financing from other sources (e.g. from 3rd party debt or equity investors in blended finance arrangements)?",null,"N/A","High",4,{"$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,"Yes","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,"Yes","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,"Yes","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",{"$f":"C36+1","v":2},"Does the RP use the M&E data collected to refine and tailor course correction actions in a timely manner to enhance the likelihood of project success?",null,"Yes","High",4,{"$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",{"$f":"C38+1","v":1},"Does the RP have a proven track record in producing complete, accurate and timely programmatic and financial reports for prior projects?",null,"Yes","High",{"$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 ($300,000 or less): final financial report; final report with evidence of results achievement)",null,"Yes","High",4,{"$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",{"$f":"C40+1","v":3},"Has the RP consented to the project being audited, which is a UNDP requirement for a PBPA?",null,"Yes","High",4,{"$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,{"$f":"SUM(I16:I41)","v":8}]
[null,null,null,null,"Overall Risk Assessment for this Section",{"$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,{"$f":"F43","v":"Low Risk"}]
["Select the risk mitigation strategies that will be employed (i.e. capacity building actions and/or enhanced monitoring and assurance activities)",null,null,null,null,null,"Select"]
["Describe the capacity building actions and/or enhanced monitoring and assurance activities that will be included in the Project Document",null,null,null,null,null,"XYZ"]
["Provide the estimated budget required for these activities (to be included in the Project Budget) ($US)",null,null,null,null,null,10000]
["Comments on Overall PBPA Proposal Due Diligence Assessment: (Optional)"]
["LMN"]
[]
["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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["Herramienta de evaluación de la capacidad de los socios: evaluación de la gestión de programas y proyectos\n\t\t\t\t\t"]
["Propósito: Esta hoja de trabajo está diseñada para evaluar la capacidad de gestión de proyectos y programas del socio. Cubre temas que no están incluidos en la microevaluación HACT.",null,null,null,null,null,null,null,null,null,null,"Volver al alcance de la evaluación de la capacidad"]
["Responsabilidad y tiempo: El desarrollador del proyecto debe completar la evaluación de la capacidad de gestión del programa y del proyecto lo antes posible en la fase de diseño del proyecto."]
[]
["Información de antecedentes (extraída de la hoja de trabajo 'Requisitos previos para socios')"]
["Región",{"$f":"'[1]Partner Pre-requisites'!B7","v":"Latin America & Caribbean"},{"$f":"'[1]Partner Pre-requisites'!C7","v":"Comments: (Optional)"},null,null,"Guía para determinar la importancia relativa para este proyecto de cada capacidad evaluada a continuación1:"]
["Oficina ","Costa Rica",{"$f":"'[1]Partner Pre-requisites'!C8","v":{"$error":"#REF!"}},null,null,"Las categorías de riesgo a continuación deben usarse para evaluar la importancia relativa de cada capacidad para este proyecto específico:"]
["Inicio del Programa ",{"$f":"'[1]Partner Pre-requisites'!B9","v":"2021-01-01"},null,null,null,"Alto riesgo: esta capacidad es fundamental para el éxito del proyecto. Sin esta capacidad, existe una alta probabilidad de que el IP no cumpla con los objetivos del proyecto."]
["Fin del Programa ","2026-01-01",null,null,null,"Riesgo sustancial: esta capacidad es muy importante para el éxito del proyecto. Sin esta capacidad, existe una probabilidad sustancial de que el IP no cumpla con los objetivos del proyecto."]
["Nombre del socio ","Organización de Estudios Tropicales (OET)",null,null,null,"Riesgo moderado: esta capacidad es importante para el éxito del proyecto. Sin esta capacidad, existe una probabilidad moderada de que el IP no cumpla con los objetivos del proyecto."]
["Presupuesto del socio para este proyecto (USD)",4386210,null,null,null,"Riesgo bajo: esta capacidad no es importante para el éxito de este proyecto. Sin esta capacidad, existe una baja probabilidad de que el IP no cumpla con los objetivos del proyecto."]
[]
["Evaluación de la Gestión de Programas y Proyectos"]
["Categoría de Riesgo de ERM\n","Riesgo que se Aborda","Q.#","Preguntas",null,null,"Respuesta (Sí, No o N / A)","¿Importancia relativa de cada capacidad para este proyecto? 11 \n","Puntos de Evaluación de Riesgos","Puntuación de Riesgo Basada en la Respuesta","Observaciones / Comentarios"]
[]
["Política (5.2 Voluntad política)","Ausencia de Compromiso Político",1,"¿El liderazgo de la organización está dispuesto a implementar este proyecto?",null,null,"Yes","High",{"$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":4},0,"OTS ha expresado un alto nivel de compromiso con este proyecto. El Director Nacional se ha coordinado con entidades gubernamentales para brindar servicios de apoyo a la ejecución."]
["Político (5.3 Inestabilidad política; 5.4 Cambio / rotación de gobierno; 5.5 Conflicto armado e inestabilidad)","Contexto Programático Difícil",{"$f":"C16+1","v":2},"¿Existe un entorno propicio estable para que el Socio opere en términos de cambios políticos o disturbios sociales, conflictos en curso, infraestructura física deficiente, desastres naturales, crisis humanitarias?",null,null,"Yes","High",{"$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":4},0,"En general, las condiciones son estables, aunque COVID-19 puede imponer nuevos desafíos a la implementación del proyecto. Sin embargo, la formulación del proyecto fue exitosa incluso si implicó reuniones virtuales la mayor parte del período del PPG."]
["Estratégico (7.3 Capacidades de los socios)","Desalineación del enfoque programático; Experiencia inadecuada",{"$f":"C17+1","v":3},"¿Los productos del proyecto que propone este socio están alineados con su mandato, base de electores y experiencia? (Considere la escala del proyecto, la extensión geográfica, la complejidad de los resultados que se van a lograr).",null,null,"Yes","High",4,0,"La OET ha dado prioridad a un componente que se acerca a su mandato. En particular, la OET tiene una amplia experiencia en restauración forestal y lidera equipos multidisciplinarios para realizar el tipo de estudios que se incluirán en el ADT, todo parte de su experiencia. El proyecto tiene como objetivo generar procesos transboudary y OET cuenta con redes sólidas en Panamá."]
["Estratégico (7.3 Capacidades de los socios)","Informes Programáticos Inadecuados",4,"¿El socio proporciona a sus partes interesadas y beneficiarios un informe anual o periódico sobre el desempeño del programa y tienen la oportunidad de proporcionar comentarios sobre el desempeño del programa del IP, ya sea a través de reuniones públicas u otros mecanismos de reclamación?",null,null,"Yes","High",4,0,"La OET tiene más de 60 años de responsabilidad e intercambio de resultados con socios de proyectos y entidades gubernamentales, especialmente con el Ministerio de Medio Ambiente. La OET ha apoyado muchas políticas gubernamentales y ha trabajado directamente con los gobiernos municipales. Es un participante activo de muchos foros y redes de científicos de colaboración y de múltiples partes interesadas. La OET también ha promovido la capacitación en métodos participativos para temas de conservación y protección ambiental durante más de varias décadas en el país. Esto ha incluido la capacitación en toma de decisiones de políticas ambientales con muchas instituciones públicas, academia, poblaciones indígenas, sector privado, organizaciones de la sociedad civil y otros actores relevantes."]
["Estratégico (7.3 Capacidades de los socios)","Comunicaciones Deficientes",5,"¿El Socio ha establecido protocolos e infraestructura adecuada para comunicarse internamente (incluidas las suboficinas y los subreceptores) y con las partes interesadas externas (donantes, socios, otros implementadores, gobierno, etc.)?",null,null,"Yes","High",4,{"$f":"IF(G20=\"Select\",I20*0,IF(G20=\"Yes\",I20*0,IF(G20=\"No\",I20*1,IF(G20=\"N/A\",I20*0))))","v":0},"OTS operaba y tiene una oficina central en la Gran Área Metropolitana de San José y tres Estaciones Biológicas, una dentro de la región fronteriza de Panamá y Costa Rica."]
["Estratégico (7.3 Capacidades de los socios)","Ausencia de redes críticas",6,"Si el Socio depende de alguna organización (s) aguas arriba para su desempeño exitoso, ¿hay alguna evidencia de que esta relación de dependencia cesará o se verá afectada durante la duración de este proyecto? (Considere: (i) tipo de relación - red local o internacional, asociación, grupo afiliado, gobierno municipal o provincial que recurre al apoyo del gobierno central; y (ii) naturaleza de la dependencia - financiera, programática, administrativa)",null,null,"N/A","N/A",{"$f":"IF($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},"La OTS es una ONG local que forma parte de un consorcio global de universidades y cuenta con un presupuesto independiente para los proyectos ejecutados y no tiene riesgo de modificar su capacidad de operación en los países participantes en el futuro previsible."]
["Estratégico (7.3 Capacidades de los socios)","Ausencia / debilidades en redes críticas",7,"¿Ha evaluado el socio la capacidad de los socios intermedios en los que dependerá para el éxito del proyecto y, si se encontraron brechas de capacidad, ha desarrollado un plan adecuado para abordarlas (como el desarrollo de capacidades y / o un mayor monitoreo)?",null,null,"No","Substantial",{"$f":"IF($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":3},3,"Los socios incluyen entidades internacionales como la UICN y entidades gubernamentales (Ministerios de Medio Ambiente, Ministerios de Planificación y Finanzas), ONG locales, universidades que pueden realizar algunos de los análisis y estudios relacionados con la planificación espacial y la pesca. Todas estas entidades están sujetas a evaluaciones periódicas de desempeño por parte de los órganos internos y de las contralorías estatales."]
["Estratégico (7.3 Capacidades de los socios)","Ausencia de redes críticas",8,"¿El Socio participa en redes de conocimiento, órganos de coordinación y otros foros que son esenciales para la implementación exitosa de este proyecto?",null,null,"Yes","Substantial",3,0,"OTS se establece como un consorcio de universidades estadounidenses, costarricenses y sudafricanas. Pero estos no tienen relación directa con el proyecto."]
["Estratégico (7.3 Capacidades de los socios)","Capacidades técnicas inadecuadas",9,"¿Las habilidades y la experiencia de los profesionales técnicos del socio coinciden con las requeridas para el proyecto y estarán disponibles durante la duración del proyecto (particularmente si el proyecto se implementa en áreas geográficas remotas o desafiantes)?",null,null,"No","Low",1,1,"El objetivo principal del proyecto es orientar el ADT y un PAE para la cuenca binacional y cuenta con un fuerte tema local e internacional de expertos con una larga experiencia en el apoyo a la formulación de políticas a través de procesos participativos y basados ​​en la ciencia."]
["Estratégico (7.3 Capacidades de los socios)","Infraestructura Técnica Inadecuada",10,"¿Tiene el Socio la infraestructura técnica y administrativa necesaria (por ejemplo, oficinas, laboratorios, equipos, software, bases de datos técnicos, etc.) para apoyar la implementación del proyecto), incluso en áreas o regiones remotas si es necesario?",null,null,"Yes","Substantial",3,0,"OTS tiene operaciones en Costa Rica y Panamá y suficiente infraestructura financiera y técnica para apoyar la implementación del proyecto en cada país."]
["Estratégico (7.3 Capacidades de los socios)","Poca Capacidad de Absorción",11,"Si las capacidades existentes de gestión programática y financiera (personal, sistemas, etc.) no son adecuadas para cumplir con los requisitos adicionales del proyecto, ¿tiene el Socio la capacidad de fortalecer las capacidades dentro de un plazo razonable para que el proyecto no se retrase significativamente? (es decir, ¿puede contratar personal y / o implementar un sistema adecuado con prontitud?)",null,null,"N/A","N/A",0,0,"N/A"]
["Estratégico (7.3 Capacidades de los socios)","Limitaciones de Personal",12,"Si la organización tiene una escala salarial que se aplicaría al personal del proyecto, ¿esa escala inhibiría la contratación de los mejores candidatos?",null,null,"No","Low",1,1,"La escala salarial de OTS permite contratar a los mejores candidatos a nivel nacional e internacional."]
["Estratégico (7.5 Código de conducta y ética), Social y ambiental (1.1-1.12)","Violación de los principios de programación y los estándares éticos.",13,"¿Tiene el Socio una política interna y un programa de capacitación para el personal sobre la prevención y respuesta al acoso sexual (HS) y la explotación y abuso sexual (SEA)? ",null,null,"Yes","High",4,0,"La OTS tiene una política interna de tolerancia del ceo para SH y SEA y sobre igualdad de género."]
["Estratégico (7.5 Código de conducta y ética), Social y ambiental (1.1-1.12)","Violación de los principios de programación y los estándares éticos.",14,"¿El socio evalúa a su personal, y / o socios con los que se relaciona, en busca de participación previa o supuesta participación en SH o SEA?",null,null,"Yes","Substantial",3,0,"Sí OTS cuenta con políticas SH / SEA."]
["Estratégico (7.5 Código de conducta y ética), Social y ambiental (1.1-1.12)","Violación de los principios de programación y los estándares éticos.",15,"¿Tiene el socio un mecanismo para informar y monitorear la respuesta a las acusaciones de SH y SEA por y contra su personal? (Considere los mecanismos de denuncia disponibles, como correos electrónicos, líneas directas, números de teléfono, persona de contacto, etc.)",null,null,"Yes","Substantial",3,0,"Sí OTS cuenta con políticas SH / SEA."]
["Estratégico (7.5 Código de conducta y ética), Social y ambiental (1.1-1.12)","Violación de los principios de programación y los estándares éticos.",16,"¿Tiene el Socio la capacidad, interna o externa, para investigar denuncias de SH y SEA, y la capacidad de derivar a las víctimas a los servicios de asistencia a las víctimas apropiados (por ejemplo, médicos, legales o psicosociales)? (Considere la información sobre la capacidad disponible (como investigadores capacitados o el acceso a servicios de investigación externos) y los mecanismos (como los proveedores de asistencia a víctimas identificados) en una declaración escrita).",null,null,"Yes","Substantial",3,0,"Sí OTS cuenta con políticas SH / SEA."]
["Estratégico (7.3 Capacidades de los socios)","Seguridad y protección inadecuadas",17,"¿El socio cuenta con protocolos y salvaguardas para minimizar el riesgo de daño a las personas afiliadas al proyecto, el medio ambiente y los activos? (por ejemplo, explotación y abuso sexual, seguridad física y física, salvaguardias sociales y ambientales, etc.)",null,null,"Yes","Substantial",{"$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":3},0,"Sí OTS cuenta con políticas SH / SEA. Y políticas de gestión de riesgos y salvaguardas."]
["Estratégico (7.5 Código de conducta y ética), Social y ambiental (1.1-1.12)","Violación de los principios de programación y los estándares éticos.",18,"¿El Socio ha informado a los empleados, beneficiarios y otros destinatarios a quienes deben denunciar una conducta sexual inapropiada o dónde pueden denunciar fraude, despilfarro o uso indebido de los recursos o la propiedad de la agencia? Si es así, ¿tiene el IP una política contra las represalias relacionadas con dichos informes?",null,null,"Yes","Substantial",3,0,"Sí OTS cuenta con políticas SH / SEA. Y políticas de salvaguardas y gestión de riesgos, así como políticas de transparencia y rendición de cuentas."]
[null,null,null,null,null,"Puntaje de riesgo general para esta sección",null,null,null,{"$f":"SUM(J16:J33)","v":5}]
[null,null,null,null,null,"Evaluación general de riesgos para esta sección",{"$f":"IF(J34<=18,\"Low Risk\",IF(J34<=36,\"Moderate Risk\",IF(J34<=54,\"Substantial Risk\",IF(J34>54,\"High Risk\"))))","v":"Low Risk"}]
[]
["Conclusión sobre la Evaluación de la Gestión de Programas y Proyectos"]
["Evaluación General de Riesgos",null,null,null,null,null,null,{"$f":"G35","v":"Low Risk"}]
["Seleccionar las estrategias de mitigación de riesgos que se emplearán (es decir, acciones de desarrollo de capacidades y / o actividades mejoradas de monitoreo y aseguramiento)",null,null,null,null,null,null,"No actions considered necessary"]
["Describir las acciones de desarrollo de capacidades y / o las actividades mejoradas de monitoreo y aseguramiento que se incluirán en el Documento del Proyecto.",null,null,null,null,null,null,"PST"]
["Proporcionar el presupuesto estimado necesario para estas actividades (que se incluirá en el presupuesto del proyecto) ($ US)",null,null,null,null,null,null,0]
["Comments on Overall Programme & Project Management Assessment: (Optional)"]
["LMN"]
[]
["Volver al alcance de la evaluación de la capacidad"]

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[" ("]
["Regresar a la página de descripción general de PCAT",null,"Volver al alcance de la evaluación de la capacidad"]
["Propósito: Esta hoja de trabajo está diseñada para capturar los resultados de las Evaluaciones de capacidad completadas y las estrategias de mitigación resultantes para los niveles de riesgo identificados. Las estrategias de mitigación de riesgos pueden incluir el desarrollo de capacidades y / o actividades mejoradas de monitoreo y aseguramiento. Estas actividades deben incluirse en el Documento del Proyecto y el Presupuesto del Proyecto asociado. Cuando esté completo, adjunte esta hoja de trabajo al documento del proyecto."]
["Responsabilidad y tiempo: esta página de Conclusión de la evaluación de la capacidad se genera automáticamente en función de los resultados de las evaluaciones completadas en el PCAT. Debe ser revisado por el Desarrollador del Proyecto para verificar que esté completo y sea preciso y adjunto al Documento del Proyecto. Si es necesario realizar cambios en esta página de Conclusión, deben realizarse en la Hoja de trabajo de evaluación de capacidad correspondiente (es decir, Gestión de programa-proyecto, Evaluación de construcción, Evaluación de subvención, Debida diligencia de propuesta de PBPA, Debida diligencia del sector privado, etc.) para que las correcciones se capturarán en las evaluaciones relevantes y se mostrarán automáticamente aquí."]
[]
["Información de antecedentes (extraída de la hoja de trabajo 'Requisitos previos para socios')"]
["Región","Latin America & Caribbean",{"$f":"'Requisitos previos para socios'!C7","v":0}]
["Oficina ","Costa Rica",{"$f":"'Requisitos previos para socios'!C8","v":0}]
["Inicio de Programa ","2021-03-01"]
["Fin del Programa ","2026-03-01"]
["Nombre del Socio ","Organización de Estudi (OTS)"]
["Presupuesto del socio para este proyecto (USD)",4386210]
[]
["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)"]
[{"$f":"IF('Requisitos previos para socios'!F19=\"Yes - evidence found - manageable\",\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",\" \")","v":" "},{"$f":"IF(A16=\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",'Requisitos previos para socios'!F19,\" \")","v":" "},{"$f":"IF(A16=\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",'Requisitos previos para socios'!G20,\" \")","v":" "},{"$f":"IF(A16=\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",'Requisitos previos para socios'!E28,\" \")","v":" "},{"$f":"IF(A16=\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",'Requisitos previos para socios'!C28,\" \")","v":" "},{"$f":"IF(A16=\"Social & Environmental Standards and/or Code of Conduct/Ethics Standards\",'Requisitos previos para socios'!G28,\" \")","v":" "}]
[{"$f":"IF('Requisitos previos para socios'!F21=\"Yes - adverse publicity found - manageable\",\"Adverse publicity/Potential controversies\",\" \")","v":" "},{"$f":"IF(A17=\"Adverse publicity/Potential Controversies\",'Requisitos previos para socios'!F21,\" \")","v":" "},{"$f":"IF(A17=\"Adverse publicity/Potential Controversies\",'Requisitos previos para socios'!G22,\" \")","v":" "},{"$f":"IF(A17=\"Adverse publicity/Potential controversies\",'Requisitos previos para socios'!E28,\" \")","v":" "},{"$f":"IF(A17=\"Adverse publicity/Potential controversies\",'Requisitos previos para socios'!C28,\" \")","v":" "},{"$f":"IF(A17=\"Adverse publicity/Potential controversies\",'Requisitos previos para socios'!G28,\" \")","v":" "}]
[{"$f":"IF('Requisitos previos para socios'!F23=\"Yes - neutrality concerns found - manageable\",\"Neutrality concerns\",\" \")","v":" "},{"$f":"IF(A18=\"Neutrality concerns\",'Requisitos previos para socios'!F23,\" \")","v":" "},{"$f":"IF(A18=\"Neutrality concerns\",'Requisitos previos para socios'!G24,\" \")","v":" "},{"$f":"IF(A18=\"Neutrality concerns\",'Requisitos previos para socios'!E28,\" \")","v":" "},{"$f":"IF(A18=\"Neutrality concerns\",'Requisitos previos para socios'!C28,\" \")","v":" "},{"$f":"IF(A18=\"Neutrality concerns\",'Requisitos previos para socios'!G28,\" \")","v":" "}]
[{"$f":"IF('Requisitos previos para socios'!F25=\"Evidence of fraud and/or conflicts found - manageable\",\"Fraud and/or Conflict of Interest Concerns\",\" \")","v":" "},{"$f":"IF(A19=\"Fraud and/or Conflict of Interest Concerns\",'Requisitos previos para socios'!F25,\" \")","v":" "},{"$f":"IF(A19=\"Fraud and/or Conflict of Interest Concerns\",'Requisitos previos para socios'!G26,\" \")","v":" "},{"$f":"IF(A19=\"Fraud and/or Conflict of Interest Concerns\",'Requisitos previos para socios'!E28,\" \")","v":" "},{"$f":"IF(A19=\"Fraud and/or Conflict of Interest Concerns\",'Requisitos previos para socios'!C28,\" \")","v":" "},{"$f":"IF(A19=\"Fraud and/or Conflict of Interest Concerns\",'Requisitos previos para socios'!G28,\" \")","v":" "}]
[]
[]
["Conclusiones de la evaluación de la capacidad para este PI"]
["Generada automáticamente"]
["Componente de evaluación de la capacidad",null,"Evaluación general de riesgos para este Componente","Estrategias de mitigación de riesgos (es decir, acciones de desarrollo de capacidades y / o actividades mejoradas de monitoreo y aseguramiento)","Describir las acciones de desarrollo de capacidades y / o las actividades mejoradas de monitoreo y aseguramiento que se incluirán en el Documento del Proyecto.","Presupuesto estimado requerido para estas actividades (incluir en el presupuesto del proyecto) ($ US)","\nComentarios (opcional)"]
[{"$f":"IF('Alcance de Evaluación de Cap.'!C29=\"Programmatic Assessment\",\"Conclusion on Programmatic Assessment\",\" \")","v":" "},null,{"$f":"IF(A25=\" \",\" \",IF(A25=\"Conclusion on Programmatic Assessment\",'Programme-Project Mgt'!H38,\" \"))","v":" "},{"$f":"IF(A25=\" \",\" \",IF(A25=\"Conclusion on Programmatic Assessment\",'Programme-Project Mgt'!H39,\" \"))","v":" "},{"$f":"IF(A25=\" \",\" \",IF(A25=\"Conclusion on Programmatic Assessment\",'Programme-Project Mgt'!H40,\" \"))","v":" "},{"$f":"IF(A25=\" \",\" \",IF(A25=\"Conclusion on Programmatic Assessment\",'Programme-Project Mgt'!H41,\" \"))","v":" "},{"$f":"IF(A25=\" \",\" \",IF(A25=\"Conclusion on Programmatic Assessment\",'Programme-Project Mgt'!A43,\" \"))","v":" "}]
[{"$f":"IF('Alcance de Evaluación de Cap.'!C33=\"On-Granting Assessment\",\"Conclusion on On-Granting Assessment\",\" \")","v":" "},null,{"$f":"IF(A26=\" \",\" \",IF(A26=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G68,\" \"))","v":" "},{"$f":"IF(A26=\" \",\" \",IF(A26=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G69,\" \"))","v":" "},{"$f":"IF(A26=\" \",\" \",IF(A26=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G70,\" \"))","v":" "},{"$f":"IF(A26=\" \",\" \",IF(A26=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G71,\" \"))","v":" "},{"$f":"IF(A26=\" \",\" \",IF(A26=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!A73,\" \"))","v":" "}]
[{"$f":"IF('Alcance de Evaluación de Cap.'!C31=\"HACT Micro-Assessment\",\"Conclusion on HACT Micro-Assessment (manually enter here based on results of HACT Micro-Assessment completed by independent Third-Party Service Provider)\",\" \")","v":" "},null,"Riesgo bajo","Revisión de las evaluaciones de desempeño de los órganos internos y de las contralorías estatales de los socios para asegurar la capacidad adecuada para la implementación del proyecto.","Compartir la Orientación del PNUD sobre la capacidad para la ejecución de proyectos y la evaluación del desempeño de las capacidades internas.",0,"Estos servicios de creación de capacidad no se cargarán al presupuesto del proyecto y serán presupuestados por la Oficina de País del PNUD en CR."]
["Conclusión sobre la microevaluación HACT (ingrese aquí manualmente según los resultados de la microevaluación HACT completada por un proveedor de servicios externo independiente)",null,"Riesgo bajo","• OTS presenta una fortaleza importante en sus capacidades en cuanto a la gestión de programas, estructura y personal de la organización, en políticas y procedimientos contables, y en la presentación de informes financieros.reports and their monitoring. \n•\tThe partner shows strength in terms of the assignment of functions of request, reception, approval and payment of goods and services, however, it can improve by adquiring and electronic procurement system. \n•\tIn general, it is observed that the partner has an important capacity to collect resources and manage them. \n","Con el fin de reducir los riesgos relacionados con la gestión financiera, el PNUD Costa Rica ha acordado proporcionar desarrollo de capacidades y compartir manuales sobre registro, verificación y protección de activos fijos, así como con",0]
[null,null,null,null,"Total",{"$f":"SUM(F25:F27)","v":0}]
[]
["Comentarios sobre las evaluaciones de capacidad general para este IP: (Opcional)"]
[]
[]
[]
[]
["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('Alcance de Evaluación de Cap.'!C38=\"HACT Micro-Assessment\",'Alcance de Evaluación de Cap.'!C43=\"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":" "},null,"Low Risk","The IP doesn’t have an active internal audit function and didn’t conduct internal Audit\nin the last 3 years. ","establish (activate) an effective internal audit function to provide reasonable assurance in terms of meeting the IP's objectives and compliance with policies and procedures.\nThe internal audit department’s work programme should also include the activities financed by the agencies § hire qualified staff for internal audit department (at the\nbeginning of the year rather than the end) so as to be able to conduct interim audit and verify the current controls § perform internal audit on annual basis",10000,"N/A"]
[{"$f":"IF('Alcance de Evaluación de Cap.'!C40=\"Construction Assessment\",\"Conclusion on Construction Management Assessment\",\" \")","v":" "},null,"Low Risk","The IP has some weaknesses relating to\noverall financial statements preparation","We recommend the IP to:\n• regularly, at the beginning of the year and for more than one year, contract with an independent external auditor to conduct the annual statutory audit in accordance with\nInternational Accepted Standards (ISA) and obtain an independent opinion on the reliability and accuracy of the financial records, so as not to deprive the IP from interim\naudit and the value of early corrections.\n• prepare overall financial statements including the accounts related to the trust of Banco Nacional as being a fiduciary to a major project and the government in-kind contributions.",{"$f":"IF(A40=\" \",\" \",IF(A40=\"Conclusion on Construction Management Assessment\",'Construction Assess'!H36,\" \"))","v":" "},"N/A"]
[{"$f":"IF('Alcance de Evaluación de Cap.'!C41=\"On-Granting Assessment\",\"Conclusion on On-Granting Assessment\",\" \")","v":" "},null,{"$f":"IF(A41=\" \",\" \",IF(A41=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G68,\" \"))","v":" "},{"$f":"IF(A41=\" \",\" \",IF(A41=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G69,\" \"))","v":" "},{"$f":"IF(A41=\" \",\" \",IF(A41=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G70,\" \"))","v":" "},{"$f":"IF(A41=\" \",\" \",IF(A41=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!G71,\" \"))","v":" "},{"$f":"IF(A41=\" \",\" \",IF(A41=\"Conclusion on On-Granting Assessment\",'On-Granting Assess'!A73,\" \"))","v":" "}]
[{"$f":"IF('Alcance de Evaluación de Cap.'!C42=\"PBPA Proposal Due Diligence\",\"Conclusion on PBPA Proposal Due Diligence\",\" \")","v":" "},null,{"$f":"IF(A42=\" \",\" \",IF(A42=\"Conclusion on PBPA Proposal Due Diligence\",'PBPA Proposal Due Diligence'!F43,\" \"))","v":" "},"N/A","N/A",{"$f":"IF(A42=\" \",\" \",IF(A42=\"Conclusion on PBPA Proposal Due Diligence\",'PBPA Proposal Due Diligence'!G49,\" \"))","v":" "},"N/A"]
[{"$f":"IF('Alcance de Evaluación de Cap.'!C39=\"Private Sector Due Diligence\",\"Conclusion on Private Sector Due Diligence\",\" \")","v":" "},null,{"$f":"IF(A43=\" \",\" \",IF(A43=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H180,\" \"))","v":" "},{"$f":"IF(A43=\" \",\" \",IF(A43=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H181,\" \"))","v":" "},{"$f":"IF(A43=\" \",\" \",IF(A43=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H182,\" \"))","v":" "},{"$f":"IF(A43=\" \",\" \",IF(A43=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H183,\" \"))","v":" "},{"$f":"IF(A43=\" \",\" \",IF(A43=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!A185,\" \"))","v":" "}]
[null,null,null,null,"Total",{"$f":"SUM(F39:F43)","v":10000}]
[]
["Comments on Overall Capacity Assessments for this RP: (Optional)"]
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["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('Alcance de Evaluación de Cap.'!C48=\"Private Sector Due Diligence\",\"Conclusion on Private Sector Due Diligence\",\" \")","v":"Conclusion on Private Sector Due Diligence"},null,{"$f":"IF(A54=\" \",\" \",IF(A54=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H180,\" \"))","v":"Select"},{"$f":"IF(A54=\" \",\" \",IF(A54=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H181,\" \"))","v":"Select"},{"$f":"IF(A54=\" \",\" \",IF(A54=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H182,\" \"))","v":"Refer Risk Log & Monitoring Plan"},{"$f":"IF(A54=\" \",\" \",IF(A54=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!H183,\" \"))","v":5000},{"$f":"IF(A54=\" \",\" \",IF(A54=\"Conclusion on Private Sector Due Diligence\",'Private Sector Due Diligence'!A185,\" \"))","v":"LMN"}]
[null,null,null,null,"Total",{"$f":"SUM(F54:F54)","v":5000}]
[]
["Comments on Overall Capacity Assessments for this 'Other' Partner: (Optional)"]

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["Herramienta de Evaluación de la Capacidad de los Socios: Recursos Adicionales\n\t\t\t\t\t"]
["Regresar a la página de descripción general del PCAT"]
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["Regresar a la página de descripción general del PCAT"]
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["Microevaluaciones HACT"]
["Para obtener una guía completa de POPP sobre HACT, consulte este enlace:",null,null,null,null,null,"Orientación POPP sobre HACT","Panel de rendimiento de HACT"]
["Nota: El cuestionario de microevaluación HACT aprobado por el GNUD debe utilizarse para todas las microevaluaciones HACT:",null,null,null,null,null,"Cuestionario de microevaluación aprobado por el GNUD (versión de junio de 2016)"]
[]
["       Puntos POPP para recordar"]
["Propósito: El propósito de la microevaluación es evaluar la capacidad de gestión financiera del IP (es decir, contabilidad, adquisiciones, informes, controles internos, etc.) para determinar la calificación de riesgo general y las actividades de garantía. La calificación de riesgo, junto con otra información disponible, también se tiene en cuenta al seleccionar la modalidad de transferencia de efectivo adecuada para un IP, según el modelo comercial de cada agencia. Esta evaluación se aplica tanto a los PI gubernamentales como a los no gubernamentales. La microevaluación da como resultado una evaluación de riesgo general, que es un insumo clave para determinar la calificación de riesgo ajustada para el PI y guía los tipos y la frecuencia de las actividades de aseguramiento a realizar."]
["Aplicabilidad: El marco HACT es aplicable en todos los países y en todas las situaciones, incluidos los países de emergencia, crisis y posconflicto. Los procedimientos prescritos se aplican a todas las oficinas del PNUD (sede, oficinas regionales y oficinas en los países) que transfieren efectivo a los asociados en la ejecución en cada país y contexto operativo."]
["Realización por un proveedor de servicios externo: la microevaluación la realiza un proveedor de servicios externo e incluye una visita al sitio de la IP. La evaluación consiste principalmente en entrevistas con el personal de PI y una revisión de la documentación relevante suficiente para completar el cuestionario de microevaluación."]
["Uso del marco HACT para las actividades de desarrollo de la capacidad de PI: HACT es un enfoque basado en el riesgo, y el Marco identifica el desarrollo de la capacidad del PI, con la asistencia del PNUD y otros socios para el desarrollo, como núcleo para gestionar el riesgo. La identificación y la planificación para abordar las deficiencias de capacidad de PI (ya sea mediante la asistencia directa del equipo en el país o mediante otros socios para el desarrollo) es un elemento importante del Marco. Las oficinas en los países deben utilizar los resultados de la evaluación HACT para ayudar a centrar las futuras actividades de desarrollo de capacidades en áreas de desarrollo temáticas y de mandato clave, y en el desarrollo de la capacidad de gestión financiera necesaria para cualquier PI. Sin embargo, las actividades de desarrollo de capacidades no niegan los resultados de la microevaluación para determinar la Modalidad de Transferencia de Efectivo (CTM)."]
["Calificaciones de riesgo generales: el cuestionario de microevaluación proporciona una calificación de riesgo general basada en las respuestas proporcionadas:\n- Riesgo bajo: indica un sistema de gestión financiera bien desarrollado y un marco de control en funcionamiento con una probabilidad baja de impacto negativo en la capacidad del IP para ejecutar el programa de acuerdo con el plan de trabajo.\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."]
["Regresar a la página de descripción general del PCAT"]
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["Actividades de subvención"]
["Para obtener una guía completa de POPP sobre las actividades de subvención, consulte este enlace:",null,null,null,"Beneficiarios de POPP (incluye On-Granting)",null,null,"consulte también la 'Guía operativa de subvenciones de bajo valor'"]
["Regresar a la página de descripción general del PCAT"]
["      Puntos POPP para Recordar"]
["Aplicabilidad: La Evaluación sobre la subvención debe utilizarse para subvenciones de bajo valor que se otorgan indirectamente a través de la `` subvención '', un acuerdo en el que el PNUD proporciona fondos a una institución que otorga subvenciones que actúa como socio en la implementación (bajo implementación nacional) o responsable parte (en ejecución directa o servicios de apoyo directo de la oficina en el país). Luego, la institución otorga subvenciones a los destinatarios siguiendo ciertas pautas específicas y la debida diligencia. El \"receptor de la subvención\" en ambos casos se define como una entidad que es el beneficiario final de la subvención. En el caso de la \"subvención\", el PNUD y la institución que otorga la subvención deben firmar un acuerdo que defina los términos y condiciones bajo los cuales el PNUD proporcionará fondos a la institución que otorga la subvención para que lleve a cabo la función de otorgar la subvención. Dicho acuerdo define al asociado en la implementación / parte responsable como una entidad que el PNUD considera que posee suficientes habilidades financieras y de gestión de subvenciones para asumir la responsabilidad de otorgar fondos a los Receptores de la Subvención. El PNUD es responsable de evaluar a la institución que otorga las subvenciones para asegurarse de que tenga las capacidades y los sistemas programáticos, financieros y de gestión para desempeñar eficazmente sus funciones. Esto se logra mediante la finalización de las evaluaciones programáticas y financieras estándar aplicadas a los asociados en la ejecución del PNUD, incluido el HACT, Y la finalización de la evaluación sobre la concesión."]
["Principios clave: El PNUD define las subvenciones de bajo valor como premios en efectivo, seleccionados mediante decisiones programáticas, a la sociedad civil y socios no gubernamentales para generar y solicitar soluciones de desarrollo para las que normalmente no se requiere reembolso. Si el PNUD proporciona fondos a una institución que otorga subvenciones que actúa como asociado en la ejecución (en el marco de la implementación nacional) o como parte responsable (en la implementación directa o los servicios de apoyo directo de la oficina en el país al NIM), esto se denomina \"en la concesión\". Luego, la institución otorga las subvenciones a los beneficiarios siguiendo ciertas pautas específicas y la debida diligencia, incluida la calificación para desempeñar esa función después de una evaluación de su capacidad para otorgar subvenciones por parte del PNUD. La evaluación de la capacidad de concesión de donaciones se basa en los siguientes 8 buenos principios de concesión de donaciones:\n1. Los resultados están claramente definidos\n2. La estructura del programa se adapta a sus circunstancias, grupos destinatarios y propósito\n3. La gobernanza es clara y sólida\n4. Los riesgos se identifican y gestionan\n5. La toma de decisiones es transparente y se basa en criterios\n6. La información está disponible y es accesible\n7. Se supervisa y se informa sobre el desempeño financiero y de la subvención; y\n8. Se hace una contribución a la base de conocimientos de la comunidad en general."]
["Umbrales clave para recordar: Los fondos proporcionados a cada beneficiario de la subvención no pueden exceder los $ 150 000 por subvención y los $ 300 000 en forma acumulativa dentro del mismo período del programa. Para recibir múltiples subvenciones, el beneficiario de la subvención debe haber producido los resultados acordados en el acuerdo de subvención anterior, y la junta del proyecto o el comité de selección debe aprobar un nuevo acuerdo de subvención. La misma entidad podría recibir subvenciones separadas en el marco de diferentes proyectos con un límite máximo acumulativo de 300.000 dólares en el período del programa. La unidad operativa del PNUD es responsable de revisar las subvenciones propuestas en el marco de los proyectos del PNUD y confirmar que la cantidad está por debajo de los montos mínimos de subvención permitidos por período del programa. Si una parte responsable supervisa la ejecución del proyecto de subvención en nombre del asociado en la ejecución seleccionado originalmente por el PNUD en el marco de la subvención, la financiación proporcionada por ella a cualquier receptor de subvención individual no excederá los $ 60.000 por subvención individual y los $ 120.000 en forma acumulativa dentro de la misma. período del programa."]
["No exclusividad: La concesión de ayudas no es exclusiva. Varias entidades pueden recibir subvenciones separadas para el mismo desafío de desarrollo, o un consorcio puede recibir una sola subvención para fomentar la colaboración. Además, los LVG se pueden utilizar en paralelo con otros tipos de compromiso; por ejemplo, la misma ONG puede simultáneamente ser receptora de una subvención para desarrollar un nuevo esquema local de generación de ingresos y celebrar un contrato de adquisición para proporcionar servicios logísticos para un taller (siempre que no haya conflicto de intereses; consulte la sección siguiente sobre la diferencia entre subvenciones y adquisiciones). ). Todos los recursos proporcionados a la entidad por el PNUD durante el período del programa se tienen en cuenta al evaluar qué evaluaciones de capacidad, si las hay, deberían realizarse. Por ejemplo, si el valor de un contrato de adquisición de LVG más o el acuerdo de la parte responsable supera los $ 300,000 en total durante el período del programa, se debe realizar la evaluación de capacidad correspondiente para ese socio."]
["Elegibilidad: Las subvenciones se pueden otorgar a la sociedad civil y a organizaciones no gubernamentales (nacionales o internacionales), incluidas instituciones académicas o educativas no gubernamentales. Actualmente, las entidades comerciales y del sector privado y las organizaciones gubernamentales (por ejemplo, gobiernos regionales, municipios, etc.) no son elegibles para recibir LVG. En circunstancias excepcionales, un individuo puede ser un beneficiario cuando la legislación impide que los grupos excluidos y marginados (por ejemplo, personas LGBTQ, trabajadores sexuales, personas afectadas por ciertas enfermedades, etc.) se organicen y obtengan un estatus legal. El entendimiento sería que la persona que firma el acuerdo de subvención representa al grupo al que se le ha impedido alcanzar un estatus legal. Si el personal directivo superior de la oficina en el país ha determinado que la participación es fundamental para la obtención de resultados y redunda en el interés superior del PNUD, el jefe de la Unidad de Actividades puede autorizar el uso de la modalidad de CI con uno o más de los directores. El valor de cada contrato individual se limitará al umbral establecido para microcompra (USD 10,000). Las subvenciones no deben otorgarse a ninguna organización o individuo que aparezca en listas de entidades prohibidas, como la Lista de sanciones de la ONU, la Lista de sanciones de proveedores del PNUD u otras listas prohibidas (como la Lista de prohibiciones del Banco Mundial)."]
["La subvención no sustituye a las adquisiciones: una subvención no puede utilizarse en lugar de un proceso de adquisición para proporcionar bienes y servicios comerciales a un proyecto, ya que las subvenciones están destinadas a generar o solicitar soluciones de desarrollo. Por lo tanto, incluso en el caso de una entidad no gubernamental de importancia estratégica, si su función se limita a la provisión de bienes y servicios, entonces es necesario un proceso de adquisición."]
["Autorización técnica para subvenciones de microfinanciación: las subvenciones de bajo valor pueden otorgarse para actividades crediticias y la organización receptora puede utilizarlas para cubrir los costos de sus operaciones, comprar equipo, contratar personal nuevo o capitalizar fondos de crédito dentro de los límites financieros establecidos. a continuación. En todas las solicitudes relacionadas con el crédito o la microfinanciación, se requiere la autorización técnica del FNUDC. Las políticas para programas de microfinanciamiento, crédito y / o préstamos administrados por el PNUD y / o el FNUDC están cubiertas por la Política de microfinanciamiento del PNUD / FNUDC."]
["Regresar a la página de descripción general del PCAT"]
[]
["Acuerdos de pago Basados ​​en el Desempeño"]
["For full POPP guidance on Performance-Based Payment Arrangements, refer to this link:",null,null,null,null,null,"Acuerdos de Pago Basados ​​en el Desempeño"]
["Regresar a la página de descripción general del PCAT"]
["       Puntos POPP para Recordar"]
["Uso programático: Las circunstancias que pueden justificar el uso de pagos basados ​​en el desempeño incluyen, entre otras: (a) el deseo de un donante de utilizar este enfoque para asegurar que se logren los resultados y mitigar el riesgo financiero; (b) situaciones de desarrollo particularmente volátiles que no pueden abordarse de manera efectiva mediante acuerdos estándar; (c) sectores específicos donde los pagos basados ​​en el desempeño son una práctica establecida, como el uso de esquemas de pago basados ​​en resultados por parte de los países para reducir la deforestación, como se apoya en varias decisiones de la Convención Marco de las Naciones Unidas sobre el Cambio Climático; (d) existen capacidades y arreglos de implementación que pueden aprovecharse; y (e) los enfoques de desarrollo y las mejores prácticas para abordar el desafío del desarrollo están fácilmente disponibles."]
["Tipos de proyectos: Los pagos basados ​​en el desempeño se pueden utilizar en un proyecto implementado por el PNUD, donde se selecciona una parte responsable para que asuma la responsabilidad programática y financiera de la entrega de resultados específicos. También se pueden utilizar en un proyecto implementado a nivel nacional, donde el PNUD brinda servicios de apoyo directo de la oficina en el país al socio implementador, y esos servicios incluyen la participación de un socio responsable mediante un arreglo de pago basado en el desempeño."]
["Tipos de PBPA: Hay tres tipos de PBPA, que varían según la cantidad de financiamiento y el uso de reembolsos de capital de trabajo. Tienen diferentes condiciones que se resumen en el enlace que se muestra.",null,null,null,null,null,null,"Resumen de Tipos y Condiciones de PBPA"]
["Umbrales clave para recordar: Para PBPA superiores a US $ 300 000, el logro de resultados específicos previamente acordados (productos y / o actividades) debe ser validado a través de medidas de desempeño y calidad certificada por un evaluador independiente. Dado el costo asociado con la contratación de un asesor independiente, se recomienda utilizar PBPA de al menos US $ 1.000.000 o más por año. La junta del proyecto puede verificar resultados para PBPA de US $ 300,000 o menos."]
["Elegibilidad: La selección de una parte responsable de un PBPA es una decisión programática. Los RP pueden incluir entidades gubernamentales, ONG / organizaciones comunitarias, instituciones académicas, el sector privado y organizaciones intergubernamentales ajenas a las Naciones Unidas. Los PBPA no deben otorgarse a ninguna organización o individuo que aparezca en listas de entidades prohibidas, como la Lista de sanciones de la ONU, la Lista de sanciones de proveedores del PNUD o la Lista de inelegibilidad del Mercado global de la ONU."]
["Regresar a la página de descripción general del PCAT"]

{"sheet":"Hoja1","index":13,"n_rows":0,"n_cols":0,"rows_kept":0,"cut":false,"hidden":false,"merged":[]}

{"sheet":"RP Response Combos","index":14,"n_rows":13,"n_cols":31,"rows_kept":13,"cut":false,"hidden":true,"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":15,"n_rows":193,"n_cols":11,"rows_kept":193,"cut":false,"hidden":true,"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"]