| United Nations Development Programme

1.0

Step

Formulate annual business plan.

Responsible Party

Executive Office

Template/Guideline

RBM guidance on Annual Planning

Explanatory Notes

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

2.0

Step

Formulate unit workplan.

Responsible Party

Head of BU

Template/Guideline

Explanatory Notes

Integrated Workplan Guidance provided annually.

1.0

Step

Review multi-year workplan for annual planning.

Responsible Party

Project Manager

Template/Guideline

Multi-Year Work Plan

RBM guidance on Annual Planning

Explanatory Notes

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

2.0

Step

Prepare procurement and HR plans

Responsible Party

Project Manager

Template/Guideline

Quantum

Explanatory Notes

Procurement 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

Step

Track 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 Party

UNDP Programme Officer,

Project Manager,

Monitoring and Evaluation Officer

Template/Guideline

Results framework

Evaluation Process Checklist

RBM guidance on Collecting Data

Explanatory Notes

Ensure 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

Step

Analyse 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 Party

Project Manager,

Monitoring and Evaluation Officer

Template/Guideline

RBM guidance on how to analysis results on progress

Explanatory Notes

Consider using the RBM Guidance to assist with analyzing data and results.

2.1

Step

Verify output progress and/or completion at least annually.

Responsible Party

UNDP Programme Officer,

Project Manager,

Monitoring and Evaluation Officer

Template/Guideline

Output Verification Template

Explanatory Notes

HACT guidelines require conducting programme monitoring as part of HACT assurance activities to verify output progress.

2.2

Step

Review transition arrangements, national ownership and sustainability plan, at least annually.

Responsible Party

Project Manager

Template/Guideline

Explanatory Notes

2.3

Step

Assess quality at least every other year.

Responsible Party

UNDP Programme Officer,

Monitoring and Evaluation Officer

Template/Guideline

Project QA - Implementation and Monitoring (Quantum+)

RBM guidance on how to assess quality during monitoring

Explanatory Notes

Project QA - Implementation and Monitoring User Guide (Quantum+)

Consider using the RBM Guidance to assist with assessing quality during monitoring.

2.4

Step

Assess risks and implementation of risk management measures, at least annually.

Responsible Party

Project Manager

Template/Guideline

Portfolio and Project Risk Register Template

Risk Management Framework for Vertical Fund Projects

RBM guidance on how to assess risk during monitoring

Explanatory Notes

See Social and Environmental Standards

See Enterprise Risk Management Policy

Consider using the RBM Guidance to assist with assessing risks during monitoring.

2.5

Step

Monitor operational performance.

Responsible Party

UNDP Programme Officer,

Project Manager

Template/Guideline

RBM guidance on how to assess operational performance

Explanatory Notes

Consider using the RBM Guidance to assist with assessing operational performance during monitoring.

2.6

Step

Review partnerships and communication strategy with pipeline and resource mobilization action plan, at least annually.

Responsible Party

Resident Representative

Template/Guideline

RBM guidance on how to assess the PCAP

Explanatory Notes

Consider using the RBM Guidance to assist with assessing the PCAP during monitoring.

3.0

Step

Inform decision-making to adjust the programme and project based on evidence and analysis from monitoring.

Responsible Party

Project Manager,

Programme Board

Template/Guideline

RBM guidance on how to use monitoring data to inform decision making

Explanatory Notes

Consider using the RBM Guidance to assist in utilizing monitoring data to assist with decision making.

4.0

Step

Document lessons learned through existing reporting and assurance mechanisms.

Responsible Party

Resident Representative,

Project Manager

Template/Guideline

Project space in the Corporate Planning System

RBM guidance on how to use monitoring data to improve learning

RBM guidance on how to use monitoring data to improve evaluation

RBM guidance on how to use monitoring data to improve learning during programme implementation

Explanatory Notes

Recording 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

Step

Make funds available to the project/portfolio.

Responsible Party

UNDP Programme Officer

Template/Guideline

Quantum Financials Module

RBM guidance on Deliver Results

Explanatory Notes

Refer 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

Step

Mobilize inputs to initiate activities and deliver outputs.

Responsible Party

Project Manager,

Portfolio Manager

Template/Guideline

When 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 Notes

See 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

Step

Perform oversight functions through periodic on-site spot checks, and scheduled audits included in the assurance activity plan.

Responsible Party

UNDP Programme Officer,

Third-party service provider

Template/Guideline

TORs 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 Notes

Harmonized 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

Step

Update the multi-year workplan.

Responsible Party

Project Manager,

Portfolio Manager

Template/Guideline

Multi-Year Workplan

Portfolio Multi-Year Workplan

Explanatory Notes

Online Quantum system

Step

Service Level Agreement signed between UNDP and the Agency.

Responsible Party

Template/Guideline

UNDP Service Level Agreement (SLA) template

Explanatory Notes

Repository of Agency Agreements

Step

Submit written and authorized service request.

Responsible Party

UN Agency

Template/Guideline

Authorized Agency Signatories List

Explanatory Notes

Refer to last page of Annex II for the payment request form template.

Step

a) Provision of standard Services to Agencies as per UPL such as processing payments, conducting procurement process.

b) Provision of ad hoc Services to agencies as per SLA signed or LPL.

Responsible Party

COs and HQ units

Template/Guideline

Explanatory Notes

Refer to the relevant POPP policies on Procurement, Expense management and Human Resources management.

Step

Determine the type of services (standard, ad-hoc, global or common services) and applicable fees based on UPL/LPL.

Responsible Party

COs and HQ units

Template/Guideline

POPP policy and procedure: UN Agency Services

Universal or Local Price List - UPL or LPL

Explanatory Notes

Step

Prepare service bills to UN agencies and apply service revenue.

Responsible Party

COs and HQ units

Template/Guideline

POPP policy and procedure: Service Clearing Account (SCA): Charging, Billing and Fee Collection

Explanatory Notes

Service fees will be generated and accounted for based on UPL and LPL in the UN Agencies Portal from which accounting entries will flow to the GL.

Step

Prepare monthly SCA reports and provide to agencies.

Responsible Party

GSSC SCA Team

Template/Guideline

SCA Monthly Reports

Explanatory Notes

GSSC SCA team uploads monthly SCA reports in the agencies site

Step

Completion of Semi-annual 12a reconciliation.

Responsible Party

UN Agency

Template/Guideline

12a Reconciliation Reports

Explanatory Notes

GSSC SCA team uploads 12a reports in the agencies site.

Step

Monitor application of service revenue by COs.

Responsible Party

Template/Guideline

Explanatory Notes

Step

Monitor and resolve the SCA rejections.

Responsible Party

COs and HQ units

Template/Guideline

SCA Dashboard

Explanatory Notes

UNDP COs/HQ units liaise directly with the UN agency for resolution.

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 Template	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 Modality (DEX) 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

Select responsible party for PBP.

Responsible Party

Project developer,Project manager

Template/Guideline

Explanatory Notes

Regular policies apply for selection of responsible parties.

2.0

Step

If over $300,000, select independent assessor of international repute, agreed by all parties.

Responsible Party

Project developer,Project manager

Template/Guideline

General Terms and Conditions for Contracts (for Goods and/or Services)

Individual Contract Template

Explanatory Notes

Not applicable for low-value payments; see Guidance on Selecting Evaluators: Individuals versus Firms.

UNDP Evaluation Guideline

2.1 OPT

Step

Initiation plan or advance authorization (if necessary).

Responsible Party

Template/Guideline

Explanatory Notes

May be necessary if the assessor is contracted before project approval.

3.0

Step

Assess capacities and perform due diligence.

Responsible Party

Project Developer, Project Manager

Template/Guideline

Explanatory Notes

4.0

Step

Appraisal of PBP agreement in the local project appraisal committee or project board.

Responsible Party

Project developer,Project manager

Template/Guideline

Explanatory Notes

Validation 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

Step

Signature of agreement.

Responsible Party

Template/Guideline

PBP agreement template

Low value PBP agreement

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.

Step

Submission of the request for termination of appointment.

Responsible Party

Bureau or Country Office

Template/Guideline

Explanatory Notes

Submit the request to Local HR Advisor of OHR Business partner.

Step

Review of the request in section 1.0.

Responsible Party

OHR Business Partner and Legal Office

Template/Guideline

Explanatory Notes

Review by Legal Office if necessary.

Step

Request separation prior to the end of the notice period.

Responsible Party

Staff member

Template/Guideline

Explanatory Notes

If a staff member wishes to separate prior to the end of his or her notice period and that such notice be paid instead of served.

Step

Approval of request in Section 3.0.

Responsible Party

HQ: Director, OHR. Outside HQ: Head of Office

Template/Guideline

Explanatory Notes

Step

Approval of the request in section 1.0.

Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline

Explanatory Notes

Approve the request for termination.

Step

Implementation of the decision in section 1.0.

Responsible Party

OHR Business Partner,

Staff member

Template/Guideline

Explanatory Notes

Notify Staff Member and prepare Request for Personal Action (RPA).

Receive Notification.

Calculation of indemnities.

Implement separation decision.

Step

Analysing potential partners

Responsible Party

Template/Guideline

Explanatory Notes

Conduct research on "legitimacy" of the foundation to confirm their basic purposes, including scanning of programmatic activities; board membership and individuals/entities affiliated with the foundation; previous grant-making; and tax and other financial information (if available). Information may be available in international/national foundations registers, websites of the foundations, news published by media, watchdogs, etc.

For additional information please refer to the intranet guidance in BERA/Public Partnerships Group.

Step

Due-diligence review of cases for foundations that have controversial profiles, or are linked to corporations whose business practices are inconsistent with the ideals of the United Nations

Responsible Party

The case should be discussed by members of an ad hoc local Committee,

Initiating Business Unit

Template/Guideline

Self Certification Form for Donor Entities

Self-Certification Form for Donor Individuals

Private Sector Risk Assessment Tool

UNDP Private Sector Due Diligence Risk Assessment Tool User Manual

Explanatory Notes

Members of the Committee should include relevant CO staff and relevant strategic UNDP local partners (e.g. representatives of Government/CSO.

The Self Certification Form for Donor Entities and the Self-Certification Form for Donor Individuals are relevant for in-scope donors. In-scope donors refer to private companies/foundations/private individuals acting as donors, in the context of the Anti-Money Laundering and Countering the Financing of Terrorism Policy which is supplemented by the Operational Guide for the Implementation of the UNDP Anti-Money Laundering and Countering the Financing of Terrorism Policy (AML/CFT Policy). The Operational Guide provides detailed procedures and guidance for the implementation of the policy across UNDP and specifies roles and responsibilities in the vetting process, including escalation procedures and available corporate tools. The Offline Private Sector Risk Assessment Tool Guide contains the practical steps to be followed to reach a decision on a given partnership with corporate foundations and business associations, coalitions and alliance.

Step

Due-diligence review for corporate foundations

Responsible Party

Template/Guideline

Private Sector Risk Assessment Tool

UNDP Private Sector Due Diligence Risk Assessment Tool User Manual

Explanatory Notes

Corporate foundations should be in line with the guidelines for conducting private sector due-diligence. Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

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Policy Areas

Annual Planning (Programmes)

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Annual Planning (Projects)

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Monitor

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Deliver Results

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

UN Agency Services Procedure

Step

Responsible Party