1. Framework and Toolkit for UN Coherence, Effectiveness and Relevance December 2008

2. 1 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

3. 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 2

4. 3 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

5. 4 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

6. 5 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

7. 6 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

8. THE FRAMEWORK INTEGRATES A SEQUENTIAL AND A THEMATIC VIEW 7 View 1: Sequential viewView 2: Thematic View Sequential steps Step 1: Initiate and mobilize Step 2: Prioritize and set outcomes Step 3: Determine strategy Step 4: Plan organization changes Step 5: Plan implementation Step 6: Implement Cross cutting steps Step 7: Monitor and evaluate Step 8: Communicate about change Step 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

9. 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 1 2 3 4 5 6 7 8 9 Increased coherence, effectiveness, efficiency and relevance 8

10. VIEW 2: THE FRAMEWORK – WORKSTREAMS 9 Increased coherence, effectiveness, efficiency 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

11. 10 VIEW 3: THE FRAMEWORK INTEGRATES SEQUENTIAL AND THEMATIC VIEWS Increased coherence, effectiveness and relevance Step 1: Initiate and Mobilize Step 1: Initiate and Mobilize 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 Step 8: Communicate about Change Step 9: Coordinate and change & ongoing implementation Workstream G: Organizational change – leadership, structure, skills, culture Steps Work Streams 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 Workstream F: Common budgetary framework Step 7: Monitor and evaluate

12. 11 Increased coherence, 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- ation Implement 123456 7 8 9 Communicate about change Monitor and evaluate Coordinate change & ongoing implementation 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.

13. 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 FRAMEWORK AND TOOLKIT DRAW UPON EXISTING TOOLS FOR MANY OF THE WORKSTREAMS 12 Builds on CCA/UNDAF process and tools Builds on existing UNDG guidelines Builds on existing UN Communications Group guidelines Builds on existing UNDG guidelines

14. Initiate & mobilize Prioritize and set outcomes Determine strategy Plan organisation changes Plan implement- ation Implement 1234 56 7 8 9 Communicate about change Monitor and evaluate Coordinate change & ongoing implementation 13 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 Increased coherence, effectiveness and relevance

15. 14 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- ation Implement 123456 7 8 9 Communicate about change Monitor and evaluate Coordinate change & ongoing implementation 1-3 months2-3 months3-6 months4-9 months2-3 months2-3 years Increased coherence, effectiveness and relevance

16. 15 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

17. OVERVIEW OF THE MAIN ACTIONS FOR EACH STEP (1/4) Main actions Step 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 16 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

18. OVERVIEW OF THE MAIN ACTIONS FOR EACH STEP (2/4) Main actions Step 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 17 Determine strategy 3 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

19. OVERVIEW OF THE MAIN ACTIONS FOR EACH STEP (3/4) Main actions 18 Step Develop the implementation plan Develop 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]

20. OVERVIEW OF THE MAIN ACTIONS FOR EACH STEP (4/4) Main actions 19 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] 8 Communicate about change 9 Coordinate 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]

21. 20 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

22. 21 Main actionChecklist STEP 1: INITIATE & MOBILISE: ACTIVITY CHECKLIST (1/2) 1 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

23. 22 Main actionChecklist 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

24. 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 2 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

25. 24 Main action Revise plan of engagement Checklist UNCT has revised and updated the work plan 2 STEP 2: PRIORITIZE AND SET OUTCOMES: ACTIVITY CHECKLIST (2/2) Conduct Strategic Planning Retreat to set priorities and define outcomes for enhanced coherence, effectiveness and relevance 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

26. UN programme based on existing UNDAF guidelines or other common programming tools Results Matrices for the UNDAF or other common programming tool Main actionChecklist Develop UN programme, including Results Matrix 3 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 25

27. STEP 3: DETERMINE STRATEGY: ACTIVITY CHECKLIST (2/2) 26 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 Main actionChecklist

28. 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 change c)What aspect of the integrated programme and operations strategy is enabled/ supported by the change 27 Main action Checklist

29. 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 28 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 Main action Checklist

30. 29 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) 5 Main action Checklist

31. 7 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 Main actionChecklist 30

32. Main actionChecklist 8 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

33. Main actionChecklist 9 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 32

34. 33 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

35. STEP 1: INITIATE & MOBILISE: ACTIVITIES & TOOLS (1/4) Main actionSub activities / analysesGuidance and TemplatesExamples (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 34 1

36. 35 STEP 1: INITIATE & MOBILISE: ACTIVITIES & TOOLS (2/4) Main actionSub activities / analysesGuidance and TemplatesExamples (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

37. STEP 1: INITIATE & MOBILISE: ACTIVITIES & TOOLS (3/4) 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, effectiveness and relevance Main action Sub activities / analyses Develop plan of engagement UNCT has articulated a high level work plan to guide all work related to enhanced UN effectiveness up to the finalization of the Business Strategy (at the end of Step 3) 36 Examples (Pilot & Non pilot) 1

38. STEP 1: INITIATE & MOBILISE: ACTIVITIES & TOOLS (4/4) 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 37 Guidance and TemplatesMain actionSub activities / analysesExamples (Pilot & Non pilot) 1

39. 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 Main actionSub activities / analyses 38 Country assessment of development issues & problems Conduct common country analysis Guidelines: Common Country Analysis (link) Examples (Pilot & Non pilot) 2

40. STEP 2: PRIORITIZE AND SET OUTCOMES: ACTIVITIES & TOOLS (2/3) Guidance and Templates Main actionSub activities / analyses 39 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 Examples (Pilot & Non pilot) 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

41. 40 STEP 2: PRIORITIZE AND SET OUTCOMES: ACTIVITIES & TOOLS (3/3) Conduct Strategic Planning Retreat to set priorities and define outcomes for enhanced coherence, effectiveness and relevance 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 Guidance and Templates Main actionSub activities / analyses Examples (Pilot & Non pilot) 2

42. STEP 3: DETERMINE STRATEGY: ACTIVITIES & TOOLS (1/3) Guidance and TemplatesExamples (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 Main actionSub activities / analyses 41 3

43. STEP 3: DETERMINE STRATEGY: ACTIVITIES & TOOLS (2/3) Develop results matrix: Common services and harmonized business practices 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 42 Guidance and TemplatesExamples (Pilot & Non pilot) Main actionSub activities / analyses 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

44. STEP 3: DETERMINE STRATEGY: ACTIVITIES & TOOLS (3/3) 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 43 Guidance and TemplatesExamples (Pilot & Non pilot) Main actionSub activities / analyses 3

45. STEP 4: PLAN ORGANIZATION CHANGES: ACTIVITIES & TOOLS (1/3) Guidance and TemplatesExamples (Pilot & Non pilot) Main actionSub activities / analyses 44 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. 45 Guidance and Templates Examples (Pilot & Non pilot) STEP 4: PLAN ORGANIZATION CHANGES: ACTIVITIES & TOOLS (2/3) 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 Main actionSub activities / analyses 4

47. 46 Guidance and Templates Examples (Pilot & Non pilot) STEP 4: PLAN ORGANIZATION CHANGES: ACTIVITIES & TOOLS (3/3) 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 Main actionSub activities / analyses 4

48. 47 Guidance and TemplatesExamples (Pilot & Non pilot) 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 Main actionSub activities / analyses 5

49. 48 STEP 6: IMPLEMENT Note: During implementation phase tools from Step 7 and 9 will be relevant for managing the implementation 6

50. STEP 7: MONITOR AND EVALUATE: ACTIVITIES & TOOLS 1/2 Guidelines & TemplatesExamples (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 harmonized business practices 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 49 Main action Sub activities / analyses 77

51. STEP 8: COMMUNICATE ABOUT CHANGE: ACTIVITIES & TOOLS (1/2) Guidance and Templates Main actionSub activities / analyses 50 Examples (Pilot & Non pilot) Set up inter-agency Communications group (at time of Step 1) Ensure that inter-agency communications group is in place 2006 UNCG TORs/guidance for UN Communication groups at the country level Examples of ToR of country communication team Define communication plan (for each of Steps 1-6) Communication plan guidelines Lessons learned on communication Examples of communication plans Example of communication matrix Define target audiences Define level of detail, frequency, methods of communication for each audience Assess risks for communication strategy Define communication activities timelines, resources and action owners 78

52. STEP 8: COMMUNICATE ABOUT CHANGE: ACTIVITIES & TOOLS (2/2) Guidance and Templates Main actionSub activities / analyses 51 Examples (Pilot & Non pilot) Communicate to stakeholders (at each step of the process) Communicate to stakeholders at each stage of the change process Grid showing suggested communication per step and type of stakeholder 78

53. STEP 9: COORDINATE CHANGE & ONGOING IMPLEMENTATION: ACTIVITIES & TOOLS Guidance and Templates Main actionSub activities / analyses Examples (Pilot & Non pilot) 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 52 79