Overview


GLOBAL AND REGIONAL PROGRAMMING


INTRODUCTION

OVERVIEW

1. This section has been developed to describe specific requirements and processes pertaining to global and regional programming, and to highlight the variations from the procedures outlined in the core sections of the Guide on Programme and Project Management
2. UNDP activities at the global and regional level are undertaken in response to needs and priorities expressed in global and regional conferences and other forums. UNDP support is provided as part of the wider response of the United Nations system.
3. Global and regional programmes outline UNDP activities at the global and regional level, respectively. These programmes are based on the UNDP focus areas and key result areas as expressed in the Strategic Plan
, the strategies and the expected results in furtherance of the MDGs and other internationally agreed goals. The Executive Board approves the draft global programme document (GPD) and draft regional programme document (RPD). Following approval, in agreement with the respective participating countries the outcomes outlined in the programmes are translated into discrete outputs expressed in projects.
4. The interventions under global and regional programmes are funded by regular resources (Lines 1.3 and 1.2 respectively) under the UNDP financial framework. Funding for global and regional activities can also come from other resources, including co-financing arrangements.

DEFINITIONS

Key terms used in global and regional programming are:

a) Global programming refers to UNDP programming to implement UNDP’s global mandates and to respond to global development opportunities and challenges;

b) Global issues or activities are those of worldwide or wide-ranging, international concern;

c) Regional programming refers to UNDP programming for groups of countries at the subregional or regional level. Regional programming involves activities that are common to several countries within one region;

d) Region refers to an area serviced by one of the UNDP regional bureaux;

e) Sub-region refers to an area or a group or countries within a region, comprised of a geographical, political, economic, or ecological grouping;

f) Principal Project Representative (PPR) is the individual who, in collaboration with a UNDP regional bureau, is accountable for ensuring the effective utilization of UNDP resources in regional project activities. The PPR could be a UNDP Resident Representative in one of the CO, or the Regional Manager in the Regional Centre. The PPR works closely with governments, regional institutions, United Nations agencies, NGOs, development practice networks, regional centres and donors.

POLICIES

The following policies apply to all global and regional programming:

a) Millennium Development Goals (MDGs) and UNDP Strategic Plan. Programming must address one or more of the UNDP focus areas and key result areas expressed in the Strategic Plan with the UNDP mandate to support the achievement of the Millennium Development Goals (MDGs);

b) Global and regional mandates: Programming must explore ways and means of translating global and regional mandates and priorities, in particular those emanating from United Nations conferences and international agreements, into global, regional and country-level follow-up;

c) Matters of international concern. Programming must assess the impact of developments that have broad international implications and recommend actions that ensure that those developments are beneficial to developing countries in the context of the MDGs;

d) Policies, tools and methodologies. Programming must develop and test policies, tools and methodologies that will enable programme countries to respond effectively to national MDGs. Programming must also be forward-looking and encourage studies on concrete, practical policy measures for translating MDGs from concept to action, and for adapting the current development cooperation paradigm to the emerging challenges of the twenty-first century;

AIMS OF GLOBAL AND REGIONAL PROGRAMMING

1. The common aims of global and regional programming are to:

a) Disseminate regionally and globally the lessons learned from country-level experience and to identify innovative ways to promote the MDGs, and disseminate this knowledge regionally and globally;

b) Provide technical guidance directly and through partnerships with other international governmental and non-governmental institutions;

c) Undertake advocacy so that issues relevant to the promotion of the MDGs are incorporated into global, regional and country agendas;

d) Focus on high-leverage, strategic interventions that draw on the advantage of the UNDP global and regional presence, knowledge and experience.

2. Based on the UNDP focus areas and key result areas described in the Strategic Plan, the particular aims of global programming are to:

a) Analyse emerging global problems and trends;

b) Serve as a catalyst in promoting responses, at the country and regional level, to global problems and trends;

c) Forge partnerships with other United Nations system organizations, the Bretton Woods institutions, and other international organizations in order to better analyse and respond to global problems and trends.

3. The particular aims of regional programming are to:

a) Serve as a bridge between country and global initiatives; notably to promote the adaptation and application of global initiatives at the regional and country level;

b) Facilitate cooperation among countries sharing similar geographic, social and economic conditions; such co-operation is designed in particular to consolidate or improve peace and security in a given subregion.

PROGRAMME MANAGEMENT

THE GLOBAL PROGRAMME (GP)

INTRODUCTION

1. Global programming is used by UNDP to translate global development aspirations and mandates into innovative and practical development interventions for application by UNDP primarily through its regional and country programme. The draft global programme document (GPD) is approved by the Executive Board, which authorizes the Administrator to proceed with the formulation and approval of global projects.The draft GPD should be accompanied by a draft evaluation plan as an annex.

2. The Administrator delegates to the Director of the Bureau for Development Policy (BDP) the overall responsibility for the management of resources, contents and outcomes of the Global Programme and the implementation of the evaluation plan.

KEY NOTES AS COMPARED WITH COUNTRY PROGRAMME MANAGEMENT

1. The preparation of the global programme begins about 18 months before the current global programme expires. At the outset, BDP establishes a work plan that includes a process of analysis, conceptualization, consultation and formulation, as well as an outline of tasks, time frames, responsibilities and required support for the entire GPD preparation process.

2. Analysis. Based on the UNDP focus areas and key result areas described in the  Strategic Plan, BDP prepares an analysis of global mandates and priorities taking into account the following:

a) Studies of global trends and requirements;

b) An examination of the MDGs and global commitments arising from the General Assembly, United Nations conferences and meetings, and major international agreements;

c) Views of governments, intergovernmental organizations, UNDP bureaux, units and country offices, non-governmental and civil society organizations, and other partners and stakeholders;

d) Consultation of relevant Global Communities of Practice and analysis of COP inputs to priority setting.  Analysis of knowledge network activities (knowledge analytics on country office demand)

e) Assessments of the lessons learned, drawn from the ongoing global programme and obtained through reviews, assessments and evaluations; and

f) An examination of country and regional priorities drawn, among others, from UNDAFs, CCAs, RPDs and CPDs.

3.  Conceptualization. Based on the analysis of global mandates and priorities, BDP prepares a short concept paper for the GPD covering the main elements of the proposed framework. 

4.  Consultation. BDP uses the concept paper as the basis for consultations with a broad range of partners, including the United Nations Development Group, United Nations specialized agencies, UNDP bureaux and units, programme country  governments, donor governments, intergovernmental organizations, non-governmental and civil society organizations, and other stakeholders.

5.  Formulation. On the basis of the concept paper and the comments and feedback received, BDP drafts the GPD and the evaluation plan. The draft evaluation plan should at least include outcome evaluations, timing of the evaluations and sources of funding for evaluations, and the independent evaluation of the global programme conducted by the Evaluation Office (EO). The key policies for global and regional programming outlined in Policies are to be taken into account, as well as coherence and complementarity with the Strategic Plan and regional and country programmes.  

6. On the basis of the final draft GPD, BDP convenes a Programme Appraisal Committee (PAC) with representation from as many stakeholders as possible and including the regional bureaux, the OSG, BOM and the Evaluation Office. As part of the work of this committee, BDP validates the linkages to the global and country programmes and carry out validation by relevant Global Communities of Practice as appropriate.

7.  The approval process consists of the following steps:

a) Discussion of the draft GPD along with the draft evaluation plan by the Operations Group to validate/certify programme direction.

b) The BDP Director seeks clearance by the Operations Support Group (http://intra.undp.org/exo/osg.shtml) with regards to the programming process and BOM with regards to resource allocation of the draft GPD. Following this clearance, the draft GPD is submitted by the Administrator to the Executive Board for approval. The draft evaluation plan is made available on the webpage as an annex for review by the Executive Board;

c) The approval of the draft GPD by the Executive Board provides the authority to the Administrator to commit funds under line 1.3 of the UNDP financial framework;

The resources are then assigned to the BDP Director who arranges for the formulation of global projects.  See the project management section of the Programme and Project Management section of the User Guide which also applies to global projects.

8. Evaluation

BDP is responsible for commissioning outcome and project evaluations of the global programme, as outlined in the evaluation plan.

The conduct of outcome evaluations is mandatory. At least one outcome evaluation should be conducted in each programme area of the global programme document.

Project evaluations are mandatory only when they are required by a partnership protocol.

As requested by the Executive Board and mandated by the evaluation policy, EO conducts an independent evaluation of the global programme. Findings, lessons and recommendations from the global programme evaluation should inform the design of a new GPD. Since outcome evaluations commissioned by BDP serve as the building blocks for the EO-conducted independent evaluation of the global programme, the evaluation plan should include the adequate number of outcome evaluations that meet the quality standards established by EO.

THE REGIONAL PROGRAMME (RP) 

INTRODUCTION

1. The regional programme document (RPD) outlines the development cooperation strategy for a particular geographic region. Regional programmes focus on defining strategies and expected results that respond to regional priorities and build upon UNDP expertise in the areas relating to the focus areas and key result areas as described in the Strategic Plan. The draft regional programme document is approved by the Executive Board, which authorises the Administrator to proceed with the formulation and approval of regional projects. The units responsible for regional programmes (e.g. Regional Bureaux) prepare an evaluation plan for the programming period.

KEY NOTES AS COMPARED WITH COUNTRY PROGRAMME MANAGEMENT

The preparation of a draft regional programme and a draft evaluation plan is a consultative process involving the widest range of stakeholders, including, governments of the region through UNDP country offices, regional institutions, civil society groups, United Nations agencies, donors and other development partners. Consultation should not end with preparation of the regional programme document but continue through implementation of the programme.  This is essential to ensuring ownership of the regional programme and its constituent projects by the governments in the region.

1) Analysis. The regional bureau via regional centres (where applicable) arranges for an analysis that will identify the needs and priorities of the region. Participatory methods for conducting the analysis must be applied to ensure that the regional programming is demand-driven and results-oriented. Based on the UNDP focus areas and key result areas as described in the Strategic Plan, the analysis is prepared on the following basis:

a) Studies of regional trends and requirements;

b) Regional agreements resulting from regional inter-governmental processes,

c) Workshops, seminars and questionnaires among governments, civil society organizations, regional commissions, regional institutions, intergovernmental  organizations, resident representatives, relevant UNDP headquarters units and other partners;

d) Meetings in the region to examine the regional needs in the context of global commitments expressed by the General Assembly and United Nations conferences and UNDP focus areas and key result areas reflected in the Strategic Plan;

e) Consultation of relevant Regional Communities of Practice and analysis of COP inputs to priority setting.  Analysis of knowledge network activities (knowledge analytics on country office demand)

f) Reviews, assessments and evaluations that assess the lessons learned from current RPs or other development experiences.

2) Conceptualization. The regional bureau (via Regional Centres as appropriate) prepares a concept paper as a basis for preparing the draft RPD, using a standard format. The paper validates and advocates the needs and priorities and proposes a framework for UNDP programming in the region. The draft paper is circulated for comments among a broad range of stakeholders and specifically among regional and subregional organizations. It is also circulated to the other regional bureaux, the central units in UNDP headquarters and country offices within that region.

3) Formulation. Based on comments received, the regional bureau (via Regional Centres as appropriate) translates the revised concept paper into a draft RPD that articulates a strategy for promoting the MDGs through undertaking the UNDP Strategic Plan focus areas and ikey result areas in the region.

4) The draft RPD and the evaluation plan are reviewed by a Programme Appraisal Committee (PAC). At this point, the draft evaluation plan should, at a minimum, include outcome evaluations, timing of the evaluations and the sources of funding for the evaluations, and the EO-conducted independent evaluation of the regional programme. The PAC must include representatives from the other regional bureaux, BDP, OSG, BOM, and the Evaluation Office. The PAC should be participatory and, whenever possible, include representation by stakeholders, including governments, United Nations agencies, intergovernmental organizations, CSOs and donors. Members of the UNDP Executive Board, based in New York, may also be invited. As part of the work of this committee, regional bureaux validate the linkages to the regional and country programmes and carry out validation by relevant Global Communities of Practice as appropriate.

5) To ensure that that there are no gaps in programming from one RP period to the next, all new RPDs must be approved before the current RP expires. Approval takes the following steps:

a) Review of regional programmes by OG of the strategic direction, alignment with Strategic Plan

b) The regional bureau Director submits the draft RPD, along with the evaluation plan, to the OSG for endorsement;

c) The draft RPD is then submitted to the Executive Board for approval. The draft evaluation plan is made available to the Executive Board as an annex for review. The Executive Board may propose changes to the document;

d) The approval of the draft RPD by the Executive Board constitutes the authority of the Administrator to assign funds under TRAC line 1.2 of the financial framework.

6) Evaluation

Regional Bureaux are responsible for commissioning outcome and project evaluations of the regional programme as outlined in the evaluation plan.

The conduct of outcome evaluations is mandatory. At least one outcome evaluation should be conducted in each programme area of the regional programme document.

Project evaluations are mandatory only when they are required by a partnership protocol.
 
As requested by the Executive Board and mandated by the evaluation policy, EO conducts an independent evaluation of the Regional Cooperation Framework (RCF). Findings, lessons and recommendations from the RCF evaluations should inform the design of a new RDP. As per Executive Board decision 2005/35, EO applies a meta-evaluation approach in the RCF evaluations. Since outcome evaluations commissioned by the Regional Bureaux serve as the building blocks for the EO-conducted independent evaluation, the evaluation plan should include the adequate number of outcome evaluations that meet the quality standards established by EO.

PROJECT MANAGEMENT

GLOBAL PROJECTS

INTRODUCTION

1. The GPD establishes the priorities, strategies and an indication of expected results; individual global projects, however, have to be formulated in a way that translates the global programme into concrete outputs and activities. The global project document is the legal basis for carrying out activities and incurring expenditures. The Administrator delegates to the BDP Director the authority to approve global project documents.

2. Coherence across global projects must be ensured in line with the global programme document.

3. The design process for global projects follows the same participatory approaches as for country programming, modified to reflect the larger number of governments and other stakeholders.

4. Any non-programme country may also participate in global activities under the GP provided that they meet any additional costs that arise.

5. The implementation of global projects may be entrusted to UNDP itself, United Nations agencies, governments, intergovernmental organizations or non-governmental organizations.

KEY NOTES AS COMPARED WITH COUNTRY PROJECT MANAGEMENT

JUSTIFYING, DEFINING AND INITIATING A PROJECT

1. Based on the GPD, the relevant substantive units in BDP develop projects.

2. The BDP substantive unit prepares a project document, in consultation with regional bureaux, ensuring that global, regional and country activities complement each other and are in line with the Strategic Plan.

3. The formulation process should be participatory, incorporating contributions and comments from stakeholders, including UNDP bureaux and units, and other stakeholders outside UNDP, such as intergovernmental bodies, programme countries, United Nations bodies and agencies, non-governmental and civil society organizations. BDP is responsible for the official circulation of the draft global project document to the concerned partners for comments.

4. The standard formats for project documents apply.

5. Where a project initiation plan is used in formulating a global project, the Director of BDP must ensure that the relevant policies are respected and transmit the project initiation plan to the concerned partners and stakeholders. See “Defining a Project” for more details on the use of the Project Initiation Plan.

6. The network of UNDP country offices, the Development Practice Networks, the Regional Centres/SURF should be used to solicit a global perspective in appraising global project proposals.

7. The relevant BDP unit is responsible for ensuring the appraisal of the draft global project document through a Project Appraisal Committee (PAC), which includes representatives from the regional bureaux, OSG, EO and other appropriate bureaux and divisions. The network of UNDP country offices, the Development Practice Networks, the Regional Centres/SURF should be used to solicit a global perspective in appraising global project proposals.  As appropriate, review of relevant knowledge products in focus areas and cross-cutting or operational issues, consultations with Community(ies) of Practice for comparative experience and advice as well as consultations at the country level should feed into the appraisal process.

8. The PAC must give full consideration to assessing the consistency of the project with the GPD. The agenda of the meeting must include a discussion of inputs and management arrangements and a Finance Officer (BOM) must be invited to participate in the meeting.

9. Global project documents are approved by the Director of BDP on behalf of UNDP and by the implementing partner. The Director of BDP is responsible for ensuring compliance with the policies set out in Policies particularly on participation. Government endorsement of the respective participating countries where project activities will take place must be obtained. Their letters of endorsement are referred to on the cover page under “government signature.” Whenever possible, signature of the participating countries should precede signature by the implementing partner and by the Director of BDP.

10. BDP ensures that signed copies of the global project document are returned to each signatory and that copies are distributed to concerned parties.

11. If the project is to be evaluated, it should be reflected in the GPD evaluation plan and also in the Evaluation Resource Centre (ERC).
 

RUNNING AND CLOSING A PROJECT

1. Management and oversight of the GP. The Director of BDP is responsible for the effective management of the GP and establishes the following arrangements:

a) To foster an integrated approach, the various components of the GP, particularly those relating to the emerging and cross-cutting issues, are to be developed and undertaken by cross-divisional teams;

b) Focal points from cross-cutting areas such as capacity development, gender, human rights, participate in the development and monitoring of the global projects;

c) To ensure that the GP reflects the priorities and demands of the regional and country programmes, each BDP group leader establishes an advisory group comprised of representatives from the regional bureaux and relevant UNDP units. These advisory groups provide feedback on content, progress and impact on the global programming activities;

d) The Development Practice Networks and the Regional Centres/SURF provide a mechanism to ensure synergy between the projects under the GP and those at the regional and country level. The network also serves as a channel for articulating emerging challenges and opportunities at the global, regional and country levels, as well as a mechanism for the dissemination of good practices and lessons learned.

2. Managing the global projects. The Director of BDP assigns responsibility for the various components of the GP to the leaders of the BDP substantive groups. These group leaders determine the management arrangements for the specific projects under their responsibility in consultation with concerned parties. The following arrangements may be established:

a) One institution is designated the implementing partner to manage each global project/ in accordance with the project document;

b) Management responsibility may be entrusted to UNDP itself, eligible United Nations agencies, governmental organizations, intergovernmental organizations or other inter-country institutions, or non-governmental organizations. Where such institutions do not have a basic legal agreement with UNDP for managing projects, such an agreement should be established;

c) Global projects follow the policies and procedures for design, operations, monitoring and evaluation of country-level projects.

3. UNDP policies on monitoring, reporting and evaluation, as outlined in the Project Management section of the User Guide, apply to global projects. BDP sets up mechanisms to monitor the global programming activities both at the headquarters level and at the country level, review and capture lessons and good practices. These mechanisms, including the arrangements for reporting, must be described in the project document.

REGIONAL PROJECTS
INTRODUCTION

1. The RPD establishes the priorities, strategies and an indication of expected results; individual regional projects, however, have to be formulated in a way that translates the regional programme into concrete outputs and activities . The formats and procedures outlined in the User Guide for country-level projects also apply to regional programming, adapted as needed to the regional context.

2. A non-programme country may also participate in a regional project provided that it meets any additional costs that arise.

3. The implementation of regional projects may be performed by UNDP in special development situations, or entrusted to United Nations agencies, governmental organizations, intergovernmental organizations or other regional institutions.

KEY NOTES AS COMPARED WITH COUNTRY PROJECT MANAGEMENT

JUSTIFYING, DEFINING AND INITIATING A PROJECT

1. Upon approval of the RPD by the Executive Board, the Administrator delegates authority to the regional bureau director to approve individual projects. The regional bureau, together with the regional centre(s) (if applicable) and country offices, arranges consultations among a wide spectrum of concerned stakeholders. To this end, the regional bureau may seek the assistance of United Nations specialized agencies, funds and programmes, and of civil society organizations.

2. The regional bureau and the PPR concerned arrange consultations with stakeholders and UNDP headquarters units and designate a Project Developer to prepare a draft regional project document. The regional bureau or the PPR distribute the draft project documents to the stakeholders for comments. Based on those comments, the regional bureau prepares a final project document.

3. The Project Developer shall ensure that the management arrangements are carefully worked out during the formulation stage. After consulting with the stakeholders, the regional bureau designates one institution as the implementing partner to manage the project or seeks authorization for UNDP implementation of the project. The implementing partner must be involved in the formulation to ensure its readiness to manage the activities as stipulated in the project document.

4. The regional bureau, or where applicable, the PPR, initiates a Project Appraisal Committee (PAC) involving stakeholders to appraise the draft project document. Representatives from United Nations agencies, funds and programmes, NGOs, the applicable development practice network, regional centre/SURF Coordination Units and field-based policy specialists, direct beneficiaries and resident representatives in the participating countries should to the extent possible, participate in the PAC. It also determines whether the project is consistent with the RPD Results and Resources Framework and meets the regional, as well as the development priorities of the countries concerned. As appropriate, review of relevant knowledge products in focus areas and cross-cutting or operational issues, consultations with Community(ies) of Practice for comparative experience and advice as well as consultations at the country level should feed into the appraisal process. 

5. Following the PAC, the regional bureau may proceed with the finalizing and approval of the document. In so doing, the regional bureau or the PPR seeks endorsement from all countries that wish to participate. Government endorsement of the respective participating countries where project activities will take place must be obtained.

6. Once the endorsements has been obtained, the regional bureau director or the delegated UNDP authority signs the document. The bureau director is responsible for ensuring compliance with the policies set out particularly on participation. Regional project documents are approved by the regional director on behalf of UNDP and agreed to implement the project by the implementing partner. Whenever possible, the signatures of the participating countries should precede approval by the implementing partner and approval by the regional director. Their letters of endorsement are referred to on the cover page under “government signature.”

7. The regional bureau, normally through the PPR, ensures that signed copies of the regional project document are returned to each signatory and that copies are distributed to concerned parties.

8. If the project is to be evaluated, it should be reflected in the RPD evaluation plan. The revised evaluation plan should be uploaded in the Evaluation Resource Centre (ERC) in line with the evaluation policy.

RUNNING AND CLOSING A PROJECT

1. Management and oversight of the Regional Projects. The regional bureau director is responsible for ensuring effective management and monitoring of the regional projects.

2. Responsibilities of the principal project representative (PPR).  The PPR is selected by the regional bureau during the early stages of formulation based on criteria such as country office/ regional centre interest, substantive and managerial capacity in the country office/ regional centre, and presence of regional institutions and expertise in the country. The responsibilities are as follows:

a) The PPR is accountable to the director of the regional bureau, who is accountable to the Administrator. The PPR is the focal point in the formulation, monitoring and evaluation of regional project activities;

b) The PPR carries out his/her responsibilities in cooperation with the regional stakeholders concerned and the resident representatives in the other participating countries. These responsibilities include making necessary arrangements to ensure that participating governments, resident representatives and other key stakeholders participate in decision-making affecting the project.

3. Managing the regional projects. The following management arrangements for the specific projects may be established:

a) One implementing partner is designated to manage each regional project, in accordance with the project document; alternatively, regional bureau may seek UNDP implementation.

b) Management responsibility may be entrusted to UNDP itself, or to intergovernmental organizations or other inter-country institutions, based on capacity assessment to determine which institutions is the most appropriate to manage the project. Where such implementing partners do not have a basic legal agreement with UNDP for managing projects, such an agreement should be established. For more details, please see Selecting an Implementing Partner

c) Regional projects follow the policies and procedures for design, operations, monitoring and evaluation of country-level projects as defined in the Project Management Section of the UNDP User Guide;

d) The implementing partner appoints a Project Manager or Coordinator who is responsible for the day-to-day management of activities. He/she works in close collaboration with the PPR.  For more guidance on project management arrangements, please see http://content.undp.org/go/userguide/results/rmoverview/prog-proj-mgtm-arrange/

e) Where an NGO has been selected as the implementing partner, the Governments and UNDP sign the project document. In addition, the NGO must sign a standard project cooperation agreement with UNDP, which will serve as the basic legal framework with the NGO. The PAC must ensure that issues of capacities and competition in selecting the NGO are addressed;

f) The implementing partner may use the services of national and regional institutions and civil society organizations as responsible parties in carrying out activities. It is the responsibility of the regional bureau to ensure that the implementing partner has the capacity to manage and carry out the activities and achieve the expected results.  For more details, please see Capacity for Programme and Project Management

4. UNDP policies on monitoring, reporting, reviewing and capturing lessons and good practices apply to regional projects. The project manager or coordinator is responsible for providing copies of reports to the resident representatives, who, in turn, distribute copies to their host governments and other participating parties.

5. UNDP policies, quality standards and guidelines on evaluating projects apply to regional projects.

6. Revisions may be made to a project document at any time by agreement among the signatories based on recommendations from the Project Board. The authority to sign revisions on behalf of UNDP may be delegated by the bureau director to the PPR. The regional bureau or PPR ensures that such revisions are countersigned by the implementing partner to carry out the project.

Please see Considerations (Checklist) for Quality Programming.