UNDG/ECHA-CWGER
INTRODUCTORY NOTE TO THE TRANSITION GUIDANCE TOOLKIT
1. INTRODUCTION
This note is intended to provide an overview to UN Country Teams on the various tools currently
available for the development and funding of transition strategies in post-crisis situations. For the purpose
of this note post crisis transitions refer to the transition period following both conflict and natural
disasters. It is a product of the UNDG/ECHA Working Group on Transitions and the IASC Early
Recovery Cluster Working Group (CWGER).
These groups aim at improving the UN’s effectiveness and impact in post-crisis settings. The
UNDG/ECHA WG supports the UN system’s work through the entire process of transition; while the
IASC CWGER focuses specifically on the identification and the implementation of initial early recovery
activities at the onset of transition process.
Several tools and guidance on transition have been developed, based on lessons learned and practical
experience at country level. This introductory note provides a synopsis of these different tools, as well as
a brief description of their content and application. It also highlights some key guidance materials and
tools that are in development, and will be finalized and disseminated in the coming months.
This note and toolkit does not cover a number of additional tools currently under development to support
integrated conflict analysis and planning for use in crisis and post-crisis countries where UN
peacekeeping operations or political missions/offices operate alongside UNCTs1. In these cases, the
requirements established by the Secretary-General’s Decision on Integration and the Integrated Mission
Planning Process (IMPP) apply.
2. CHARACTERISTICS OF TRANSITION
For the purposes of this note, ‘transition’ refers to the period of transformation when a country emerging
from crisis undertakes a recovery process. Post-crisis transition here refers to transition following both
natural disasters and conflict, or political crisis, recognizing the inherent differences in the context.
Following conflict or political crisis, transition normally takes place in a highly complex environment
characterized by a weak or weakened institutional and governance setting; threats to peace and stability;
co-existing humanitarian and long term needs; and the presence of a wide range of international and
national actors working in a challenging coordination environment. In this complex setting, the UN can
play a critical role in promoting commonality of vision and action. In contrast, for natural disasters the
transition period is usually characterized by strong intact governments which may experience short-lived
capacity deficiencies in their local governance structures within the disaster impact areas. The post
disaster transition situation may therefore represent an environment where national actors are more
quickly able to assume a leadership role in the recovery process.
For the UN, transition implies a shift away from a strictly humanitarian response to an approach now led
by national actors that includes planning and implementation of recovery initiatives, reconciliation and
peace consolidation. During transition, the aim of the UN System should therefore be to assist national
1
SG decision 2008/24, 25 June 2008.
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authorities to initiate immediate, priority crisis resolution and recovery actions, and to lay the
groundwork, including the capacity, systems and relationships needed to embark on a longer-term
development path.
The graph below shows the different phases of the process from relief to development:
Early recovery is an essential component in the process of the transition period from relief to
development, when a country and communities re-establish themselves after a crisis. The UN and other
actors’ contribution to early recovery begin while humanitarian activities are ongoing. In this context,
early recovery is designed to help create a life-sustaining environment and to lay essential foundations for
full recovery and a return to longer-term development.
3. CONTENT OF THE TRANSITION GUIDANCE TOOLKIT
The Transition Guidance Toolkit has been developed by the UNDG/ECHA Working Group, and the
CWGER. Its purpose is to provide guidance to UNCTs and partners in transition countries and includes
tools, lessons learned and methodologies for the main building blocks of a UN response to post-crisis
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challenges, from strategic planning, to assessment/analysis to programming and funding. As such, the
Transition Guidance Toolkit includes the following elements:
4.1 Planning for transition
4.1.1 Processes
Post-Conflict Needs Assessments (PCNA): The Post-Conflict Needs Assessment (PCNA) is a
methodology to map the needs of a country emerging from crisis or conflict and define a set of priorities
and their financial implications.
The PCNA provides a common analytical platform to align the activities of different actors and
stakeholders in order to provide coherent support to a country in transition. National actors such as
elected officials, public servants and civil society representatives lead this process. The assessment results
in a Transitional Results Framework (TRF) which is the plan of action consolidated and costing the
identified priorities.
The value of the PCNA methodology comes not only from its substantive analysis and prioritization, but
also from the assessment process, which can help participants to build consensus, to build ownership of
priorities that are focused on the future, and to move towards peace and reconciliation.
The PCNA/TRF tool kit is a compilation of guidance, reviews, lessons learned and good practices aimed
at informing on the process and products of the PCNA.
Post Disaster Needs Assessment and Recovery Framework (PDNA): The primary objective of the
PDNA is to facilitate the recovery from a disaster to the goals of the development process. The PDNA
provides a framework for an integrated, synergic assessment of disaster impacts involving two
perspectives: (i) the valuation of physical damages and economic losses; and, (ii) the identification of
human recovery needs. It takes into account the overlapping phases in disaster, the integration of gender
issues, national capacity enhancement, international response coordination, linkage to national
development goals and how when and why to apply the PDNA.
Common Country Assessment/United Nations Development Assistance Framework (CCA/UNDAF):
The CCA is the joint UN assessment and analysis of a country. The UNDAF is the strategic programme
framework for the UNCT. Based on the CCA, the UNDAF describes the collective response of the UNCT
to the MD/MDG related priorities in the national development framework. The CCA/UNDAF focuses in
the areas where the UNCT can make the biggest difference; the process attempts to address root causes of
the challenges identified in the assessment.
The new CCA/UNDAF guidelines respond to the need for more flexibility to conduct country analysis
and to develop the strategic programming framework in transition settings. The guidelines focus on the
roadmap, country analysis, strategic planning and monitoring and evaluation. The guidelines are
complemented by a technical guidance with detailed information on process and tools.
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In countries where the development of a CCA/UNDAF would be impossible, for example where no
government is in place, UNCTs may develop a Transition Strategy. This is an unofficial term used to
refer to the UN’s strategic response in the aftermath of a conflict or disaster-related crisis. The term
“transition strategy” should be understood to encompass UN objectives variously related to early
recovery, reconstruction, peace-building and peace consolidation.
The Guidance Note on Transition Strategy is designed to provide guidance on the overall framework
and process for developing strategic plans during the transition phase. It outlines the key principles and
components of the strategic planning process, such as the needs assessment, conflict assessment, and
funding options. Building on the revised CCA/UNDAF guidelines, the note emphasizes the
characteristics of planning in transition, and focuses on the elements of strategic positioning to guide
UNCTs in determining how it can best contribute to a country’s transition needs.
Strategic Assessment (SA): The Strategic Assessment provides a mechanism for joint analysis and
strategic discussions that cut across the political, security, development, humanitarian and human rights
aspects of the UN’s work. It brings together the key UN departments and agencies in each of these areas
and is intended to allow senior decision-makers, in particular the Secretary-General, to consider new or
re-oriented forms of UN engagement based on the country’s needs. It builds upon existing department
and agency analysis and assessment processes as well as relevant outside research. The SA is an
assessment process, not a planning one. Its focus is strategic rather than operational.
The purpose of the Strategic Assessment Guidelines2 is to outline a process for UN staff to conduct an
inter-departmental and inter-agency Strategic Assessment of a political crisis, conflict or post-conflict
situation.
IMPP (Integrated Strategic Framework): UNCT and multi-dimensional peacekeeping operations or
political/missions/offices working in the same transition setting should have a shared vision of the UN’s
strategic objectives and a set of agreed results, timelines, and responsibilities for the delivery of tasks
critical to consolidating peace. The ISF is the process through which the UN presence in a country
achieves this.
The IMPP Guidelines: Role for the Field3 describe the process and advice on integrated field
coordination and shared analytical and planning capacities. These guidelines complement the IMPP
Guidelines which give advice on integrated strategy and planning from a HQ perspective (link)..
Implementing Early Recovery: Early recovery addresses a critical gap in coverage between humanitarian
relief and long-term recovery—between reliance and self-sufficiency. While working within a
humanitarian setting, early recovery team workers have their eyes on the future—assessing damages to
2
For more information on these guidelines please contact the focal point for integration in DOCO
(http://www.undg.org/docs/10575/DOCO's-Who's-Who_December-2009_for-UNDG-website.pdf)
3
Ibid.
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infrastructure, property, livelihoods, and societies. Their goal is to enable a smoother transition to longterm recovery—to restore livelihoods, government capacities, shelter—and offer hope to those who
survived the crisis.
The Guidance Note on Early Recovery, developed by the Cluster Working Group on Early Recovery
(CWGER), provides step by step guidance on how to identify, plan, implement and monitor opportunities
for recovery during the humanitarian phase and onward into the longer-term transition period. In addition
to explaining how to establish and maintain Early Recovery Clusters and Networks and access support
from the global CWGER, it sets some basic guiding principles and minimum standards for intervention;
provides a range of tools and further resources that may be of use to practitioners; and set the stage for an
effective evolution into longer-term recovery processes.
4.1.2 Tools
Conflict Analysis: The revised PCNA guidelines, as well as the new CCA/UNDAF guidelines, place
renewed emphasis on conflict analysis and the need to assess needs and potential responses through
conflict sensitive lenses. Such emphasis must follow through to the planning and the implementation
phase of the UN response. Therefore, in order to ensure that UN programmes are based on a common
contextual analysis of the key elements of peace building, a Conflict Analysis Framework has been
developed under the guidance of the UNDG/ECHA Working Group.
The Conflict Analysis Framework offers a methodology designed to guide the UNCT in its analysis of
key conflict factors, essential actors and existing or potential capacities for peace. It is not a standalone
tool but should be comprehensively applied as a lens through which to design the UNCT transition
strategy. The analysis should be followed by a mapping of ongoing responses and an assessment of the
impact of those responses, in order to identify gaps and needs for strengthening the conflict sensitivity of
on-going interventions.
Conflict Analysis and Prioritization: The objective of this tool is to assist planners use the results of
conflict analysis within a transition setting to ensure that planning –including prioritization- and
programming emanate from the conflict analysis, are conflict sensitive and can be monitored.
Although part of the PCNA/TRF Tool Kit the conflict analysis and prioritization tool can be applied to
any planning process.
Framework for Durable Solutions for Internally Displace Persons: In 2004, a guidance note was
developed on this issue, providing UNCTs which identify population displacement (refugees, internally
displaced persons (IDPs) and/or returnees) as a key challenge facing the country and which seek to
include strategic policies and programmes, in line with the national priorities, into the UNDAF and its
results-based matrix. More recently, at the request of the UN Office for the Coordination of Humanitarian
Affairs (OCHA), the Representative of the UN Secretary-General on Internally Displaced Persons (RSG)
began the process of developing a set of benchmarks to provide guidance on determining when an
individual should no longer be considered to be in need of protection and assistance as an internally
displaced person. The RSG, in cooperation with the Brookings-Bern Project on Internal Displacement and
Georgetown University’s Institute for the Study of International Migration, later joined by the Internal
Displacement Monitoring Centre of the Norwegian Refugee Council, hosted three meetings to gain the
input of international organizations, governments, nongovernmental organizations and experts on internal
displacement. The organizers also commissioned case studies that were published in a special issue of
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Forced Migration Review. The project is being completed under the guidance of the current RSG, Walter
Kalin4. In the IASC WG meeting of March 2007, it was decided that this document should be considered
a framework and was welcomed as such by the IASC WG. 5
4.2 Funding for transition
The above-mentioned elements concentrate on the planning phase of the transition. Once the planning
process concluded, the funding question is raised. However, ensuring sustained funding flows during the
transition from relief to development remains a largely unresolved challenge and constitutes one of the
main characteristics of the transition ‘gap’. Despite compelling evidence of the linkages between risk
reduction and development, it is still much easier to mobilize support for relief efforts than for recovery
activities.
Against this background, the Transitional guidance Toolkit also compiles guidance and description of the
different funding instruments which have been developed that can be used to fund early recovery and
longer term recovery activities (including the traditional humanitarian funding instruments namely: Flash
Appeals, Consoildated Appeals, Central Emergency Response Fund, Common Humanitarian Pooled
Funds and Emergency Response Funds).The three main recovery/development oriented instruments
namely: Multi-donor Trust Funds, Transitional Appeals and the Peace Building Fund are described
briefly below:
Multi-Donor Trust Funds (MDTFs): A number of MDTFs have recently been established in post
conflict settings. MDTFs are sometimes mandated by peace agreements or are established as a product of
a PCNA process. In response, the UN system has strengthened its capacity to participate in and manage
such pooled funding mechanisms through the creation or strengthening of dedicated expertise within the
agencies. At the inter-agency level, systems and procedures, including standard agreements, have been
established to reduce both transaction costs and the time required for the UN to establish an MDTF in
which agencies can participate and channel resources to transition activities. The UNDG has developed
guidance on how MDTFs are structured, and how the UNCT can participate in them.
Transitional Appeals: in some cases, UNCTs have used the appeal mechanism by expanding its scope to
include funding for (early) recovery activities. Experience to date shows that success hinges on the extent
to which the Appeal reflects and is based on a solid strategic approach and the level of engagement with
government and donors from the outset. Building on lessons learned, the UNDG has also developed
specific guidance on how to incorporate recovery activities in appeals, in addition to and beyond their
traditional humanitarian focus.
4
For meeting reports, see www.brookings.edu/fp/projects/conferences/contents.htm.
As an update to these developments, UNDP in collaboration with the RSG’s office, UNHCR and OCHA, co-organized a
workshop to look at the application of this framework within early recovery contexts. The workshop led to the revision of the
framework to take into account new opportunities created by early recovery and the specific challenges faced by IDPs affected
by natural disasters. This revision process is being co-led by the RSG’s Office, UNDP and UNHCR, and is expected to be
completed by the end of 2009.
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The Peacebuilding Fund (PBF): in recognition of the time lag often needed to develop more sustained
funding mechanisms for transition processes, the international community agreed to establish a
Peacebuilding Fund within the new peacebuilding architecture at the UN. The PBF is designed to
address immediate peacebuilding needs in countries emerging from conflict at a time when other funding
mechanisms are not available. The Fund is managed by the UN peacebuilding support office (PBSO) and
administered by UNDP. As such, UN agencies can access resources meant to provide catalytic support
until longer term instruments are put in place. Countries can have access to PBF resources either by being
referred by the Peacebuilding Commission or at the discretion of the Secretary General. In addition, the
PBF has recently opened an emergency window whereby the UN presence on the ground, can request
immediate support for specific peacebuilding projects.
All these mechanisms are often designed to supplement, and not replace established bilateral channels
between UN agencies and donors. In fact, even in situations where pooled funds have been established,
donors need to be reminded that agency-specific funds (reserve and/or emergency funds) are often still
appropriate to jump start activities that may then be supported through other sources. Therefore, a UNCT
strategy for transition can be funded through a combination of those mechanisms, including individual
bilateral fundraising. For example, the appeal can either be the costed strategy or a costed section of the
strategy, if the UNCT chooses to use the appeal only for specific components and programmes of its
transition strategy. Some components of the strategy may be better suited to an appeal while others may
correspond to the focus of an MDTF, if one has been established, or funding from PBF. Therefore, a
costed plan or strategy, for example a Transitional Resource Framework (TRF), should include
information on existing funds and the balance for which support is being requested, at the disaggregated
project level as well as the consolidated level. It is also important that financial requirements, and the
structure under which they are presented, be in line with the costing of the national priorities, to ensure
consistency and transparency.
In addition to these transition specific funding instruments, depending on the specificities of the country
and situation, it may be appropriate to include activities related to early recovery activities and transition
activities in general, within financial instruments normally used for the emergency funding, such as flash
appeals.
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