Guidance Note on RC/UNCT Working Relations/Code of Conducts
Based on and made for UNCTs
17 October 2007
1. Purpose and Context
The purpose of this guidance note is to help facilitate the working arrangements amongst the
UN country team (UNCT) to ensure clarity of the norms, roles, responsibilities and
accountability of its members in their work in the team, including reciprocal performance
appraisal and dispute resolution.1 The strategy to achieve this is an agreement on behaviors,
norms and working arrangements to bring greater coherence to UN programmes and
activities. This paper should serve as a guide for general parameters to be adapted the
particular UNCT and country situation and developed into a compact or agreement which
should be agreed upon by the UNCT. It is not intended to be a legal or prescriptive mandate.
Several UNCTs and UNDG working groups, including the informal ASGs/ADGs committee,
have called for guidance and examples on UNCT Codes of Conduct in 2007. This Guidance
Note on UNCT Working Arrangements is a response to this request and recent calls for
increased coordination, coherence and accountability of the RC system (both the RC as well
as all the members of the UNCT) in responding in a cohesive manner to national and
international priorities. This call has been laid out in UN reforms since 1997 and recently
including the 2004 TCPR (Res. 59/250), the 2005 World Summit Outcome document, the
Framework for Accountability for the United Nations Security Management System, and the
High Level Panel report on System-wide coherence. This Guidance note is based on UNCT
examples of codes of Conduct and is line with and directly linked to the Principles for
Enhancing the Leadership Role of the Resident Coordinator for UN Operational Activities for
Development and Accountability Framework of the Resident Coordinator System (RC
Accountability Framework), the RC Job description and the 1999 ACC Guidelines on the
Functioning of the Resident Coordinator System.2
This guidance is based country examples including:
1. Bangladesh UNCT: UN System Reform in Bangladesh (a briefing paper for the Dhakabased group of likeminded bilateral partners 11 Oct 2006)
2. Malawi UNCT: Role of the UN Malawi in a Changing Aid Environment, July 2006
3. Mozambique: UNCT Core Management Principles and UNCT TOR
4. Pakistan: Terms of Reference for the UNCT in Piloting UN Reform in Pakistan
5. Rwanda: Code of Conduct UNCT Rwanda
UNCT Examples of Codes of Conducts contain the following sections:
1. UNCT Code/Day to Day Working Norms
2. Clarification of UNCT Members Roles and Responsibilities
3. Clarification of RCs Role and Responsibility
4. Membership of UNCT or Delivering as One initiatives, Meetings and Decision Making
5. RC System Support and Functioning (RC Unit/RC Office and UNCT TGs)
6. NRAs Coordination and Inclusion
7. UNCT Accountability and Appraisal
8. Other : Some UNCT have sections such as the following
1
A/RES/250 (TCPR, para 55-58) RC Accountability Framework
Background documents include:
2
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TCPR 2004 TCPR (Res. 59/250),
Principles for Enhancing the Leadership Role of the Resident Coordinator for UN Operational Activities for Development and
Accountability Framework of the Resident Coordinator System (Accountability Framework)
UN Reform System in Bangladesh Draft, 11 October 2006
Role of the UN Malawi in a Changing Aid Environment, July 2007
RC Job Description Draft May 2007
1999 ACC Guidelines on the Functioning of the Resident Coordinator System
1
a. Communications
b. Relations with the Staff Council
This guidance note takes as a departure point areas from the existing codes of conduct, which
should be the minimum standards of agreed elements for a UNCT to guide their work, which
are applicable to all UNCTs large, small, normal or complex development situations. Each
UNCT should set out the specific parameters for their Code of Conduct and include the
sections they see relevant among those listed in the outline.
2. UNCT norms/day to day working relations
The UNCT members agree to clearly set out and agree on the relevant leadership roles,
responsibilities of the team members and working arrangements/norms. A cornerstone of day
to day working relationships should be based on building on the strength of the team.
Furthermore, all agencies heads have to manage the dual responsibility of supporting their
agency mandate and the interest of the UN System/UNCT.
In considering norms and day to day working behaviors UNCTs could start to consider core
parameters such as those from country examples listed below.
UNCT Day to Day Norms/Core Principles3:
1. Inclusiveness,
2. Transparency and accountability
3. Integrity and ethics
4. Creativity
5. Teamwork , Respect and Trust
6. Participatory management
7. Open Communications and timely dissemination of information
8. Quality performance and oversight
9. Support Structures (RC Unit or Coordination Unit)
10. Realistic Plans Work Plans (for UNCT, TWG, OMT, UN Communications
Group etc), to ensure quality results
11. Time Management
12. Personal and Professional Development
The following are examples of working relations/behaviors which UNCT members might agree
to in their Code of Conduct.4 5
The members of the UNCT recognize that, the UN system can reinforce each other to
greater effect in reaching proclaimed UNDAF goals/national priorities by mobilizing their
comparative and collective strengths, their wide range of skills, mandates, and assets
together and that, they can mutually benefit from this working coherence. The overarching
principle of achieving this greater coherence and impact at the country level is creating an
enabling environment, working in a team spirit and collegial style, which will facilitate
others to achieve critical results in response to national priorities and under national
leadership.
UNCT Members agree to the following behaviors:
1) To pro-actively seek opportunities for enhancing the UN system coherence;
2) To ensure that the expertise and resources of his/her agency contribute to address the
development challenges which the UNCT have prioritized within a reasonable time
frame;
3
Based on the Pakistan and Mozambique Code of Conducts Core Principles.
Bangladesh UNCT: UN System Reform in Bangladesh (a briefing paper for the Dhaka-based group of like minded bilateral
partners 11 Oct 2006)
5
Malawi UNCT: Role of the UN Malawi in a Changing Aid Environment, July 2006
4
2
3) To invest time and effort to better understand each others’ agency mandates and to
share his/her own and to respect each others’ mandates.
4) To resolve our differences collegially among ourselves;
5) To consult with each other regularly before meeting with government and
developmental partners in order to deliver a common message.
3. RC and UNCT Members Roles and Responsibilities
A UNCT code of conduct could set out the specific parameters for the role and
responsibility for the RC and for the UNCT which might include the elements below.
a. RC as leader of the UNCT
This section might include:
1. RC leads the team in strategic development of UNDAF and joint programmes
2. Advocates and mobilises resources for UNDAF/Joint Programmes and UNCT priorities
3. Coordinates with UNCT and TGs UNDAF implementation
4. Monitors, Evaluates and reports on the UNDAF
5. Represents the UNCT on behalf of the Secretary-General
6. Represents and supports inclusion of NRAs
The RC, as the leader of the UNCT, works on behalf of the UN System (UNS) and in
consultation with country representatives of the UNS and assumes overall responsibility for,
and coordination of, the operational activities for development of the UNS carried out at the
country level.6 The RC is responsible for coordination of the UNCT in strategy, planning,
implementation and monitoring and evaluation of development programs at the country level,
namely the UNDAF and UNCT joint programmes. The RC should provide strategic leadership,
overall programme oversight, advocacy, resource mobilization and allocation for UNDAF and
joint programmes, management of pooled funds, and monitoring, evaluation and reporting of
UNCT progress on the UNDAF and joint programmes. RC should lead the UNCT in
developing tools for increased coherence in the country including CCA, HACT, aideffectiveness tools, amongst others. The RC is the Designated Official for Security (DO) and
accountable to the Secretary-General for the management of the UN security system in the
country.
The RC, on behalf of the UNCT, will promote the development of a wide range of partnerships
to advance all programmes of the United Nations, including mobilising resources for the UNCT
members to complement agencies own efforts.
The RC is the primary interlocutor for the UNCT with the Head of State or Government in
support of the UNCT, its members and its UNDAF results, accompanied by agency
representatives when agency specific matters are discussed.7 Agency representatives interact
with the government through the line ministries. In the case of a crisis, individual agency
representatives may also work directly with top government leaders, as necessary. The UN
system agencies should come together in humanitarian situations as they do in development
situations, working towards creation of humanitarian country teams (IASC teams), whereby the
RC is normally RC/HC and all UNCT partners will be part of UNCT. Key NGO partners will
also be invited to the team, following IASC practice.
The RC may have representational responsibilities for agencies present or not, based on
agreements with each agency at the country and headquarters. The RC should work closely
6
7
ACC Guidelines (1999), para 9, RC Job Description and Principles of Accountability
A/55/950 (1997), Action 10(b); ACC Guidelines (1999), para 17.
3
with non resident agencies (NRAs) to be fully informed of the mandate, priorities and
requirements of the agency. At the same time, NRAs will take necessary measures to ensure
that they have technical staff at regional/sub-regional level to support when called upon.
The RC may be granted additional responsibilities on behalf of another agency as per their
request and agreements between the agencies. The RC in leadership role of the UNCT will
look out for all agencies and not give preference to any agency in the UNCT.
4. UNCT Members Role and Responsibilities
Each UNCT code of conduct sets out the specific parameters for the role and
responsibility for UNCT members, which might include the following:
1.
2.
3.
4.
5.
Definition and Membership of UNCT
Support for UNDAF Priorities
Overseeing and participation in TGs and OMT
Mobilizing resources and funds
Accountability and Appraisal of UNCT Members
a. UNCT Membership, Meetings and Decision Making
The UNCT is an interagency coordination and decision making body at the country level. The
main purpose of the Country Team is to plan and work together, through the Resident
Coordinator system, to ensure the delivery of tangible results in support of the development
agenda of the Government.8
According to the ACC guidelines on the functioning of the RC system, “the UN country team is
composed of representatives of the UN funds and programmes, specialized agencies and
other UN entities accredited to a given country. It could also include representatives of the
Bretton Woods institutions (see GA resolution 53/192, preamble 6)”. However, in addition to
this “Core” UNCT most UNCTs also have an “Expanded UNCT” which includes membership of
UN staff who are not accredited but have substantive representation and decision making
authority in the host country which is delegated from their Headquarters. NRAs accredited to
the country can also be considered as part of the expanded UNCT. Such members may
participate in UNCT Meetings, Theme Groups and Working Groups as schedule and
resources allow.
b. UNCTs Role and Responsibility
The UNCT may wish to set out specific TORs for their role for example: Oversee development
and implementation of the UNDAF, endorsing the annual work plans; oversee work of Theme
Groups (and participate and lead specific groups); Oversee the Operations Management
Team (OMT) work; review the overall performance of the UNCT and propose and take action
for enhancing its performance based on agreed upon management performance indicators;
review work and make adjustments e.g. establishment of working groups or task forces.
The UNCT is the main decision making body which meets monthly in normal circumstances
with a rotational Chair. UNCT members develop operational programmes for development to
support UNDAF priorities, noting that additional activities may be required complementary to
UNDAF priorities for sector priorities.9 The UNCT will help develop proposals regarding
8
9
Mozambique UNCT TORs
A/RES/59/250 (TCPR 2004), para 50.
4
pooling country level fund raising and joint financing, based on the agreed needs and priority
of the country, as expressed in the UNDAF.10
c. UNCT Accountability and Appraisal
All UNCT members, including the RC, are accountable for their role in the team in helping
support national and international priorities, particularly those members that take on leadership
roles (eg in Theme Groups). Thus, RCs and UNCT members will be appraised on their
performance in their contribution to the team. The RC is appraised in an inter-agency Regional
Director’s Team (RDT) Meeting. UNCT members will be appraised on role and results in the
UNCT by their individual agency’s processes as well as in RDT Appraisal Meetings.
Towards this end, UNCT Members should:
1. set results together for UNCT and as individuals in their contributions and agreed on
results for the RC
2. participate in 180 peer assessments on competencies as well as results
3. Fill in appraisal forms in reviewing their own progress and for appraisal of RC.
4. Support each other and the team in improving competencies identified in the
180/appraisals.
d. Dispute Resolution/ Redress
To avoid misunderstandings or disputes the UNCT might set out an agreement/code of
conduct as the sample attached. UNCT members should make all efforts to resolve disputes
at the local level and escalate disputes only by exception, (i.e. when the first level fails to find
agreement).
5. Making RC System Function Smoothly (UNCT Coordination, RC
System Support and Theme Groups)
A UNCT code of conduct should set out the specific parameters for UNCT Coordination
Support/Unit and workings of Theme Groups which might include the following:
a. RC System Coordination Unit
To coordinate the work of the UN system at the country level, each RC/UNCT should have a
Coordination Support Office/Unit with the commensurate capacity to support these new roles
and demands. UNCT members will proactively support the RC unit including technical support,
analysis, planning, tracking and reporting processes, information management,
communications, advocacy etc. This Unit should have the minimum staffing and resources
required to complete this important coordination function. Technical expertise on substantive
issues should be provided by agency staff not the RC Office, which should have a
supportive/facilitative role. When an activity agreed by the UNCT requires sufficient
implementation capacity for the proposed project/activity, an agency should be identified to
implement on behalf of the team. The RCO should not be an implementing Unit.
b. Theme Groups
As tasked by the UNCT, the UN Theme Groups carry out programme design, implementation,
monitoring and evaluation for specific UNDAF priorities. The UNCT member leading the
Theme Group assumes responsibility for and accountable for the agreed work plan results.
10
Malawi UNCT Code 5.3.3.
5
Annex 1 Sample UNCT Working Arrangement/Code of Conduct
(Bangladesh)
(for clearer text see below)
6
UNCT Principles of Engagement Bangladesh October 2006
We the heads of Agency of the undersigned agencies and entities operating in Bangladesh commit
ourselves and our staff to the following principles of Engagement:
1) To uphold fundamental principles and standards of the United Nations;
2) To ensure that our programmes are aligned with the national development plans and priorities of
Bangladesh and are in the best interests of the people of Bangladesh;
3) To pursue a rights based approach to development programming;
4) To collaborate constructively, respectfully and in the spirit of one UN system;
5) To pro-actively seek opportunities for enhancing the UN system coherence, coordination and
harmonization of our programmes and activities;
6) To invest time and effort to better understand each others’ different agency mandates, activities and
operating arrangements;
7) To share information in a spirit of cooperation and collegiality;
8) To communicate and interact with one another respectfully and courteously;
9) To consult with each other fully before meeting with government and development partners when
pursuing matters that relate to UN joint programming or activities with a view to deliver common
messages to government and development partners;
10) To resolve our differences collegially among ourselves. Under no circumstances will we speak
disparagingly of another UN agency, or in any way undermine another UN agency;
11) To make it our priority to support the formulation and execution of mutual response and action
when the reputation of the UN system at large or of specific UN agency is at stake;
12) To avoid pettiness and institutional turf issues in the interest of the common good;
13) To be patient and understanding and to pro-actively promote the interests of the whole UN system
in Bangladesh;
14) To endeavor to ensure internal coherence between our respective sub-offices, country offices,
regional offices and headquarters;
15) We recognizing the high transaction costs associated with large partnerships and agree to carefully
weigh the costs and benefits of joint activities to avoid imposition of unnecessary burdens on each
other and on our partners;
16) To first defer to RC guidance in the event of unresolved differences between UN agencies.
<NAMES AND SIGNATURES>
7
Annex 2 Elements of Delivering as One Codes/One Leader Documents
Mozambique
Pakistan
Rwanda
Vietnam
1.
Clarification of UNCT members
roles (UNCT code/norms)
Y
Y
Y
Not yet
2.
RC leads programme and
Strategic Vision (UNDAF+ 1 plan)
Oversees M&E and Reports
RC leads advocacy
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
3.
4.
RC in Representation for other
UNCT members at highest level
6. RC Resource mobilization for
UNCT for JPs/One UN
7. RC Resource Allocation for UNCT
8. Membership of One UN/UNCT
Set out
Y
UNCT does
Y
Y
Y
9.
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
*participation in
UNCT
regardless of
their status of
accreditation or
representation
approval of
proposals and
funds
Liaise w staff
assoc.
Details on
RCO
5.
RC Unit/RC office managed by RC
supporting RC and UNCT TGs
10. NRAs Coordination /Inclusion
11. Security (DO) Stipulated
12. 180 Feedback – UNCT
accountability/Appraisal
13. Other
Y
Y
Y*
inclusive
8
Outline of UNCT Code/One Leader
Pakistan
1. UNCT Code- norms
2. One Leader
a. RC leads UNCT,
b. Proposals thru UNCT
c. Inclusiveness
d. RC Unit Supported by others
e. RC Unit serves as Secretariat and
Technical Assistance for RC and
TGs
3. Responsibility of UNCT
4. Decision Making Mechanism
5. Membership/Inclusiveness
6. Role of RC
7. Role of UNCT
8. Frequency of meetings
Rwanda
1. Principals of Interaction
2. Table of Functions of members
3. RC as Leader
a. Resource Mobilization
b. Allocation
c. HR-RCO
d. Advocacy
e. Security
f. Ass.ts RC and UNCT
g. Accreditation to President
Mozambique
1. UNCT Core Prinicipals
2. TORs UNCT
a. UNCT Role
b. RC Role
c. HOA
d. Membership and (accredited UNCT)
e. Meetings
f. Secretariat (RCO
g. Feedback Mechanism
h. Annex = Key Coordination/TG Working
Groups
Vietnam
1. RC designated Rep of SG & empowered leader
2. RC accredited to the Head of Government.
3. The participating Agencies appoint their
respective Country Directors who would develop
and manage their country programmes.
4. The RC appointed to be their Representative.
5. RC provides strategic leadership to the
participating Agencies
6. The RC represents the participating Agencies at
the level of Head of State or Govt, bringing
agency colleagues along where issues related to
their mandates will be discussed. CDs meet with
line ministries
7. In Humanitarian Crisis CDs may also work
directly with Govt leaders as necessary
8. RC determines Funds allocation
UNCT Codes/Norms Contain:
Pakistan UNCT Core Principles:
13. Inclusiveness,
14. Transparency
15. Integrity and creativity
16. Teamwork , Respect and Trust
17. Open Communications (incl to UN staff
assoc)
18. Support Structures (UN System support)
19. Realistic Plans (through TWG, OMT, UN
Communications Group),
20. Time Management
21. Personal and Professional Development
Mozambique UNCT Core Management Principles:

Transparency and accountability:

Integrity and ethics:

Creativity:

Team work, respect and trust:

Participatory management:

Open
communication
and
timely
dissemination of information:

Quality performance and oversight:

Stronger intersectoral linkages to improve
programme efficiency and effectiveness:

UNCT support structures: (system-wide
mechanisms for peer support, conflict
resolution and issue management)

Realistic planning: realistic workplans and
related annual work schedules

Time management:

Personal and professional development.
Rwanda UNCT Code
UNCT Members agree to :
1. adhere to the UN Standards of Conduct for
the International Civil Service of UN staff
2. use clear communication, good listening,
flexibility, negotiation and mutual respect
3. represent his/her own agency, and also the
entire UN in all their external interactions
4. bring the issues of their agencies mandate to
bear, but in a way that does not undermine
the advocacy work of other UNCT members
5. acknowledge disagreements openly and
constructively within the team. UNCT under
RC guidance will hear different opinions to
reach a consensus; if impossible - majority
6. when representing UNCT, be briefed before
the meeting and reported back to UNCT
7. NOT to fund-raise for their agency incountry, except for the activities linked to
humanitarian emergencies. In-country fundraising should be directed to mobilization for
One Programme as a whole.
8. NO additional activities, except humanitarian
emergencies, be developed without
agreement of the RC following discussion
with the UNCT
9