| United Nations Development Programme

1.0

Step

Establish grant selection committee (if different from project board and/or portfolio board).

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

Low Value Grants Operational Guidance

Explanatory Notes

Low Value Grants Operational Guidance

2.0

Step

Define grant selection criteria.

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

Explanatory Notes

Note that grant selection criteria are often determined or influenced by the funding source.

Low Value Grants Operational Guidance.

2.1 OPT

Step

Conduct specific implementing partner capacity assessment for on-granting in line with the selection criteria.

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

The PCAT tool is a macro excel file which contains macros. To complete the download of the PCAT, please follow the quick guide under the explanatory notes.

Partner Capacity Assessment tool

Explanatory Notes

The partner capacity assessment tool has a worksheet for on-granting, which is enabled only when on-granting is used. (Quick Guide to Downloading the PCAT).

3.0

Step

Solicit grant proposals in line with the project document and/or portfolio document.

Responsible Party

Project Manager

Template/Guideline

Self Certification (Programming Entities)

Explanatory Notes

Both the overall project and/or portfolio purpose and the grant selection criteria should be referenced.

Low Value Grants Operational Guidance

Grant proposals to include the signed Self Certification (Programming Entities)

4.0

Step

Selection of grantees and award of grants.

Responsible Party

Grant selection committee or project board and/or portfolio board

Template/Guideline

Low Value Grant agreement

Partner Capacity Assessment Tool

Explanatory Notes

The process of selection is described in the terms of reference of the grant selection committee.

Low Value Grants Operational Guidance

Grantees’ capacities are assessed through the Partner Capacity Assessment Tool, which assesses the grantee management and other capacities. The PCAT is completed for low value grants. (Quick Guide to Downloadingthe PCAT).

1.0	Step Identify project activities and/or portfolio interventions to be provided by a responsible party.	Responsible Party Project Manager and/or Portfolio Manager	Template/Guideline	Explanatory Notes
2.0	Step Select a suitable responsible party using the appropriate method.	Responsible Party Project Manager and/or Portfolio Manager	Template/Guideline	Explanatory Notes
3.0	Step Screen the selected responsible party and complete any required capacity assessments instructed by the PCAT.	Responsible Party Project Manager and/or Portfolio Manager	Template/Guideline The PCAT tool is a macro excel file which contains macros. To complete the download of the PCAT, please follow the quick guide under the explanatory notes. Partner Capacity Assessment Tool	Explanatory Notes Partners’ capacities are assessed through the Partner Capacity Assessment Tool, which assesses the partner management and other capacities. The PCAT is completed for any implementing partner other than UN agencies. (Quick Guide to Downloading the PCAT). Financial capacities are assessed through the HACT micro-assessment if more than $150,000 is expected to be transferred in one year.
4.0	Step Sign standard agreement with the responsible parties.	Responsible Party Project Manager and/or Portfolio Manager	Template/Guideline Letter of Agreement (LOA) between UNDP and a Government Ministry/Institution or IGO for the Implementation of a Project/Portfolio where UNDP serves as the implementing partner Contract Face Sheet (for Goods and/or Services) Responsible Party Agreement between UNDP and a Civil Society Organization UN Agency to UN Agency Transfer Agreement	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.

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 Delegation of Authority (DOA) Agreement for GCF Funding Proposals – Master Template Delegation of Authority (DOA) Master Template for Adaptation Fund Fully Developed Proposals Delegation of Authority (DOA) and Initiation Plan for GEF Project Preparation Grants - template [automated] Delegation of Authority (DOA) Agreement for GCF Project Preparation Facility (PPF) Grants - template Delegation of Authority (DOA) template for Adaptation Fund Project Formulation Grants (PFG)	Explanatory Notes For GEF Project Preparation Grant (PPG) projects, the signed PPG Delegation of Authority (DOA), including the annexed PPG Total Budget Workplan, constitutes the equivalent of the corporate Project Initiation Plan for the PPG phase, serving as the formal authorization for initiating PPG activities. The same process is followed for Adaptation Fund Project Formulation Grant (PFG) projects. Note that additional quality assurance and oversight must be provided by BPPS for GEF, GCF and AF projects as outlined in the RACI. For AF, please follow the GEF RACI: GEF RACI (Responsible, Accountable, Consulted and Informed) for NIM projects GCF RACI (Responsible, Accountable, Consulted and Informed) for NIM projects
3.0	Step Approve and sign the project document.	Responsible Party Programme manager/Resident Representative, Government development coordination authority (as applicable), Implementing partner	Template/Guideline	Explanatory Notes The agreement of the government development coordination authority can be acknowledged by any of the acceptable methods as agreed with government, including an exchange of letters or minutes of the LPAC.
4.0 ALT	Step Approve and sign the initiation plan.	Responsible Party Programme Manager/ Resident Representative	Template/Guideline	Explanatory Notes Evidence that the government agrees to the initiation plan is required through meeting minutes, an exchange of letters or emails, or a signature on the initiation plan document.
5.0	Step Apply the Output Markers and activate the project in Quantum	Responsible Party UNDP Programme Officer	Template/Guideline	Explanatory Notes The multi-year workplan should be ‘mirrored’ in Quantum, so that there is a clear correspondence between the outputs and activities identified in the workplan, and the outputs and activities established in the system. Once the project has been approved by the local project appraisal committee, its proposal should be ‘awarded’ in Atlas. After the project ID is generated, multi-year budgets clearly indicating the responsible parties, funding sources, and planned budget amounts as per the annual workplan must be finalized. Each output under the project ID must also be linked to a relevant country programme outcome.
5.1 ALT	Step Ensure the project is linked to the relevant portfolio in Quantum, if relevant.	Responsible Party UNDP Programme Officer	Template/Guideline	Explanatory Notes This will enable joint project management, assurance and reporting features in Quantum and the corporate planning system.
6.0	Step Sign contribution agreements with donors or memorandum of understanding for joint programme, as relevant.	Responsible Party or staff with delegated authority	Template/Guideline Contribution Agreement Templates UNSDG Memorandum of Understanding for Joint Programmes	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	Explanatory Notes

1.0	Step Integrated Programme Assessment Committee reviews the programme's draft theory of change.	Responsible Party Regional Bureau Director	Template/Guideline RBM guidance on the Theory of Change	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. Consider using the RBM Guidance to assist with the design and use of the Theory of Change.
2.0	Step Programme Appraisal Committee of CPD/RPD quality.	Responsible Party Regional Bureau Director	Template/Guideline Programme Quality Assurance (QA) Assessment Template Regional Programme Quality Assurance (QA) Assessment Template	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 RMT Country Programme Performance Summary	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 Country Programme Action Plan Template 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

Prepare the annual report of the Administrator on the Strategic Plan.

Responsible Party

Template/Guideline

RBM guidance on ROAR

Explanatory Notes

Consider using the RBM Guidance to improve the ROAR Responses.

2.0

Step

Submit Financial Report.

Responsible Party

Project Manager

Template/Guideline

Explanatory Notes

See Appendix VI of UNSDG HACT Framework for the template of the FACE form and Appendix VII for guidelines for completing FACE form.

Frequency: quarterly or when additional resources are needed.

See Financial Management section.

3.0

Step

Sign the Combined Delivery Report.

Responsible Party

Programme Manager/ Resident Representative Implementing Partner certifies

Template/Guideline

Explanatory Notes

Frequency: second, third and fourth quarters

Standard combined delivery report under construction in Quantum

4.0

Step

Prepare a Quality Project Report.

Responsible Party

Project Manager

Template/Guideline

POPP Guideline: Donor Reporting Guideline and Template

One-stop-shop link to all environmental vertical fund (GEF and GCF) templates, procedures and policies)

Evaluation Inception Report

UNDP Evaluation Report

Executive Snapshot Project Progress Report

Audit Trail Form

Management Response Template

Explanatory Notes

Frequency: As stated in the project document.

The standard project progress report in the Executive Snapshot is the standard report required by UNDP. Donors often require additional information beyond what is available in the standard report, so an optional template is provided as a resource. Some funding partners have specific reporting formats, such as the GEF and GCF.

The GEF Annual Project Implementation Report (PIR) is completed online using the BPPS Nature, Climate and Energy PIMS+ system.

The GCF Annual Performance Report (APR) is completed online using the BPPS Nature, Climate and Energy PIMS+ system.

UNDP Evaluation Guidelines:

Evaluation Inception Report (page 22-23)
UNDP Evaluation Report (page 49-53)
Audit Trail Form (page 25)
Management Response Template (page 54)

5.0

Step

Document and communicate results to donors and other stakeholders, ensuring due credit is given to partners.

Responsible Party

Programme manager/Resident Representative,Programme officer

Template/Guideline

Explanatory Notes

UNDP Brand Portal

1.0

Step

Prepare the annual report of the Administrator on the Strategic Plan.

Responsible Party

Template/Guideline

RBM guidance on ROAR

Explanatory Notes

Consider using the RBM Guidance to improve the ROAR Responses.

2.0

Step

Contribute to the One UN country results report.

Responsible Party

Template/Guideline

Explanatory Notes

3.0

Step

Ensure complete, accurate, timely and quality Results-Oriented Analysis Report and Ensure Integrated Results and Resources Framework progress data.

Responsible Party

Template/Guideline

Evaluation Inception Report

UNDP Evaluation Report

Audit Trail Form

Management Response Template

Explanatory Notes

Results-Oriented Analysis Report and IRRF reporting should be drawn from UNDP’s contribution to the One UN country results report, to the extent possible.

UNDP Evaluation Guidelines:

Evaluation Inception Report (page 22-23)
UNDP Evaluation Report (page 49-53)
Audit Trail Form (page 25)
Management Response Template (page 54)

1.0	Step Revisions are captured in a revised multi-year workplan or project document.	Responsible Party Project Manager	Template/Guideline Guidance and Procedures for GEF Project Revisions During Project Implementation (1681) RBM guidance on Manage Change in Project	Explanatory Notes Consider using the RBM Guidance to improve the way that projects manage change.
2.0	Step A revised project document must be quality assured and the risk register updated, including an updated SESP.	Responsible Party UNDP Programme Officer	Template/Guideline Corporate Planning System Project QA - Design and Appraisal	Explanatory Notes See Quality Standards for Programming. See Social and Environmental Standards. See Social and Environmental Screening Procedure.
3.0	Step Revisions that entail a substantive change to the project’s approach or are above the agreed level of tolerance are reviewed and agreed by the project board and donor, UN pooled fund steering committee or vertical funds as relevant.	Responsible Party	Template/Guideline Guidance and Procedures for GEF Project Revisions During Project Implementation	Explanatory Notes UNSDG Standard Memorandum of Understanding for Multi-Donor Trust Funds, One Funds and UNSDG \| Guidance Note on a New Generation of Joint Programmes. Find other UNSDG MOUs at UNSDG legal templates & guidance for pooled funds. For GEF Projects, see guidance and procedures on the internal and external approvals required when making project revisions during project implementation. For GCF Projects, please see the GCF policy on restructuring and cancellation.
3.0 ALT	Step Project extensions for GEF and GCF projects	Responsible Party Resident Representative	Template/Guideline	Explanatory Notes Project Extension Guidance for GEF Projects Project Extension Guidance for GCF Projects SOP for the development of UNDP management actions for Vertical Fund projects escalated for action to the Executive Coordinator Environmental Finance For GEF financed projects, the RACI (Roles, Accountability, Consult and Inform) matrix is helpful guidance in defining the roles and accountability of project oversight.
4.0	Step Sign revised project document (original signatories)	Responsible Party Programme Manager/ Resident Representative	Template/Guideline Project document revision cover page	Explanatory Notes
5.0	Step Standard Operating Procedures to manage GEF/GCF/AF project risks escalated to the Executive Coordinator – Environmental Finance.	Responsible Party Executive Coordinator – Environmental Finance, RR	Template/Guideline SOP for the development of UNDP management actions for Vertical Fund projects escalated for action to the Executive Coordinator Environmental Finance	Explanatory Notes

1.0

Step

The Regional Bureau, in collaboration with the country office, prepares a note that the Administrator submits to the Executive Board giving reasons for requesting suspension of the programme, and proposes management arrangements for continued assistance to the country.

Responsible Party

Regional Bureau Director

Template/Guideline

Explanatory Notes

The note should also explain the implications for harmonized programme periods, and the related consultations that have taken place within the UN country team (including, for example, a programme criticality assessment). In the note, the Administrator may seek authority from the Executive Board to approve assistance on a project-by-project basis until the situation permits a return to normal operations.

Programme suspension note forthcoming.

2.0

Step

The Regional Bureau presents the note to the Associate Administrator through the BPPS Effectiveness Group for review and clearance for submission to the Executive Board for approval.

Responsible Party

Regional Bureau Director

Template/Guideline

Explanatory Notes

1.0

Step

For programme extension requests, submit required documentation to the BPPS Effectiveness Group (through the Regional Bureau, for country programmes) for clearance.

Responsible Party

Template/Guideline

RMT

Routing and Clearance Form for Extensions of Country Programmes

Explanatory Notes

Required supporting documentation:

Signed clearance form with reason for extension
Letter from the government requesting/agreeing with the extension of the Cooperation Framework or equivalent
Signed agreement from UN country team confirming harmonized approach to the extension
RMT cleared by the Bureau for Management Services/Office of Financial Management covering complete programme period.

2.0

Step

Submit request for extension to Executive Board for approval.

Responsible Party

BPPS/Quality Programming Team

Template/Guideline

Explanatory Notes

This is included in the note of the administrator to the Executive Board.

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Policy Areas

Grantees

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