Formulate Programmes and Projects

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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
Design
Formulate Programmes and Projects

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Latest updates

October 01, 2024 -

The policy has been updated to introduce the Portfolio Policy as a new delivery instrument. A new Formulate Portfolios procedure is published in the policy page which includes the steps necessary to design and initiate portfolios. The previous portfolio model (aggregation of projects) is now retired from the policy

October 01, 2024 -

March 25, 2024 -

The improved design of UNDP’s Implementation Tool for the UN Human Rights Due Diligence Policy is now available in the POPP. The tool consists of a guidance document and a risk assessment form, making it easier for use by country offices and offering the following enhancements:

The tool is user-friendly in a designed format with improved graphics;
Clearer distinctions on the key process steps and a few additional definitions are included;
The risk assessment form is now editable, so risk assessment can be completed in the document itself. A tabulation feature is also included whereby inserting the risk assessment scoring, the final tally will automatically tabulate.

These design changes in the tool will make the implementation of the Human Rights Due Diligence Policy on United Nations support to non-United Nations Security Forces (HRDDP) and use of the tool easier for country offices.

The guidance document and the risk assessment form are published in Step 3.3 ALT of the Formulate Development Projects procedure of the Formulate Programmes and Projects policy page.

March 22, 2024 -

Following the introduction of the new Portfolio Policy and the Portfolio Document Template, the Offline Risk Register Template has been updated to reflect the portfolio as a new delivery instrument.

January 26, 2024 -

Following the update of the GEF Project Document Template, the GCF Project Document Template has also been updated (version January 2024) to reflect the latest standard UNDP and GCF requirements.

July 10, 2023 -

The updated GEF Project Preparation Grant (PPG) Initiation Plan Template has been published in Step 2.2. OPT of the Formulate Development Projects Procedure and reflects the latest UNDP and GEF policies and requirements. Key updates made in the GEF Project Preparation Grant (PPG) Initiation Plan Template include:

links to templates and guidelines;
list of core indicators & Least Developed Countries Fund - LDCF/ Special Climate Change Fund - SCCF results framework worksheet;
GEF submission deadlines and cancellation deadlines;
references and guidance on Atlas changed to Quantum;
Social and Environmental Standards (SES) pre-screening requirements, SES Toolkit, Stakeholder Engagement Plan;
Total Budget And Work Plan, budget notes and list of eligible expenditures;
Risk register annex.

In addition, the updated GEF Project Document Template has been published in Step 3.0 of the Formulate Development Projects Procedure and reflects minor updates in Annex 6 UNDP Risk Register to align with the standard UNDP format.

May 25, 2023 -

links to templates and guidelines;
list of core indicators & Least Developed Countries Fund - LDCF/ Special Climate Change Fund - SCCF results framework worksheet;
GEF submission deadlines and cancellation deadlines;
references and guidance on Atlas changed to Quantum;
Social and Environmental Standards (SES) pre-screening requirements, SES Toolkit, Stakeholder Engagement Plan;
Total Budget And Work Plan, budget notes and list of eligible expenditures;
Risk register annex.

February 01, 2023 -

The One Stop Shop document has been updated in step 1.1 ALT of the Formulated Development projects procedures.

January 18, 2023 -

The Formulate Development Projects procedures 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 22, 2022 -

The Formulate Development Projects procedure has been updated to align with the new UNDP-supported Guarantees policy which is linked in the Template/Guideline column of Step 3 of the procedure.

December 01, 2022 -

The policy and procedures have 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 the first row of the table on page 5 and in paragraph 27. Step 8 in the Formulate Programmes Procedures and Step 3.0 ALT in the Formulate Development Projects procedures have been updated to include the guidance note linked under explanatory notes and the guidance note’s annexes linked under templates/guidelines.

November 30, 2022 -

The Project Risk Register template has been updated to align with the updated Enterprise Risk Management (ERM) policy which has been harmonized with the Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Policy. Annex 1 (ERM Risk Categories and Sub-categories) and Annex 2 Offline Project Risk Register Template in the dropdown list of the project risk register template have been updated with the new AML/CFT risk sub-category ‘5.6. Exposure to entities involved in money laundering and terrorism financing’ under risk category '5. Reputational’. The updated Project Risk Register template is published in step 3.3 of the procedures.

October 18, 2022 -

The GCF RACI for NIM projects has been completed. The GCF RACI builds on the same structure and logic of roles for 1st and 2nd layer oversight applied to the GEF RACI, but with additional steps and adjustments to align with the specific requirements and project cycle of the GCF. Minor updates were also made to the GEF RACI where a footnote was added to reflect the augmented design oversight support for CO provided by the NCE tier 1 regional technical specialists deployed by BPPS/NCE. The same footnote is also reflected in the GCF RACI.

September 28, 2022 -

The updated RMT reflects the approval of the two-tiered approach for the shielding of the development activities for the budget period 2018-2021 and extended it to the 2022-2025 budget period.

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 03, 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 on 30 April 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.

February 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)].

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 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.

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Visual Guides

The Visual Guide to Programming: Programme Cycle provides an overview of all key roles, documents and guidance for designing, implementing and closing and transitioning a programme. The visual guide can be used as a checklist and roadmap to help manage tasks efficiently and securely.

The Visual Guide to Programming: Standard Development Project provides an overview of all key roles, documents and guidance for designing, implementing and closing and transitioning a development project. The visual guide can be used as a checklist and roadmap to help manage tasks efficiently and securely.

The Visual Guide to Development and Institutional Effectiveness Projects provides an overview of the key roles, documents and guidance for designing, implementing and closing and transitioning development and institutional effectiveness projects. The visual guide can be used as a checklist and roadmap to help manage tasks efficiently and securely.

Visual Guide to Programming: Programme Cycle

PDF (3.67 MB)

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Visual Guide to Programming: Standard Development Project

PDF (7.49 MB)

View Download

Visual Guide to Development and Institutional Effectiveness Projects

PDF (405.14 KB)

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Relevant Regulations and Rules

UNDP Financial Regulations and Rules

Policies

Main Policy

Formulate Programmes and Projects

DOCX (159.1 KB)

View Download

Related Policies

Human rights due diligence policy on United Nations support to non-United Nations security forces

Procedures

Main Procedures

1.0

Step

Contribute to the roadmap for an inclusive CCA and Cooperation Framework.

Responsible Party

Template/Guideline

Explanatory Notes

UNSDG | Consolidated Annexes to the Cooperation Framework Guidance

In transition settings, the UN country team must consult with the integrated mission task force or integrated task force to ensure coordination.

A roadmap is not required for regional and global programmes.

Involve the Regional Directors team and regional peer support groups as early and frequently as possible.

1.1

Step

Once final, send the roadmap to all national partners, and to the Regional Directors team, peer support group, headquarters of all UN agencies and the United Nations Development Operations Coordination Office.

Responsible Party

Resident Coordinator

Template/Guideline

Explanatory Notes

This enables headquarters to position itself to support as appropriate.

2.0

Step

Prepare a quality analysis for the programme and contribute to the CCA as relevant.

Responsible Party

Template/Guideline

Explanatory Notes

UNSDG CCA guidance

The analysis must provide inputs to the theory of change and define the UN's programming priorities, including UNDP's comparative advantage in the programming and larger financing context.

2.1

Step

Forward the integrated UN country team analysis to the regional peer support group mechanism for quality support and assurance.

Responsible Party

Template/Guideline

Explanatory Notes

UNSDG | Consolidated Annexes to the Cooperation Framework Guidance

3.0

Step

Complete the country level macro-assessment of HACT.

Responsible Party

Template/Guideline

Explanatory Notes

UNSDG HACT Guidelines

Discuss arrangements for audit of government expenditures with the government development coordination authority as per the HACT framework

4.0

Step

Develop inputs for the Corporate Framework theory of change.

Responsible Party

Template/Guideline

Explanatory Notes

Cooperation Framework Theory of Change Guidance

A strategic prioritization exercise involving UN system entities and stakeholders should be led by the government to link the comparative advantages of the UN system to national development priorities.

UNDP's inputs to the theory of change should be developed in a participatory and evidence-based manner, identifying areas where the organization has a comparative advantage and potential to mobilize funding, based on evidence from evaluation and lessons learned.

5.0

Step

Contribute to the Cooperation Framework, attach the legal annex to the signed Cooperation Framework.

Responsible Party

Template/Guideline

Cooperation Framework

Cooperation Framework Legal Annex

Explanatory Notes

Cooperation Framework Guidance

Following the strategic prioritization exercise, agree on a set of outcomes to support national development priorities. Prepare a SMART results matrix based on the country analysis.
If the Cooperation Framework will replace the CPD, a UNDP-specific country programme results matrix must be attached.

See the Handbook on Planning, Monitoring and Evaluating for Development Results for further guidance.

Country programmes will be assessed against UNDP quality standards.

*IMPORTANT: For individual project documents to be approved without signature of the government's development coordination authority, the Cooperation Framework legal annex must specify that all forms of assistance provided by UNDP further to the Cooperation Framework will be covered by the applicable applicable standard basic assistance agreement (SBAA or predecessor agreement plus supplementary legal annex). The Legal Office must clear the text to confirm that it meets the requirements to consider the Cooperation Framework in lieu of a signed project document.

5.0 ALT 1

Step

If the legal annex is not attached to a signed Cooperation Framework or if there is no signed Cooperation Framework with a government, prepare and sign a country programme action plan with the government.