RELATED PROCESSES by hcj

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									1/8/2010

Guidance Note for the Resident Coordinator and UN Country Team Performance Appraisal System
This note elaborates on the overall business process for the RC and UNCT Appraisal System as referenced in a letter issued from the UNDG Chair dated March 2006. It builds on the lessons learned from the “Delivering as One” pilots rolled out in 2007. The TCPR 2004 and 2008, as well as the RC Accountability Framework provide the overarching frameworks for the system with the aim of greater accountability for development results that are shared by the RC as the team leader and the UNCT members. This note should be used as a reference guide for an overview of the performance appraisal system, including the process steps explaining how it is done and actions to be taken, responsibilities and timelines. See Annex 1 for a detailed overview matrix of the RC/UNCT business process steps, responsibilities and timelines.

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Summary Overview of RC/UNCT Performance Appraisal Process
Appraisal Process Steps Phase 1 - Common annual plans
 Annual UNCT work plans are prepared based on the longer term plan (UNDAF) and a review of the previous year’s performance. From this plan, the RC selects 5 key results and the UNCT members each select 1-2 key results that contribute to the UNCT work plan  There is agreement on team roles and behaviors for the RC leadership and UNCT members e.g. agreed set of principles, codes of conduct, etc.

Date

Dec-Jan

Phase 2 - Performance Monitoring and Evaluation (results reporting)
 Reciprocal 180 assessment of team behaviors and competencies is conducted on an annual basis. The RC is assessed as the overall team leader and the UNCT members are assessed as members and as leaders of respective theme groups1.  RC and UNCT members report on annual results achieved against the UN programme/UNDAF. RC reports on 5 key results. The UNCT reports on 5 key results. Individual UNCT members report on planned 1-2 team results and own agency results2. Nov

Dec

Phase 3 - Feedback and management decisions (RMT appraisals)
1. RMT RC/UNCT Appraisal Meeting and agency feedback (a) Meeting preparation –compilation of inputs including feedback from CEB, OCHA, DSS, from 180, and RCAR (b) Meeting of RMTs (c) RMT rating and comment shared with RC and UNCT 2. Individual agency appraisal of respective UNCT members and feedback (Subject to agency performance appraisal systems and timelines) April – May* May*

Phase 4 – Post appraisal follow up and support/rebuttal mechanism
 Submission of written request for reconsideration of assessment and rating
(Within 30 days of receiving RMT)

As needed

 RD leads consultation with RMT on submission (decision to be taken within 20 days)  If dissatisfied, the RC can file a rebuttal to the UNDP OHR and DED informed/Inter-agency RC Rebuttal Panel is convened (submission to be made within 20 days of receipt of RMT decision)

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An enhanced 180 assessment to be rolled out in later 2008. Revised RC/UNCT reporting template to be rolled out for 2007 reporting by DGO in March 2008.

1/8/2010  DED panel is convened and decision taken is final (feedback to be given within 10 days)
*Following year

RC/UNCT Performance Appraisal Process Cycle

RMT quality assurance

180 assessment

Competency Development

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Regional Management Team Roles and Timelines for RC/UNCT Performance Appraisal System

*Of the following year.

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Annex 1 - Detailed overview matrix of the RC/UNCT performance appraisal business process
Process steps and actions
Phase 1 - RC/UNCT Common annual plans
1. Request and collection of 5 key planned results  5 key UNCT results  5 key results for RC  1-2 key results for Agency Rep (team results) RMT/RSC/DGO Jan

Responsibility

Timeline

Phase 2 – Performance monitoring and evaluation
2. Participation in 180 competency assessment 180 reports for RC and UNCT members 3. Request RMT/RCS to inform RC/UNCT that the performance appraisal must be prepared 4. RC and UNCT are advised to prepare results assessment report and to send to RMT and cc to DGO 5. Completed results assessment sent to RMT by the RC/UNCT, cc to DGO. 6. CEB, DSS, OCHA informed of the appraisal time and to provide timely inputs which should be sent to DGO for onward transmission to the RMT. RC/UNCT Managed by DGO DGO RMT/RCS RC/UNCT DGO Nov Mid Feb (following year) Beginning of March End Mar Mid Mar

Phase 3 - Preparing for the appraisal meeting by the RMT (feedback and management decisions on performance)
7. Compilation of RC/UNCT reports including all comments received from CEB, DSS and OCHA. 8. Review and analyze all RCARS for regions and prepare background notes for the RMT meeting.

RMT/RCS/HR Business Adv
RMT/RCS and DGO Geographical Focal Points/ Regional Focal Points

April- May Jan to Mar

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The RMT appraisal meeting (feedback and management decisions on performance)
9. RMT review and comment on performance of the RC and UNCT; and rate 3 the RC performance. 10. RCS/HR insert RMT appraisal comments and rating on RC/UNCT performance appraisal and provide feedback to RC 11. Summary report of RC/UNCT ratings and comments shared with DED and Chair of UNDG and cc to DGO RMT/RCS/HR Adv/DGO UNDP OHR/DGO DGO HR Adv RD/RMT with support from RCS and HR Business Adv April-May

July

Phase 4 – Post appraisal follow up and support mechanism
12. Submission of written request for reconsideration of RC appraisal assessment and rating 13. RD leads a consultation with RMT members on submission to reach a decision for either i)revision of the RMT rating or ii)keep the rating unchanged and provide additional justification for assessment and rating. 14. In the case where the RC is not satisfied with the outcome, he/she can file a rebuttal to the UNDP OHR Director who informs the Chair of the Deputy Executive Directors (DED) and the Chair of the Inter-Agency RC Rebuttal Panel and cc to DGO. 15. The Chair of the Inter-Agency RC Rebuttal Panel will convene a meeting and make subsequent recommendations to the DED Chair. RC Within 30 days of receiving the RMT assessment and rating and by mid July. Decision to be taken within 20 days of receipt of submission and by mid August. Submission to be made within 20 days of receipt of the RMT decision or by mid September Feedback and recommendations to be finalized in 10 days or by end September . RC informed of decision by beginning October.

RMT

RC/ OHR/DGO

Chair, Interagency RC Rebuttal Panel/OHR/DGO

16. A DED panel is convened and a decision taken which will be final and 4 cannot be subject to further appeal.

Chair of DED convenes mtg UNDP OHR to inform the RC of the Panel decision.

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For 2007, no comments can be given on competency development needs as the new 180 assessment will be rolled out after the reporting period. The exception would be decisions that may result in administrative actions.

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