Programme and Operations Policies and Procedures

Programme & Project Management Organization Structure

To ensure UNDP’s accountability for programming activities and results and the use of resources, while fostering national ownership, appropriate management arrangements and oversight of UNDP programming activities need to be established both at programme and project levels. Minimum requirements for such management and oversight arrangements include the following elements or functions, also illustrated in Figure 7. To the extent possible, existing UNCT and other structures should be used to fulfil these functions.

Figure 7: Minimum roles required for programme and project management functions.

Programme Management

• Government Coordinating Agency: This Agency is responsible for defining, assessing, and monitoring programme outputs towards country-level outcomes. This Agency will work closely with the Programme Manager to ensure that the plan of the programme includes necessary aspects, including identification of projects required to achieve the expected outcomes. The Government Coordinating Agency is typically the government planning/ finance/ foreign affairs ministry.
• UNDP Country Office: In collaboration with the Government Coordinating Agency, the Office is responsible for developing and managing the CP to ensure that the programme outputs are delivered as planned, contributing to the achievement of programme outcomes and efficient and effective use of programme resources. The CO is also responsible for assessing Implementing Partner capacity, appraisal/approval of projects and oversight of project implementation
• Country Programme Board: At the overall programme management level, a Country Programme Board shall be set up as a mechanism for consultation and on the consensus basis making management decisions on programme issues. The Country Programme Board is responsible for oversight of the CPAP implementation, for the integration of individual outcomes within the CPAP as well as their contribution to the overall UN Country Team efforts (UNDAF) where applicable. The Country Programme Board is as a minimum composed of the Heads (or their designated representatives) of the Government Coordinating Agency and UNDP Office respectively. If there is strong emphasis on and prominence of one thematic area in the country programme, a high-level representative of the responsible line ministry, technical institutions can be invited as well.
• Programme Manager: Programme Manager is responsible for the successful programme management and contribution to the achievement of programme outcomes. The Programme Manager is also responsible for developing an evaluation plan and commissioning and using evaluations in accordance with the UNDP evaluation policy and the quality criteria. Through management of the lifecycle of the programme, this role ensures that progress in the form of projects continues to contribute to programme outcomes through delivery of planned outputs, via efficient and effective management of resources. Monitoring of interdependencies between projects and managing changes within and among projects will be a key focus area of this role. The UNDP Resident Representative holds the role of the Programme Manager, and can designate this role to other UNDP staff as
• Outcome Board: In consultation with the government Coordinating Agency, the Programme Manager (RR or his/her designate) should ensure that each programme component or outcome has an Outcome Board to be created at the time when the CPD is developed. The Outcome Board is responsible for monitoring the realization of the expected outcome(s) under its programme component by assisting the Programme Manager in managing interdependency of different projects contributing to the realization of the outcome(s). It is also responsible for programme assurance at the outcome level. The Outcome Board plays a critical role in UNDP commissioned outcome evaluations by assuring quality the evaluation process and products, and using evaluations for performance improvement, accountability and learning. In most cases, the Outcome Board can fulfill the function of the Project Appraisal Committee (PAC) for reviewing submitted projects and making recommendations for approval by the Programme Manager within the programme component. The Outcome Board should include as a minimum a UNDP representative and government representatives selected in consultation with the Government Coordinating Agency and the Programme Manager. Other representatives can be included in the Board as appropriate, e.g., selected Implementing Partners and UN agencies, donors, beneficiary representatives, external (to UNDP) sector experts, etc. The UNDP representative to the Outcome Board is responsible for ensuring that the Board fulfils its responsibilities and obligations as outlined below. The Board itself must designate one member as Chair of the Board. Where groups (such as thematic groups or other UNCT groups) have been previously established to perform functions similar to the Outcome Board, they are ideally situated to fulfill this role. In other words, a separate Outcome Board needs not be established where an existing mechanism can suit the purpose and fulfil the role of the Outcome Board. The Outcome Board would also include concerned people independent of the country programme as appropriate to ensure the objective review of the programme outcomes. The Outcome Board is expected to meet at least half-yearly.

Project Management

Establishing an effective project management structure is crucial for its success. Every project has a need for direction, management, control and communication, using a structure that differs from line management. As a project is normally cross functional and involves partnership, its structure needs to be more flexible, and is likely to require a broad base of skills for a specific period of time. The UNDP Project Management structure consists of roles and responsibilities that bring together the various interests and skills involved in, and required by, the project.

• Government Cooperating Agency: The Government Cooperating Agency is the governmental unit directly responsible for the government’s participation in each UNDP-assisted project. In consultation with the Implementing Partner, the Government Cooperating Agency will designate a its representative for each project, who would typically perform the role and functions of either the Executive or Senior Beneficiary in the Project Board as appropriate for each particular project. The Government Cooperating Agency is typically the government ministry responsible for the functions or areas being addressed by the project. For example, in a biodiversity project, the Government Cooperating Agency would typically be the Ministry of the Environment.
• Implementing Partner: The Implementing Partner is the entity responsible and accountable for managing a project, including the monitoring and evaluation of project interventions, achieving project outputs, and for the effective use of UNDP resources. A single Implementing Partner is designated to manage each UNDP-supported project. The Implementing Partner may enter into agreements with other organisations or entities to assist in successfully delivering project outputs. Possible Implementing Partners include government institutions, other eligible UN agencies and Inter-governmental organizations (IGOs), UNDP, and eligible NGOs. Eligible NGOs are those that are legally registered in the country where they will be operating. Proposed Implementing Partners must be identified based on an assessment of their legal, technical, financial, managerial and administrative capacities that will be needed for the project. In addition, their ability to manage cash must be assessed in accordance with the Harmonized Approach for Cash Transfers (HACT).
• Project Board: The Project Board is the group responsible for making by consensus, management decisions for a project when guidance is required by the Project Manager, including recommendation for UNDP/Implementing Partner approval of project plans and revisions. In order to ensure UNDP’s ultimate accountability, Project Board decisions should be made in accordance to standards that shall ensure management for development results, best value money, fairness, integrity, transparency and effective international competition. In case a consensus cannot be reached within the Board, final decision shall rest with the UNDP Programme Manager. In addition, the Project Board plays a critical role in UNDP commissioned project evaluations by quality assuring the evaluation process and products, and using evaluations for performance improvement, accountability and learning. Project reviews by this group are made at designated decision points during the running of the project, or as necessary when raised by the Project Manager. This group is consulted by the Project Manager for decisions when Project Manager's tolerances (normally in terms of time and budget) have been exceeded (flexibility). Based on the approved annual work plan (AWP), the Project Board may review and approve project quarterly plans when required and authorizes any major deviation from these agreed quarterly plans. It is the authority that signs off the completion of each quarterly plan as well as authorizes the start of the next quarterly plan. It ensures that required resources are committed and arbitrates on any conflicts within the project or negotiates a solution to any problems between the projects and external bodies. In addition, it approves the appointment and responsibilities of the Project Manager and any delegation of its Project Assurance responsibilities.

This group contains three roles:

• an Executive: individual representing the project ownership to chair the group.
• Senior Supplier: individual or group representing the interests of the parties concerned which provide funding and/or technical expertise to the project. The Senior Supplier’s primary function within the Project Board is to provide guidance regarding the technical feasibility of the project.
• Senior Beneficiary: individual or group of individuals representing the interests of those who will ultimately benefit from the project. The Senior Beneficiary’s primary function within the Board is to ensure the realization of project results from the perspective of project beneficiaries.

Potential members of the Project Board are reviewed and recommended for approval during the PAC meeting. For example, the Executive role can be held by a representative of Government Cooperating Agency or UNDP, the Senior Supplier role is held by a representative of the Implementing Partner and/or UNDP, and the Senior Beneficiary role is held by a representative of the government or civil society. Representative of other stakeholders can be included in the Board as appropriate.

• Project Assurance: Project Assurance is the responsibility of each Project Board member; however the role can be delegated. The project assurance role supports the Project Board by carrying out objective and independent project oversight and monitoring functions. This role ensures appropriate project management milestones are managed and completed.Project Assurance has to be independent of the Project Manager; therefore, the Project Board cannot delegate any of its assurance responsibilities to the Project Manager. A UNDP Programme Officer typically holds the Project Assurance role.

• Project Manager: The Project Manager has the authority to run the project on a day-to-day basis on behalf of the Implementing Partner within the constraints laid down by the Board. The Project Manager is responsible for day-to-day management and decision-making for the project. The Project Manager’s prime responsibility is to ensure that the project produces the results (outputs) specified in the project document-, to the required standard of quality and within the specified constraints of time and cost. The Implementing Partner appoints the Project Manager, who should be different from the Implementing Partner’s representative in the Outcome Board. Prior to the approval of the project, the Project Developer role is the UNDP staff member responsible for project management functions during formulation until the Project Manager from the Implementing Partner is in place.

• Project Support: The Project Support role provides project administration, management and technical support to the Project Manager as required by the needs of the individual project or Project Manager. It is necessary to keep Project Support and Project Assurance roles separate in order to maintain the independence of Project Assurance.

Generic detailed TORs of the above roles are available in the Programme & Project Management for Results - Maturity Toolkit.

The relations between the concerned legal entities, their accountabilities and their roles in the programme and project management can be summarized in the following figure 8.

For the MS Word version of Figure 8, click here.

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