Implementation Plan for 2010 UNDAF roll-out: Strengthening UNCT capacity for quality UNDAFs
1. Introduction:
The UNDG Chair, in her letter dated 21 October 2009 to Resident Coordinators (RC) and UN Country
Teams (UNCT), stressed that the UNDAF is a vital expression of what the UN stands for at the county level and encouraged a step change in the relevance and quality of the next generation of UNDAFs. In the next three years, nearly 90 countries are expected to roll out their new UNDAFs. In response, in
2009 the UNDG has produced a package of programming guidance that aims to empower UNCTs to engage more strategically in national planning processes, while strengthening the coherence and impact of their collective responses to the national development agenda. This package of programming guidance is expected to be approved by UNDG in December 2009. However, there is recognition that even the most strategic UNDAF will not make a difference unless the UN development system ensures that the right capacities are put in place to deliver the UNDAF results. Hence, a UNDG proposal, aimed at enhancing capacities at country, regional and global levels for better quality UNDAFs that embody the strategic vision of the UN’s contribution to national development priorities, has been developed.
In June 2009, the UNDG was presented with a proposal which focused on three critical areas, where the
UNDG needs to enhance its support for UNDAF design and implementation. These areas relate to: (i) the need for stronger leadership and consistent messaging across the system and at all levels to reinforce the significance of the UNDAF to individual agency programming; (ii) the need for collection and dissemination of lessons learned and good practices and (iii) the need to ensure that UNCTs not only have the right skills mix at country level but can better access technical expertise from the wide range of resources available across the UN development system.
In its review of the proposal, the UNDG endorsed the cost-neutral interventions, which mostly relate to a series of measures that demonstrate stronger leadership at all management levels for improving the quality and relevance of the UNDAFs. This includes a better functioning quality assurance and oversight mechanism that helps to establish individual and collective responsibilities and accountabilities as prescribed in the Management and Accountability System, approved in 2008. The UNDG requested the proposal with a lower-cost scenario and an implementation plan to operationalize it. Drawing on the proposal, this paper elaborates an implementation plan for 2010 UNDAF roll-out countries, in response to key questions discussed below.
2. What are the key features of a high-quality UNDAF?
First and foremost, a high quality UNDAF strategically positions the UN’s support for national development priorities, in areas where the UN has a comparative advantage. In doing so, a high-quality
UNDAF better supports the achievement of the MDGs, and aligns fully with the national planning and programming processes. It demonstrates a rigorous application of RBM and mainstreams the five programming principles. A high-quality UNDAF process is inclusive. It builds a relationship between an
UNDAF as a strategic framework and the operational documents of individual agencies or the UNDAF action plan, where relevant.
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3. How are we currently supporting the UNDAF roll-out countries?
UNDG provides $30,000 to each UNCT for a 2 year period for UNDAF development. The Regional
Directors Teams (RDTs) provide quality assurance support to the countries through the inter-agency quality support and assurance (QSA) mechanism of peer support groups (PSG). UNDG-DOCO, UNSSC and
QSA groups provide technical support through global, regional and in-country workshops and trainings, toolkits, policy guidance and off-site support. A major focus of the support is for planning the UNDAF process and, in select countries, for enabling UNCTs to engage in a strategic prioritization process through the UNDAF.
4. What are the challenges in the current support for UNDAF roll-out?
UNDAFs are increasingly aligned to country processes; however, many UNDAFs continue to lack a strategic focus based on a sound analysis of comparative advantage. There is a need to reposition the
UNDAF as a strategic instrument for advancing national development priorities and the MDGs. There are varying levels of commitment among agencies in dedicating staff resources for UNDAF development.
Mixed messages from agencies create challenges for UNCTs on the value of common country programming. There is often a disconnect between the UNDAF and agency programming process.
Training and toolkits alone cannot guarantee sustainable capacity at the country level. Peer learning needs to be actively supported. Solid examples of UNDAFs and innovations are few and far between.
Mechanisms for quality assurance and sharing good practices need to be more effective. Capacities to integrate key programming principles remain uneven across the system, in areas such as, capacity development and RBM. Off-site support can be sometimes limiting. Countries need both strategic and operational support, including more hands-on guidance in the areas of strategic planning, programming principles, RBM/M&E and joint programming. Often the support is heavily focused on producing good
UNDAFs and huge gaps remain in translating the strategy into action.
5. What can we do better to support the next generation of UNDAF roll-out countries?
The new simplified UNDAF process will introduce the flexibility required by UNCTs to adapt to varying national realities. UNCTs are accountable for high-quality UNDAFs. UNCTs must be enabled to produce high-quality UNDAFs, implement them, demonstrate results and remain accountable. Support needs to be country-focused. It needs to balance strategic and hands-on support and enable countries and regions to institutionalize capacities rather than create parallel structures. It is essential to prioritize the capacity improvement of national staff and government counterparts, and local institutions.
At the country level, UNCTs must mobilize, among UN agencies, in-country support, to the extent possible. RDTs can make all efforts to link country teams to sub-regional and regional networks of technical expertise, as required. Regional and sub-regional training institutes can be leveraged for supporting countries to develop and deliver high-quality UNDAFs and bridge capacities where they are deficient. Regions and Headquarters can support UNCTs through policy guidance, guardianship of norms and standards, technical advice, training, quality assurance, knowledge management, networks of experts and institutions, and support missions. At all levels, agencies are required to dedicate financial and human resources. This is reflected in the matrix below.
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6. How can we better support 2010 UNDAF roll-out countries?
One guidance package for UNDAF: It is expected that by end-December, one comprehensive package of
Guidance on UNDAF will be available for all UNCTs and RDTs. This comprehensive package will be timely for the countries rolling out their UNDAFs in 2010. This package includes:

UNDAF Guidelines [How to prepare an UNDAF: Part (I) Guidelines for UN Country Teams; How to prepare an UNDAF: Part (II) Technical Guidance for UN Country Teams]

UNDAF Action Plan (optional)

UNDAF Progress Report
Focus areas of implementation plan: For enabling UNCTs to apply and deliver this comprehensive package, the implementation plan for 2010 UNDAF roll-out support will remain focused on: (i) stronger leadership accountability that ensures consistent messages and visible actions by managers to improve quality of UNDAFs as well as the commitment of agencies to dedicate staff resources; (ii) solid knowledge base that supports further development and implementation of high-quality UNDAFs; and
(iii) better capacity that ensures skills and resources are sustained nationally and regionally for highquality UNDAF design and implementation. Actions will be undertaken at each level: country, regional and HQ/UNDG. These are captured in the implementation plan. While some actions have no costimplications (actions for ‘stronger accountability’), costs are indicated against others. However, it should be noted that there are several assessments underway that are likely to have additional cost implications in 2010.
Country and regional needs: The implementation plan for 2010 UNDAF roll-out support aims at responding to some critical needs of the country and regional teams for:

Enhancing skills for effective engagement in strategic planning processes: Country and Regional teams need a more comprehensive training programme on common country programming.
Such a training programme needs to refocus skills enhancement on core areas of the UNDAF guidance package, such as, (i) how to develop a roadmap and undertake a strategic planning exercise with full stakeholder participation; (ii) how to conduct a comparative advantage analysis and delineate a clear division of labour; (iii) how to set priorities and plan for results that support country needs; (iv) how to apply the programming principles and other crosscutting issues in common country programming (v) how to develop a coherent action plan for operationalizing and managing the UNDAF. This comprehensive training programme can be complemented with technical training materials on the core programming principles, their interlinkages, and other cross-cutting issues. Instead of conventional methodologies, the comprehensive training programme needs to be practical, supported with case studies, innovative methods and country examples. Training needs to be further complemented with direct hands-on support in the form of policy advice and strategic guidance (example through
FAQs) on applying the new UNDAF guidance package. To build the necessary capacities, regional training programmes for relevant UNCTs will need to be organized and a cadre of resource
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people in each region would need to be trained. To the extent possible, in-country support will be provided.

Maximizing local potential: UNCTs need to boost their in-country capacity of country office staff, particularly programme officers and technical advisers, to substantively engage in UNDAF formulation, rather than relying solely on external support including consultants. UNCTs need to be equipped with a skills mix that can enable them to deliver upstream policy advice and technical support tailored to local contexts. The lack of dedicated capacities for RBM and M&E continues to undermine quality programming and the ability to effectively manage for results.
The UNDG needs to give serious consideration to bridging this gap at all levels of the UN development system.

Improving access to networks of technical experts and regional institutes: Additional technical expertise needs to be mobilized both at the country and regional levels to bridge capacity gaps identified by the UNCTs. RDTs need to be enabled to better coordinate technical expertise and link country teams to available networks of expertise in line with their core functions. Existing networks of national and sub-national; regional and sub-regional institutes and experts need to be leveraged. There is a particular demand for technical expertise in areas that enable better programming, such as, in aid effectiveness, capacity development, RBM and M&E, as well as in substantive and technical areas related to advancing on the MDGs and addressing other global challenges, including climate change and impact of the global economic and financial crisis, that are threatening to reverse progress in many countries.

Empowering through a better knowledge base: Countries and regions need more experience sharing forums; peer-to-peer exchange missions; regional and cross-regional analyses and synthesis of developing high-quality UNDAFs and delivering them in action; reinforcing information exchange from experiential learning to improve programming and policy guidance.
A knowledge management system is needed to connect the flow of experiences and lessons through the local, regional and global levels.

Enhancing the quality assurance system: Country, regional and global mechanisms need strengthening for assuring the quality of common country programming. UNCTs need a better self-assessment of UNDAF quality. RDTs need to be involved early in the UNDAF formulation process to assure quality. There are some good experiences of PSG contributions to high-quality
UNDAFs. There is need to draw on such experiences and reorient the PSGs on how to add value in making UNDAFs more strategic and coherent. The UNDG must be able to track progress towards quality UNDAF programming through oversight mechanisms, as well as, a better feedback loop from country experiences to improve policy and programme guidance and tools.
The actions in the implementation plan respond to the critical needs discussed above.
Minimum support: 46 countries are currently listed for UNDAF roll-out in 2010. The total break-up of the 46 countries are: Asia & Pacific = 6 countries; Arab States = 7 countries; Europe & CIS = 4 countries;
Africa = 17 countries; Latin America & Caribbean = 12 countries. However, going by past trends, 1/3 rd of the countries are likely to seek extensions. The implementation plan takes this factor into account.
At a minimum, all UNDAF roll-out countries will receive support for planning an UNDAF roll out. All countries will participate in the regional training programme. They can access available networks of
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regional and sub-regional resource persons and institutes that will be trained and/or mobilized to support the UNDAF roll out process.
Prioritized countries: Some countries will be prioritized for receiving in-country support. The prioritized countries will be identified by RDTs based on criteria, such as, capacity needs, locally available expertise, and special circumstances. For countries that volunteer to follow in the direction of the DaO pilots and seek to apply a range of programming and management practices, additional support may be provided on a case by case basis, depending on the needs and available capacities. In addition to the above mentioned support arrangements, countries in transition are being considered for enhanced in-country dedicated capacities under a separate proposal that was approved by the UNDG on 2 June 2009.
Scope of implementation plan: While this implementation plan is mostly confined to the programme support that will be provided for the UNDAF roll-out phase, it should be recognized that the support package will also contribute towards enhancing capacities for operationalizing the UNDAF. The draft implementation plan does not cover the dedicated support that is currently being provided to the DaO pilots, some countries that have voluntarily decided to follow the DaO approach, and the countries in transition, support for which is budgeted separately. Similarly, support for country office business operations (including common services, procurement and ICT) and for the application of the guidelines on the One Fund and the Common Budgetary Framework, once approved, will be integrated but covered under a separate budget.
7. Implementation plan for UNDAF roll-out support in 2010
WHO? WHAT?
Country level Stronger accountability
HOW? (timing of actions reflected in italics) HOW MUCH?
RC secures commitment of UNCT through an inclusive approach and consistent messages on strategic importance of high-quality
UNDAF (Ongoing)
No cost implications.
RC provides input to the performance appraisal of UNCT members on their contribution to UNDAF (mid-year & annual)
UNCT and RC develop a roadmap to manage an inclusive process of UNDAF design and the required roll-out support (1 st quarter)
Solid knowledge base UNCT and RC conduct critical analyses of country experiences of UNDAF development process and implementation, including drawing on the UNDAF evaluation and annual review of year 4 (Ongoing)
UNCTs share experiences, lessons learned and innovations through CPN, RCARs, and other platforms, including the UNDG website (Ongoing)
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WHO?
Country level
(contd.)
WHAT?
Better capacity
Total Costs
HOW? (timing of actions reflected in italics) HOW MUCH?
UNCTs map available capacities within agencies, in accordance with UNDG toolkit, in key UNDAF areas (strategic planning; RBM
& M&E; UNDAF Action Plan/JPs; core programming principles; substantive areas).
Capacity assessment covers quantitative and
$1,750,000
(@ $50,000 per UNCT for 35 UNCTs)
UNCTs are given flexibility in using this lump sum amount for qualitative dimensions. Based on selfassessment, UNCTs determine type of additional expertise, if required (1 st quarter)
UNCTs apply quality assurance tools and guidance (provided by RDTs and HQ) for undertaking a better self-assessment of
UNDAF quality (Ongoing)
UNCT and RC constitute a core team of country office staff who undergo a regional training programme and subsequently develop the UNDAF, with stakeholders (1 st
quarter). UNCT members dedicate staff time for UNDAF development and implementation; encourage country office staff (programme officers, technical advisers) to develop their capacity as UNDAF facilitators. This function is included in the staff member’s TOR and performance appraisal.
UNCTs and RCs determine additional external support required from regional resource persons. UNCTs prioritize identification of thematic experts from national and sub-national institutions to sustain national capacity (1 st quarter) strengthening knowledge base and improving capacity for high-quality UNDAFs.
Note: this lumpsum will be provided once the
UNDAF formulation roadmap is reviewed by
DOCO, in consultation with the RDT.
Note: this lumpsum will not be provided to countries that are already receiving additional support through, for example,
DaO, self-starters, countries in transition.
RDTs, with DOCO support, will determine in-country support to prioritized countries based on criteria, such as, capacity needs, locally available expertise, and special circumstances.
$1,750,000
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WHO?
RDTs
Total costs
WHAT?
Stronger accountability
Solid knowledge base
Better capacity
HOW? (timing of actions reflected in italics)
Agency Regional Directors and RDTs send strong consistent messages to UNCTs, through regular contact, on the strategic importance of UNDAFs and their alignment with agency programming and comparative advantage (Ongoing)
RDTs support RCs in strategic visioning and leadership on high-quality UNDAFs through regional meetings, videoconferences, support missions (Ongoing)
RDTs consider UNDAF quality in the performance appraisals of RCs and UNCT members (mid-year &
annual)
RDTs institutionalize a quality assurance function; follow-up on recommendations of global QSA assessment. RDTs further ensure that PSG is functioning and agencies dedicate staff time for this function (Ongoing)
RDTs support sub-regional and regional forums for exchange of PSG good practices; collection and dissemination of country experiences and innovations in developing and implementing
UNDAFs. (Ongoing)
RDTs map available expertise in the region and mobilize regional pool of resource persons/regional institutes for UNDAF roll-out support, including quality assurance. RDTs prioritize the participation of regional advisers (from agencies) as resource persons for roll-out support and technical support as needed by UNCTs. This function is included in the staff member’s TOR and performance appraisal.
Regional resource persons participate in the regional training programme organized by
DOCO/UNSSC, in coordination with RDTs (1 st & 2 nd
quarters)
RDTs organize regional briefing workshops with the
RCs/HoAs of the UNDAF roll-out countries to build a common understanding of common country programming process (1st quarter)
RDTs are supported with one additional professional expert (1 per RDT). The expert coordinates technical expertise and provides substantive country based policy advice during the
UNDAF design and implementation (1 st quarter )
(Note: it is recommended that the post is advertised for 2 years to attract good caliber candidates)
HOW MUCH?
No cost implications
Funded activity under RDT annual workplan
No cost implications
$600,000
(@ $100,000 lumpsum per RDT for UNDAF roll-out support). This is in addition to the support RDTs receive for implementing the
RDT annual workplan.
$1,200,000
(@ $200,000 per
RDT)
(Additionally, agencies to commit resources on costsharing basis for maintaining regional pool and network of resources)
$1,800,000
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WHO?
HQ/
UNDG level
WHAT?
Stronger accountability
Solid knowledge base
HOW? (timing of actions reflected in italics)
UNDG Chair sends strong messages, including yearly letter, to HoAs, RDTs, RCs and UNCTs on the strategic importance of high quality UNDAF and their alignment with agency programming and comparative advantage. Executive heads of UNDG agencies send similar strong messages to respective
Regional Directors, Country
Directors/Representatives on the importance of developing high-quality UNDAFs and dedicating country and regional staff time and resources for the same. (Annual)
UNDG reports on quality of UNDAFs as a part of the
CEB report (Annual)
UNDG agrees on a system of agency focal points, as part of a global oversight mechanism, to ensure agency commitments to UNDAF at global, regional and country levels while contributing to the QSA mechanism (1 st quarter)
UNDG tracks the support and quality assurance provided by RDTs to UNDAF roll-out countries.
UNDG supports a global assessment of QSA; establishes and monitors global QSA norms and standards, and conducts regular spot checks of
UNDAF quality (1 st quarter for QSA assessment)
UNDG regularly reviews the guidelines and support packages on UNDAF and ensures a feedback loop from country experiences to improving policy and programme guidance (Ongoing)
UNDG institutionalizes a link with the RDTs on policies and guidance while promoting their utilization, once developed (as part of the UNDG working methods update) (Ongoing)
DOCO sends strong messages on importance of high quality UNDAF process and implementation in
RC induction course (Ongoing)
UNDG DOCO maintains a knowledge management system, including through UNDG toolkit, with upto-date examples, innovations and lessons learned and translates them into training and support to
RDTs and UNCTs (Ongoing)
UNDG DOCO supports collection and dissemination of country experiences through various fora, example, experience sharing meetings of countries applying the simplified guidelines (Ongoing)
HOW MUCH?
No cost implications
This will be a budgeted activity under the WGPI workplan.
No cost implications
Support in this area will be determined and budgeted based on the outcome of the
DOCO functional review.
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WHO?
HQ/
UNDG level
WHAT?
Solid knowledge base
(contd.)
Better capacity
HOW? (timing of actions reflected in italics)
UNDG DOCO supports analyses and synthesis of cross-regional examples of UNDAF development and implementation; solid examples of UNDAFs that are fully aligned to national planning; contribute effectively to
MDGs; and apply programming principles
(Ongoing)
UN System Staff College (UNSSC), with DOCO support, reviews and updates a comprehensive training programme on the new UNDAF guidance package, with a focus on enhancing skills for developing roadmap, conducting comparative advantage analysis, and identifying results that respond to country priorities and integrate the programming principles (1 st quarter)
UNSSC/DOCO rolls-out a global TOT, regional training programmes, a comprehensive training for UNCT core teams, regional teams and expert institutes/resource persons who will be providing in-country support (1 st & 2 nd
quarters)
UNSSC/DOCO develops complementary training material on the inter-linkages of the
UNDAF programming principles (and other substantive issues) and their application in a country context, with examples. Note: central elements of this training material will be integrated in the comprehensive training programme mentioned above (1 st & 2 nd
quarters)
HOW MUCH?
The UNSSC and related costs will be budgeted by
DOCO as part of its regular annual workplan to donors.
Cost Scenario: The implementation plan prioritizes country and regional support, which adds up to
$3,550,000 (Country = $ 1,750,000 + Regional = $ 1,800,000). The HQ level costs will be covered as a part of DOCO’s regular annual fund raising efforts.
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