| United Nations Development Programme

1.0

Step

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

Responsible Party

Template/Guideline

RBM guidance on ROAR

Explanatory Notes

Consider using the RBM Guidance to improve the ROAR Responses.

2.0

Step

Submit Financial Report.

Responsible Party

Project Manager

Template/Guideline

Explanatory Notes

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

Frequency: quarterly or when additional resources are needed.

See Financial Management section.

3.0

Step

Sign the Combined Delivery Report.

Responsible Party

Programme Manager/ Resident Representative Implementing Partner certifies

Template/Guideline

Explanatory Notes

Frequency: second, third and fourth quarters

Standard combined delivery report under construction in Quantum

4.0

Step

Prepare a Quality Project Report.

Responsible Party

Project Manager

Template/Guideline

POPP Guideline: Donor Reporting Guideline and Template

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

Evaluation Inception Report

UNDP Evaluation Report

Executive Snapshot Project Progress Report

Audit Trail Form

Management Response Template

Explanatory Notes

Frequency: As stated in the project document.

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

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

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

UNDP Evaluation Guidelines:

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

5.0

Step

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

Responsible Party

Programme manager/Resident Representative,Programme officer

Template/Guideline

Explanatory Notes

UNDP Brand Portal

1.0	Step Integrated Programme Assessment Committee reviews the programme's draft theory of change.	Responsible Party Regional Bureau Director	Template/Guideline RBM guidance on the Theory of Change	Explanatory Notes This should take place when the draft theory of change is robust enough for a meaningful review and before the programme priorities are finalized in order for the priorities to be informed by the knowledge and lessons tabled during the IPAC. Consider using the RBM Guidance to assist with the design and use of the Theory of Change.
2.0	Step Programme Appraisal Committee of CPD/RPD quality.	Responsible Party Regional Bureau Director	Template/Guideline Programme Quality Assurance (QA) Assessment Template Regional Programme Quality Assurance (QA) Assessment Template	Explanatory Notes The programme appraisal committee ensures the programme meets UNDP's quality standards for programme and reviews the office's capacity to implement the proposed programme.
3.0	Step Submit the programme (CPD or RPD) to the Executive Board for approval.	Responsible Party	Template/Guideline New Country Programme Clearance Form RMT Country Programme Performance Summary	Explanatory Notes Programme documents are submitted through the Executive Board Secretariat for onward submission to the Executive Board for approval. All required documentation, including evidence that the CPD meets UNDP quality standards, must be submitted with the documents that will be posted to the Executive Board. Documents to be submitted for clearance (RBx -> BPPS/Effectiveness -> EB Secretariat) Signed Clearance Sheet Final draft CPD and RRF (one document, max 6000 words including footnotes) Evaluation Plan (as separate file) Signed RMT table UN Cooperation Framework for posting on EB website Government endorsement(s). In the case of Multi-Country Programmes, the endorsement of all relevant governments is required. Written endorsement of alignment by Resident Coordinator ICPE or Country Programme Performance Summary
4.0	Step Endorsement of the programme by the executing partner (typically the programme country government).	Responsible Party	Template/Guideline Country Programme Action Plan Template Cooperation Framework Legal Annex Cooperation Framework 2019 Guidance	Explanatory Notes UNDP's CPD is considered part of the United Nations Sustainable Development Cooperation Framework. It represents UNDP's contribution to the Cooperation Framework. The CPD must be co-designed with national partners; the final draft must be endorsed by the executing partner of the programme (typically the national government). Once the Cooperation Framework is agreed, it is signed by the government and all UN entities.This establishes the government's execution of the programme. The Resident Coordinator sends the signed Cooperation Framework to all partners and to the chair of the UNSDG. The completed Cooperation Frameworks are posted on the UNSDG website. If a Cooperation Framework cannot be prepared, a country programme action plan is prepared and signed.

1.0

Step

Approve annual workplan and budget.

Responsible Party

Template/Guideline

Explanatory Notes

The workplan and budget must be approved annually by the programme manager, or staff with Delegated Authority.

1.0	Step Appraise the quality of the project in the local project appraisal committee.	Responsible Party	Template/Guideline Project QA - Design and Appraisal (Quantum+) Social and Environmental Standards - see procedures	Explanatory Notes Project QA Design and Appraisal User Guide (Quantum+) Local project appraisal committee terms of reference. For projects where UNDP serves as the managing agent for a CBPF, see the Country Specific Operational Manual for the CBPF.
2.0	Step Update and approve the final quality assurance report in the Corporate Planning System.	Responsible Party	Template/Guideline Project QA Design and Appraisal User Guide (Quantum+)	Explanatory Notes Project QA Design and Appraisal User Guide (Quantum+)
2.1 VERT	Step Delegation of authority letter from the UNDP BPPS Vertical Fund Executive Coordinator to the Resident Representative.	Responsible Party UNDP BPPS Vertical Fund Executive Coordinator	Template/Guideline Delegation of Authority (DOA) Agreement for GEF projects – GEF TF LDCF SCCF NPIF – Master Template Delegation of Authority (DOA) Agreement for GCF Funding Proposals – Master Template Delegation of Authority (DOA) Master Template for Adaptation Fund Fully Developed Proposals Delegation of Authority (DOA) and Initiation Plan for GEF Project Preparation Grants - template [automated] Delegation of Authority (DOA) Agreement for GCF Project Preparation Facility (PPF) Grants - template Delegation of Authority (DOA) template for Adaptation Fund Project Formulation Grants (PFG)	Explanatory Notes For GEF Project Preparation Grant (PPG) projects, the signed PPG Delegation of Authority (DOA), including the annexed PPG Total Budget Workplan, constitutes the equivalent of the corporate Project Initiation Plan for the PPG phase, serving as the formal authorization for initiating PPG activities. The same process is followed for Adaptation Fund Project Formulation Grant (PFG) projects. Note that additional quality assurance and oversight must be provided by BPPS for GEF, GCF and AF projects as outlined in the RACI. For AF, please follow the GEF RACI: GEF RACI (Responsible, Accountable, Consulted and Informed) for NIM projects GCF RACI (Responsible, Accountable, Consulted and Informed) for NIM projects
3.0	Step Approve and sign the project document.	Responsible Party Programme manager/Resident Representative, Government development coordination authority (as applicable), Implementing partner	Template/Guideline	Explanatory Notes The agreement of the government development coordination authority can be acknowledged by any of the acceptable methods as agreed with government, including an exchange of letters or minutes of the LPAC.
4.0 ALT	Step Approve and sign the initiation plan.	Responsible Party Programme Manager/ Resident Representative	Template/Guideline	Explanatory Notes Evidence that the government agrees to the initiation plan is required through meeting minutes, an exchange of letters or emails, or a signature on the initiation plan document.
5.0	Step Apply the Output Markers and activate the project in Quantum	Responsible Party UNDP Programme Officer	Template/Guideline	Explanatory Notes The multi-year workplan should be ‘mirrored’ in Quantum, so that there is a clear correspondence between the outputs and activities identified in the workplan, and the outputs and activities established in the system. Once the project has been approved by the local project appraisal committee, its proposal should be ‘awarded’ in Atlas. After the project ID is generated, multi-year budgets clearly indicating the responsible parties, funding sources, and planned budget amounts as per the annual workplan must be finalized. Each output under the project ID must also be linked to a relevant country programme outcome.
5.1 ALT	Step Ensure the project is linked to the relevant portfolio in Quantum, if relevant.	Responsible Party UNDP Programme Officer	Template/Guideline	Explanatory Notes This will enable joint project management, assurance and reporting features in Quantum and the corporate planning system.
6.0	Step Sign contribution agreements with donors or memorandum of understanding for joint programme, as relevant.	Responsible Party or staff with delegated authority	Template/Guideline Contribution Agreement Templates UNSDG Memorandum of Understanding for Joint Programmes	Explanatory Notes
7.0	Step Initiate the project.	Responsible Party UNDP Programme Officer	Template/Guideline	Explanatory Notes Agrees on project manager's responsibilities, as well as the responsibilities of other key members of the project management team. Delegates any project assurance function as appropriate. Reviews the progress report for the initiation stage (if an initiation plan was approved). Reviews and appraises detailed project plans, including the multi-year workplan and Quantum reports covering activity definition, an updated risk log and the monitoring schedule plan. Shares annual reports and relevant information on achievement of the outcomes with the programme board and outcome group.
OPT	Step Advance authorization	Responsible Party	Template/Guideline Advance Authorization Cover Page	Explanatory Notes

Step

Develop Procurement Risk Assessment (PRA), based on project concept note

Keep as a risk log to be regularly monitored and updated

Responsible Party

Head of Programme and Operations Manager

Template/Guideline

Explanatory Notes

Ensure both Programme and Operations are aware of procurement challenges
The form of the PRA should be appropriate to the scale and nature of the project.
Assessment questions include, among others:

Do we know how to procure what the project needs for its successful delivery?
Is there a clear understanding of the procurement process and the particular need of this project?
Do we have the capacity (resources and ability) to procure what the project needs for its successful delivery?
What key risks can we identify from our answers to the previous questions?
What steps must we take to minimize the likelihood of the identified risks occurring and/or to minimize the damage caused should the identified risks occur?

Step

Approve a procurement plan

Responsible Party

Template/Guideline

Quantum

Explanatory Notes

Procurement plans are required for “standard or complex business needs”, a 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.

Step

Categorize the project as having “Complex Business Needs”

Responsible Party

Business Unit Head

Template/Guideline

Explanatory Notes

Projects with "Complex Business Needs" are defined as being those that meet one or more of the following conditions:

Total project budget is above US$1 million (or their equivalent in the local currency of the programme country);
Procurement accounts for more than 60% of the total project budget;
The Business Unit's senior management considers the project to be of primary significance to its overall performance, in the current and/or subsequent years; and/or
The nature of the project requires procurement activities that the BU does not have prior experience in, and requires significant quantities of any of the following “high risk” categories:

i. Drugs & Pharmaceuticals

ii. Security Services

iii. Laboratory Equipment & Medical Supplies

iv. Medical kits (when specialized)

v. Contraceptives

vi. Elections Equipment

vii. Consultancy Firm Services

viii. Permanent Structures

ix. Construction Services

x. Technical Studies (when they are highly specialized and could impact downstream work).

Step

Inform PSU of project details

Responsible Party

Business Unit Head

Template/Guideline

Explanatory Notes

Projects categorized as having Complex Business Needs require more rigorous procurement planning. In some instances it may be advisable for the Business Unit to contact the Office of Pocurement (OP) to obtain necessary assistance.

Step

Provide guidance to BU

Responsible Party

Office of Procurement/Bureau for Management Services

Template/Guideline

Explanatory Notes

Step

Develop a detailed risk mitigation plan for all individual projects in this category using the Risk Assessment Matrix.

Responsible Party

Programme Manager,

Operations Manager

Template/Guideline

The risk assessment matrix is a tool, developed alongside the policies and the procedures that will allow the risks of a specific project to be identified. The template will be linked to the POPP screen for the initial rollout.

Risk Assessment Matrix

Explanatory Notes

In particular the matrix has been designed to highlight:
- The specific risk that has been identified;
- The consequences of that risk occurring;
- The impact that the risk would have on the performance of the BU;
- The likelihood of the risk occurring;
- The sensitivity of the project to the risk; and
- Proposed solutions for mitigating the likelihood of the risk occurring, and/or the impact the risk would have should it occur.

Step

Ensure the implementation of mitigation plans.

Responsible Party

Business Unit Head

Template/Guideline

Explanatory Notes

Step

Prepare a Procurement Plan using corporate web-based planning tool.

Responsible Party

Programme/DRR/Operations Manager/ Head of Procurement

Template/Guideline

Quantum

Explanatory Notes

In particular, Programmes should define key procurement requirements, while Operations should determine appropriate procurement methods.

Use the web-based planning tool for this step.

Step

Review Procurement Risk Matrix and Procurement Plan

Responsible Party

Business Unit Head

Template/Guideline

Explanatory Notes

Step

Based on CO needs, provide guidance to the CO

Responsible Party

Office of Procurement/Bureau for Management Services

Template/Guideline

Explanatory Notes

Step

Approve project for submission to Commitment Control (if necessary steps have been taken to comply with policy and procurement needs have been satisfactorily addressed).

Responsible Party

Head of BU

Template/Guideline

Explanatory Notes

Use Finance Module of Quantum.
Regular updates of procurement plans may be necessary when:
1. New funds for the same project are received and programmed;
2. Budget revisions have to be made; or
3. Change or re-alignment of project activities are needed.

Step

Ensure that the BU’s “Consolidated Procurement Plan” shall be updated whenever new projects are approved, and/or when the procurement plans for already approved projects are modified.

Responsible Party

DRR/OM/Head of Procurement

Template/Guideline

Quantum

Explanatory Notes

The online tool provides real time access and updates.

Step

Hold programme / operations joint meetings on a regular basis as appropriate to monitor risks by going through questions of the Procurement Risk Assessment

Responsible Party

Head of BU

Template/Guideline

Explanatory Notes

For high-risk procurement

Step

Contact the Office of Procurement for advice and guidance

Responsible Party

Head of BU

Template/Guideline

Explanatory Notes

BUs are encouraged to inform the Office of Procurement when projects are categorized as “Complex Business Needs.”

Step

Provide tailored support

Responsible Party

PSU/BMS

Template/Guideline

Explanatory Notes

Step

Review of Procurement Forecasting and Delivery for all projects categorized as “Complex Business Needs”.

Responsible Party

Head of Programme and Operations Manager

Template/Guideline

Explanatory Notes

Office of Procurement /Bureau for Management Services codify case studies to enhance knowledge management on righ-risk and/or high volume procurement.

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

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

Responsible Party

Template/Guideline

RBM guidance on ROAR

Explanatory Notes

Consider using the RBM Guidance to improve the ROAR Responses.

2.0

Step

Contribute to the One UN country results report.

Responsible Party

Template/Guideline

Explanatory Notes

3.0

Step

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

Responsible Party

Template/Guideline

Evaluation Inception Report

UNDP Evaluation Report

Audit Trail Form

Management Response Template

Explanatory Notes

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

UNDP Evaluation Guidelines:

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

1.0

Step

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

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

Step

Submission of signed Relocation Grant Attestation to HR focal point with BES or JPOSC

Responsible Party

Staff

Template/Guideline

Relocation Grant: Staff Member Attestation

Explanatory Notes

With the Lump Sum arrangement, the staff member is not required to submit documentary evidence as proof of having made a shipment or shipments.
The Lump Sum is not adjusted due to changes in family status
One is not entitled to the lump sum option for appointment/reassignment within the country of the duty station
Duplication of entitlements are avoided. e.g. if a relocation shipment lump sum is paid by another organization upon separation and the staff member has received an offer from UNDP at the time then UNDP will not issue a relocation shipment lump sum.

Step

For staff going to or leaving a country office:
Issue authorization for payment of Relocation Shipment Lump Sum or Shipping arrangements if exceptional organization assisted shipment

Responsible Party

Template/Guideline

Explanatory Notes

The payment or authorization is issued upon medical clearance and prior to travel.

Step

Issue and approve voucher payment of relocation shipment lump sum

Responsible Party

Finance focal point in country office/budget owner

Template/Guideline

Explanatory Notes

The voucher is raised upon receipt of the authorization from the HR focal point in BES/JPOSC as well as vendor information from Staff Member.

Step

For staff leaving HQ and other agencies:
Issue voucher and approval of voucher in Atlas

Responsible Party

Template/Guideline

Explanatory Notes

Step

Shipment Organized by UNDP:
TS is authorized to organized the shipment from locations where there are no UNDP office, from USA and when split shipment.

Responsible Party

Template/Guideline

PT. 78 Form (Itemized Valued Inventory of Personal Effects/Insurance Claims Procedure)

Explanatory Notes

Please use PT 78 form.

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Policy Areas

Report (Projects)

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

Programme (Cooperation Framework/Country or Regional Programme Document)

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

Development and Institutional Effectiveness Project

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Responsible Party

Template/Guideline

Explanatory Notes

Development Project

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Responsible Party

Template/Guideline

Explanatory Notes

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Template/Guideline

Explanatory Notes

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