UN Coherence Change Management Framework & Toolkit Final Draft

1. UN Coherence Change Management Framework & ToolkitFinal Draft September 2008

2. CONTENTS OF THIS DOCUMENT • Purpose of the Change Management Framework & Toolkit • Change Management Framework • Toolkit – activities and tools

3. OBJECTIVES OF UN COHERENCE The UN needs to be more coherent, effective and efficient at country level in order to: • Increase the UN’s impact on the country’s development • Making the UN a more effective partner to the government • Reducing the internal cost of the UN system • Increase coordination among agencies andUNGlobal Change Management Support Team

4. PURPOSE OF CHANGE MANAGEMENT FRAMEWORK & TOOLKIT • Provide a comprehensive framework that can guide countries through the key steps necessary for creating a more coherent UN and implementing the change effort successfully • Make tools available that can be used by countries on an à la carte basis – including activity plans & descriptions, templates, sample documents, etc. – drawn from a combination of existing tools, e.g., those used in the CCA/UNDAF process, and new tools • Help those supporting countries aiming to enhance coherence – successors to the Global Change Management Support Team – in their work in the future andUNGlobal Change Management Support Team

5. UN COHERENCE FRAMEWORK AND TOOLKIT: FREQUENTLY ASKED QUESTIONS How does UN Coherence differ from existing approaches? • UN Coherence is an integrated approach that merges the UN Programme and plans for operations, communications, etc. into a single strategy for the UN system in the country • In addition, the strategy incorporates structured activities to change organizational structure, culture, skills and leadership in ways that will facilitate delivery on the programme and other plans What is NOT different about UN Coherence? • The UN Programme component of UN Coherence uses the existing UNDAF process and guidelines • Workstreams on common & efficient services, common premises, joint communication and common budgetary framework/joint resource mobilization all use ideas and tools from existing guidelines • Existing structures (e.g., UNCT, OMT, etc.) are in many cases used for planning and implementation What are the main benefits of UN Coherence? • A clearly articulated, comprehensive approach that results in: • One strategy for the UN system in a country, covering both programmes and supporting functions • An organisation designed to deliver on this strategy, including appropriate structure, culture, skills and leadership andUNGlobal Change Management Support Team

6. PRINCIPLES GUIDING DEVELOPMENT OF THE TOOLKIT Principles for the toolkit How we will adhere to principles • Create a toolkit that could be used to find a specific tool, to work on an individual step in the change process, or to guide a complete process • Ensure that tools can be used irrespective of countries’ choice of objectives for common country programming, coordination of financial frameworks, common premises & services and empowering the RC and UNCT Flexible: Recognize that countries have different situations and needs • Leverage existing work within UN agencies but tailor tools so that they are relevant to UN Coherence • Identify existing inter-agency task teams which can support countries’ efforts • Create new tools based on the needs of pilot countries that are specific to UN Coherence and validate at country-level Cross-agency: Draw upon the tools and experiences of all agencies Practical: Ground tools in actual country-level needs and keep them “user friendly” • Develop as many of the required tools as possible for direct use in pilot countries • Refine tools on on-going basis based on experience in pilot countries • Include robust practical material (guidance notes, templates, examples) to back-up theoretical frameworks andUNGlobal Change Management Support Team

7. CONTENTS OF THIS DOCUMENT • Purpose of the Change Management Framework & Toolkit • Change Management Framework • Toolkit – activities and tools

8. WORKSTREAMS OF UN COHERENCE Coherent programme Increased coherence Services – coordination & efficiency Joint communication Common premises Common budgetary framework and joint resource mobilization Coherent organization – leadership, structure, skills, culture

9. CHANGE MANAGEMENT FRAMEWORK INCLUDES SIX SEQUENTIAL STEPS AND THREE CROSS CUTTING STEPS Description of Steps 1 • Kick-off country UN Coherence effort and mobilize the country team Initiate & mobilize Establish vision, mission, results 2 • Determine vision for the UN in the country, for programme and operations 3 • Determine strategy and results frameworks for programme and operations Determine strategy Plan organisation changes 4 • Determine and plan changes needed to capacities, structures, processes, systems, culture 5 • Develop implementation plan, taking account of risks, stakeholders, etc. Plan implementation UN Coherence 6 • Execute the implementation plan Implement • Monitor progress in achieving outcomes; Evaluate if expected results are being achieved 7 Monitor and evaluate • Communicate internally and externally with, and track changing attitudes of, key stakeholders 8 Communicate about change • Manage change programme, put in place the required processes, resources and governance structure to manage the change 9 Coordinate change & ongoing implementation andUNGlobal Change Management Support Team

10. CHANGE MANAGEMENT FRAMEWORK: ALTERNATIVE VISUAL GRAPHIC Determine vision for the UN in the country, for programme and operations Determine strategy for the UN programme (CCA/UNDAF) and operations Kick-off country UN Coherence effort and mobilise the country team Determine and plan changes needed to capacities, structures, processes, systems, culture Develop implementation plan, taking account of risks, stakeholders, etc. Execute the implementation plan 1 2 3 4 5 6 Plan organisation changes Plan implement-ation Determine strategy Establish vision, mission, results Implement Initiate & mobilize UN Coherence 7 Monitor and evaluate 8 Communicate about change 9 Coordinate change & ongoing implementation Manage change programme, put in place the required processes, resources and governance structure to manage the change Monitor progress in achieving outcomes; Evaluate if expected results are being achieved Communicate internally and externally with, and track changing attitudes of, key stakeholders andUNGlobal Change Management Support Team

11. FRAMEWORK AND TOOLKIT DRAW UPON EXISTING TOOLS FOR MANY OF THE WORKSTREAMS OF UN COHERENCE Builds on CCA/UNDAF process and tools Coherent programme Builds on existing UNDG guidelines Services – coordination & efficiency Builds on existing UN Communications Group guidelines Joint communication Common premises Builds on existing UNDG guidelines Common budgetary framework and joint resource mobilization Coherent organization – leadership, structure, skills, culture Builds on existing UNDG guidelines

12. IN PARTICULAR, THE CURRENT UNDAF PROCESS IS A KEY PART OF THE OVERALL CHANGE MANAGEMENT FRAMEWORK • Includes UNDAF process steps: • Generating and prioritising ideas for programmes and projects, aligned to the results areas • Preparing the Results Matrix • Includes UNDAF process steps: • Creating UNDAF theme groups or similar structures • Includes UNDAF process steps: • Seeking external stakeholder perspectives • Identifying UN areas of comparative advantage • Articulating vision for programme and main results areas • Includes UNDAF process steps: • Informing government and donors about start of UNDAF process • Includes UNDAF process steps: • Preparing workplans for implementing UNDAF 1 2 3 4 5 6 Plan organisation changes Plan implement-ation Determine strategy Establish vision, mission, results Implement Initiate & mobilize UN Coherence 7 Monitor and evaluate 8 Communicate about change 9 Coordinate change & ongoing implementation • Includes UNDAF process steps: • Defining the UNDAF M&E framework, including indicators, baselines & targets • Making an M&E plan for UNDAF • Includes UNDAF process steps: • Communicating during and after the UNDAF planning process 11

13. EXPERIENCE FROM “DELIVERING AS ONE” PILOTS AND FROM UNDAF PROCESSES SUGGESTS THAT STEPS 1-5 WILL TAKE UP TO 2 YEARS, ALTHOUGH IT COULD TAKE AS LITTLE AS 1 YEAR 1-3 months 2-3 months 3-6 months 4-9 months 2-3 months 2-3 years 1 2 3 4 5 6 Plan organisation changes Plan implement-ation Determine strategy Establish vision, mission, results Implement UN Coherence Initiate & mobilize UN Coherence 7 Monitor and evaluate 8 Communicate about change 9 Coordinate change & ongoing implementation

14. CONTENTS OF THIS DOCUMENT • Purpose of the Change Management Framework & Toolkit • Change Management Framework • Toolkit – activities and tools

15. OVERVIEW OF THE MAIN ACTIONS FOR EACH STEP (1/3) Step Main actions • Agree within UNCT to proceed • Mobilise support from internal and external stakeholders • Establish working relationships and responsibilities for change planning work (in UNCT, OMT, etc.) • Create concept paper on UN Coherence including statement of purpose for UN Coherence 1 Initiate & mobilize 2 • Conduct baseline assessment for UN capacity • Assess key needs from country for support from UN • Develop and prioritize options for programmatic areas • Write statements of vision, UN mission, and key results for “workstreams” Establish vision, mission, results 3 • Develop coherent UN programme including Results Matrix • Conduct needs and requirements analysis for services, premises, communications, budgetary framework, etc. • Develop strategies for operations services, common premises, communications, budgetary framework & resource mobilisation, etc. as appropriate, including Results Frameworks • Strengthen leadership roles of RC, UNCT, OMT, etc. for UN Coherence • Develop UN Business Strategy, one strategy for the UN system in the country Determine strategy andUNGlobal Change Management Support Team

16. OVERVIEW OF THE MAIN ACTIONS FOR EACH STEP (2/3) Step Main actions 4 • Conduct high level business process review • Identify and plan changes to organizational structures (e.g., inter-agency programme groups) • Identify capacity requirements and develop human resources plan to meet them • Develop revisions to the performance management system • Identify changes required to set up common budgetary framework and joint resource mobilisation • Develop plan for adjusting culture and behavior Plan organisation changes • Develop implementation plan for shifting from current to desired end-state 5 Develop implement-ation plan 6 • Activities depend on the implementation plan developed as part of step 5 Implement andUNGlobal Change Management Support Team

17. OVERVIEW OF THE MAIN ACTIONS FOR EACH STEP (3/3) Step Main actions 7 • Set up inter-agency M&E group [at time of Step 1] • Define outcomes and indicators [= results matrices in Step 3] and set baselines and targets for the indicators [at time of Step 3] • Develop monitoring and evaluation plan [at time of Step 5] • Conduct monitoring and evaluation, including integrated annual review process [during Step 6] Monitor and evaluate 8 • Set up inter-agency Communications group [at time of Step 1] • Define communication plan [for each of Steps 1-6] • Communicate to stakeholders [at each step of the process] Communicate about change 9 • Assign roles & responsibilities and governance structure for the change process [starting at Step 1, updating as needed during subsequent steps] • Develop budget tracking approach [at each step of the process] • Produce periodic progress reports on implementation of UN Business Strategy [at each step of the process] Coordinate change & ongoing implement-ation andUNGlobal Change Management Support Team

18. Checklist 1 STEP 1: INITIATE & MOBILISE: ACTIVITY CHECKLIST Main action Agree within UNCT to proceed • UNCT members understand UN Coherence objectives and principles, and identify specific benefits for their country and the UN system in the country • UNCT members know what is expected of them if they wish to pursue UN Coherence • UNCT decides to proceed with UN Coherence • Staff are aware of: a) UNCT’s intention to pursue greater coherence, b) Key objectives and principles of UN Coherence, and c) General expectations of what the change would mean for them • Staff support the rationale for change and are willing to play their parts in planning and implementing the change • Government , at a minimum, is supportive of the UN’s efforts to achieve greater coherence and formally requests the UN to pursue the effort, with the ideal being that the government is an active driver of UN coherence efforts • Donors, at a minimum, endorse the UN’s effort to achieve greater coherence, with the ideal being that donors are committed to providing funds to support the effort Mobilize support from internal and external stakeholders • UNCT members have a good understanding of other agencies, their programmes and the context/constraints within which they operate • The UNCT is well-structured and has a) Clear membership, b) Regular meetings, c) Good decision-making “hygiene”, e.g., not leaving issues undecided, not making ambiguous decisions, not revisiting decisions once made unless circumstances change • UNCT has good norms as a real team, e.g.: Always speaking openly and honestly, with a minimum of political positioning, Willing to challenge each other and debate issues constructively, Balancing interests of own agencies with interests of the UN system as a whole Establish working relationships and responsibilities for change planning work (in UNCT, OMT, etc) • Jointly articulated concept paper on changing the UN system setting out a position on the rationale, core elements, and a high-level approach for a more coherent UN Create concept paper on UN Coherence

19. 2 STEP 2: ESTABLISH VISION, MISSION, RESULTS: ACTIVITY CHECKLIST Main action Checklist • Analysis of current UN staff roles, including in-country and out-of-country resources, which should include estimates of numbers by subject area and types of work done • Qualitative assessment of impact of the different UN programmes and quality and competencies of staff, based on programme evaluations • Baseline assessment of the status of business operations, i.e. Common Services, Common Premises, Common Budgetary Framework Joint resource mobilization and Joint communication • Initial indication of the areas where efficiencies may be gained in business operations Conduct baseline assessment for UN capacity • Assessment of country needs, which includes: • List of priority development issues, based on national development plans, country assessments by the UN and/or others, and a comparative advantage and stakeholder analysis • List of priority areas for which support is needed, and types of support required • Table showing extent and types of support offered by different development partners in each major sectoral area • Conclusion about priority needs for support from the UN, taking into account where the UN can make a unique contribution Assess key needs from country for support from UN Develop and prioritize options for programmatic areas • Initial prioritization of programmatic areas, based on understanding priority needs for support from the country and on where the UN has a comparative advantage or there are no alternative providers • UNCT has jointly articulated a vision and mission for the UN system in the country • UNCT has articulated the key results it seeks to achieve through its programmes and operations for each workstream Write vision statement for change to a more coherent UN

20. Checklist 3 STEP 3: DETERMINE STRATEGY: ACTIVITY CHECKLIST Main action • Coherent UN programme that is guided completely by the agreed vision, mission and key results and includes a limited number of “coordinated programmes” and justifies clearly each of the specific objectives and “coordinated programmes” • Coherent UN programme with one or more measurable outcomes for each of the 3-5 national priorities selected by the UN in the programmatic vision, there is Develop coherent UN programme and results matrix • UNCT has a clear view of the needs and the requirements that emerge from the needs with regard to business operations, i.e. Common Services, Common Premises, Joint Communication and Common Budgetary Framework/ Joint resource mobilization • UNCT has developed clear options for implementation on each of the elements of operations mentioned above and articulated recommendations based on cost benefit analyses Conduct needs and requirements analysis for services, premises, communications, budgetary framework/joint resource mobilization • Operations Strategy that is guided completely by the agreed vision, mission and key results includes time-bound activities for each objective, includes estimated resources identified to undertake activities • Results Framework for the Operations Strategy, in which for each of the objectives in the operations vision, there is one or more measurable outcomes, for each activity, there is one or more “intermediate outcomes” or outputs Develop strategies for services, premises, communications, budgetary framework /joint resource mobilization including results framework • “Team charter” (or “working principles” or “code of conduct”) for the UNCT, which includes elements, such as a) Membership, b) Rules of behavior, c) Decision making process, and d) Reporting and accountability • TORs reflect roles and responsibilities resulting from UN Coherence effort Strengthen leadership roles of RC, UNCT, OMT, etc. for UN Coherence • UNCT has an integrated strategy, outlining the outputs and activities that the UN will undertake to achieve the outcomes for the UN system in the country. This plan usually includes: a) Strategy for the UN Programme in the country, b) Operations Strategy that sets out how the UN Programme will be supported, c) Outputs and activities that are time bound and have clear accountability, d) Governance structure, e) Decision making procedures Develop UN Business Strategy, one strategy for the UN system in the country

21. Checklist 4 STEP 4: DECIDE REQUIRED ORGANISATION CHANGES: ACTIVITY CHECKLIST Main action • List of most important business processes changes needed to enable achievement of the UN Coherence vision/mission and implementation of the Business Strategy, including: a) What processes need to change – and in which agencies (or all of them), b) How they should change, c) What aspect of the coherent UN programme or Operations Strategy is enabled / supported by the change Conduct high level business process review • List of new or altered organizational structures needed to enable achievement of the UN Coherence vision/mission and implementation of the Business Strategy, including for example: a) New groups / structures to manage the Coherent One Programme or elements of it in a tightly coordinated manner, b)Changes to structures required to implement common services, joint communications, Common Budgetary Framework and coordinated resource mobilization, etc. Identify and plan changes to organizational structures (e.g., inter-agency programme groups) • Clear understanding of changes in UN capacities required to fulfill objectives of the coherent UN programme and operations strategy • Detailed human resources strategy and plan, designed to bridge gaps between current and required staff capacities Identify capacity requirements and develop human resources plan to meet them • Performance evaluation processes and forms, and incentives, aligned with UN Coherence mission, across all agencies Develop revisions to the performance management system • Common Budgetary Framework established with clear management and accountability structure and processes • Policies and strategies in place for joint resource mobilisation and funding allocation Identify changes required to set up a common budgetary framework and pursue joint resource mobilization Develop plan for adjusting culture and behavior • List of primary barriers to UN Coherence from culture and mindsets of UN staff, identified through consultations with / survey of staff • Interventions addressing root causes planned to change mindsets and culture to ones supportive of UN Coherence vision

22. Checklist 5 STEP 5: DEVELOP IMPLEMENTATION PLAN: ACTIVITY CHECKLIST Main action • Articulate the desired end-state envisioned with (a) a detailed roadmap with milestones, (b) within a realistic timeline and (c) with clear accountability • Feedback sought as appropriate to ensure that timeline is realistic • Clear understanding of resources required to achieve each step of the workplan • Each responsible party understands and is fully committed to their activities and deadlines • Key risks have been identified and risk management strategy devised (including both actions to mitigate risks and contingency plans if risks materialize) • Resource mobilization plan in place – any necessary preparatory changes have occurred and resources have been put in place to enable an effective implementation Develop implementation plan for shifting from current to desired end-state

23. 6 STEP 6: IMPLEMENT: ACTIVITY CHECKLIST Activities conducted in step 6 depend on the implementation plan developed in step 5

24. Checklist 7 STEP 7: MONITOR & EVALUATE: ACTIVITY CHECKLIST Main action Set up interagency M&E group • M&E group is in place, with clearly defined roles and responsibilities Define outputs and Indicators and set baselines and targets for the indicators • Key indicators are defined, and are measurable, results-based (Note: Key indicators should be restricted to only a few indicators) • Baselines and targets for all indicators have been established (changing indicators if any prove impossible to measure in practice) Develop monitoring and evaluation plan • Monitoring and evaluation plan in place including management plan, framework and calendar • Activities specified in Business Strategy and implementation plan are regularly monitored, issues that arise are raised to appropriate groups and adjustments promptly made to address those issues • Evaluations conducted, lessons learned and taken into account to adjust plans and activities Conduct monitoring and evaluation including integrated annual review process

25. Checklist 8 STEP 8: COMMUNICATE ABOUT CHANGE: ACTIVITY CHECKLIST Main action • Inter-agency communications group has been established and people understand their role and responsibilities • UNCT has agreed on a coherent communication approach Set up inter-agency communications group • Detailed communications strategies and plans developed at regular intervals (perhaps every 6 months), which specify: • Objectives for what is required from each internal and external stakeholder group over the next period (e.g., funding from donors, staff to move premises, etc.) – and indicators that these objectives will have been achieved • Key messages to convey to each audience / discussions to have with them • Plan for a set of specific communications to each audience, listing the timing, communication medium, content, and responsibility for each item • Potential risks which could adversely affect each audience’s attitudes, and how Communications team would respond to such risks materializing Define communication plan Communicate to stakeholders • Implement communications according to the plan, and reacting to events as appropriate

26. Checklist 9 STEP 9: COORDINATE CHANGE & ONGOING IMPLEMENTATION: ACTIVITY CHECKLIST Main action • Dedicated change team in place, with clearly defined roles & responsibilities for managing the change process and sufficient time to do the work (whether part the RCO or from one of the agencies) • Dedicated change management resources – both people and funds – are in place (likely to increase as the steps proceed before decreasing again as the changes take root and become the new normal ways of working) • Governance structure for the change management process is defined, including: • UNCT as ultimate governance • Delegated authority to other groups (e.g. OMT for operations, etc.) as appropriate • Mechanisms and rules for making decisions, and escalating unresolved issues without excessive delay Assign of roles & responsibilities and governance structurefor the change process • Budget tracking approach developed Develop budget tracking approach • Periodic progress reports to the UNCT, according to the monitoring plan, on execution of the implementation plan and achievement of outputs and outcome from Business Strategy and the Implementation Plan • Issues consistently identified through progress review discussions or otherwise, and successfully and promptly addressed Produce periodic progress reports on implementation of UN Business Strategy

27. STEP 1: INITIATE & MOBILISE: ACTIVITIES & TOOLS (1/2) Main action Sub activities / analyses Guidance and Templates Examples • Introduce greater coherence effort to the entire UNCT, and address questions/concerns • Overview on UN Coherence • TCPR 2004 and 2006 • Sample presentations Agree within UNCT to proceed • Assess readiness, willingness and ability of the UNCT to move ahead • Ready-Willing-Able (RWA) survey for Heads of Agencies • Example from Laos Mobilise support from internal and external stakeholders • Introduce greater coherence effort to key stakeholders, including government, donors and staff • Guidance note on key messages in communicating UN Coherence to • Staff • Government • Donors • Talking points on UN Coherence (Guidance not on how to communicate UN Coherence) • Presentation to facilitate communication of broader change storyline and rationale at country-level to different audiences • Sample presentation or letters to government on UN Coherence • Sample letters from government asking for UN Coherence • Sample terms of reference of government-donor-UN committee • Sample presentation or letters from donors asking for UN Coherence • Sample presentation materials to staff on UN Coherence (newsletters, etc) • Internal communication material from Viet Nam

28. STEP 1: INITIATE & MOBILISE: ACTIVITIES & TOOLS (2/2) Main action Sub activities / analyses Guidance and Templates Examples Establish working relationships for change planning work (in UNCT, OMT, etc.) • Develop positive working environment within given structures • Sample TORs for UNCT, OMT Create concept paper on UN Coherence • Develop a common UNCT understanding and commitment to UN Coherence and collaborate to write a position paper • Guidance note on how to write a concept paper • Example concept papers Malawi and Tanzania

29. STEP 2: ESTABLISH VISION, MISSION, RESULTS: ACTIVITIES & TOOLS (1/2) Guidance and Templates Examples Main action Sub activities / analyses Conduct baseline assessment for UN capacity • Conduct baseline assessment for Common Services • Guidance note on baseline assessment for Common Services • One UN Procurement Report from Tanzania • Conduct baseline assessment for Common Premises and determine way forward • Introductory note to Common Premises approach and link to website • One Office Plan Tanzania • Conduct baseline assessment for Joint Communication • Guidance note on baseline assessment for Joint Communication • Conduct baseline assessment for Common Budgetary Framework/ Joint Resource Mobilization • Guidance note on baseline assessment for Common Budgetary Framework/ Joint Resource Mobilization • Common Budgetary Framework/ Joint Resource Mobilization criteria and guidelines from Tanzania • Sample presentation on results of Time allocation survey from pilot countries • Assess and validate current capacity of UN system in country (including in-country staff, out-of-country resources) • Kick off presentation • Job description analysis guidelines (including Non Resident Capacities) • Job description analysis template • Time allocation survey

30. STEP 2: ESTABLISH VISION, MISSION, RESULTS: ACTIVITIES & TOOLS (2/2) Guidance and Templates Examples Main action Sub activities / analyses • Conduct common country analysis • Guidelines: Common Country Analysis (link) Assess key needs from country for support from UN • Conduct comparative advantage analysis • Guidance note on comparative advantage analysis, including SWOT • Conduct Stakeholder Assessment • Guidance note on Stakeholder Assessment, including interview guides • Determine demand for UN services based on all of the above analyses • UNDAF plan of engagement process • Prioritize demand for UN services based on comparative advantage, impact, ease of implementation • UNDAF tools for strategic prioritization/ Guidance on strategic prioritization Develop and prioritize options for programmatic areas Write statement of vision, UN mission and key results for workstreams • Articulate the vision for the UN in country • Facilitate vision setting for Programme and Business Operations • Guidance for conducting visioning exercise and developing a vision (covering vision, mission, key results) • Facilitation package for programmatic and business operations sessions of the Vision setting Retreat • Strategic vision for Tanzania

31. STEP 3: DETERMINE STRATEGY: ACTIVITIES & TOOLS (1/4) Guidance and Templates Examples Main action Sub activities / analyses Develop Coherent UN programme including results matrix • Develop UNDAF/coherent UN programme document • 2007 CCA-UNDAF Guidelines • Documents: “Working Group on Programming Policies matrix”, Note on Programming Issues Related to the One UN Pilots” • Powerpoint document: “One programme: what it is and what it is not” • Sample “One Programme” documents from pilot countries – One UN Concept Paper Tanzania • Link to UNSSC facilitation process • Develop programme results matrix • 2007 CCA-UNDAF Guidelines • Technical briefs on outcomes, outputs, assumptions and risks • Sample results matrices from pilot countries

32. STEP 3: DETERMINE STRATEGY: ACTIVITIES & TOOLS (2/4) Guidance and Templates Examples Main action Sub activities / analyses Conduct needs and requirements analysis for common services, common premises, joint communications, common budgetary framework/joint resource mobilization • Identify needs for Common Services • Guidance note on Needs Analysis • Guidance note on Requirements Analysis • Identify requirements for Common Services based on needs analysis • OMT ICT Options Report Tanzania • Prepare options report based on Needs and Requirements analysis • Guidance note Options Report • Guidance note Cost Benefit Analysis • Conduct cost-benefit analysis for prioritized options • Communications Strategy Viet Nam • Develop communications strategy • Sample communications strategy • Develop strategy for Common Budgetary Framework/Resource Mobilization • Guidance note on Common Budgetary Framework

33. STEP 3: DETERMINE STRATEGY: ACTIVITIES &TOOLS (3/4) Guidance and Templates Examples Main action Sub activities / analyses Develop strategies for common services, common premises, joint communications, common budgetary framework/joint resource mobilization • Develop strategy for common premises, common services, Common Budgetary Framework / Resource Mobilization and joint communication • Guidance on how to write the Operations Strategy • Process description • Background (link to Common premises proposal, website on Common Budgetary Framework, reference to Joint Communications) • High level operations outcomes and outputs • Estimated required resources • Governance structures • Coordination structures • Reference to M&E • Sample business operation strategies from pilot countries • Develop results framework for Operations • Guidance on how to develop the operational results framework • Sample documents from pilot countries • Develop code of conduct for UNCT • Ensure effective decision making process in place • Develop trust among UNCT members • Code of Conduct (currently being developed by DOCO) • TORs for RC (currently being developed by DOCO) • Revised TORs for UNCT, OMT, PCG (if applicable) • Dispute resolution mechanism • Trust building tools Strengthen leadership roles of RC, UNCT, OMT, etc. for UN Coherence

34. STEP 3: DETERMINE STRATEGY: ACTIVITIES &TOOLS (4/4) Guidance and Templates Examples Main action Sub activities / analyses Develop UN Business Strategy, one strategy for the UN system in the country • Develop UN Business Strategy, where the strategy for UN programme and operations come together • Guidance on how to develop the UN Business Strategy • Malawi Business Plan

35. STEP 4: DECIDE REQUIRED ORGANISATION CHANGES: ACTIVITIES & TOOLS (1/3) Main action Sub activities / analyses Guidance and Templates Examples Conduct high level business process review • Understand and measure business processes affected by UN Coherence vision, mission and results across all agencies where they occur in current state • Agree on re-engineered business processes in line with UN Coherence vision, mission and results • Guidance note on business processes mapping and business process reengineering (includes Seven Themes for Business Process Reengineering) • Mapping of business processes affected in pilot countries Identify and plan changes to organizational structures (e.g., inter-agency programme groups) • Identify weaknesses of the current organization for delivering on UN coherence and required changes • Guidance on good organizational design practices including • Discussion of structural barriers • Indicators of good design • Templates for creating and tracking SLAs • RAVIC (responsible, accountable, veto, informed, consulted) matrix

36. STEP 4: DECIDE REQUIRED ORGANISATION CHANGES: ACTIVITIES & TOOLS (2/3) Main action Sub activities / analyses Guidance and Templates Examples • Interview internal stakeholders (HoAs, etc) and external stakeholders (unless already done in Step 2) to identify required capacity of UN system in country Identify capacity requirements and develop human resources plan to meet them • Guidance note on how to conduct a capacity assessment • Kick-off presentation to UNCT • Communications One Pager to staff • Data request template/Pre-interview questionnaire • Interview guides for Heads of Agencies/inter-agency working groups/OMT/ government and donors • “UNDG New Operational Guidelines” • Compare requirements to existing capacity and develop plans for addressing the difference • Materials for UNCT workshop day 1 • Materials for UNCT workshop day 2 • Implementation plan template • Guidance note on options/tools to adjust capacity • Sample of tracking sheet completed by pilot country • Sample version of UNCT workshop materials to develop and prioritize ideas for addressing the capacity difference • Sample final reports from pilot countries

37. STEP 4: DECIDE REQUIRED ORGANISATION CHANGES: ACTIVITIES & TOOLS (3/3) Main action Sub activities / analyses Guidance and Templates Examples Identify changes required to set up the Common Budgetary Framework and pursue Joint Resource Mobilization • Determine the changes required to organizational structure, processes and systems to manage the Common Budgetary Framework • Guidance note on how to set up the Common Budgetary Framework Develop plan for adjusting culture and behavior • Assess positive and negative behaviors for UN Coherence • Staff survey (process guidance and collection of tools) • Guidance on how to develop an action plan to address the issues identified through the staff survey • Sample of Staff Survey Presentation Uruguay, Viet Nam Develop revisions to the performance management system • Review current performance management processes across agencies • Agree common performance evaluation process and incentive structures that are aligned to realizing vision • Guidance on identified good performance management practices • Sample of modified performance management system in pilot countries

38. STEP 5: DEVELOP IMPLEMENTATION PLAN: ACTIVITIES & TOOLS Guidance and Templates Examples Main action Sub activities / analyses Develop implementation plan for shifting from current to desired end-state • Develop detailed work-plan based on Business Strategy including clear accountabilities and timeline for deliverables, with buy-in from implementers of the plan • Guidance note and template on implementation plan development, including prioritization of activities • Work plan Tanzania • Rwanda COD • Identify high level risks for each activity in the implementation plan • Guidance note on Risk Management • Risk Log • Issue log Tanzania • Develop resource mobilization • Identify funding gaps and develop funding strategy • Guidance note on development of resource mobilization plan • Sample resource mobilization plan • UNDG Website page on “UNCT Resource Mobilization Strategies”

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

40. STEP 7: MONITOR AND EVALUATE: ACTIVITIES & TOOLS Guidelines & Templates Examples Main action Sub activities / analyses • Guidelines of roles and responsibilities of M&E country teams/ TORs from 2007 CCA and UNDAF Guidelines Set up inter-agency M&E group (at time of Step 1) • Set up M&E group to monitor the change process and provide advice to the UNDAF outcome groups and the OMT groups (Note: M&E group may already exist) • Examples of ToR of country M&E teams Define outcomes and indicators (results matrices in Step 3) and set baselines and targets for the indicators (at time of Step 3) • Define key indicators for outcomes of the results matrix and establish baselines and targets for the identified indicators • Technical brief on outcomes, outputs, indicators, assumptions and risks • Document: “Note for discussion: ideas for possible benchmarks/parameters for assessing One UN Programmes” • UN Coherence M&E Guidelines/ 2007 CCA and UNDAF Guidelines Develop monitoring and evaluation plan (at time of Step 5) • Develop M&E plan including • M&E Management plan • M&E Framework • M&E Calendar • Guidance and Template on how to develop an M&E plan • Sample of pilot country M&E plans Conduct monitoring and evaluation, including integrated annual review process (during Step 5) • Outline key elements of UN Coherence evaluation • Guidance note on integrated annual review process • Links to Evaluation Guidelines, Evaluation Plan descriptions, Evaluation Code of Conduct, Evaluation ToRs

41. STEP 8: COMMUNICATE ABOUT CHANGE: ACTIVITIES & TOOLS Guidelines & Templates Examples Main action Sub activities / analyses Set up inter-agency Communications group (at time of Step 1) Communicate to stakeholders (at each step of the process) • Ensure that inter-agency communications group is in place • Communicate to stakeholders at each stage of the change process • 2006 UNCG TORs/guidance for UN Communications groups at the country level • Grid showing suggested communication per step and type of stakeholder • Examples of ToR of country communication team Define communication plan (for each of Steps 1-6) • Define Internal and external target audiences • Define level of detail and frequency of communications for each target audience • Define methods of communications and format of reporting • Assess risks associated with the communication strategy • Define communication activities timelines, milestones, resources and action owners • Communication plan guidelines • Lessons learned on communication • Examples of communication plans • Example of communication matrix

42. STEP 9: COORDINATE CHANGE & ONGOING IMPLEMENTATION: ACTIVITIES & TOOLS Guidelines & Templates Examples Main action Sub activities / analyses Assign roles & responsibilities and governance structurefor the change process (starting at Step 1, updated as needed during subsequent steps) • Set up the governance structure for the change process coordination • Define and agree on roles & responsibilities in the change process • Illustrative governance structure for designing and implementing UN Coherence • Role descriptions of change team • Examples of governance structures successfully adopted in pilot countries Develop budget tracking approach (at each step of the process) • Track budget throughout the change process • Template: Budget tracking sheet Produce periodic reports on implementation of UN Business Strategy (at each step of the process) • Track progress against plan • Identify risks • Work charter and progress report • Issue log • Sample of pilot country status report, issue log