1 | REVIEW & APPROVAL OF COUNTRY PROGRAMME DOCUMENTATION IN 2016 (FRG/Procedure/2015/004, Effective: 23 December 2015)

UNICEF PROCEDURE ON REVIEW AND APPROVAL OF COUNTRY PROGRAMME DOCUMENTATION IN 2016

Document Number: FRG/PROCEDURE/2015/004 Effective Date: 24 December 2015 Issued by: Omar Abdi, Deputy Executive Director, Field Results Group

1. Rationale

1.1. This procedure updates requirements for the review and approval of the CPD, CPAP (where deemed

necessary) and CPMP/Integrated Budget, as key documentation for establishing a foundation for managing for results. Annex 1 provides an overview of revisions to documentation and tools relevant to the preparation, review and approval of country programmes in 2016.

1.2. This procedure reiterates the requirement of Programme Strategy Notes in the country programme development process as per the guidance issued on 10 December 2015. Programme Strategy Notes are required to articulate UNICEF’s vision of the path to positive change in the lives of children, and the strategies for achieving the chain of results outlined in the CPD.

1.3. The procedure draws attention to the provisions of FRG/PROCEDURE/2015/003 on Country Office Outcome and Output Results Structure, to ensure the use of a standard framework and consistency in the representation of results structures and the allocation of budgets in country programme documentation, work plans and the VISION planning outline.

1.4. The procedure reasserts accountabilities at country, regional and headquarter levels as they relate to

strengthening the quality of programme development, review and approval processes.

1.5. This procedure supersedes FRG/PROCEDURE/2014/002 on the Review and Approval of Country Programme documentation.

Principles

1.6. Programmes of Cooperation represent UNICEF’s contribution to national development efforts, and therefore

should reflect national priorities for children. Country programmes build on a prospective analysis of the situation of children, as well as the achievements, lessons learned and opportunities of previous cooperation.

1.7. UNICEF supported programmes should focus on the most disadvantaged children and groups in the country,

and address the key barriers and bottlenecks to their survival, protection and development.

1.8. Programmes of Cooperation are to articulate a strong results orientation that is grounded in the human rights-based approach to programming, and pay particular attention to equity, gender equality, and risks, including those related to conflict and natural disasters.

1.9. UNICEF cooperation is situated in a context of partnerships with UN agencies under the UNDAF or

equivalent, and in relation to support provided by multilateral and bi-lateral partners as well as the larger community of national and international development actors.

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1.10. UNICEF promotes UN coherence principles in all contexts and encourages offices to implement the Standard Operating Procedures (SOPs) for Delivering as One (DaO). The SOPs should be used flexibly, considering country context and potential value-add.

2. Applicability / Scope 2.1. This procedure applies to all UNICEF offices (country, regional and headquarters offices) involved with the

preparation, review and endorsement of CPDs for the approval of the Executive Board in 2016. It applies to Country Programmes offices submitting CPMPs/Integrated Budget and CPAPs for regional office review and approval. (See Annex 2 for the list of COs preparing new Country Programmes in 2016.)

3. Definitions

3.1. Programme Strategy Notes: Programme Strategy Notes are developed for a country programme, a programme component, or a programme area, depending on the size and complexity of the Country Programme. They explain the hypotheses that connect the chain of results (output, outcome, impact) and describe the multi-year strategy(ies) that UNICEF will pursue to achieve the results outlined in the Country Programme Document (CPD).

3.2. Country Programme Document (CPD): The CPD outlines the strategic orientation of UNICEF cooperation

over a given time period in a specific country or multiple countries. It summarizes the components of the country programme and presents an estimated budget for achieving the planned results.

3.3. Country Programme Management Plan (CPMP): The CPMP is a multi-year planning document that

elaborates the human and financial resources required to implement the country programme. It contains the key management structures and mechanisms for supporting the implementation of the Country Programme and achievement of planned results.

3.4. Country Programme Action Plan (CPAP): The CPAP constitutes a formal agreement between the

Government and UNICEF, stipulating the expected results, management arrangements and respective responsibilities of Government, partners and UNICEF during the period of the approved Country Programme. Where the SOPs for DaO have been adopted, CPAPs are no longer required and country programmes move directly to developing work plans following the approval of CPDs. Management clauses previously included in CPAPs are to be annexed either to UNDAF’s or Work plans, following agreements with national authorities and the United Nations Country Team (UNCT).

3.5. Integrated Budget (IB): The Integrated Budget presents a holistic view of all types of funding (programme RR, programme OR, institutional budget, PSFR) available or expected to be raised for the country programme. The CPMP/IB links resources to results.

3.6. United Nations Development Assistance Framework (UNDAF): A strategic planning framework for UN

agencies at the country level and gives direction for the preparation of mutually complementary individual agency Programmes of Cooperation.

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4. Procedure Statements: Requirements

4.1. All new Country Programmes must be approved by the Executive Board before implementation begins. Since programme cycles usually begin on 1 January of a given year, Country Offices are expected to submit new Country Programme Documents in the year preceding the new programme cycle, either to the Annual Session (June) or the Second Regular Session (September) of the Executive Board. Only Country Offices with cycles beginning in June or July may submit their CPDs to the preceding first session (January/February) of the Board for approval.

4.2. Offices ensure that accountabilities outlined in this procedure are fully integrated in relevant business

processes, including work plans, work flows and staff annual performance plans (e-pas/PERs).

4.3. The CPD should include a Results and Resources Framework and a Costed Evaluation Plan. Coherence in the chain of results is critical to demonstrate how UNICEF produced outputs contribute to development outcomes. The CPD should highlight UNICEF’s comparative advantage and underline the alignment of the proposed country programme with national development priorities, UNICEF’s Strategic Plan, and the UNDAF.

4.4. As in the past, all offices preparing a new country programme will be required to develop a country

programme management plan (CPMP). The CPMP is consistent with the duration of the Country Programme and describes how the Country Office will organize itself to support specific strategies to achieve the results set out in the CPD.

4.5. The CPAP is optional for offices that have a signed UNDAF, or its equivalent, which contains the legal provisions necessary to formalize agreement with the government on expected results, management arrangements, and respective responsibilities.

4.6. The programme preparation exercise should be focused and efficient, and not divert attention and resources from the implementation of the ongoing programme of cooperation. Programme documents may be prepared concurrently, while ensuring consistency and coherence.

4.7. Country offices should consult the Programme Policy and Procedure Manual (PPPM) for detailed guidance on the development of UNDAFs, Strategy Notes, CPDs, CPAPs, and the CPMP/IB.

4.2 Special Considerations in Emergency Contexts

4.2.1. Owing to instability, emergencies, or other unforeseen circumstances, a country office may not be in a position to engage in the country programme development process in the penultimate year of its ongoing country programme. Under such circumstances, the country office may request an extension according to established guidelines.

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5. Accountabilities, Roles and Responsibilities

Programme Strategy Notes and Country Programme Document Country Office

a) Responsibility for the development and finalization of the CPD lies with the country office. The country office ensures that the principles of good programming are observed in the development of the country programme as outlined in the PPPM which also includes an indicative timeline. The format for CPDs as contained in the PPPM must be followed.

5.1. Specifically, the Country Representative ensures that:

b) Programme Strategy Notes have been developed in support of the preparation of the CPD, and

these have been cleared by the regional office;

c) the CPD is developed within the context of the progressive realization of child rights, the equity

focus, the national development agenda, UNICEF’s Strategic Plan and Integrated Budget 2014-

2017, and the Gender Action Plan 2014-2017;

d) the CPD is prepared with the Government and in partnership with relevant stakeholders (including

in-country representative missions of the Executive Board) as a key part of country programme development;

e) there has been strategic and technical collaboration and coordination among the country office, the regional office and relevant headquarter divisions in the development of the country programme;

f) the CPD articulates how UNICEF will strategically engage in the country to achieve results for children, particularly for the most disadvantaged, and provides a basis for the measurement of programme performance;

g) the CPD uses the latest Programme Instruction on RR planning levels to establish the RR budget,

and the proposed ceiling level of Other Resources derives from the standard calculation included in the PPPM and is cleared by the Regional Office;

h) the Government is advised that both the RR and ORR levels shown in the CPD are indicative

estimates only, and actual allocations depend on the future receipt by UNICEF of total global RR and specific-purpose OR contributions, respectively. This provision is also included as a note to the budget table in the CPAP, where this is still in use;

i) “Government Request/Endoresement Letter” has been obtained from the competent authority in

government requesting UNICEF’s support and/or endorsing the proposed programme of cooperation. A copy of this letter is shared with the Regional Director before the CPD is presented to the Executive Board;

j) the CPD, the CPMP and Integrated Budget submissions, and any revisions are submitted to the Regional Director for review and clearance, according to the timeframe established by the Regional Office;

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k) consideration has been given to the review and feedback from the Executive Board on the CPD

(where this was received), before the final version is submitted for approval;

l) upon approval of the CPD, including the estimated aggregate RR and ORR amounts against Programme Outcomes, the country office distributes the aggregate amounts across the years of the CP cycle in VISION; amounts entered in VISION should be consistent with the information presented in the RRF annexed to the CPD as well as the approved Integrated Budget submission; the Representative is responsible for generating the Approved Version of the Planned Budget in VISION. The Approved Version of the Planned Budget is to be revised whenever the CP ceiling is adjusted.

Regional Office

5.3 The Regional Director:

a) ensures that country offices receive tailored and coordinated technical assistance from regional

advisors and headquarter divisions during the country programme development process;

b) ensures that Programme Strategy Notes have been cleared by the relevant technical sections of the Regional Office;

c) advises Representatives of the CPD calendar, indicating deadlines for submission of programme

strategy notes, draft CPD, CPMP /Integrated Budget, and other required inputs to the Regional Office, and establishes and communicates specific details on the conduct of regional reviews;

d) shares with relevant HQ divisions the programme preparation plans of country offices that require technical and strategic input from headquarters;

e) reviews, assures quality and transmits final draft CPDs to the Secretary of the Executive Board (OSEB) as per the deadlines established by the OSEB for editing and posting for comments by Executive Board members;

f) ensures that the country office reviews the inputs from Executive Board members on draft CPDs and retransmits revised documents to OSEB for final editing, translation, and posting for approval at the intended Executive Board session;

g) presents draft CPDs to the Executive Board for approval.

Headquarter Divisions 5.4. Concerned Divisions involved in supporting the development and review processes of documentation linked

to the country programming exercise, namely: Programme Division (PD), Emergency Operations (EMOPS), Data Research and Policy (DRP), Public Partnerships Division (PPD), Evaluation Office (EO), Private Fundraising and Partnerships (PFP), Division of Communication (DOC), the Division of Financial and Administrative Management (DFAM) and the Field Results Group (FRG), provide relevant and timely technical inputs to the development of programme documentation.

6 | REVIEW & APPROVAL OF COUNTRY PROGRAMME DOCUMENTATION IN 2016 (FRG/Procedure/2015/004, Effective: 23 December 2015)

5.5. Under the coordination of regional offices, headquarter divisions identified above, provide technical

assistance to country offices, as needed, during programme preparation and prior to the finalization of

programme documentation (Programme Strategy Notes, CPD, CPAPs and CPMP/IB) in the following areas:

i. Sustainable Development Goals and Agenda 2030 and other global and regional development initiatives and partnership agendas, as relevant to UNICEF cooperation in the country;

ii. conduct of deprivations and trends analyses and preparation of country profiles; iii. integration of dimensions of equity and application of normative principles (human rights, gender

and environmental sustainability); iv. alignment with sectoral and national priorities; v. engagement in the preparation of the UNDAF; vi. consideration of most recent evidence on high-impact interventions to inform programmatic choices

and strategies; vii. development of outcome theories of change and construction of results frameworks; viii. analysis and preparedness in response to risks of natural disasters, conflicts, epidemics and other

crises, and resilience building; ix. multi-sectoral approaches; x. engagement in different types of partnership arrangements and modalities; xi. examination of funding and resource mobilisation opportunities; xii. monitoring approaches and development of costed evaluation plans; xiii. results based budgeting (RBB), organisational structures (organisational units and posts), cost

classifications, management results; and; xiv. other matters that the CO may require assistance or guidance.

Field Results Group

5.6. The Field Results Group:

develops global guidance and quality assurance checklists for programme preparation;

identifies and shares good practice examples of CPDs drawn from the broad range of programming contexts.

Office of the Secretary of the Executive Board (OSEB)

5.7. OSEB:

communicates timelines for the submission of draft CPDs;

edits and posts draft CPDs for comment by Executive Board members;

shares comments received from Executive Board Members with concerned Regional Directors;

ensures translation of CPDs from English to other languages;

posts revised drafts of CPDs for approval at the intended Board session.

Country Programme Management Plan & Integrated Budget (CPMP/IB)

Country Office

5.8. The Representative ensures that:

a) the development of the country office’s management strategies, structure and resource requirements

to achieve planned results is undertaken concurrently with the programme development process, in

consultation with the regional office and relevant headquarter divisions;

7 | REVIEW & APPROVAL OF COUNTRY PROGRAMME DOCUMENTATION IN 2016 (FRG/Procedure/2015/004, Effective: 23 December 2015)

b) the CPMP adopts a results-based management and results-based budgeting approach through which

costs to achieve results are estimated and attributed to the most appropriate programmes,

development effectiveness, management and special purpose results;

c) the costs for achieving the planned programme results are estimated and reflected in the RRF of the

CPD and the total estimated costs to achieve the planned programme results remain within the RR

and OR ceilings. The budget formulation tool (IBSC applications) is available to support offices in

preparing these cost estimates and budget;

d) a Risk Assessment is undertaken, in line with the UNICEF Risk Management Policy; and the 5 to 10

most significant specific risks to the achievement of planned programme results and management

objectives are identified and mitigation measures are reflected in the CPMP;

e) the CPMP outlines the overall office approach to HACT management, including specific

accountabilities for managing the coordination of HACT and assurance activities;

f) the CPMP considers capacity to realize the relevant CCCs where a humanitarian response exists, or

is envisaged;

g) the CPMP together with the other supporting documents are transmitted to the regional office for review as per deadlines established by the regional office;

h) the approved CPMP is posted by the country office on the Country Office Portal on the UNICEF intranet;

updating and revising the CPMP

i) the CPMP is revised as a result of major events and adjustments to the country programme that

require significant changes in results and/or in the use of resources, including change in the management structure and posts;

j) changes are proposed only when they improve the likelihood of achieving the agreed programme results and/or are in clear response to new challenges and risks or opportunities faced by UNICEF in the programme environment;

k) management changes are made in a transparent manner and sufficiently documented, following the same process used for submission and approval of the initial CPMP.

Regional Office

5.9. The Regional Director, in consultation with the Technical Review Team and Programme Budget Review

(PBR) mechanism:

8 | REVIEW & APPROVAL OF COUNTRY PROGRAMME DOCUMENTATION IN 2016 (FRG/Procedure/2015/004, Effective: 23 December 2015)

a) decides on the most appropriate way to support and review the CPMPs and the Integrated Budget

submissions to ensure effectiveness, efficiency and consistency with the review of the draft CPD and

other programme documentation;

b) reviews the documents to ensure that budgets have been attributed to the most appropriate

programme, programme effectiveness, management, and special purpose results and that the

Institutional Budget is within the regional envelope;

c) reviews the documents to ensure that measures for preparing for and responding to major emergency risks have been considered;

d) ensures that measures to address cost efficiency and effectiveness for delivering results have been

identified and are reflected, and that there is equity and fairness to staff in the application of policy, guidelines and use of resources;

e) ensures that significant risks to planned programme and institutional results and responses have been considered by the country office; and that COs with significant throughput and considerable cash transfer risks have established accountabilities and processes to address the planning, implementation and monitoring of assurance activities as part of their CPMP submissions;

f) approves the CPMP following its review and revision.

Country Programme Action Plan Country Office

5.10. Where CPAPs/UNDAF Action Plans are used, the Representative ensures that:

a) the development of the CPAP/UNDAF Action Plan is initiated during the development of the CPD,

and completed and signed following approval of the CPD by the Executive Board;

b) a final review of the CPAP/UNDAF Action Plan is made by the Regional Director before it is signed;

c) a copy of the signed CPAP/UNDAF Action Plan is uploaded to the Country Office Portal.

The Regional Office

The Regional Director:

5.11. ensures that the CPAP/UNDAF Action Plan:

i. conforms with the country programme as outlined in the CPD; ii. conforms with UNICEF and UNDG guidelines on the CPAP/UNDAF Action Plan; iii. conforms with the UNDAF; and iv. includes the mandatory management clauses;

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5.12. informs the Representative of any comments on the final draft CPAP/UNDAF Action Plan, prior to its

signature.

Updating and revising approved CPAP/UNDAF Action Plans

5.13. During programme implementation, Outcomes and Outputs and their associated budgets as reflected in

the CPAP may be revised or introduced based on lessons learned or changes in the planning context and in

consultation with the respective regional office. The Government and UNICEF formalize their agreement to

the changes either through a report of the proceedings signed by the country Representative and the official

representing the Government or via an exchange of letters between the Representative and the responsible

official of the Government.

6. Risk Management

Procedure: UNICEF PROCEDURE ON REVIEW AND APPROVAL OF COUNTRY PROGRAMME DOCUMENTATION IN 2016

Risk Category: 1. Funding and External Stakeholder Relations 2. Results-based Management and Reporting 3. Natural Disasters and Epidemics 4. Governance and Accountability

Risk Category Typical Risks to this Procedure

Minimum Expected Mitigation Measures

Funding and External Stakeholder Relations

Inadequate assessment of the funding

environment and stakeholder relations

may paint a misleading picture of the

potential to leverage partnerships and

resources for the programme.

Careful analysis undertaken on the partnership and funding landscape and as part of the situation analysis and programme preparation exercise.

Results-based Management and Reporting

Uneven understanding and inadequate application of RBM principles in programme development resulting in lack of efficiency in the CP preparatory effort and weak quality of programme documentation.

Effective training, technical assistance on RBM (including RBB) and quality assurance and oversight processes established at country, regional and HQ levels.

Natural Disasters and Epidemics

Failure to fully consider and reflect major potential contextual risks in programme design and documentation

Strengthened quality assurance.

Governance and Accountability

Lack of understanding of the requirements as described in the procedure

Dedicated organisational support and guidance and appropriate oversight at RO and HQ levels.

Please contact the following persons, as needed: Etona Ekole, (eekole@unicef.org), FRG, with regards to identified programming guidance. Gilles Fagninou (gfagninou@unicef.org), OSEB, with regards to Executive Board timelines and processes. Gurpreet Singh Samrow (gssamrow@unicef.org), with regards to the Integrated Budget and the PBR mechanism.

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Annex 1: Documentation and tools relevant for the preparation, review and approval of country programmes in 2016

# Area Relevant revisions to be considered Location in

PPPM or

Intranet

Relevant Guidance Materials and Tools for the Development of Country Programmes

1. Key programming references in the

PPPM

Updated with reference to new planning

frameworks such as the SDGs.

Section 3.8.2

2. Situation Analysis of Children and

Women

SharePoint site includes guidance for

conducting SitAns on specific issues (e.g

disability, socio-ecological analysis) and

quality assurance processes.

Sections 3.3.1, 3.3.2, 3.3.3

Situation

Analysis site

3. Gender Programmatic Review Tool

Gender Programmatic Review

Guidance

Methodology and tools to conduct gender

reviews to identify areas for strengthening

gender-based priorities and approaches.

In draft. Final to

be included in

the PPPM.

4. inSight/Results Assessment Module

(RAM)

Shows linkages between the results chain

and the theory of change.

Standard outcome and output indicators.

inSight/Results

Assessment

Module (RAM)

5. Country Programme Action Plan

(CPAP)

Simplified format for use by COs choosing to

use this instrument (e.g PSFR COs).

Section 3.10.1

CPD Development

6. Programme Strategy Notes Guidance Note issued 10/12/2015 Section 3.7

7. Developing the Country Programme

Document

Updated with revisions to specify that

the calculation of ORR ceilings must not

include projected PSFR income (see

section 3.8.3)

Reflects provisions of UNICEF

Procedure on Country Office Outcome

and Output Results Structure.

Monitoring section highlights the

possibility to draw from standard

indicators included in the RAM (from 1st

quarter of 2016).

Section 3.8.4

Results and Resources Framework

(Annex A to the CPD)

Highlights possibility to use standard

indicators included in the RAM (from 1st

quarter of 2016)

Section 3.8.5

8. Quality Assurance Tool: Checklist

for review of draft CPDs

Revised. Pertains essentially to quality

assuring the CPD.

PPPM Toolbox

9. OSEB CPD UN Style Template – for

2016 Board Sessions

Adjusts presentation of the summary budget

table.

Click here

10. Submissions to Executive Board Reiterates the requirement to start country

programmes only after the approval of the

Executive Board.

Section 3.8.1

CPMP Development

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# Area Relevant revisions to be considered Location in

PPPM or

Intranet

11. CPMP Guidance Updated to reflect integration of the UNICEF

Procedure on Country Office Outcome and

Output Results Structure.

Section 3.9.2

Section 3.9.3

Section 3.9.4

Section 3.9.5

12. Technical Instructions on the

Integrated Budget and Budget

guidelines

Revision to be released in January 2016. DFAM Intranet

Accountabilities linked to Programme Development, Review and Approval

13. UNICEF Procedure on Review and

Approval of Country Programme

Documentation

(FRG/PROCEDURE/2015/004)

Revised to include the development of

Programme Strategy Notes and the UNICEF

Procedure on Country Office Outcome and

Output Results Structure

Section 3.8.8

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Annex 2: Offices Submitting Country Programme Documents to the Executive Board in 2016

Region

Country Current

Programme Cycle Executive

Board session

CEE/CIS

1. Albania 2012-2016 September

2. Azerbaijan 2011-Feb.2016 February

3. Croatia 2012-2016 September

4. Montenegro 2012-2016 September

EAPR

5. Democratic People's Republic of Korea 2011-2016 September

6. Lao People's Democratic Republic 2012-2016 September

7. Mongolia 2012-2016 September

8. Thailand 2012-2016 September

9. Viet Nam 2012-2016 September

ESAR

10. Botswana 2010-2016 September

11. Eritrea 2013-2016 September

12. Ethiopia 2012-June 2016 February

13. Mozambique 2012-2016 September

14. South Sudan 2012-June 2016 June

15. United Republic of Tanzania 2011-2016 February

LACR

16. Argentina 2010-2015 February

17. Belize 2013-2016 September

18. Brazil 2012-2016 June

19. Guyana & Suriname (MCP) 2012-2016 September

20. Jamaica 2012-2016 September

21. Peru 2012-2016 September

22. Uruguay 2011-2015 February

23. East Caribbean MCP 2012-2016 September

MENA

24. Iran (Islamic Rep. of) 2012-2016 September

25. Iraq 2011-2015 February

26. Lebanon 2010-2016 June

27. Morocco 2012-2016 September

28. Syrian Arab Republic 2007-2015 February

29. Sudan (tbc) 2013-2016 September

ROSA 30. Bangladesh 2012-2016 June

WCAR

31. Chad 2012-2016 September

32. Côte d’Ivoire 2009-2016 September

33. Gambia 2012-2016 September

34. Sao Tome and Principe 2012-2016 September

Please note: this overview is indicative and subject to modification based on country-level processes.