Guidelines for UNDAP 2011-12 AWPs
UN Development Assistance Plan
2011-2015
Draft Version 2.0 for Annual Work Plans, 1 April 2011
Table of Contents
UNDAP: Planning, Monitoring and Reporting Schema
3-4
UNDAP: One Fund Allocations
5-6
2011 – 12 Annual Work Plan Development Process and Timeline
7-8
AWP Template (instructions for completion)
2
9-10
UNDAP: Planning, Monitoring and Reporting Schema1
Figure One: Planning, Review and Reporting
The four-year integrated planning, review and reporting schema for the UNDAP is designed to enable joint,
coordinated and coherent monitoring of progress towards outputs and outcomes, according to results based
management principles. It is centred upon pre-defined indicators and annual targets articulated in the UNDAP
Programming and DaO M&E matrices, with flexibility afforded for revision to reflect changing programming and
operational realities.
The UN will develop Annual Work Plans (AWPs) for each of the Programme, Operations and Cross-Cutting Thematic
Working Groups (WGs) of the UNDAP; running from July to the following June in alignment with government’s fiscal
cycle, enabling the UN to meaningfully participate in national and sub-national planning and review mechanisms.
There will be a common process for reviews against AWPs, for which additional Guidance notes issued by the PME WG
will be provided.
The Mid Year Review in December / January will report progress on activities and annual targets. Financial
implementation achieved against planned activities will form the basis for a second disbursement in the second half of
the year from the One Fund to Participating UN agencies. WGs will be permitted to update their annual targets to
ensure continued relevance.
The Annual Review in June / July will report on progress made against outputs, financial expenditure, major
achievements and constraints. WGs will be required to report against annual targets, the extent to which crosscutting
issues were mainstreamed and progress made towards desired outcomes. Additional opportunity for the recounting
of unanticipated consequences – both positive and negative – will be afforded to maximize lesson learning.
Findings from the Annual Review will enable appropriate strategic, programmatic and operational adjustments, as
required, for reflection in subsequent AWPs. Thus, the UNDAP will undergo a systematic process of review and (where
1
Extrapolation from Chapter 7 of the UNDAP 2011-2015, endorsed by the Joint Government and UN Steering Committee on 13
December 2010, available at www.untanzania.org
3
necessary) renewal to ensure that the UNDAP is regularly updated and reflects the UN’s continued relevance in
Tanzania.
An UNDAP Annual Report will be produced, encompassing the entire range of UN interventions in Tanzania. Agency
specific reporting, as required from their respective governing bodies, will be based on the UNDAP annual report and
reviews.
The planning, monitoring and reporting system will itself be subject to periodic review and update during the lifetime
of the UNDAP to ensure the practical information needs of intended users and partners continue to be served.
4
UNDAP: One Fund Allocations2
Criteria have been developed to provide the Government and UN Joint Steering Committee (JSC) in Tanzania with an
objective basis for allocations under the One Fund. The criteria will be applied in three steps:
i. Eligibility
ii. Initial Allocation – applicable in Year One of the programming cycle
iii. Subsequent Allocations – applicable in Years Two, Three and Four of the programming cycle
Only 60% of each annual fund allocation will be disbursed upfront. The remaining 40% will be disbursed to PUNs that
have delivered at least 50% of their agency Annual Work Plan budget after 6 months.
At the end of the programme year, funds allocated to the agreed UNDAP WG but not disbursed from the One Fund will
be zeroed. If so agreed by the Joint Steering Committee, funds allocated to PUNs but not spent at the end of the
programme year shall be returned to the Administrative Agent for the utilization of the One UN Fund. This will be
undertaken in exceptional circumstances only, with due consideration of the financial costs incurred.
A. Eligibility Criteria
To be eligible for funding each WG must submit a detailed Annual Work Plan which includes the following:
i. A detailed sequencing of activities aligned to UNDAP key actions and cross-cutting considerations
ii. A division of labour among UN Agencies for various activities
iii. Performance targets for outputs
iv. Budgetary breakdown and quarterly disbursement plan
v. Procurement Plan
vi. Reference to UN and IP capacity to deliver the agreed UNDAP initiative
vii. Risks to and mitigation activities for successful implementation
B. Initial Allocation
An Inter-Agency Performance Assessment Team (IPAT)—composed of the chairs of the IAPC and OMT plus leads of
IAGG, HRWG and PMEWG—will conduct a desk review of all the AWPs,3 will receive a presentation from each WG
Lead Agent and make a proposal for allocation of funds after application of the criteria for initial allocations (detailed
below).
The IPAT fund allocation recommendations will then be shared with the IAPC. Any issue raised by the IAPC will be
presented to the CMT by the chair of the IAPC.
The CMT will take a final UN position and engage the JSC, where the final decision for allocations will be made.
The criteria for initial fund allocation will be applied as follows:
i.
Where the One UN Fund is 100% funded, each WG will be allocated their total annual One Fund budget
ii.
Where resources in the One UN Fund are sufficient to cover between 50% - 99% of the funding gap
(excluding earmarked funds),4 each WG will be allocated a pro-rata of its funding gap
2
UNCMT agreement 4 November, 2010, reflected in detail in the forthcoming revised One Fund TOR
Members will be excluded from assessing those WGs of which they are a member.
4
In the presence of earmarking, a mechanism to correct pro-rating will be instigated
3
5
iii.
Where resources in the One UN Fund are sufficient to cover less than 50% of the funding gap (excluding
earmarked funds), fund allocation will be prioritised according to distance from attainment of MDGs and
GoT indication of preference
C. Subsequent Allocations
An annual allocation will be undertaken. Each agreed UNDAP Working Group (WG) will report on progress made
towards outputs and outcomes, the extent to which cross-cutting issues were mainstreamed, financial expenditure,
major achievements and constraints.
The IPAT will apply the criteria (below) and make recommendations on the fund allocation. The recommendations will
be discussed by the IAPC and then the CMT, which once satisfied that the criterion have been properly applied, will
present the recommendations to the JSC for a final decision.
Weighted performance criteria will be applied in two phases:
i.
Step One will assess at the WG level:
ii.

Extent to which annualized targets captured in the work plan have been achieved - 50%

Extent to which performance indicators relating to UN’s cross cutting considerations have been met
- 20%

Extent of financial delivery, both Agency and One Fund resources - 30%
Step Two will assess the financial delivery of each PUN of the WG (Agency and One Fund resources).
Funds allocated to the WG under Step One will be distributed among PUNs according to their
performance entitlement (based on financial delivery).
Allocations will be pro rated where the One Fund is less than 100% resourced.
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Key Points to Remember
1.
To be eligible for One Fund resources, WGs must provide an AWP which meets all of the eligibility criteria
listed
2.
Implementing Partners are defined as an in-country institution directly responsible for the spending of
Programme funds (Core, Non-Core and One Fund) allocated for specific desired results in the WG Annual
Work Plan
3.
Operational Partners are defined as any other actor(s) contributing to the achievement of targets, but not
direct recipients of UN funds as indicated above
4.
Activities should fall within the broad parameters of the concomitant Key Action
5.
Activities should collectively be sufficient to meet the 2012 output targets, as defined in the relevant UNDAP
Programme or DaO M&E matrices
6.
The purpose of the Procurement Plan is enable efficient, cost-effective procurement for programming needs
across the UNDAP, helping to reduce risks of delays in implementation
7.
The Procurement Plan encompasses programme-related procurement needs only; it does not require
detailing of internal UN procurement processes
8.
The Procurement Plan is a living document to be reviewed on monthly basis to take into consideration
adjustments made to the planned activities
9.
In addition to the assignment of a PME WG member to each WG to assist completion of the AWP, focal
points from the Inter-Agency Gender Group (IAGG), Human Rights WG (HRWG) and the Tanzania One
Procurement Team (TOPT) will guide WGs for the completion of sections related to cross cutting issues and
procurement.
10. Arrangements for coordination of activities in Zanzibar have yet to be agreed by UNCMT; however this should
not prevent WGs’ engagement with IPs in the planning process.
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2011 – 12 Annual Work Plan Development Process and Timeline5
Figure Two: AWP Development Process
The preparation of the UNDAP 2011/12 Annual Work Plans (AWPs) should involve the following processes:
1.
The UNDAP Working Groups (WGs) organize an internal meeting to:
a. Review this document and discuss the process to be adopted within the WG
b. Review the UNDAP planning matrix and discuss what activities would need to be planned in 2011/12
(process initiated for MTEF projections) – these should aligned to the key actions and sufficient for
the delivery of the June 2012 target as defined in the relevant UNDAP M&E matrix
c. Identify common inter-agency partners and plan interagency consultation, where relevant
2.
Inter-agency technical meetings held between PUNs and Implementing Partners to finalise 2011/12 activities
(up to 15 April)
3.
Detailed annual work planning undertaken and templates completed, according to instructions herewith
provided, with the support of designated focal points from the PMEWG, IAGG, HRWG & TOPT (15 April – 12
May)
4.
AWPs undergo internal Quality Support & Assurance (QSA) at agency level (1 – 12 May)
5.
AWPs submitted to RCO to circulate for centralized QSA process detailed below (12 May)
6.
AWPs reviewed by IPAT (16 May)
7.
AWPs reviewed in joint IAPC, OMT & UNCMT meeting (26 May)
8.
AWPs submitted to JSC (2 June)
9.
AWPs reviewed and of first year One Fund allocations assigned by JSC (9 June)
10. AWPs revised based upon JSC feedback including One Fund allocations (10-19 June)
5
In order for the entire UN system to be able to plan, review and report systematically across the UN agencies –
resident and non-resident - the UNCT will deploy a web-based platform which will allow agency focal points to input
their planned activities against key actions, forecast disbursements against available resources, and identify
operational support requirements. The database will afford the opportunity to filter and prepare agency and partner
specific plans for submission to governing bodies. It is hoped that this database will be operational in readiness for the
first biannual review.
8
11. AWPs submitted for Quality Support & Assurance (QSA) to PME WG lead, RCO (20 June)
12. Any outstanding issues brought to the attention of the concerned WG and further revisions made (20-29
June)
13. Finalization of AWPs and signatures (30 June)
9
AWP Template (instructions for completion)
The attached AWP template constitutes two worksheets, namely:
1.
A word document, entitled Annual Work Plan
2.
An excel spreadsheet, entitled Annex I AWP
Instructions for entering data in the Annual Work Plan word document:
1.
Title Page: Please insert the name of the WG
2.
Table of Contents: Please amend the page nos. following completion of the document
3.
Signature Page: Please insert the name of the WG in the field marked Programme Title; Annual Budget field is
to be completed following One Fund allocation
4.
Overview: Please insert the MDGs, MKUKUTA and MKUZA Goals relevant to your WG (PWGs only); Please
provide a 250 word summary on the intervention, may wish to utilize relevant sections of the UNDAP namely,
Chapter Three: Proposed Programme of Co-operation, Chapter Four: Common Services and Operations,
Chapter Five: Communications, Chapter Seven: Programme Management and Accountability Arrangements
5.
Cross Cutting Considerations: Please provide a 250 word summary on how cross cutting considerations will be
addressed, should utilize the forthcoming Guidance Notes provided by the relevant Cross Cutting Thematic
Working Group and reference the cross-cutting considerations identified in the relevant sections of the
Programme Planning or DaO Results Matrix
6.
Budget Summary: Please complete these fields, utilising the information captured in Annex I excel
spreadsheet
7.
UN Human Resources for Work Plan Delivery: In column two please indicate the type of staffing requirements
identified, eg 100% of Programme Specialist in Economic Growth or 20% of Governance Senior Advisor (WG
coordination); Please place a tick to indicate if the position has been a) filled or b) is under recruitment
8.
Risk & Mitigation Activities: Please provide a 250 word summary on the identified risks and assumptions, with
due reference to recent capacity assessments including but not limited to the 2011 HACT micro-assessment
desk review (await completion), may utilize the risks and assumptions column of the respective planning
matrix; ii) populate the table with specific measures to be implemented to mitigate identified risks
Instructions for entering data in the Annual Work Plan excel document:
1.
Activities, Budget & Disbursement:
a.
Please insert the name of the WG
b.
Populate the columns 1-6 with due reference to the relevant section of the UNDAP Programme or
DaO Matrix
c.
Utilise column 7 to define activities i. Activities should fall within the broad parameters of the concomitant Key Action
ii. Activities clarify the processes involved for the achievement of desired results, examples
might include

provide consultant to deliver TA on gender mainstreaming to Institution X

run 4 civil society consultation workshops for development of Y Action Plan
10

refurbish school A in District Z
iii. Activities are those inputs provided by the PUN that contain a programme-related cost
iv. Activities should collectively be sufficient to meet the 2012 output targets, as defined in the
relevant UNDAP Programme or DaO M&E matrices
2.
d.
Column 8 should expand upon the cross cutting issues referenced in the UNDAP Matrix, utilising the
forthcoming guidance notes from the relevant WGs
e.
Column 9 should indicate the PUN responsible for delivery
f.
Column 10 should indicate the relevant IP, defined as an in-country institution directly responsible
for the spending of Programme funds (Core, Non-Core and One Fund) allocated for specific desired
results in the AWP
g.
Columns 11-22 should be shaded to indicate the timeframe in which the activities will take place
h.
Columns 23-25 should indicate the amount required to undertake the activity and the proposed
source of funding across Agency Core, Agency Non-Core, One Fund (can be more than one); the total
budget for the activity is identified in column 26
i.
The final four columns should be shaded to indicate the timeframe in which the disbursement will
take place, identified to the quarterly level only. These columns should correspond to commitments
made on the Aid Management Platform (AMP) during the MTEF projections exercise of FebruaryMarch 2011.
Procurement Goods, Works and Services
a.
The template requires indication of specific programme-related procurement requirements, for
example vehicles, computers for IPs, drugs etc
b.
Agencies are not required to detail internal UN procurement requirements such as:
i. Goods and services, managed by the TOPT, currently provided for through Long-Term
Agreements (LTAs) eg stationery, security and generator maintenance etc
ii. Goods and services, procured by agencies, required for their own internal purposes, such as
computers for the country office, staff under FTA contracts etc
c.
The procurement category should first identified from a drop-down list namely:
i. Goods – includes direct procurement of a finished product, such as vaccines, vehicles etc
ii. Technical Assistance (TA) – includes recruitment of short-term consultancies, trainers etc
iii. Works – includes contracts for construction or refurbishment, may include aspects of
Goods/TA but these are the responsibility of the contractor to procure
d.
Agencies should identify the PUN responsible for the procurement in the column marked: The Final
Authority for Contract Award
e.
The item required should be listed in the column entitled ‘Description of Requirement’
f.
The date the item will be required should be listed in the penultimate column
g.
The estimated cost in USD should be given in the final column and the total cost of the WG’s
procurement plan provided
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