English
Locations
|
1.0 |
StepThe proposed changes are tracked in the programme documentation in consultation with the programme board and appraised with key stakeholders. |
Responsible Party |
Template/Guideline |
Explanatory NotesRequired supporting documentation:
Consider using the RBM Guidance to improve the way that programmes manage change. |
|
2.0 |
StepDetails of the programme amendments are submitted to the Bureau Director. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
|
3.0 |
StepThe Bureau Director, in consultation with the Executive Board Secretariat and the BPPS Effectiveness, reviews the quality of proposed changes and advises on suitable action. |
Responsible PartyBureau Director, Headquarters programme appraisal committee secretariat |
Template/Guideline |
Explanatory Notes |
|
4.0 |
StepProgramme revisions that do not require Executive Board approval are approved following incorporation of feedback and endorsement by the programme board. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
|
4.0 ALT |
StepProgramme revisions requiring Executive Board approval are submitted to the Executive Board Secretariat by the relevant bureau through the Effectiveness Group in BPPS. |
Responsible PartyBureau Director, BPPS/Quality Programming Team |
Template/Guideline |
Explanatory NotesRequired supporting documentation:
|
|
1.0 |
StepHold programme/project board reviews at least annually. |
Responsible PartyProgramme Board, Project Board |
Template/Guideline |
Explanatory NotesConsiders: programme/project reporting, quality assurance data, evaluations, risk assessment, required partnerships and operational bottlenecks and issues. For GEF financed projects, the RACI (Responsible, Accountable, Consulted and Informed) Matrix for GEF Projects Oversight is helpful guidance in defining the roles and accountability of project oversight. Consider using the RBM Guidance to improve oversight of programmes/ projects. |
|
2.0 |
StepRecord decisions in minutes of programme/ project board meetings. |
Responsible PartyProgramme Board, Project Board |
Template/Guideline |
Explanatory NotesThe programme manager must inform project boards of all decisions and actions relevant to the respective projects. Project boards and project managers must operationalize agreed changes made at the programme level through, where necessary, revising corresponding project documents. Consider using this template for Project Board Minutes. |
|
1.0 |
StepTrack performance: Collect progress data against indicator targets (IRRF, programme, project, as relevant), stakeholder feedback, evidence on contextual changes, and operational performance data against financial and efficiency targets, in the frequency stated. |
Responsible PartyUNDP Programme Officer, Project Manager, Monitoring and Evaluation Officer |
Template/Guideline |
Explanatory NotesEnsure that critical project information is monitored and updated in corporate systems. UNSDG Guidance Note on Big Data Security and Ethics Commitments to funding partners/donors should be part of regular monitoring. Consider using the RBM Guidance to assist with data collection methods and considerations. |
|
2.0 |
StepAnalyse evidence: Compare and analyse evidence against defined programming and operational baselines, milestones, targets and the theory of change, and identify factors related to progress, at least annually. |
Responsible PartyProject Manager, Monitoring and Evaluation Officer |
Template/Guideline |
Explanatory NotesConsider using the RBM Guidance to assist with analyzing data and results. |
|
2.1 |
StepVerify output progress and/or completion at least annually. |
Responsible PartyUNDP Programme Officer, Project Manager, Monitoring and Evaluation Officer |
Template/Guideline |
Explanatory NotesHACT guidelines require conducting programme monitoring as part of HACT assurance activities to verify output progress. |
|
2.2 |
StepReview transition arrangements, national ownership and sustainability plan, at least annually. |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory Notes |
|
2.3 |
StepAssess quality at least every other year. |
Responsible PartyUNDP Programme Officer, Monitoring and Evaluation Officer |
Template/Guideline |
Explanatory NotesProject QA - Implementation and Monitoring User Guide (Quantum+) Consider using the RBM Guidance to assist with assessing quality during monitoring. |
|
2.4 |
StepAssess risks and implementation of risk management measures, at least annually. |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory NotesSee Social and Environmental Standards See Enterprise Risk Management Policy Consider using the RBM Guidance to assist with assessing risks during monitoring. |
|
2.5 |
StepMonitor operational performance. |
Responsible PartyUNDP Programme Officer, Project Manager |
Template/Guideline |
Explanatory NotesConsider using the RBM Guidance to assist with assessing operational performance during monitoring. |
|
2.6 |
StepReview partnerships and communication strategy with pipeline and resource mobilization action plan, at least annually. |
Responsible PartyResident Representative |
Template/Guideline |
Explanatory NotesConsider using the RBM Guidance to assist with assessing the PCAP during monitoring. |
|
3.0 |
StepInform decision-making to adjust the programme and project based on evidence and analysis from monitoring. |
Responsible PartyProject Manager, Programme Board |
Template/Guideline |
Explanatory NotesConsider using the RBM Guidance to assist in utilizing monitoring data to assist with decision making. |
|
4.0 |
StepDocument lessons learned through existing reporting and assurance mechanisms. |
Responsible PartyResident Representative, Project Manager |
Template/Guideline |
Explanatory NotesRecording lessons learned takes place in the project space in the corporate planning system. Consider using the RBM Guidance to assist in improving the learning process from monitoring data, including the use of evaluation. |
|
1.0 |
StepMake funds available to the project/portfolio. |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesRefer to Financial Management and Implementation Modalities on the provision of financial resources. Progress/financial reports will form the basis for continued funds availability. Consider using the RBM Guidance to assist with the delivering results. |
|
2.0 |
StepMobilize inputs to initiate activities and deliver outputs. |
Responsible PartyProject Manager, Portfolio Manager |
Template/GuidelineWhen UNDP carries out procurement, the online Quantum system should be used. See Use of Online Quantum System policy and procedures in the POPP Online Quantum System |
Explanatory NotesSee the Financial Management and Implementation Modalities. For detailed procedures related to input mobilization for a directly implemented project, see Procurement and Human Resources Management in the Programme and Operations Policies and Procedures. |
|
3.0 |
StepPerform oversight functions through periodic on-site spot checks, and scheduled audits included in the assurance activity plan. |
Responsible PartyUNDP Programme Officer, Third-party service provider |
Template/GuidelineTORs for periodic spot-checks: see Appendix IX and X, UNSDG HACT Framework Specimen Terms of Reference for NGO/NIM/HACT Financial Audits OAI Portal: NGO/NIM/HACT Financial Audits Evaluation Managers Roles and Responsibilities Monitoring and evaluation focal points roles and responsibilities Charter of the Office of Audit and Investigations RACI (Responsible, Accountable, Consulted and Informed) Matrix for GEF Projects Oversight |
Explanatory NotesHarmonized Approach to Cash Transfers (HACT) The Office of Audit and Investigations conducts audits in alignment with the International Standards for the Professional Practice of Internal Auditing, as issued by the Institute of Internal Auditors. The HACT, NIM and NGO audit terms of reference require auditors to follow either ISA or INTOSAI auditing standards. The RACI (Responsible, Accountable, Consulted and Informed) Matrix for GEF Projects Oversight details the oversight roles and accountability for GEF-funded projects. *See HACT policy for clearance by Bureaus for staff to carry out spot checks.
|
|
4.0 |
StepUpdate the multi-year workplan. |
Responsible PartyProject Manager, Portfolio Manager |
Template/Guideline |
Explanatory Notes
|
|
1.0 |
StepReview multi-year workplan for annual planning. |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory NotesConsider using the RBM Guidance to assist with steps in developing the workplan. |
|
2.0 |
StepPrepare procurement and HR plans |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory NotesProcurement plans are required for “standard or complex business needs”, the Head of BU has to approve all procurement plans by monitoring requisite report in Quantum. All procurement plans (Project and Operations) are established at the activity level in projects in Quantum. Consolidated plans can be viewed and analyzed in Quantum by running the applicable reports. |
|
1.0 |
StepFormulate annual business plan. |
Responsible PartyExecutive Office |
Template/Guideline |
Explanatory NotesConsider using the RBM Guidance to assist with steps in developing the workplan. |
|
2.0 |
StepFormulate unit workplan. |
Responsible PartyHead of BU |
Template/Guideline |
Explanatory NotesIntegrated Workplan Guidance provided annually. |
|
1.0 |
StepSelect responsible party for PBP. |
Responsible PartyProject developer,Project manager |
Template/Guideline |
Explanatory NotesRegular policies apply for selection of responsible parties. |
|
2.0 |
StepIf over $300,000, select independent assessor of international repute, agreed by all parties. |
Responsible PartyProject developer,Project manager |
Template/Guideline |
Explanatory NotesNot applicable for low-value payments; see Guidance on Selecting Evaluators: Individuals versus Firms. |
|
2.1 OPT |
StepInitiation plan or advance authorization (if necessary). |
Responsible Party
|
Template/Guideline |
Explanatory NotesMay be necessary if the assessor is contracted before project approval. |
|
3.0 |
StepAssess capacities and perform due diligence. |
Responsible PartyProject Developer, Project Manager |
Template/Guideline |
Explanatory Notes |
|
4.0 |
StepAppraisal of PBP agreement in the local project appraisal committee or project board. |
Responsible PartyProject developer,Project manager |
Template/Guideline |
Explanatory NotesValidation of the theory of change, result formulation, payment-linked indicators and validation method by the independent assessor and the draft agreement must be included in the submission to the project appraisal committee or project board. |
|
5.0 |
StepSignature of agreement. |
Responsible Party
|
Template/Guideline |
Explanatory Notes |
|
1.0 |
StepApply criteria to determine the appropriate implementing partner. |
Responsible PartyProject Developer and/or Portfolio Developer |
Template/Guideline |
Explanatory NotesApply the criteria for selecting an implementing partner. |
|
2.0 |
StepScreen the selected implementing partner and complete any required capacity assessments instructed by the PCAT. |
Responsible PartyProject Developer and/or Portfolio Developer |
Template/GuidelineThe 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 (PCAT) Quick guide to downloading the Partner Capacity Assess Tool (1851) |
Explanatory NotesPartners’ 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). |
|
3.0 |
StepComplete relevant sections of the project document and/or portfolio document once the implementing partner has been selected, including building in capacity development support to national partners as needed. |
Responsible PartyProject Developer and/or Portfolio Developer |
Template/Guideline |
Explanatory Notes |
|
1.0 |
StepDesignate a UNDP staff member to manage the development services (account manager). |
Responsible Party |
Template/Guideline |
Explanatory NotesSelecting the best delivery instrument for the initiative. |
|
2.0 |
StepPrepare a development services agreement, including two annexes (multi-year work plan, schedule of payments) and assess risks. |
Responsible PartyDevelopment services account manager |
Template/Guideline |
Explanatory NotesAssessing risks includes the SESP, where applicable. See policy on Social and Environmental Standards.
|
|
3.0 |
StepApprove the agreement. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
|
4.0 |
StepEstablish a project ID in Quantum, and select development services as the project type. |
Responsible PartyDevelopment services account manager |
Template/Guideline |
Explanatory NotesNote: Resources mobilized from partners should be credited using the Fund Code 32050. These are cash-controlled and cannot be transferred for other purposes. |
|
5.0 |
StepReport results achieved in the Results-Oriented Analysis Report and in annual reviews of the country programme. |
Responsible Party |
Template/Guideline |
Explanatory NotesConsider using the RBM Guidance to assist with report design, writing and template. |
|
6 |
StepOnce development services have been delivered, prepare the final report and set status to closed in Quantum. |
Responsible PartyDevelopment services account manager |
Template/Guideline |
Explanatory Notes |
|
1.0 |
StepPrepare a project proposal and a multi-year workplan, and identify financial resources (including in-kind) for activities in Quantum. |
Responsible Party |
Template/Guideline |
Explanatory NotesQuantum project type should be 'SSC/multi-country'. |
|
2.0 |
StepLink the projects in Quantum. |
Responsible PartyProgramme officer (in the coordinating office) |
Template/Guideline |
Explanatory NotesAll projects that fall under the same South-South/multi-country project document will need to be linked in Quantum to enable consolidated monitoring and reporting. |
|
3.0 |
StepAppraise the multi-country/South-South project in each participating office. |
Responsible Party |
Template/Guideline |
Explanatory NotesFor more information on the evaluation of Multi-country or South-South cooperation projects, see UNDP Evaluation Guidelines. |
|
3.1 |
StepPrepare fully costed project budgets to ensure that all anticipated programmatic and operational costs, including development effectiveness and implementation support arrangements are identified, fully costed in the budget. |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesThe requirements for developing a project budget are outlined in Prepare Fully Costed Budgets for Projects. |
|
4.0 |
StepApprove the multi-country project document. |
Responsible PartyCoordinating office will conduct a virtual joint project appraisal committee for the participating country offices |
Template/Guideline |
Explanatory NotesProject cover page with signatories. Coordinating office will conduct a virtual joint project appraisal committee for the participating country offices. |
|
5.0 |
StepIdentify and estimate the non-core resources that need to be mobilized; formulate the cost-sharing multi-country or South-South cooperation or agreement. |
Responsible PartyCoordinating Office & Participating Offices |
Template/Guideline |
Explanatory Notes |
|
6.0 |
StepNegotiate with donors on resources and payment schedules. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
|
7.0 |
StepEstablish accounts receivable; apply contributions. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
|
8.0 |
StepUpdate and revise the output project budgets if necessary. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
|
9.0 |
StepReport project outcomes and deliverables to contributing partners. |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesExecutive Snapshot and Quantum reports shall be used to monitor and report South-South and triangular cooperation projects. |
|
10.0 |
StepSubmit financial reports, disaggregated by country, to contributing partners. |
Responsible PartyThe coordinating office & BMS/OFRM |
Template/Guideline |
Explanatory NotesThis is done by the coordinating office and Bureau for Management Services/Office of Financial Management. The standard donor report template may be changed as needed in accordance with donor needs. **Remaining procedures are similar to normal development projects; however, reporting, evaluation and management arrangements should be conducted jointly under the coordinating office. |