Coherence, Effectiveness and Relevance (CER): Capacity Assessment for COUNTRY UNCT Kickoff Meeting TEMPLATE NOTE: This tool/guidance has been developed based on the experiences of the DaO Pilot countries. Presentation should be delivered to UNCT either by external party supporting the capacity assessment, or by GCMST support. 10 April 2017

Proposed agenda items Introduce the mission team & team structure Confirm a shared understanding of the goals of the engagement Review proposed approach and work plan Identify key challenges and discuss plans for avoiding / mitigating risks Present immediate next steps for the engagement

Capacity assessment team ILLUSTRATIVE – TO BE ADAPTED TO COUNTRY Capacity assessment team Team member Role Project director .... Project manager ... Consultant ... … ... ... ... ... ... ... ...

TO BE ADAPTED TO COUNTRY ILLUSTRATIVE – TO BE ADAPTED TO COUNTRY Team structure Project role Responsibilities UNCT Resident Coordinator Representatives from other UNCT agencies Day-to-day project coordinator Provide overall direction for the project Provide information and viewpoints to the project team Review interim and final outputs Discuss findings, develop options and make decisions on actions Project Steering Group … Provide direction for the project Arrange the involvement of in-country staff in process and provision of documents to the team Provide feedback on interim and final outputs Support Team GCMST External team Drive the engagement and carry out the tasks Develop and document outputs through interim and final reports to oversight group Work with staff liaisons to help gather information and provide guidance on key issues Reference Groups Heads and staff of agencies in COUNTRY Provide perspectives on future plans and capacity needs Provide data and information on current capacities

Proposed agenda items Introduce the mission team Confirm a shared understanding of the goals of the engagement Review proposed approach and work plan Identify key challenges and discuss plans for avoiding / mitigating risks Present immediate next steps for the engagement

TO BE ADAPTED TO COUNTRY ILLUSTRATIVE – TO BE ADAPTED TO COUNTRY Context, objectives, expected deliverables Context: Purpose of study (from ToR): Expected deliverables: UN COUNTRY has developed a new Operational Plan for years X to Y Includes results to be realized through implementation of xx joint programmes Also includes plans for “UNDAF or common programming tool”, “Resident Coordinator”, “common budgetary framework”, “common services and harmonized business practices”, and, where relevant “common premises” Assess the capacity of the UNCT to successfully implement CER, prepare for new UNDAF or common programming tool, and long-term needs of COUNTRY by... Determining required capacity (demand) by profiling person hours and skill sets required to implement UNDAF or common programming tool and operations changes, and long-term needs of COUNTRY Identifying key characteristics of the supply of existing capacity Mapping characteristics in capacity supply & demand Developing plans for addressing difference Characterisation of required capacity (intervention types, subject / sectors of focus) Outline and characterisation of existing capacity Identification and description of capacity difference that may impact achievement of delivery objectives Presentation to UNCT on key findings about capacity difference Facilitation of UNCT’s development of options to fill the differences Summary of UNCT’s options for addressing differences for integration into change management strategy

TO BE ADAPTED TO COUNTRY ILLUSTRATIVE – TO BE ADAPTED TO COUNTRY Approach OBJECTIVES FROM TOR STEPS KEY ELEMENTS OUT OF SCOPE Identify all CER and non-CER UN planned activities Identify needs for new UNDAF or common programming tool and future role of UN in COUNTRY Assess/characterize the type, number, intervention types of roles required Identify and quantify current roles for all agencies To conduct baseline study and an in-depth review of the capacities available within the UN system to coherently implement the Outcomes of the UNDAF or common programming tool including the capacities to establish programmatic synergies and the additional inter-agency reform instruments as developed. To assess the operational capacities of the UN system in country 1, 2, & 3. Analysis of capacity requirements & assessment of current capacities Will not review individual performance or assess individual competence To identify critical capacity gaps and technical requirements for current and future requirements that will need to be urgently filled, if the UN is to move forward in an effective and coherent manner in the implementation of the UNDAF2006 – 2010, with a result-based management and rights based programming approach. 4. Gap analysis Compare available capacities against list of required and quantify capacity differences Assess which roles are strategically important to keep in-house vs. other arrangements Synthesize set of key capacity differences to present to UNCT with the quantitative information Will not recommend areas of focus or prioritization of roles and competencies Will not recommend allocation of capacities or intervention types among UN agencies To present clear recommendations to the UNCT that can be taken up as part of an overall change management strategy. 5 & 6. Develop plans for addressing capacity differences Will not estimate costed approach Facilitate discussion of options for bridging differences and outline high-level implementation plan

Ways that UNCT could help to facilitate progress Identify focal points for data needs To provide specific data from both programme and operations sides of each agency To provide answers to data specific questions To direct questions to appropriate individuals within agencies Facilitate communications with staff Ask / raise questions of concerns for team to address Communicate responses, documents, and progress updates provided by team to staff and staff associations Approval of draft staff survey and encourage response Review of draft staff survey to be sent to determine existing allocation of staff time to various job-related tasks Encourage widespread staff response to survey in timely manner

Proposed agenda items Introduce the mission team Confirm a shared understanding of the goals of the engagement Review proposed approach and work plan Identify key challenges and discuss plans for avoiding / mitigating risks Present immediate next steps for the engagement

Overview of methodology ILLUSTRATIVE – TO BE ADAPTED TO COUNTRY Overview of methodology Timeline (est) Today A weeks B weeks C weeks D weeks E days Review agreed CER objectives and associated activities 2) List current demand and supply of intervention types and subject matter expertise 3) Conduct baseline study to identify required intervention types and subject matter expertise 4) Identify capacity differences through gap analysis 5) Develop and prioritise options for closing differences 6) Prepare implement-ation and communic-ation plans Key Steps Analyze characteristics of existing capacity Identify capacity requirements Compare requirements to existing capacity Develop an implementation and communication plan for addressing capacity difference Key Tools / Approach JD analysis NR Capacity Analysis Staff Survey Interviews with Heads of Agencies (R & NR), Government & Donors Interviews with OMT, PMT, and Staff Associations Workshop with UNCT Final report summarizing all findings and UNCT decisions (target date to be confirmed)

TO BE ADAPTED TO COUNTRY ILLUSTRATIVE – TO BE ADAPTED TO COUNTRY Proposed framework for assessing capacity Category Description / definition Subject matter groupings Examples could include: Human Capital Health Education HIV and AIDS Gender Economic development Agriculture Industry & Trade Energy & Minerals Natural Resources & Tourism Infrastructure Governance Public Financial Management Environment Macroeconomic Management Development Policy Emergency Preparedness Other Type of intervention Intervention types include: Advisory - Policy Advisory - Technical Assistance Advocacy Programme Communications Development Partner Coordination Inter-Agency Coordination Direct Service General Management Monitoring and Evaluation Operations - Facilities Operations - Finance Operations - General Administration Operations - Human Resources Operations - ICT Operations - Logistics Media/Public Information Operations - Management Operations - Procurement Operations - Protocol Operations - Security Operations - Transport Other Interventions Programme Management Research Resource Mobilization

Proposed step-by-step process for applying key assessment criteria ILLUSTRATIVE Step 1: Obtain job descriptions from each agency Step 2: Assess job description for subject / sector area of focus Step 3: Assess job description for a maximum of 3 types of intervention % Intervention Type Subject area 1 Health 20 Advisory – Technical Assistance 70 Programme Management Subject area 2 Education 10 General Management Read each job description in full before beginning assessment Attempt to determine what the job description requires the individual to do on a day-to-day basis Assess job description for up to 3 subject areas of focus There may be xx intervention types including the following high-level groupings: Advisory, Advocacy, Programme Management, and Operations Each job description would be allowed 3 different types of intervention with 100% of job allocated across 3 intervention types

Potential output is a high-level mapping of capacity characteristics ILLUSTRATIVE DUMMY DATA N = x total “project” staff identified (not the total number of such staff) Percentage of Funds in UNDAF or common programming tool Agency 1 Agency 2 Agency 3 Agency 4 Agency 5 Agency 6 Agency 7 Agency 8 Agency 9 Agency 10 Agency 11 Operations 40% 60% Programme 13

Workshop preparation and objectives Team responsibilities Analyze and identify key characteristics of available capacity Process results from staff survey including comments on culture and processes and systems conducive to ‘CER’ Develop presentations for findings on key capacity differences – across programmes and operations, covering both short and long-term needs UNCT responsibilities Validate own agency job description analysis Validate capacity needs findings Preparation Objectives Discussion items Develop and prioritise options to address capacity differences Decide on most suitable options Outputs from workshop Agree high-level plan for implementation Prepare key messages about capacity change plan to government, staff and donors

TO BE ADAPTED TO COUNTRY ILLUSTRATIVE – TO BE ADAPTED TO COUNTRY Proposed agenda: Day 1 Timing Activities 08.00-08.30 08.30-08.45 08.45-10.30 10.30-10.45 10.45-12.15 12.15-13.15 13.15-14.45 14.45-15.00 15.00-16.30 16.30-18.00 Breakfast Agenda, introductions and workshop objectives Presentation and discussion of current capacity Coffee Break Discussion of capacity differences and decision on solutions – ‘CER’ Operational Plan / UNDAF or common programming tool for 200x – 200y Lunch Discussion of capacity differences and decision on solutions – Programme in the longer term Discussion of capacity differences and decision on solutions – Finance, HR (both 2008/9 and longer term) Discussion of capacity differences and decision on solutions – Procurement, IT, other Operations (both 2008/9 and longer term)

TO BE ADAPTED TO COUNTRY ILLUSTRATIVE – TO BE ADAPTED TO COUNTRY Proposed agenda: Day 2 Timing Activities 08.00-08.30 08.30-09.30 09.30-10.30 10.30-10.45 10.45-12.00 12.00-13.00 13.00-14.00 14.00-15.00 15.00-15.30 Breakfast Discussion of required generic skills sets and organizational culture / behaviours for “CER”, and development of solutions to address them Discussion of barriers from processes and systems/incentives, and development of possible solutions to address them Coffee Break Development of draft implementation plan Preparing draft communication to staff and external stakeholders Lunch Review and refine draft implementation plan and communications Wrap up – Next steps

Proposed agenda items Introduce the mission team Confirm a shared understanding of the goals of the engagement Review proposed approach and work plan Identify key challenges and discuss plans for avoiding / mitigating risks Present immediate next steps for the engagement

Potential project / methodology risks (1/2) Potential risks Possible risk mitigation actions Insufficient data is made available to the project relative to needs and/or the data requirements specified by the team do not match the real needs further down the project Real current roles are likely to be significantly different from job descriptions for current posts; actual intervention types may differ substantially from those listed in job descriptions Key decisions may have not yet been discussed or fully agreed (e.g., actual content of joint programmes, or how far to go towards harmonization on the different parts of CER) Project issues raised are not resolved within an appropriate timescale (particularly with regards to the field visit) and/or data is not provided in good time Concerns of agencies cause work or key meetings to be postponed Clarify data expectations on both sides at beginning of the project and identify potential bottlenecks Share draft analysis of current capacity based on job descriptions with Heads of Agency (and others as needed) to identify differences between job descriptions and real roles and competencies Consider possibility of a staff survey to identify differences between real and stated roles Agree with UNCT from the outset that such issues will have to be raised with them quickly Clarify time expectations on both sides at beginning of the project and identify potential bottlenecks Plan frequent two-way communications with agencies, including on the methodology and interim findings as well as the final findings; Also seek input on methodology from Inter-Agency Task Team Team unable to identify differences reliably Work takes much longer than envisaged

Potential project / methodology risks (2/2) Potential risks Possible risk mitigation actions Agencies are not be able to agree on a common methodology and toolkit Key project stakeholders do not agree that the findings are valid Agencies are not be able to agree on a common approach to closing differences There will be insufficient resources to carry out the change management plan, and too much expectations on what agencies’ headquarters can deliver to countries Engage agencies in COUNTRY and on Inter-Agency Task Team to get agreement on the methodology Get agreement to the methodology up front; Seek feedback on pieces of analysis (e.g., categorisations of jobs for given agency); Plan interim communications where questions about validity of findings can be raised and addressed Engage with agencies actively and in a joint setting (workshop) to identify potential solutions, plans and how different activities will be done throughout the process Agencies’ headquarters to identify team members to support implementation and country teams to provide resources required to deliver on country-specific plans Findings about differences are not accepted Solutions to closing differences are not developed/ accepted by the UNCT or not implemented

Proposed agenda items Introduce the mission team Confirm a shared understanding of the goals of the engagement Review proposed approach and work plan Identify key challenges and discuss plans for avoiding / mitigating risks Present immediate next steps for the engagement

TO BE ADAPTED TO COUNTRY ILLUSTRATIVE – TO BE ADAPTED TO COUNTRY Proposed dates for meetings Suggested date Meeting with Meeting objective UNCT Kick-off discussion of methodology, plans for key people to interview, and changes to inception note Progress review on data gathering and analysis Project Steering Group Progress review Presentation of findings and facilitation of workshop to identify ways to address capacity gaps

Non-resident capacity ILLUSTRATIVE – TO BE ADAPTED TO COUNTRY Status of data request   In-country capacity Non-resident capacity Organigramme JDs Staff lists List of missions Agency 1 Agency 2 Agency 3 Agency 4 Agency 5 Agency 6 Agency 7 Agency 8 Agency 9 Agency 10 Agency 11 Agency 12 Agency 13 Agency 14