FIFTH FUNDING ROUND
PROJECT DOCUMENT GUIDELINES
CSO-Implemented Projects without Executing Agency (CSOPs)
These guidelines have been developed to assist civil society organizations whose proposals have been
“approved in principle” by the United Nations Democracy Fund (UNDEF) in preparing a detailed
project document.
Only upon the successful negotiation of a project document will a grant be awarded to an applicant.
IMPORTANT:
 The project document should be completed and sent to UNDEF within six weeks of notification
of the “approval in principle”. Failure of the applicant to comply with this deadline may result
in UNDEF not proceeding with the project.
 The project document should not exceed ten pages in length (excluding annexes), should follow
strictly the structure (sections 1 to 10), format and font (Times New Roman 11) used in these
guidelines and the templates provided.
 The project document and all reports and correspondence must be in English or French, the
official working languages of the UN Secretariat.
 Please read these guidelines carefully and be as concise and precise as possible. Ensure that
the information provided in the various project document sections is consistent. A solid draft
project document leads to the smooth negotiation of the project and rapid release of funds.
For the purposes of this document a number of technical terms will apply. A glossary can be found
in Appendix of these guidelines.
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CONTENTS
1. Cover Page
3
2. Executive Summary
3
3. Situation Analysis, Project Strategy and Sustainability
3
a. Situation Analysis
3
b. Project Strategy
3
c. Baseline Data
3
d. Sustainability
4
4. Gender and Marginalized or Vulnerable Groups
4
5. Results Framework: Activities, Outputs and Outcomes
4
6. Budget
6
7. Management Arrangements, Milestones and Disbursement Schedule
6
a. Management Arrangements
6
b. Milestones and Disbursement Schedule
7
8. Monitoring, Reporting and Evaluation
8
a. Monitoring
8
b. Narrative and Financial Reporting
9
c. Evaluation
9
9. Partnership and Donor Information
9
a. Funding Sponsors
9
b. Implementing Partners and Contributions
10
10. Legal Commitments
10
11. Checklist
10
ANNEXES
ANNEX I- PROJECT DOCUMENT COVER PAGE
11
ANNEX II- RESULTS FRAMEWORK (template and sample)
12
ANNEX III- PROJECT BUDGET in US dollars (template and sample)
16
ANNEX IV- CONTACT INFORMATION
17
ANNEX V- LEGAL COMMITMENTS FOR CSOPs
18
ANNEX VI- COMFORT LETTER (sample)
19
APPENDIX: PROJECT DOCUMENT GLOSSARY
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1. COVER PAGE
(max length: one page)
Please use the Cover Page format provided in Annex I. Complete all sections. Kindly note the project
summary should be a brief paragraph of about 5 lines containing the project’s main objective(s). The
cover page should be signed by the authorized person in the Implementing Agency but left undated.
A default project duration is 24 months. The project may be completed earlier than this default duration
2. EXECUTIVE SUMMARY
(max length: one-half page)
Please provide a clear and concise (3 paragraphs) Executive Summary of the project which can be used
in UNDEF publications and presentations. The Executive Summary should give a general overview of the
project and in particular should indicate the following:
- the problem(s) the project is attempting to address;
- the project objective(s), i.e. the aim of the project;
- the project strategy;
- the project partners and co-funders, where applicable.
3. SITUATION ANALYSIS, STRATEGY, BASELINE DATA AND SUSTAINABILITY
(max length: three pages)
a) Situation Analysis
This section should describe:
- the overall democratic context (including the institutional and legal framework, as applicable);
- the specific problem(s) the project is attempting to address (background facts, and statistics can be
included);
- the intended project beneficiaries;
- why this problem is particularly important and deserving of UNDEF support.
b) Project Strategy
This section should clearly describe what the project intends to do and how it intends to do it,
including:
- the project strategy designed to achieve the project objective(s).
- a clear presentation of the different steps involved in the proposed strategy, and an explanation of
how these steps will directly tackle the problem(s);
- a description of the key activities to be undertaken;
- the underlying assumptions necessary for the project outcomes to be reached;
- the risk factors that may cause the project to fail or fall short of its objectives, as well as measures
that will be undertaken to address or mitigate these factors.
c) Baseline Data
The Implementing Agency is responsible for collecting baseline data. They are collected prior to the
commencement of the project to serve as the starting point for measuring performance. They provide a
measurable way of looking at the specific situation in place at the project’s inception and are used during
the end evaluation.
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Baseline data must relate to project activities; for some projects this may require national statistical data,
for other projects it may require local data. Data may be in the form of statistics or, where these are not
readily available or not appropriate, in the form of an assessment of the specific situation the project is
dealing with.
In this section:
 Present the baseline data gathered for this project consistent with what is indicated in the
Results Framework (Annex II).
 If baseline data are not currently available, please indicate the type of data and how they will be
collected.
Additionally, in the Results Framework (Annex II), please indicate the baseline data available for each
intended outcome and output. If not available, provide a short description of the situation.
For example:
1) A project whose objective is to increase the participation of indigenous populations in elections
may show as baseline data that only 10% of the indigenous population in town X is registered to
vote. The project will enable indigenous voter registration and then at the end see if the increase in
voter registration has led to an increase in indigenous voter participation in elections.
2) A project whose objective is to empower women to take part in local politics may show as
baseline data how many women are involved in politics at the community level. After the project
has taken place, we need to see whether that figure has increased.
d) Sustainability
This section should:
 describe how the project outcomes will be sustained beyond the UNDEF funding period;
 describe the activities and/or steps planned for ensuring the sustainability of the project
and/or its results in the long-term;
 explain the impact that the project is expected to attain.
4. GENDER AND MARGINALIZED OR VULNERABLE GROUPS
(max length: one-half page)
Please explain in concrete terms how the project will address the concerns of women and/or other
marginalized/vulnerable groups and how it will directly or indirectly benefit them.
5. RESULTS FRAMEWORK: ACTIVITIES, OUTPUTS AND OUTCOMES
The Results Framework aims to provide a detailed, logical, chronological and organized picture of the
project design. It is the detailed roadmap of the project implementation.
The results framework approach uses specific concepts. To assist in the preparation of this document
please refer to the glossary in Appendix I and ensure that the project strategy is explained as follows:
Activities
→
Outputs
→
Outcomes
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Impact/Objectives
4
The required Results Framework template is provided in Annex II. We have provided some generic
examples in order to illustrate the type of information that is required. Please fill in this template with the
relevant information as pertains to your project:
Project Objective: A short statement of the long-term overall desired achievement of the project
Outcomes: Include 2-4 outcome statements that describe the intended changes in conditions/capacity that
the project is seeking to support. The outcomes should be Specific, Measurable, Achievable, Relevant and
Time-bound (SMART). For example, ‘Electoral administrative policies and systems reformed to ensure
freer and fairer elections’.
Indicators: Each outcome should have at least one SMART indicator that provides a way of measuring
progress towards the outcome. For example, ‘Percentage of electoral centers using multiple forms of voter
identification measures’.
Baseline: Brief baseline data should be provided for each indicator. For example, ‘In 2009, 15% of
electoral centers used multiple forms of voter registration and civil society observers, according to the
Electoral Agency database’. Baseline data can be quantitative (number, percentage, ratio etc.) or
qualitative (a short description of the situation). If baseline data are not currently available, please indicate
the type of data and how they will be collected. Baseline data are essential in order to establish a
foundation for measuring progress towards outcomes. Without baseline data, the achievements of the
project will be very hard to measure.
Target: Each indicator should have a target level of change, in keeping with the expected timeframe of
the project cycle (2 years). For example, ‘2014: 70% or more of electoral centers use multiple forms of
voter registration and civil society observers’.
Outputs: Specify the outputs that are planned to help achieve each outcome. For example, if the
outcome relates to electoral reform, some outputs planned might be ‘advocacy campaign on need for
electoral reform developed and implemented’, ‘training program on use of new electoral management
technology designed and implemented for staff of Electoral Agency’ etc.
Key Activities: List the main activities needed to produce each output. The activities should be presented
in sufficient detail to provide a clear blueprint of the project’s actions during the project cycle.
Milestone: Two milestones, one in year 1 and one in year 2, will need to be selected. (See section 7 for
more details on milestones).
Timeframe: Indicate when each activity is planned to take place to the nearest quarter in a 24-month
timeframe.
Responsible Party: Specify who will carry out the activity (Implementing Agency and/or Implementing
Partners)
Budget: Specify the costs needed to produce each output, rounded to the nearest US$1,000. These costs
should add up to the Total Project Cost. The Total Project Cost, UNDEF M&E, and Total UNDEF Grant
should match the amounts in the Excel project budget (Annex III). The UNDEF M&E amount will be
retained by UNDEF.


The information contained in the Results Framework should correspond to the narrative
description of the project in section 3. Any discrepancy or inconsistency between the
narrative and the Results Framework will delay the project negotiation.
The budget figures should be consistent with the Excel project budget provided in Annex
III. The Results Framework will assist both UNDEF and the grantee to determine the funding
required to reach the various milestones.
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6. BUDGET
The Implementing Agency is required to present the project budget in two ways:
1) Budget per output in the Results Framework using the Word template (Annex II)
Please also refer to section 5 of this document for additional information.
2) Project budget using the Excel template (Annex III) available online
Please prepare a project budget using the Excel budget template, available on the UNDEF
website (http://www.un.org/democracyfund/Grantees/grantees_R5.html). The budget must be
sent electronically to UNDEF as a separate Excel file along with the project document.
Please note that the total UNDEF grant amount is broken down as follows:
Total UNDEF Grant = Total Project Cost + M&E (retained by UNDEF)
M&E = 10% of Total UNDEF Grant (capped at 25,000 USD)
All amounts should be in US Dollars and should not exceed the grant award amount. Fluctuations in
exchange rates (either up or down) will not result in a modification of the total grant amount.
UNDEF funds projects, not CSOs, and expects the bulk of the grant to be used for project delivery.
As far as budget allocations are concerned, UNDEF anticipates that salaries would be a very modest
component in relation to the other budget items. Other support costs such as rent for office space should
also be a very modest component of the budget.
Kindly note that audit costs are part of the ‘Miscellaneous’ expenditure category and must cover the
preparation of Financial Utilization Reports (FURs) after the completion of milestones 2 and 3 as well
as the final audit (three times). Finally, UNDEF does not normally approve the purchase of motor
vehicles.
***Budgets that are incomplete, inconsistent or not in the right format will not be
accepted and will delay final approval of the project document***
7. MANAGEMENT ARRANGEMENTS, MILESTONES AND DISBURSEMENT SCHEDULE
(max length: one page)
a) Management Arrangements
This section should describe in detail the project management arrangements and responsibilities of the
Implementing Agency and all other project partners. Please indicate the names of project management
personnel if known and relevant responsibilities.
Please note that the Implementing Agency will be responsible for contracts with any implementing
partner(s) or individuals involved in the project. Disbursement of tranches will be made on a

Please refer to section 8 of these guidelines for additional information on the M&E component
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predetermined schedule based on the completion of project milestones (see below) and utilization rate of
the previous tranche.
The Implementing Agency will be responsible for managing any financial disbursements to the
implementing partner(s) or individuals as per implementation arrangements or payment schedules
concluded between them. UNDEF does not consider that it has any formal relationship with project
partners. All such payment arrangements need to be noted in the project document at the outset of the
project. The Implementing Agency will also be responsible for obtaining the signature of each subgrantee on the Legal Commitments (Annex V).
b) Milestones and Disbursement Schedule – Read carefully
You will receive the grant in tranches, linked to project milestones and spending. A milestone is a
significant and observable activity such as the holding of a training course, the drafting of a publication or
manual, or the launching of a specific process or product. It should be formulated as distinct from your
normally scheduled project activities, and will be monitored by an independent entity appointed by
UNDEF. Most projects will have four milestones: the first one is the signing of the finalized project
document, and the last one is the submission of the final reports. The other two must be defined and
articulated by you in the project document.
The first tranche will be disbursed once the project document has been signed. It will be sufficient to
cover start-up costs.
Release of each subsequent tranche will be contingent upon:
- The successful completion of a project milestone;
- The successful monitoring of the above milestone by an UNDEF-designated monitor;
- The submission of an audited Financial Utilization Report reflecting the amount spent to date.
Please note that a significant amount (at least 70%) of your tranche must be spent before the next
tranche is disbursed.
In line with the project strategy, please develop in the project document a milestone disbursement
schedule using the table below and the following instructions:
- Milestone 1 always consists in the project document’s signature;
- Milestone 4 is the submission of the final narrative and financial reports;
- Identify two additional milestones (milestones 2 and 3) that are observable key activities taking
place during the project’s implementation. Ensure that these milestones are sufficiently spaced
apart during the project implementation period (ideally one per year of implementation);
- Note the month in which each milestone is planned and the corresponding tranche amount.
UNDEF prefers that each tranche amount be reasonably balanced (e.g. about 30% each) unless
there is a good reason to vary this. Kindly round figures to the nearest US$1,000;
- Ensure that the milestones chosen below are in accordance with the Results Framework (Annex
II).
It is the grantee’s responsibility to choose carefully the milestones’ dates and tranche amounts and to
ensure that an appropriate amount of money is available to carry out the planned activities between two
milestones.
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Any change in the project schedule which would affect the disbursement schedule has to be notified
to UNDEF as soon as possible and before the next milestone is planned in order to discuss
alternatives.
For example:
Milestone
Amount
Date
1) Project signature
about 30% of the grant in US$
Month 1
2) E.g., “Completion of workshop 2”
about 30% of the grant in US$
Month 9
3) E.g., “Finalization of “How to”
booklet and DVD”
about 30% of the grant in US$
Month 19
4) Final Report (including certified
financial statements)
10% of the grant in US$ (retained by
UNDEF for monitoring & evaluation)
Month 25
Once the Project Document is approved by UNDEF, the grantee will be required to provide bank details
in order to enable the disbursement of the grant. The bank account must be in the name of the
Implementing Agency. It is the grantee's responsibility to inform UNDEF promptly of any changes
to the bank details. Failure to do so might cause significant delays in disbursement.
8. MONITORING, REPORTING AND EVALUATION
(max length: one page)
a) Monitoring
Project monitoring is done in two ways:
1) The Implementing Agency must monitor its own activities. Please indicate how this will be
accomplished and who in the Agency will act as the focal point.
2) UNDEF will appoint a representative to monitor project milestones 2 and 3. This person or
entity will bear no responsibility for any aspect of the project. For this purpose the Implementing
Agency is requested to submit the information on the milestone (e.g. date, venue, agenda) 2
months in advance so that UNDEF can arrange the monitoring visit. To that effect, there is a
statement in the legal commitments (Annex V) attesting that the Implementing Agency will assist
and cooperate with the UNDEF-appointed monitor. As mentioned in Section 6, once the
milestone has been verified/observed, and the requisite certified financial statement (showing that
a significant amount of the previous tranche has been spent) has been submitted, the next tranche
of funding can be released as per the disbursement schedule.

For additional information on UNDEF monitoring and reporting requirements, please also read UNDEF’s 5th Round Monitoring and Reporting
Guidelines available on UNDEF’s website.
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b) Narrative and Financial Reporting
Implementing Agencies are responsible for submitting a number of reports to UNDEF.
Please indicate the point of contact responsible for submitting the Mid-Term Progress Report,
Final Narrative Report and certified financial reports. Financial audits must be conducted by an
external and independent entity, such as a chartered accountant or a financial consultancy firm.
Three financial reports, certified by an independent auditor, will have to be submitted to UNDEF during
the project implementation period: after milestone 2, after milestone 3, and finally at the end of the
project. Costs for such auditing and certification should be included in the project budget (under
“Miscellaneous”). Please provide the name of the external, independent entity responsible for
financial auditing and certification of reports. This auditor is required to sign the comfort letter
(see below).
The reports must be in either English or French, the two official working languages of the United
Nations Secretariat
When sending the project document, the Implementing Agency must also provide:
- Annual reports, including operating budgets and audited financial statements for the last two (2)
years;
- A letter from the external auditor stating that the Agency has the requisite financial systems, internal
controls and capability to manage project funds. The text of the required “comfort letter” is attached
in Annex VI.
c) Evaluation
UNDEF will inform grantees if a project evaluation is to be conducted. Where evaluations are required
for CSOP projects, UNDEF will either directly commission a project evaluation or will request the
Implementing Agency to organize an independent evaluation using the funds retained by UNDEF for this
purpose.
The grantee is responsible for taking all necessary measures to facilitate the evaluation of the project as
required by UNDEF or its designated third party.
10% of the total grant amount (up to a maximum of US$ 25,000) will be retained by UNDEF to pay
for the representatives appointed to monitor milestones and to evaluate the project.
In this section, provide any relevant additional information about the project evaluation strategy.
9. PARTNERSHIP AND DONOR INFORMATION
(max length: one page)
a) Funding Sponsors
Please provide:
1. Details of other funding sponsors in relation to this project, if applicable. Include:
 Sponsor’s name and funds contributed;
 Whether the funds are parallel, matching, or follow-on;
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
The activities to be funded by the other funding sponsors
2. Also mention any funding that is being sought but not yet secured at the time of the project
document negotiation.
b) Implementing Partners and Contributions
Please provide details on the current Implementing Partners and their respective roles in the project
implementation. The intention to identify and work with additional Implementing Partners after the
project document negotiation has been completed should also be indicated. Details of these additional
Implementing Partners should be communicated to UNDEF at a later date.
In-kind contributions to the project by the Implementing Agency or Implementing Partners should also be
indicated in this section.
Finally, in Annex IV, provide contact information for the Implementing Agency, Implementing Partners,
and all funding sponsors.
10. LEGAL COMMITMENTS
(max length: one page)
All project documents must contain the set of legal commitments outlined in Annex V as a final
attachment. These commitments cannot be modified.
11. CHECKLIST
Once you have finalized your project document, please ensure the following:












Did you follow the correct guidelines, i.e. CSOP Project Document Guidelines?
Did you ensure that you have included all the required information in line with these guidelines?
Did you identify and include clear milestones and tranche amounts?
Do the tranche amounts add-up to the total grant amount?
Did you include the correct cover page? (Annex I)
Did you include the Results Framework? (Annex II)
Did you include the budget in two different ways?
1. in the Results Framework? (Annex II)
2. as a separate Excel file? (Annex III)
Do the budgets add up to the UNDEF grant amount and are they consistent with each other?
Did you provide the Contact Information? (Annex IV)
Did you include the Legal Commitments? (Annex V)
Did you include the Comfort Letter? (Annex VI)
Did you include your organization’s Annual Reports including audited financial statements for
the last two years?
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ANNEX I
PROJECT DOCUMENT COVER PAGE
UNDEF Project Number:
__________________________________________
Project Title:
__________________________________________
Country/Region:
__________________________________________
Implementing Agency:
__________________________________________
Implementing Partner(s):
1. ________________________________________
2. ________________________________________
Duration:
24 months
Project Start Date:
(to be inserted by UNDEF) ___________________
Project End Date:
(to be inserted by UNDEF) ____________________
Funding Round and Year of Grant:
Fifth Funding Round, 2010____________________
Amount of UNDEF Grant in USD:
__________________________________________
Project is Co-financed:
No □
Yes □ Co-financing Amount :
Total Project Budget :
Project Summary:
Summarize the overall objective of the project (5 lines maximum)
(Implementing Agency, Authorized Representative’s Name, Title & Organization)
Roland Rich
(Executive Head of UNDEF)
date
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ANNEX II
RESULTS FRAMEWORK – SAMPLE
UNDEF Project Title:
Project objective: Increased awareness of civic rights among indigenous populations in country X, OR Increased involvement in
governance and democratic processes by women in country X, OR Increased participation in national and local elections by rural youth in
country X.
Please include 2-4 outcomes, and as many indicators as necessary (at least 1 indicator for each outcome) along with the relevant
baseline data and targets. Baseline data can be quantitative (number, percentage, ratio etc.) or qualitative (a short description of
the situation). If baseline data are not currently available, please indicate the type of data and how they will be collected. The target
timeframe should be in keeping with the expected timeframe of the project cycle (2 years).
Outcome 1: Increased awareness of civic rights among indigenous populations in the 5 project districts by 2015
Indicator 1.1: Percentage of indigenous populations aware of their rights under the new electoral administration laws
Baseline: 2009: 20% of indigenous people said they were aware of their rights (survey done by agency X).
Target: 2015: 70% of indigenous people aware of their rights in the 5 project districts.
Indicator 1.2: Percentage of indigenous populations with access to resources on government schemes and benefits
Baseline: 2009: 2% of indigenous populations had access to information on available government schemes and benefits (survey by agency X)
Target: 2016: 70% of indigenous populations have access to information on available government schemes and benefits in the 5 project
districts
Outcome 2: Increased dialogue between women’s groups and local government in 5 project districts by 2015
Indicator 2.1: Percentage of local government representatives that have the necessary awareness and understanding on women’s issues
Baseline: 2009: 3% of government representatives in decentralized governance structures had the necessary awareness and understanding
of issues related to women (survey conducted in 5 project districts by agency X).
Target: 2015: 60% of government representatives in decentralized governance structures in the 5 project districts have the necessary
awareness and understanding of issues related to women.
Indicator 2.2: Proportional representation of women in local government structures and forums
Baseline: 2009: 4% of participants in local government structures and forums (public hearings, stakeholder forums etc.) were female (survey
conducted in 5 project districts by agency X).
Target: 2015: 35% of participants in local government forums (public hearings, stakeholder forums etc.) are female.
Outcome 3: Increased participation by rural youth in national and local electoral processes in the 5 project districts by 2015
Indicator 3.1: Percentage increase of rural youth registered to vote
Baseline: 2011: 19% of rural youth registered to vote (Electoral Office database)
Target: 2015: 20% annual increase in percentage of rural youth registered to vote in the 5 project districts
Indicator 3.2: Ratio of voter registration centers per population in rural areas
Baseline: 2009: 1 center to 11,000 people (Electoral Office database and National Planning Agency’s 2010 demographic survey)
Target: 2015: 1 center to 4,000 people in rural areas in the 5 project districts
Outcome 4: …
Indicator 4.1: …
Baseline: …
Target: …
(...)
Baseline Data
Outputs
Key Activities
Mile
stone
Timeframe
(2 years – 8 quarters)
Q Q Q Q Q Q Q Q
1 2 3 4 5 6 7 8
Responsible
Party
Budget per
output
(rounded
to the
nearest
US$1,000))
Outputs for Outcome 1
A comprehensive
baseline survey on civic
awareness has never
been conducted in the
project districts. A basic
1. A comprehensive
baseline survey and
needs assessment
produced on civic
awareness among
1.1 Design format and
content of baseline
survey/needs assessment
x
Organization A
5,000
survey was conducted
in 2009 by agency X, in
which only 20% of
indigenous people said
they were aware of their
rights.
No TOT civic
awareness programs
have ever been
conducted in these
districts. 1 CSO out of 10
has the capacity to
implement civic
education programs
(2010 Survey by agency
Z)
No such civic programs
have been conducted to
date. Only 20% of
indigenous were aware
of their rights (2009
survey by agency X)
Only 2% of indigenous
populations had access
to information on
available government
schemes and benefits
(survey by agency X in
2009). No
comprehensive database
on government
resources exists.
indigenous populations
in the 5 project districts
2. TOT civic awareness
program conducted in 5
districts for 2500
representatives from
indigenous groups and
local CSOs
3. Cascade programs on
civic awareness
conducted by these
trained representatives
in 5 project districts for
25,000 indigenous
people
4. Comprehensive
database prepared on
government schemes
and benefits available
to indigenous
populations
1. 2 Conduct the baseline
survey/needs assessment in 5
districts
1.3 Publish assessment
findings as a comprehensive
report
1.4 Disseminate report to key
stakeholders, including CSOs
and government
representatives
2.1 Identify key CSOs and
indigenous representatives in
each project district and
invite them to take part in the
awareness program
2.2 Design training
methodology, content and
materials
2.3 Conduct 30 TOT
programs in 5 project
districts
2.4 Gather evaluation
material and feedback from
participants
3.1 Adapt training
methodology, content and
materials as needed from
output 2
x
x
x
x
Organization A
15,000
Organization B
20,000
Organizations
A, B and C
5,000
x
M2
x
x
x
x
x
x
x
3.2 Conduct 500 village-level
civic awareness programs
x
x
x
x
3.3 Gather evaluation
material and feedback from
participants
4.1 Collect information on all
current schemes and benefits
x
x
x
x
4.2 Design database and
conduct user testing
4.3 Launch comprehensive
database and disseminate to
Fifth Funding Round - 2010
x
x
x
13
No such resource
centers exist to date.
Only 2% of indigenous
populations had access
to information on
available government
schemes and benefits
(survey by agency X in
2009).
5. Five Resource
Centers established and
equipped in each
project district (25
centers in total)
(…)
(…)
No such sensitization
programs for
government
representatives have
been conducted to date.
Only 3% of government
representatives in
decentralized
governance structures
have the necessary
awareness and
understanding of issues
related to women
(survey conducted in 5
project districts by
agency X in 2009)
1. 3 sensitization
programs on critical
needs and issues of
women conducted for
local government
representatives in each
of the project districts
(15 programs total)
No such sensitization
programs for
government
2. 8 linkage workshops
are held in each project
district (40 workshops
relevant stakeholders,
including local government,
and CSOs and CBOs in
project districts
4.4 Collect ongoing usage
statistics and feedback
5.1 Procure infrastructure for
resource centers and identify
organizations to house the
centers (CSOs, CBOs, local
govt. offices)
5.2 Install the database and
IEC materials on civic rights
and state programs in each
Resource Center
5.3 Select and train Resource
Center managers
5.4 Hold monthly orientation
sessions on IEC materials and
database
5.5 Provide ongoing access
and services to local
indigenous populations
5.6 Conduct ongoing
feedback and evaluation of
the service
(…)
Outputs for Outcome 2
1.1 Design the format,
content and materials for the
sensitization programs, in
conjunction with
representatives of women’s
groups
1.2 Liaise with key
stakeholders from local
governments, CSOs and
CBOs to ensure participation
in program
1.3 Conduct sensitization
programs in 5 districts
1.4 Gather evaluation
material and feedback from
participants
2.1 Design the format,
content and materials for the
workshops, with input from
Fifth Funding Round - 2010
x
x
x
x
x
x
x
x
Organizations
A, B and C
50,000
(…)
(…)
Organizations
A and B
12,000
Organization B
25,000
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
14
representatives have
been conducted to date.
Only 4% of participants
in local government
structures and forums
(public hearings,
stakeholder forums etc.)
were female (survey
conducted in 2009 in 5
project districts by
agency X).
total) to increase
dialogue between local
government and
women’s groups
(…)
(…)
Only 19% of rural youth
are registered to vote
(Electoral Office
database, 2011)
1. Conduct regular
voter
registration/education
drives during the
project cycle
There is only 1 center to
11,000 people in rural
areas(Electoral Office
database and National
Planning Agency’s 2010
demographic survey)
(…)
(…)
key stakeholders
2.2 Liaise with key
stakeholders from local
governments, and women’s
CSOs/CBOs to ensure
participation in workshops
2.3 Conduct the linkage
workshops in 5 districts
2.4 Gather evaluation
material and feedback from
participants
2.5 Compile outputs of
M3
workshops as a
comprehensive report on
program and policy priorities
for women’s issues
2.6 Disseminate the report to
key stakeholders, including
media and national
government
(…)
Outputs for Outcome 3
1.1 Create linkages with
Electoral Office and National
Planning Agency
x
x
x
x
x
x
x
x
x
x
x
x
x
1.2 Identify areas with lowest
voter registration and low
ratios of voter registration
centers per population
1.3 Conduct 6 voter
education/registration drives
in each project district, and
set up mobile registration
centers in selected areas
x
1.4 Conduct ongoing voter
education and registration at
Resource Centers in each
district
(…)
x
Fifth Funding Round - 2010
x
x
x
x
x
x
x
x
(…)
(…)
Organization A
12,000
x
x
x
x
(…)
TOTAL PROJECT COST
UNDEF Monitoring and Evaluation
TOTAL UNDEF GRANT
(…)
US$
US$
US$
15
ANNEX III: PROJECT BUDGET IN US DOLLARS (SAMPLE)
(NOTE: Please use the Excel template online at http://www.un.org/democracyfund/Grantees/grantees_R5.html)
Fifth Funding Round - 2010
16
ANNEX IV
CONTACT INFORMATION
In this section, please provide the following contact details for all project partners:
Implementing Agency
Name of Organization:
Address:
Telephone/Fax:
Web Site:
Point of Contact:
Title:
Telephone/Fax:
Web Site:
Email:
Alternate point of
contact
Title:
Telephone/Fax:
Web Site:
Email
Implementing Partner(s) (if applicable)
Please provide for every Implementing Partner:
Name of Organization:
Address:
Telephone/Fax:
Web Site:
Point of Contact:
Title:
Telephone/Fax:
Web Site:
Email:
Sponsors and Contributions to the project (if applicable)
Please indicate all contributions made (in cash or in kind:
Implementing Agency
Implementing Partners
ANNEX V
LEGAL COMMITMENTS FOR CSOPs
“Signature of this project document commits all parties to abide by the following:
a.
As per ECOSOC Resolution 1996/31on consultative relationship, as well as the UNDPI criteria for associated
NGOs, the aims and purposes of all Implementing Agencies are in conformity with the spirit, purposes and
principles of the Charter of the UN.
b. The Implementing Agency agrees to undertake best efforts to ensure that none of the funds received from UNDEF
are used to provide support to individuals or entities associated with terrorism and that the recipient of any
amounts provided by UNDEF do not appear on the list maintained by the UN Security Council Committee
established pursuant to Security Council Resolution 1267 (1999) and that this undertaking form part of any and all
sub-contracts entered into by the grantee.
c. The Implementing Agency does not intend to provide any type of support for any member, affiliate or
representative of an organization that recommends or is apologetic of the use of violent means in political action
in general and of terrorism in all its forms and manifestations in particular, as stated in the 2005 World Summit
Outcome document (§81).
d. All CSO partners to this project are duly constituted nationally or internationally and where applicable, comply
with existing national legislation regarding formal registration and public accountability.
e. All CSO partners to this project have statutes or by-laws providing for a transparent process of decision-making,
election of officers and members of the Board, and the CSO has authority to speak for its members through its
authorized representatives identified in this project document.
f. All CSO partners agree to abide by the “UNDEF Branding and Visibility Guidelines” and any related requests
from UNDEF in all activities and products of the project in a manner fitting to the local political and cultural
context.
g. The Implementing Agency agrees to be responsible for the overall management of the project and will bear all
financial and reporting responsibilities to UNDEF as per the UNDEF Monitoring and Reporting Guidelines. The
Implementing Agency also agrees to be responsible for contracts and implementation arrangements with any
implementing partners or individuals involved in the project.
h. The Implementing Agency agrees to take all necessary measures to facilitate monitoring and evaluation as and
when required by UNDEF or a third party on its behalf.
i. The Implementing Agency agrees that UNDEF will appoint an agent of their choosing who amongst other things
will observe and report progress on the passing of milestones and who will not be held responsible for any aspect
of the project.
j. All funds will be transferred from UNDEF to the designated Implementing Agency in US Dollars. Any onward
payments made in currencies other than US Dollars will be determined by applying the rate of exchange in effect
on the date of payment. Should there be a change in the rate of exchange prior to the full realization of the project,
which may affect the ability to carry out project activities, the Implementing Agency will be expected to adjust
project design so as to stay within available resources.
k. All financial accounts and statements shall be expressed in US Dollars.
l. Any interest income attributable to the utilized portion of the grant will be credited to the project account and can
be re-invested in the project.
m. The Implementing Agency agrees to return the remaining balance of funds, if greater than USD1000, to UNDEF
upon completion of the project.
n. The Implementing Agency agrees to provide financial expenditure reports and certified financial statements as per
the UNDEF Monitoring and Reporting Guidelines available on the UNDEF website.
o. Receipts and justification documents for project expenditures must be kept and made readily available in case of
any audits.
p. UNDEF reserves the right to terminate this project should, in UNDEF’s view, circumstances so require. Upon
termination, no further funds will be disbursed.
q. Assets approved and purchased under this project do not fall under the financial or managerial control of UNDEF
at any stage of the project. UNDEF is not involved in their acquisition, in decisions concerning access, or in the
assumption of risks associated with these assets. Consequently, the implementing agency is responsible for all
financial and managerial control and accountability of these assets throughout the life cycle of the project and
beyond, in accordance with its own rules.”
Fifth Funding Round - 2010
18
ANNEX VI
COMFORT LETTER – SAMPLE
N A ME A ND LO G O O F A CC OU NTA NT / A U D ITOR
Date
United Nations Democracy Fund
One UN Plaza, DC1-1300H
New York – 10017
USA
RE: NAME AND PROJECT NUMBER (UDF-XX-XX-XXX)
This is to certify that UNDEF grant recipient, NAME, has internal controls and financial systems in place that are generally
adequate to control the receipts and disbursement of project funds and to report on the use and status of these funds. The
recipient also appears capable of satisfactorily implementing the project, monitoring the performance and reporting on project
activities and results.
Yours Sincerely,
Signature and stamp
Name of Accountant/Auditor
Title
[STREET ADDRESS] • [CITY/STATE] • [ZIP/POSTAL CODE]
PHONE: [PHONE NUMBER] • FAX: [FAX NUMBER]
Fifth Funding Round - 2010
19
APPENDIX
PROJECT DOCUMENT GLOSSARY
Activity
Assumption
Baseline data
CSOP
CSOP+EA
Evaluation
Financial Utilization
Report (FUR)
Impact
Implementing Agency
(IA)
Implementing
Partner
Inputs
Milestone
A specific action or process undertaken by an organization to convert resources
(inputs) to products or services (outputs).
Hypothesis concerning external factors or conditions that need to be met for the
progress or success of a project. Assumptions highlight external factors, which
are important for the success of project, but are largely or completely beyond
the control of the management team. (See also Risk)
Data gathered before a project describing the situation to be addressed and that
serve as the starting point for measuring performance. Baseline data are
collected prior to the commencement of the project to serve as a basis of
comparison and progress. They are used to determine the
accomplishments/results and serve as an important reference for evaluation.
CSO-Implemented projects without Executing Agency (CSOP)
Projects where the CSO or other applicant does not partner with an Executing
Agency. The CSO is responsible for the overall management of the project and
bears all substantive, financial, monitoring and reporting responsibilities.
CSO-Implemented projects with Executing Agency (CSOP + EA)
Projects where the applicant partners with an Executing Agency who will
oversee and monitor the project and act as UNDEF’s agent for project
oversight. The CSO or other applicant will bear responsibility for achieving
results in the project. The Executing Agency will oversee the project and will
bear all financial, monitoring, reporting and evaluation responsibilities.
Process that seeks to determine, as systematically and objectively as possible,
the relevance, effectiveness and impact of a completed project in light of its
objectives and accomplishments/outcomes. It encompasses the design,
implementation and results with the view to providing information that is
credible and useful, enabling the incorporation of lessons learned.
The FUR is a certified financial statement cumulating income and expenses
over a certain period of time. The FUR is generated after completion of each
milestone activity to report on the financial situation of the project and at the
end of the project. An FUR is required when requesting the disbursement of the
next tranche of the grant and it is imperative to have this report signed and
stamped by the external auditor identified in the project document and comfort
letter.
Impact is the long-term effect of the project’s objectives. These effects may be
achieved directly or indirectly and they may be intended or unintended.
Civil Society Organization (CSO) that has received a grant from UNDEF. It is
responsible for the overall management of the project and for substantive
financial management, monitoring and reporting.
Civil Society Organization (CSO) with which the Implementing Agency has
decided to partner for project implementation and/or to carry out specific
activities, and for which the Implementing Agency assumes full responsibility
vis-à-vis UNDEF.
Resources used in a project (i.e. experts, equipment, funds)
A significant and observable project activity such as the holding of a training
course, the completion of a publication or manual, or the launch of a specific
process or product. Milestones will be monitored by an independent entity
appointed by UNDEF. Most projects have 4 milestones:
Fifth Funding Round - 2010
20
Monitoring
Objective
Outcome
Outcome indicator
Output
Risk
Milestone 1 is the signature of the project document
Milestone 2 is a project activity
Milestone 3 is a project activity
Milestone 4 is the submission of the final narrative and financial reports.
The successful observation of a milestone, together with the submission of a
Financial Utilization Report (FUR), is required for the disbursement of the next
tranche of the grant.
Actions to ensure that project activities are taking place in accordance with the
project document, and in particular to ensure that designated milestones are
passed.
Description of the overall desired achievement of a project involving a process
of change and aimed at meeting certain needs of identified beneficiaries. A
good objective meets the criteria of being impact oriented, measurable, specific
and practical.
Actual or intended changes in conditions/capacity that the project is seeking to
support. The basic unit of measurement of progress toward achieving an
objective. The measurable accomplishment/outcome of a project.
A measure, quantitative or qualitative, used to measure the extent to which
expected outcomes (change, performance) have been achieved.
Tangible products and services delivered by a project through project activities
to achieve expected outcomes and objectives. Outputs relate to the completion
of activities. A measure of the quantity of a service or product provided (may
include a quality component).
Assessment of the external factors/conditions that may cause the project to fall
short of its objective(s)/outcome(s). (See also Assumption)
Fifth Funding Round - 2010
21