"DELIVERING AS ONE" APPROACH - STANDARD OPERATING PROCEDURES for COUNTRIES ADOPTING
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STANDARD OPERATING PROCEDURES
COUNTRIES ADOPTING the
for
“DELIVERING AS ONE” APPROACH
With an integrated package of support
for implementation by UN Country Teams
August 2014
The One Programme unifies the UN system under one national
development strategy/plan, and is underpinned by integrated policy
positions and services, and real-time monitoring through joint work plans;
The Common Budgetary Framework, with all planned and costed
UN programme activities presented transparently in one place, provides a
shared view of the UN’s contribution as a whole to the country.
The One Fund (optional) provides performance-based support to the
UN’s integrated policy approaches;
The One Leader and the UN Country Team (UNCT) leadership, is based on
mutual accountability, with an enhanced co-ordination function led by the
Resident Coordinator, involving all of the UNCT in team leadership, to carry
responsibility for the role and results of the UN in the country;
Operating as One provides options to build ever more cost-effective
common operations and service support; and
Communicating as One facilitates coherent messaging and advocacy
on normative and operational matters, and a consistent and teamed-up
strategic dialogue with host countries
The United Nations Development Group (UNDG) is an instrument for UN reform created by the Secretary-General in 1997 to improve
the effectiveness of UN development work at the country level. Bringing together the operational agencies working on development,
the UNDG is chaired by the Administrator of the United Nations Development Programme on behalf of the Secretary-General.
The UNDG develops policies and procedures that allow the UN system to work together and analyse country issues, plan support
strategies, implement programmes, monitor results and advocate for change. These initiatives increase UN impact in helping countries
to achieve the Millenium Development Goals.
UN Development Operations Coordination Office
One UN Plaza, DC1-1600, New York, NY 10017
Tel.: 212-906-5053
www.undg.org
© United Nations Development Group 2014
TABLE OF CONTENTS
FOREWORD������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������1
PREFACE ����������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������2
1. INTRODUCTION ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ 4
2. ONE PROGRAMME ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ 11
3. COMMON BUDGETARY FRAMEWORK AND ONE FUND�������������������������������������������������������������������������������� 17
4. ONE LEADER ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ 23
5. OPERATING AS ONE �������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������� 28
6. COMMUNICATING AS ONE������������������������������������������������������������������������������������������������������������������������������������������������������������������������ 33
ANNEXES
ANNEX I: LINKS TO RELEVANT UNDG GUIDANCE�������������������������������������������������������������������������������������������������������������������������������������36
ANNEX II: ROLES OF THE REGIONAL UNDG TEAMS�������������������������������������������������������������������������������������������������������������������������������38
ANNEX III: MONITORING AND EVALUATION FRAMEWORK FOR “DELIVERING AS ONE”�����������������������40
ANNEX IV: JOINT COVER LETTER BY UNDG PRINCIPALS ON “DELIVERING AS ONE” ���������������������������������46
TABLE OF CONTENTS i
ii STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
FOREWORD
The world is now engaged in an accelerated push to reach the Millennium
Development Goals while shaping a bold post-2015 agenda for sustainable development.
At this critical time, the United Nations development system must intensify its efforts to
achieve even greater results.
Nearly a decade of experience in UN system-wide reforms produced “Delivering as one”.
Its eight pilot countries proved this was an enterprising and ambitious approach that
helped the United Nations to better coordinate its operational activities internally and to
more effectively align them with national priorities and plans.
We have since expanded on the success of the original eight pilot countries. Following
an independent evaluation in 2012, I called for the launch of a second generation of
“Delivering as one”. That same year, the General Assembly, in its resolution on the
“Delivering as one” approach, recognized its “important contribution for enhancing the
coherence, relevance, effectiveness and efficiency of the United Nations development
system”. Governments cited a better coordinated United Nations development system
facilitating strengthened national leadership and ownership of the United Nations work
and contributions.
Today, more than forty countries have formally adopted “Delivering as one” and many more
are actively implementing its core aspects, with the support of all members of the United
Nations Chief Executives Board.
Our efforts under “Delivering as one” have now matured to the point where we have
developed this set of Standard Operating Procedures. They will enable the United Nations
to function even more effectively and foster greater collaboration and teamwork.
I am proud of the professionalism and dedication of so many colleagues across the United
Nations system at the global, regional and country levels. It is their commitment to our core
values that has enabled us to achieve such important progress. These Standard Operating
Procedures can guide us going forward as we strive to achieve a life of dignity for all.
BAN Ki-moon
Secretary-General, United Nations
FOREWORD 1
PREFACE
Our rapidly changing world has made notable progress in recent years,
such as in halving global poverty and sending many more children to school. At the same
time, development gains and deprivations are unevenly distributed, and inequality is
entrenched within and across countries. The sustainability of current achievements needs
consistent commitment and follow-through in order to provide for the needs of current
and future generations.
The post-2015 agenda offers a unique opportunity to define a set of universal sustainable
development goals and launch an ambitious new agenda to tackle complex development
challenges. Whether rapid population growth and changing patterns of migration; food
and water scarcity; joblessness among young people; or the combined shocks from climate
change, financial market volatility and rapid onset of conflict, these challenges are increas-
ingly interrelated and global in scope.
The Member States of the United Nations are discussing a post-2015 development agenda
which will address these multidimensional challenges and support integrated approaches
to them. This calls for a UN development system that is streamlined and co-ordinated in
its policy, programme, and business operations. A fully ‘fit for purpose’ UN system on the
ground is one which is well teamed-up, has the agility and capacity to respond to the
demands of the post-2015 agenda, and consistently delivers high quality results.
In releasing the Standard Operating Procedures (SOPs) for Countries Adopting the
“Delivering as one” approach, the UN Development Group (UNDG) is responding to the
request from UN Member States, articulated in the QCPR, to deepen the “Delivering as one”
reform, and to ensure that all countries which wished to pursue it can do so. The SOPs are
about making things work better across the UN system, by removing institutional bottle-
necks which prevented coherence, improving standards and common operating systems,
and motivating the use of shared data, policy analytics, and advocacy to support integrated
solutions. While making the UN development system more transparent, common results-
oriented, and accountable, the SOPs enable a more complete system-wide alignment of
the UN contribution in country with national development priorities and plans.
It is up to us now to implement the SOPs. They have universal applicability and are a
practical means of implementation for the post-2015 development agenda. Core
elements will guide the extent of our “jointness,” based on country context:
• The One Programme unifies the UN system under one national development strategy/
plan, and is underpinned by integrated policy positions and services, and real-time
monitoring through joint work plans;
2 STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
• The Common Budgetary Framework, with all planned and costed UN programme activities
presented transparently in one place, provides a shared view of the UN’s contribution as a
whole to the country. The optional One UN Fund provides performance-based support to
the UN’s integrated policy approaches;
• The One Leader and the UN Country Team (UNCT) leadership, is based on mutual
accountability, with an enhanced co-ordination function led by the Resident Coordinator,
involving all of the UNCT in team leadership, to carry responsibility for the role and
results of the UN in the country;
• Operating as One provides options to build ever more cost-effective common operations
and service support; and
• Communicating as One facilitates coherent messaging and advocacy on normative
and operational matters, and a consistent and teamed-up strategic dialogue with
host countries.
Overall, the SOPs make it possible for us to move forward in a more practical and
harmonized way, making the most effective use of our combined ideas and skills,
institutional experiences and capacities across the membership of the UNDG. They help
to remove the real and imaginary obstacles that hindered the best practice of true collabo-
ration. With a flexible approach, and adapted to different country contexts, the SOPs are an
indispensable tool in ensuring that our joined-up work is focused on the strongest possible
results a UN team can deliver on the ground.
All UNDG members have now approved the SOPs, and each Executive Head commits to
promoting implementation actively through follow-up and collective monitoring. We all
recognize that the United Nations delivers greater value for development when we deliver
together. We look forward to seeing every UN Country Team taking steps towards the
progressive implementation of the SOPs in their country.
Helen Clark
Chair of the UNDG
PREFACE 31. INTRODUCTION
1.1 BACKGROUND
Following the World Summit of 2005, where the need for UN
reform was given new impetus, the Secretary-General established
the High-level Panel on System-wide Coherence in 2006. In its report,
entitled “Delivering as one,” the Panel presented a series of recommenda-
tions aimed at, among other issues, strengthening the work of the UN
in partnership with host Governments and its focus on results. The Panel
also recommended that the UN should accelerate and deepen reforms
to establish unified UN Country Teams (composed of representatives of
the UN specialized agencies, funds and programmes and other UN enti-
ties accredited to a given country) with a capacity to provide a coherent
approach to cross-cutting issues.
In 2007, eight countries volunteered to High-level Intergovernmental conference,
pilot the “Delivering as one” approach, held in Tirana, Albania, in 2012.
innovating new approaches to coherence
THE SECRETARY- at the country level. The pilot programme
In his Five-Year Action Agenda for his
GENERAL CALLS countries were Albania, Cape Verde,
second term, the Secretary-General
SECOND
FOR A Mozambique, Pakistan, Rwanda, United
Republic of Tanzania, Uruguay and Viet
included a call to “launch a second genera-
tion of “Delivering as one,” which will focus
GENERATION Nam. In 2010 and 2011, pilot programme
on managing and monitoring for results,
ensuring increased accountability and
OF “DELIVERING countries undertook country-led evalu-
improved outcomes”.
AS ONE” FOCUSING ations1. An independent evaluation of
lessons learned from the “Delivering as In its resolution 67/226, the General
ON MONITORING FOR one” pilot phase was completed in 2012.2 Assembly, in the section on “Delivering as
RESULTS, INCREASED one” of the quadrennial comprehensive
ACCOUNTABILITY AND In parallel, the new approaches were
policy review (QCPR)3, requested “the
IMPROVED regularly reviewed in annual high-
level intergovernmental conferences
United Nations system to build on the best
practices and lessons learned in imple-
OUTCOMES on “Delivering as one,” subsequently
welcomed by the General Assembly
in its resolutions 63/11 and 64/289 on
menting “Delivering as one” by a number
of countries and to further consolidate
the process by clearly outlining the core
system-wide coherence. The eight pilot
elements of each of the “ones”, based on
programme countries were also joined by
lessons learned, including by formulat-
a steadily growing number of voluntary
ing standard operational procedures
adopters. Furthermore, representatives
as guidelines for the successful work
of 48 Governments attended the last
1
Please visit the UNDG website for reports and further resources on the country-led evaluations of “Delivering as one”.
2
Please visit the UN website on the independent evaluation of “Delivering as one”
3
Please access the QCPR resolution on the UN website
4 STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACHof the United Nations country teams in
“Delivering as one” countries, as well as
for other countries that consider joining
“Delivering as one,” and to report on this
process and standard operating proce-
dures to the Economic and Social Council
during its operational activities segment”.
1.2 OBJECTIVES OF THE contexts, such as low-income or least
STANDARD OPERATING developed countries and middle-income
countries, each with its specific develop-
PROCEDURES
ment challenges, normative settings,
The objectives of the standard operating institutional capacities and UN presence.
procedures (SOPs) are to: They respond to the mandate of the QCPR
which “recognizes that the individual UN
• Provide to UN Country Teams, Govern-
funds, programmes and agencies have
ments, other national stakeholders and
specific experience and expertise, derived
partners in countries that call on the
from, and in line with, their mandates
UN to adopt the “Delivering as one”
and strategic plans, and stresses, in this
approach an integrated package of
regard, that improvement of coordina-
clear, straightforward and internally
tion and coherence at the country level
consistent guidance on programming,
should be undertaken in a manner that
leadership, business operations, funding
recognizes the respective mandates
and communications for country-level
and roles and enhances the effective
development operations, considering UN
utilization of resources and the unique
agencies’ mandates, rules and procedures;
expertise of all UN funds, programmes
• Provide information for programme and specialized agencies” (paragraph
countries that are considering adopt- 18 of QCPR Resolution A/Res/67/226).
ing the “Delivering as one” approach, Notwithstanding the contents of this
presenting the approach simply and SOPs document, existing lines of account-
clearly; and ability between members of the UNCT
• Where appropriate, identify and and the agencies they represent are fully
recommend critically important policy maintained. The SOPs recognize that UN
and procedural changes that agency Country Teams and national counterparts
HQs should make in order to reduce will need to tailor the implementation
transaction costs for Governments, other of “Delivering as one” to their particular
national stakeholders, development part- context. This tailoring is also important
ners and UN Country Teams, and enable in countries in post-conflict transition,
joint focus on results at the country level. especially where the principles of integra-
tion apply4. In these contexts, coordination
The SOPs strike a balance between
between development, humanitarian,
flexibility and standardization in order
security and political activities helps to
to be applicable and useful for all UN
maximize the UN’s impact. It also signals
agencies in a wide variety of country
to national and international counterparts
4
As per decisions of the Secretary-General, the principle of integration applies where the UN has a country team and a
multidimensional peacekeeping/political office mission, irrespective of whether those presences are structurally inte-
grated. The form integration takes in a given country is determined for each specific context and takes into account the
need for humanitarian space. For further information and resources please visit the UNDG website on integration.
CHAPTER 1: INTRODUCTION 5that operate in a coherent and mutu- and UN staff with operational experience
ally supportive manner in the recovering at the country level have contributed their
and transition. expertise and knowledge.
The post-2015 agenda calls for policy Using these sources of guidance, evalu-
and programme responses that are more ation and consultation, six key principles
integrated, and multi-sector in nature, to have guided the development of the SOPs:
address sustainable development. The
1. Strong ownership by governments
post-2015 and the new common program-
and other national stakeholders5 and
ming cycle are strategic opportunities for
leadership by national governments;
the UN system to embrace the SOPs to
ensure strategic programming, greater 2. Significant simplification and reduction
mutual accountability, and reduced trans- of programming, business and service
action costs for governments, donors and transaction costs for Governments,
the UN. other national stakeholders, develop-
ment partners and the UN system,
In this context, the SOPs will be a living including by further integrating and
document that will be updated based on harmonizing common and agency-
the experiences in implementation of the specific business processes;
SOPs, and UNDG internal reviews.
3. Empowerment of UN Country Teams,
under the leadership of the UN
1.3 FRAMEWORK/PRINCIPLES Resident Coordinator, to address
FOR DEVELOPMENT OF THE country-level needs, based on
STANDARD OPERATING good practices and experiences in
PROCEDURES ”Delivering as one” countries, both
pilots and voluntary adopters;
The framework for the development of the
4. Flexibility to allow for innovation by UN
SOPs is based on a thorough review of all
Country Teams;
existing analyses of the “Delivering as one”
approach. This includes relevant General 5. Drive towards common delivery of
Assembly resolutions, particularly resolu- results and strengthened accountabil-
tion 67/226 on the 2012 QCPR, and reports ity, including on cross-cutting issues
from the Secretary-General and outcome such as human rights, gender equality
documents from the high-level intergov- and environmental sustainability; and
ernmental conferences on “Delivering as 6. Emphasis on the shared values, norms
one”. Findings and recommendations from and standards of the UN system.
the independent evaluation as well as the
country-led evaluations of the “Delivering
as one” pilots have been taken into account 1.4 ENABLING ACTIONS
as have other achievements and lessons AND DECISIONS AT THE
learned from Resident Coordinators and HEADQUARTERS LEVEL
UN Country Teams engaged in the piloting
In the process of developing the SOPs, a
phase, including the voluntary adopters.
number of unresolved Headquarters issues
Finally, UNDG working mechanisms and
surfaced in all pillars of UN support to
High-level Committee on Management
“Delivering as one” countries. These issues
(HLCM) networks, Regional UNDG Teams
are outlined in a separate UNDG Plan
5
RC/UNCT, including all UN agencies concerned, to determine the means and level of engagement of
national stakeholders.
6 STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACHof Action for Headquarters.6 The speed help monitor the extent to which UNDG and
with which follow-through is effected by UNCTs are performing against that intent. THE DAO M&E
agencies and the subsequent allocation
The M&E framework covers the five FRAMEWORK,
of resources will be key elements in the
success of the second phase of “Delivering
“Delivering as one” pillars: One Programme, THE UNDG PLAN OF
as one”.7
Common Budgetary Framework, One ACTION FOR HQ AND
Fund, One Leader, Communicating as One, THE ONE PROGRAMME
Furthermore, for the SOPs to accelerate
transformational impact, change manage-
and Operating as One. It is intended to
help the UNDG to oversee the operational PROVIDE THE
ment and true delivery as one across
structures and locations, the shared vision
effectiveness of “Delivering as one” in line
with the six principles that guided the BASIS TO
and culture of collaboration for results
must be strengthened. Mutual accountabil-
development of the SOPs. The framework is
organized into two levels. The first level of
MEASURE
ity modalities outlined in the management measurement attempts to measure change ASSESS
AND
and accountability system of the UN
development and resident coordinator
in the culture, behavior and practices that
promote the spirit and intent of “Delivering THE EFFECTS
system will need to be fully implemented as one”. The second level is designed for OF DELIVERING
for all staff to embrace fully a common UN tracking the progress against the core AS ONE
identity. The highest standards of leader- elements of the SOPs in countries that have
ship skills and management training must formally adopted “Delivering as one”.
be ensured. Additional investment in staff
In and of itself, this monitoring and
development, exchange of information,
evaluation framework is one of three
lessons learned and best practices across
elements that together can provide
the system, joint training and continuous
a comprehensive basis to periodi-
learning opportunities are required.
cally measure and assess the effects of
“Delivering as one”. The second source is
1.5 IMPLEMENTATION, the UNDG Plan of Action for Headquarters.
MONITORING, EVALUATION The HQ action plan details UNDG commit-
AND REPORTING ments and actions to be undertaken at
various levels to facilitate “Delivering as
OF THE SOPS
one” at the country level. The third source
In its resolution 67/226 on the QCPR, the is UNDAFs and One Programmes of UNCTs.
General Assembly emphasized the “need to Monitoring and evaluation of UNDAFs and
establish common monitoring, evaluation One Programmes will provide the evidence
and reporting mechanisms on the imple- of the country-level effects of delivering as
mentation of “Delivering as one” towards one in terms of actual development results.
greater accountability to Member States
Collectively, the “Delivering as one” M&E
and a more results-based generation of
Framework, the UNDG Plan of Action
Delivering as one”.
for Headquarters and the UNDAF/One
The development intent of “Delivering as Programmes provide a basis to undertake
one” is spelled out in the QCPR and in the an evaluation of the development and
respective strategic frameworks of UNDG operational effectiveness of “Delivering
members. In this context the UNDG, in as one,” although further independent
collaboration with UNDESA, has designed scrutiny will be welcome to assure the
a monitoring and evaluation framework to evaluation-readiness of this approach. In
6
Please visit the UNDG website for the UNDG Plan of Action for Headquarters.
7
The term “agencies” refers to specialized agencies as well as UN funds and programmes.
CHAPTER 1: INTRODUCTION 7the meantime, the M&E framework has The implementation of the core elements
been designed to draw on data collected of the SOPs enable the UN development
through established surveys and reports system in-country to demonstrate high
and therefore will impose no additional impact and better address the more
burden on United Nations country teams8. complex and integrated sustainable devel-
opment agenda for post 2015 through
increased policy and programme coher-
1.6 CORE ELEMENTS OF THE ence. The “Delivering as one” approach also
SOPS FOR DELIVERING AS reduces transaction costs and increase effi-
ONE COUNTRIES ciencies by working together as demanded
by Member States.
The QCPR recognizes that the “Delivering
as one” approach is adopted on a voluntary
basis by programme country governments. Process
Upon adoption, UN Country Teams (UNCTs) • The UNCT engages in a policy dialogue
and national counterparts need to tailor the and shares information about the
implementation of “Delivering as one” to “Delivering as one” approach and
their particular context. The core elements
THE IMPLEMENTATION implications of its adoption with the
are based on the QCPR commitments and
THE CORE
host government;
OF guided by the Secretary-General’s call to all
• Where there is interest (and clearly
ELEMENTS
agencies on moving ahead with the next
voluntary in nature) a formal in-writing
generation of “Delivering as one”. In their
agreement is reached with the host
full achievement at country level, they are
OF THE SOPs ENABLE the key requirements for the “Delivering
government to adopt the “Delivering as
THE UN TO DEMONSTRATE as one” approach to enable the tracking of
one” approach. The Resident Coordinator
HIGH IMPACT shared results and measuring of impact of
greater coherence of the UN development
informs the Chair of the UNDG, the full
UNDG and the Regional UNDG Team that
the UNCT will apply the approach;
system. They focus the collaborative and
joined-up efforts of the UN development • The Resident Coordinator conducts a
system on what can be measured and strategic discussion within the UNCT
monitored, thereby providing a concrete on how to apply the SOPs in the coun-
and practical basis for the evidence and try context, on steps and timelines of a
value of shared results. change management process required
to respond to the request to adopt the
The SOPs contain critical coherence princi- “Delivering as one” approach, as well as
ples relevant for all countries. In “Delivering on the support needed from regional
as one” countries, the SOPs package should and HQ levels; and
be adopted and adapted by the UNCT
• There is no one size fits all but there is
and Government in response to the needs
a set of standards and ways of work-
of each country context. The principle of
ing to improve UN coherence to enable
progressive realization is recognized, with
shared results.
achievements and goals to be met, actively
tracked and reported on by the UNCT. The
implementation of the core elements can
be done over a one to two year period.
8
Please see Annex III for the full Delivering as one Monitoring and Evaluation Framework.
8 STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH“DELIVERING AS ONE”
PILLAR Core Elements
Joint oversight and ownership agreed between Government and the UN and outlined in agreed
Overarching terms of reference for a Joint National/ UN Steering Committee (Generic terms of reference);
Annual reporting on joint UN results in the UN Country Results Report;
Signed UNDAF at the outcome level with legal text9 as appropriate;
Joint Work Plans (of Results Groups), aligned with the UNDAF and signed by involved UN entities (this
One Programme does not preclude agency specific work plans where required) (Tips and template for JWPs);
Results Groups (chaired by Heads of Agencies) focused on strategic policy and programme content
established and aligned with national coordination mechanisms (Generic Terms of Reference);
A medium-term Common Budgetary Framework aligned to the UNDAF/One Programme as a results-
oriented resourcing framework for UN resources (Guide to the Common Budgetary Framework);
Common Annual Common Budgetary Frameworks (as a part of the Joint Work Plans) updated annually with
Budgetary transparent data on financial resources required, available, expected, and to be mobilized (Tools
Framework and materials);
(and One Fund) A Joint Resource Mobilization strategy as appropriate to the country context (with the option of a
One Fund duly considered) approved by the UNCT and monitored and reported against in the UN
Country Results Report;
Strong commitment and incentives of the UNCT to work towards common results and accountability
One Leader through full implementation of the M&A system and the UNCT Conduct and Working Arrangements;
Empowered UNCT to make joint decisions relating to programming activities and financial matters;
Business Operations Strategy10 endorsed by UNCT is highly recommended, adapted to local needs
and capacities, to enhance operational oneness processes through eliminating duplication of
common processes to leverage efficiencies and maximize economies of scale;
Operating
as One Empowered Operations Management Team (chaired by a Head of Agency);
Operations costs and budgets integrated in the overall medium-term Common
Budgetary Framework;
A joint communication strategy appropriate to the country context approved by the UNCT and
Communicating monitored and reported against in the UN Country Results Report (Guide to Communicating as One);
as One Country Communications Group (chaired by a Head of Agency) and supported by regional and HQ
levels, as necessary.
9
Joint Programmes continue to be a valid mechanism in this context.
10
The Business Operations Strategy is currently being field tested with finalization in 2015.
CHAPTER 1: INTRODUCTION 910
DELIVERING AS ONE: INTERRELATIONSHIP BETWEEN THE PILLARS OF UN SUPPORT TO A “DELIVERING AS ONE” COUNTRY
Government of Programme Country
One Leader*
Resident Coordinator and UN Country Team
Results Operations Country
Groups Management Team Communications Group
Joint National/UN Steering Committee
Common Budgetary One Programme Operating as One Communicating as One
Framework
Business Operations
Strategy (BOS)
Medium-term Common Joint Communications
UNDAF
Budgetary Framework Finance and Common Strategy
Audit Premises
Human
Joint Resource Joint Results Groups’ Annual HACT
Resources Common Tools
Mobilization Strategy or Biennial Work Plan(s)
STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
Transport
ICT
and Logistics
One Fund and Funding Common Messaging
Monitoring
Allocation Mechanism and Advocacy
Procurement
ONE UN COUNTRY RESULTS REPORT
* Main elements are: Management and Accountability System, UNCT Conduct and Working Arrangements and mutual accountability framework of Results Groups, OMT and CCG conveners and members.2. ONE PROGRAMME
2.1 GOALS
The One Programme brings all members of the UN Country
Team together under one nationally owned strategy that draws on
the full range of UN expertise and ensures a fully integrated UN Country
Team approach to delivering development results in a coherent manner.
These One Programme development results are measurable and costed.
The One Programme brings important gains 2.2 MAIN ELEMENTS
by ensuring that UN country programmes
The following are the required elements
integrate the full range of UN, national
of the One Programme. They can be further
and international partners’ expertise and
supplemented by additional elements
experience; facilitating the systematic
that may be appropriate in specific
application of normative programming
country contexts. In some cases options
principles in the formulation, implemen-
are indicated.
tation, monitoring and evaluation of the
programme; and achieving close alignment • The United Nations Development
with national development priorities. It Assistance Framework (UNDAF)11, as
also increases access by programme coun- the basis of the One Programme, is a
tries to the mandates and resources strategic, medium-term results frame-
of non-resident agencies. In transition work that describes the collective
countries, it is also an instrument for vision and response of the UN system
facilitating coherence with UN missions to national development priorities and
(when present). results on the basis of the normative
programming principles, and defines
The One Programme contributes towards
how the UN Country Team will contrib-
strong national ownership and govern-
ute to the achievement of development
ment leadership, increased transparency,
results, based on an analysis/assessment
reduced duplication, increased coher-
of country needs and UN comparative
ence of planning, and better delivery and
advantages. In countries where the
reporting of results, particularly on cross-
principles of integration apply, the
cutting development challenges. Where
UNDAF may be combined with an
applicable, agency-specific programmatic
Integrated Strategic Framework (ISF)12
documents should be harmonized and
and should capture the strategic
aligned with the UNDAF.
objectives of the whole UN presence13
and take into account humanitarian
11
Please see: UNDG UNDAF Guidance Materials.
12
For further information about the ISF, please see the Integrated Assessment and Planning Handbook.
13
The term “UN presence” covers agencies present in a country and non-resident agencies with activities in the country
including regional-based agencies.
CHAPTER 2: ONE PROGRAMME 11objectives and responses,14 with due not necessarily have to cover a period of
consideration given to the protection three to five years.
of humanitarian space, as warranted • The UNDAF creates a clear division
and agreed. of labour for Governments and devel-
• The UNDAF defines outcomes to be opment partners and within the UN
THE UNDAF achieved over the course of three to five system. The UNDAF results matrix serves
DEFINES years by the UN and partners, with due
consideration given to the importance
as a mutual accountability framework,
indicating which agencies will contribute
OUTCOMES of harmonization with the timing and
duration of the national planning cycle
to each outcome (and to each output,
if outputs are included). For transi-
TO BE ACHIEVED OVER whenever possible. It includes a results tion countries, national development
matrix at the outcome level and a legal priorities might include peace- and state-
THE COURSE OF annex containing the requirements building priorities and those should be
THREE TO previously included in the funds’ and captured in the UNDAF even when they
FIVE YEARS BY programmes’ Country Programme Action
Plan (CPAP) and in the UNDAF Action
are implemented by other UN actors.
• Strategic guidance and oversight are
THE UN AND PARTNERS Plan. The Government, other national exercised through a Joint National/UN
stakeholders, and the UN Country Team Steering Committee with the partici-
may opt to add outputs to the results pation of all national stakeholders as
matrix, provided that the detailing of defined in the UNDG UNDAF Guidance.15
outputs adds value. In general, it is In transition countries and depending
preferred to keep the UNDAF results at a on the configuration of the UN pres-
high level so that the UNDAF remains a ence, due consideration will be given
strategic and inclusive document. to facilitating linkages of development,
• The UNDAF is fully aligned with national humanitarian, security and political
priorities and the national development processes. Where a Peacebuilding Fund
cycle or with key national development is present, UN, government and inter-
initiatives where there is no unified national partners should consider the
national programme. The UNDAF feasibility of establishing a joint body
strengthens national ownership through to oversee the allocation and use of
participation in the development of the the Fund.
results matrix, coherent engagement in • The UNDAF drives joint and comprehen-
national and UN coordination processes, sive UN work planning and monitoring
and alignment of the UNDAF with for results. With some exceptions16,
national planning cycles. the UNDAF reflects the programmatic,
• In the initial phases of transition, where operational and communications work of
national programming cycles tend to all UN agencies, funds and programmes
be compressed, the UNDAF should be operating in the country.
aligned to the shorter cycle and does UNDAF outcomes are operationalized
and translated into concrete, measurable
14
In humanitarian situations, the UN system agencies should come together and organize themselves through the
Inter-Agency Standing Committee (IASC) cluster approach, except for refugee situations, where UNHCR is mandated to
assume the lead coordinating function.
15
In the UNDG UNDAF Guidance, “stakeholders” refers to governments, including line ministries; social partners, including
workers’ and employers’ organizations; other development partners relevant to a country context; civil society; and non-
governmental organizations (NGOs).
16
The exceptions are generally in terms of specific work activities (e.g. support of global public goods such as immuniza-
tion campaigns; normative and standard-setting initiatives in given sectors, etc.). There is the collective understanding of
the UN Country Team that UN agencies might undertake in a country activities that are not covered by the entire UNDAF
programme cycle.
12 STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACHand time-bound outputs and annual/ Country Results Report should replace
biennial action plans through the agencies’, funds and programmes,
Results Group (see Joint Work Plan(s) individual reporting requirements.
below). Results Groups are coordina- This report shall be inclusive of work
tion mechanisms. Each Result Group is performed by all funds, programmes and
chaired by a Head of Agency on behalf specialized agencies. However, it shall
of the UN Country Team. The Results not preclude individual agency-specific
Groups are organized to contribute reporting by specialized agencies as
to specific UNDAF outcomes through required by their governance structures.
coordinated and collaborative plan- • The UN Country Team and partners must
ning, implementation, monitoring and carry out at least one evaluation during
evaluation. Each Results Group creates an UNDAF cycle, normally during the
a joint work plan that is rolling in nature penultimate year. An exercise in learn-
and articulates short-term outputs (one ing and accountability, the evaluation
to two years) that will contribute to is intended to improve the quality of
the achievement of UNDAF outcomes, on-going and future UN programming,
performance benchmarks, division of coordination and partnerships.
labour and budgetary requirements. All
Results Groups use the same results-
based management tools and standards 2.3 IMPLEMENTATION
as agreed by the UNDG (and build from
The UN Resident Coordinator leads the UN
relevant measures among accepted
Country Team through the programming
performance indicators)17. To ensure
process to create a set of strategic results
maximum reduction of transaction costs
based on national priorities, the interna-
for all involved partners, the Results
tionally agreed development goals, and
Groups’ joint work plans will normally
the capacity and comparative advantages
be the only work planning instrument,
of the United Nations.
replacing agency-specific plans, except
where Governments require an agency
and/or (line) ministry work plan and/ Country Analysis and the
or the joint work plan cannot be signed Comparative Advantages
by all agencies within an agreed period. of the United Nations
Some specialized agencies may not The country analysis must inform the stra-
be mandated by their governance tegic planning step of the UNDAF. The UN
structures to replace their country Country Team reviews the existing analysis,
programmes and work plans in given including the evaluation of past cycles, and
sectors and thematic areas. determines whether additional analysis
• An annual UN Country Results Report is required. The UN Country Team deter-
encompassing programmatic, opera- mines its comparative advantages, ideally
tions, communications and financial through an independent assessment
results and based on outcome areas and that includes an analysis of its relevance
Results Group outputs documents the and capacity in terms of normative and
collective work of the UN development operational activities in relation to devel-
system in a country and the contribution opment priorities and needs as well as the
of the UN to the national develop- activities of other development actors. In
ment agenda. Normally, the annual UN countries in transition, either in special
17
Please see the UNDG Results-based Management Handbook.
CHAPTER 2: ONE PROGRAMME 13circumstances or where the principle of Establishment of the Joint National/
integration applies (and/or in humanitar- UN Steering Committee
ian contexts), the exercise should be an
Key points are:
integral part of the mandated joint analysis
of the whole UN presence.18 • Participation is inclusive (line ministries,
UN Country Team, UN mission as
UNDAF - Strategic relevant, and as deemed appropriate
Medium-term Planning in consultation with members of the
UNCT, other stakeholders as defined in
Based on the national development plan,
the UNDG UNDAF Guidelines (2010) and
the country analysis and the compara-
the Committee is co-chaired by the UN
tive advantage of the UN agencies, the
Resident Coordinator and Government
UN Country Team sets strategic priorities
Coordinating National Ministry;
and determines the division of labor for
programming and implementation, taking • Terms of reference for the Steering
into consideration the principle of inclu- Committee are jointly prepared
siveness. For transition countries, national and approved by the host country
development priorities might include Government and the UN system,
peace- and state-building priorities. The including roles and responsibilities,
planning process should include the membership, and approval and dispute-
totality of the UN presence and, specifi- resolution mechanisms;
cally in transition countries, inter linkages • In countries where aid coordination
should be ensured between the UNDAF mechanisms already exist, the Joint
and Integrated Strategic Frameworks, National/UN Steering Committee
where applicable, and possibilities for should be integrated into the existing
a single process and document should architecture;
be explored.19
• The Steering Committee should review
The UNDAF may be agreed and signed and confirm the strategic direction and
with the Government between January overall funding priorities for the One
and May of the year prior to implementa- Programme and should provide high-
tion. Any agency-specific programming level oversight and support; and
instruments required for approval • The Steering Committee normally meets
by Executive Boards and UN govern- one to three times per year with the
ing bodies should be submitted to the Resident Coordinator’s Office serving
governing bodies of UN entities in June/ as the secretariat in conjunction with
July for approval in September prior to relevant counterparts in the Government
implementation of the UNDAF in January and being responsible for information-
of the following year. In cases where the sharing with the UN Country Team.
UNDAF is aligned to the July-to-June
In addition, depending on the country
fiscal cycle, submission of agency-specific
context, UN Country Teams should strongly
programming instruments will be for
consider establishing national steer-
Board approval in January of the year
ing sub-committees linked to Results
of implementation.
Groups to replace project-specific steering
committees and oversight boards.
18
See decision 2008/24 of the Secretary-General on integration and his decision 2012/1 on special circumstances, which
request a joint assessment, analysis and planning for the whole UN presence in these countries.
19
See examples of Haiti, Liberia and others where the UNDAF and the integrated strategic framework (ISF) constitute one
process and are contained in a single document.
14 STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACHResults Groups and Joint preclude agency-specific work planning
Work Plan(s) and programming as required by their
governance structures;
The Results Groups are mechanisms
organized to contribute to specific • These joint Results Group-level work
UNDAF outcomes through coordinated plans are signed with the Government
and collaborative planning, implementa- wherever possible. Normally, line
tion, monitoring and evaluation. They are ministries that are programme partners
defined at the strategic medium-term should be signatories. If the Government
planning stage and are aligned to the requires an agency annual work plan
One Programme expressed in the UNDAF (AWP), it will be signed by relevant
results matrix. Each Results Group is led partner ministries;
by a designated Head of Agency who is a • To ensure programming coherence
member of the UN Country Team and who and linkages as well as to facilitate
is responsible and accountable for driv- reporting and tracking of the budget,
ing joint approaches for results as well as the Resident Coordinator Office will EACH
RESULTS
monitoring and reporting within a harmo- consolidate all outputs and budgetary
nized and coordinated framework. The information developed by the Results
leader is delegated to act on behalf of the
UN Country Team not as a lead agency but
Groups (the “joint programming results
matrix”) into a consolidated output GROUP
rather to fulfil a coordination and leader- document that includes the Common IS LED BY A
ship function on behalf of the UN system.
Other key points are:
Budgetary Framework;
DESIGNATED
• Using the same results-based
• All UN resources (including core,
non-core and the funding gap) will be
HEAD OF AGENCY
management tools and standards, presented in the work plan(s); and
WHO IS A MEMBER OF
each Results Group develops a one-to-
THE UN COUNTRY TEAM
• UN Country Team members leading the
two-year joint work plan that is rolling
Results Groups and UN Country Team
in nature and indicates short-term
members participating in those groups
outputs, commonly used perfor-
are accountable to the UN Country
mance indicators and context-specific
Team and the Resident Coordinator
performance benchmarks, respec-
for producing agreed results jointly, in
tive roles and responsibilities, and
full compliance with the Management
budgetary requirements;
and Accountability System. They also
• The joint work plan(s) serve as the only continue to be accountable to their
work-planning instrument, replac- respective agencies for their contribu-
ing wherever possible agency-specific tions to the work of the UN at country
plans, to drive and account for coherent level. UN Country Team members lead-
results delivery by the UN development ing the Results Groups are empowered
system or whole UN presence in coun- and accountable for driving joined-
tries where the principles of integration up implementation and overcoming
apply, particularly for areas of joint work bottlenecks to achieve results aligned to
between UNCT and UN missions. This UNDAF outcomes.
holds true except where Governments
and other national stakeholders require Monitoring, Reporting
an agency and/or (line) ministry work and Evaluation
plan and/or the joint work plan cannot
Results Groups will be guided by common
be signed by all agencies within an
terms of reference, with one of the key
agreed period. This process shall not
elements being active joint monitoring
CHAPTER 2: ONE PROGRAMME 15at the output level. The Results Groups It is important to note that:
undertake active monitoring and regularly
• The annual UN Country Results Report
adapt their plans to address identified
is developed by the respective Results
development bottlenecks and focus on the
Groups, including those on operations
most critical issues in order to contribute
and communications, and consolidated
to national development results in the
by the Resident Coordinator’s Office. The
most effective way. Reporting will focus
UN Country Results Report will be based
on progress in overcoming development
on the outcome areas to which each
bottlenecks (annually or more frequently)
Results Group contributes;
as well as outputs and outcomes.
• The annual UN Country Results Report
The designated UN Country Team members will be used to undertake an annual
THE ANNUAL leading the Results Groups report results at review of the One Programme, opera-
UN COUNTRY
two levels: (a) contribution to development tions and communications. This annual
progress (through the use of a common review will inform the development of
RESULTS REPORT evaluation framework for results at the
outcome level, i.e., collective account-
the next cycle of the Results Groups
work plans;
WILL BE USED TO ability of the team towards results) and
UNDERTAKE AN (b) attribution, i.e., individual account- • Agency-specific annexes extracted from
ANNUAL ability of each agency towards activities/
outputs carried out through monitoring of
the UN Country Results Report could be
included to meet reporting requirements
REVIEW OF THE the output-level results spelled out in the
annual joint work plans.
by Executive Boards/governing bodies,
whenever appropriate; and
ONE PROGRAMME, The respective Results Groups will contrib-
• A final independent evaluation will be
OPERATIONS AND ute to an annual UN Country Results
undertaken in the penultimate year of
COMMUNICATIONS. Report (covering programming, finan-
the cycle. Focusing on the contribu-
tion of each Results Group, including
cial, operations and communications),
operations and communications, to
integrating the One Fund Report and
the development results of the One
demonstrating the collective contribu-
Programme, it will feed into the new
tion of the UN development system to
programming cycle.
various aspects of the national devel-
opment agenda and to the country’s
development progress.
PLEASE VISIT THE UNDG WEBSITE FOR FURTHER TOOLS,
MATERIALS AND EXAMPLES ON THE ONE PROGRAMME:
•• UNDAF Guidance Materials
•• One Programme – Tools and materials
•• UN Evaluation Group Guidance Documents
•• Country Examples
16 STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH3. C
OMMON BUDGETARY
FRAMEWORK AND ONE FUND
3.1 GOALS
The Common Budgetary Framework and One Fund
approaches were adopted by all “Delivering as one” pilot
programme countries. These ‘Ones’ contributed to the align-
ment of UN operational activities with national plans and priorities,
by integrating all planned and costed UN programme activities. The
independent evaluation of “Delivering as one” particularly highlights that:
• The Common Budgetary Framework • Reduced duplication and fragmentation
is a major innovation that enables UN of activities through improved planning THE COMMON
Country Teams to present all planned and reduction of competition for funds;
and costed programme activities in one and
BUDGETARY
place and thus it contributes to better • Better delivery of results (due, among
FRAMEWORKS
delivery of UN system support; other factors, to the introduction of AND ONE FUNDS
• The One Fund is a catalyst for an performance-based allocation criteria ARE SEEN AS
inclusive approach to UN engagement,
encompassing a broader range of
under the One Fund), most notably on
cross-cutting issues. IMPORTANT
organizations; and
• Joint resource mobilization is a major
The Common Budgetary Frameworks
and One Funds are seen as important TOOLS FOR
innovation in all countries adopting the
“Delivering as one” approach.
tools for reporting to Governments and
donors, promoting resources that are
REPORTING
TO GOVERNMENTS
“less earmarked and more predictable
The independent evaluation of “Delivering
than other forms of non-core funding”
AND DONORS...
as one” further recognizes that the
Common Budgetary Framework and One and driven by programme needs. They
Fund approaches contribute towards: also facilitate coherent resource mobiliza-
tion by the Resident Coordinator and the
• Enhanced national ownership through UN Country Team for implementation of
increased transparency and flexibility agreed costed result areas from the One
for Governments due to the completely Programme work plans.
un-earmarked or loosely earmarked
nature of funding under the One Fund.
This flexibility allows for governments to 3.2 MAIN ELEMENTS
mobilize UN expertise and assistance in
Medium-term Common
innovative areas, and to ensure partici-
Budgetary Framework
pation of non-resident agencies and
agencies with limited in-country pres- • A medium-term (three-to–five-year)20
ence when their expertise is needed; Common Budgetary Framework,
20
In the initial phases of transitions, where national programming cycles tend to be compressed, the UNDAF (and
consequently the ensuing budgetary framework) should be aligned to the shorter cycle and not necessarily cover a
period of three to five years.
CHAPTER 3: COMMON BUDGETARY FRAMEWORK AND ONE FUND 17supporting the One Programme, joint resource mobilization will be
operations and communications supplemented by agency-specific
and designed as a planning resource mobilization.
and management tool at the
disposal of the UN Country Monitoring, Reporting
Team, provides a holistic over- and Evaluation
view of required, available and
• Monitoring of the Common Budgetary
expected funding sources, and
Framework and One Fund is built into
any gaps in funding to support
the monitoring and reporting mecha-
delivery of the One Programme. It
nism of the One Programme and joint
also provides a basis for setting fund-
work plan(s). Results Groups, the
ing priorities, mobilizing resources
Operations Management Team and
to cover funding gaps and allocating
Country Communications Group report
resources (in the case of the One Fund).
on resource mobilization and allocations
• The Joint National/UN Steering for their respective work plans.
Committee (see the section on the
One Programme) sets overall funding
priorities for the One Programme.
3.3 IMPLEMENTATION
Strategic Medium-term Budgeting
Operationalization Define a Common Budgetary Framework
and Management
• As part of the UNDAF(see the section
Important elements include: on the One Programme), define the
• The One Fund is an optional but recom- Common Budgetary Framework, which
mended mechanism to complement includes an estimate of the available
agency core and non-core fund manage- and expected funding sources for each
ment modalities, following the principle outcome area (including the Results
that programming drives the funding; Groups, Country Communications Group
(CCG) and Operations Management
• Agreed roles and responsibilities of
Team (OMT) Results Groups). This
the Resident Coordinator, Results
Common Budgetary Framework is an
Groups, UN Country Team and Resident
estimate for the entire programming
Coordinator’s Office for budget develop-
cycle and will be further updated,
ment and management and for resource
revised and detailed through the joint
mobilization and allocation;
annual work plans of the Results Groups,
• Annual Common Budgetary Framework Operations Management Team and
as an agreed, joint source of financial Country Communications Group.
information on available resources and
• The process should be as light as
expected funding and as a basis for
possible taking into account that (a)
joint resource mobilization and alloca-
precise costing at the outcome level is
tion of resources from the One Fund (if
problematic; (b) agency budgets are
applicable); and
defined differently; and (c) precise cost-
• A joint resource mobilization strategy ing and identification of funding needs
to ensure a coherent approach to often can be made only on an annual/
fund-raising activities in country, with biannual basis.
inter-agency coordination under the
• The Common Budgetary Framework will
leadership of the Resident Coordinator
include (a) estimated agency contribu-
representing all agencies’ interests;
tions, with disaggregation by core and
18 STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACHYou can also read
