____________________________________________________________________
United Nations Development Programme
Policy for establishing a UNDP-supported presence
outside the Country Office
Contents
Context ............................................................................................................................................ 1
Drivers for establishing and maintaining a UNDP-supported presence ............................... 1
Types and functions of a UNDP-supported presence ............................................................. 2
Decision-making and accountability for a UNDP-supported presence ................................. 4
Funding of a UNDP-supported presence .................................................................................. 5
Annex I: Typologies of presences outside of a UNDP country office.................................... 7
Annex II: Policy framework .......................................................................................................... 8
July 2009
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Policy for establishing a UNDP-supported presence outside the
Country Office
English
Bureau of Management (BOM), Bureau for Crisis Prevention and
Recovery (BCPR)
Ali Al-Za'tari, Sudha Srivastava
MCT, OPB, Security Team, BCPR
Sub Offices, Management, Oversight, Local Presences
22 July 2009
April 2011
All UNDP staff and staff of affiliated organizations. Especially for
heads of offices and operations managers.
To provide clear and prescriptive guidelines to Country Offices for
establishing and managing local presences
N/A
N/A
UNDP Policy on Early Recovery & Policy Implementation Plan
UNDP POPP
1.0
Revision history
Revision date
Author
Change Reference &
Summary
Version
Context
1. UNDP’s increasing role in providing policy and technical guidance, supporting programme
implementation, responding to crisis, and coordinating the UN system, has resulted in the need to be
where the development challenge is. UNDP’s relevance is at times limited if it only operates from the
capital and solely partners at national levels.
2. The purpose of the present policy is to provide clear and prescriptive guidelines to Country Offices for
managing local presences. It outlines normative definitions for why, when, and how local-level presences
should be established, maintained and configured. Specifically, it:

Describes drivers for the establishment of local presences;

Defines different typologies for local-level presences, based on a delineation of functions and
distinctive characteristics;

Clarifies requirements and accountabilities related to the establishment of local presences;

Identifies funding mechanisms and options for local-level presences.
3. The establishment and maintenance of local presences constitutes a considerable additional cost to
UNDP and its partners. It may involve risks related to staff security and well-being, financial sustainability,
and organizational (UNDP) representation. Therefore, local presences should only be established where
required for political, efficiency and development-effectiveness reasons. These requirements need to be
demonstrated and documented in a business case that considers involved costs and benefits as well as
risks. As such, the present policy clarifies accountabilities in terms of decision making and oversight.
4. The need for additional presences may be critical in protracted and / or post-crisis situations, where
interagency coordination and early recovery activities cannot be carried out effectively without being
physically present in the affected areas. The policy framework is therefore interlinked with, and
complementary to, the UNDP Policy on Early Recovery.
Drivers for establishing and maintaining a UNDP-supported presence
5. The establishment of a UNDP presence outside the Country Office can be driven by the following
circumstances:

Scope and volume of portfolio: relates to a situation where UNDP is responsible for delivering a
significant volume of relief and/or development portfolio in a particular geographic area. A local
presence may allow scaling up delivery capacities in a targeted and efficient manner.

Logistical challenges: relates to a situation where logistical obstacles due to poor infrastructure or
significant distances within a country inhibit timely and cost-effective operations to the point that it
is more economical to establish a local-level office.

Proximity to local Government: relates to a situation where it is important for development efforts
to be close to local political and/or administrative entities. A local presence might ensure
continuous interaction with, and support to, local authorities.

Need for intensified interaction at the local level: relates to situations where interaction with social
and / or political groups at the local level is required to achieve development results. A continuous
local UNDP presence may facilitate partnership and confidence building, especially where
logistical and political circumstances limit mobility.
1

Distinct local needs: relates to a situation where a geographic area within a country is
characterized by recovery and/or development challenges distinct from the rest of the country. In
border regions, this might require collaboration between several Country Offices. A local
presence may allow to better target and implement an area-specific support approach and serve
as an operational hub for multiple Country Offices.

Political visibility and positioning: relates to a situation where UNDP corporately decides that
visibility is essential for political and positioning reasons. This may over time be associated with
future programming opportunities.
6. While security considerations should not primarily drive the establishment of a local presence, they
might be a contributing factor. This would apply especially in cases where UNDP staff are spread out
across several locations, and bringing them together in one concentrated location would provide
strengthened security.
Types and functions of a UNDP-supported presence
7. For the purpose of the present policy framework, UNDP-supported presences outside the Country
Office are grouped in three distinct typologies.
1. UNDP project offices
2. UNDP sub offices
3. UN coordination offices
In accordance with this typology, offices are generally categorized based on the scope of delegation in
terms of representation and the set of functions they perform (see annex I).
8. A project office (distinctive characteristic: no staff has formally delegated representational and
coordination functions beyond project level) is limited to implementation, monitoring and reporting
services at the project level. It can house one or more projects. Additionally, there may be project scoping
/ planning activities for future project implementation. Project offices should be designed for scaling up
and down with flexibility due to the fact that projects have a limited duration. Projects are encouraged to
share premises and informally coordinate and communicate within this office set up for synergy purposes,
but there is no formalized overarching management, coordination or oversight function in the office. All
personnel in projects offices must be funded from projects budgets, and work in support of their projects,
exclusively. As such, functions performed by the office are limited to:

Project transactions (HR, Procurement, Finance)

Project monitoring and reporting

Provision of technical implementation support

Project-related liaison with project partners
9. A sub office (distinctive characteristic: Head of Office that has formal (written) delegated authority to
represent UNDP at the local level)1 transcends a project office inasmuch as it represents the entire UNDP
country programme at the local level and performs management activities such as programme and
operations oversight, assurance and / or programme coordination. The sub office should be managed by
1
Authority to represent the UNDP at the local level entails to interact locally with authorities, government, international community,
donors and UN partners, and to negotiate UNDP programme-related issues. The delegation needs to be formalized through a letter
from the Resident Representative or Country Director to the Head of Office.
2
a Head of Office holding a UNDP staff contract. In consultation with the UNDP Country Office
management, the Head of Office sets the strategic direction at the local level and oversees all office
activities. A sub office can be substantial, in terms of number of projects, staffing, budget, spectrum of
activities, and in terms of partnership-building activities. In addition to the functions present in a project
office, the sub office performs one or more of the following functions:

Representation of the UNDP programme with UNCT & partners at local level

Programme formulation / assurance

Results reporting

Project oversight

Local evaluation coordination

Donor / partner liaison

Operations support for the UNDP office

Managerial oversight of the UNDP office
10. A UN coordination office (distinctive characteristic: staff member with formally delegated UN
coordination function on behalf of the RC system)2, which may contain UNDP project implementation and
programme management functions, is distinct in that it performs United Nations development coordination
activities on behalf of the UN Country Team. Typically, such offices should be established in areas of
complex crisis or post-crisis situations where the scale of needs is exceptional. The UNCT coordination
function of the head of office should be formally delegated (in writing) from the UN Resident Coordinator.
Functions include one or more of the following:

Facilitating inter-agency collaboration and coordination

Representation of UN with local authorities

Advisory services on behalf of the UN

Acting as security area coordinator / UN focal point

Operations support for UN office

Managerial oversight of UN office
11. In post-crisis / early recovery contexts, depending on the complexity of activities and expectations
from UNDP, a Country Office should open a local office / presence and / or deploy a staff member outside
capitals to represent UNDP during the initial assessment, scoping and early programming phase. This
represents a ‘start-up’ phase for a presence that could be converted into an office in alignment with this
policy framework after three months. All required processes as laid out in this policy need to be
completed within this timeframe. The procedures and support from headquarters for the opening of these
local offices / presences will be regulated in a separate guidance note and integrated in the POPP. The
starting principle will be that in post-crisis / early recovery contexts Country Offices require support to
facilitate effective and rapid delivery of early recovery programmes and inter-agency coordination at local
level.
2
Authority to facilitate coordination between UN agencies at the local level and to liaise with partners and counterparts at local level
on behalf of the local UNCT. The delegation needs to be formalized in writing through the Resident Coordinator and endorsed by
the UNCT.
3
Decision-making and accountability for a UNDP-supported presence
12. UNDP-supported presences outside the Country Office are legitimately needed in select
circumstances where there is a clear link between the establishment of additional presence(s), and the
achievement of planned development results. The degree to which project delivery, programme
management, and coordination will be enhanced by the creation of local-level UNDP presences is the key
criterion for evaluating the need to establish an additional presence. The benefits of local-level presence
need to be carefully balanced against other factors including cost, administrative burden, and security
challenges in determining whether a local-level presence can be justified. Presences outside the Country
Office should only be established if the resulting enhancement of UNDP’s capacity to achieve planned
development results is of a magnitude sufficient to justify the additional financial, administrative and
security burden. Efforts should be made to increase coordination and reduce costs by collaborating with
other UN presences in the vicinity.
13. Decision-making on establishing a local presence must be based on a sound business case, which
establishes the rationale for investing in a local presence and includes an evaluation of its prospective
impact on delivering development results, cost efficiency, financial sustainability and key management
considerations regarding security, staff wellbeing and relationship mana gement
with
the
host
Government. The business case encompasses:
a. Rationale & vision (see drivers included in paragraphs 6 and 7)
b. Determination of office functions (see section on office typology)
c. Structural overview (including an organization chart with reporting lines and all planned
personnel, highlighting those that will be redeployed from the main office and, if any,
additional staff)
d. Oversight and management arrangements
e. Costing (including set-up and operational costs) and funding model
f. Cost / benefit analysis of costs and the expected development impact of the local presence
as compared to a scenario where the office is operating from the capital only
g. Risk management (including security, staff well-being and relationship-management with host
Government)
h. Time or criteria-based provision for closing the office and exit strategy (in exceptional cases
where such provision is not applicable, a sustainability strategy must replace the exit
strategy)
14. The UNDP Resident Representative has the decision-making authority and accountability for the
establishment of project offices. In line with the CO-specific division of responsibilities as outlined in the
UNDP Organizational Guide, the Resident Representative may delegate accountability for UNDPsupported presences outside the Country Office to the Country Director. While the Resident
Representative is also accountable for the establishment of a UNDP Sub Office, then latter needs to be
approved by the relevant Regional Bureau.
15. Decision-making authority for the establishment by UNDP of a UN coordination office – which should
be formally requested by the UNCT – resides with the Regional Bureau, in consultation with the Regional
Directors’ Team and DOCO. Accountability for UN coordination offices lies with the Resident Coordinator
and cannot be delegated.
16. Country offices must develop business cases for UNDP sub office and UN coordination offices and
submit these for review and approval to the Regional Bureau with copy to the director of BOM. The
Regional Bureau will consult with relevant HQ units as appropriate. Local presences are approved for a
limited period as defined in section “h” of the business case (see above paragraph). A prolongation of this
period requires a documented review and approval of a new or revised business case. Country Offices
are required to keep approved business cases on file as part of their official records for future auditing.
4
17. In accordance with the “Framework for accountability for the United Nations field security
management system” (A/57/365), Resident Representatives are required to seek clearance of both the
Designated Official and the HQ senior security manager. Presences must be assessed according to the
United Security Management System (UNSMS) accepted security risk assessment methodology and
conform to Minimum Operating Security Standards (MOSS) prior to being established.
18. In tandem with business planning, the Country Office managers must adhere to corporate policies
and procedures that apply for the Country Office, as the establishment of local-level presences fall within
the same policy regulations. UNDP Regional Bureaux will be responsible for monitoring and ensuring CO
compliance with the provisions of the present policy. Key managerial issues that warrant specific
clarification, including application of the Internal Control Framework, HR Management, staff protection
and well-being, security management and costs, etc., will be informed by the technical Guidance Note
supporting this policy.
19. The establishment of local-level presences does not necessitate renegotiation of UNDP’s activities in
the programme country. Informing and consulting with governmental counterparts is understood as the
accepted standard procedure. The Resident Representative should by all means possible seek formal
agreement through this consultation.3 Where this is not achievable and the establishment of the office is
considered critically important to UNDP’s country operations, consent must be obtained from the
Regional Bureau Director.
Funding of a UNDP-supported presence
20. Since project offices are established to ensure project implementation, monitoring, and reporting
activities, they should be primarily funded through project resources (either core and/or non-core). These
should cover, on a cost-sharing basis, the entire cost of operations, which should be reflected in project
budgets. CO management resources can supplement these resources for a limited period of time to fund
gaps in project resources, and/or investments towards the start-up and running costs of such local-level
presences.
21. For sub offices, while each project will fund its share of the presence, UNDP representation,
management and oversight aspects should be funded as regular staff capacity by the extra-budgetary
resources proportionally with the non-core programme activity, or the Biennial Support Budget (BSB), if
the programmes are core funded. In general, this should represent redeployment of resources and
capacity from the Country Office to the local presence. However, when funding constraints are present,
and the need for establishing such a local-level presence is organizationally critical, the funding should be
provided from corporate budgetary resources.
22. For UN coordination offices, while the above funding principles apply to the costs related to UNDP’s
presence, UN coordination activities and related costs should be cost-shared by the participating
agencies. If the presence is a common UN system presence, then each agency should be required to
contribute its share of the presence, including the management aspects.
23. Requests for corporate funding of UNDP sub office or UN coordination offices are included in the
business case submitted to the relevant Regional Bureau which reviews and approves the request in
consultation with relevant HQ units (including as appropriate BOM, BCPR, and the Executive Office.)
Corporate funding may be provided for the posts of Head of Office and Operations Manager, as well as
for operational costs related to the set up of the local presence.
3
Formal agreement can for example be sought and granted by host governments through exchange of letters with the relevant
government focal point.
5
24. Country offices that need to establish or scale up local presences in response to emergencies can
apply for support and corporate funding through the SURGE mechanism. This mechanism provides
corporate support for time-urgent organizational responses.
25. In line with the current policy on funding security resources, it is expected that security requirements
of local presences are mainstreamed into programmes and projects. However, in light of the fact that
MOSS compliance of the local presences has not been properly addressed in the past, the Security Team
provides funding for security measures of presences outside the Country Office proportionally to the
share of staff funded through corporate resources. While funding is provided for the core-funded portion,
the remaining costs should be shared between XB and programme resources. Exceptionally, requests of
strategic priority from UNDP sub offices which encounter funding gaps can be reviewed for additional
support.4
4
For further details, please refer to “Operational Guidelines in regard to the UN Mandated Security Measures Required for UNDP
Personnel and Premises”.
6
Annex I: Typologies of presences outside of a UNDP country office
7
Annex II: Policy framework
8