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Overview


Legal Framework


1. Definitions of Execution and Implementation

General Assembly, ECOSOC and Executive Board resolutions and decisions determine UNDP’s mandate, operations and organisation. The Executive Board approves the multi-year funding framework Strategic Plan, which is the key instrument for the strategic management, monitoring, and accountability of UNDP internally, as well as for external stakeholders. 

The Executive Board on 28 January 2005 approved the new Financial Regulations and Rules and along with them the new definitions of 'execution' and ‘implementation' enabling UNDP to fully implement the Common Country Programming Procedures resulting from the  UNDG  simplification and harmonization initiative. The revised  UNDP Financial Regulations and Rules (http://practices.undp.org/management/finance/rulesandregs.cfm) have significant operational implications for Country Offices’ role in implementing the Country Programme as it introduces harmonized programming processes.

For UNDP programme activities carried out under the harmonized operational modalities (i.e. Common Country Programming Processes), the term 'execution' is redefined as the overall ownership and responsibility for UNDP programme results at the country level. The government, through the Government Coordinating Agency, exercises its ownership and responsibility for UNDP programme activities by approving and signing the Country Programme Action Plan (CPAP) with UNDP.  All activities falling within the CPAP are, therefore, nationally executed.

Under the harmonized operational modalities, the term 'implementation' is redefined as the management and delivery of programme activities to achieve specified results , specifically the mobilization of UNDP programme inputs and their use in producing outputs that will contribute to development outcomes, as set forth in the Annual Work Plans (AWPs). AWP is incorporated by reference to the CPAP and signed by UNDP and the implementing partner.  The CPAP and AWP together constitute the minimum requirements for a project document.

Since under the harmonized operational modalities, execution means ownership of the country programme documented in the CPAP, projects are therefore no longer ‘executed.’  Rather, they are implemented by implementing partners who are responsible for producing outputs, and for the efficient and effective use of resources.  Implementing partners may contract Responsible Parties to carry out specific activities.  In countries where the harmonized operational modalities have not been introduced, Implementing Partner is equivalent ‘Executing Entity’ and Responsible Party to ‘implementing agent’ respectively.  The above terminology shift can be illustrated in the following figure:

2. Operational Legal Framework

The Executive Board’s approval of a Country Programme provides UNDP with a mandate to fulfil the approved programme in a country. The subsequent approval and signature by the Government Coordinating Agency of the CPAP constitutes an agreement between UNDP and the programme country Government on an action plan to execute that programme. The Government Coordinating Agency is the government entity designated to coordinate UNDP activities.  Details of specific UNDP interventions are outlined in a Project Document (CPAP/AWP together) which articulates an agreement to implement a project in accordance with the Standard Basic Assistance Agreement (SBAA) between the government and UNDP.   Implementing Partners are accountable to UNDP for the use of UNDP resources and the production of identified outputs. 

The following documents are used to operationalise such legal arrangements:

  • Standard Basic Assistance Agreement (SBAA): The legal agreement between the programme country Government and UNDP outlining general conditions for UNDP cooperation under which all UNDP programme activities are carried out.  Where there is no SBAA (i.e. the Special Fund or Technical Assistance Agreements are still in use), a standard annex (Supplemental Provisions) to the project document must be used.

  • Country Programme Document: A document approved by the UNDP Executive Board to mandate UNDP to work for agreed development results in a country.

  • Country Programme Action Plan (CPAP): A legal agreement between the programme country Government and UNDP to execute the Country Programme. For the UNDP Country Programming Cycle, the Country Programme document and Country Programme Action Plan (CPAP) are the key tools for programme-level management.

  • Project Document:  From a legal perspective as defined in the SBAA, the term “Project Document” is  articulated as follows:

    • For countries under the harmonized operational modalities (i.e. CPAP countries), the term “Project Document” refers to the combination of the AWP and CPAP.  The AWP is a legal agreement between UNDP and the Implementing Partner to implement activities under a specific AWP within a calendar year, as identified in the CPAP signed between the Government and UNDP.  The AWP of the current year needs to be signed for each calendar year.  As most UNDP projects have a duration covering multiple calendar years, AWPs for subsequent years could be added if these are required for resource mobilization purpose. The level of details in the AWPs for subsequent years, provided at the beginning of the project, need not be complete and may contain only the agreed activities and contractual commitments.  However as they progressively become current, the respective AWP for a given year should be completed in detail prior to its signature.  Project budgets in Atlas are entered and revised accordingly.

    • For countries under the non-harmonized operational modalities (i.e. non – CPAP countries) or for regional and global projects, the term “Project Document” refers to the former project document format which is a legal agreement between UNDP, the government, and the Executing Entity to implement a specific project .  The Project Document describes the project linkage to the CP, specifies the project results and resources framework and management arrangements.  The Results and Resources Framework identifies the intended outcomes to which the project contributes, the intended outputs and the activities and inputs needed to deliver the outputs.

Besides the above minimal requirements for a project document, a country office, in consultation with the government, may decide to include additional documentary support for the implementation of projects.  For example, a government may still wish to require their signature on each AWP under the harmonized operational modalities.