English
Locations
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1.0 |
StepComplete Independent Country Programme Evaluation (ICPE). |
Responsible PartyIndependent Evaluation Office Director |
Template/Guideline |
Explanatory NotesThe 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. |
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ALT |
StepIf no independent country programme evaluation is completed, prepare a Country Programme Performance Summary. |
Responsible Party |
Template/Guideline |
Explanatory NotesThe country programme performance summary is submitted to the Executive Board in lieu of an independent country programme evaluation. |
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ALT |
StepFor regional programmes, complete an independent evaluation. |
Responsible PartyIndependent Evaluation Office Director |
Template/Guideline |
Explanatory Notes |
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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. |
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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. |
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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. |
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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. |
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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.
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4.0 |
StepUpdate the multi-year workplan. |
Responsible PartyProject Manager, Portfolio Manager |
Template/Guideline |
Explanatory Notes
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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. |
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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. |
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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. |
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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. |
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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. |
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2.2 |
StepReview transition arrangements, national ownership and sustainability plan, at least annually. |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory Notes |
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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. |
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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. |
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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. |
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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. |
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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. |
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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. |
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1.0 |
StepPrepare final project review report. |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory NotesFinal 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. |
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2.0 |
StepIf required, commission final project evaluation, prepare a management response, and share findings and recommendations for learning. |
Responsible Party |
Template/Guideline |
Explanatory NotesTemplates for this step:
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. |
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3.0 |
StepConduct a final project review, including the final report, project closure quality assessment and project closure budget. |
Responsible Party |
Template/GuidelineProject status is changed from Ongoing (O) to (C) = Operationally closed Project QA - Closure (Quantum+) |
Explanatory NotesThe 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. |
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4.0 |
StepTransfer or dispose of project assets and files. |
Responsible Party |
Template/Guideline |
Explanatory NotesProject assets and documents should be transferred to national beneficiaries or national representatives. Worthless assets are discarded. See Transfer or Disposal of Assets. |
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4.1 ALT |
StepTransfer by donation project assets to another UNDP project. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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5.0 |
StepPrepare and submit final financial report to UNDP. |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory NotesUnder 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. |
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6.0 |
StepComplete project closure activities. |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesA 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. |
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6.1 |
StepSpecial donor requirements for refunds. |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory NotesAny 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. |
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6.2 |
StepManage exceptions (i.e., outstanding advances under national implementation, signing a Combined Delivery Report, etc. |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesWhere 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). |
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7.0 |
StepReview and sign final Combined Delivery Report. |
Responsible PartyProgramme manager/Resident Representative,Implementing partner |
Template/Guideline |
Explanatory NotesUnder 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. |
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8.0 |
StepClose the project. |
Responsible Party |
Template/Guideline |
Explanatory NotesA 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 |
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9.0 |
StepOversee project closure. |
Responsible PartyRegional Bureau (programme QA Approver) |
Template/Guideline |
Explanatory NotesThe Regional Bureau is accountable for overseeing project financial closure to ensure it is completed at the latest within 12 months of operational closure. |
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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. |
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2.0 |
StepFormulate unit workplan. |
Responsible PartyHead of BU |
Template/Guideline |
Explanatory NotesIntegrated Workplan Guidance provided annually. |
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1.0 |
StepIdentify pipeline concept and mobilize partners. |
Responsible PartyUNDP Programme Officer |
Template/GuidelineQuantum 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) ProjectsRequired Concept Note for Global Environmental Facility (GEF) Projects: Project Identification Form (PIF) |
Explanatory NotesIdentify new pipeline concepts by analysing gaps in the programme’s theory of change that are not already being addressed. 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. |
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1.1 ALT |
StepFor 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 PartyProject Manager |
Template/GuidelineOne-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 NotesNote that additional quality assurance must be provided by the BPPS/Vertical Fund Hub for GEF and GCF projects as outlined in the RACI. |
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2.0 |
StepAppoint a developer to formulate the project |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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2.1 |
StepIf 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 PartyUNDP Programme Officer |
Template/Guideline |
Explanatory Notes |
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2.2 OPT |
StepDevelop initiation plan (if applicable) |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesFor 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. |
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3.0 |
StepDevelop a project document that adheres to UNDP quality standards and partner requirements |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesThe project/portfolio document should attach:
For further guidance, see: Results-Based Management (RBM) Hub Consider using the RBM Guidance to assist in developing the project document in 10 steps. |
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3.0 ALT |
StepFor 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 PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesUNSDG | Guidance Note on a New Generation of Joint Programmes |
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3.1 |
StepEnsure a wide range of stakeholders participate in the formulation of the project |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesStakeholders include any parties with an interest in the project, including target beneficiary groups, civil society organizations, governments, the media, UN agencies and donors. Consider using the RBM Guidance to assist with steps for collaborating with all stakeholders in project formulation. |
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3.2 |
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. |
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3.3 |
StepIdentify potential risks, and conduct further assessment and management plans as needed in a participatory manner |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesThe 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
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3.3 ALT |
StepComplete a risk assessment, including applying mitigatory measures, if UNDP plans to engage with the non-UN security sector. |
Responsible PartyProject Developer and/or Portfolio Developer |
Template/Guideline |
Explanatory Notes |
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3.4 |
StepIf the project is part of a portfolio, link the project with the portfolio number in Quantum. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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1 |
StepSubmission of the request for termination of appointment. |
Responsible Party
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Template/Guideline |
Explanatory NotesDiscuss expectation and feedback with staff member. Seek guidance on managing underperformance with Local HR Advisor. Inform staff of the possible conseuquence of underperformance. Submit the termination of appointment request to Local HR Advisor.
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2 |
StepReview of the request. |
Responsible PartyLocal HR Advisor, OHR Business Partner |
Template/Guideline |
Explanatory NotesReview the request and documentation. Inform staff member of performance review process. Engage TMRG. Inform Supervisor of HR position & consideration. Provide recommendation on separation types to Supervisor.
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3 |
StepApproval of the request in section 1.0. |
Responsible PartyAssistant Administrator and Director, BMS |
Template/Guideline |
Explanatory NotesApprove termination of appointment.
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4 |
StepImplementation of the decision. |
Responsible PartyOHR Business Partner, Staff Member, PFU |
Template/Guideline |
Explanatory NotesNotify staff member. Staff member receives notification.
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1 |
StepFormalizing via MoU (optional) |
Responsible Party |
Template/Guideline |
Explanatory NotesAn MoU captures areas of intended collaboration towards a common goal, when such commitments does not include any transfer of resources between the partners, or make any financial demands on UNDP. |
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2 |
StepFormalizing via financing agreement |
Responsible PartyRR focal points, and Directors of initiating business unit |
Template/Guideline |
Explanatory NotesCollaboration which involves formalization via a financing agreement must always be done in the context of UNDP's Programme and Project Management policies and procedures; please see Financing Agreements and Templates. If the financing agreement's text deviates from the standard, approval should be sought from the Office of Legal Services (OLS), Bureau for Management Services (BMS). Any deviation from the standard templates must be reviewed before signature by the Director of the Office of Legal Services (OLS/BMS). |
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3 |
StepTax Status: As an international organization, UNDP does not possess these documents. However, as a subsidiary organ of the United Nations, UNDP’s tax-exempt status is derived from the Convention on the Privileges and Immunities of the United Nations. |
Responsible Party |
Template/Guideline |
Explanatory NotesInformation regarding UNDP’s tax status is usually requested by foundations based in the United States. Those foundations will ask for the submission of a Tax-Exempt Statement in the form of an IRS Section 501(c)(3) Status Determination letter/statement. The following sample text can be submitted to U.S.-based foundations in place of the IRS determination letter: |
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4 |
StepFinancial information: |
Responsible Party |
Template/Guideline |
Explanatory NotesSome foundations may request financial documentation, such as an organization's budgets and financial statements, which is included into the project proposal as appendixes. |
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5 |
StepPre-approved Status provision to accompany the Financing Agreement |
Responsible Party |
Template/Guideline |
Explanatory Notes"UNDP confirms that it is a subsidiary organ of the United Nations, which is an international organization designated by Executive Order 9698 of the United States International Organizations Immunities Act, 22 USC 288. You agree to advise us immediately if there is any change in your organization’s status during the term of this grant". |