support material the ndp operations guide is a tool to assist municipalities to comply with ndpg...

SUPPORT MATERIALThe NDP Operations Guide is a tool to assist Municipalities to comply with NDPG operational procedures. The Guide provides quick guidance on NDPG processes, outputs required and tools to assist in developing the outputs. The Operations Guide does not replace the NDP Toolkit, but introduces additional support for operational management. The NDP Toolkit should be used together with the Operations Guide. This Roadmap serves as a guide on how to use the Operations Guide:

STAGE 1

REGISTRATION

NDP OPERATIONS GUIDE ROADMAP

DESCRIPTIONThis is the first step in the process for a municipality to

register their township for NDPG funding. The standard Registration form will guide the

municipality through a series of evaluation questions and require information about location, intent, focus

and management. Should this stage of the process prove successful, the next step in

the strategic partnership will be initiated to sign the Funding Agreement. Registration takes place only in set periods determined by the NDP.

Orientation Pack

STAGE 2

PREPARATION

STAGE 4

EXIT AND REVIEW

STAGE 3

IMPLEMENTATION

Project Preparation

Township Regeneration Strategy

Business and Project Plans

Economic Area Analysis

Exit and Review Documents


Prepare & Submit Application

Complete and Submit Funding Agreement

DESCRIPTIONThis stage will start with a process of engagement and

discussion to scope, programme and prioritise a collection of projects in order to clarify concepts.

This will be the first step in building the Business Case which includes providing detailed information on

the programme and assessing its feasibility. Then to prepare a plan for implementation (Business Plan) that will be approved by the NDP to authorise release

of CG. Aligned with this process to compile a Township Regeneration Strategy that will mainstream sustainable

township development over the long term.

DESCRIPTIONThis stage will involve the implementation

of the approved programme by using Capital Grant Funds. Funding and investment

partners will be brought on-board. Funding may also be available for any necessary project

management, capacity building and detailed planning to ensure the success of the project. Payment requests will be made according to

milestones identified and agreed.

DESCRIPTIONThe purpose of this stage is to effect handover and closure, including the establishment of all

management systems and the building of capacity if not already available. During this

stage the key success factors of the programme as identified within the Business Plan are also

reviewed. Audits or assessments may be undertaken with or without the support of

municipalities.

Currently ClosedNDPG Toolkit

NDPG Language: Clarification of Key Terms

Minimum Filing Requirements

Funding Agreement & Schedules

NDPG Glossary of Terms

Financial Policies and Procedures

Budgeting Process Practice Note

Benchmark Costing Report

Web Training Manual

Web Progress Report Template

Schedule 3A MPS: Current Year

Schedule 3B MTEF: 3 Year Forecast

VAT Guidance Note

CG Payment Claim Process

TA Payment Claim Process

Credit Order Instruction

Capital Draw Down Letter Template

Technical Assistance Payment Request Template

Shortlisting and Verification

Approval

Registration Checkpoint: Signed Funding Agreement

Status Quo Assessment

Detailed Investigations

Prepare & Submit Business Plan/s and Project Plan/s

Prepare Township Regeneration Strategy

Preparation Checkpoint: Approved Business Plan/s

Scope Process

Finalise Design Work

Appoint Implementer/Contractor

Contract Management

Handover and Final Completion

Prepare Close-out Report/s

Implementation Checkpoint: Close-out Report/s

Start Operations

Prepare Exit Strategy/s

Conclude Award Closure

Exit and Review Checkpoint: Exit Strategy and Signed Award Closure Template

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Grant Administration

Finance and Budget

Approval

Required

STAGE 1: REGISTRATION

Prepare & Submit Application to NDP

Prepare for and Attend Verification Site Visit

Receive Letter of Approval

Attend Induction Workshop

Complete and Submit Funding Agreement

Registration Checkpoint: Signed Funding Agreement

MUNICIPAL PROCESS NDP ROLE SUPPORT MATERIAL

Complete the Registration Form and include information on:

•Municipal and Township Information•Programme and Project Details•Investment Leverage Potential•Planning Costs and TA Requirements•Capital Costs and CG Requirements•Budget and Milestones•Supporting Documentation eg. Maps and diagrams•Municipal Declaration/s

Prepare and Provide Additional Information

Aknowledge Shortlisting

Adjustments and Additional Information to FA

Final Signed Funding Agreement from NDP

This stage is currently

closed. No new applications are considered.

Funding Agreement Schedules include:•General Project Description•Overall Project Costs•Milestone Payment Schedule•Authorisation by the Municipality•Council Resolution•Special Conditions•NDPG Award Letter•Delegations

GUIDE:Support in preparing and reviewing

Submission. (may include combined Municipal workshops)


Induction

•Orientation Pack

•NDPG Toolkit•Funding Agreement and Schedules•NDPG Language: Clarification of Key Terms•Minimum Filing Requirements•Glossary of Terms

Finance and Budget

•Financial Policies and Procedures•Budgeting Process Practice Note•Benchmark Costing Report•Web Training Manual•Web Progress Report Template•Benchmark Costing Report•Schedule 3A MPS: Current Year•Schedule 3B MTEF: 3 Year Forecast•VAT Guidance Note•CG Payment Claim Process•TA Payment Claim Process•Credit Order Instruction•Capital Draw Down Letter Template•Technical Assistance Payment Request Template

GUIDE:Guidance on adjustment/improvement of

Submissions.

CONTRACTUAL:Approval of Funding Agreement between Municipality and National Treasury

GUIDE:Guidance on way forward in respect of

processes and procedures to be followed.

APPROVE:Approval of Initial Award.

STAGE 2: PREPARATION (BUILDING THE BUSINESS CASE)

NDP ROLE SUPPORT MATERIAL

GUIDE:Provide programme management guidance in respect of scope, time and costs for appointing service

providers.




Project Preparation


Finance and Budget

•NDPG Toolkit•Funding Agreement and Schedules•NDPG Language: Clarification of Terms•Minimum Filing Requirements•NDPG Glossary of Terms

•Economic Area Analysis, Interpretation and Recommendations

•NDPG Business Plan Template•NDPG Project Plan Template•NDPG Project Plan Worksheet

•Guidance Note: TRS

GUIDE:Guide preparation of:

TRS, Status Quo, Detailed Investigations Business/Project

Plan/s.

CONTRACTUAL: Confirmation of Approved

Capital Programme

APPROVE:TA Payments.



MUNICIPAL PROCESS

Set Up Technical Oversight Management Structures

Scope the work required:•Long-range planning in place?•Level of planning readiness?

Decide who will do the work:•In-house.•Service Provider: Components of work•Service Provider: Manage entire process

Scope Planning and Preparation

Status Quo Assessment

Detailed Investigations (detailed feasibilities)

Business Plan/ Project Plan

TRS(Township Regeneration

Strategy)

Preparation Checkpoint: Business Plan

THIS STEP INVOLVES:Desk top assessment and engagement with Municipality and Stakeholders to determine:•Planning work.•Institutional arrangements.•Critical components of intervention.

TYPICAL OUTPUTS:*Status Quo Review Report.*Scoping of Detailed Investigations.*Scoping of TRS.*Recommendations to strengthen management of award.

TYPICAL OUTPUTS:* Strategic planning document to guide development of townships over long term.* Alignment to other strategic planning documents and processes eg. IDP, Budget.

TYPICAL OUTPUTS:* Technical: (EIA, Traffic Survey, Rezoning etc)* Economic and Social: (Safety Strategy, Socio-economic Survey, Economic Assessment etc)

CHARACTERISTICS* Long Term* Township Focused* Multi-Sectoral* Strategic* Coherent

TRS could be an existing document or part of

set of documents

TYPICAL BP/PP OUTPUTS:* Implementation Plan* Financial Plan* Leverage Plan* Risk Management Plan* Exit Strategy

THIS STEP INVOLVES:Use of technical studies and detailedinvestigations to generate overall plan for programme to draw on NDPG to catalyse its implementation.

THIS STEP INVOLVES:Investigation to describe,in detail, the challengesand constraints of theintervention.

BP = Measurable at township levelPP = Nodal/Linkage/General Improvement/Other Discrete Projects

THIS STEP INVOLVES:Review of existing/new information and engagementwith stakeholders to develop a long term plan for township Development.

•Guidance Note on Project Preparation

STAGE 3: IMPLEMENTATION

Procurement of Contractors

Implementation Checkpoint: Close-Out Report

MUNICIPAL PROCESS

Manage Construction and Hand-Over

Prepare Draft Close-Out Report per Project:

SUPPORT MATERIALNDP ROLE

•Ensure that completion was achieved within budget and timeframe.•Confirm whether objectives where achieved.•Outline any events of significance, unresolved disputes, suggested improvements.•Confirm that the quality of work is acceptable, history is available, handover complete.

APPROVE:TA/ and CG Payments.

Resolve Procurement of Resources for Implementation of Business Plan

Mobilise Professional Team (new/existing) for Implementation

Implementation Team Commissions Detailed Design

Final Design for Implementation

GUIDE:•Guidance on preparation of Close-Out documentation.



Finance and Budget


•Exit and Review Guidance Note•Close-Out Report Template•Award Closure Sheet

Adjust and Submit Final Close-Out Report/s per Project

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GUIDE:•Guidance in respect of cost, scope and time management of professional team.

GUIDE:•Programme management guidance in respect of implementation progress.

Option: Appoint Service Provider (new/existing)

for Exit and Review

STAGE 4: EXIT AND REVIEW

Start Operations

Exit Stage Gate: Award Closure Sheet

MUNICIPAL PROCESS

Prepare and Submit Draft Exit Strategy/s for Programme/s

Sign and Submit Closure Sheet per Award

Sample Audits on Awards/Programmes/

Projects

NDP ROLE SUPPORT MATERIAL

•Confirm Programme Completion.•Evaluate Programme Achievements.•Operations Plan – Confirm Sustainability.•Overall Assessment and Recommendations•Compliance Requirements



Finance and Budget


•Exit and Review Guidance Note•Close-Out Report Template•Award Closure Sheet

GUIDE:Provide programme management guidance in respect of scope, time

and costs.

APPROVE:TA Payments.

CONTRACTUAL:Agreement on Closure of the Award.

Adjust and Submit Final Exit Strategy/s per Programme


Adjust and Submit Final Close-Out Report/s per Project (STAGE 3)

GUIDE:Guidance on preparation of

Exit and Review Documentation

GUIDE:Sample audits on Awards/

Programmes/Projects

Use Close-Out Report/s as inputs

TYPICAL MUNICIPAL PROGRAMME MANAGEMENT FUNCTIONS FOR NDPG




Project Preparation


Finance Budget


•Economic Area Analysis, Interpretation and Recommendations•Examples

•NDPG Business Plan Template•NDPG Project Plan Template•NDPG Project Plan Worksheet

•Guidance Note on Project Preparation

•Guidance Note: TRSINITIAL PLANNING

ADMINISTRATION

FINANCIAL MANAGEMENT

REVIEW AND TECHNICAL OVERSIGHT

PROGRAMME/ PROJECT MANAGEMENT

COMMUNICATION

INVESTMENT AND PARTNERSHIPS

•Develop a preliminary work plan.•Control changes to the initial work plan to reflect the actual status.

MUNICIPAL DUTIES OUTPUTS

•Establish communication structure and responsibilities for the award.•Facilitate and convene meetings where applicable.•Manage reporting to Public, Council and NDP Unit. •Draft and keep relevant documentation of meetings. Eg. Minutes

•Complete and submit monthly web reports.•Keep and file all relevant documentation and monitor information distribution•Ensure quality management in the provision of professional services, construction and internal.

•Complete and send payment requests (TA and CG) to NDP.•Authorize and refer invoices to NDP for payment.•Review and submit revised Schedule 3A MPS twice a year.•Review and submit revised Schedule 3B MPS twice a year.•Manage and control the cost budget.

• WORK PLAN

•Comment on draft technical outputs and refer to NDP for comment.•Approve technical outputs and provide copies of outputs to NDP.•Send technical outputs to NDP for approval.•Manage the execution of the work in accordance with the approved technical documents.

•Facilitate adjustments and technical sign off of milestones as required.•Submit updated programme information to NDP.•Draft progress reports.

•Secure agreements with government partners at Local, Provincial and National levels.•Structure and drive the public-private partnerships (stakeholder and investor negotiations).

•CONTRACTUAL DOCUMENTATION•GIS DATA

•SCHEDULE 3A MPS•SCHEDULE 3B MPS•UPDATED FINANCIAL RECORDS•TA/CG PAYMENT REQUESTS

• STATUS QUO REPORT•TOWNSHIP REGENERATION STRATEGY•BUSINESS AND PROJECT PLAN•FEASIBILITY STUDIES•EXIT DOCUMENTATION

•WORK PLAN•NDPG WEB REPORT•PROGRESS REPORTS •PROJECT PLAN•BUSINESS PLAN

•MINUTES OF MEETINGS

•AGREEMENTS

SUPPORT MATERIAL

•Draft relevant tender documentation.•Send tender documentation to NDP for comment.•Manage the evaluation of proposals and tenders and facilitate awards.•Appoint consultants and contractors and manage their budgets

PROCUREMENT

• TENDER DOCUMENTATION•CONSTRUCTION CONTRACTS•LETTERS OF APPOINTMENT•SERVICE LEVEL AGREEMENTS

The NDPG requires Municipalities to have capacity in place to provide efficient programme management. Typical Municipal programme management functions include:
