Appraise and Approve

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Policy Areas

Programme and Project Management
Crisis Response
- Standard Operating Procedure for Crisis Response and Recovery
  - Standard Operating Procedure for Crisis Response and Recovery
- Financial Resources for Response
  - Allocation of TRAC 3 Resources for Crisis Engagements
Financial Resources Management
Human Resources Management
Procurement
Partnerships
Administrative Services
Accountability
Information and Communications Technology
Security

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Programme and Project Management
Crisis Response
Financial Resources Management
Human Resources Management
Procurement
Partnerships
Administrative Services
Accountability
Information and Communications Technology
Security

Programme and Project Management

Programming Standards
Design
Implement
Close
- Close and Transition

Crisis Response

Standard Operating Procedure for Crisis Response and Recovery
- Standard Operating Procedure for Crisis Response and Recovery
Financial Resources for Response
- Allocation of TRAC 3 Resources for Crisis Engagements

Financial Resources Management

Inventory Management
- Inventory Management
Cash Banking and Investment
Financial Closure of Development Projects and Trust Funds
Financial Management and Implementation Modalities
Financial Operations Management
- Corporate Operations and Information Management
- Statutory Financial Reporting
Pipeline and Revenue Management
Expense Management
Resource Planning and Cost Recovery
Working with External Auditors
- Working with External Auditors

Human Resources Management

Duties, Obligations and Privileges
- Standards of Conduct
  - UNDP Legal Framework for Addressing Non-Compliance with UN Standards of Conduct
- Harassment, Sexual Harassment, Discrimination, and Abuse of Authority
  - Harassment, Sexual Harassment, Discrimination, and Abuse of Authority
Classification of Posts
- Job Evaluation
Salaries and Related Allowances
Appointment and Promotion
Annual and Special Leave
Social Security
Travel and Removal Expenses
- Entitlement Travel
- Relocation Shipment
  - Relocation Shipment
Separation from Services
- Entitlements upon Separation
- Types of Separation
Disciplinary Measures and Appeals
- UNDP Legal Framework for Addressing Non-Compliance with UN Standards of Conduct
Non-Staff
Workforce Management
- Organizational Unit Restructuring
  - Organizational Unit Restructuring
- Performance Management
  - Performance Management and Development
  - Probation upon Appointment

Procurement

Procurement Overview
Procurement Strategy and Planning
- Procurement Forecasting and Delivery
- Transactional Procurement Strategies and Procurement Planning
Requisition
- Requisition and Procurement of Goods, Civil Works and Services
Sourcing of Suppliers
- Sourcing and Market Research
- Vendor Sanctions
Procurement Methods
- Procurement Methods
Innovation, CSO engagement
Solicitation Process
Evaluation of Offers and Pre-award Negotiations
- Evaluation of Offers
- Pre-Award Negotiations
Procurement Review Committees
- Procurement Oversight and Procurement Review Committees
Award and Management of Contract
Construction Works
- Construction Works
Individual Contract
- Individual Contract
Long Term Agreements (LTAs) and Cooperation with UN Entities
- Long Term Agreements (LTAs) and Cooperation with UN Entities

Partnerships

Managing Partnerships
- Managing Partnerships
Private Sector
- Policy on Due Diligence and Partnerships with the Private Sector
- Private Sector Partnerships
Foundations
- Foundations

Administrative Services

Asset Management - Property, Plant and Equipment
Asset Management (Intangible Assets)
- Intangible Assets
Vehicle Management
- Vehicle Management
Lease Management (Premises and Equipment)
Management of Local Presences
- Establishing UNDP-supported presence outside a country office
- Closing a Local Presence
Duty Travel
Corporate Purchasing Card
- Corporate Purchasing Card

Accountability

Accountability System Policy
- Accountability System Policy
Information Disclosure
- Information Disclosure
Internal Control Framework (ICF)
- Internal Control Framework
- Anti-Fraud Policy
Risk Management
- Enterprise Risk Management
- Anti-Money Laundering and Countering the Financing of Terrorism Policy
Business Continuity Management
- Business Continuity Management
Delegation of Authorities
- Delegation of Authorities
- Participation and Role of UNDP Delegates at Major International Conferences and Events
Ethics
Evaluation
- Evaluation Policy
Managing Prescriptive Content
- Managing Prescriptive Content

Information and Communications Technology

ICT Security
ICT Oversight
- Change Control and Release Management Standards
Enterprise Solutions
Global Services
- UNDP ICT Standards

Security

Framework of Accountability for Security
- Framework of Accountability for Security
Security Policy
- Security Policy
Commercial Air Travel Safety
- Commercial Air Travel Safety Guidelines

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Programme and Project Management
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Appraise and Approve

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Latest updates

April 12, 2024 -

The updated Delegation of Authority (DOA) agreement templates for the GEF Project Preparation Grants (PPG) and GCF Project Preparation Facility (PPF) have been uploaded. The updates made align with those made in the recently updated DOA master templates for the GEF and GCF full size projects.

February 02, 2024 -

The

April 12, 2024 -

The updated Delegation of Authority (DOA) agreement templates for the GEF Project Preparation Grants (PPG) and GCF Project Preparation Facility (PPF) have been uploaded. The updates made align with those made in the recently updated DOA master templates for the GEF and GCF full size projects.

February 02, 2024 -

TheDelegation of Authority (DOA) Agreement for GEF projects – GEF TF LDCF SCCF NPIF – master templateand the Delegation of Authority (DOA) Agreement for GCF Funding Proposals – master templatefor full-size projects havebeen updated in line with the updated GEFproject document templateand the GCF project document template. The updated Delegation of Authority (DOA) agreement templates are published in the Development Project procedure, Step 2.1. VERT of the Appraise and Approve policy page.

May 30, 2023 -

Following the launch of the new platform for the Social and Environmental Standards Procedures (SESP) and the Project Quality Assurance in Quantum+ (under Risk Tools) the Development Project procedures have been updated, as follows:

Step 1.0 Appraise the quality of the project in the local project appraisal committee - The new Project Quality Assurance (QA) Design and Appraisal (Quantum +) link and the Project QA Design and Appraisal User Guide (Quantum +) have been added.

Step 2.0 Update and approve the final quality assurance report in the Corporate Planning System - The new Project Quality Assurance (QA) Design and Appraisal (Quantum +) link and the Project QA Design and Appraisal User Guide (Quantum +) have been added.

Step 5.0 Apply the Gender Output Markers and activate the project in Quantum - The Gender Marker has been replaced with Output Markers and Atlas - Project ID has been replaced with Quantum – project number.

Step 7.0 Initiate the project - Atlas has been replaced with Quantum.

January 26, 2023 -

The Development Project procedure and the Advance Authorization Cover Page Template in Step OPT of the Development Project procedure have been updated to reflect UNDP's transition to its new cloud based management platform Quantum in January 2023, replacing its previous ATLAS system.

December 01, 2022 -

The policy has been updated with the UNSDG-endorsed Guidance on the New Generation of Joint Programmes and its annexes. The guidance defines joint programmes within the UN development system reform context and articulates governance and management arrangements at the country level. The link to the guidance in the policy has been updated in paragraph 29.

June 16, 2022 -

The policy has been updated related to Programme Assessment and Appraisal to add references (1) a review of UNDP’s comparative strengths and mandate that effectively integrated into the Cooperation framework Theory of Change (paragraph 12); (2) to the importance of learning from any past evaluation results into the formulation of the new country programme design (paragraph 14).

January 17, 2022 -

The Delegation of Authority Templates for GEF and GCF Programming have been updated to reflect minor revisions in page 1 to clarify the division of responsibilities and accountabilities as set out in the RACI. The updated templates are linked in Step 2.1 VERT of the Development Project procedures.

June 15, 2021 -

Effective on 30 April 2021, updated Delegation of Authority letter templates for GEF and GCF programming have been uploaded to POPP and linked in step 2.1 VERT of the Appraise and Approve Development Project procedures. These include:
1. UNDP-GEF DOA master template for GEF PPG
2. UNDP-GEF DOA master template for GEF Trust Fund LDCF SCCF NPIF
3. UNDP-NCE DOA master template for GCF full funding proposal
4. UNDP-NCE DOA master template for GCF NAP-Readiness

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 2.1 VERT of the Appraise and Approve Development Project procedures.

December 18, 2020 -

The GEF-DOA agreement template has been uploaded to POPP and linked in procedure step 2.1 VERT for Development Projects. For GEF-funded projects, a Delegation of Authority agreement must be signed by the Resident Representative and Regional Bureau Director before the Project Document can be signed.

December 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 Appraise and Approve policy and procedures are now available in French. To access the content, click on the French language tab.

March 20, 2019 -

The Appraise and Approve policy and procedures are now available in Spanish. To access the content, click on the Spanish language tab.

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Visual Guides

These single-page guides give an overview of all key roles, documents and guidance for appraising and approving a development project. They are usable on- and offline as a checklist and roadmap to help manage tasks efficiently and securely.

These single-page guides give an overview of all key roles, documents and guidance for appraising and approving a programme. They are usable on- and offline as a checklist and roadmap to help manage tasks efficiently and securely.

Visual Guide: Appraise and Approve: Projects

PDF (1.16 MB)

View Download

Visual Guide: Appraise and Approve: Programmes

PDF (739.33 KB)

View Download

Relevant Regulations and Rules

UNDP Financial Regulations and Rules

Policies

Main Policy

Appraise and Approve

DOCX (81.43 KB)

View Download

Related Policies

Construction Works
Social and Environmental Standards
Pass-Through Management: UNDP as Administrative Agent (AA)

Procedures

Main Procedures

1.0

Step

Integrated Programme Assessment Committee reviews the programme's draft theory of change.

Responsible Party

Regional Bureau Director

Template/Guideline

Explanatory Notes

This should take place when the draft theory of change is robust enough for a meaningful review and before the programme priorities are finalized in order for the priorities to be informed by the knowledge and lessons tabled during the IPAC.

2.0

Step

Programme Appraisal Committee of CPD/RPD quality.

Responsible Party

Regional Bureau Director

Template/Guideline

Country programme document quality assurance template

Download

Explanatory Notes

The programme appraisal committee ensures the programme meets UNDP's quality standards for programme and reviews the office's capacity to implement the proposed programme.

3.0

Step

Submit the programme (CPD or RPD) to the Executive Board for approval.

Responsible Party

Template/Guideline

New Country Programme Clearance Form

Download

RMT

Download

Country Programme Performance Summary

Download

Explanatory Notes

Programme documents are submitted through the Executive Board Secretariat for onward submission to the Executive Board for approval. All required documentation, including evidence that the CPD meets UNDP quality standards, must be submitted with the documents that will be posted to the Executive Board.

Documents to be submitted for clearance (RBx -> BPPS/Effectiveness -> EB Secretariat)

Signed Clearance Sheet
Final draft CPD and RRF (one document, max 6000 words including footnotes)
Evaluation Plan (as separate file)
Signed RMT table
UN Cooperation Framework for posting on EB website
Government endorsement(s). In the case of Multi-Country Programmes, the endorsement of all relevant governments is required.
Written endorsement of alignment by Resident Coordinator
ICPE or Country Programme Performance Summary

4.0

Step

Endorsement of the programme by the executing partner (typically the programme country government).

Responsible Party

Template/Guideline

or CPAP

Download

Cooperation Framework Legal Annex

Cooperation Framework 2019 Guidance

Explanatory Notes

UNDP's CPD is considered part of the United Nations Sustainable Development Cooperation Framework. It represents UNDP's contribution to the Cooperation Framework. The CPD must be co-designed with national partners; the final draft must be endorsed by the executing partner of the programme (typically the national government).

Once the Cooperation Framework is agreed, it is signed by the government and all UN entities.This establishes the government's execution of the programme. The Resident Coordinator sends the signed Cooperation Framework to all partners and to the chair of the UNSDG. The completed Cooperation Frameworks are posted on the UNSDG website. If a Cooperation Framework cannot be prepared, a country programme action plan is prepared and signed.

1.0

Step

Appraise the quality of the project in the local project appraisal committee.

Responsible Party

Template/Guideline

Project QA - Design and Appraisal (Quantum+)

Social and Environmental Standards - see procedures

Explanatory Notes

Project QA Design and Appraisal User Guide (Quantum+)

Local project appraisal committee terms of reference.

For projects where UNDP serves as the managing agent for a CBPF, see the Country Specific Operational Manual for the CBPF.

2.0

Step

Update and approve the final quality assurance report in the Corporate Planning System.

Responsible Party

Template/Guideline

Project QA Design and Appraisal User Guide (Quantum+)

Explanatory Notes

Project QA Design and Appraisal User Guide (Quantum+)

2.1 VERT

Step

Delegation of authority letter from the UNDP BPPS Vertical Fund Executive Coordinator to the Resident Representative.

Responsible Party

UNDP BPPS Vertical Fund Executive Coordinator

Template/Guideline

Delegation of Authority (DOA) Agreement for GEF projects – GEF TF LDCF SCCF NPIF – master template

Download

Delegation of Authority (DOA) Agreement for GCF Funding Proposals – master template

Download

Delegation of Authority (DOA) Agreement for GEF Project Preparation Grants - template

Download

Delegation of Authority (DOA) Agreement for GCF Project Preparation Facility (PPG) Grants - template

Download

Explanatory Notes

Explanatory Notes

7.0

Step

Initiate the project.

Responsible Party

UNDP Programme Officer

Template/Guideline

Explanatory Notes

Agrees on project manager's responsibilities, as well as the responsibilities of other key members of the project management team.

Delegates any project assurance function as appropriate.

Reviews the progress report for the initiation stage (if an initiation plan was approved).

Reviews and appraises detailed project plans, including the multi-year workplan and Quantum reports covering activity definition, an updated risk log and the monitoring schedule plan.

Shares annual reports and relevant information on achievement of the outcomes with the programme board and outcome group.

OPT

Step

Advance authorization

Responsible Party

Template/Guideline

Advance Authorization Cover Page

Download

Explanatory Notes

1.0

Step

Approve annual workplan and budget.

Responsible Party

Template/Guideline

Explanatory Notes

The workplan and budget must be approved annually by the programme manager, or staff with Delegated Authority.

United Nations
Development Programme

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