1. 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 NDP OPERATIONS GUIDE ROADMAP 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 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 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. 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. 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. 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 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 Technical Assistance Grant Capital Grant Sample Audits by NDP Grant Administration Finance and Budget Approval Required

2. 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) Grant Administration 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.

3. STAGE 2: PREPARATION (BUILDING THE BUSINESS CASE) NDP ROLESUPPORT MATERIAL GUIDE: Provide programme management guidance in respect of scope, time and costs for appointing service providers. Township Regeneration Strategy Economic Area Analysis Business and Project Plans Project Preparation Grant Administration 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. Business and Project Plans 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 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 detailed investigations to generate overall plan for programme to draw on NDPG to catalyse its implementation. THIS STEP INVOLVES: Investigation to describe, in detail, the challenges and constraints of the intervention. BP = Measurable at township level PP = Nodal/Linkage/General Improvement/Other Discrete Projects THIS STEP INVOLVES: Review of existing/new information and engagement with stakeholders to develop a long term plan for township Development. Guidance Note on Project Preparation

4. 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 MATERIAL NDP 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. Grant Administration NDPG Toolkit Funding Agreement and Schedules NDPG Language: Clarification of Terms Minimum Filing Requirements NDPG Glossary of Terms Finance and Budget Exit and Review Documents Exit and Review Guidance Note Close-Out Report Template Award Closure Sheet Adjust and Submit Final Close-Out Report/s per Project Capital Grant Quarterly Draw Downs 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 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

5. 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 Grant Administration NDPG Toolkit Funding Agreement and Schedules NDPG Language: Clarification of Terms Minimum Filing Requirements NDPG Glossary of Terms Finance and Budget Exit and Review Documents 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 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 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

6. TYPICAL MUNICIPAL PROGRAMME MANAGEMENT FUNCTIONS FOR NDPG Township Regeneration Strategy Economic Area Analysis Business and Project Plans Project Preparation Grant Administration Finance 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 Examples NDPG Business Plan Template NDPG Project Plan Template NDPG Project Plan Worksheet Guidance Note on Project Preparation Guidance Note: TRS INITIAL 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 DUTIESOUTPUTS 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: 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