| United Nations Development Programme

1.0

Step

Designate a Programme Officer to manage the engagement facility.

Responsible Party

Template/Guideline

Quantum Project Creation Process Overview

Review Selecting the Delivery instrument:

RBM Guidance on selecting the delivery instrument

Explanatory Notes

Consider using the RBM Guidance to assist on selecting the best delivery instrument for the initiative.

2.0

Step

Establish a project ID in Quantum, and select engagement facility as the project type.

Responsible Party

UNDP Programme Officer

Template/Guideline

Explanatory Notes

The project ID can remain open for the duration of the country programme unless closed in accordance with step 6.0.

3.0

Step

Prepare a multi-year workplan, identify financial resources for activities and update the workplan as new activities are foreseen.

Responsible Party

UNDP Programme Officer

Template/Guideline

Multi-year workplan template

RBM guidance on Annual Planning

Explanatory Notes

Consider using the RBM Guidance to assist with steps in developing the workplan.

3.1

Step

Ensure that all anticipated programmatic and operational costs, including development effectiveness and implementation support arrangements are identified, fully costed in the budget.

Responsible Party

UNDP Programme Officer

Template/Guideline

A budget template is available here

A detailed list of components to be budgeted is available here

Explanatory Notes

The requirements for developing a project budget are outlined in Prepare Fully Costed Budgets for Projects.

4.0

Step

Approve the multi-year workplan, committing resources.

Responsible Party

Template/Guideline

Explanatory Notes

See notes 1, 2, 3 and 4.

Note 1: (a) Core resources are allocated to the country office through an ASL. Unspent core resources do not roll forward to the next year. The following COA for the ASL resources used for the Engagement Facility should be used to set up the allocation in the project budget:

Year: current year

Fund: 04400

OP Unit: CO code

Impl. Agent: 001981 (UNDP)

Donor: 00012

(b) The fund code (04xxx) for core resource allocations from regional and global windows will be provided by the issuing office.

Note 2: Non-core resource contributions to the engagement facility are cash controlled. The recording of income is done as follows:

(a) For transfers of unutilized cost-sharing balances, the following applies:

Offices are to ensure that corresponding cost-sharing projects are financially closed, and there are no outstanding financial obligations or commitments;
Offices are to secure the concurrence of all relevant donors to redeploy these funds to the engagement facility;
The transfers are done with a general ledger journal entry based on the following entries:

Line	Account	Fund	Project	Oper.	Dept.	Amount	Comment
1	51035	As per cost-sharing project fund	Cost-sharing project	CO	CO	Specify	DEBIT to cost-sharing project(s) to transfer funds to engagement facility
2	51035	As per the funding source	EF project	CO	CO	Specify	CREDIT to engagement facility project from cost-sharing project(s)

(b): When the country office mobilizes government or third-party cost sharing contributions for the engagement facility, upon receipt of the contribution, offices are to apply the contribution to the Engagement Facility through the Document Management System (DMS).

Note 3: UNDP's cost recovery policy on management of non-core resources and general management support charges apply to government and third-party contributions, and transfers from the 11888 account.

Note 4: The facility can receive funds from a variety of core and non-core resources noted above. Once income is recorded in the engagement facility, however, it cannot be considered fungible, and thus is not eligible for transfer for other purposes.

5.0

Step

Report results achieved in the Results-Oriented Analysis Report and annual reviews of the country programme.

Responsible Party

Template/Guideline

RBM guidance on Reporting

Explanatory Notes

Consider using the RBM Guidance to assist with report design, writing and template.

6.0

Step

Close the Engagement Facility when it is no longer needed.

Responsible Party

UNDP Programme Officer

Template/Guideline

Explanatory Notes

The Engagement Facility should be closed in Quantum when it is no longer needed. At least once during the programme period, all Engagement Facilities should be reviewed to see if closure is needed. See Close and Transition.

1.0

Step

Develop workplan and budget.

Responsible Party

UNDP Programme Officer

Template/Guideline

Institutional Effectiveness Project Document Template

RBM guidance on Annual Planning

Explanatory Notes

Template requirement depends on funding source. If funding is non-core, the standard project document should be utilized. If funding is core, a prodoc workplan and budget format are required at minimum. If funding is both core and non-core, the standard project document should be utilized.

The institutional effectiveness project document template (core funding) is a simplified version of the standard project document template comprising of the workplan, identifying how the project will be managed and consideration of risks.

View the Visual Guide to Development and Institutional Effectiveness Projects.

Consider using the RBM Guidance to assist with steps in developing the workplan and budget.

1.1

Step

Prepare 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 Party

UNDP Programme Officer

Template/Guideline

Prepare Fully Costed Budgets for Projects: Direct/Indirect Costs Guide (Annex 1)

A detailed list of components to be budgeted is available here

Explanatory Notes

The requirements for developing a project budget are outlined in Prepare Fully Costed Budgets for Projects.

1.0

Step

Identify pipeline concept and mobilize partners.

Responsible Party

UNDP Programme Officer

Template/Guideline

Quantum Project Creation Process Overview

Project Management Initiation Plan Template

Project & Portfolio Management Quantum

Optional Concept Note for UNDP Projects:

Concept Note Template: UNDP Internal Review and Clearance Process

Required Concept Note for Green Climate Fund (GCF) Projects:

Concept Note Template: Green Climate Fund (GCF) Projects

Required Concept Note for Global Environmental Facility (GEF) Projects:

Project Identification Form (PIF)

Explanatory Notes

Identify new pipeline concepts by analysing gaps in the programme’s theory of change that are not already being addressed.

Funding and collaborating partners and potential stakeholders must be identified and consulted as early as feasible, ensuring a wide range of partners (international financial institutions, civil society, private sector, etc.)

A concept note may be helpful to articulate ideas for particularly complex projects or to obtain early support from partners. The proposed content can include: output(s) and linkage to CP outcome(s); approach, method and capacity development strategies; stakeholder analysis; potential implementing partner; potential main financing partner(s); and indicative funding requirements.

For GCF projects a Concept Note is required, and for GEF Projects this concept note is called a PIF.

Create a new pipeline linked to the programme and Strategic Plan in the corporate planning system. If a new programme output will be needed to respond to the development need, make a note to discuss in the next Programme Steering Committee meeting.

System action points:

Create a project proposal in the corporate planning system, generating a project number with one or more linked outputs; link the proposal to the programme tree (country programme document output).

*If the project is part of a portfolio, it will share the project number with other projects in the portfolio. A project budget is reflected in one or more output IDs. An output ID can only reflect the budget from one project with one implementing partner.

*If a decision is taken not to continue with the proposal, record this decision in the corporate planning system to close the proposal.

1.1 ALT

Step

For Environmental and Climate Vertical Fund Projects (those supported by the GEF, GCF, Adaptation Fund and other vertical funds), conduct an initial screening and assessment to determine if the conditions and criteria for accepting government requests for programming are met.

Responsible Party

Project Manager

Template/Guideline

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

GEF Project Origination and Pre-Investment Screening Committee (PISC) Phase – SOPs and Guidance

PISC Template and Guiding Questions

Execution Support SOPs for GEF projects

GEF RACI (Responsible, Accountable, Consulted and Informed) for NIM projects.

GCF RACI (Responsible, Accountable, Consulted and Informed) for NIM projects

Explanatory Notes

Note that additional quality assurance must be provided by the BPPS/Vertical Fund Hub for GEF and GCF projects as outlined in the RACI.

2.0

Step

Appoint a developer to formulate the project

Responsible Party

Template/Guideline

Explanatory Notes

2.1

Step

If an implementing partner needs to be selected prior to developing the project document, see Select Implementing Partners

Otherwise, select an implementing partner at the appropriate time

Responsible Party

UNDP Programme Officer

Template/Guideline

Explanatory Notes

2.2 OPT

Step

Develop initiation plan (if applicable)

Responsible Party

UNDP Programme Officer

Template/Guideline

Initiation plan template

GEF Project Preparation Grant Total Budget Work Plan template

Adaptation Fund Project Formulation Grants (PFG) Total Budget Work Plan

SOPs and Guidance for GEF PIF and PPG Phase

SOPs and Guidance for Adaptation Fund Projects

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.

3.0

Step

Develop a project document that adheres to UNDP quality standards and partner requirements

Responsible Party

UNDP Programme Officer

Template/Guideline

Project Document Template

GEF Project Document Template

GCF Project Document Template

Adaptation Fund Project Document Template

Guidance on Governance Arrangements for Vertical Fund Programming

Multi-country and SSTC Project Document

Project Board ToR

Project Board FAQ

Project QA - Design and Appraisal (Quantum+)

Evaluation Plan Template

Evaluability Checklist

Evaluation TOR Template

UNDP-supported Guarantees policy

RBM Guidance on designing a project document

Explanatory Notes

The project/portfolio document should attach:

The SESP and any related assessments and management plans
Detailed terms of reference for key project positions and the project board
Standard agreements such as the project cooperation agreement when a civil society organization is implementing and cost-sharing agreements
Standard letter of agreement between the implementing partner and responsible parties for the implementation of the project
Procurement plan
Project monitoring schedule plan
List of foreseeable knowledge products, if relevant

For further guidance, see: Results-Based Management (RBM) Hub

Consider using the RBM Guidance to assist in developing the project document in 10 steps.

3.0 ALT

Step

For joint programmes with other UN agencies, a joint programme project document should be used.

For multi-donor trust funds, each has its own project template which is approved by a steering committee and included in an operations manual.

If UNDP is requested to be the administrative agent, contact the Multi-Partner Trust Fund Office: executivecoordinator.mptfo@undp.org

Responsible Party

UNDP Programme Officer

Template/Guideline

ANNEXES to UNSDG Guidance Note on a New Generation Joint Programmes

Explanatory Notes

UNSDG | Guidance Note on a New Generation of Joint Programmes

3.1

Step

Ensure a wide range of stakeholders participate in the formulation of the project

Responsible Party

UNDP Programme Officer

Template/Guideline

RBM guidance on Context Scanning and Stakeholder Collaboration

Explanatory Notes

Stakeholders include any parties with an interest in the project, including target beneficiary groups, civil society organizations, governments, the media, UN agencies and donors.

The participation of women and disadvantaged groups should be ensured throughout the project cycle, as appropriate.

The participation of stakeholders ensures that potential opportunities and analysis, including lessons drawn from experience, are taken into account in project design.

Participation promotes ownership, sustainability and commitment, without which the results are unlikely to be lasting.

Ensuring participation requires time and resources; adequate provision should be made for these.

Consider using the RBM Guidance to assist with steps for collaborating with all stakeholders in project formulation.

3.2

Step

Responsible Party

UNDP Programme Officer

Template/Guideline

A detailed list of components to be budgeted is available here

A budget template is available here

Evaluation Budget Calculation

Explanatory Notes

The requirements for developing a project budget are outlined in Prepare Fully Costed Budgets for Projects.

Refer to the detailed procedures for Costing and Budgeting of projects funded by the following partners:

3.3

Step

Identify potential risks, and conduct further assessment and management plans as needed in a participatory manner

Responsible Party

UNDP Programme Officer

Template/Guideline

Portfolio and Project Risk Register Template

Guidance Note : UNDP Social and Environmental Standards (SES)

UNDP Online Social and Environmental Screening Procedure User Guide

Explanatory Notes

The initial project Risk Register and SESP are submitted to the project appraisal committee as annexes to the project document and recorded in the Quantum Project Results and Project Closure Workbench.

Enterprise Risk Management Policy

Managing Risks Across UNDP Programming and Operations: Guidance Note

3.3 ALT

Step

Complete a risk assessment, including applying mitigatory measures, if UNDP plans to engage with the non-UN security sector.

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

Guidance: UNDP Implementation Tool for the UN Human Rights Due Diligence Policy

Risk Assessment Form: UNDP Implementation Tool for the UN Human Rights Due Diligence Policy

Explanatory Notes

Refer to: Human Rights Due Diligence Policy on United Nations support to non-United Nations Security Forces (HRDDP)

3.4

Step

If the project is part of a portfolio, link the project with the portfolio number in Quantum.

Responsible Party

Template/Guideline

Explanatory Notes

1.0

Step

Prepare final project review report.

Responsible Party

Project Manager

Template/Guideline

RBM guidance on closing projects

Explanatory Notes

Final project review report template forthcoming.

The report should be generated directly from the corporate planning system.

Consider using the RBM Guidance to improve the closing of projects.

2.0

Step

If required, commission final project evaluation, prepare a management response, and share findings and recommendations for learning.

Responsible Party

Template/Guideline

RACI (Responsible, Accountable, Consulted and Informed) Matrix for GEF Projects Oversight

Explanatory Notes

Templates for this step:

Terms of reference for decentralized evaluations (see UNDP Evaluation Guidelines)
Evaluation report format (see UNDP Evaluation Guidelines)

Projects are required to be evaluated if they are included in the programme's evaluation plan, or if required by partners (see UNDP Evaluation Guidelines). The programme manager may request the project manager to support the commissioning, management and use of evaluation, including the preparation of a management response and implementation of committed actions.

Mid-Term/Interim and Terminal Evaluations of Environmental Vertical Fund financed projects must meet both UNDP and the relevant vertical fund requirements.

For GEF financed projects, see guidance on conducting a Terminal Evaluation and guidance on conducting a mid-term evaluation. These documents are accessible on the UNDP Independent Evaluation Office website in Spanish, French, and English (click on the GEF Project Evaluation tab). For evaluations of GCF and AF financed projects, please consult the Nature, Climate and Energy team.

The RACI matrix sets out the roles and accountability for this stage of GEF-financed projects.

Management responses for all evaluations are required. Progress made in committed actions should be tracked in the UNDP Evaluation Resource Centre.

3.0

Step

Conduct a final project review, including the final report, project closure quality assessment and project closure budget.

Responsible Party

Template/Guideline

Project status is changed from Ongoing (O) to (C) = Operationally closed

Project QA - Closure (Quantum+)

Explanatory Notes

The project board assures that all project deliverables have been produced satisfactorily and endorses the final project review report, including lessons learned.

The project quality assurance assessment (closure stage) is prepared and reviewed during the final project review. Lessons are captured during this process. See Quality Standards for Programming.

Project QA - Closure User Guide (Quantum+)

4.0

Step

Transfer or dispose of project assets and files.

Responsible Party

Template/Guideline

Transfer of title form

Asset Transfer Form (HQ)

Asset Transfer Form (CO)

Asset Disposal (under USD 5,000) Form (HQ)

Asset Disposal (USD 5,000 and above) form (HQ)

Asset Disposal (under USD 5,000) Form (CO)

Asset Disposal (USD 5,000 and above) Form (CO)

Explanatory Notes

Project assets and documents should be transferred to national beneficiaries or national representatives. Worthless assets are discarded. See Transfer or Disposal of Assets.

4.1 ALT

Step

Transfer by donation project assets to another UNDP project.

Responsible Party

Template/Guideline

Note on steps required for donations

Explanatory Notes

Guidance on donations from third parties

5.0

Step

Prepare and submit final financial report to UNDP.

Responsible Party

Project Manager

Template/Guideline

FACE form

Project Delivery Report - Only for UN Agency implementation or execution

Explanatory Notes

Under HACT, national institutions and non-governmental organizations serving as implementing partners prepare the final FACE form. For detailed procedures, see Direct Cash Transfers and Reimbursements.

UN agencies undertaking activities under national implementation report expenditures with a project delivery report.

6.0

Step

Complete project closure activities.

Responsible Party

UNDP Programme Officer

Template/Guideline

Quantum > Projects > Project Results and Project Closure Workbench

Explanatory Notes

A check of the output financials (cash funds and allocation funds) must be done at this stage to ensure these are consistent with the funding sources for the project. This will catch issues such as miscoding funds, donors, etc. that need correction. The project should close with zero balance in the balance sheet and zero fund balance.

6.1

Step

Special donor requirements for refunds.

Responsible Party

Project Manager

Template/Guideline

Explanatory Notes

Any financial resources remaining after reconciling the project should be either refunded to the donor or transferred to general resources in line with relevant policies and procedures. Any pending refund to donors should be moved to account 21030 to avoid delays in closing the project.

Some donors, such as Belgium, the Netherlands and the United States (United States Agency for International Development, United States Department of State through a letter of credit), European Commission, Multi-Partner Trust Fund Office and trust funds, follow the special donor procedures outlined in the policy Refunds to Donors. For some donors, such as the Netherlands, projects must not be reopened once financially closed. For other donors, UNDP issues refunds as the last step before designating a project as financially closed in Quantum.

6.2

Step

Manage exceptions (i.e., outstanding advances under national implementation, signing a Combined Delivery Report, etc.

Responsible Party

UNDP Programme Officer

Template/Guideline

Explanatory Notes

Where exceptions in the project completion checklist apply, the business unit must exercise due diligence by exploring possible solutions in consultation with the implementing partner, Regional Bureau and the Bureau for Management Services/Office of Financial Resources Management. These exceptions must be handled on a case-by-case basis with approval from respective divisions in headquarters on issues outside of corporate policies and procedures. Actions taken should be documented. Offices should not move unspent balances to account 21030 for pending refunds to donors before the appropriate steps and due diligence are carried out while adopting the alternative procedures and before confirming bank account details with the donor. More information on managing exceptions can be found in Project Closure Guidelines (see section 8.0).

7.0

Step

Review and sign final Combined Delivery Report.

Responsible Party

Programme manager/Resident Representative,Implementing partner

Template/Guideline

Combined Delivery Report

Explanatory Notes

Under HACT, all financial transactions (FACE) are recorded in Quantum to generate the final Combined Delivery Report.

UNDP prepares the report and submits it to the project board for virtual review. It is then signed by UNDP and the implementing partner, confirming final project financial accounts and expenditures.

8.0

Step

Close the project.

Responsible Party

Template/Guideline

Explanatory Notes

A project is closed when all financial transactions have been reported and certified, and all project accounts are closed. The programme manager/RR is accountable for ensuring that the project is closed in accordance with the approved closure plan submitted to the project board. This must be done at the latest within 12 months of operational closure.

Quantum Actions: Forthcoming

9.0

Step

Oversee project closure.

Responsible Party

Regional Bureau (programme QA Approver)

Template/Guideline

Explanatory Notes

The Regional Bureau is accountable for overseeing project financial closure to ensure it is completed at the latest within 12 months of operational closure.

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. 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 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.	Responsible Party	Template/Guideline Country programme action plan	Explanatory Notes
5.0 ALT 2	Step If there is no recognized government able to sign the country programme, seek approval from the Associate Administrator through the Bureau for Policy and Programme Support/Effectiveness Group for direct execution of the programme based on the country programme document.	Responsible Party	Template/Guideline Direct Execution Approval template	Explanatory Notes This establishes a lack of a recognized national government that can accept national ownership of the programme; UNDP assumes the risks of directly executed programmes (DEX).
6.0	Step Develop a country programme document that adheres to the quality standards.	Responsible Party	Template/Guideline Country programme document template RBM Guidance on designing a CPD	Explanatory Notes The CPD can specify up to four Cooperation Framework outcomes to which UNDP contributes. It must include indicative outputs consistent with the theory of change, and prospective UNDP and partner financial resources. Consider using the RBM Guidance to assist in developing the CPD in 10 steps.
6.0 ALT 1	Step Develop the regional programme document.	Responsible Party Programme manager/ Regional Bureau Director	Template/Guideline Regional programme document template	Explanatory Notes
6.1	Step Prepare a costed evaluation plan with sufficient programme coverage, consistent with the Cooperation Framework evaluation plan if relevant.	Responsible Party	Template/Guideline Evaluation Plan Template Evaluability Checklist Fully-Costed Evaluation Plan	Explanatory Notes UNDP Evaluation Guidelines
6.2	Step Ensure the programme budget is realistic and reflects an efficient use of resources.	Responsible Party	Template/Guideline RMT	Explanatory Notes UNSDG guidance
6.3	Step Ensure incorporation of the PCAP into programme design.	Responsible Party	Template/Guideline PCAP	Explanatory Notes The RM Toolkit and Communications Toolkits contain guidance with the required elements and a suggested format for the Partnerships and Communication Strategy and Action Plan (PCAP). Consider using the RBM Guidance to assist in developing the PCAP.
7.0	Step In high-risk security settings, contribute to the UN-wide programme criticality assessment to determine acceptable security risk levels for UN personnel in the required frequency.	Responsible Party	Template/Guideline Programme Criticality	Explanatory Notes In a prolonged crisis with elevated security risk, a UN programme criticality assessment is required to determine acceptable risk levels for different outputs, and to indicate where additional security risk management measures or alternative delivery modalities would be required.
8.0	Step Participate in joint results groups and associated joint workplans, if applicable.	Responsible Party	Template/Guideline Final - ANNEXES to UNSDG Guidance Note on a New Generation Joint Programmes.	Explanatory Notes UNSDG \| Guidance Note on a New Generation of Joint Programmes

1.0

Step

Conduct Social and Environmental Screening to identify potential social and environmental risks, including dispute risks.

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

Portfolio and Project Risk Register Template

Guidance Note : UNDP Social and Environmental Standards (SES)

Social and Environmental Screening Procedure (Quantum+)

UNDP Online Social and Environmental Screening Procedure User Guide

Explanatory Notes

SES Toolkit

Guidance Note: UNDP Social and Environmental Standards (SES)

Stakeholder Response Mechanism (SRM) Guidance

Identify and plan management actions to address significant risks, including dispute risks, and to build or support national risk management capacities, and integrate into Project Document.

Include results of SESP as an Annex to the Project Document.

Enter identified risks, including dispute risks, and management measures into Project Risk Register.

2.0

Step

Implement identified management actions and track in Project Risk Register.

If grievances are received through the Stakeholder Response Mechanism (SRM), manage and resolve requests using process outlined in SRM Guidance.

Responsible Party

Project Manager

Template/Guideline

Portfolio and Project Risk Register Template

Explanatory Notes

Stakeholder Response Mechanism (SRM) Guidance

SES Toolkit

Assess ongoing compliance with the Social and Environmental Standards as part of ongoing quality assurance and risk reporting.

Update SESP and risk categorization if there is a substantive revision to the project or if the context has changed in a way that alters the risk profile of the project.

3.0

Step

Review social and environmental and risk prevention and management experience; note lessons learned and opportunities for improvement in project closure/evaluation.

Responsible Party

Project Manager

Template/Guideline

Explanatory Notes

Stakeholder Response Mechanism (SRM) Guidance

SES Toolkit

1.0	Step Conduct a design stage portfolio or project QA Assessment, including identifying management actions to address any areas that need improvement.	Responsible Party QA Assessor	Template/Guideline Portfolio/Project QA Design and Appraisal User Guide (Quantum+) Portfolio/Project QA Design Stage (Quantum+) Evaluation Plan Evaluation Plan Quality Assurance Checklist	Explanatory Notes Portfolio/Project QA Design and Appraisal User Guide (Quantum+) The QA Assessor is accountable for project assurance, which is independent of the portfolio or project manager. A UNDP programme or monitoring and evaluation officer typically holds the project assurance role on behalf of UNDP. For GEF- and GCF-financed projects, project assurance is undertaken as per the requirements of the vertical funds, and these services are covered by the fee provided by the vertical fund. Programme officer and or the M&E focal point fill the Evaluation Resource Center’s evaluation plan upon approval of the Project Document by the LPAC
1.1	Step Recommend a decision on whether and how resources should, or should not, be committed to the portfolio or project.	Responsible Party Local project appraisal committee, reported by QA Assessor	Template/Guideline	Explanatory Notes Decisions include: • Approve • Approve with modifications • Disapprove
1.2	Step Review portfolio or project QA Assessment, make adjustments as needed and approve.	Responsible Party	Template/Guideline	Explanatory Notes
2.0	Step Conduct implementation stage portfolio or project QA Assessment every two years, including identifying management actions to address any areas that need improvement.	Responsible Party	Template/Guideline Portfolio/Project QA - Implementation and Monitoring (Quantum+)	Explanatory Notes Select Unit, Year, Portfolio or Project, Project No and Name, and “Create New Implementation and Monitoring Form”
2.1	Step Review portfolio or project QA Assessment, make adjustments as needed and approve.	Responsible Party	Template/Guideline	Explanatory Notes The QA Approver may consult others as appropriate.
2.2	Step Determine one of three possible decisions for the project and take action accordingly.	Responsible Party Programme Manager	Template/Guideline	Explanatory Notes Decisions include: • Continue • Suspension • Cancellation
3.0	Step Conduct closure stage portfolio or project QA Assessment, and add summary comments and lessons learned as needed.	Responsible Party QA Assessor	Template/Guideline Portfolio/Project QA - Closure (Quantum +)	Explanatory Notes Portfolio/Project QA - Closure User Guide (Quantum+)
3.1	Step Review project QA Assessment, make adjustments as needed and approve.	Responsible Party QA Approver	Template/Guideline	Explanatory Notes The QA Approver may consult others as appropriate.

1.0	Step Conduct a design stage programme quality assurance assessment, including identifying management actions to address any areas that need improvement.	Responsible Party BPPS Quality Programming (Programme QA Assessor)	Template/Guideline Programme Quality Assurance (QA) Assessment Template Regional Programme Quality Assurance (QA) Assessment Template Evaluation Plan Template Evaluation Plan Quality Assurance Checklist	Explanatory Notes
1.1	Step Based on a review of programme quality, recommend a decision on whether the programme should be sent to the Executive Board for approval.	Responsible Party Bx Director (Programme QA Approver)	Template/Guideline	Explanatory Notes
2.0	Step Conduct an implementation stage programme quality assurance assessment annually through the Results-Oriented Analysis Report (ROAR).	Responsible Party Programme Manager (Programme QA Assessor)	Template/Guideline	Explanatory Notes Quality of the programme is assessed through the narrative in the Results Oriented Analysis Report.
2.1	Step Review the Results-Oriented Analysis Report, adjust as needed and approve for submission.	Responsible Party Regional Bureau (programme QA Approver)	Template/Guideline	Explanatory Notes The QA Approver may consult others as appropriate to review the programme.
3.0	Step Conduct a thorough and objective assessment of the programme at the closure stage, including lessons learned.	Responsible Party Programme Manager (Programme QA Assessor)	Template/Guideline Country Programme Performance Summary	Explanatory Notes If there is no Independent Country Programme Evaluation (ICPE), then the country office must complete the Country Programme Performance Summary for the Executive Board.
3.1	Step Review the programme evaluation or summary report; approve for submission to the Executive Board.	Responsible Party Regional Bureau (programme QA Approver)	Template/Guideline	Explanatory Notes

1.0

Step

Complete Independent Country Programme Evaluation (ICPE).

Responsible Party

Independent Evaluation Office Director

Template/Guideline

RBM guidance on transitioning programmes

Explanatory Notes

The ICPE must be considered in the development of the new programme and submitted to the Executive Board along with the new CPD for approval.

Consider using the RBM Guidance to improve the transition of country programmes.

ALT

Step

If no independent country programme evaluation is completed, prepare a Country Programme Performance Summary.

Responsible Party

Template/Guideline

Country programme performance summary

Explanatory Notes

The country programme performance summary is submitted to the Executive Board in lieu of an independent country programme evaluation.

ALT

Step

For regional programmes, complete an independent evaluation.

Responsible Party

Independent Evaluation Office Director

Template/Guideline

Explanatory Notes

1	Step Initiate discussions with Partner Entity on NRLA.	Responsible Party Requesting Bureau or Office	Template/Guideline Model Non-Reimbursable Loan Agreement (English) Model Non-Reimbursable Loan Agreement (French) Model Non-Reimbursable Loan Agreement (Spanish)	Explanatory Notes Discussions should be based on NRLA template.
2	Step Secure agreement from Partner entity in accordance with paragraph 19 (c).	Responsible Party Requesting Bureau or Office	Template/Guideline	Explanatory Notes
3	Step Certify that the proposal does not involve financial liability for UNDP.	Responsible Party Requesting Bureau or Office	Template/Guideline	Explanatory Notes
4	Step If any changes to the NRLA template are made secure review and clearance by LO.	Responsible Party Requesting Bureau or Office	Template/Guideline	Explanatory Notes
5	Step Inform BERA’s Partnership Group of NRLA.	Responsible Party Requesting Bureau or Office	Template/Guideline	Explanatory Notes
6	Step Calculate the value of the services offered on the basis of the salary element of the pro-forma cost for the grade and obtain account codes from OFM.	Responsible Party	Template/Guideline	Explanatory Notes Use pro forma costs as indication. Where the ToRs do not indicate an equivalent grade for the services offered, the pro forma cost for a staff member at the P4 step 5 can be used. The income from cost recovery is used to fund UNDP’s institutional costs in line with approved budget processes. Income from cost recovery should be recorded under the following COA: Operating Unit :H18 Account:54010 Fund:11820 Dept ID:11006
7	Step Consult Security Office.	Responsible Party Requesting Bureau or Office	Template/Guideline	Explanatory Notes Necessary if NRLA is being considered in a non-family duty station.
8	Step Fill out conflict of interest form and consult Ethics Office if necessary.	Responsible Party Requesting Bureau or Office	Template/Guideline New Personnel Conflict of Interest Declaration Form	Explanatory Notes
9	Step Sign NRLA MOA.	Responsible Party Requesting Bureau or Office	Template/Guideline	Explanatory Notes
10	Step Address request for NRLA to Director, OHR.	Responsible Party Director of Requesting Bureau/Requesting Bureau Management	Template/Guideline	Explanatory Notes Request to include information on services to be performed and draft ToRs, and where known partner entities were approached collectively, a selection strategy.
11	Step Assist in selection procedure, if and when required, and approve candidate.	Responsible Party OHR	Template/Guideline	Explanatory Notes
12	Step Assist in obtaining clearances and visas necessary to assignment.	Responsible Party	Template/Guideline	Explanatory Notes BMS will assist in obtaining visa clearances in New York.
13	Step Raise RPA.	Responsible Party OHR	Template/Guideline	Explanatory Notes Request GSSC to register candidate so that non-staff individuals serving with UNDP can be accounted for.
14	Step Register candidate in Quantum	Responsible Party	Template/Guideline	Explanatory Notes Candidate to be registered in Atlas in a non-pay group as a Person of Interest (POI).

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