Operational Guide Roadmap

1
NDP OPERATIONS GUIDE ROADMAP
SUPPORT MATERIAL
The 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
DESCRIPTION This 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
Grant Administration
Prepare Submit Application
Currently Closed
NDPG 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
Approval
Shortlisting and Verification
Complete and Submit Funding Agreement
Registration Checkpoint Signed Funding
Agreement
STAGE 2 PREPARATION
Project Preparation Township Regeneration
Strategy Business and Project Plans Economic
Area Analysis
DESCRIPTION This 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.
Finance and Budget
Scope Process
Status Quo Assessment
Prepare Township Regeneration Strategy
Detailed Investigations
Approval Required
Prepare Submit Business Plan/s and Project
Plan/s
Preparation Checkpoint Approved Business Plan/s
STAGE 3 IMPLEMENTATION
Exit and Review Documents
DESCRIPTION This 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.
Finalise Design Work
Appoint Implementer/Contractor
Contract Management
Technical Assistance Grant
Capital Grant
Handover and Final Completion
Prepare Close-out Report/s
Implementation Checkpoint Close-out Report/s
STAGE 4 EXIT AND REVIEW
Exit and Review Documents
DESCRIPTION The 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.
Start Operations
Prepare Exit Strategy/s
Sample Audits by NDP
Conclude Award Closure
Exit and Review Checkpoint Exit Strategy and
Signed Award Closure Template
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STAGE 1 REGISTRATION
This stage is currently closed. No new
applications are considered.
MUNICIPAL PROCESS
NDP ROLE
SUPPORT MATERIAL
Prepare Submit Application to NDP
Complete the Registration Form and include
information on
Induction
GUIDE Support in preparing and reviewing
Submission. (may include combined Municipal
workshops)

• Orientation Pack

• 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

Grant Administration

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

GUIDE Guidance on adjustment/improvement of
Submissions.
Aknowledge Shortlisting
Prepare for and Attend Verification Site Visit
Prepare and Provide Additional Information
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

Receive Letter of Approval
Attend Induction Workshop
APPROVE Approval of Initial Award.
Complete and Submit Funding Agreement
Funding Agreement Schedules include
GUIDE Guidance on way forward in respect
of processes and procedures to be followed.

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

Adjustments and Additional Information to FA
CONTRACTUAL Approval of Funding Agreement
between Municipality and National Treasury
Final Signed Funding Agreement from NDP
Registration Checkpoint Signed Funding
Agreement
3
STAGE 2 PREPARATION (BUILDING THE BUSINESS CASE)
NDP ROLE
SUPPORT MATERIAL
MUNICIPAL PROCESS
Township Regeneration Strategy
Set Up Technical Oversight Management Structures
GUIDE Provide programme management guidance in
respect of scope, time and costs for appointing
service providers.

• Guidance Note TRS

Project Preparation

Scope Planning and Preparation

• Guidance Note on Project Preparation

• 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

Economic Area Analysis

• Economic Area Analysis,
• Interpretation and Recommendations

Status Quo Assessment
TRS (Township Regeneration Strategy)
Business and Project Plans

• 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. Scop
ing of TRS. Recommendations to strengthen
management of award.

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

THIS STEP INVOLVES Review of existing/new
information and engagement with stakeholders to
develop a long term plan for township
Development.
Grant Administration

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

TRS could be an existing document or part of
set of documents
GUIDE Guide preparation of TRS, Status Quo,
Detailed Investigations Business/Project Plan/s.
Detailed Investigations (detailed feasibilities)
TYPICAL OUTPUTS Technical (EIA, Traffic
Survey, Rezoning etc) Economic and Social
(Safety Strategy, Socio-economic Survey,
Economic Assessment etc)
THIS STEP INVOLVES Investigation to describe, in
detail, the challenges and constraints of
the intervention.
CHARACTERISTICS Long Term Township Focused
Multi-Sectoral Strategic Coherent
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

Business Plan/ Project Plan
TYPICAL BP/PP OUTPUTS Implementation Plan
Financial Plan Leverage Plan Risk Management
Plan Exit Strategy
TYPICAL OUTPUTS Strategic planning document
to guide development of townships over long
term. Alignment to other strategic planning
documents and processes eg. IDP, Budget.
THIS STEP INVOLVES Use of technical studies and
detailed investigations to generate overall plan
for programme to draw on NDPG to catalyse its
implementation.
APPROVE TA Payments. Business and Project Plans
BP Measurable at township level PP
Nodal/Linkage/General Improvement/Other Discrete
Projects
CONTRACTUAL Confirmation of Approved Capital
Programme
Preparation Checkpoint Business Plan
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STAGE 3 IMPLEMENTATION
MUNICIPAL PROCESS
SUPPORT MATERIAL
NDP ROLE
Resolve Procurement of Resources for
Implementation of Business Plan
Grant Administration

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

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

Mobilise Professional Team (new/ existing) for
Implementation
Implementation Team Commissions Detailed Design
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

Procurement of Contractors
Capital Grant Quarterly Draw Downs
Final Design for Implementation
Manage Construction and Hand-Over

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

Option Appoint Service Provider
(new/existing) for Exit and Review
Exit and Review Documents
Prepare Draft Close-Out Report per Project

• 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.

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

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

Adjust and Submit Final Close-Out Report/s per
Project
Implementation Checkpoint Close-Out Report
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STAGE 4 EXIT AND REVIEW
NDP ROLE
MUNICIPAL PROCESS
SUPPORT MATERIAL
Adjust and Submit Final Close-Out Report/s per
Project (STAGE 3)
Grant Administration

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

GUIDE Provide programme management guidance in
respect of scope, time and costs.
Use Close-Out Report/s as inputs
Start Operations
GUIDE Guidance on preparation of Exit and
Review Documentation
Finance and Budget
Prepare and Submit Draft Exit Strategy/s for
Programme/s

• 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

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

APPROVE TA Payments.
Adjust and Submit Final Exit Strategy/s per
Programme
GUIDE Sample audits on Awards/ Programmes/Project
s
Sample Audits on Awards/Programmes/ Projects
Exit and Review Documents

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

CONTRACTUAL Agreement on Closure of the Award.
Sign and Submit Closure Sheet per Award
Exit Stage Gate Award Closure Sheet
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TYPICAL MUNICIPAL PROGRAMME MANAGEMENT FUNCTIONS
FOR NDPG
The NDPG requires Municipalities to have capacity
in place to provide efficient programme
management. Typical Municipal programme
management functions include
MUNICIPAL DUTIES
OUTPUTS
SUPPORT MATERIAL
Township Regeneration Strategy
INITIAL PLANNING

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

• WORK PLAN

• Guidance Note TRS

Project Preparation

• 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

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

PROCUREMENT

• Guidance Note on Project Preparation

Economic Area Analysis

• Economic Area Analysis,
• Interpretation and Recommendations
• Examples

ADMINISTRATION

• 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.

• CONTRACTUAL DOCUMENTATION
• GIS DATA

Business and Project Plans

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

FINANCIAL MANAGEMENT

• 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.

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

Grant Administration

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

REVIEW AND TECHNICAL OVERSIGHT

• 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.

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

Finance Budget
PROGRAMME/ PROJECT MANAGEMENT

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

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

• 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

COMMUNICATION

• 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

• MINUTES OF MEETINGS

INVESTMENT AND PARTNERSHIPS

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

• AGREEMENTS