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PROGRAMME POLICY AND

PROCEDURE MANUAL

PROGRAMME OPERATIONS

Revised February 2007

UNICEF

INTRODUCTORY NOTE: CHANGES ARISING FROM UN REFORM INITIATIVES................................................................V

CHAPTER 1. INTRODUCTION............................................................................................................................. 1

Purpose of the Programme Policy and Procedure Manual................................................................................... 1

How to use the Manual .......................................................................................................................................... 2

Training and Learning Resources.......................................................................................................................... 2

Organisation of the Manual................................................................................................................................... 3

CHAPTER 2. OPERATIONS FRAMEWORK.......................................................................................................... 5

SECTION 1. HUMAN RIGHTS-BASED APPROACH TO PROGRAMMING........................................................................... 5

Introduction............................................................................................................................................................ 5

Human Rights and Child Rights Principles ........................................................................................................... 9

Humanitarian Principles...................................................................................................................................... 11

Human Rights and Development.......................................................................................................................... 13

Achieving Results................................................................................................................................................. 14

Other Important Considerations for Human Rights-Based Programming .......................................................... 15

SECTION 2. COUNTRY PROGRAMME APPROACH........................................................................................................ 20

The Country Programme Approach..................................................................................................................... 20

Relationship to international and national goals and priorities, including PRS(P)s and SWAps....................... 22

Country Analytical Work and Knowledge Generation......................................................................................... 23

Resource Management......................................................................................................................................... 27

Leveraging Resources for Children..................................................................................................................... 27

Unstable Situations and the Core Commitments for Children............................................................................. 28

Countries in Post-Crisis Transition Situations .................................................................................................... 30

Countries in Transition........................................................................................................................................ 34

Multi Country Programmes................................................................................................................................. 34

SECTION 3. THE BASIC COOPERATION AGREEMENT (BCA)...................................................................................... 35

PQAA CHECKLIST - OPERATIONS FRAMEWORK....................................................................................................... 37

REFERENCES AND RECOMMENDED READING - OPERATIONS FRAMEWORK.............................................................. 38

CHAPTER 3. PROGRAMME PREPARATION................................................................................................. 40

SECTION 1. THE COUNTRY PROGRAMME CYCLE....................................................................................................... 40

SECTION 2. THE COUNTRY PROGRAMME PREPARATION: PROCESS AND DOCUMENTATION....................................... 43

Overview.............................................................................................................................................................. 43

Country Programme Preparation Work plan ...................................................................................................... 45

Common Country Assessment (CCA)................................................................................................................... 46

United Nations Development Assistance Framework (UNDAF).........................................................................47

Country Programme Strategy Development........................................................................................................ 48

Joint Strategy Meeting......................................................................................................................................... 54

Country Programme Document (CPD)................................................................................................................ 54

Joint Programmes and Projects........................................................................................................................... 57

Country Programme Management Plan (CPMP) and Integrated Budget (IB).................................................... 58

The Country Programme Action Plan (CPAP).................................................................................................... 60

Multi-Country Programmes (MCPs) ................................................................................................................... 63

SECTION 3: PROGRAMME PREPARATION IN UNSTABLE AND CRISIS SITUATIONS....................................................... 65

Common Humanitarian Action Plan (CHAP)...................................................................................................... 65

Consolidated Appeal Process (CAP)................................................................................................................... 66

Transitional and Early Recovery Appeal Processes............................................................................................ 68

SECTION 4. RESULTS-BASED PROGRAMME PLANNING............................................................................................... 69

Principles of Results Based Programme Planning .............................................................................................. 69

Causal Relationships Problem Tree - Getting the Analysis Right....................................................................... 69

Agreeing on a Broad Distribution of Responsibilities - Getting the UNDAF Right............................................ 74

iii

Formulating Good Multi-year Programme Results............................................................................................. 76

Developing the Programme Structure.................................................................................................................. 77

Using a Logical Approach to finalize the Programme Design ............................................................................ 78

PQAA CHECKLIST - PROGRAMME PREPARATION..................................................................................................... 83

REFERENCES AND RECOMMENDED READING - PROGRAMME PREPARATION............................................................. 86

CHAPTER 4. PROGRAMME IMPLEMENTATION MANAGEMENT ............................................................. 88

SECTION 1. THE COUNTRY PROGRAMME IMPLEMENTATION PROCESS....................................................................... 88

Annual Work Plans (AWPs)................................................................................................................................. 88

Joint Programmes and Projects........................................................................................................................... 92

Harmonized Cash Transfers Procedures............................................................................................................. 93

Programme Monitoring, Assurance Activities, Field Trips, and Progress Reports............................................. 94

Annual Programme Review.................................................................................................................................. 96

Annual Management Plan (AMP)........................................................................................................................ 98

Annual Management Review (AMR).................................................................................................................. 100

Annual Report.................................................................................................................................................... 101

Mid-Term Review (MTR) and Country Programme Evaluations (CPE) ........................................................... 101

Programme or programme component evaluations........................................................................................... 105

Thematic evaluations ......................................................................................................................................... 106

Resource Mobilization ....................................................................................................................................... 106

SECTION 2. PROGRAMME IMPLEMENTATION IN UNSTABLE AND CRISIS SITUATIONS............................................... 114

Programme Core Commitments for Children in Emergency - A phased response........................................... 114

Human resources commitments - options for surge capacity............................................................................ 116

Coordination in Emergencies ............................................................................................................................ 117

Additional Guidance Material for Programming in Unstable and Crisis Situations......................................... 120

SECTION 3. THE PROGRAMME MANAGER SYSTEM (PROMS) .................................................................................. 121

Basics................................................................................................................................................................. 121

SECTION 4. GOOD PRACTICES IN ANNUAL WORK PLANNING.................................................................................. 128

Key considerations when developing AWPs ...................................................................................................... 128

Formulating SMART Annual Results................................................................................................................. 129

Determining the course of action....................................................................................................................... 130

Defining activities and budgets.......................................................................................................................... 130

Supply Planning................................................................................................................................................. 131

PQAA CHECKLIST - PROGRAMME IMPLEMENTATION MANAGEMENT.................................................................... 133

REFERENCES AND RECOMMENDED READING - PROGRAMME IMPLEMENTATION MANAGEMENT............................ 135

CHAPTER 5. MONITORING AND EVALUATION...........................................................................................136

SECTION 1. KEY CONCEPTUAL ISSUES.................................................................................................................... 136

Situating monitoring and evaluation as oversight mechanisms......................................................................... 136

Purposes of monitoring and evaluation............................................................................................................. 139

Evaluation criteria and the issue of attribution ................................................................................................. 141

SECTION 2. SITUATING EVALUATIVE ACTIVITIES IN THE PROGRAMME PROCESS................................................... 145

Monitoring and Evaluation in Emergencies ...................................................................................................... 145

SECTION 3. MONITORING AND EVALUATION RESPONSIBILITIES IN UNICEF.......................................................... 148

Integrated Monitoring, Evaluation and Research Plan (IMEP)........................................................................ 148

PQAA CHECKLIST - MONITORING AND EVALUATION............................................................................................ 154

REFERENCES AND RECOMMENDED READING - MONITORING AND EVALUATION.................................................... 154

CHAPTER 6. PROGRAMMING TOOLS ("TOOLBOX").................................................................................. 155

SECTION 1. THE UNICEF INTRANET....................................................................................................................... 155

SECTION 2. CONDUCTING A VULNERABILITY AND CAPACITY ANALYSIS................................................................ 158

SECTION 3. ENVIRONMENTAL IMPACT ASSESSMENT (EIA)..................................................................................... 165

SECTION 4. CONTENT AND STANDARD TEXT OF THE COUNTRY PROGRAMME ACTION PLAN (CPAP) .................... 171

SECTION 5. SUGGESTED CONTENT FOR THE (OPTIONAL) PPOS................................................................................ 180

SECTION 6. AWP REVIEW CHECKLIST..................................................................................................................... 181

SECTION 7. INTEGRATED MONITORING AND EVALUATION PLAN (IMEP) ............................................................... 184

SECTION 8: COUNTRY PROGRAMME EVALUATION (CPE) ....................................................................................... 192

SECTION 9: DETAILS FOR COMPLETION OF THE CPD SUMMARY RESULTS MATRIX................................................ 202

SECTION 10. EMERGENCY PREPAREDNESS TOOL..................................................................................................... 204

SECTION 11. RESOURCE MOBILIZATION IN UNSTABLE SITUATIONS AND DURING EMERGENCIES........................... 209

SECTION 12. COORDINATION REQUIREMENTS IN COMPLEX EMERGENCIES............................................................. 217

SECTION 13. CHECKLIST FOR FIELD TRIPS............................................................................................................... 222

SECTION 14. SELF-ASSESSMENT GUIDELINE - KEY ELEMENTS OF EFFECTIVE PROGRAMME MANAGEMENT.......... 226

SECTION 15: GUIDANCE NOTE ON PROMOTING PARTICIPATION OF CHILDREN AND YOUNG PEOPLE...................... 242

SECTION 16: PROCUREMENT SERVICES................................................................................................................... 260

SECTION 17: REVIEW AND ASSESSMENT OF GENDER MAINSTREAMING.................................................................. 262

SECTION 18: PILOT PROJECTS.................................................................................................................................. 270

SECTION 19: IDENTIFYING, VALIDATING AND DOCUMENTING INNOVATIONS, LESSONS, AND GOOD PRACTICES....... 277

SECTION 20: REACHING MARGINALIZED CHILDREN AND THEIR FAMILIES.............................................................. 285

SECTION 21: INTEGRATING LEGISLATIVE REFORM INTO THE PROGRAMMING PROCESS.......................................... 313

v Introductory Note: Changes arising from UN Reform Initiatives The simplification and harmonization of Programme Policies and Procedures among agencies of the United Nations Development Group (UNDG) have resulted in the adoption of new terminology for some programme preparation and implementation milestones. Below, the terms for some of these milestones are listed, and should be applied to new Country Programmes: The Country Programme Document (CPD) has replaced the previously termed Country Note (CN) and Country Programme Recommendation (CPR). A Joint Strategy Meeting (JSM) with national partners is normally held in place of individual-agency Strategy Meetings, in countries with harmonized programme cycles. The Country Programme Action Plan (CPAP) is the equivalent of the previously termed Master Plan of Operations (MPO). Annual Work Plans (AWPs) serve the same functions as the previously termed annual Project Plans of Action (PPAs). ProMS 7.0, uses the harmonized terminology. The agency-specific Annual Review Meetings are replaced by the joint UNDAF Annual Review Meeting, in countries where the latter take place. Technical level reviews of agency-specific AWPs continue to take place, and feed into the UNDAF Annual Review, as well as the Country Office Annual Report. UN agencies have adopted and are in the process of rolling out common procedures and modalities for a Harmonised Approach to Cash Transfers (HACT) to programme partners. This shifts the focus away from controls towards risk management functions requiring stronger programmatic and management attention to the preparation and monitoring phases of AWPs. While much of the programme preparation is expected to be done jointly with other UN agencies, Joint Programmes or Joint Projects are specifically those which have common annual work plans (AWPs) for all participating agencies. Disbursements by UN agencies in support of the activities described in the AWPs can be made in parallel by each agency, or funds can be pooled for disbursement by one agency, called the Managing Agent. Other Resources mobilised for Joint Programmes or Projects may be channelled through one agency, called the Administrative Agent. vi

ABBREVIATIONS

used in the text ACABQ Advisory Committee on Administrative and Budgetary Questions

AIDS Acquired Immune Deficiency Syndrome

APC Appointment and Placement Committee

AMP

Annual Management Plan

AWP

Annual Work Plan (previously termed PPA)

BCA Basic Cooperation Agreement

CAG Cash Assistance to Government

CAP Consolidated Appeal Process

CBO Community-based Organisation

CCA

Common Country Assessment

CCC Core Commitments for Children in Emergencies (for UNICEF response in emergency situations) CEDAW Convention on the Elimination of All Forms of Discrimination against Women

CERF Central Emergency Relief Fund

CIT

Country In Transition

CMT Country Management Team

CN Country Note (discontinued, replaced with draft Country Programme Document)

CO Country Office

CP Country Programme of Cooperation or Country Programme CPD Country Programme Document (previously CN and Country Programme Recommendation) CPE

Country Programme Evaluation

CPP Country Programme Preparation (Process)

CPAP Country Programme Action Plan (previously called MPO)

CPMP Country Programme Management Plan

CRC Convention on the Rights of the Child

CRC

Contract Review Committee

CSO Civil Society Organisation

DCT

Direct Cash Transfers

DFAM Division of Financial and Administrative Management

DHR Division of Human Resources (UNICEF HQ)

DOC Division of Communication (UNICEF HQ)

DPP

Division of Policy and Planning (UNICEF HQ)

ECD

Early Childhood Development

ECR

End-of-Cycle Review

EFA Education for All

EMOPS Office of Emergency Programmes (in UNICEF New York and Geneva)

EIA Environmental Impact Assessment

EPF Emergency Programme Fund

EXDIR Executive Directive

EXCOM

Executive Committee

FACE Funding Authorization and Certificate of Expenditure

GIS Geographical information systems

HACT

Harmonised Approach to Cash Transfer

HQ Headquarters

HRBA(P)

Human Rights based Approach (to Programming)

IASC Inter-agency Steering Committee

IB Integrated Budget

IDP Internally Displaced Person

IFI

International Financial Institution

IMEP

Integrated Monitoring and Evaluation Plan

IMF International Monetary Fund

Implementing Partner

vii

JCC Joint Consultative Committee

MCP

Multi Country Programme

Millennium Declaration

MDGs

Millennium Development Goals

MICS Multiple Indicator Cluster Survey

MPO Master Plan of Operations (superseded by CPAP for new Country Programmes) MTSP Medium Term Strategic Plan (currently 2002-2005, new 2006-2009)

MTR Mid-Term Review

NGO Non-governmental Organisation

NSE

Non-State Entity

NYHQ

New York Headquarters (UNICEF)

OCHA The UN Office of the Coordination of Humanitarian Affairs

OECD-DAC

Organisation for Economic Cooperation and Development - Development Assistance Committee OHCHR

Office of the High Commissioner for Human Rights

OIA

Office of Internal Audit

OLDS Organisational Learning and Development Section (in the Division of Human Resources)

OR Other Resources

OSEB Office of the Secretariat of the Executive Board (of UNICEF) PBRquotesdbs_dbs9.pdfusesText_15

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