framework and toolkit for un coherence, effectiveness and relevance december 2008

Framework and Toolkit for UN Coherence, Effectiveness and Relevance

December 2008

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CONTENTS OF THIS DOCUMENT

Purpose of the Framework and Toolkit

Framework for UN Coherence, Effectiveness and Relevance

Toolkit for UN Coherence, Effectiveness and Relevance

Main activities by step

Checklist by main activity and step

Detailed activities, tools and examples by main activity and step

OBJECTIVES OF INCREASED UN COHERENCE, EFFECTIVENESS AND RELEVANCE

The most important results which we aspire to through increased UN Coherence, Effectiveness and Relevance include:

•Improved national ownership and participatory approaches

•Increased flexibility to respond to the operational and policy needs of all countries

•Maximized accountability for achieving impact

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PURPOSE OF THE FRAMEWORK AND TOOLKIT FOR INCREASED COHERENCE, EFFECTIVENESS AND RELEVANCE

• Provide a comprehensive framework that can guide countries through the key steps necessary for creating a more coherent, effective and relevant UN system and implementing the change effort successfully

• Make tools available that can be used by countries on an à la carte basis – including activity plans & descriptions, templates, sample documents, etc. – drawn from a combination of existing tools, e.g., those used in the UNDAF process, and new tools

• Help those supporting countries aiming to enhance coherence, effectiveness and relevance of the UN system – successors to the Global Change Management Support Team – in their work in the future

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FRAMEWORK AND TOOLKIT FOR UN COHERENCE, EFFECTIVENESS AND RELEVANCE: FREQUENTLY ASKED QUESTIONS

•The Framework and Toolkit for UN Coherence, Effectiveness and Relevance is an integrated approach that merges programme and non programme plans into a single integrated strategy for the UN system in the country

•In addition, the strategy incorporates structured activities to change organizational structure, culture, skills and leadership in ways that will facilitate delivery on the strategy

How does this approach differ from existing approaches?

What is NOT different this approach?

What are the main benefits of this approach?

• A clearly articulated, comprehensive approach and structured approach that results in:–A n integrated strategy for the UN system in a country, covering both programme and

non programme activities–An organization designed to deliver on this strategy, including appropriate structure,

culture, skills and leadership

• The UNDAF or common programming tool component of UN Coherence, Effectiveness and Relevance uses the existing UNDAF process and guidelines

• Work streams on Common services and harmonized business practices, common premises (where applicable), joint communication, common budgetary framework, joint resource mobilization all use ideas and tools from existing guidelines

• Existing structures (e.g., UNCT, OMT, etc.) are in many cases used for planning and implementation

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PRINCIPLES GUIDING DEVELOPMENT OF THE TOOLKIT

• Create a toolkit that could be used to find a specific tool, to work on an individual step in the change process, or to guide a complete process

• Ensure that tools can be used irrespective of countries’ choice of objectives for common country programming, coordination of financial frameworks, Common Services and harmonized business practices and empowering the RC and UNCT

Principles for the toolkit

Flexible: Recognize that countries have different situations and needs

Cross-agency: Draw upon the tools and experiences of all agencies

Practical: Ground tools in actual country-level needs and keep them “user friendly”

• Leverage existing work within UN agencies but tailor tools so that they are relevant to increasing UN coherence, effectiveness and relevance

• Identify existing inter-agency task teams which can support countries’ efforts

• Create new tools based on the needs of pilot countries that are specific to the process and validate at country-level

• Develop as many of the required tools as possible for direct use in pilot countries

• Refine tools on ongoing basis based on experience in pilot countries• Include robust practical material (guidance notes, templates, examples) to

back-up theoretical frameworks

How we will adhere to principles

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THE FRAMEWORK INTEGRATES A SEQUENTIAL AND A THEMATIC VIEW

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View 1: Sequential view View 2: Thematic View

Sequential stepsStep 1: Initiate and mobilizeStep 2: Prioritize and set outcomesStep 3: Determine strategyStep 4: Plan organization changesStep 5: Plan implementationStep 6: ImplementCross cutting stepsStep 7: Monitor and evaluateStep 8: Communicate about changeStep 9: Coordinate change and ongoing implementation

Work streams•UNDAF or common programming tool•Common Services and harmonized business practices•Joint Communication•Common Premises (where applicable)•Common budgetary framework•Joint resource mobilization•Organizational change - leadership, structure, skills, culture

View 3: Integrated View

VIEW 1: THE FRAMEWORK INCLUDES SIX SEQUENTIAL STEPS AND THREE CROSS CUTTING STEPS

• Kick-off effort and mobilise the country team

• Set priorities and determine high level outcomes, for programme and supporting functions

• Determine integrated programme and operations strategy and operations

• Determine & plan changes needed to capacities, structures, processes, systems, culture

• Develop implementation plan, taking account of risks, stakeholders, etc.

• Execute the implementation plan

• Monitor progress in achieving outcomes; Evaluate if expected results are being achieved

• Communicate internally and externally with, and track changing attitudes of, key stakeholders

• Manage change programme, put in place processes, resources to manage the change

Description of Steps

Initiate & mobilize

Prioritize and set outcomes

Determine strategy

Plan organisation

changes

Plan implementation

Implement

Communicate about change

Monitor and evaluate

Coordinate change & ongoing implementation

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2

3

4

5

6

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9 Inc

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oh

ere

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e,

eff

ec

tiv

en

es

s,

eff

icie

nc

y a

nd

re

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an

ce

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VIEW 2: THE FRAMEWORK – WORKSTREAMS

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Increased

coh

erence, effectiven

ess, efficien

cy and

relevance

Increased

coh

erence, effectiven

ess, efficien

cy and

relevance

Workstream A: UN Programme

Workstream B: Common Services and Harmonized Business Practises

Workstream C: Joint Communications

Workstream D: Common Premises (where feasible)

Workstream E: Joint resource mobilization

Workstream G: Organizational change – leadership, structure, skills, culture

Workstream F: Common budgetary framework

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VIEW 3: THE FRAMEWORK INTEGRATES SEQUENTIAL AND THEMATIC VIEWS

Increa

sed co

he

rence, effective

nes

s an

d relevan

ceIn

creased

coh

eren

ce, effectiven

ess a

nd

relevance

Step 1: Initiate and Mobilize

Step 1: Initiate and Mobilize






Step 8: Communicate about ChangeStep 8: Communicate about Change

Step 9: Coordinate and change & ongoing implementation Step 9: Coordinate and change & ongoing implementation


Steps

Wo

rk S

trea

ms

Step 2: Prioritize and Set Outcomes

Step 2: Prioritize and Set Outcomes

Step 3: Determine Strategy

Step 3: Determine Strategy

Step 4: Plan Organization

Changes

Step 4: Plan Organization

Changes

Step 5: Plan Implementation

Step 5: Plan Implementation

Step 6: Implement

Step 6: Implement


Step 7: Monitor and evaluateStep 7: Monitor and evaluate

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Increasedcoherence,

effectiveness and

relevance

VIEW 3: ALTERNATIVE VIEW REDUCING COMPLEXITY OF THE WORKSTREAMS

Initiate & mobilize

Prioritize and set

outcomes

Determine strategy

Plan organisation

changes

Plan implement-

ationImplement

1 2 3 4 5 6

7

8

9Communicate about change



Monitor progress in achieving outcomes;

Evaluate if expected results are being achieved

Communicate internally and externally with, and track changing attitudes of, key

stakeholders

Manage change programme, put in place the required

processes, resources and governance structure to

manage the change

Execute the implementation plan

Kick-off effort and mobilise the country

team

Set priorities and determine

high level outcomes, for programme

and supporting functions

Determine integrated

programme and operations

strategy and operations

Determine & plan changes needed to

capacities, structures,

processes, systems, culture

Develop implementation

plan, taking account of risks,

stakeholders, etc.








FRAMEWORK AND TOOLKIT DRAW UPON EXISTING TOOLS FOR MANY OF THE WORKSTREAMS

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Builds on CCA/UNDAF

process and tools

Builds on existing UNDG guidelines

Builds on existing UN Communications

Group guidelines




Initiate & mobilize

Prioritize and set

outcomes

Determine strategy

Plan organisation

changes

Plan implement-

ationImplement

1 2 3 4 5 6

7

8




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Includes UNDAF process steps:•Defining the UNDAF M&E framework, including indicators, baselines & targets•Making an M&E plan for UNDAF•UNDAF annual/mid-term reviews

Includes UNDAF process steps:•Communicating during and after the UNDAF planning process

Includes UNDAF process steps:•Informing government and donors about start of UNDAF process•Setting vision and mission for UN coherence •Introduction of prioritization framework•Plan of engagement

Includes UNDAF process steps:•CCA, comparative advantage and stakeholder analysis•Creating UNDAF theme groups or similar structures•Identifying UN areas of comparative advantage•Setting strategic priorities and determining UNDAF outcomes

Includes UNDAF process steps:•Generating agency outcomes and outputs aligned to the strategic priorities and UNDAF outcomes•Preparing the Results Matrix

Includes UNDAF process steps:•preparing agency-level programmes & projects, including workplans, and developing joint programmes if appropriate

IN PARTICULAR, THE CURRENT UNDAF PROCESS IS A KEY PART OF THE OVERALL FRAMEWORK

Increasedcoherence,

effectiveness and

relevance

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EXPERIENCE FROM “DELIVERING AS ONE” PILOTS AND FROM UNDAF PROCESSES SUGGESTS THAT STEPS 1-5 WILL TAKE UP TO 2 YEARS, ALTHOUGH IT COULD TAKE AS LITTLE AS 1 YEAR

Initiate & mobilize

Prioritize and set

outcomes

Determine strategy

Plan organisation

changes

Plan implement-

ationImplement

1 2 3 4 5 6

7

8




1-3 months 2-3 months 3-6 months 4-9 months 2-3 months 2-3 years

Increasedcoherence,

effectiveness and

relevance

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OVERVIEW OF THE MAIN ACTIONS FOR EACH STEP (1/4)

Main actionsStep

• Conduct a country assessment of development issues and problems• Conduct baseline mapping for UN system capacity• Conduct comparative advantage and stakeholder assessments• Conduct Strategic Planning Retreat to set priorities and define outcomes for

enhanced coherence effectiveness and relevance of the UN system• Revise plan of engagement

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• Reach agreement within UNCT to proceed• Mobilize support among internal and external stakeholders• Establish working relationships and assign responsibilities for change-

planning work (in UNCT, OMT, etc.)• Create a concept paper on enhanced coherence, effectiveness and relevance

of the UN system, including a statement of purpose for greater strategic alignment of the UN development system in support of national priorities

• Organize a design workshop with primary stakeholders in preparation for the UN integrated programme and operations strategy

• Articulate a vision statement for country and UNCT• Develop a Plan of Engagement (PoE)

Initiate & mobilize

Prioritize and set

outcomes

1

2


Main actionsStep

• Develop a strategic, integrated UN programme, including a Results Matrix• Conduct a needs and requirements analysis for non-programme

workstreams• Develop Results Matrices for non-programme workstreams• Develop M&E matrices for UN programme and non-programme workstreams• Strengthen the leadership roles of RC, UNCT, OMT, PCG, and the M&E

Group for enhanced coherence, effectiveness and relevance of the UN System

• Develop Integrated programme and operations strategy for the UN system

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Determine strategy

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• Conduct a high-level business process review• Identify and plan changes to organizational structures (e.g., inter-agency

programme groups)• Identify capacity requirements and develop a human resources plan to meet

them• Develop revisions to the performance management system• Develop a plan for adjusting culture and behavior

Plan organisation

changes

4


Main actions

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Step

• Develop the implementation planDevelop

implement-ation plan

5

Implement

6 • Activities depend on the implementation plan developed as part of step 5

Monitor and

evaluate

7 • Set up inter-agency M&E group [at time of Step 1]• Define indicators [= results matrices in Step 3] and set baselines and targets

for the indicators [at time of Step 3]• Develop monitoring and evaluation plan [at time of Step 5] • Conduct monitoring and evaluation, including integrated annual review

process [during Step 6]


Main actions

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Step

• Set up inter-agency Communications group [at time of Step 1]• Define communications strategy [for each of Steps 1-6]• Communicate to stakeholders [at each step of the process]

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Communicate

about change

9Coordinate change & ongoing

implement-ation

• Assign roles & responsibilities and governance structure for the change process [starting at Step 1, updating as needed during subsequent steps]

• Develop a budget tracking approach [at each step of the process]• Produce periodic progress reports on implementation of the integrated

programme and operations strategy [at each step of the process]

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Main action Checklist

STEP 1: INITIATE & MOBILISE: ACTIVITY CHECKLIST (1/2)

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Reach agreement within UNCT to proceed

Establish working relationships and responsibilities for

change planning work

• UNCT members understand objectives and principles• UNCT understands readiness, willingness and ability of the team• UNCT members know what is expected of them• UNCT decides to proceed with the development of the integrated programme and

operations strategy

• UNCT members have a good understanding of other agencies,• The UNCT is well-structured and has good decision-making “hygiene”• UNCT has good norms as a real team

Mobilize support among internal and external

stakeholders

• Staff are aware of:• UNCT’s intention to pursue a more coherent, effective and relevant UN system• Key objectives and principles for improving UN system effectiveness• General expectations of what the change would mean for them

• Staff support the rationale for change and are willing to play their part• Government, at a minimum, is supportive of the UN’s efforts • Donors, at a minimum, endorse the UN’s effort

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STEP 1: INITIATE & MOBILISE: ACTIVITY CHECKLIST (2/2)

1

Organize design workshop with main stakeholders to prepare for the integrated

programme and operations strategy

Develop plan of engagement

• UNCT has conducted a design workshop with main stakeholders• UNCT takes ownership of UN integrated programme and operations document

strategy preparation

• Agreement on key work streams • Plan of Engagement developed defining actions and timeline • Agreement on roles and responsibilities for managing the Plan of Engagement

Articulate mission and vision statements for Country and UNCT

• A vision – which defines the change the UN and the government want to achieve in the country within the next 5-10 years

• A mission – which defines how the UN Country Team intend to achieve that vision

Create concept paper on enhanced coherence,

effectiveness and relevance

• UNCT has jointly articulated the purpose of enhanced coherence, effectiveness and relevance in country – and clarified what will be done (and what will not be done)

• A concept paper has been drafted

Main action

Conduct baseline mapping for UN capacity

Checklist

• Analysis of current UN staff roles, including in-country and out-of-country resources• Baseline mapping of Common services and harmonized business practices

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STEP 2: PRIORITIZE AND SET OUTCOMES: ACTIVITY CHECKLIST (2/2)

Country assessment of development issues and

problems

• List of priority development issues and the root causes of those issues• List of priority areas for which support is needed, and types of support required

Conduct comparative advantage and stakeholder

assessments

• List of stakeholders that are active at the country level, including the areas of focus of their development policy

• UN strengths and weaknesses in each area of support

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Main action

Revise plan of engagement

Checklist

• UNCT has revised and updated the work plan

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STEP 2: PRIORITIZE AND SET OUTCOMES: ACTIVITY CHECKLIST (2/2)

Conduct Strategic Planning Retreat to set priorities

and define outcomes for enhanced coherence,


• Prioritized national development goals• Jointly articulated outcomes for the UN Programme in the country, and high level

outcomes for the Common services and harmonized business practices, Common Budgetary Framework and Joint Resource Mobilization, Joint Communication and, where appropriate Common Premises

• Initial view of the outputs that may be delivered in order to achieve the outcomes

• UN programme based on existing UNDAF guidelines or other common programming tools

• Results Matrices for the UNDAF or other common programming tool


Develop UN programme, including Results Matrix

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STEP 3: DETERMINE STRATEGY: ACTIVITY CHECKLIST (1/2)

Conduct needs and requirements analysis for

non programme work streams

• UNCT knows needs and requirements specific to the non programmatic work streams: Common services and harmonized business practices, Common Premises (where appropriate) , Joint Communication and Common Budgetary Framework/ Joint Resource Mobilization

• UNCT has developed clear options for implementation on each elements of the work streams and articulated recommendations

Develop Results Matrices for non programme work

streams

• Joint Communication Strategy developed• Joint Resource Mobilization Strategy developed • Results Matrices for the non programme work streams developed: Common services

and harmonized business practices, Common Premises (where appropriate), Joint Communication and Common Budgetary Framework and joint Resource Mobilization

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STEP 3: DETERMINE STRATEGY: ACTIVITY CHECKLIST (2/2)

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Develop M&E matrices for UN programme and non

programme work streams

• M&E matrices for the UNDAF or other common programming tool• M&E matrices for non programme work streams: Common services and harmonized

business practices, Common Premises (where appropriate) , Joint Communication , Common Budgetary Framework and joint resource mobilization

Strengthen leadership roles of RC, UNCT, OMT,

etc. for enhanced coherence, effectiveness

and relevance

Develop integrated programme and operations

strategy

• RC/UNCT accountability and division of labor• “Working principles” for the UNCT, which include: a) Membership, b) Rules of behavior, c) Decision making process, d)

Reporting and accountability • Effective decision making process is in place• Trust among the UNCT members

• UNCT has one strategic framework, providing high level outcomes, resource requirements and governance structure for programme and non programme work streams

3


Identify and plan changes to organizational structures

(e.g., inter-agency programme groups)

• List of new or altered organizational structures needed to achieve vision/mission for improved coherence, effectiveness and relevance and implementation of the integrated programme and operations strategy, including for example:

a) New groups / structures to manage the UN Programme or elements of it in a tightly coordinated manner

b) Changes to structures required to implement Common services and harmonized business practices, joint communication, Common Budgetary Framework and coordinated resource mobilization, etc.

STEP 4: PLAN ORGANIZATION CHANGES: ACTIVITY CHECKLIST (1/2)

4

Conduct high level business process review

• List most important business processes changes needed to enable achievement of UNCT vision/mission & implementation of the integrated programme and operations strategy, including:

a) What processes need to change – and in which agencies (or all of them)b) How they should changec) What aspect of the integrated programme and operations strategy is

enabled/ supported by the change

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Develop revisions to the performance management

system

Develop plan for adjusting culture and behavior

• Performance evaluation processes and forms, and incentives, aligned with mission for improved coherence, effectiveness and relevance across all agencies

• List of primary barriers to increased coherence, effectiveness and relevance of the UN system from culture and mindsets of UN staff, identified through consultations with/ survey of staff

• Interventions addressing root causes planned to change mindsets and culture to supportive of objectives of a more coherent, effective and relevant UN system

STEP 4: PLAN ORGANIZATION CHANGES: ACTIVITY CHECKLIST (2/2)

4

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Identify capacity requirements and develop human resources plan to

meet them

• Clear understanding of changes in UN capacities required to fulfill objectives of the integrated programme and operations strategy

• Detailed human resources strategy and plan, designed to bridge gaps between current and required staff capacities


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STEP 5: DEVELOP IMPLEMENTATION PLAN: ACTIVITY CHECKLIST

Develop implementation plan for shifting from

current to desired end-state

• Articulate the desired end-state envisioned with (a) a detailed roadmap with milestones, (b) within a realistic timeline and (c) with clear accountability

– Feedback sought as appropriate to ensure timeline is realistic– Clear understanding of resources required to achieve each step of the workplan– Each responsible party understands and is fully committed to their activities and

deadlines• Key risks have been identified and risk management strategy devised (including both

actions to mitigate risks and contingency plans if risks materialize)

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STEP 7: MONITOR & EVALUATE: ACTIVITY CHECKLIST

• Key indicators are defined, and are measurable, results-based (Note: Key indicators should be restricted to only a few indicators)

• Baselines and targets for all indicators have been established (changing indicators if any prove impossible to measure in practice)

Develop monitoring and evaluation plan

• Monitoring and evaluation plan in place including management plan, framework and calendar

Conduct monitoring and evaluation including

integrated annual review process

• Activities specified in the integrated programme and operations strategy and implementation plan are regularly monitored, issues are raised to appropriate groups and adjustments promptly made

• Evaluations conducted, lessons learned and taken into account to adjust plans and activities

Set up interagency M&E group

• M&E group is in place, with clearly defined roles and responsibilities

Define indicators and set baselines & targets for the

indicators


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STEP 8: COMMUNICATE ABOUT CHANGE: ACTIVITY CHECKLIST

Set up inter-agency communications group (at

time of Step 1)

• Inter-agency communications group has been established• UNCT has agreed on a coherent communication approach

Define communication plan (for each of Steps 1-6)

• Detailed communications strategies and plans developed at regular intervals (perhaps every 6 months)

• Potential risks identified, with contingency plans

Communicate to stakeholders (at each step

of the process)

• Implement communications according to the plan, and reacting to events as appropriate


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STEP 9: COORDINATE CHANGE & ONGOING IMPLEMENTATION: ACTIVITY CHECKLIST

Assign of roles & responsibilities and

governance structure for the change process

• Dedicated change team in place (whether part the RCO or from one of the agencies)

• Dedicated change management resources – both people and funds – are in place (likely to increase as the steps proceed before decreasing again as the changes take root)

• Governance structure for the change management process is defined

Produce periodic progress reports on implementation

of the integrated programme and operations

strategy

• Periodic progress reports to the UNCT, according to the monitoring plan, on execution of the implementation plan

• Issues consistently identified through progress review discussions or otherwise, and successfully and promptly addressed

Develop budget tracking approach

• Budget tracking approach developed

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STEP 1: INITIATE & MOBILISE: ACTIVITIES & TOOLS (1/4)

Main action Sub activities / analyses Guidance and Templates Examples (Pilot & Non pilot)

• Introduce effort to improve coherence, effectiveness and relevance to the entire UNCT, and address questions / concerns through presentations / workshops

• Overview on improved coherence, effectiveness and relevance of the UN System

• TCPR 2004 and 2006

• Sample presentations

• Assess readiness, willingness and ability of the UNCT to move ahead

• Ready-Willing-Able (RWA) survey for Heads of Agencies

• Example from Laos

Reach agreement within UNCT to proceed

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1

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Main action Sub activities / analyses Guidance and Templates Examples (Pilot & Non pilot)

• Introduce effort to improve coherence, effectiveness and relevance to key stakeholders, including government, donors and staff

• Guidance note on key messages in communicating to

• Staff• Government• Donors

• Talking points on enhanced coherence, effectiveness and relevance

• Presentation on broader change storyline and rationale at country-level

• FAQ on enhanced coherence, effectiveness and relevance

• Sample presentation to government

• Sample letters from government asking for enhanced coherence, effectiveness and relevance

• Sample TOR of government-donor-UN committee

• Sample presentation to donors

• Sample presentation materials to staff

• Internal communication material from Viet Nam

Mobilize support among internal and external

stakeholders

1


Guidance and Templates

• Develop positive working environment within given structures

• Team Characteristics • Belbin

• Sample TORs for UNCT, OMT

• Develop a common UNCT understanding and commitment to enhance coherence, effectiveness and relevance and collaborate to write a concept paper

• Guidance note on how to write a concept paper

• Example concept papers Malawi and Tanzania

Establish working relationships for

change planning work (in UNCT, OMT, etc.)

Create concept paper on enhanced coherence,


Main action Sub activities / analyses

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Examples (Pilot & Non pilot)

1


Articulate mission and vision statements for

country and UNCT

• Develop a common UN and government understanding of the country vision

• Introduce analyses, prioritization framework, etc.

• UNDAF Design Workshop Facilitation Manual

• UNDAF retreat examples, Malawi facilitation deck and agenda

Organize design workshop with main

stakeholders for preparation of the

integrated programme and operations strategy

• Articulate the vision for the country

• Guidance for conducting visioning exercise (covering vision, mission, key results)

• Strategic vision for Tanzania

Develop plan of engagement

• Articulate work plan up to the finalization of integrated programme and operations strategy (at end of Step 3)

• Plan of Engagement (see UNDAF link)

• Sample plans of engagement

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Guidance and TemplatesMain action Sub activities / analyses Examples (Pilot & Non pilot)

1

STEP 2: PRIORITIZE AND SET OUTCOMES: ACTIVITIES & TOOLS (1/3)

Guidance and Templates

• Assess and validate current capacity of UN system in country (incl. in-country staff, out-of-country resources)

• Kick off presentation• Capacity analysis

guidelines and templates • Time allocation survey

• Sample presentation on results of capacity assessments from pilot countries

• Conduct baseline mapping for Common services and harmonized business practices

• Guidance note on baseline mapping for Common services and harmonized business practices

• One UN Procurement Report from Tanzania

Conduct baseline mapping for UN system capacity


39

Country assessment of development issues &

problems

• Conduct common country analysis

• Guidelines: Common Country Analysis (link)


2


Guidance and TemplatesMain action Sub activities / analyses

40

Conduct comparative advantage and stakeholder

assessments

• Conduct comparative advantage analysis

• Guidance note on comparative advantage analysis, including SWOT

• Conduct Stakeholder Assessment

• Guidance note on Stakeholder Assessment, incl. interview guides


• Set strategic priorities for UN support based on analyses

• Conceptual framework for setting strategic priorities

Conduct Strategic Planning

Retreat to set priorities and define outcomes for

enhanced coherence, effectiveness and

relevance

2

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Conduct Strategic Planning Retreat to set priorities

and define outcomes for enhanced coherence,


• Review work plan for enhanced UN effectiveness based on the outcomes of the workshop

• Plan of Engagement (see UNDAF link)

• Sample plan of engagement

Revise plan of engagement

• Articulate high level outcomes for: • UNDAF or common

programming tool• Common Services and

harmonized business practices

• Common Premises, where appropriate

• Joint Communication• Joint Resource

Mobilization

• CCA/UNDAF guidelines


2

STEP 3: DETERMINE STRATEGY: ACTIVITIES & TOOLS (1/3)

Guidance and Templates Examples (Pilot & Non pilot)

• Develop programme results matrix

• 2007 CCA-UNDAF Guidelines

• Technical briefs on outcomes, outputs, assumptions, risks

• Sample results matrices from pilot countries

• Common services and harmonized business practices: Develop needs and requirements analysis and Option Report

• Common Premises, where appropriate: Develop proposal

• Resource Mobilization: Develop Strategy

• Guidance note on Common Services and harmonized business practices and Common Premises

• Common services business practices

• Management System 1 pager

• Financial planning and Reporting

• Common Premises website

• Guidance resource mobilization plan

• Sample resource mobilization plan

• UNDG Website page on “UNCT Resource Mobilization Strategies”

Develop UN programme, including Results Matrix

Conduct needs and requirements analysis for

non programme work streams


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3


• Develop results matrix:• Common services and


• Joint Communication • Joint Resource Mobilization

• UNDAF tools for strategic prioritization (has guidance on how to develop a results matrix)

• UNDAF retreat examples, Malawi facilitation deck and agenda Develop Results

Matrices for non programme work

streams

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Develop M&E matrices for UN programme and non programme work

streams

• Develop Monitoring and evaluation matrices:

• UN Programme/ UNDAF• Common Services • Common Premises, where

appropriate• Joint Resource Mobilization

Joint Communication

• UNDG technical brief on outcomes, outputs indicators, assumptions & risks

• Documents/ guidelines: benchmarks/ parameters; M&E and UNDAF/CCA guidelines

3


Strengthen leadership roles of RC, UNCT, OMT

etc for enhanced coherence, effectiveness

and relevance

• Develop code of conduct for UNCT

• Ensure effective decision making process in place

• Develop trust among UNCT members

• Code of Conduct (DOCO developing)

• TORs for RC (DOCO developing)

• Revised TORs for UNCT, OMT, PCG (if applicable)

• Dispute resolution mechanism

• Trust building tools: TCA, Belbin

• Sample TORs

Develop integrated programme and

operations strategy

• Develop integrated programme and operations strategy, one strategy for UN system in country

• Guidance on how to develop an integrated programme and operations strategy

• Malawi Business Plan

44



3

STEP 4: PLAN ORGANIZATION CHANGES: ACTIVITIES & TOOLS (1/3)



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Conduct high level business process review

• Understand and measure business processes affected by the effort to improve coherence, effectiveness and relevance across all agencies

• Agree on harmonized business processes in line with improved coherence, effectiveness and relevance

• Guidance note on business processes mapping & business process reengineering (includes 7 Themes for Business Process Reengineering)

• Mapping of business processes affected in pilot countries

Identify & plan changes to organizational

structures (e.g., inter-agency

programme groups)

• Identify weaknesses of the current organization for delivering on improves coherence, effectiveness and relevance and required changes

• Guidance on good organizational design:

• Structural barriers• Indicators of good

design• Templates to

create/track SLAs• RAVIC matrix

4

46



Identify capacity requirements and develop human

resources plan to meet them

• Guidance note on conducting a capacity assessment

• UNCT kick-off presentation • Communication One Pager to

staff • Data request template/ Pre-

interview questions• Interview guides • “UNDG New Operational

Guidelines”

• Interview internal stakeholders (HoAs, etc) and external stakeholders (unless done in Step 2) to identify required capacity of UN system in country

• Compare requirements to existing capacity and develop plans for addressing the difference

• Materials for UNCT workshop day 1 & 2

• Implementation plan template• Guidance note on

options/tools to adjust capacity

• UNCT workshop materials: develop/ prioritize ideas for capacity difference

• Pilot countries ex.: tracking sheet & final reports


4

47



Develop revisions to the performance management

system

• Review agencies performance management processes

• Agree common performance evaluation process/ incentive structures that are aligned to realizing vision

• Guidance on identified good performance management practices

• Sample of modified performance management system in pilot countries

Understand staff attitude and areas that require cultural and behavioral

change

• Assess positive and negative behaviors

• Staff survey (process guidance & collection of tools)

• Guidance on action plan to address issues identified in staff survey

• Sample of Staff Survey


4

48


Develop implementation plan for shifting from

current to desired end-state

• Develop detailed work-plan based on the integrated programme and operations strategy including clear accountabilities and timeline for deliverables, with buy-in from plan implementers

• Guidance note and template on implementation plan development, including prioritization of activities

• Work plan Tanzania • Rwanda COD

• Identify high level risks for each activity in the implementation plan

• Guidance note on Risk Management

• Risk Log

• Issue log Tanzania

STEP 5: DEVELOP IMPLEMENTATION PLAN: ACTIVITIES & TOOLS


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STEP 6: IMPLEMENT

Note: During implementation phase tools from Step 7 and 9 will be relevant for managing the

implementation

6

STEP 7: MONITOR AND EVALUATE: ACTIVITIES & TOOLS 1/2

Guidelines & Templates Examples (Pilot & Non pilot)

Define outcomes and indicators (results matrices

in Step 3)and set baselines and

targets for |the indicators(at time of Step 3)

• Develop M&E matrices for • UNDAF or common

programming tool• Common services and


• Joint Communication• Joint Resource

Mobilization

• Technical brief on outcomes, outputs, indicators, assumptions & risks

• Doc: benchmarks/ parameters for assessing One UN Programmes”

• M&E Guidelines/ 2007 CCA and UNDAF Guidelines

Set up inter-agency M&E group (at time of Step 1)

• Set up M&E group to monitor change process & provide advice to UNDAF or common programming tool outcome & OMT groups (Note: M&E group may exist)

• Guidelines of roles and responsibilities of M&E country teams/ TORs from 2007 CCA and UNDAF Guidelines

• Examples of ToR of country M&E teams

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STEP 8: COMMUNICATE ABOUT CHANGE: ACTIVITIES & TOOLS (1/2)


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STEP 8: COMMUNICATE ABOUT CHANGE: ACTIVITIES & TOOLS (2/2)


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STEP 9: COORDINATE CHANGE & ONGOING IMPLEMENTATION: ACTIVITIES & TOOLS


Assign roles & responsibilities and

governance structure for change process

(starting at Step 1, updated as needed during later

steps)

• Set up governance for change process coordination

• Define and agree on roles & responsibilities in the change process

• Illustrative governance for the effort to improve coherence, effectiveness and relevance

• Role descriptions of change team

• Examples of governance structures successfully adopted in pilot countries

Produce periodic reports on implementation(at each step of the

process)

• Track progress against plan

• Identify risks

• Work charter and progress report

• Issue log

• Sample of pilot country status report, issue log

Develop budget tracking approach

(at each step of the process)

• Track budget throughout the change process

• Template: Budget tracking sheet

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