DFID Programme Delivery Capability Framework

APRIL 2018

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DFID Programme Delivery Capability Framework 1. Background ............................................................................................... 3 2. Programme Delivery Competences ........................................................... 9 3. Role Profiles ............................................................................................ 18

C1 Assistant Programme Officer ......................................................... 18

B2 Programme Officer......................................................................... 19

B1 Deputy Programme Manager ......................................................... 21

A2L Programme Manager ................................................................... 23

A2/A1 Programme Manager ................................................................ 26

A Band Advisers’ Programme Delivery ............................................... 28

Senior Responsible Owners’ (SROs) Programme Delivery................. 30

4. Self-assessment and learning and development resources (Internal) ..... 32

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1. Background 1.1 Effective programme delivery is at the heart of enabling DFID to deliver its vision of ending

extreme poverty, supporting delivery of the Sustainable Development Goals (SDGs) internationally, and tackling the global challenges of mass migration, disease, insecurity, conflict and climate change in line with the UK Aid Strategy. A Programme Delivery Capability Framework (PDCF) has been developed to support DFID in this endeavour.

What is the PDCF?

1.2 The PDCF1 brings together in one place the most important capabilities for DFID’s effective programme delivery. The PDCF has three pillars:

A set of delivery competences critical to DFID’s programming A common set of delivery role profiles /career pathways A self-assessment tool and signpost for learning and development opportunities

related to programme delivery (For internal use only) Who is it for? 1.3 The framework supports all those working on programme delivery i.e. Advisers, Programme Managers (PM) and Senior Responsible Officers (SROs). The framework will also support teams and departments to identify and recruit the right people into the right delivery roles at the right time. What will it do? 1.4 The PDCF will deliver three sets of benefits for individuals and the organisation:

(i) Delivery Standards: the PDCF articulates a common set of delivery competences, a set of delivery role profiles and related learning and development opportunities. Together, they will help sustain consistent delivery standards across DFID’s programming. This in turn supports assurance that DFID’s delivery capability matches its ambitions.

(ii) Career Paths/Human Resource Management: the PDCF supports a common

understanding across DFID of what to expect as a minimum from each programme delivery role by grade. It provides clarity for individuals on what’s required to progress within programme delivery. The framework’s common language will help business units identify capability gaps, design delivery roles, and get the right people into the right jobs at the right time.

(iii) Learning and Development (internal use only): the PDCF will help colleagues identify their delivery related learning needs using a self-assessment tool and then translate them into learning and development (L&D) goals. It will also support the design of a new package of blended delivery related L&D support from the centre.

1 A Capability Framework describes the values, knowledge, skills, behaviours, roles and learning required for an organisation to deliver its current and future objectives. The terms project and programme are used largely interchangeably in this document.

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How does the framework work? 1.5 The PDCF is divided into three parts: (i) a breakdown of each competence and what this means for individuals; (ii) typical delivery role profiles by grade (from C1 Assistant Programme Officers upwards) that set out a menu of responsibilities and the levels of proficiency expected against each competence; and (iii) a map of learning and development opportunities that will support individuals develop their programme delivery competences and career paths within DFID. 1.6 Not all jobs with programme delivery responsibilities are exclusively focused on programme delivery. Where this is the case, judgement will be required when drawing on these role profiles and competences to support job design and recruitment, as well as conversations around PMF objective setting and learning conversations. Guidance has been developed to explain how you can use the PDCF to design your job adverts. What are the delivery competences? 1.7 The 8 PDCF delivery competences are:

Managing the programme cycle Managing risks and issues Financial management Commercial acumen Monitor, learn and adapt Engage others Programme leadership Technical

1.8 The competences have the following levels of proficiency:

Awareness Working Practitioner Expert

1.9 The delivery competence matrix is not an exhaustive list of skills and behaviours. It brings together in one place the most important capabilities for DFID in delivering programmes, and therefore the most important delivery competences for individuals. The framework is hybrid in some places, drawing on some elements of other competence frameworks. The framework is not exclusive. Where job responsibilities are technical in nature or extend beyond programme delivery, other frameworks should be used as required. The Civil Service competence framework underpins all that we do by illustrating the desired and less desired behaviours of civil servants according to grade. The PDCF highlights some competencies in the overall Civil Service Competency Framework which are particularly important for programme delivery. But staff using the PDCF should continue to consider which of the other competencies in the Civil Service Competency Framework they need to develop further. 1.10 Further information on the proficiency levels and detailed descriptions of the competences are provided in Section 2.

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What are the role profiles? 1.11 The PDCF sets out typical delivery role profiles by grade (from C1 Assistant Programme Officers upwards to A Band Advisers), and a menu of associated responsibilities.2 Two of the roles set out are project specific roles: Lead Adviser and SRO. These two roles are not jobs per se but are responsibilities that advisers or programme managers may take on as a result of their engagement on one or more projects. 1.12 There are references to Project Officer responsibilities in the role profiles for B2 Programme Officers, B1 Deputy Programme Managers, and A2L Programme Managers. The Project Officer is a project specific role for programme managers and not linked to a specific grade. The grades in which Project Officer responsibilities sit will vary from project to project and will be determined by a judgement about the complexity of the project to be managed – see 1.23 below on complexity. The inclusion of Project Officer responsibilities in the above role profiles means they have slightly different formats to the other role profiles in Section 3.

1.13 In agreeing a division of operational responsibilities within a project team, SROs should use the PDCF as a starting point for those discussions. 1.14 The table below summarises the key responsibilities of each project specific role:

Typical Project Specific Roles Project Officer Lead Adviser SRO Is in a DFID programme management post. Is responsible for managing and administering a project’s delivery cycle in line with Smart Rules. May be an SRO

Normally accredited to one of DFID’s 13 advisory cadres. Is responsible for leading the design and delivery and any associated evaluation of a project, with an emphasis on its technical content. May be an SRO.

Is a named DFID officer, normally a Lead Adviser, or Project Officer or senior manager (Team Leader, Deputy or Head of Department/ Office [HoD/O]). Is responsible for the vision of a project and is accountable for its overall performance. Provides leadership throughout the project life cycle, from design to closure.

1.15 The project delivery roles of DFID posts in the programme delivery job family can be summarised as:

Typical Project Delivery Roles by Job & Grade C1 Assistant Programme Officer B2 Programme Officer B1 Deputy Programme

Manager Provides administrative support to a programme team or teams, and to the team’s projects or a selection of the team’s projects depending on team portfolio size. Will generally provide support to Programme Officers, and on cross-team issues to the Deputy

Acts as Project Officer on a number of non-complex projects. May act as Project Officer on fewer but larger more complex projects. Adheres to and can advise colleagues on Smart Rules compliance and standards on

Supports the management of a team’s portfolio, in partnership with the Team Leader (TL) and relevant SROs. Acts as Project Officer on more complex and/or higher value projects, partnering the Lead Adviser and involving other

2 DFID grades equate to the following HMG grades: C1(AO), B2(EO), B1(HEO), A2L(SEO), A2(Grade 7), and A1(Grade 6).

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Typical Project Delivery Roles by Job & Grade C1 Assistant Programme Officer B2 Programme Officer B1 Deputy Programme

Manager Programme Manager, advisers and Team Leader. Generally works within standard procedures and rules and has a basic understanding of DFID’s systems and processes

straightforward issues although may need guidance/support on more complex issues. Supports broader programme team through provision of project information and may manage one or more team-wide tools. May have additional business and/or line management responsibilities as required.

Advisers. May be solely a Project Officer on a higher value, more complex and/or a Major DFID Project. Adheres to and can advise colleagues on Smart Rules compliance and standards. Will support junior colleagues as required. May have additional business and/or line management responsibilities.

A2L Programme Manager A2/A1 Programme Manager A Band Advisers Manages a straightforward team portfolio, in partnership with the TL and relevant SROs (where the PM and SRO may not be mutually exclusive). Provides direct project management support to complex/high value projects as Project Officer or provides project management advice and leadership at critical junctures of the Programme Delivery Cycle on colleagues’ projects. Provides support to the development of programme delivery capability of colleagues across a business unit. May act as a Project Officer on one or more high value, highly complex and/or Major Project(s). May have additional business and/or line management responsibilities.

Ensures that best practice and compliance are applied across DFID’s management of a programme or country portfolio. May fill TL roles, cross-office/departmental programme delivery and leadership roles, Deputy Head posts or a combination of these. Grading of posts will depend on the complexity and degree of responsibility and related policy engagement associated with each post. Typically A1s will be expected to lead programme and portfolio engagement at the higher, more strategic levels of a business unit’s operation, and/or in DFID Major Projects

In programme delivery roles, advisers design, manage and contribute technical advice in the delivery of projects. As Lead Advisers, they are responsible for leading the design and delivery and any associated evaluation of a project, especially its technical content. Advisers may play an influencing role in the development and implementation of policy; and in stakeholder engagement. Advisers draw on one or more of the 13 professional competence sets in support of their roles. May have additional business and/or line management responsibilities. May play a broader role in identifying, generating and utilising the best evidence, knowledge, technology and ideas to improve the effectiveness and impact of the UK’s aid programme overall.

1.16 Each role profile is mapped against the delivery competence levels of proficiency expected from that role (but they should not be regarded as ceilings!). There is flexibility to choose those parts of the role profiles that make most sense for business units when designing jobs, agreeing PMF

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objectives and learning goals e.g. this makes sense where roles have a mix of programme delivery, corporate, policy and/or other responsibilities. 1.17 Roles, their titles and grades in the PDCF are based on a synthesis of common practice, DFID grading guidance, shared Advisory competences, and agreed 1 HMG job descriptions for SAIC fundamental pay reviews. Where roles have a mix of delivery and other responsibilities, business units should refer to DFID grading guidance to determine the most appropriate grading for new jobs. 1.18 A2 and A1 programme management profiles have been combined into one profile. The distinction in grade between these two roles is often connected to additional management and leadership responsibilities associated with the business unit as a whole rather than specific project delivery related issues on their own. 1.19 A Band Advisers’ roles have been combined into one role profile focusing on Lead Adviser responsibilities. There are common delivery expectations of Lead Advisers linked to the advisory shared competences around designing and delivering programmes. The 13 sets of advisory competences set out in more detail what is expected from advisory colleagues and are not repeated in the PDCF. 1.20 The SRO role profile is based on the current DFID definition and approach to selecting SROs. As such, a range of competences has been selected for the SRO role. The selection of SROs continues to depend on the complexity of a project, including the financial value and degree of risk associated with the specific project for which the SRO will be responsible. 1.21 Commercial Delivery Managers and Finance Specialists also play important roles in supporting business units, including on programme related commercial and financial issues. They will support programme delivery colleagues at key points in the programme cycle as required. Their roles are not covered here but are captured separately by the DFID commercial and finance professions. Complexity of projects and the grading of delivery jobs 1.22 Grading of delivery jobs reflects DFID’s grading guidance. Where some roles’ responsibilities are the same but their grades are different, this is either because of the difference in their scope, additional responsibilities, and/or the complexity of the projects on which they work. Projects with low levels of complexity are generally characterised by having a higher degree of certainty, are smaller in size with fewer components and can be managed in line with standard practises. Projects with higher levels of complexity generally have one or more of the following characteristics: are larger in size, have higher levels of risk attached to them, including in the external, fiduciary and reputational categories, are technically complex, and may require more adaptive programming techniques. Personal development & career path planning in programme delivery (Internal use only) Four simple steps 1.23 A programme delivery competence self-assessment tool has been designed to support officers with their conversations with line managers on learning and development goals and PMF objectives. The tool should be used at the start of the year to inform and support learning activities. The four simple steps are: Step 1 – Familiarise yourself with the PDCF 1.24 You should look at the role profile that either relates to your current grade/role and/or the grade/role you are aspiring to. Once you have selected your role profile(s), use the PDCF competence framework in this document, and if appropriate your advisory competence framework, to help you understand expectations of the role you are in and/or the roles you aspire to.

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Step 2 – Complete the self-assessment using the self-assessment tool 1.25 The self-assessment tool is designed to help you assess what your proficiency level is for each competence and then take that assessment into the learning conversation with your line manager (see section 4 for guidance on using the tool). Step 3 – Review your self-assessment results with your line manager 1.26 Once you have completed your self-assessment, agree the results with your line manager as part of your initial objectives’ and learning goals’ discussion. Agree an assessment of your strengths and possible areas for development. Prioritise the competences and areas for development that best reflect your specific role and then your career aspirations (drawing on DFID’s technical competences and the Civil Service competences as required). Step 4 – Plan your programme delivery learning development 1.27 Following your discussions, you will have a good sense of your development needs. With this information to hand, refer to the PDCF Learning & Development map which sets out some of the learning and development opportunities available to support your programme delivery development. For more technical skills, you may also wish to refer to specific advisory cadre learning opportunities. Remember to use the 70:20:10 learning model as a guide when selecting your learning and development opportunities.

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2. Programme Delivery Competences

Managing the programme cycle

This competence is about understanding the tasks and obligations at each stage of the DFID

programme cycle, and applying them directly, or through others depending on role, to support

delivery. Why is it important? It contributes to value for money (VFM) through the effective and efficient management of project resources including DFID staff in line with Smart Rules, using DFID systems, project management tools, experience and judgement.

Managing Risk & Issues

This competence is about identifying when and how risk can be taken;

applying risk management best practice; and understanding when risks become issues and taking action to respond to

those issues. Why is it important? It helps us do our jobs better. It helps us manage risks which could adversely affect our staff, VFM, and reputation, and helps us to take the right actions quickly if things go wrong.

Financial Management

This competence is about managing resources effectively; promoting a

culture of financial rigour and compliance; achieving VFM,

transparency and accountability; and applying robust financial management

and decision making throughout the project cycle.

Why is it important? It is important to ensure that tax payers’ money is managed properly to get the maximum impact for every pound spent.

Commercial Acumen

This competence is about maintaining a VFM focus throughout the life of the programme in all activities. It is about having a commercial mind-set to ensure all activities and services maximise the impact of each pound spent on

behalf of UK tax payers. Why is it important? It is important to be able to effectively design, commission work from, and manage relationships with external delivery partners, in order to maximise the impact of each pound spent on behalf of UK tax payers.

Monitor, Learn and Adapt

This competence is about using a wide range of information to monitor and track programme

results; to draw on and generate learning during the programme cycle, adopting

deliberately adaptive interventions where appropriate.

Why is it important? It helps staff maximise value for money by being able to use and generate evidence of what works, to track progress, make timely course-corrections as necessary, and improve our ability to respond to change in uncertain environments.

Engages Others

This competence is about establishing effective relationships, and, when

needed, being able to communicate, influence, negotiate and manage

stakeholder relationships in support of programme objectives.

Why is it important? All staff need to be able to work and communicate effectively with others to ensure programme impact, and ongoing relevance to beneficiary needs, and HMG Overseas Development Aid (ODA) priorities.

Programme Leadership

This competence is about how programme teams and leaders create,

sustain and promote a culture of empowerment and accountability,

supporting and challenging each other to the best that they can in programme

delivery. Why is it important? All staff need to understand what their role is in programme delivery and how they can effectively contribute to/lead the high performance of their teams.

Technical

This capability is about identifying, generating and utilising the best evidence, knowledge,

technology and ideas to improve the effectiveness and impact of the UK’s aid programme. This capability is delivered

through the Competence Frameworks of DFID’s 13 professional Advisory Cadres.

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The Programme Delivery Capability Framework Competence Proficiency Level Descriptions

Level Description

Awareness Has a basic knowledge of this competence, which they can apply in limited circumstances. Sometimes needs help to apply this competence when it is outside of their knowledge base.

Working Has working knowledge and practical experience of this competence. Is self-sufficient at applying this within a restricted number of areas, or under supervision in more complex areas.

Practitioner Has detailed knowledge and significant experience of this competence. Can apply and advise on more complicated or difficult issues in relation to this area. Is able to use their experience to assess, determine and adopt a flexible approach. Actively shares lessons learned.

Expert Has expert knowledge and experience in this area. Is known as an expert, acknowledged by others across government and partners. Applies this competence to complex issues. Uses their knowledge and experience to review/change practice by using a wide range of tools.

2.1: It is assumed that skills identified in each level build upon its preceding level. Therefore, someone operating at “practitioner” level should have at least an understanding of the skills/behaviours/knowledge identified in the preceding working and awareness levels. 2.2: The Technical Capability competence is already delivered through DFID’s 13 professional advisory cadres at Practitioner and Expert level. Each cadre has its own technical competency framework, which includes shared competencies common to all. Programme management staff are expected to be familiar with the advisory competencies relevant to their projects and how these contribute to effective programme delivery. The competences can be found here http://insight/People/Competencies/Pages/default.aspx 2.3: Expert level competences for Financial Management and Commercial Acumen are to be found within finance and commercial professions. They are included here to show how and when Finance and Commercial professionals typically engage on programme delivery. 2.4: Each competence has a series of assessment indicators included in its matrix. The activities and behaviours listed under each proficiency level provide examples of what you should be able to achieve for each assessment indicator. This information will help guide you as you complete DFID’s internal PDCF self-assessment.

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Managing the programme cycle Assessment Indicator Awareness Working Practitioner Expert Design projects, deliver Business Cases

Understands and applies key Design Smart Rules in simple scenarios.

Is aware of some straight forward approaches to project design.

Understands the Business Case (BC) drafting and approval process and able to input on non-technical areas.

Has a more detailed knowledge of how to implement all Design Smart Rules, uses common project design tools in a wide range of scenarios.

Able to lead drafting of one or more Business Cases (BCs) (likely to be Strategic, Management & Financial) with less supervision and guidance.

Has a thorough understanding of all Design Smart Rules, able to apply them using appropriate design tools in a wide range of scenarios, in complex environments; supports others to do so.

Able to manage the drafting process of quality BCs for complex or sensitive programmes, securing Ministerial approval with minimal delays.

Manages design and development of high value complex projects/programme or IPA Major Project; draws on industry latest design thinking and tools.

Recognised as an expert in drafting and leading the production of Business Cases on a wide range of topics. Helps shape DFID thinking about best practice in BC production.

Plan, control, deliver & close

Understands DFID Programme Cycle and controls.

Navigates Smart Rules and Smart Guides to find information about compliance and tools for delivery; applies in line with role.

Uses Delivery Plans to inform own actions, and AMP/MI data to inform project status.

Understands and applies closure Smart Rules in simple scenarios.

Knows when to apply Smart Rules, and controls at each phase of the cycle.

Depending on role, initiates and/or implements standard Smart Rules tasks.

Depending on role, establishes or maintains project Delivery Plans to inform planning and task execution. Uses AMP/MI data to inform Delivery Plans, decisions and lessons.

Has a more detailed understanding of all closure Smart Rules; applies them in a wide range of scenarios.

Has a thorough knowledge of, and experience managing DFID’s Programme Cycle, using AMP/MI data, applying Smart Rules, and associated controls across projects and programmes.

Has thorough understanding of all closure Smart Rules, applies them to wide range of scenarios; support others to do so.

Understands the human resources required to deliver projects; co-ordinates accordingly.

Proven track record of managing and applying Smart Rules to complex, high value programmes; seen as trusted adviser; helps shape associated control framework for Business Unit.

Keeps up to date with, and applies emerging best practice in programme delivery, and international development.

Helps shape DFID’s MI tools. Translates delivery gaps and needs

into Strategic Workforce Plans as required.

Apply judgement to solve delivery problems

Solves problems in own immediate work area, drawing solely on Smart Rules; does not sit on problems or issues, escalates in timely manner if required.

Solves routine problems at project level, using Smart Rules, and experience; seeks guidance for more complex issues.

Solves a wider range of problems, using Smart Rules, and experience; uses greater creativity; supports others to do same.

Seeks and applies lessons learned from other programmes

Uses high degree of creativity plus experience to solve complex problems in rapidly changing situations.

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Managing risks and issues Assessment Indicator Awareness Working Practitioner Expert Understand and apply DFID's risk management framework

Familiar with DFID’s risk management framework, risk categories and tools.

Demonstrates curiosity and spirit of inquiry i.e. will not let anomalies or concerns go unaddressed.

Has more detailed knowledge and experience of applying risk management framework, categories and tools, in line with role.

Setting the scope and standards of evidence required for a comprehensive risk assessment.

Applies, in line with role, risk management strategies to all projects, programmes and portfolios throughout the programme cycle and as appropriate, at all levels of the delivery chain.

Uses professional judgement to assess the level of risk and the development return on projects.

Designs, improves and develops processes for risks and issue management of business unit, including in complex, high risk, conflict affected environments.

Actively horizon scans risk environment, feeding in to business unit planning and decisions.

Map, assess and respond to risk in a project, and its delivery chain

Supports visibility and mitigation of risk through maintaining risk register, sharing relevant risks with stakeholders and agreeing monitoring frequency with them.

Has more experience of identifying and assessing risks, applying appropriate mitigation and escalation measures during project design, mobilisation and implementation; and implementing project controls until appropriate level of assurance is established.

Is experienced in identifying and assessing the full range of fraud and fiduciary risk.

Understands and identifies the risks and exposure in project delivery chains.

Identifies and takes appropriate action to mitigate risks and pick up issues early, which includes preparing robust contingency actions to deal with issues.

In line with role, leads identification and assessment of the full range of fraud and fiduciary risks.

In line with role, ensures partners maintain appropriate risk management plans and use evolving risk knowledge to inform their approach and to maintain an appropriate control environment.

Supports teams to manage risks and issues across programmes and portfolio, identifying and addressing common portfolio trends as they arise.

Undertake Due Diligence, track identified risks and review implementing partner at key stages in programme

Has a basic understanding of fraud, aid diversion, Counter Terrorism funding and safeguarding policies and impact on their work.

Understands the basic principles and approaches of programme due diligence and safeguarding; can support assessments, follow up monitoring, in line with their role.

In line with role, leads/undertakes due diligence assessments of primary partners; assesses their due diligence processes for their delivery chains, and monitors risk and action through life of project.

Advises on standards expected in Due Diligence assessments: execution, analysis and recording.

Define and operate within project risk appetite, and promote risk culture across team

Understands relationship between risk appetite statement for portfolio, and project’s risk appetite statement.

In line with role, inputs and analyses risk management information for business unit programme and portfolio reports.

Contributes own perspective to risk analysis of project, programme and portfolio.

Supports teams to define risk appetite and to manage risks and issues across programmes, portfolios and sectors, providing expert advice on mitigation strategies for risks identified.

Coaches staff ‘in the moment’ (i.e. as soon as an issue arises); shares lessons learned and is open and honest in conversations about risks.

Assesses and proposes responses to strategic risks considering organisational objectives and risk appetite, delivery partner relationships and political landscape.

Provides coaching/training to staff to improve practical knowledge.

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Financial management Assessment Indicator Awareness Working Practitioner Expert Understand, apply and drive compliance with financial management Smart Rules

Understands and can apply, in line with role, Financial Management Smart Rules.

In line with role, will take responsibility for the application of financial management Smart Rules on own projects.

In line with role, ensures compliance with financial management Smart Rules across programme or portfolio.

Role models compliance with financial management Smart Rules, supports Business Unit and others to understand and apply.

Apply financial management control tools and follow the money

Understands DFID’s delegated financial authorities and their implications for project design, implementation and closure.

Understands why and how DFID uses financial control tools e.g. due diligence, partner reporting, financial statement reviews, audit reviews, annual audited statements, delivery chain mapping.

In line with role, applies financial control tools in own projects to protect DFID resources.

Monitors project/programme costs throughout project cycle and ensures all expenditure on own projects represents value for money and is spent for the purposes intended.

Ensures rigour and challenge in financial control and management processes across a programme, using appropriate financial control tools as required.

Manages relationships with development and delivery partners to ensure sound and credible financial management on own projects or programme.

Ensures rigour and challenge in financial control and management processes throughout the Business Unit’s portfolio including through engagement (challenge/support) with delivery partners.

Supports adoption of best financial practice with external donors, partners and beneficiaries.

Work with financial information to manage budgets effectively and set realistic forecasts

Understands basic programme budgets, how they are profiled and forecast.

Performs basic Aries tasks in line with role to ensure financial processes are followed and input data is robust.

In line with role, provides accurate project financial information, ensuring forecasts are credible and corrective action taken e.g. re-profiling budgets or forecasts and engaging delivery partner(s) on quality of their forecasts and activity milestones.

Leads team programme financial management to ensure team forecasts are credible and timely; identifies issues & trends; ensures lessons are learnt and fed back into financial management processes.

Seen as an expert in handling financial data/trends/forecasts across the department/office, including through engagement (challenge/support) with delivery partners on complex issues.

Leads capability development of colleagues and partners.

Understand financial concepts and tools to drive VFM and rigour at project/programme/ portfolio level

Understands principles of VFM and its application throughout the project cycle.

Builds and/or interrogates project budgets to drive VFM during design, mobilisation, implementation and closure phase of projects.

Builds and/or interrogates programme and portfolio level budgets to drive VFM during design, mobilisation, implementation and closure phase of projects.

Keeps up to date with emerging best practice/thinking, trends, tools and models in and beyond DFID, and applies.

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Commercial acumen Assessment Indicator Awareness Working Practitioner Expert Understand, apply and drive compliance with commercial smart rules

Understands DFID’s commercial vision and commercial management Smart Rules and how they apply to their own role in project delivery.

Has more detailed knowledge and experience of applying commercial management Smart Rules, in line with their role.

Has more extensive knowledge and experience of applying commercial management Smart Rules and commercial best practice, across projects and programme; supports others to do the same.

Applies commercial management Smart Rules in all commercial situations; seen as trusted commercial advisor, and champion across DFID and beyond.

Supports commercial learning of DFID delivery teams in their business area.

Understand, apply and drive commercial judgement to project design

Understands advantages/disadvantages of using different types of delivery partners, and benefits of early engagement to shape project design.

Works with delivery partners to test and help shape project design, and ensure competition for DFID programmes.

Has understanding of market (delivery partner) options, and choices of commercial delivery models to incentivise performance. Works with commercial staff to shape markets as required and to deliver economic policy objectives (e.g. creating opportunities for local / regional suppliers).

Supports programme delivery teams to use best commercial models during project design.

Works confidently with delivery partners, other UK government departments and donors to encourage collaboration that maximises value for money in the programme design phase.

Understand and apply commercial judgement to project mobilisation phase

Is aware of the different mobilisation (including procurement) options available, and can support activity to select the most appropriate delivery partner in line with role.

Can design evaluation criteria to select the best VFM delivery partner, building commercial adaptability and flexibility into the chosen agreement delivery model.

Ensures commercial approaches are applied to incentivise delivery partners (using Key Performance Indicators) and provide sufficient transparency of cost and risk (i.e. fee rates, supplier profit, etc.) throughout the delivery chain.

Leads on commercial aspects of delivery partner selection.

Advises on approaches to ensure effective cost transparency, and contractual agreement terms.

Understand and apply commercial judgement to project delivery and closure phases

Supports agreement delivery, contingency, amendment and exit plans in line with role. Understands agreement obligations, and acts only within the terms and conditions.

Manages delivery partner performance and monitors agreement obligation delivery, and, in line with role, develops agreement delivery, contingency, amendment and exit plans that manage commercial risks, and maintain value secured within agreement.

Ensures agreement obligations are met, and works with delivery partners to ensure appropriate levels of performance are achieved whilst adhering to DFID/Suppliers’ codes of practice.

Takes steps to minimise commercial risks and leads cost/benefit/risk analysis of amendments or terminations.

Challenges and improves the value being delivered through commercial arrangements with delivery partners; leads dispute resolution as required.

Understand and apply commercial judgement to delivery partner/supplier relationship management.

Aware of supplier dispute resolution options, the benefits of supplier relationship management approaches, and is compliant with DFID’s staff code of practice.

Has experience of managing supplier relationships, and disputes applying

DFID’s staff code of practice and supply/partner code of conduct.

Has extensive experience of supplier relationship/dispute management, and monitor for indicators of corruption, fraud and unethical behaviour in DFID’s delivery chain.

Manages strategic delivery partner/supplier relationships effectively.

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Monitor, learn and adapt Assessment Indicator Awareness Working Practitioner Expert Identify the data and evidence needs for a project

Understands the Results Chain. Demonstrates some knowledge

of data collection techniques used to assess implementation.

Understands the rationale for their project and its Theory of Change, evidence base and key assumptions.

Leads development of results frameworks and ensures they are reviewed/updated as required.

Can identify evidence gaps in the programme’s theory of change. In line with role, designs and/or leads projects that respond to weak evidence, testing key assumptions and alternative approaches.

Use appropriate tools to monitor and evaluate project performance Design and apply learning approaches into the project cycle

Understands how the project will be monitored through its Logical Framework or equivalent Results Framework.

Understands principles of monitoring and difference between internal and external monitoring.

Supports project monitoring in line with Smart Rules and role.

Supports use of results tools to identify impact, outcome and outputs of project.

Supports development of and manages the project monitoring plan, ensuring the relevant evidence is generated as required.

Uses programme data to identify changes that need to be made to the programme.

Aware of intended purpose of any planned evaluation.

Leads development and management of project monitoring plan, ensuring appropriate range of sources used, including where appropriate, beneficiary feedback.

Ensures that evidence and lessons learned are taken account of in programme design

Builds learning and flexibility to adapt into project cycle, as well as into contracts/formal agreements with Commercial Delivery Manager support.

Throughout the project life, collects and monitors different types of data and reporting so project outputs can be adapted appropriately.

Ensures that any commissioned evaluation meets quality standards, findings are discussed and, if relevant, influence. programme/sector decisions.

Ensures structures are in place to regularly bring key stakeholders together to discuss and act on learning.

Use learning and evidence on performance to adapt programmes as necessary

Is aware of whether or not an evaluation is planned of the programme, and where to go for evaluation support.

Aware of whether or not the programme is on track to achieve its objectives, and any annual review recommendations.

Engages closely with implementing partner(s) on Annual Review process and resultant changes to outputs.

Identify opportunities to share learning with others as appropriate.

Demonstrates a more detailed understanding of evaluation and research approaches and when to commission as part of project design.

Uses evidence generated by the programme and from outside to review the Theory of Change, making timely changes as necessary.

Regularly reviews the programme's theory of change, tests assumptions, and identifies necessary changes.

Summarise learning from a programme in ways that can be used by others

Able to summarise lessons learned from a programme and looks for opportunities to share learning with teams.

Identify opportunities to share learning with others.

Identifies how learning from a project might be relevant for other programmes and shares with appropriate users.

Shares learning from projects in ways that can be used by DFID and others to improve other programmes.

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Engage others Assessment Indicator Awareness Working Practitioner Expert Identify and assess impact of political and institutional issues

Has basic understanding of the interests and potential impacts of different stakeholders on a project outcome.

Can assess the interests and potential impacts of different stakeholders on project outcome, and on assumptions in the project theory of change.

Uses tools (e.g. political economy analysis) to assess the interests/ incentives affecting a project.

Identifies opportunities to convene different interest groups in support of project outcome/programme objectives.

Has strategic understanding of political and institutional forces at play, and applies during portfolio level planning and review cycles, and to the design, monitoring and implementation of projects.

Engages different stakeholders with different interests

Understands who the key internal and external stakeholders are; actively works with them and seeks their support as required to manage and address project and related communication needs.

Maintains stakeholder relationships and communication channels professionally and effectively.

Understands basic principles of, and has some experience using successful influencing and negotiating skills to meet delivery needs.

Effectively presents strategic project/programme /sectoral policies to others (partner governments; donors, NGOs, x- HMG).

Manages more complex stakeholder/delivery partner relationships, understanding the different perspectives, incentives and interests at play.

Can find, influence and negotiate solutions to problems that support project and/or broader programme, strategic objectives.

Engages confidently on complex programme/portfolio/sectoral objectives with senior level official(s) and political stakeholders in DFID and from other partners and Governments, donors, NGOs, other parts of HMG, multilaterals and international institutions.

Maintains effective relationships with other government departments to ensure coherent HMG approaches.

Steers senior stakeholders through complex negotiations to successful conclusions for HMG ODA objectives.

Communicate complex messages

Ensures, in line with role, management information is managed effectively to inform accountability, communications, and transparency commitments.

Demonstrates oral and written communications skills as required by role.

Able to explain what a project is trying to do, how and why.

Seeks expert advice to influence strategic issues or direction which is outside level of competence.

Able to communicate a project’s objectives, activities and achievements clearly to a variety of audiences.

Contributes effectively to project related briefing, Parliamentary Questions, Ministerial Correspondence, public enquiries, freedom of information requests etc.

Identifies achievements and stories for public communications on project.

Confidently, honestly, clearly and concisely informs/ influences internal investment decisions, including through high quality briefing/ business case development and reporting/ reviews.

Works with Communications specialists to develop positive stories; works openly and honestly with Communications specialists when things go wrong.

Able to anticipate potential criticism of a programme, and manage potential reputational risks through a strategic approach to external communication.

Advises on communications strategy for a programme, based on an understanding of stakeholder interests and sensitivities.

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Programme leadership Assessment Indicator Awareness Working Practitioner Expert Ability to lead others Works effectively as a team

member. Understands their own role Actively supports others to fulfil

their roles, including programme leaders.

Upholds DFID and Civil Service values, and ethical standards

Communicates the vision for, and strategic objectives of the project.

Understands and manages the project’s governance structure and decision making process according to role.

Understands and clearly communicates project performance issues including successes and what is not working.

Provides leadership, direction, drive and support to projects and/or programme teams, in line with wider DFID strategic objectives and leadership best practice.

Owns strategic vision for their project or programme, depending on role.

Upholds and role models DFID and Civil Service values, and ethical standards.

Inspires team(s) and delivery partners to engage with a clear, compelling vision for the programme or portfolio.

Role models and promotes a strong culture of accountability, responsibility, and compliance in their programmes, across the Business Unit portfolio.

Leads and supports their team(s) through significant changes, shows resilience and promotes new ways of working, innovation and/or new objectives as required.

Ability to drive results

Understands the vision and rationale for the programme.

Understands how their programme contributes to their Business Unit’s and DFID’s strategic objectives.

Flags and escalates any areas for improvement or concerns in a timely manner to the programme leader.

Proposes ideas and solutions to strengthen the project and/or how the team is managed and led.

Escalates issues when required, not waiting for formal review points in the programme cycle.

Responsible for the timely delivery of outcomes and management quality of their own project or programme.

Designs and leads the governance and decision making processes of the project or programme.

Is objective and honest about progress against results, quickly resolves, corrects or escalates project/team issues as required.

Builds a culture where it is safe to challenge; seeks and listens to feedback and challenge to assure the quality of the project/programme.

Willing to constructively challenge the status quo; question, improve how things are done.

Ability to manage self and others

Understands what they are capable of and where they require more support and development in programme delivery.

Takes responsibility for the quality of their own work.

Acts in a fair, inclusive and respectful way

Aware of what constitutes breaches in DFID and Civil Service values and ethical standards, and can escalate.

Provides constructive feedback to others, in a timely manner, deals with inappropriate behaviour, respecting diversity and equality of colleagues.

Is open and candid about own strengths and areas for development and where support from colleagues might be required.

Displays an awareness of the wider impact of their actions.

Can handle concerns about breaches in DFID/Civil Service values and ethical standards.

Ensures colleagues and stakeholders have a clear understanding of objectives and timelines.

Empowers others to enable delivery. Fosters a culture of openness and

honesty about challenges. Quick to recognise good performance. Ensures team capability gaps are

addressed as required. Champions and values difference,

diversity and inclusion ensuring fairness and opportunity for all.

Is honest and clear about what is open for negotiation/change and what has already been decided.

Where required, highlight and remedy concerns about breaches in DFID values and ethical standards within their programmes, business units and in the wider organisation.

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3. Role Profiles

C1 Assistant Programme Officer Competence Summary

1.Awareness 2.Working 3.Practitioner 4.Expert Managing programme cycle X Managing Risk & Issues X Financial Management X Commercial Acumen X Monitor, Learn & Adapt X Engages Others X Programme Leadership X

Role purpose: to provide administrative support to a programme team or teams, and to the team’s projects or a selection of the team’s projects depending on team portfolio size. Will generally provide support to Programme Officers, and on cross-team issues to the Deputy Programme Manager, Advisers and Team Leader. Generally works within standard procedures and rules and has a basic understanding of DFID’s systems and processes.

Main programme delivery responsibilities can include: Administrative and logistical support to programme teams

• Arrange internal and external meetings. • Support general team activities as required, for example: maintains teamsite, take minutes of team

meetings, arrange induction schedules and packs for new staff.

Programme support • Proactively follow up with suppliers/partners to ensure invoices are received on time. Keep track of

project, contract, Accountable Grant, Memorandum of Understanding deadlines and payment milestones.

• Scrutinise and promptly process invoices in line with DFID requirements, ensuring adherence to DFID financial management rules and principles and deadlines.

• Maintain accurate and up to date financial records which demonstrate a clear audit trail for all DFID financial transfers.

• As an inputter, ensures their data/information in ARIES / AMP is accurate, comprehensive and updated in a timely manner.

• Ensure all necessary information relating to their support of programmes and teams is saved promptly in Vault.

• Ensure transparency requirements are met. • Make logistical arrangements for monitoring/field visits as required. • Support procurement, including completing Procurement Initiation Documents and raising requisitions

in ARIES. • Draft routine and straight forward project communications.

Other responsibilities: is expected to participate in project exercises, including but not restricted to: Annual Reviews, Project Completion Reviews, Due Diligence Assessments, Asset Spot Checks and Risk Assessments. Individuals may be assigned additional corporate responsibilities for team and/or business unit according to capability and workload considerations.

Skills and experience expected: will meet the programme delivery competence proficiencies identified for a C1 Assistant Programme Officer. Will actively seek opportunities to learn and develop whilst at the same time delivering high quality support to colleagues.

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B2 Programme Officer Competence Summary

1.Awareness 2.Working 3.Practitioner 4.Expert Managing programme cycle X Managing Risk & Issues X Financial Management X Commercial Acumen X Monitor, Learn & Adapt X Engages Others X Programme Leadership X

Role purpose: acts as a Project Officer on a number of non-complex projects, working with the Lead and other Advisers and SRO. May act as Project Officer on fewer but larger, more complex projects. Adheres to and can advise colleagues on Smart Rules compliance and standards on straightforward issues although may need advice/guidance on more complex issues. Supports broader programme team through provision of information from their own projects, and may manage one or more team-wide tools. Understands the distinction between programme management and advisory roles and seeks input accordingly.

Main programme delivery responsibilities can include: As Project Officer3: is responsible for managing a project’s delivery cycle:

Design Phase: contributes to the development of a Business Proposition/Business Case and Log

Frame, providing or co-ordinating first drafts of financial, management and commercial cases, drawing on Commercial Delivery Managers and Finance Experts (Business Partners, Managers or Analysts) as required; manages routine Due Diligence exercises where required and with support of Deputy Programme Manager (DPMs)/Programme Managers (PMs); contributes to development of risk analysis, leads development of project Delivery Plan; ensures ARIES and AMP have correct project data; manages the design schedule ensuring project team stays on track.

Mobilisation Phase: manages project team’s commercial engagement with DFID Procurement

Specialists, ensuring key commercial process milestones met to time. Uses a commercial mind-set and understanding of project budget drivers to support achievement of value for money (VFM) from planned contract/funding agreement. Will be able to carry out first drafts of straight forward terms of reference (ToRs), initiate amendments for contracts/agreements where required. Will ensure key partner/supplier deliverables are tracked on the project Delivery Plan. Will ensure asset registers are established and financial budgets and in-year forecasts loaded onto system. Will ensure all project data on system is up to date.

Implementation Phase: Specific responsibilities include, but not restricted to:

• Delivery Plan: maintains the Project Delivery Plan and uses it to prompt project team actions in

good time.

• Risk Management: will contribute to development of project risk strategies, focusing on mitigating the risk of fraud and corruption. Will maintain project risk register, proactively highlighting and escalating concerns, risks and issues to appropriate level. Will construct straight forward delivery chain map showing key issues and risks at each stage of DFID funds’ movement through the delivery chain. Will ensure follow up on Due Diligence issues or actions as required.

• Financial Management: proactively manage financial forecasts, working closely with spending

partners, advisers, SROs to create realistic and up to date spending forecasts over the Financial Year, and accurate budget profiling for outer years, ensuring these are regularly updated in ARIES. Will provide accurate financial information to team and business unit as required. Will review partner/supplier financial reports checking for variances and VFM issues. Will manage audit requirements, ensuring reports and/or Annual Audited Statements are received, reviewed

3 See 1.12 above where allocation of Project Officer responsibilities by grade is explained.

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and findings pro-actively followed up. Ensures all requisitions, purchase orders and receipting/payment of invoices meet DFID’s financial rules, and are linked to agreed project milestones and/or partner or supplier reporting obligations.

• Partner & Supplier Management: will develop and maintain strong, ethical relationships with

project partners and suppliers, being the recognised first point of contact on project management issues (financial, commercial, general project management) and refers technical or policy issues to advisers/SROs. Will organise partner/supplier meetings/calls as necessary. Will review partner/supplier reporting, identifying areas of concern to project team and recommending remedial actions where required. Can represent DFID in project discussions on pre-agreed (with Adviser/SRO) areas or subjects.

• Project Monitoring: will contribute to Annual Reviews/Project Completion Review (PCR) exercises,

including contributing to drafts of ToRs and final reports depending on experience and as agreed within project team. Will organise field visits and ensure findings feed back into project Delivery Plan. Will organise spot checks on project assets as required.

Closure Phase: in line with Smart Rules will manage/ensure a PCR is completed by agreed PCR lead within the prescribed time; ensuring team members have been consulted. Will ensure that all outstanding payments are made, and closure actions are taken, within the prescribed period set down in Smart Rules.

Other responsibilities could include: can contribute to/find information for briefing and high level papers, including for draft ministerial submissions and replies to Parliamentary Questions and MPs’ letters. Expected to have basic understanding of the technical concepts of projects they work on and collaborates effectively with Advisers on technical issues. Individual may have line management responsibility for C1s. Expected to support project management learning and development within team, and across business unit, by sharing their experiences and skills. May be assigned additional corporate responsibilities for team and/or business unit according to capability and workload considerations, including although not confined to: ARIES Super User; Team-site administration; Information Manager etc. Individual may have delegated authority to issue contracts up to the Official Journal of the EU (OJEU) limit.

Skills and experience expected: will meet, or will demonstrate the potential to meet quickly the programme delivery competence proficiencies identified for a B2 Programme Officer. Can support less experienced staff by helping them navigate Smart Rules, and by explaining DFID financial systems, DFID commercial processes and DFID’s risk framework.

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B1 Deputy Programme Manager Competence Summary

1.Awareness 2.Working 3.Practitioner 4.Expert Managing programme cycle X Managing Risk & Issues X Financial Management X Commercial Acumen X Monitor, Learn & Adapt X Engages Others X Programme Leadership X

Role purpose: to support the management of a team’s portfolio, in partnership with the Team leader and relevant SROs, as well as acting as Project Officer on more complex and/or higher value projects, partnering the Lead Adviser and involving other Advisers. May be a Project Officer solely on a higher value, more complex project; and/or a DFID Major Project. Adheres to and can advise colleagues on Smart Rules compliance and standards. Will support/manage other colleagues, as required.

Main programme delivery responsibilities can include: Team Portfolio Management: working to a Team Leader/Programme Manager ensures strong financial management of team’s portfolio; compliance with key DFID requirements and standards across team portfolio, including but not confined to: UK legislation, transparency; risk management; audit and performance milestones; Annual Reviews and Project Completion Reviews (PCRs). Advises team members on programme delivery issues connected to Smart Rules and the Smart Guides, including on aid instruments and agreements, and DFID’s commercial processes and tools. As Project Officer4: is responsible for managing a project’s delivery cycle:

Design Phase: contributes to the development of a Business Proposition/Business Case and Log

Frame, providing inputs into first drafts of financial, management and commercial cases, drawing on Commercial Delivery Managers and Financial Experts (Business Partners, Managers or Analysts) as required; liaises with Advisers to ensure strategic and appraisal cases are developed; leads Due Diligence exercises (both routine and more complex) where required; contributes to development of risk analysis, leads development of project Delivery Plan; ensures ARIES and AMP have correct project data; manages the design schedule ensuring other Advisers are consulted as required and project team stays on track.

Mobilisation Phase: manages project team’s commercial engagement, ensuring key commercial

process milestones met to time. Uses a commercial mind-set and understanding of project budget drivers to support achievement of value for money (VFM) from planned contract/funding agreement. Will be able to carry out first drafts of terms of reference (ToRs), introduce amendments for contracts/agreements where required. Will ensure key partner/supplier deliverables are tracked on the project Delivery Plan. Will ensure asset registers are established and financial budgets and in-year forecasts loaded onto system. Will ensure all project data on system is up to date.

Implementation Phase: Specific responsibilities include, but not restricted to:

• Delivery Plan: maintains the Project Delivery Plan and uses it to prompt project team actions in good

time.

• Risk Management: will contribute to development of project risk strategies, focusing on mitigating the risk of fraud and corruption and ensuring other risks are addressed in liaison with project team and others as required. Will maintain project risk register, proactively highlighting and escalating concerns, risks and issues to appropriate level. Will construct delivery chain map showing key issues and risks at each stage of funds movement. Will ensure follow up on Due Diligence issues or actions as required.

4 See 1.12 above where allocation of Project Officer responsibilities by grade is explained.

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• Financial Management: proactively manage financial forecasts, working closely with spending

partners, Advisers and SROs to create realistic and up to date spending forecasts over the Financial Year, and accurate budget profiling for outer years, ensure these are regularly updated in ARIES. Will provide accurate financial information to team and business unit as required. Will review partner/supplier financial reports checking for variances and VFM issues. Will manage audit requirements, ensuring reports and/or Annual Audited Statements are received, reviewed and findings pro-actively followed up. Ensures all requisitions, purchase orders and receipting/payment of invoices meet DFID’s financial rules, and are linked to agreed project milestones and/or partner or supplier reporting obligations.

• Partner & Supplier Management: will develop and maintain strong relationships with partners and suppliers, being the recognised first point of contact on project management issues (financial, commercial, general project management) and refers technical and policy issues to Advisers/SROs appropriately. Will organise partner/supplier meetings/calls as necessary. Will review partner/supplier reporting, identifying areas of concern to project team and recommending remedial actions where required. Can represent DFID in project discussions within agreed scope of authority.

• Project Monitoring: will contribute to/lead Annual Reviews/Project Completion Review exercises, including drafting all or portions of ToRs and final reports, as agreed within project team. Will organise field visits and ensure findings feed back into project Delivery Plan. Will organise spot checks on project assets as required.

Closure Phase: in line with Smart Rules will manage submission of Project Completion Review within

the prescribed time, consulting Advisers and other team members. Will ensure that all outstanding payments are made and closure actions taken within prescribed period set down in Smart Rules.

Other responsibilities could include: can contribute information to and compile high quality first drafts of briefing and high level papers, including drafts for ministerial submissions and replies to Parliamentary Questions and MPs’ letters. Expected to understand the fundamental technical content of projects they work on and collaborates effectively with Advisers on technical issues. May have line management responsibility for B2s/C1s. Expected to support project management learning and development within team, and across business unit. May be assigned additional corporate responsibilities for business unit according to capability and workload considerations, including although not confined to: ARIES Super User; Risk Champion/Lead; Fraud Liaison Officer; Communications’ Lead etc. May have delegated procurement authority to issue contracts up to the Official Journal of the EU OJEU limit.

Skills and experience expected: will meet, or will demonstrate the potential to meet quickly the programme delivery competence proficiencies identified for a B1 Deputy Programme Manager. Experience of managing DFID projects or similar. Can coach and mentor staff towards working level proficiencies in programme financial management; risk management, project management and commercial best practice.

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A2L Programme Manager (PM)

Competence Summary

1.Awareness 2.Working 3.Practitioner 4.Expert Managing programme cycle X Managing Risk & Issues X Financial Management X Commercial Acumen X Monitor, Learn & Adapt X Engages Others X Programme Leadership X

Role purpose: manages a straightforward team portfolio, in partnership with the Team Leader (TLs) and relevant SROs (where the PM and SRO are not mutually exclusive), as well as providing direct project management support to complex/high value projects as Project Officer or providing project management advice and leadership at critical junctures of the Programme Delivery Cycle on colleagues’ projects, e.g. design and mobilisation or closure phases. Acts as an intelligent customer and commissioner of advisory inputs as required. Will provide support to the development of programme delivery capability of junior colleagues across a business unit. May act as a Project Officer on one or more high value, highly complex projects and/or DFID Major Project(s).

Main programme delivery responsibilities can include: Team Portfolio Management: Provide high quality oversight and management of critical, complex cross-team issues - for example

results, financial aid flows, finance and risk (see below). Ensure strong financial performance of larger, more complex portfolio with variance of less than 5%

overall a month, through: collating and producing financial reports for TLs, quality assuring and interrogating forecasts, and troubleshooting for programmes with poor financial forecasting track records.

Ensure and assist with compliance at a team level with key DFID requirements e.g. transparency,

corporate reporting, receiving audit reports on time, by developing and implementing well designed systems to minimise burden on staff.

Support the Team Leader in overseeing the team work-plan, including synchronising key portfolio

milestones to avoid bottlenecks e.g. timing of Annual Reviews over the year, sequencing advisory inputs, monitoring visits etc.

Lead on risk management for the team. Provide advisory support on Smart Rules, compliance issues and DFID procedures and practices to

programme managers and advisers in team / office. Quality assures documents and corporate returns, interrogating information and challenging SROs as

appropriate.

Will ordinarily act as Line Manager or Quality Assurer for Band B programme management colleagues in team.

As Project Officer5 on one or more complex/high value projects: is responsible for managing a project’s delivery cycle: Design Phase: can lead or contributes to the development of a Business Proposition/

Business Case and Log Frame, leading development of financial, management and commercial cases, drawing on Commercial Delivery Managers and Financial Experts (Business partners, Managers or

5 See 1.12 above where allocation of Project Officer responsibilities by grade is explained.

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Analysts) as required, and collaborates with advisers on strategic and appraisal cases; leads Due Diligence exercises where required; contributes to development of risk analysis, leads development of project Delivery Plan; ensures ARIES and AMP have correct project data; manages the design schedule ensuring project team stays on track.

Mobilisation Phase: can lead, in partnership with Commercial Delivery Manager, project team’s

commercial engagement, ensuring key commercial process milestones met to time. Uses a commercial mind-set and understanding of project budget drivers to support achievement of value for money (VFM from planned contract/funding agreement. Will be able to produce first drafts of, or quality assure terms of reference (ToRs), institute amendments for contracts/agreements where required. Will ensure key partner/supplier deliverables are tracked on the project Delivery Plan. Will ensure asset registers are established and financial budgets and in-year forecasts loaded onto system. Will ensure all project data on system is up to date.

Implementation Phase: Specific responsibilities include, but not restricted to:

• Delivery Plan: maintains/ensures the project Delivery Plan is up to date, and uses it to prompt project team actions in good time.

• Risk Management: will coordinate development of project risk strategies, focusing on mitigating the risk of fraud and corruption and ensuring other risks are addressed in liaison with project team and others as required. Will maintain/ensure project risk register is up to date, proactively highlighting and escalating concerns, risks and issues to appropriate level. Will construct delivery chain map showing key issues and risks at each stage of funds movement. Will ensure follow up on Due Diligence issues or actions as required.

• Financial Management: will proactively manage financial forecasts, working closely with spending partners, Advisers and SROs to create realistic and up to date spending forecasts over the Financial Year, and accurate budget profiling for outer years. Will ensure these forecasts are regularly updated in ARIES. Will provide accurate financial information to team and business unit as required. Will review partner/supplier financial reports checking for variances and VFM issues. Will manage audit requirements, ensuring reports and/or Annual Audited Statements are received, reviewed and findings pro-actively followed up. Ensures all requisitions, purchase orders and receipting/payment of invoices meet DFID’s financial rules, and are linked to agreed project milestones and partner or supplier reporting obligations.

• Partner & Supplier Management: will develop and maintain strong relationships with partners and suppliers, being the recognised first point of contact on project management issues (financial, commercial, general project management). Anticipates and refers technical issues to Advisers, collaborating to resolve these. Will organise partner/supplier meetings/calls as necessary. Will review partner/supplier reporting, identifying areas of concern to project team and recommending remedial actions where required. Can represent DFID in project discussions.

• Project Monitoring: will contribute to/lead Annual Reviews/PCR exercises, including drafting all or portions of ToRs and final reports, as agreed within project team. Will ensure field visits take place and ensure findings feed back into project Delivery Plan. Will organise spot checks on project assets as required.

Closure Phase: in line with Smart Rules will manage/ensure a Project Completion Review is completed

within the prescribed time. Will ensure that all outstanding payments are made and closure actions taken within prescribed period set down in Smart Rules.

Other Responsibilities could include: can produce high quality first drafts of briefing and high level

papers, including drafts for ministerial submissions and replies to parliamentary questions and MPs’ letters. Understands the technical concepts of projects they work on, collaborating with Advisers to optimise delivery, and understands the political economy issues that affect projects delivery. May take on additional corporate responsibilities for and leadership business unit according to capability and workload considerations, including although not confined to: risk champion; project management capability, communications (press & public affairs, briefing, official visits/events co-ordination); lead production of

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high level programme management dashboard for business unit’s leadership/senior management team, etc. May contribute to planning and policy.

Skills and Experience Expected: will meet, or will demonstrate the potential to meet quickly the programme delivery competence proficiencies identified for an A2L Programme Manager. Experience of managing DFID projects or similar. Can coach and mentor staff towards practitioner level capabilities e.g. programme financial management; risk management, project management and commercial acumen.

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A2/A1 Programme Manager

Competence Summary

1.Awareness 2.Working 3.Practitioner 4.Expert Managing programme cycle X Managing Risk & Issues X Financial Management X Commercial Acumen X Monitor, Learn & Adapt X Engages Others X X (A1)

Programme Leadership X X (A1)

Role purpose: A2/A1 roles will vary across business units but the expected programme delivery capabilities should remain the same. A2/1 Band Programme Managers will ensure that best practice and compliance are applied across DFID’s management of a programme or country portfolio. Grading of posts will depend on the complexity and degree of responsibility and related policy engagement associated with each post. Typically Programme Managers can be tasked to fill Team Leader roles, cross-office/departmental programme delivery and leadership roles, Deputy Head posts or a combination of these. Much will depend on the operating environment of the business unit, the size of its portfolio and the degree of complexity and risk attached to the portfolio. Typically A1s will be expected to lead programme and portfolio engagement at the higher, more strategic levels of a business unit’s operation, and/or in DFID Major Projects (although this does not in any way limit A2s demonstrating similar levels of engagement).

Main programme delivery responsibilities can include: Programme Leadership and Engagement:

Provide high quality oversight and management of critical, complex cross-team issues - for example

results, financial aid flows, finance, risk;

Lead strategic development of programme or portfolio, matching HMG development priorities to needs in sector or country;

Manages advisory inputs to ensure programme delivery is evidence-based and effective;

Create/sustain an environment of accountability and empowerment by supporting and challenging

colleagues to deliver high quality projects;

Create/sustain an environment where it is safe to have honest conversations when things don’t go to plan, where staff feel responsible for their actions and feel they can contribute to the development of solutions and new ideas, then drive implementation once decisions are taken;

Build programme delivery capability of delivery staff through appropriate training, and coaching regimes;

Lead and organise development of projects and Business Cases, as required, and ensuring appropriate project governance processes in place;

Represent and pursue programme and/or portfolio objectives at appropriate level with external partners

and governments either bilaterally or multilaterally.

Project, Risk, Financial and Commercial Management:

Ensure compliance at a team or business unit level with key DFID programme requirements e.g. Smart Rules, financial and commercial management; transparency, corporate reporting, audit recommendations;

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Oversee teams’ work plans, including synchronising key portfolio milestones to ensure they are delivered to time and standards expected;

Lead and organise development of projects and Business Cases as required;

Identifies and manages advisory inputs to support high quality, evidence-based project and programme design and delivery;

Identify and implement improvements to programme management processes across business unit;

adapts implementation plans to deliver results;

Manages available resources optimally, striking balance between economy, efficiency and effectiveness;

Sets highest standards for risk management and due diligence for the team / office, defining risk appetite and advising/quality assuring appropriate risk mitigation strategies and approaches, and challenging optimism bias. Ensures processes in place to manage across team(s)/business unit as required;

Ensure strong financial performance across a team programme or business unit portfolio with strong

forecasting performance and safeguarding of DFID funds proactively using preventative controls;

Ensure commercial best practice applied to programme cycle, and that processes are in place to: engage delivery partners systematically and collectively on value for money (VFM) and risk related issues (including the sharing of lessons); ensure that project supply chain mapping occurs as a matter of course, and that delivery partners are motivated and challenged to improve performance where required;

Creates/maintains the space for systematic lesson learning across programme/portfolio and feeds back into business (business unit, DFID and partners as necessary).

Other responsibilities could include, but not necessarily be confined to: deputising for head of business unit during their absence, leading thematic, donor or sub-national relationships or partnerships; acting as SRO on one or more projects; leading cross-business unit work on VFM, results and evidence, commercial improvement and anti-corruption/fraud strategies, external commissions and audits, corporate and financial returns etc.; leading on specific corporate business areas such as staffing; local HR policies, security, 1 HMG engagement etc.; leading corporate communications, including policy co-ordination, briefing, Parliamentary Questions, visits management etc.

Skills and experience expected: will meet, or will demonstrate the potential to meet quickly the programme delivery capability proficiencies identified for an A2/A1 Programme Manager. Can coach and mentor staff to practitioner level capabilities in programme financial management; risk management, project management and commercial acumen. Demonstrates the experience and leadership qualities commensurate to the level of responsibility of the post.

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A Band Advisers’ Programme Delivery Competence Summary for A Band Advisers

1.Awareness 2.Working 3.Practitioner 4.Expert Managing programme cycle

Managing Risk & Issues

Financial Management

Commercial Acumen

Monitor, Learn & Adapt

Engages Others

Programme Leadership

Delivery role purpose: DFID Advisers help identify, generate and utilise the best evidence, knowledge, technology and ideas to improve the effectiveness and impact of the UK’s aid programme. Advisers have key roles in programme design, management and evaluation, and in influencing the broader development and implementation of policy. There are 13 professional advisory cadres in DFID with their own set of professional competences and Continuous Professional Development requirements. Where relevant they are also guided by the Policy Profession competences. Typically each project has a Lead Adviser as well as contributing cross-cutting Advisers as required by a project’s content and phases. This profile identifies the critical programme delivery responsibilities expected of a Lead Adviser and draws on the Shared Advisory Competences. This profile sets out the delivery responsibilities expected at each grade. Main programme delivery responsibilities can include: A2L Lead Advisers will meet the key competency areas and be able to provide sound technical advice

in their professional area. They will be able to design, and lead implementation of clearly defined projects, recognising the resource implications of different delivery options, and stakeholder engagement with lower levels of risk and complexity. They will draw on the expertise of others as required.

A2 Lead Advisers should be able to lead project and programme design, and oversight, and be able to operate technically at country and or departmental level independently. They should be aware of the relevant evidence in their technical area and be able to provide sound technical advice and support and lead technical discussions. They should understand the resource implications of different delivery options and work with programme managers, commercial and finance experts, to optimise value for money. This will include some level of setting direction and technical strategic leadership not just narrow technical guidance.

A1 Lead Advisers are expected to be able to represent DFID in technical discussions at the highest levels. Be able to design, manage and oversee the most complex, high risk and high value projects and advise on complex technical issues, again with regard to resource implications. They will be able to apply their leadership capabilities and engage stakeholders at the highest levels, both in their technical work and more broadly in pursuit of portfolio/business plan objectives.

All Lead Advisers should, at their level of responsibility, be able to: • meet the key delivery competency areas for their role and be able to provide sound technical advice

in their professional area;

A Band Adviser Range

A Band Advisers Range

A Band Advisers Range

A Band Advisers

A Band Advisers Range

A Band Advisers Range

A Band Adviser Range

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• design, and lead implementation of clearly defined projects, and stakeholder engagement with lower to higher levels of risk and complexity in line with their role;

• know when to draw on the expertise of others as required during design, mobilisation, implementation and closure, demonstrating an understanding of resource implications and value for money;

• support their projects’ financial, risk and commercial management, drawing on their knowledge of partners’ capacity, project activities and of the context and political environment in which their projects operate;

• establish robust monitoring and evaluation processes for their projects, ensuring flexible and adaptive course correction as relevant;

• access, critically appraise and use evidence, including understanding of a range of qualitative and quantitative research methodologies including the application of basic statistical methods;

• interpret, use and present data and evidence in defining policy and practice; • lead technical and policy relationship management with project stakeholders; • interrogate and navigate DFID systems, including on ARIES (receipting and approvals where

required), AMP and Vault, and be able to locate project management information online; and • understands the Smart Rules and DFID’s compliance requirements.

At all levels, Advisers should demonstrate an understanding of the Smart Rules, and collaborate effectively with programme management staff at all levels, providing advice and support. Other responsibilities could include, but not necessarily be confined to: leading thematic, sectoral, donor or sub-national relationships, co-ordinating joint action of development partners; acting as SRO on one or more projects; acting as a DFID Team Leader; leading cross-business unit work, for example on political/strategic risk, value for money, results, evidence, anti-corruption/fraud strategies, poverty assessments, etc., and contributing to corporate business, including policy co-ordination, briefing, Parliamentary Questions, VIP visits’ management etc.

Skills and experience expected: in addition to their professional cadre competences that advisers will need to meet; they will need to demonstrate the range of programme delivery competence proficiencies identified for A Band Advisers, or the potential to meet them relatively quickly. Typically, more senior Advisers engaged in programme delivery will operate at the higher end of the range of competences. They will demonstrate the leadership qualities commensurate to the level of responsibility associated with their posts, which may apply to a broader set of programmes as well as to sector wide engagement.

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Senior Responsible Owners’ (SROs) Programme Delivery

Competence Summary for SROs

1.Awareness 2.Working 3.Practitioner 4.Expert Managing programme cycle Managing Risk & Issues Financial Management Commercial Acumen Monitor, Learn & Adapt Engages Others

Programme Leadership X

Delivery Role Purpose: The Senior Responsible Owner is the named individual responsible for the vision and overall performance of a DFID project, providing leadership throughout the programme life cycle. They are normally drawn from either advisory cadres or from those working in programme management. Their accountabilities and responsibilities are set out below. SROs are normally appointed by a Head of Department/Office. The capabilities of the nominated individual’s core delivery role, e.g. advisory or programme management, will inform the appointment. The appointment will depend on the complexity of a specific project, including its financial value and the degree of risk associated with the specific project for which the SRO will be responsible. While a range of competences may be expected of an SRO, at a minimum DFID expects sufficient knowledge to understand the right questions to ask at each phase of the programme cycle. In appointing SROs, Heads of Office/Department (HoO/D) will want to satisfy themselves that the right levels of capabilities are in place within a project team commensurate to the challenge presented in delivering a particular project.

Main accountabilities Include: Delivery of DFID’s objectives as set out in the project’s Business Case and Delivery Plan;

Adapting projects to changing contexts, based on learning and feedback;

Compliance with the Smart Rules (with respect to design, mobilisation, delivery & closure of

programmes);

Being objective about areas of under-performance, taking action to improve, or making recommendations to restructure or close a project.

The SRO is normally accountable to the Head of Office / Department (or delegate). Accountability and performance of the SRO is addressed through the PMF. Heads of Office / Department are accountable to the Permanent Secretary and Secretary of State through their management chain. Main SRO responsibilities include: Owning the vision for the programme and providing overall direction throughout the programme cycle.

Being realistic regarding the results, risks, costs, value for money and timings in programme design and

delivery (for which you are accountable to HoO/D.

Ensuring that the programme is sufficiently resourced to enable effective and efficient delivery.

Engagement with delivery partners, government partners, communities, and other stakeholders to ensure changing local contexts drive delivery decisions.

Monitoring the delivery of objectives and results, and ensuring recommendations from reviews are agreed and implemented.

Active management of existing, new or emerging risks and escalating to senior management / ministers when risk tolerances are exceeded.

Competence range for SROs

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Ensure professional handover of role of SRO when moving posts.

Other responsibilities: the SRO role is primarily a project leadership responsibility usually assigned to either an advisory or programme management position. As such those positions will also carry responsibilities associated with their core roles.

Skills and experience expected: in addition to their core role’s competences they will demonstrate the required leadership qualities commensurate to their level of responsibility and seniority.

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4. Self-assessment and learning and development resources (Internal use only)

4.1 The purpose of the individual programme delivery capability self-assessment tool is to allow you to assess how you perform against each competence for your particular role. This in turn will allow you to identify areas capability gaps which can be used to inform the learning and development discussion you have with your line manager. 4.2 It is important that you are honest when completing the self-assessment. The results will not be used to assess your performance nor your potential talent. Rather, the results of the individual self-assessment are there to help you to identify potential capability gaps which you can address through a variety of 70-20-10 learning and development resources. Being honest in your assessment means that you can help yourself to strengthen your skills and therefore do better in your current job; or strengthen your skills so you are better equipped for future jobs. How to use the tool 4.3 The self-assessment tool is excel-based. Follow the steps below to complete the assessment.

Open the capability framework document so you can refer to each competence matrix when completing the self-assessment tool. The April 2018 PDCF version conveniently maps each self-assessment indicator against the relevant competence so that you can easily identify what is expected at each proficiency level.

Save the self-assessment tool to your computer. Go to the Profile tab and enter your name in the name field. Use the drop down menu to select your grade/role. Indicate if you are an SRO. Scroll down to the competence assessment table. For each statement enter the proficiency level (between 1-4) that you think best describes

your ability to perform that task. Refer back to the PDCF to be clear on what you should be able to do at each proficiency level for each competence and indicator.

Once you have rated each statement, scroll back up to the top of the sheet. The spider diagram will show you how you have assessed your current skills/knowledge

against the benchmark for the role you selected. (If you have ticked the SRO box, you will also see how your skills match against the benchmark proficiency levels for an SRO).

What do the results show? 4.4 Once you have completed your self-assessment you will be presented with a spider diagram that shows you at a glance your own assessment against the benchmark for the role you selected. 4.5 The diagram will show you whether you exceed or are consistent with the proficiency levels you are expected to demonstrate for the role/grade you selected. Where you have scored yourself below the benchmark, then this is a capability gap that you may wish to focus your development on. 4.6 If you want to see what’s required for higher grades, simply change the grade on the drop down menu at the top of the sheet. Learning and Development Map 4.7 Once you have completed your self-assessment and discussed the results with your line manager, you should have a better idea of what are your learning and development needs. Now you are ready to think about how to meet these needs and future career aspirations.

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4.8 In DFID we follow the 70-20-10 model of learning. This means:

70% of the most effective workplace learning is learning-by-doing or experience

20% is learning from other people

Only 10% is what we traditionally think of as learning, which is formal classroom-learning or e-learning through a specific course.

4.9 While the programme delivery capability learning and development offer does include formal face-to-face learning, emphasis is for the main part on development to take place ‘on the job’ in roles with objectives that are stretching. Charles Jennings’ video explains how the 70/20/10 learning guideline can provide a new way to think about your learning.

4.10 The learning and development map provides a breakdown of existing opportunities broken down by competence and proficiency level. Work is on-going to develop more learning opportunities.