| United Nations Development Programme

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

Request telecommuting

Responsible Party

Staff member

Template/Guideline

Annex 1 – Telecommuting Connectivity Guidelines

Annex 2 – Telecommuting Agreement: Part 1 – Compact

Annex 2 – Telecommuting Agreement: Part 2 – Organizational Form

Annex 2 – Telecommuting Agreement: Part 3 – Confirmation

Annex 2 – Telecommuting Agreement: Part 4 – Manager’s Guidelines

Explanatory Notes

Telecommuting requests should be submitted in writing to the staff member’s immediate supervisor and head of office.

Step

Review of request for telecommuting

Responsible Party

Head of Office

Template/Guideline

Explanatory Notes

The immediate supervisor and head of office review each request on a case-by-case basis, with particular concern for ensuring adequate staff coverage.

Step

Discussion within unit/team

Responsible Party

Template/Guideline

Explanatory Notes

The unit/team meets to discuss set goals, work objectives and distribution of work.

Step

Approval

Responsible Party

Head of Office

Template/Guideline

Explanatory Notes

The head of office decides on requests for telecommuting.

Step

Communication of decision to staff member and unit/team

Responsible Party

Template/Guideline

Explanatory Notes

The staff member telecommuting must be made aware that, due to the exigencies of service, he/she may be requested to resume normal working arrangements;

Inform HR administrator.

1.0

Step

Identify pipeline concept and mobilize partners.

Responsible Party

UNDP Programme Officer

Template/Guideline

Quantum Project Creation Process Overview

Project Management Initiation Plan Template

Project & Portfolio Management Quantum

Optional Concept Note for UNDP Projects:

Concept Note Template: UNDP Internal Review and Clearance Process

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

Concept Note Template: Green Climate Fund (GCF) Projects

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

Project Identification Form (PIF)

Explanatory Notes

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

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

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

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

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

System action points:

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

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

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

1.1 ALT

Step

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

Responsible Party

Project Manager

Template/Guideline

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

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

PISC Template and Guiding Questions

Execution Support SOPs for GEF projects

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

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

Explanatory Notes

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

2.0

Step

Appoint a developer to formulate the project

Responsible Party

Template/Guideline

Explanatory Notes

2.1

Step

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

Otherwise, select an implementing partner at the appropriate time

Responsible Party

UNDP Programme Officer

Template/Guideline

Explanatory Notes

2.2 OPT

Step

Develop initiation plan (if applicable)

Responsible Party

UNDP Programme Officer

Template/Guideline

Initiation plan template

GEF Project Preparation Grant Total Budget Work Plan template

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

SOPs and Guidance for GEF PIF and PPG Phase

SOPs and Guidance for Adaptation Fund Projects

Explanatory Notes

For GEF Project Preparation Grant (PPG) projects, the signed PPG Delegation of Authority (DOA), including the annexed PPG Total Budget Workplan, constitutes the equivalent of the corporate Project Initiation Plan for the PPG phase, serving as the formal authorization for initiating PPG activities. The same process is followed for Adaptation Fund Project Formulation Grant (PFG) projects.

3.0

Step

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

Responsible Party

UNDP Programme Officer

Template/Guideline

Project Document Template

GEF Project Document Template

GCF Project Document Template

Adaptation Fund Project Document Template

Guidance on Governance Arrangements for Vertical Fund Programming

Multi-country and SSTC Project Document

Project Board ToR

Project Board FAQ

Project QA - Design and Appraisal (Quantum+)

Evaluation Plan Template

Evaluability Checklist

Evaluation TOR Template

UNDP-supported Guarantees policy

RBM Guidance on designing a project document

Explanatory Notes

The project/portfolio document should attach:

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

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

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

3.0 ALT

Step

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

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

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

Responsible Party

UNDP Programme Officer

Template/Guideline

ANNEXES to UNSDG Guidance Note on a New Generation Joint Programmes

Explanatory Notes

UNSDG | Guidance Note on a New Generation of Joint Programmes

3.1

Step

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

Responsible Party

UNDP Programme Officer

Template/Guideline

RBM guidance on Context Scanning and Stakeholder Collaboration

Explanatory Notes

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

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

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

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

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

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

3.2

Step

Prepare fully costed project budgets to ensure that all anticipated programmatic and operational costs, including development effectiveness and implementation support arrangements are identified, fully costed in the budget.

Responsible Party

UNDP Programme Officer

Template/Guideline

A detailed list of components to be budgeted is available here

A budget template is available here

Evaluation Budget Calculation

Explanatory Notes

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

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

3.3

Step

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

Responsible Party

UNDP Programme Officer

Template/Guideline

Portfolio and Project Risk Register Template

Guidance Note : UNDP Social and Environmental Standards (SES)

UNDP Online Social and Environmental Screening Procedure User Guide

Explanatory Notes

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

Enterprise Risk Management Policy

Managing Risks Across UNDP Programming and Operations: Guidance Note

3.3 ALT

Step

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

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

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

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

Explanatory Notes

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

3.4

Step

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

Responsible Party

Template/Guideline

Explanatory Notes

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

1	Step Review the scope and content of amendment.	Responsible Party Content Owner	Template/Guideline	Explanatory Notes Straightforward changes involve: Incorporation of new/updated UN regulations, rules and decisions. Alignment with existing UNDP policies, processes, tools and practices to ensure coherence. Editorial changes involve: Refinement of language for ‘clarification’ purposes. Update of outdated links and reference sources. Substantive changes involve: Changes with significant financial and/or strategic implications to UNDP which introduce new concepts, roles or processes. For substantive changes to existing policies, please follow the procedure on preparation of new policies.
2	Step Consult with other offices and BMS/Directorate to ensure consistency in formulating a policy and identify paragraphs in relevant policies that should be refined, and policies to be retired.	Responsible Party Content Owner	Template/Guideline	Explanatory Notes
3	Step Ensure that any changes are also reflected in other languages translated.	Responsible Party Content Owner	Template/Guideline	Explanatory Notes
4	Step The policy focal point for each content owning bureau keeps track of what policies have been amended and updated.	Responsible Party Content Owner	Template/Guideline	Explanatory Notes
5	Step Ensure standardization of format.	Responsible Party BMS/Directorate	Template/Guideline	Explanatory Notes
6	Step Submit a clean version of the amended policy approved for publication.	Responsible Party Content Owning Bureau	Template/Guideline	Explanatory Notes Provide a summary of the amendment for the “Latest updates” section in the policy page and in the “What’s new” page. For guidance, please contact BMS/Directorate.
7	Step Publish the approved content and update the “What’s new” page in the POPP.	Responsible Party BMS/Directorate POPP Focal Point for Content Owning Bureau	Template/Guideline	Explanatory Notes
8	Step Regularly communicate the updated content to country offices.	Responsible Party Content Owning Bureau	Template/Guideline	Explanatory Notes

1	Step Clean-up of Purchase Orders (POs) and Clean-up of Accounts Payable	Responsible Party	Template/Guideline	Explanatory Notes A few notes on clean-up of Purchase Orders: The Clean-Up process must include PO and invoices that you have prepared on behalf of other agencies. Recurring PO invoice contracts are fully processed as soon as they are approved (i.e. dispatch is not required) and are not recorded in Projects. After the Clean-Up deadline has passed, any pending purchase orders that have a budget date on or before the month end may be cancelled. If the purchase order is still required, then you will need to create a new purchase order. For any purchase orders remaining after the deadline that do not have a validated status, OFM will attempt to reserve funds in the purchase order. If validated, no further action will be taken. If it fails the validation, OFM will close the purchase order. If the purchase order is still required, then you will need to create a new purchase order.
2	Step Review of Unpaid AP Invoices Use the infolet or payable dashboard to review the invoices that require attention (either “pending approval”, “rejected”, “invoices on hold” or “instalment on hold”)	Responsible Party	Template/Guideline	Explanatory Notes If the list of unpaid invoices includes invoices that were paid using manual checks, then immediately record the payment. Where the manual check cleared the bank in year X, if year X is closed you will need to record the payment with a year X+1 accounting date. Use the actual payment date to the supplier (the date on which the check was issued or payment cleared the bank) as the payment date for the manual payment. For duplicate or old invoices (that will never be paid), cancel the invoice. Go to Payables, search invoice, invoice action, and "Cancel Invoices". Take note that only the approver has the access to cancel invoices. This process is applicable to PO invoices, non-PO invoices and prepayments.
3	Step Maintenance of Asset Records and Physical Count While the physical inventory of assets in the office must be undertaken twice a year, i.e. mid-year in June and at the end of the year in December, UNDP Offices should maintain accurate asset records throughout the year. This means properly and promptly recording all assets purchased, transferred or disposed. Buyers are responsible for recording assets (goods valued at $5000 and above) when creating purchase orders.	Responsible Party	Template/Guideline	Explanatory Notes The asset focal point at the office is responsible for ensuring that serial numbers are recorded in Quantum as soon as the goods are received and for ensuring that if more than one item is purchased against a Purchase Order, the assets are unitized and each asset’s detail serial number is entered in the Fixed Asset Module. The Resident Representative is responsible for approval of the disposal of UNDP assets. The Operations Manager or DRR/O is responsible for promptly recording disposals after CAP review and recommendation.
4	Step Review of Fee Rows Fee rows are a significant source of extra-budgetary (XB) income for many offices. Your office receives the income when the Information and Technology Management (ITM) runs the process to post the Fee Rows to the GL. As such, it is critical that the Fee Rows be calculated and posted properly before close.	Responsible Party	Template/Guideline	Explanatory Notes Fees generated can be reviewed in the Agency Portal before posting to the GL.
5	Step Accounts Receivable (AR) Cleanup There are two types of receipts in AR – Standard Receipts and Miscellaneous Receipts. User can search all the unapplied receipts from the AR module by selecting ‘unapplied’ under the State field in the manage receipts, the list of the receipts will populate and users can export to excel.	Responsible Party	Template/Guideline	Explanatory Notes
6	Step Review of NEX Advances Advances are equivalent to prepayments in Quantum, you have 3 reports from the General Ledger which the Country Office can establish the balances. NEX Aging Report UN Account Analysis Report under General Accounting tab Inquiry and Reporting under General Accounting tab > General Accounting Dashboard > click on Tasks icon at the right hand side > Select Inquire and Analyze Balance or Inquire on Detail Balances.	Responsible Party	Template/Guideline	Explanatory Notes This will provide the balances for each respective office for all project balances. For each project balance, ensure that: It agrees to the last government Financial Report (FR) balance; It agrees to the bank statement for that project provided by the government or to the Financial Report vs. Bank Reconciliation balances; Any adjustments are charged or credited to expenditure in the current year. Edit the invoices under Payables module.
7	Step Updating Labour Schedule for payroll postings Country offices and HQ units are responsible for updating the labour schedule which is a pre-requisite for posting payroll transactions to Project Portfolio Management (PPM) and the General Ledger	Responsible Party	Template/Guideline	Explanatory Notes Every month, run Labour schedule Exception reports to ensure the project attributes are valid and there are no mismatches between position and labour distribution. See the Quantum screenshot below for the navigation
8	Step Clean-Up of Pending General Ledger Journal Entries As mentioned above, pending General Ledger Journal Entries (GLJEs) are GLJEs that have been created but have not yet been posted to the GL. Pending GLJEs contribute to inconsistencies between KK and GL reports. Pending GLJEs that passed the budget check are included in KK but not in the GL. As such, it is important that pending GLJEs be posted or deleted if they are not needed. Deleted GLJE's no longer appear in Commitment Control.	Responsible Party	Template/Guideline	Explanatory Notes Review all the unposted journals listed in the requiring attention, incomplete and import errors.
9	Step Protocol for Using Fund and Donor Codes To establish consistency across regions for the recording in Quantum of funds provided by Development Banks to UNDP either directly or through programme country governments. The following protocol has been developed to promote consistent use of fund and donor codes, particularly where funds are received from Development Banks.	Responsible Party	Template/Guideline	Explanatory Notes Donor Codes For Governments, donor codes must contain either the name of the country, e.g., Government of Colombia or the three letter ISO country code followed by the description of the ministry or principality {e.g. COL - Alcaldía de Barranquilla}. Donor codes that did not include the ISO code cannot continue to be used unless OFA edits the existing code to include the ISO code. Existing donor codes in Spanish may continue to be used provided the ISO code exists. New donor codes should be in English. The following are donor codes for the main development banks. a. World Bank {IBRD} = 000015 b. Inter-American Development Bank = 000016 c. African Development Bank = 000017 d. Asian Development Bank = 000018 e. Central American Bank for Economic Integration [CABEI] = 000275 Note: If a project has more than one government ministry as a donor, e.g., the ministry of health and ministry of finance, each donor should have its own code. Fund Codes: a. World Bank = 30011 b. Inter-American Development Bank (IDB) = 30021 c. African Development Bank = 30031 d. Asian Development Bank = 30041 e. Central American Bank for Economic Integration {CABEI} = 30061. Note: If a project has more than one loan from the same donor, use the next sequential fund number, e.g., 30021 = IDB loan #1 and 30022 = IDB loan #2. Funds 30071, 30072, 30073, etc. would no longer be used to record Development Bank funds. These fund codes would only be used for government funds that do not originate from Development Banks. However, it is acceptable to use these codes to record Government funds provided in support of Development Bank loans [e.g., payment of General Management Services - GMS - by Government].

Step

Request advance annual leave

Responsible Party

Staff member

Template/Guideline

Explanatory Notes

A staff member may, in exceptional circumstances, be granted advance annual leave up to a maximum of 10 working days, provided his/her service is expected to continue for a sufficient period to accrue the leave advanced. If the staff member takes more than the maximum 10 working days that may be granted as advance leave, the entire period in excess of the accrued annual leave is to be considered as special leave without pay.

Step

Request for advance annual leave

Responsible Party

Template/Guideline

Explanatory Notes

Requests should be addressed to the Regional Bureau in New York through the Operations Manager.

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

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.

1.0	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

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

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Formulate Development Projects

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Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

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Step

Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes