| United Nations Development Programme

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

1.0

Step

Hold programme/project board reviews at least annually.

Responsible Party

Programme Board, Project Board

Template/Guideline

UNDP Sample Terms of Reference (ToR) for a Country Programme Board

Project Board ToR

Project Board FAQs

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

RBM guidance on Oversight of programmes/ projects

Explanatory Notes

Considers: programme/project reporting, quality assurance data, evaluations, risk assessment, required partnerships and operational bottlenecks and issues.

For GEF financed projects, the RACI (Responsible, Accountable, Consulted and Informed) Matrix for GEF Projects Oversight is helpful guidance in defining the roles and accountability of project oversight.

Consider using the RBM Guidance to improve oversight of programmes/ projects.

2.0

Step

Record decisions in minutes of programme/ project board meetings.

Responsible Party

Programme Board, Project Board

Template/Guideline

Project Board Minutes Template is here:

Template for Project Board Minutes included in the RBM Hub

Explanatory Notes

The programme manager must inform project boards of all decisions and actions relevant to the respective projects. Project boards and project managers must operationalize agreed changes made at the programme level through, where necessary, revising corresponding project documents.

Consider using this template for Project Board Minutes.

1	Step Flowchart - Time off for Breastfeeding	Responsible Party	Template/Guideline HR_Work Life_Time Off for Breastfeeding Flowchart	Explanatory Notes
2	Step Initiate discussion with supervisor	Responsible Party Staff member	Template/Guideline	Explanatory Notes The staff member should discuss the timing of breastfeeding with her supervisor and peers.
3	Step Formal request for breastfeeding in writing to supervisor with copy to HR administrator	Responsible Party Staff member	Template/Guideline	Explanatory Notes A copy of the request and supervisor’s approval should be kept in the staff member’s file.
4	Step Approval	Responsible Party	Template/Guideline	Explanatory Notes The supervisor discusses suitable/flexible arrangements for breastfeeding with the staff member.
5	Step Finalize breastfeeding arrangements	Responsible Party Staff member	Template/Guideline	Explanatory Notes With an agreement in place, the staff member makes appropriate arrangements with the Operations Manager and the HR Administrator.
6	Step Establish an appropriate area for breastfeeding	Responsible Party Operations	Template/Guideline	Explanatory Notes Where and when practical and to the extent possible, offices are required to: - provide a private area for mothers to express their milk or breastfeed their infants during the workday; and - provide access to a refrigerator for storing the milk. NOTE: Country Offices are required to make arrangements if and when the need arises.

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 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

Step

Communications & Consultation

Responsible Party

Risk Owner

Template/Guideline

Explanatory Notes

Engage key stakeholders in risk identification and risk analysis process. Keep the Programme Board, other stakeholders/partners of the CO and the HQ Unit informed on RM processes.

Step

Scope, context and criteria

Responsible Party

Programme Manager/ Resident Representative

Template/Guideline

UNSDCF Guidance

Country Programme Document Template

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

Integrated in the UN Sustainable Development Cooperation Framework (UNSDCF); Country Programme Document (CPD); IWP of the CO and the HQ Unit

Step

Risk Assessment:

Identification of Risks

Risk Analysis

Evaluation of Risk

Responsible Party

Programme Manager in consultation with relevant expertise

Template/Guideline

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

In consultation with relevant stakeholders, identify major risks for the overall programme objectives and the respective IWP of the CO and the Unit and track in programme/unit Risk Register, during portfolio/project design and twice a year at a minimum during implementation.

Analyze likelihood and impact of programme/unit risks by applying the ERM Criteria Model and record in Risk Register.

Evaluate each risk in the Programme Risk Register specific to Country Offices to determine which risks need treatment and must be prioritized, in order to meet the objectives of the respective IWP.

Step

Risk Treatment

Responsible Party

Programme Manager in consultation with relevant expertise

Template/Guideline

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

Implement treatment options. Respond to the escalated risks. Escalate the risks that can't be adequately addressed at the CO and HQ Units to Programme level.

Step

Risk Monitoring & Review

Responsible Party

Risk Owner

Template/Guideline

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

Monitor risks at the frequency that is best fit for the risk and complexity of the Programme/Unit. Update Risk Register on bi-annual basis at a minimum.

Step

Risk Recording and Reporting

Responsible Party

Programme Manager in consultation with relevant expertise

Template/Guideline

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

Record risks in ERM risk Register and Report the CO and HQ Units major risks in their IWP bi-annually and annually in ROAR.

Step

Conduct due diligence and complete the mandatory Risk Assessment Tool (RAT) digitally in UNITY/Quantum+

Responsible Party

Template/Guideline

Private Sector Risk Assessment Tool

UNDP Private Sector Due Diligence Risk Assessment Tool User Manual

Explanatory Notes

The Business Unit Initiating the partnership completes the Private Sector Risk Assessment Tool in Quantum+ and makes a recommendation to engage or refrain from engaging. Refer to the Private Sector Resource Mobilization for additional information and to the Offline Private Sector Risk Assessment Tool Guide.

Step

Develop risk log, monitoring plan and communications material

Responsible Party

Initiating Business Unit – Project/Programme Manager

Template/Guideline

Risk Management

Explanatory Notes

Document the identified risks into a risk log. If the partnership is part of a project that already has a risk log, these risks can be added into the existing mechanism. In low-risk and short-term partnerships the project manager may decide that a risk log is not needed.
Monitoring activities to screen publicly available information relating to the partner and the industry as well as assessing whether the partner is meeting the conditions (if any) of the partnership.
The communications materials covers the basic details about the partnership and should address the main risks identified during the risk assessment process

Step

Quality assurance

Responsible Party

For Low-Risk: Country Office (CO) Private Sector Due Diligence Focal Point (PSDD) for CO level partnerships; Regional Bureau PSDD Focal Point for regional level partnerships; and relevant Central Bureau PSDD Focal Point for global level partnerships,

For Moderate/Substantial Risk: CO Private Sector Due Diligence (PSDD) Committee for CO level partnerships; Regional PSDD Committee for regional level partnerships; and HQ Inter-Bureau PSDD Committee for global level partnerships,

For High-Risk: Regional Private Sector Due Diligence Committee for CO level partnerships; HQ Inter-Bureau Private Sector Due Diligence Committee for regional and global level partnerships

Template/Guideline

Explanatory Notes

Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

Step

Decision making

Responsible Party

For Low-Risk: RR for CO level partnerships; relevant Bureau Director for regional and global level partnerships,

For Moderate/Substantial Risk: Relevant Bureau Director for CO, regional and global level partnership,

For High-Risk: Corporate Risk Committee

Template/Guideline

Explanatory Notes

For moderate, substantial and high-risk cases the CO, Regional or HQ Private Sector Due Diligence Committee provides quality assurance and advisory support to the relevant decision maker.

Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

Step

Monitoring the partnership, managing risks, reporting

Responsible Party

Initiating Business Unit – Project/Programme Manager

Template/Guideline

Explanatory Notes

Initiating business unit conducts monitoring on a regular basis.

Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

Step

Spot-check

Responsible Party

The relevant Regional Bureau for Due Diligence conducted by Country Office,

BPPS/Quality Programming Team will organize independent assessment for Due Diligence conducted by Regional and Central Bureaus

Template/Guideline

Explanatory Notes

Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

Step

Request a certificate of service in writing

Responsible Party

Staff member

Template/Guideline

Generic certification letter

Explanatory Notes

Submits a request to the person who administers the staff member’s contract (HR administrator)

Step

Process certificate of service HR administrator

Responsible Party

Template/Guideline

Explanatory Notes

Factual information, such as period of service, positions held, and earnings, in response to such inquiries will be given in a written statement on UNDP letterhead

Upon the staff member's written request, the statement also refers to the quality of his/her work and official conduct

1.0	Step The proposed changes are tracked in the programme documentation in consultation with the programme board and appraised with key stakeholders.	Responsible Party	Template/Guideline RBM guidance on Manage Change in Programmes	Explanatory Notes Required supporting documentation: Copy of minutes of programme board, agreeing to the changes. Revised programme documentation, with changes tracked. Consider using the RBM Guidance to improve the way that programmes manage change.
2.0	Step Details of the programme amendments are submitted to the Bureau Director.	Responsible Party	Template/Guideline	Explanatory Notes
3.0	Step The Bureau Director, in consultation with the Executive Board Secretariat and with the BPPS/Quality and Impact Hub, reviews the quality of proposed changes and advises on suitable action.	Responsible Party Bureau Director, Headquarters programme appraisal committee secretariat	Template/Guideline	Explanatory Notes
4.0	Step Programme revisions that do not require Executive Board approval are approved following incorporation of feedback and endorsement by the programme board.	Responsible Party	Template/Guideline	Explanatory Notes
4.0 ALT	Step Programme revisions requiring Executive Board approval are submitted to the Executive Board Secretariat by the relevant bureau through the BPPS/Quality and Impact Hub.	Responsible Party Bureau Director, BPPS/Quality Programming Team	Template/Guideline New Country Programme Clearance Form	Explanatory Notes Required supporting documentation: Signed clearance form with reason for revision Copy of minutes of programme board, agreeing to the changes Revised programme documentation, with changes tracked

1.0

Step

For programme extension requests, submit required documentation to the BPPS/Quality and Impact Hub (through the Regional Bureau, for country programmes) for clearance.

Responsible Party

Template/Guideline

RMT

Routing and Clearance Form for Extensions of Country Programmes

Explanatory Notes

Required supporting documentation:

Signed clearance form with reason for extension
Letter from the government requesting/agreeing with the extension of the Cooperation Framework or equivalent
Signed agreement from UN country team confirming harmonized approach to the extension
RMT cleared by the Bureau for Management Services/Office of Financial Resources Management covering complete programme period.

2.0

Step

Submit request for extension to Executive Board for approval.

Responsible Party

BPPS/Quality Programming Team

Template/Guideline

Explanatory Notes

This is included in the note of the Administrator to the Executive Board.

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Policy Areas

Close and Transition (Programmes)

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Oversight (Review & Adjust)

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Time off for Breastfeeding

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

Engagement Facility

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

Quality Assurance (Programmes)

Step

Responsible Party