UNFPA Internal Audit and
Oversight Actions and
the Business Plan
19 January 2012
Executive Board Informal
Internal Audit and Oversight Recommendations
Recommendation 1: Vision Statement
1. Vision
Statement
 Draft format pending
approval
2.
Communication
Strategy
Recommendation 2: Recruitment,
Succession Planning and Training
1. Policies and
Procedures
3. Tools
 Formal strategy developed
 Internal Website
 Town Hall meetings
 Vacancy
Planning
2. IT Systems
 Recruitment
missions
 RO/SRO/CO
follow up
 Succession
Planning &
Management
Framework
 Rosters
 Recruiter
Console
(tracks
vacancy
times)
 IOM/OM
training
 E-learning
 DLPI
modules
1
Internal Audit and Oversight Recommendations
Recommendation 3: Evidence Based
Programming
1. Policies and
Procedures
 Evidence Based
Programming
Guidance Note
2. Tools
Recommendation 4: Outputs, IPs and
AWPs
1. Revised
Strategic Plan
 Global Capacity Building
Plan
 Alignment
with results
framework
 Learning and Training
Package
 Manageable
Outputs
 Manageable
# IPs
 Increased
Partnership
use
3. Coaching /
Guidance
2. Training
 Focused
programme
and output
design
 RO support
webinars
 Formal
retreats
 RO technical
support and
missions
 Oversight
Support and
Quality
Assurance
 Joint Capacity
building
2
Internal Audit and Oversight Recommendations
Recommendation 5: Country Office
Support Allocation
1. Strategic
Plan 2014-2017
 This will be undertaken in
the Strategic Plan 20142017
Recommendation 6: Organizational
Structure
1.
Organizational
Structure
 Basic structure
is unchanged but
under review
2. Reporting
Lines
 Procurement /
MIS will report
to the DED
(Management)
 IERD to report
directly to the
ED
3
Internal Audit and Oversight Recommendations
Recommendation 7: Indicators and
Results Framework
1. Mid-Term
Review of the
Strategic Plan
 Development and
Management Results
Frameworks completed
 Simplified
 Improved Indicators
 Metadata used e.g.
data sources,
calculations etc.
Recommendation 8: Office Typology,
PAD and Training
1. Policies and
Procedures
 Revised
Competency
Framework
 Updated job
descriptions
in 2012
3. Tools
2. IT Systems
 Performance
Appraisal &
Development
Tool (PAD)
 Management
& Leadership
programme in
2012
4
Internal Audit and Oversight Recommendations
Recommendation 9: Monitoring and Evaluation Embedding
 RO Capacity building &
technical assistance
 On-going recruitment
of M&E staff in all
regions
 Consultant
Rosters
 Training : Management,
External and Induction
3. External
Support
1. Recruitment
2. Community
of Practice
(CoP)
 M&E network in
Fusion
 Peer to Peer
support
5. Capacity
Building
4. Performance
Management
 SMART indicators,
baselines and
realistic targets
6. Policy and
Procedures
 Revised PPM on
M&E
5
Internal Audit and Oversight Recommendations
Recommendation 10: Integrated and
Strategic Approach to Management
1. Policies and
Procedures
 Revised PPM:
programme
design, approval,
management
and monitoring
 Programming
ICF project in
2012
3. Tools
2. IT Systems
 DMS CO
transactions review
 SAS real-time fraud
monitoring system
in 2012
 Enhance
Operational ICF
 Operational
ICF e-learning
training course
in 2012
Recommendation 11: Risk Management
1. Policies and
Procedures
 Draft ERM
Strategy and
Policy
 Draft BCM
Governance
Model, Policy
and BCM
User Guide
3. Tools
2. Analysis
 Headquarters,
Regional Office,
Sub-Regional
Office & Country
Office initial risk
assessments
 Draft HQ
Business
Impact
Analysis
 Draft HQ
Division
Business
Recovery
Plans
 Country Office
Fraud Risk
Assessment
6
Internal Audit and Oversight Recommendations
Recommendation 12: Internal Control
Framework
1. Policies and
Procedures
 ICT ICF in
2011
 Programming
ICF project in
2012
3. Tools
2. IT Systems
 SAS real time fraud
monitoring system
in 2012
 Operational
ICF e-learning
training course
in 2012
Recommendation 13: ICT Architecture
Reassessment
1. Policies and
Procedures
 ICT IFC
 ICT Risk
Assessment
 ICT Strategy
2. Systems
3. Tools
Strengthened Network
Architecture:
 ICT
Governance
Board
 Increased #
ICT staff
• VoIP phone system
• Audio and Video
conferencing
• Managing Network
Security, internet,
video and VoIP
system at RO /
COs
7
Internal Audit and Oversight Recommendations
Recommendation 14: Internal / External
Audit Recommendations
1. Policies and
Procedures
 Updated Policy
and Procedures
Manual (PPM)
3. Tools
2. Oversight
 Revised LoU
 Guidance
Notes
 Quality Assurance
System (IP information
management system)
 Audit Monitoring
Committee (chaired by
ED)
 NEX Audit
User Guide
 AWP Checklist
Recommendation 15: IPSAS Adoption
1.
Communication
and Training
Strategy
 Webinars
 IOM/OM faceto-face training
 Newsletters
 Quick
reference
sheets
3. Oversight
2. Project
Management
 Workplan
management
 Risk Mitigation log
 Business Owner
Allocation
 BoA – 2011
report issued
 AAC –
Accounting
policy
finalized
 DOS – O/S
issues
addressed
 IPSAS Board
 Country
Operations
Managers
8
Business Plan: Refined UNFPA vision and focus
UNFPA’s mid-term
review set a refined
strategic direction. The
Business Plan
implements the
directions of the MTR to
be more focused and
coordinated.
•
•
Refocus the
Development Results
Framework from 13 to
7 outcomes.
Streamline the
Management Results
Framework from 9 to 4
management
outcomes.
Population dynamics
The goal…
Young people
including adolescents
Achieve universal
access to sexual and
reproductive health,
promote reproductive
rights, reduce maternal
mortality, and
accelerate progress on
the ICPD agenda and
MDG 5 (A & B)
Women
enabled by …
to improve the
lives of …
Business Plan: Country Offices at the core of UNFPA’s Business
ROs will be hub of support for COs
Country offices
Seek
expertise
and
programme
support
Support programme
development and
provide links to relevant
expertise
Regional offices
Seek
expertise
External
experts/
institutions
Provide best
practices
and tools
UNFPA
Headquarters
Business Plan: Seven Priorities
The Business Plan priorities implement the Mid-Term Review and address several
internal audit recommendations:
1
Focus programming efforts on refined strategic direction and results approved by the Board
2
Put country programmes at the center of what we do.
(contributing to recommendations 3, 4, 7 )
(contributing to recommendation 4 )
3
Communicate the organization’s strategic focus through well defined, clear and
consistent internal and external messages.
(contributing to recommendation 1 )
4
Strengthen staff training, performance management, recruitment, and accountability at
all levels.
(contributing to recommendations 2, 8 )
5
Streamline management and operations at all levels of the organization.
(contributing to recommendations 10, 13 )
6
Enhance coordination by breaking silos, promoting cross functional teams, recognizing
innovation, and rewarding staff.
(contributing to recommendation 6 )
7
Make Senior Management team and others accountable for delivering on these priorities.