Guidance for bilateral projects
August 2018

Inception Phase Checklist

Inception phase takes usually six months in the beginning of the implementation phase. During the inception phase, the key steps are: 
-	Learning to know each other, 
-	Conducting necessary background studies, 
-	Reaching a common understanding on the objectives and working modalities of the project, 
-	Making decisions on operational practices and recruiting necessary personnel
-	Defining the workplan and budget for the first year.

Task/ item	Responsible person/unit	Planned completion date	In progress (x means ok)	Completed (x means ok)	
A Operational facilities and human resources in place					
Project Long-Term TA staff fielded					
Partner organization staff appointed and working; counterpart assigned to the TA					
One staff member in place with knowledge on local regulations and conditions (local tax laws, banking arrangements, other relevant requirements)					
Programme / project bank account opened, signatories agreed and professional accounting software in use (in line with local regulations)					
A local employer status organization identified (with respect to local professional and support staff), and necessary VAT exempt codes and other formalities with tax and other relevant authorities in the Partner Country					
Recruitment strategy and process agreed; recruitment process for the Programme’s support staff has been completed, contracts issued and insurances in place to all support staff members and all staff working.					
Recruitment process for the Programme’s National TA staff has been completed, contracts issued and insurances in place to all staff members and all staff working.					
One staff member has expertise and responsibility to monitor HRBA compliance and implementation of the cross-cutting objectives as a delegated responsibility from CTA					
Project Office established and connected with electricity, internet, phone connections secured, project web page open					
First outline of the procurement guide developed (final version be included in the PIM); agreement on which procurement methods to follow (Finnish or local)					
Equipment and furniture for Project Office and Project Staff procured, delivered and installed (including computers)					
Project Regional / District / Field Offices (where relevant) fully equipped and furnished					
Procurement of project vehicles completed and vehicles delivered and registered					
Supervisory Board (SB) and Steering Committee members identified; schedule for initial meetings defined					
					
B Project Management, Planning and Monitoring systems in place					
Home Office Coordinator support mission (1-2 weeks) in relation to support the establishment of the programme/ project administrative and management structures					
 A simple workplan for the inception phase approved by the PMT.					
Broad and equal participation opportunities are arranged particularly for women and vulnerable groups in all preparatory activities.					
Staff provided with informal discussions and formal meetings on the project purpose, its working environment and its risks.					
An initial Kick-off Workshop has been organised and attended by the main stakeholders (for initial information sharing about the Project / Programme)					
All levels of levels of project management and decision-making structures have been established (PMT, SC, SB) and are operational					
All decisions necessary for starting activities for the first year prepared (e.g. field / district assessments, selection of target communities and other critical decisions) alongside the first year workplan and budget. These are  presented and approved to the SC and/or SB as relevant.					
Terms of Reference prepared for the Baseline Data Report (minimum requirement: data for impact, outcome and output indicator data in actual Programme villages/units on a sample basis), Service Provider / External Consultant approved by SB; Baseline data collection underway; data disaggegated.					
M&E plan in place and M&E responsibilities further developed and agreed based on the Result Chain and Results Framework of the PD					
Procurement plan prepared and presented to the SB for approval					
Project Implementation Manual (PIM) has been produced and presented to the SB for approval (in case of 2nd and 3rd phase projects: PIM reviewed and updated as necessary)					
The annual work plan and budget for the 1st operational year has been prepared and approved by the Supervisory Board (SB).					
Inception Report has been prepared and approved by the SB. 					
An Inception Workshop has been organised and attended by the main stakeholders to disseminate information about the PIM, Annual Work Plan and Budget, Baseline and planning, management and monitoring tools of the programme, and instructions for potential beneficiaries on support available (grant calls, application to training courses, etc.)					
C Project approach finalized 					
Local ownership, wide partnerships and problem-oriented flexible operational modality designed. 					
Results Chain (including activities) reviewed and updated; Results Framework reviewed and finalized and submitted for the SC/SVB for approval. Programme document reviewed as necessary.					
Baseline Report available; Based on the Baseline report, annual and end-of-project indicator targets for all results presented to the SC and SB					
Risk matrix and analyses and mitigation measures reviewed and finalized					
Gender and human rights analyses are revisited (based on the initial analysis in the PD) and their integration in project logic, approach, activities and M&E is ensured; priority areas and crosscutting objectives have been taken into account in resourcing.					
System for learning is established: Programme Document has milestones for learning like internal monitoring workshops and mid-term reviews.