UNDP Starter Kit All About

8/2/2019 UNDP Starter Kit All About

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Starter Kit : UNDPs Mandate, ProgrammingTools, and Systems

With 132 country offices, UNDP has long enjoyed the trustand confidence of governments and NGOs in many parts ofthe developing as well as the developed world. It is typicallyregarded as a partner rather than an adversary, and its com-mitment to a universal presence has proven especially usefulin post-conflict situations and with states that had been other-wise isolated from the international community.

MARK MALLOCH BROWN, UNDP Adminstrator

Discover UNDP on the web

INTERnet: www.undp.orgINTRAnet: http://intra.undp.org/oa/

A compilation of existing

sources in UNDP:

Executive Board

documents

Programme Manual

RBM Tools 2002

Communications Office

press releases

Speeches & Presentations

from the Administrator

UNDP HQ & country office

web sites

Comments and Questionsnick rene hartmann@undp org

ANUNO FFICIAL COMPILATIONOFREFERENCEINFORMATIONSUPPORTED BY UNDP CONGO-

BRAZZAVILLE, TH E LEA D PROGRAMMEOF OHR,AN DTH E BUREAUFO R CRISIS PREVENTIONAN D

RECO VERY

Latest Update

February 2002

Table of Contents

Introduction to the United Nations

Introduction to UNDP

Programming Tools

Results-Based Management

Evaluation & Best Practices

Introduction to the SURFs

UN System Coordination

Human Development Reports

Strategic Partnerships

Resource Mobilisation

Information & Communication

Technologies

Essential Contact Information

______________________________

Elabor par Nick Hartmann

Leadership Development Programme

Notice

Please note that UNDPs rules and

regulations evolve constantly, and

that some updated information may

not be contained herein. Please

visit the necessary web sites in

UNDP to obtain the latest informa

Elaborated by

Nick Hartmann, Bureau for Crisis Prevention &

Recovery (BCPR)


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Briefing Kit Page June 20011

A. INTRODUCTION

1. The United Nations: Background

The name United Nations, devised by U.S. PresidentFranklin D. Roosevelt, first appeared in the Declaration by

United Nations of 1 January 1942, in which therepresentatives of 26 countries undertook to continuetogether their war against the Axis powers.

The United Nations Charter was drawn up by therepresentatives of 50 countries at the United NationsConference on International Organization, held in SanFrancisco from 25 April to 26 June 1945. They based theirwork on the proposals prepared by the representatives ofChina, the Soviet Union and the United States between August and October 1944, at DumbartonOaks. The Charter was signed on 26 June 1945 by the representatives of 50 countries.

1

The United Nations Organization officially came into being on 24 October 1945, when the Charter hadbeen ratified by China, France, the Soviet Union, the United Kingdom and the United States, and bythe majority of the other signatory states. United Nations Day is celebrated on 24 October every year.

DIAGRAM 1: Organization Chart of the United Nations System

1 Poland, which had not been represented at the Conference, signed later, but still counts as one of the 51 original Member

States.

Box 1: Kofi Annan

The 7th Secretary-General of the UnitedNations, Kofi Annantook office in January1997.

Ghanaian by birth, hehas been part of the UNsince 1962.


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The United Nations Organization is a forum for resolving the problems which confront mankind in itsentirety. More than 30 related organizations, k nown collectively as the United Nations system, worktogether to make this purpose a reality. The UN and its family of organizations labour unceasingly topromote respect for human rights, to protect the environment, to combat disease, to supportdevelopment and to fight against poverty.

Additionally, various United Nations bodies define the standards of safety and efficiency in air and sea

transport, assist in improving telecommunications and consumer protection, seek to ensure respect forintellectual property rights and coordinate the allocation of radio frequencies. The UN also directs theinternational campaigns to combat drug trafficking and terrorism. Throughout the world, the UnitedNations system comes to the aid of refugees, sets up demining pro grammes, assists in improving thequality of drinking water and in developing food production, grants loans to developing countries andhelps to stabilize financial markets.

2. Introduction to UNDP

The United Nations Development Programme (UNDP) isthe UNs principal provider of development advice,advocacy and grant support.

With 132 country offices, it has long enjoyed the trust and

confidence of governments and NGOs in many parts of thedeveloping as well as the developed world. Its commitmentto a universal presence has proved especially useful inpost-conflict situations and with states otherwise isolatedfrom the international community.

In September 2000, at the United Nations Millennium Summit, world leaders pledged to cut extremepoverty in half by 2015. UNDP is now charged with helping to make this happen. Its focus is onproviding developing countries with knowledge -based consulting services and building national,regional and global coalitions for change. All of the activities of UNDP serve t o promote SustainableHuman Development , (or SHD), in other words a sustainable increase in choices and opportunities forthe poor. In order to support SHD, UNDP has specialized expertise in the following areas:

Democratic Governance

Poverty ReductionCrisis Prevention and RecoveryInformation and Communications TechnologyEnergy and EnvironmentHIV/AIDS

Democratic GovernanceDemocracy has made impressive gains worldwide over the past 25 years. But both in well -established democracies and in new ones, the challenge remains to develop political, legal andregulatory frameworks that are more responsive to the needs of ordinary people, including the poor.Developing-country governments in every region have asked UNDP to help them meet this c hallenge.

Poverty ReductionUNDP is helping developing countries plan and implement nationally -owned strategies and solutions

for reducing poverty. The goal is to address the multi -dimensional roots of poverty, including throughthe creation of economic opportunity; the empowerment of women and the protection of human rights;participatory approaches to government budgeting; and the better delivery of social services. We arealso making efforts to build up the capacity of the least developed countries to draw advantages fromthe global economy .

Box 2: Mark Malloch Brown

UNDP has been led byMark Malloch Brown,from the UK, since1999.

He was formerly Vice-President for ExternalAffairs at the WorldBank.


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Crisis Prevention and RecoveryMany countries currently are embroiled in violent conflicts orrecurrent natural disasters that can erase decades ofdevelopment progress and further entrench poverty andinequality. UNDP supports innovative approaches to crisisprevention, early warning and conflict resolution; assists inthe coordination of international humanitarian assistance;

and helps bridge the gap between emergency relief andlong-term development.

Information and Communications TechnologyUNDP is helping developing countries craft viable NationalInformation Infrastructure Policies to encourage greater connectivity and greater competition, therebycutting transaction costs for delivering public se rvices to the poor and helping them to becomeentrepreneurs in their own right. And as a provider of knowledge -based consulting services, UNDPemploys ICT solutions in every aspect of its work.

Energy and EnvironmentEnvironmental degradation hits the poor the hardest since they are especially vulnerable to problemssuch as water contamination, land degradation and air pollution. The poor are also the ones ingreatest need of access to clean affordable energy. UNDP is leading the United Nations effort i nbuilding national capacity for environmentally sustainable development by promoting global bestpractices and supporting catalytic interventions.

HIV/AIDSBecause AIDS kills mostly people in the 15 -49 age group, it is uniquely devastating in terms ofincreasing poverty. UNDP is helping developing countries prepare, fund and implement strategicHIV/AIDS plans that mobilize all sectors of government and civil society. As an active supporter ofSouth-South cooperation, UNDP is facilitating access to know ledge and best practices from aroundthe world.

UNDP is also the agency which takes the lead in the coordination of the United NationsDevelopment Group

2, (in particular those agencies under the heading Programmes and Funds of

the UN organization chart ) and has the role of ensuring that the operational activities of the systemhelp to promote the autonomy of the recipient countries.

The distinguishing features of these operational activities are their universality and neutrality, and theirability to respond flexibly to the needs of the recipient countries. They represent a critical and uniqueresource for strengthening the capacities of the recipient countries to manage their own developmentprocesses.

2Members: UNDP, UNFPA, UNICEF, UNIFEM, WFP, UNOPS, UNAIDS, UNCHS (Habitat), UNDCP, DESA, FIDA, OHCHR,

UNCTAD, and the Regional Commissions (ECA, ECE, ESCWA, ESCAP, ECLAC)

Box 3: Zphirin Diabr

The former Ministerof Finance of BurkinaFaso, ZphirinDiabr, has been theAssociate

Administrator ofUNDP since January1999.


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DIAGRAM 2: Organization Chart of UNDP at Headquarters, New York

B. UN PROGRAMMING AND COLLABORATION TOOLS

1. Support for Coordination of External Assistance

At the country level, the activities of the United Nations system are coordinated by the ResidentCoordinator system. The Resident Coordinator is the designated Representative of the Secretary -General and the head of the UN country team, and has the primary responsibility for ensuring that theUnited Nations system provides a harmonized and coherent response to the developme nt challengesof the country in accordance with the mandates of each organization within the system.

Coordination impacts the activities of the United Nations system in the areas of programming,

information and administration:

Operational coordination: Taking steps towards greater harmonization and coordination tomake actions more compatible and thus to respond better to the needs of the population. Tothis end, the agencies in the United Nations system which are represented, for example, inMauritania, will harmonize their programming cycle as from 1 January 2003. In preparation forso doing, during 2001 they will draw up the Common Country Assessment (CCA), then theUnited Nations Development Assistance Framework (UNDAF), in close cooperation with theGovernment, more specifically with the drafting process of the Strategic Framework to CombatPoverty.

Key Sources & Links

Web: For documents related to coordination :http://intra.undp.org/osg/ Web: Programme Manual :http://intra.undp.org/bdp/programming/index.html Web :Development Group Office (DGO) :www.dgo.org


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Communication with the outside : Speaking with a single voice to achieve bettercommunication of the messages of the United Nations and to act as a catalyst among thedevelopment partners. In addition to the meetings of the development partners and thethematic groups, a Coordination Unit has been set up, and will be attached to the Office of theResident Coordinator.

Establishment of common tools: Improving the functioning and internal efficiency of theUnited Nations system.

While it is primarily the responsibility of Governments to coordinate all outside assistance provided tosupport national priorities and strategies, including the assist ance provided by the United Nationssystem, UNDP seeks to maximize the utilization of the resources coming from the United Nations oravailable in the form of international aid, through the Resident Coordinator function 3.

The following section explains h ow coordination is operationalized, and the tools which have beendesigned to ensure complementarity among the actions of the sister United Nations agencies.

UN Collaboration Tools : CCA & UNDAF

On 16 July 1997, the UN Secretary-General announced the reforms to be introduced within the UN in

order to avoid duplication of initiatives, and to ensure that a countrys key problems are dealt with bythe United Nations system. In particular, he recommended the preparation of two key documents: theCommon Country Assessment (CCA) and the United Nations Development Assistance Framework(UNDAF).

In order to be in phase with the programming cycle of the Government, (which often means being inphase, for example, with the host country governments National Anti -Poverty Action Plan), theagencies of the United Nations system represented in a given country are required to harmonize theirprogramming cycle as from 1 January 2003. In preparation for so doing, in the intervening years theUN agencies have to draw up the Common Country Assessment (CCA), and then the United NationsDevelopment Assistance Framework (UNDAF), in close cooperation with the Government.

CCA: The Common Country Assessment

The Common Country Assessment (CCA) is a country -level process which seeks to evaluate and

analyse the national development situation and to identify the main problems as a basis for promotionof political dialogue and preparation of the Framework Plan. The conclusions from this exercise arepresented in a CCA document.

The objective of the CCA is that the partners involved in it should come fully to grips with the majordevelopment problems, on the basis of a common analysis and understanding of a countrysdevelopment situation, on the one hand, and of an approach to be take n which will involve thepopulation, on the other. The CCA also establishes a common understanding of the internal andexternal risks threatening the development process, and identifies contingencies and the needs forrecovery and rehabilitation, as circum stances dictate.

The CCA is carried out by the United Nations system with key partners: the Government, civil society,the private sector and the donors.

UNDAF: The United Nations Development Assistance Framework

The United Nations Development Assistanc e Framework (UNDAF) is used to plan the developmentoperations of the UN system at the country level. It comprises objectives and strategies for joint

3 Depending on the country, the Resident Coordinator is often also appointed as the Humanitarian Coordinator, and/or the

Special Representative of the Secretary-General. (Since the Congo is a post-conflict country, the Resident Representativethere has also been appointed as the Humanitarian Coordinator.)


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cooperation, a programme resource framework and proposals for monitoring, follow -up andevaluation, and lays the foundations for cooperation among the United Nations system, theGovernment and the other development partners by preparing a set of complementary programmesand projects.

The object of the UNDAF is to bring greater consistency into the UN countr y-level assistanceprogrammes, with shared objectives and a shared timetable, in close cooperation with theGovernments. It is based on a Common Country Assessment (CCA), which is a participatory processundertaken at national level, seeking to examine the current state of development in a given countryand to identify and analyse the related key questions.

2. Introduction to The Country Programme : A UN Programming Tool

In the past, UNDP used the CCF (Country Cooperation Framework) as the programming instrumentby which a Government and UNDP have normally defined the cooperation that they intend to pursueover a period of several years. However, due to the increasing need for closer UN agencycollaboration, a new tool had to be devised.

The Executive Board reached a landmark decision in June of 2001, to establish a new format ofcountry programming format and process. A number of key principles were followed: to align the

country programme and the strategic results framework, to limit the contents of the countryprogramme document to the bare minimum, and to ensure that Headquarters involvement in theprocess is timely and strategic.

The alignment between the Country Programme (which replaces the term: "Country CooperationFramework") and the str ategic results framework (SRF) (presented in Section C) has beenachieved by:

(i) Adopting the SRF concepts and terms in the country programme, especially theconcept of outcomes;

(ii) Deciding that the country-level SRF period will be identical to the country p rogrammeperiod for all new country programmes. This applies to country programmes startingin January 2003 or after. The SRF should then be revised in order to align, both interms of programme substance and time period, with the new country programme.

(iii) Ensuring closer alignment between the country programme and the UNDAF, bymaking better use of the UNDAF for country programme formulation, and by postingthe UNDAF on the respective agency websites at the time of posting the countryprogramme. (See section D : Coordination and its Tools for an introduction to theCCA & UNDAF)

A significant difference between the new process and the old CCF process is that the new processneeds to begin earlier. UNDAFs will need to be completed one year prior to the new programmeperiod. The draft country programme, referred to as a country programme outline in Executive Boarddecision 2001/11, will need to be ready nine months before the new programme period, so that theBoard can review the outline at its June sess ion (i.e. six months before the new period begins). As theenclosed letter explains, the review in June is seen by the Board as an opportunity to consider thecountry programme at a stage where they can still contribute towards its finalization; for theprogramme country, it is an opportunity to begin mobilizing resources for the new programme.

The final country programme will reflect any adjustments that the Government, in consultation with theUNDP Resident Representative, decides to make following the Executive Board's review of theoutline. In most cases, we do not expect that there will be a significant difference in content or lengthbetween the "outline" and the final country programme. (The prescribed length of the outline is sixpages). The "out line" and the final "programme" are steps in completing a single document, ratherthan two separate documents.

Before their submission to the Executive Board, the country programme outlines, like CCFs, will besubject to internal corporate review. Howeve r, this review process is to be streamlined and shortened.


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In future, the review will focus more on corporate quality assurance than on providing feedback tocountry offices for changing the programme outline. Specific information on the review process i s nowbeing prepared and will be shared with country offices when approved. To provide time for the review,as well as for editing and translation, country programme outlines should reach Headquarters by 15February.

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DIAGRAM 3: Table of Contents of the new Country Programme

Finally, for further information on the process of the Country Programme, please refer to Decision2001/11, based on a joint UNDP/UNFPA report on progress and future options in the programmingprocess (DP/FPA/2001/7 DP/2001/12). This document should be reviewed carefully since it will haveimportant implications for the manner in which new country programmes are formulated and approvedin the future, harmonizing programming processes of UNDP and UNFPA. It is important to stress that,

while this decision applies to UNDP and UNFPA only, it was based on a United Nations DevelopmentGroup (UNDG) initiative. The Executive Boards of WFP and UNICEF will consider the subject insessions taking place in 2002.

4Country Offices are encouraged to avail themselves of the support services from the outposted policy specialists located in

the SURFs (See Section C : Sharing Knowledge and Understanding : The SURFs) to help in the preparation of the UNDAFand country programme outlines

Part I. Situation analysis

With the focus adapted to suit the specific mandate of the agency, this section will contain:

- A succinct, analytical overview of the most pertinent development issues relevant to the work and mandate ofthe agency, as well as the trends towards achieving the goals and objectives of relevant internationalconferences (such as WSSD and ICPD) and the Millennium Declaration.

- References (and hypertext links) to the relevant parts of the most recent common country assessment (CCA)and millennium development goals report (MDGR). These references deal with the status and trends indevelopment conditions as well as national policies.

Part II. Past cooperation and lessons learned

- Brief overview of key results achieved in the past programme, with references and hypertext links to the mostrecent programme review.

- Succinct description of major lessons learned, including what worked and what did not work and why, withspecific references to the strategies employed in the previous country programme of the agency and how theselessons will be applied in the new proposed programme.

Part III. Proposed programme

- Brief reference to the proposed priorities of the country programme and how they contribute to the UNDAFobjectives, including a brief description of agencys distinctive role, vis--vis other development partners, inaddressing the identified country development challenges.

- Analytical narrative of the proposed strategies, outlining the causal relationship between identified developmentchallenges and the proposed strategy(ies). The section should address the following issues: (a) the substantiveapproach(es) (technical and programmatic) by which the identified development and/or post-conflict/recoveryconstraints will be tackled in order to achieve the intended results and (b) the related partnership strategy to beemployed.

Part IV. Programme management, monitoring and evaluation

- Brief statement of the agreed arrangements for programme management and M&E of the programme.- Brief discussion of data availability, reliability and timeliness, and any action envisaged building national M&E

capacity.

- The proposed management strategy with regard to: (a) implementation arrangements; (b) the strategy forresource mobilization (financial and in-kind); and (c) any proposed changes in country office structure andstaffing.


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3. Delivering on the Programme : Execution Modalities

Although UNDP may be the organization selected by the Government to support a developmentinitiative, UNDP does not necessarily do everything itself for the implementation of a project or aprogramme. Often, UNDP passes various responsibilities on to other partners. In order to be moreable to manage these various partnerships in the context of the programme approach, UNDP makes

arrangements to provide its support to the programmes and projects in one of the following fo ur ways:

National execution (NEX) This applies to management entrusted to a government entity. It is thenormal procedure, and such entities might be, for example, the Ministry of Urban Planning, theMinistry of Local Government, etc.

Execution entrusted to a United Nations body such as UNOPS, or a specialized agency likeIMO, ILO, etc.

Execution entrusted to an NGO , through specific agreements;

Direct execution (DEX) This applies to the cases in which UNDP undertakes the managementitself, which is permitted in exceptional circumstances.

The management arrangements are laid down following consultations between the parties concernedduring the formulation of the programme or project. The Associate Administrator has delegated thedecision-making responsibility to the Heads of the Regional Bureaux, and the latter approve DEXprojects on a case by case basis, or else delegate the right to approve to a Resident Representativefor a period not exceeding one year.

In particular, the government coord inating authority often works in consultation with the UNDP countryoffice to coordinate external assistance. However, in terms of the final selection of the executionmodality, the final decision and accountability rests with the Resident Representative.

Often, a NEX project or programme will have several partners. For example, a NEX project which isexecuted by the Ministry of Education may have several activities carried out by others, such asUNOPS (United Nations Office for Project Services) which s pecializes in the purchase of equipmentand the recruiting of consultants and project managers. But a NEX project gives the maximummanagement responsibility to the Government.

It is important not to confuse the implementing agency with the designated government institution.A single institution is designated to manage each programme or project receiving support from UNDP.Its primary role is to ensure that the results expected of the programme or project are achieved and, inparticular, that the ou tputs are the result of an efficient management of the process and an efficientuse of UNDPs funds. The institution thus selected is known as the designated institution. On theother hand, the implementing agency is the body which manages the project on a day-to-day basis,recruits the consultants, purchases vehicles, etc.

The Government, through its coordinating authority, has overall responsibility for all UNDP -supportedactivities. This authority is responsible for ensuring that all relevant depa rtments are fully involved inthese activities. It is also responsible for the overall implementation of the results anticipated to flowfrom the support given to the country by UNDP.


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C. Introduction to RBM (Results-Based Management) and its Tools

The objective of RBM is to supply a consistent framework for strategic planning and managementbased on learning and accountability in a decentralized environment. This approach is intended toimprove the effectiveness of management and to enhance accountability, by giving an improveddefinition of the results to be obtained, and the activities and partners necessary to achieve them.

The environment in which UNDP exists has become more competitive (while global developmentresources have undergone a sharp decline), and our programme governments have become moredemanding. RBM places UNDP on a more strategic track, and is based on the following:

A definition of the strategic development results (outcomes) towards which the specific

deliverables ( outputs) will be designed;

Alignment of implementation modalities, procedures and resources throughout the programmecycle to be able to achieve results;

Ongoing monitoring and evaluation of performance, integrating the lessons learned intoplanning for the future;

Enhanced accountability, based on continuous feedback to improve performance;

RBM is essentially a management philosophy and has become the organising principle of theorganisation. It is also to be hoped that it will demonstrate better at the global level (specifically to theExecutive Board) how UNDP operates and how it better targets the needs of its programme countries,in order also to demonstrate that UNDP gives transparent accountability for its use of r esources.

But how can one analyse the commitment of UNDP and its partners, above all in such amultidimensional sector as development? How is one to know if good work is being carried out?

In order to analyse and comprehend the results, UNDP has develop ed the following tools andmethodologies that underlie the implementation of RBM within the agency:

SRF: Strategic Results FrameworkROAR: Results -Oriented Annual ReportRCA: Results Competency AssessmentMRF: Management Results Framework

SRF: Strategic Results Framework (the What)

The country office uses its Strategic Results Framework (SRF) to ensure that the programmes and

projects are systematically focused on the results. The SRF helps the country office to balance thecollective goals of UNDP with the needs and priorities of the programme country. The SRF covers sixthemes:

Enabling Environment for Sustainable Human Development (Governance)PovertySpecial Development SituationsEnvironmentGenderUNDP support to the Un ited Nations

Key Sources & Links

RBMS Resource Centre : All RBM-related information available at the RBM Resource Centre:http://intra.undp.org/osg/

RBMS Analysis Module : an online archive of the planned and achieved development results of all of UNDPsreporting units :http://rbmsgat.undp.org

Specific Questions on RBM email formula : [email protected] (Where X=Your regional bureau, e.g. RBA , RBEC , RBLAC , RBAP , or RBAS HQ Technical Support Hotline : Resources Strategy Table : [email protected]

HQ Technical Support Hotline: Results & Competency Assessment :[email protected]


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The SRF is essentially a planning and management instrument. The SRF arises out of the countryprogramme, in the sense that it is compatible with its objectives, but it goes further, in that it includesthe effects and outputs, and their ind icators. The SRF is a highly strategic document. It does notinclude all of the outputs set forth in the projects and programmes of an office, but only thoseconsidered most important.

A good SRF draws on the Common Country Assessment and the other key documents. A thoroughknowledge of the capacities of the Government, the capacities of the partners, and the realities of thecountry in general, is needed before one can understand and define, as realistically as possible, thecontribution of UNDP to development. Progress is measured by way of indicators, (either quantitativeor qualitative, but always time -bound) which have to accompany each result included in the SRF.

For example, rather than saying for an output: Preparation of the Human Development Report, it isbetter to say, 2001 Human Development Report finalized and presented to the Government beforethe end of May 2001. Even if several activities feed into the preparation of such a report, the SRF istoo strategic to include activities such as Recruitment of an SHD consultant , Purchase of thevehicle to carry out the survey, etc. These activities are shown only at the level of the projects andprogrammes individually.

The SRF is intended to be updated every four years (initially for 20 00-2003) but every year, a report,called the ROAR, will be drawn up and sent to Headquarters, explaining what has been achieved andhow, and at the same time including the lessons learned.

ROAR: Results-Oriented Annual Report

The ROAR is a well -structured tool allowing UNDP to make its own assessment (based on indicators)of the progress towards implementation of the results called for in the SRF.

The objectives of the ROAR are:

To present an update on the results achieved, accurately, specifically and verifiably, usingindicators of effects and the targets for the outputs listed in the SRF;

To make an assessment of what went well but also of what went badly, and why, so that thecountry office and UNDP in general, as well as other important p artners, can benefit from the

experience gained and go on improving their performance;

To analyse the major factors impeding the achievement of the results, such as the specificconditions of the country, partnerships and resources;

To provide a tra nsparent and systematic base on which to establish a consensus within theGovernment and other major partners on the performance of UNDPs assistance over the precedingyear and the main implications of that assistance for the following 12 months.

The principal items of data which normally feed into the ROAR are:

The most recent reports on the projects and programmes arising from the review mechanismsundertaken regularly for purposes of management and of monitoring and evaluation, and;

The financial reports on the estimated expenditures drawn from the Integrated Resources

Framework andfrom other additional sources, specific to the country (if appropriate).

While the ROAR should be discussed with the Government and other key partners, its potentia l as aninternal management tool is only now being tapped for the first time, as management realises its valuein oversight, programme direction and trend performance management.


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RCA: Results Competency Assessment

The RCA is the key element in the hu man resources management system, and makes explicit whatthe office expects of each officer in terms of performance, and the expectations of the staff in theareas of personal and vocational training. It is a system which provides an objective basis forrecruitment, selection, performance planning, and evaluation.

5

The objective is to relate the professional expectations of each officer to the needs of UNDP, and tobe able to manage both sides expectations effectively. This requires a structured inter action, andUNDP has developed an RCA cycle which runs on the following process:

Career Review Group

Unit Management Plan

Individual performance planning

Mid-year performance review

Year-end appraisal The mid-year review provides an opportu nity to give comments on the progress achieved and the

likelihood of reaching the year -end objectives. It is particularly important in the RCA process that theofficer should make significant use of the opportunities for self -training, in particular now t hat UNDPhas stated that 5% of an officers total time should be devoted to training.

Management Results Framework (MRF)

Results orientation and the need to reduce transaction costs in the organization have led UNDP tointroduce a streamlined, integrate d system to plan, report and assess on results. The new system hastwo components: the SRF -ROAR dealing with development results ( what ) and the ManagementResults Framework (MRF), addressing management results ( how ).

The MRF is a multidimensional framework for work planning, target setting and managing strategy atall levels of the organization, from the operating unit (both at headquarters and in country offices) tothe individual.

It aims at providing a view of the organizations overall performance by integrating financial measureswith other key performance indicators around organizational policy, organizational learning,stakeholders perspectives and internal business processes.

The MRF integrates two tools, the Balanced Scorecard a nd the Country Office Management Plan(COMP) to become a single integrated management and reporting instrument to measure: (1) theorganizations progress towards its strategic objectives, and (2) the behavioral changes necessary toimprove performance in service delivery and ultimately development results.

In the spirit of simplification and reduction of transaction costs for country offices, the number ofperformance indicators has been reduced from 37 to 17.

More information on this new and develop ing tool is available at :

http://intra.undp.org/bom/maintopics/services/scoremain.html

5The RCA is related to all of the other components of the UNDP careers management system, and is applicable to all staff up

to Director level (D-2) who have contracts of at least six months, except for SSA (Special Services Agreement) contracts, whichare awarded to short-term consultants.


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D. Remarks on Evaluation and Good Programming

It is necessary to take a moment here to recall a number of best practices, relating to programming.Even when the rules and procedures for drawing up a project or programme are followed, there is oneelement which is often forgotten, namely the lessons learned and recommendations made whe nearlier projects were completed.

It is through the evaluations that UNDP increases and institutionalizes its knowledge andunderstanding of everything relating to good management procedures, through thematic andoperational lessons. This knowledge an d understanding is analysed and systematized atHeadquarters so that these lessons can be shared universally.

The institutional memory of UNDP is made up of two sorts of evaluations, namely mandatory and non -mandatory. A final evaluation is mandatory in the following situations:

When a programme or project has a budget of a million US dollars or more at anystage during the life of the programme or project;When UNDP has been supporting an institution (such as a ministry, a department, anagency, etc.) for ten years or more, a compulsory evaluation based on that criterionhas to be undertaken covering all of the programmes and projects through whichUNDP has channelled its support to the institution concerned;When an agreement has been signed with the donor(s) to the effect that anevaluation will be done

These lessons have to be sought out and considered before a new project or programme is drawn up,and UNDP makes available two sources which can be consulted:

CEDAB: Central Evaluation Data Bas e

CEDAB is the institutional memory of UNDP, containing the evaluations of more than 1 500 projects(in English, French, and Spanish). CEDAB offers a short summary (2 -4 pages) comprising:

The immediate objectivesRemarks on the project design and it s resultsRecommendationsProblems observed and lessons learned

Key Sources & Links

Web: Evaluation Office (EO) : http://intra.undp.org/eo/index.htm Web: OECD DAC: Summary Evaluations: http://minweb.idrc.ca/minisa.dll?HOME

Web: CEDAB : http://stone.undp.org/undpweb/eo/cedab/eotextform.cfm

Web: EO Essentials : http://intra.undp.org/eo/publications/essentials/mainessentialpage.html Document: Programme Manual, Chapter 7: Evaluation


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DIAGRAM 4: CEDAB: the Search Screen

CEDAB contains the text of the evaluation sheets which have to be completed at the end of theevaluation of a project or program me. This very short sheet is in fact a summary of therecommendations and the lessons from the main evaluation report.

The database is a service which helps the country offices to share in these lessons, to draw up better

projects, and to identify other offices with similar activities and experiences. CEDAB is constantlyupdated with new evaluations and new information.

EVALNET: Network of UNDP Evaluators

What is to be done if you need someone to carry out your midterm or final evaluation? That depend son whether it is an internal or external evaluation, but in any event, you will often need someone whoknows UNDP. The Evaluation Office offers the service EVALNET, a network of experts in evaluation.

EVALNET is a group of about 30 UNDP officers, princ ipally from the country offices, who take part inevaluations and similar activities. Its intention is to improve UNDPs capacities for learning, and tointegrate a culture of monitoring and follow -up of results within the organization.

If you need help from a UNDP colleague from a different country office, someone who has been

trained at Headquarters in the follow -up and evaluation tools, contact the Evaluation Office.

ESSENTIALS

The Essentials comprise a series of publications which take the form of summaries based on thelessons learned (and their recommendations) by UNDP and other development agencies. Theprimary objective, as in the case of CEDAB, is to assist the country offices to improve project designand implementation in order to achieve b etter results. Among other topics, there are Essentials onCreation of Micro-Enterprises, Support to Entrepreneurs and Microfinance.


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E. SHARING KNOWLEDGE AND UNDERSTANDING: THE SURFS

In order to support the integration of a culture oflearning within UNDP, and to maximize thesharing of knowledge and understanding in theorganization, the Bureau for Development Policy

(BDP) has created SURF (Sub-Regional ResourceFacilities) networks.

The purpose of the SURFs is to provide high -quality support to all UNDP country offices,reinforcing the position of UNDP as the trustedpartner of the developing countries. In order tobe able to fulfil this purpose, the SURFs offer thefollowing services:

Advice and technical support to the country office in the identification, formulation, andreview of programmes

Access to substantive information relating to the programmes , and referral services

for finding consultants

Sharing of information and experience between the officers and the partners indevelopment

Identification/documentation/communication of best practices in the main topics ofUNDPs work

The SURFs serve the following regions, and have their websites and e -mail addresses there, but arein fact based in the host countries in order to s erve more effectively at the regional level.

The other SURFs should also be consulted, given that each SURF has a different area ofspecialization, determined by the needs of the country offices in that region. The addresses are:

Arab States: http://www.surf-as.org/Caribbean : http://surf.undp.org.tt/Europe and CIS : http://www.rbec-surf.sk/Central and Eastern Africa : www.ceasurf.org

Bangkok SURF : www.surf.undp.or.thWestern & South Asia : http://www.surfsouthasia.org/ Southern Africa Sub-Regional Resource Facility : http://www.sasurfs.undp.co.zw/

The links change at times, and if they are not working, it may be helpful to access the SURF site atHeadquarters: www.undp.org/surf/global.htm

F. HUMAN DEVELOPMENT REPORTS

UNDP helps Governments to fulfil their commitments to the various United Nations Conferences, suchas Rio de Janeiro (Environment), Copenhagen (Social), and Beijing (Wom en).

DIAGRAM 8: SURF Structure

Key Sources & Links

Document: The HDRs are available in every country office Web: HDR Home : www.undp.org/hdro/index.htm

CD-ROM: A CD-ROM with the HDRs from 1990-1999 is also available in each country office

Web : For more information on the CD-ROM : www.undp.org/hdro/cdrom.html Email: Questions regarding HDRs or NHDRs : [email protected]


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With a view to facilitating advocacy for the various topics related to poverty, every year UNDPprepares publications at the global and local level, the best known of which are the humandevelopment reports described below. They put forward recommen dations on a theme whichchanges from year to year, such as Good Governance, Globalization, The Role of Technology andCommunication, and so on.

HDR: Human Development Report

The first UNDP Human Development Report, published in 1990, appeared at a ti me when theinternational community seemed to be concerned more with balanced budgets and the balance ofpayments than with people. The Human Development Report series, which gave rise in turn to thepublication of national and regional reports on human de velopment covering more than 120 countries,calls for the development discussion to shift away from an exclusive concern with economic growth(which is only one of the ways albeit a very important one to reach goals having to do withmankind) and to become instead an approach which balances its concerns equally among equity,sustainability, productivity and demarginalization. The most notable offshoot of the Report, the HumanDevelopment Index (HDI), would then take the place of the GNP as a measure of development.

Every year, the HDR, which is widely quoted, classifies countries according to criteria such as incomeper inhabitant, life expectancy at birth and respect for womens rights. The objective is to put peopleback at the centre of the developm ent process.

It is used by heads of State, senior officials, the media, civil society organizations and researchersfrom the academic world, and has moved Governments to take a number of initiatives, including:

The decision by Brazil in the mid-Nineties to use a modified version of the HumanDevelopment Index, with other indicators, to allocate resources among the countrys 5 000municipalities; and

The adoption by South Korea and Japan of the Gender Empowerment Measure (GEM)from the Human Development Report in the preparation of national legislation on genderequality.

NHDR: National Human Development Report6

The national reports on human development, which have followed the methodology of the HumanDevelopment Report at the country level, are pr epared by national teams specifically responsible forthem. By the end of November 2000, more than 260 national and sub -national reports on humandevelopment had been produced, in 134 countries so far, as well as nine regional reports. Thenational human development reports have brought the concept of human development into thenational discussion on what action is to be taken - not only by using the human developmentindicators and the recommendations as to policies to be implemented, but also by means of the actualprocess of consultation, data-gathering and writing of the report. That process is carried out under thedirection of the country concerned, and entirely under its responsibility. The human developmentreports have helped to set forth the perc eptions and priorities of the population and have constituted aguide containing numerous ideas for development planning.

Some examples:

The 1998 report of Cambodia drew the attention of the national media, the publicauthorities and the public to the persistent discrimination against women with regard toaccess to education and health care.

6For countries in crisis or in post-conflict situations, a NHDR has to be drawn up every two years.


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The 1998 report of South Africa on HIV/AIDS led to the preparation of plans for a morein-depth study of all of the costs both direct and indirect entailed by the epidemic forthe Government, for communities and for households.

It is important to note that the Human Development Reports are commissioned by UNDP, but do notnecessarily represent the policy or approach of UNDP, since they are independent reports. At thecountry level, the NHDR is financed by UNDP and is considered to be a UNDP product, but it is

frequently drawn up in cooperation with the Government, and is often officially presented by theGovernment.

Other Projects Related to the Human Develop ment Reports

With a view to widening the discussion on the major aspects, UNDP has launched several newprojects during the past two years, including the annual Global Forum on Human Development, theannual Training Course on Human Development, directed towards the heads of the national humandevelopment report teams (held in cooperation with the University of Oxford), the Journal of HumanDevelopment and the annual prizes awarded to the best national human development reports. Thegeneral objective of these initiatives is to create an influential and multidisciplinary community ofacademics and practitioners who will work towards producing concrete proposals and promoting ideason human development in all of societys areas of activity.

G. STRATEGIC PARTNERSHIPS, RESOURCE MOBILIZATION, AND THEMATICTRUST FUNDS

In the sections on RBM and on Coordination, the importance of partnerships has already beenmentioned, noting that obtaining results in development requires a complex range of actions by

multiple actors. It is therefore essential to create effective partnerships, bringing together differentactors around a common goal.

According to the UNDP Administrator, Mark Malloch Brown, Partnerships for UNDP will be at thecutting edge of new ways of doi ng business: they will require extensive networking and will demandhigh-quality knowledge management. Developing and institutionalizing partnerships will have a majorimpact on the organization, promoting a more outward - and client-focused culture.

1. Partnerships

In order to support the creation and maintenance of partnerships, the Bureau for Resources andStrategic Partnerships (BRSP) has been remodelled. Strategic partnerships have been concluded withother bodies in the United Nations system as we ll as with the donor countries, civil societyorganizations, the Bretton Woods institutions, financial institutions such as the regional developmentbanks, and the private sector. The mandate of the BRSP is to bring about the exchange ofinformation, to promote partnership strategies and to act as a catalyst. Some examples:

Indonesia

Working together with partners such as the Interparliamentary Union, UNDP has providedelectoral assistance to 68 countries. In 1999, for example, UNDP supported the fir stdemocratic parliamentary elections in Indonesia by training the electoral personnel and the

Key Sources & Links

Web: Donor Profiles :http://intra.undp.org/brsp/drm/docs/donorframes.htm

Web: BRSP Home :http://intra.undp.org/brsp/index.html Web : Thematic Trust Funds : http://intra.undp.org/bdp/funds/docs/TTF_procedures.doc Web:Information on Cofinancing: http://intra.undp.org/brsp/drm/docs/cf/cftopics.htm Email : Forum for discussion on resources on the SURF network: [email protected]


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ballot observers, by taking part in the vote count, certification of the parties and the provisionof information to the electors by way of the media.

Viet Nam

In Viet Nam, the Government and business groups asked UNDP to help them draw up a newlaw on companies intended to level the playing field as between the State and the private

sector, to give better protection to property rights and to reduce administ rative procedures.This new law, which was enacted in 1999, abolished 170 subsidiary licenses and reduced thewaiting time for creating a new company from 98 days to 7.

The creation of partnerships is very closely linked to the mobilization of resources, both at the globaland at the local level, in particular since resources for development have dropped over the last tenyears.

In order to facilitate the mobilization of resources, the BRSP develops Donor Profiles, which show asummary of the priority sectors for various donors, their preferences, and the amounts that theycommit. These profiles are accessible via the BRSP intranet and should be consulted whenever aresource mobilization strategy is being drawn up.

With regard to resource mobilizatio n policy, UNDP follows a global strategy which aims to:

Increase UNDPs core resources

Strengthen the predictability of the financial resources

Diversify and increase the number of key donor countries

Strive for the target of annual financing of $US 1.1 billion (currently, it is $US 700million)

2. Resource Mobilization

There is no golden rule which will guarantee that resources will be mobilized; only a soundly -basedapproach and a professional attitude will incite partners to join us in our mis sion. To help achieve this,

the BRSP puts forward a number of best practices, based on past experience, which are listedbelow.

The good practices are:

Establishment of a culture of results -based management. Everyone should be amobilizer of resources, not just the RR, the RC or the DRR.

Constructive analyses and advice: The ability to identify a problem and offer a concretesolution; UNDP owes it to its clients to provide an effective advice service.

A facilitating approach: The use of small quantities of resources for pilot trials and initialideas in the context of preparatory assistance undertakings (before setting up a completeproject) to convince the donors that they should invest in a more fully -developed project.

The partnership app roach. Close cooperation with the partners, including missions,briefings, organization of working groups on particular themes, etc. This necessarily has toencompass establishing close personal relations with the Government and the key actors.

Trust: Our partners have to be convinced of the quality of our political advice and of itsneutrality, and of our ability to establish networks. That reflects our innovative, strategicand substantive capacities.


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Some mistakes to avoid are:

Over-promotion of UNDP. We have to promote UNDP, but on the other hand wemustnt exhaust our partners!

Lack of support from the base. It is essential not to send project documents to thedonors or, worse, to their capitals without having first established a base of support at the

country level, particularly at the level of the embassy of the country in question and itsgovernment.

Imbalance among priorities. Too much coordination instead of cooperation; a too -frequent desire to take control of the initiatives; o r too much duplication among sisteragencies; the office must clearly identify the problems which are blocking the achievementof results.

Missing deadlines. It is essential that all UNDP officers should observe the dates forsubmitting reports, plans, and so on, both within the office, and also, and above all, withrespect to outside partners.

3. Thematic Trust Funds

Thematic Trust Funds are a new instrument to help UNDP address its development priorities of itsprogramme country partners as expressed in the MYFF, enabling donors to provide additionalcontributions to UNDP in support of its thematic activities. They function through different Windows:

Country Windows, for funds earmarked to specific countries for thematic activities.Regional Windows, for funds earmarked to specific regional programmes for thematicactivities.Global Windows, for non -earmarked thematic contributions, for country, regional andglobal use.

TTFs have several purposes in this respect:

1. Thematic focus. TTFs help UNDP on the one hand to align and focus its Global, Regional andCountry Programmes around its six practice areas, and on the other hand allow UNDPs donors

an opportunity to demonstrate through thematic contributions their commitment to promotingincreased alignment and focus of UNDP programmes.

2. Non-core resource mobilization. TTFs are a way for UNDP to mobilize funds not available forregular (core) resources nor easily accessible at the country level, by making it easy for interesteddonors to contribute to a particular theme, either globally or for a specific region or country.

3. Rapid disbursement. TTFs allow for simplified and rapid disbursement of funds for qualifyinginterventions.

4. Strategic initiative. TTFs provide Country Offices with a source o f discretionary finance to fundinnovative and strategic interventions.


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H. INFORMATION AND COMMUNICATIONS, TECHNOLOGY, AND THE ICTs

1. Information & Communications: Introduction to the Global Strategy

UNDPs communications strategy has been upda ted in order to position the agency as the globalleader in the fight against poverty, and to allow it to contribute effectively to halving the number of thepoor by 2015.

A good communications strategy is essential, at the global and local levels. It is the key to awareness-raising, advice, advocacy, resource -mobilization and the creation of partnerships against poverty.

When drawing up a communications strategy, it is essential to make sure that the strategy will:

Strengthen understanding of the m andate and the activities of UNDP , including its

role in the United Nations system and the global development targets.

Strengthen political support for UNDP , and for the United Nations system in general

Increase the resources available to UNDPs pro jects and programmes.

In order to achieve these objectives, UNDP has had to raise its profile, and play a much more activerole with the media, always with the aim of driving home the message of the fight against povertyworldwide, and of mobilizing resou rces for that cause.

Visits to the country by the Administrator and the Associate Administrator, international conferences,communications by the Resident Representatives, and messages and announcements targetedactively towards the media have also played a part in an enhanced awareness worldwide of UNDPsactivities.

A major awareness-raising event each year within UNDP is the launch of the Human DevelopmentReport. A press kit relating to the HDR is normally prepared at Headquarters and sent to the co untryoffices, in order to ensure that the message given is consistent. It is often the case that the countryoffices will coordinate the local launch of the HDR with their own NHDR, which is often presented bythe Government.

The participation of donors, civil society, NGOs, and if possible various associations from the privatesector is essential when the Report is launched.

UNDP also works on the communication front in close cooperation with its sister agencies, with theUnited Nations Information Cen tres and with the Department of Public Information (DPI) at the UNSecretariat to drive home the messages on critical topics such achieving the Millennium DevelopmentGoals (MDGs).

2. Technology: Introduction to Technology Strategies

Key Sources & Links

Web:UNDP Communications Strategy : http://intra.undp.org/dpa/ebs/coa-ebs/globstrateg1/index.htm Web:UNDP Communications Manual : http://intra.undp.org/dpa/communicationsmanual.doc Web: Fact Sheets : Fast Facts about UNDP :http://intra.undp.org/dpa/facts.htm

Key Sources & Links

Web:www.netaid.org Web: The Sustainable Development Networks Programme (SDNP) : www.sdnp.undp.org Web: The Small Island Developing States Network (SIDSNet):www.sidsnet.org Web: ICT for Development Programme :www.undp.org/info21 Web:Web of Information for Development (WIDE):www.wide.org.br

Web: The Asia Pacific Development Information Programme (ADPIP): www.adpip.net Web: Internet Initiative for Africa : www.undp.org/menu/welprog.htm


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The information and communications technologies (ICT) have become indispensable in the fightagainst poverty throughout the world. The ICTs give the developing countries an unprecedentedopportunity to achieve vital development objectives much more efficiently than in the past , for examplein the areas of poverty reduction, basic health care or education. The countries which are successfulin taking advantage of the ICTs can expect to experience vigorous economic growth, significantlyimproved social protection and more democra tic forms of government.

UNDP aims to be in the forefront of this effort, by stimulating an enabling environment and by taking acatalytic role at the application level. It will make innovations through the projects which are neededon the ground to bridge the digital divide

7and to include everyone in the global economy.

The challenge to be met in the ICT arena is colossal. Despite the forces of market liberalization andglobalization and the efforts to reform the policies followed by the public authori ties, the objective ofuniversal access to the ICTs and to the worldwide information infrastructure continues to be elusiveand the disparity in access to the ICTs continues to grow.

Since 1993, UNDP has been active in the vanguard of ICTs for economic a nd socialdevelopment. By drafting and applying pilot programmes and projects in information technologyat the national and regional levels, UNDP has helped to foster the creation of an environmentfavourable to ICTs in the developing countries and to promote sustainable development.

During this period, UNDP, by means of its programmes and initiatives, has:

Helped to connect more than 15 countries to the Internet for the first time and deployed thefirst Internet providers and networks in more than 40 c ountries;

Trained more than 25,000 organizations and institutions ;

Created more than 5,000 Web sites for governments and those working for civil society;

Created more than 3,000 national and regional thematic networks by means of tools forsetting up Internet networks.

Some of UNDPs other ICT initiatives, currently in progress, are:

Global initiatives

www.netaid.orgis one of UNDPs main mobilizing instruments in relation to the digital divide.In association with Cisco Systems, www.netaid. org will play a primary role by mustering thesupport of the public for complementary activities relative to ICTs and by encouraging itsparticipation in those activities, for example at UNITeS, the Digital Opportunity Initiative.Netaid.org has also launched new on-line programs on questions such as HIV/AIDS, micro -credit, education of girls, human rights, a worldwide referendum on the future agenda forchildren and an on-line link with civil society.

The Sustainable Development Networking Programme was launched in 1993 to tackleissues of connectivity and establishment of networks, strengthening national stakeholdercapacities, and development of content at the national level. A significant component of the

programme aimed to make senior officials awar e of the ICTs and the Internet. Theprogramme, which is currently operational in 45 countries in all the regions of the world,conducts telecenter pilot projects, e -commerce for development and e -governanceinitiatives.

The Small Island Developing S tates Network (SIDSNet), launched in 1996 by theSustainable Development Networking Programme, is a community of 42 islands which arelinked by the Internet for purposes of sharing information and coordinating their actions on the

7In other words, the disparity between those who have access to the Internet and those who do not.


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key questions which were identified by the Global Conference on the SustainableDevelopment of Small Island Developing States, held in Barbados in 1994, as impacting theisland States. The Network is closely linked with the Alliance of Small Island States andprovides specific training to the partners in SIDSNet at the national and regional levels.

The ICT for Development Programme, launched in 1997, is intended to increase awarenessof this domain and to draw up ICT strategies at the national level, by strengthening national

capacities and putting in place community centres which provide access to technology in pilotlocations. It also manages a major portal which contains the most recent data on thequestions having to do with ICTs and development.

Web of Information for Development (WIDE), an initiative of the Special Unit for TechnicalCooperation among Developing Countries, launched in 1998, is a worldwide database oninstitutional capacities, specialized abilities and knowledge, and innovative experiences, whichis available on the Internet and accessible to the public.

Regional Initiatives

The Asia-Pacific Development Information Programme , launched in 1996, providescapacity-building in the ICT area and in the related major aspects, offers support andassistance to ICT-related initiatives, and helps to establish and implement ICT systems in 42countries of the region. The programme operates from Kuala Lumpur at regional and nationallevels.

The Internet Initiative for Africa , launched in 1996, is intended to str engthen Internetinfrastructures at the national level and to promote the development of nationalinterconnecting networks. A major component of the Initiative involves strengthening ofnational technical capacities and skills in telecommunications in 15 African countries. Theprogramme is based in Accra.

Today, 96% of the servers on the Internet are located in the high -income countries, home to only 16%of the worlds population. There are more servers in Finland than in the whole of the Latin Americanand Caribbean region, more in the city of New York than on the whole African continent. It is clearthat ICT in the developing countries remains a major challenge, and that UNDP has a major role toplay in this area.


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Annex 1

The New UNDP Project Docu ment Format

Summary of key features:

1. The project outcome is determined as part of the country programming process. The plannedoutcomes in the country programme and in the Strategic Results Framework (SRF) will beidentical. This means that in future t he duration of the SRF and CCF must be identical.

2. Terminology in the new format, is now fully compatible with the Strategic Results Framework.

3. All inputs, activities and outputs can be traced to a corresponding outcome, facilitatingbudgeting by output a nd outcome. While country offices may, at present, use the new Input -Output Budget on an optional basis by producing it manually, the new FIM/RBMS software tobe released in 2002 will do this automatically. The standard project budget format producedthrough FIM is, of course, mandatory.

4. With the above measures, the essential elements of the Programme Support Document andthe project document are combined in a single format.

5. With hypertext links to the country programme and SRF, the need for descriptiv e informationin the project document is reduced.

The current cover page data and signature blocks will appear at the end of the document. The newcover page is a genuine cover only.

The new minimum corporate standards will be reflected in appropriate re visions to chapters 4 and 5 ofthe Programming Manual.

1. The minimum corporate standards

The minimum essential elements of the project document are:

Cover pageThe cover page itself is a genuine cover only. A sample is attached. The cover page data a ndsignature blocks appear at the end of the document. The only sectoral or thematic classificationsystem that the user needs to complete is the strategic areas of support (SAS). The ACC classificationsystem will continue to be used until the FIM has bee n adjusted to incorporate the SAS in place of thecurrent systems.

The SRF outcome typology will replace the "type of intervention" currently in FIM.

Part Ia. Situation Analysis minimum one paragraph, suggested maximum one page

State the problem to be addressed and provide a reference (and hypertext links) to the relevantoutcome in the country programme. Explain the national institutional and legal framework and theintended beneficiaries. Provide a reference (and hypertext links) to the findings of relevant reviews orevaluations.

Part Ib. Strategy minimum one paragraph, suggested maximum one page

Outline the national strategy including the national commitment to achieving the outcome. Explain inparticular how UNDP will support policy dev elopment and strengthen national capacities andpartnerships to ensure that there are lasting results.


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Part II. Results Framework minimum one page, using attached format

Describe concisely the desired outcome, outcome indicator and outputs, to be prod uced throughUNDP-supported efforts, and related activities and inputs. Include annual output targets wherenecessary to clarify the scope and timing of the outputs.

Please refer to the UNDP Results Framework Technical Note ( http://intra.undp.org/osg/results) for anexplanation of the terms and concepts.

Part III. Management Arrangements - minimum one paragraph, suggested maximum two pages

Explain the roles and responsibilities for carrying out the proje ct (execution arrangements), andinclude annexes as needed. Describe briefly how the key corporate principles for monitoring,measurement and evaluation will be applied for the project or outcome.

Explain how the parties intend to draw, codify and share lessons from the project.(Guidelines will be issued in 2002 on this topic.)

Part IV. Legal ContextStandard text.

BudgetAs per FIM, until integrated RBMS -FIM system is in place.

2. Additional elements of the project document

The elements outlined above constitute the essential minimum requirements in terms ofdocumentation. They apply to projects that are limited in scope, duration and UNDP budgets such asthe Thematic Trust Fund projects. In other projects, it may be appropriate to spell out o r provide areference or hypertext link to certain key results of the project formulation process. This may include:

- a description of the process by which the project was developed, mentioning lessonslearned from related projects;

- the main findings from a capacity assessment; and how to monitor that capacity;- an assessment of opportunities and risks;- social, gender and environment assessments;- where more than one project is contributing to the achievement of an outcome, an

explanation of how the projects will collaborate;- a statement of actions required before full activities can commence (prior obligations or

prerequisites);- output indicators, where the outputs are not clearly measurable;- a description of the inputs to be provided by national partners an d by UNDP;- the terms of reference of consultants and contractors and of key bodies such as a steering

committee;- a draft work plan to clarify the timing and responsibility for carrying out activities, and the

inputs required;- a project or outcome monitoring plan.

The local Programme Advisory Committee must advise the Resident Representative on the need toinclude one or more of these elements.

3. Flexibility

In the interest of reducing the burden on programme countries, country offices may modify parts I to IIIof the project document format where this will permit a common format to be used by UNDP andanother UN agency or other donor.


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Regardless of format, the minimum standards of information quality must still be met. The elements ofPart II will continue to be captured in the FIM/RBMS.


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SAMPLE COVER PAGE

Government of ______________

United Nations Development Programme

Names of additional partners, particularly agencies in theUnited Nations Development Group, as appropriate

Title of Programme or Project


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PROJECT RESULTS AND RESOURCES FRAMEWORK*

Complete the table below for the outcome that the project is designed to address.

Intended Outcome as stated in the Country Results Framework:Assign a number to each outcome in the countr y programme (1, 2,..).Outcome indicator as stated in the Country Programme Results and Resources Framework,

including baseline and target.Applicable Strategic Area of Support (from SRF) and TTF Service Line (if applicable):Partnership StrategyProject title and number:

Intended Outputs Output Targets for(years)

Indicative Activities Inputs

Specify eachoutput that isplanned to helpachieve theoutcome; wherethe output itself is

not clearlymeasurable,include anassociated outputindicator, and abaseline andtarget to facilitatemonitoring ofchange over time.

Number theintended outputs:1.1, 1.2, etc.

Use this column for themore complex projectswhere an output takesmore than one year toproduce.

State the main activitiesneeded to produceeach output or annualoutput target

Number the activities:

1.1.1, 1.1.2, etc.

Specify the nature andcost of the UNDP inputsneeded to produce eachoutput.


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PROJECT RESULTS AND RESOURCES FRAMEWORK - SAMPLE OF AN ANNUAL INPUT -OUTPUT BUDGET

ANNUAL OUTPUT TARGETYear 1 - Potential risk factors and related indicators identified

WORKPLAN FOR YEAR 1ACTIVITYDESCRIPTION

INPUTS DESCRIPTION BUDGETLINE

BUDGET

1.1.1 Establish the set of priorityareas and indicators byorganizing brainstormingsessions, involving ProjectTeam, donors and beneficiariesin order to reflect their interestand views.

International consultantTravel costsRental

11.0131.0121.01

5,00015,0005,000

1.1.2 Establish the datacollection mechanism

International consultantNational consultants

11.0117.0117.02

5,0005,0005,000

Total for output 1.1 40,000


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Annex 2

UNDP Headquarters and Liaison Offices

United Nations Development ProgrammePartnerships with Business DivisionOne United Nations PlazaNew York, NY 10017USATelephone: (212) 906 -5878Fax: (212) 906 -5776

United Nations Development ProgrammeEuropean OfficePalais des NationsCH-1211 Geneva 10SwitzerlandTelephone: (41 -22) 917 8542Fax: (41-22) 917 8001

UNDP Liaison Office at Brussels

Bureau de lONU/PNUD14 rue Montoyer1000 - BrusselsBelgiumTelephone: (32 - 2) 505 4620Fax: (32 - 2) 505 4729

UNDP/Inter -Agency Procurement Services Office (IAPSO)Nordic Liaison OfficeMidtermolen 3, PO Box 2530DK-2100 Copenhagen 0DenmarkTelephone: (45 -35) 46 71 54Fax: (45 - 35) 46 70 95

UNDP Tokyo Office

UNU Building, 8th floor5-53-70 JingumaeShibaya-kuTokyo 150-0001JapanTelephone: (813) 5467 4751Fax: (913) 5467 4753

UNDP Liaison Office in Washington, DC1775 K Street, NW, Suite 420Washington, DC 20006USATelephone: (202) 331 9130Fax: (202) 331 9363

Documents

UNDP Starter Kit All About