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NDP OPERATIONS GUIDE ROADMAP. The NDP Operations Guide is a tool to assist Municipalities to comply with NDPG operational procedures. The Guide provides quick guidance on NDPG processes,

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SUPPORT MATERIAL

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  1. NDP OPERATIONS GUIDE ROADMAP 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: SUPPORT MATERIAL 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 Approval 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 Shortlisting and Verification Complete and Submit Funding Agreement Registration Checkpoint: Signed Funding Agreement STAGE 2 PREPARATION 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. Project Preparation Township Regeneration Strategy Business and Project Plans Economic Area Analysis Finance and Budget Scope Process Prepare Township Regeneration Strategy Status Quo Assessment Detailed Investigations Approval Required Prepare & Submit Business Plan/s and Project Plan/s Preparation Checkpoint: Approved Business Plan/s STAGE 3 IMPLEMENTATION 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. Exit and Review Documents 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 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. Exit and Review Documents Start Operations Prepare Exit Strategy/s Sample Audits by NDP Conclude Award Closure Exit and Review Checkpoint: Exit Strategy and Signed Award Closure Template

  2. 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 Scope Planning and Preparation Project 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 TRS (Township Regeneration Strategy) Status Quo Assessment • 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. Business and Project Plans THIS STEP INVOLVES: Review of existing/new information and engagement with stakeholders to develop a long term plan for township Development. • NDPG Business Plan Template • NDPG Project Plan Template • NDPG Project Plan Worksheet 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 Detailed Investigations (detailed feasibilities) GUIDE: Guide preparation of: TRS, Status Quo, Detailed Investigations Business/Project Plan/s. THIS STEP INVOLVES: Investigation to describe, in detail, the challenges and constraints of the intervention. 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 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

  4. STAGE 3: IMPLEMENTATION MUNICIPAL PROCESS NDP ROLE SUPPORT MATERIAL 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

  5. 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/Projects 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

  6. 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 INITIAL PLANNING • Develop a preliminary work plan. • Control changes to the initial work plan to reflect the actual • status. • WORK PLAN Township Regeneration Strategy • Guidance Note: TRS • 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 Project Preparation 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 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 • NDPG Business Plan Template • NDPG Project Plan Template • NDPG Project Plan Worksheet 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 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 Finance 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 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

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