English
Locations
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1.0 |
StepIntegrated Programme Assessment Committee reviews the programme's draft theory of change. |
Responsible PartyRegional Bureau Director |
Template/Guideline |
Explanatory NotesThis 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. |
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2.0 |
StepProgramme Appraisal Committee of CPD/RPD quality. |
Responsible PartyRegional Bureau Director |
Template/Guideline |
Explanatory NotesThe programme appraisal committee ensures the programme meets UNDP's quality standards for programme and reviews the office's capacity to implement the proposed programme. |
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3.0 |
StepSubmit the programme (CPD or RPD) to the Executive Board for approval. |
Responsible Party |
Template/Guideline |
Explanatory NotesProgramme 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)
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4.0 |
StepEndorsement of the programme by the executing partner (typically the programme country government). |
Responsible Party |
Template/Guideline |
Explanatory NotesUNDP'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.
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1.0 |
StepPrepare the annual report of the Administrator on the Strategic Plan. |
Responsible Party |
Template/Guideline |
Explanatory NotesConsider using the RBM Guidance to improve the ROAR Responses. |
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2.0 |
StepSubmit Financial Report. |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory NotesSee 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. |
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3.0 |
StepSign the Combined Delivery Report. |
Responsible PartyProgramme Manager/ Resident Representative Implementing Partner certifies |
Template/Guideline |
Explanatory NotesFrequency: second, third and fourth quarters Standard combined delivery report under construction in Quantum
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4.0 |
StepPrepare a Quality Project Report. |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory NotesFrequency: 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.
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5.0 |
StepDocument and communicate results to donors and other stakeholders, ensuring due credit is given to partners. |
Responsible PartyProgramme manager/Resident Representative,Programme officer |
Template/Guideline |
Explanatory Notes |
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1.0 |
StepPrepare the annual report of the Administrator on the Strategic Plan. |
Responsible Party |
Template/Guideline |
Explanatory NotesConsider using the RBM Guidance to improve the ROAR Responses. |
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2.0 |
StepContribute to the One UN country results report. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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3.0 |
StepEnsure complete, accurate, timely and quality Results-Oriented Analysis Report and Ensure Integrated Results and Resources Framework progress data. |
Responsible Party |
Template/Guideline |
Explanatory NotesResults-Oriented Analysis Report and IRRF reporting should be drawn from UNDP’s contribution to the One UN country results report, to the extent possible.
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1.0 |
StepRevisions are captured in a revised multi-year workplan or project document. |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory NotesConsider using the RBM Guidance to improve the way that projects manage change. |
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2.0 |
StepA revised project document must be quality assured and the risk register updated, including an updated SESP. |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesSee Quality Standards for Programming. |
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3.0 |
StepRevisions that entail a substantive change to the project’s approach or are above the agreed level of tolerance are reviewed and agreed by the project board and donor, UN pooled fund steering committee or vertical funds as relevant. |
Responsible Party |
Template/Guideline |
Explanatory NotesUNSDG Standard Memorandum of Understanding for Multi-Donor Trust Funds, One Funds and UNSDG | Guidance Note on a New Generation of Joint Programmes. Find other UNSDG MOUs at UNSDG legal templates & guidance for pooled funds. For GEF Projects, see guidance and procedures on the internal and external approvals required when making project revisions during project implementation. For GCF Projects, please see the GCF policy on restructuring and cancellation. |
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3.0 ALT |
StepProject extensions for GEF and GCF projects |
Responsible PartyResident Representative |
Template/Guideline |
Explanatory NotesProject Extension Guidance for GEF Projects Project Extension Guidance for GCF Projects For GEF financed projects, the RACI (Roles, Accountability, Consult and Inform) matrix is helpful guidance in defining the roles and accountability of project oversight. |
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4.0 |
StepSign revised project document (original signatories) |
Responsible PartyProgramme Manager/ Resident Representative |
Template/Guideline |
Explanatory Notes |
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5.0 |
StepStandard Operating Procedures to manage GEF/GCF/AF project risks escalated to the Executive Coordinator – Environmental Finance. |
Responsible PartyExecutive Coordinator – Environmental Finance, RR |
Template/Guideline |
Explanatory Notes |
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1.0 |
StepThe Regional Bureau, in collaboration with the country office, prepares a note that the Administrator submits to the Executive Board giving reasons for requesting suspension of the programme, and proposes management arrangements for continued assistance to the country. |
Responsible PartyRegional Bureau Director |
Template/Guideline |
Explanatory NotesThe note should also explain the implications for harmonized programme periods, and the related consultations that have taken place within the UN country team (including, for example, a programme criticality assessment). In the note, the Administrator may seek authority from the Executive Board to approve assistance on a project-by-project basis until the situation permits a return to normal operations. Programme suspension note forthcoming. |
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2.0 |
StepThe Regional Bureau presents the note to the Associate Administrator through the BPPS Effectiveness Group for review and clearance for submission to the Executive Board for approval. |
Responsible PartyRegional Bureau Director |
Template/Guideline |
Explanatory Notes |
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1.0 |
StepFor programme extension requests, submit required documentation to the BPPS Effectiveness Group (through the Regional Bureau, for country programmes) for clearance. |
Responsible Party
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Template/Guideline |
Explanatory NotesRequired 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 Management covering complete programme period. |
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2.0 |
StepSubmit request for extension to Executive Board for approval. |
Responsible PartyBPPS Effectiveness Group,
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Template/Guideline |
Explanatory NotesThis is included in the note of the administrator to the Executive Board. |
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1.0 |
StepThe proposed changes are tracked in the programme documentation in consultation with the programme board and appraised with key stakeholders. |
Responsible Party |
Template/Guideline |
Explanatory NotesRequired supporting documentation: Consider using the RBM Guidance to improve the way that programmes manage change. |
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2.0 |
StepDetails of the programme amendments are submitted to the Bureau Director. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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3.0 |
StepThe Bureau Director, in consultation with the Executive Board Secretariat and the BPPS Effectiveness, reviews the quality of proposed changes and advises on suitable action. |
Responsible PartyBureau Director, Headquarters programme appraisal committee secretariat |
Template/Guideline |
Explanatory Notes |
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4.0 |
StepProgramme 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 |
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4.0 ALT |
StepProgramme revisions requiring Executive Board approval are submitted to the Executive Board Secretariat by the relevant bureau through the Effectiveness Group in BPPS. |
Responsible PartyBureau Director, BPPS Effectiveness Group |
Template/Guideline |
Explanatory NotesRequired 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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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 |
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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