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Programme and Operations Policies and Procedures

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POPP>Programme and Project Management>Design>Formulate Programmes and Projects
Formulate Programmes and Projects
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1.0 Relevant Regulations and Rules
UNDP Financial Regulations & Rules

2.0 Policies
Main Policy
Formulate Programmes & Projects

3.0 Procedures
Main Procedures

Formulate Programmes

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Formulate Development Projects

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Formulate Development and Institutional Effectiveness Project

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Language English | Español | Français
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Mamadou Ndaw,Teuku Rahmatsyah
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Summary of Changes/Comments
June 28, 2022 - The project risk register template has been updated in Step 3.3 of the procedures to align with the updated Enterprise Risk Management (ERM) policy which has been harmonized with the Social and Environmental Standards (SES) policy. The risk sub-categories in the Quantum + corporate planning system (capturing programme level risks) and in the Atlas project risk registers are now fully aligned with the project-level social and environmental standards. The offline project risk register template (Annex 2) is aligned with the risk entry system in the Quantum + corporate planning system and with the risk appetite to risk significance in the risk matrix (Annex 3).

June 16, 2022 - Updates were made in the policy to reflect UNDP Evaluation Guidelines as follows: (1) Under new programme development, paragraph 20 has been added providing guidance to the submission of CPD-costed evaluation plans; (2) Planning for evaluation section is updated with the addition of three new paragraphs 39, 40, 41 to address UNDP’s Strategic Plan 2022-2025 requirements on the need of strategic evaluations; to inform on Independent country programme evaluations and reflect accountability for the development of CPD evaluation plan.

May 17, 2022 - The “Oversight Readiness Capacity Assessment” (ORCA) tool (previously called the VF needs assessment tool) has been completed and fully digitized. The tool was developed by BPPS-NCE in consultation with the BMS and Regional Bureaus, as well as the BPPS - Effectiveness Group. The objective of the ORCA tool is to help UNDP effectively manage risks across its Vertical Fund portfolio and perform its Quality Assurance (QA) function (as Accredited Entity to specific Funds). Accordingly, the tool has been designed to assess adequacy of current resources and/or provisions needed at the CO to effectively perform its ‘oversight responsibilities’ when deciding to take on additional programming requests related to VF projects. The ORCA assessment tool can be accessed through the CO dashboard in PIMS+ and detailed instructions on how to use and access the tool is provided in the User Guide and FAQ documents uploaded to under “Formulate Development Projects” in POPP.

January 20, 2022 - The Country Programme Document (CPD) template has been updated to reflect the outcomes of the Strategic Plan 2022 – 2025 and includes references to the plan’s six signature solutions and three enablers. The updated CPD template is linked in Step 6.0 of the Formulate Programmes procedures.

December 15, 2021 - An updated version of the Project Origination SOPs, which now includes additional specific elements for GCF projects/programmes, has been provided which applies to all vertical fund programming. Furthermore, new PISC submission and assessment templates for GEF Enabling Activities (EAs) and Capacity Building Initiatives for Transparency (CBIT) have been developed and uploaded in POPP.

December 14, 2021 - The project document template has been updated to reflect the following:
1. ‘Digital by Default’ is now embedded in project design ;
2. Additional text added to ensure consistency with the principles of the UNDP Anti-Money Laundering and Countering the Financing of Terrorism Policy.;
• Updated definition of sexual harassment;
• Additional text added to reflect the newly introduced Anti Money Laundering and Countering the Financing of Terrorism (AML/CFT) policy;
• Updated link to the United Nations Security Council Consolidated Sanctions List;
• In the option for DIM implementation, additional text has been added to address: a) Obligations on sub parties relating to SEA/SH; and b) Obligations of sub parties relating to SES;
• In the option for UN Agency implementation an additional sentence was added on SEA/SH, which goes as follows: “The Implementing Partner will ensure that its regulations, rules, policies and procedures are consistent with the principles of UNDP relating to SEA and SH requirements.”
3. The Project Organization Structure has been updated to provide clarity on oversight and implementation, including the Project Board ToR (as annex to the project document) and FAQ;
4. Capacity Assessment has been specified to include the Partner Capacity Assessment Tool (PCAT) as an annex to the project document;
5. To include the On-Granting Provisions Applicable to the Implementing Partner (Grant Making Institution facilitating on-granting) as an annex to the project document, if applicable.
The updated Project Document template is included as hyperlink in Step 3.0 Develop a project document that adheres to UNDP quality standards and partner requirements of the Procedures.

November 3, 2021 - New PISC templates have been developed for vertical fund global/regional projects in line with the existing Project Origination SOPs and RACI. The new templates include: 1) a submission form for global or regional teams to use when preparing for the PISC; 2) an assessment template for global or regional projects that will be used to evaluate the project during the PISC meeting. In addition, to ensure consistency, the existing PISC CO submission form and the existing PISC CO assessment template have been updated to align with the new submission form and assessment template for global/regional projects. The One Stop Shop for Vertical Fund Projects has also been updated with the latest links to documents related to vertical fund programming. The updated Project Document template is included as hyperlink in Step 3.0 Develop a project document that adheres to UNDP quality standards and partner requirements of the Procedures.

October 21, 2021 -The GEF RACI (Responsible, Accountable, Consulted and Informed) matrix for NIM projects has been updated. The GEF RACI clarifies the responsibilities and accountabilities of the various UNDP business units in overseeing GEF projects from origination to closure.

October 11, 2021 - The regional programme document template in Step 6.0 ALT 1 of the Formulate Programmes procedure has been updated to its latest version of 2021.

September 17, 2021 - GEF and GCF project document templates have been updated in Step 3.0 of Formulate Development Projects procedures and new Guidance on Governance Arrangements for Vertical Fund Programming has been added. The updated Project Documents and Guidance responds to a number of recommendations made by OAI in its report of December 2020 related to UNDP’s management of GEF resources. The main changes relate to the following:
  • Project Governance Arrangements: The project document now provides clear guidance on the different implementation modalities, the roles UNDP can play in terms of execution versus oversight, the project board compositions and which office/unit/person can perform which function on the board, as well as conflict of interest provisions. In addition to the Project Document template, separate guidance has been prepared in the form of a PPT on the governance arrangements.
  • Co-financing: The project document contains updated guidance on the classification of co-financing, the management of risks associated with such financing and the responsibilities for due diligence and monitoring of co-financing commitments.

June 17, 2021 - In order to assist offices in their costing and budgeting of project activities, PPM procedures “Prepare Fully Costed Budgets for Projects” have been added. These procedures provide guidance on how to budget direct and indirect costs including personnel and operating costs, as well services by UNDP offices to projects. They also provide a sample project budget template by activities and budget inputs and a sample timesheet template when estimating UNDP services to projects. Budgeting and costing requirements of the specific funding partners (EU, GEF and Global Fund) are also available here. These updates are reflected in the following content:
1. Formulate Programmes and Projects policy (clauses 41-42, 47 and 49)
2. Formulate Development Projects procedures (Step 3.2)
3. Formulate Development and Institutional Effectiveness Projects procedures (Step 1.1)

June 15, 2021 - Effective April 30, 2021, a new time tracking system has been developed to be applied by UNDP personnel designated to provide oversight services on the Vertical Fund (GEF Family of Funds, GCF, and AF) financed projects. The system is designed to track time spent on providing vertical fund-specific Project Cycle Management Services (PCMS) and vertical fund related Corporate Activities. These services are defined by the Council and Board of the GEF, GCF and AF, respectively and include oversight services to ensure that project execution (by the Implementing Partner) meets the standards and requirements of the respective vertical funds and UNDP Policies and Procedures. Details are further outlined in the Guidance Note, which is linked in step 1.1 ALT of the Formulate Development Projects procedures.

June 15, 2021 - Effective January 10, 2019, an updated template for the UNDP GEF Initiation Plan to programme the PPG received from the GEF has been uploaded and linked in step 2.2 OPT of the Formulate Development Projects procedures. This is effective for all PIFs approved as of GEF June work programme 2019.

April 30, 2021 - The Vertical Funds Needs Assessment Tool (VF-NAT), as well as a VF NAT user guide and an FAQ file have been added under Procedure No. 1.1 ALT of the Formulate Development Projects procedures of the Formulate Programmes & Projects policy. The VF-NAT has been developed as a part of the OAI GEF audit management actions. The VF-NAT will be piloted between May-Dec 2021 when new VF programming requests are received. After the pilot phase, following a review and refinement , the tool will be rolled out in support of VF programming, in conjunction with the IWP process for 2022.

April 15, 2021 - The policy has been updated to include a clause for projects where UNDP plans to engage with the non-UN security sector that the UN’s Human Rights Due Diligence Policy (HRDDP) applies which aims to ensure UNDP does not provide support to entities committing grave violations of international humanitarian, human rights and refugee law. The Formulate Development Projects procedures have been updated to include the UNDP HRDDP Implementation Framework Tool as a risk assessment tool if UNDP plans to engage with the non-UN security sector.

February 11, 2021 - A one-stop-shop link to all environmental vertical fund (GEF & GCF) templates, procedures and policies in the POPP has been added as a guideline under Procedure No. 1.1 ALT of the Formulate Development Projects procedures of the Formulate Programmes & Projects policy. The link is in response to audit and provides a one-stop shop guidance map on GEF & GCF templates, procedures and policies in the POPP.

January 29, 2021 - The management actions to the OAI GEF Audit that have been completed to date have been uploaded to the POPP. This includes the RACI, the Delegation of Authority Letter and Guidance on GEF Project Revisions.

January 15, 2021 - The RACI (Roles/Accountability/Consult/Inform) matrix is now available to clarify the roles and accountabilities for the GEF project cycle from origination to project financial closure, including oversight. This is only applicable for GEF-funded projects. It is linked in step 1.1 ALT of the Formulate Development Projects procedures.

Feb 04, 2020 - The CPD template has been updated to respond to changes brought by the United Nations Sustainable Development Cooperation Framework. [Formulate Programmes and Projects procedure table (Step 6)].

Dec 03, 2019 - Updates were made across the programme and project management chapter of the POPP to reflect the shift from the UNDAF to the UN Cooperation Framework. Updates were also made under programme appraisal to reflect the shift from the HQ PAC, which quality assured completed CPDs at the end of programme design, to the IPAC, which assesses the programme’s theory of change closer to the start of the process as a learning function.

The Formulate Programmes and Projects policy and procedures are now available in French. To access the content, click on the French language tab.

March 20, 2019 - The Formulate Programmes and Projects policy and procedures are now available in Spanish. To access the content, click on the Spanish language tab.