Strategic Planning in Post-Crisis Contexts New York 13-14 November 2008

Introductions Name Organization / Country Role

Workshop Goals Building capacity to lead effective post crisis planning efforts Knowledge and tools for new strategic planners Shared understanding among UN system participants of roles for strategic planners and other planning participants Greater clarity on a systematic approach to the planning process: goals, design and implementation Greater clarity on skills planners need, and on support for skill building

Groundrules Participation: many views, much experience, need for focused comments Frank discussion of issues, no formal record of individual comments Cell phones silent (internet access in lobby)

Agenda Day 1 Purpose, principles and context for post-crisis planning UN system planning: roles, tools and coordination Initiating Planning

Agenda Day 2 Assessing transition needs Defining UN comparative advantage Building Stakeholder Support Strategies and skills: negotiation with stakeholders; results-based management Skills and Support for Planners

A word about using the case… Fictitious case… still incomplete info… Hopefully reflective of many of the dynamics we collectively and typically face Purpose is to Stimulate Thinking Bring in your experiences… I.e., don’t get bogged down in the case… use it as a common foundation for group discussions

Session 1 Transition Planning: Context and Principles At your tables (10 min): Why plan? What are 3-5 reasons for UN country presences to undertake strategic planning exercises?

Strategic Priority Setting for UN Country Teams MD/MDGs/ International norms Major Challenge UNCT Comparative Advantage 2 Alignment of key actors to support UNCT action 1 3 4 Key idea: UN RC/RR/Agency Rep. needs to be able to identify and set strategic priorities systematically. Main criteria for priority setting are represented as three circles: national challenges and opportunities; UNCT capacity/comparative advantage, and alignment of key actors with decision making power and influence to support UNCT action on an issue. Note: MDs, MDGs and other international agreements and norms are also a point of reference for UNCT. Here, we assume that they’ll be reflected in UNCT commitment to gear capacity and comparative advantage toward MD/MDGs, and in the overlap between UNCT and national challenges. At any point in time, these three circles are shifting and shiftable to differing degrees: National challenges shift due to factors largely beyond UNCT’s control UNCT comparative advantage (mandate plus capacity plus ability to perform better than others) can shift over time through decisions and actions by RC and CT Representatives and staffs Alignment can increase through processes of negotiation and consensus building, which RC/RR/Agency heads can lead and/or participate in Top priorities (area 1) are the situations where all three criteria are met. UNCT can take action now and do some good. Potential high priorities (areas 2 and 3) Area 2: situations where there is a national challenge and UNCT capacity to meet the challenge, but key actors aren’t yet in alignment to support UNCT action. UN RC/RR/Agency Rep. can take strategic action through negotiation and consensus building to increase alignment. However, it may be impossible to gain support of key actors, in which case UNCT should not proceed. Area 3: situations where there is a challenge, and key actors are in principle supportive of UNCT action, but UNCT doesn’t actually have the comparative advantage to act. UNCT may be able to draw on regional/global UN capacity, something that will usually take time. Critical questions are whether capacity can be built quickly enough to respond effectively, and whether others are already better positioned and UNCT would be duplicative. Lower priorities (area 4) are situations where the Country Team has capacity and other actors are supportive, but action by the UNCT isn’t likely to make a significant contribution to major national challenges. These may be the hardest internal negotiations for UNCTs. There will be a strong temptation to do it “because we can.” Top strategic priority Potential high priority: use negotiation/consensus building to seek alignment Potential high priority: draw on regional/global UN capacity where feasible 4. Lower priority: does not meet major challenge

Session 1 (2) Transition Planning: Context and Challenges At your tables (15 min): What makes strategic planning in post-crisis settings more challenging?

Session 2 Transition Planning in the UN Context: -- Roles, Tools and Processes Development Humanitarian Peace-Keeping Political Affairs

Session 2 (2) Based on these presentations, the Matoto case, and your own experiences: Identify some of the key challenges and opportunities (institutionally) of coordinated / joint planning.

Session 2 (3) Transition Planning in the UN Context: -- Roles, Tools and Processes Early Recovery Advisors (ERAs) and Peace and Development Advisors (PdAs) Integrated Peace Building Strategies (PBSO) Integrated Planning in Practice: Haiti

Matoto Overview 3 years of violent civil war Resource / ethnic / regional triggers Food insecurity / high youth unemployment Kizu in the north: oil rich, human development poor March 2006: Peace brokered by UN/EU Interim Administration June 2007: Legislative Elections Fractured representation; Coalition Govt Natl Election (2010); Local (no timeline)

UNIMIM 3 ERAs; PDA(?); PBC(?) UN Integrated Mission in Matoto UN SC Resolution 2345 on Matoto Ceasefire monitoring, Elections, Judicial Reform, Human Rights monitoring/protection Phase-out in 2010? DSRSG/RC/HC RC Office (3 staff, 1 field) OCHA Presence 15 intl, 40 natl, 5 field offices Consolidation envisioned; handover to RC Office 3 ERAs; PDA(?); PBC(?)

UNCT 12 Resident Agencies, 3 Non-Resident Recent humanitarian focus (+/- $360m) Recovery/Development Programmes $50m annually Task Forces on some issues, but not all active 2001 UNDAF… but crisis in 2005 Most agencies develop bilaterally w/ donors Current Programme tools: CAP and annual agency programme documents

International Actors World Bank Donors Coordination Critical of UN lack of strategic clarity, too strict a focus on humanitarian response Support move towards PRSP Donors Have supported UN humanitarian role; moving towards development Some concerns (EU) about understanding conflict causes better EU, France, USAID, plus several others Coordination Donor forum in place… primarily WB, EU, UN

Political Context for Recovery Government We are no longer a crisis country Reduce the CAP - hurts our image Donors are biased for Kizu - pressuring govt by withholding development programmes Kizu Wants continued focus on humanitarian, w/ targeted recovery Can’t engage in development planning until revenue-sharing / oil resource control issues are resolved.

Socio-Economic, Humanitarian and Security Situation Economic Sectors Oil, Subsistence Agriculture, Tourism Potential(?) Low Human Development 13.5m people (1999 census) 160 of 177 on Human Development Index; 63% below $2/day Great disparities across regions Humanitarian Needs 90,000 IDPs; human rights / GBV concerns Particularly acute in Kizu Security Threats Small arms proliferation Increasing violent crime in Kizu, reduced access to vulnerable populations

Initiating the Planning Process At your tables (45 min – 1 flip-chart page): Timing: What kinds of criteria can / should be used to determine if the timing is right to initiate a post-crisis planning process? Integration: How would a UNCT strategic plan be linked with Mission planning? What role / purpose could the ISF play? What coordination challenges can you anticipate? Parameters: What are the critical parameters (e.g., timing, scope) to define and agree on within the UNCT, with the Mission, and with key partners, in order to start the planning process?

Initiating Post-Crisis Planning Roles of the Strategic Planner Mapping and Tracking Overall Planning Context (Natl, Intl, Agency) Identifying potential entry points Framing the Right Questions Timing, Rationales, Parameters, Consultations, Political Working w/ RC to identify who needs to be involved in addressing different questions Facilitate the Process of Engagement

Initiating the Planning Process Initiating Planning in Practice: Lebanon

Day 1: Wrap-Up Homework Assignment: Case Reading; Comparative Advantage Profiles of UNCT Agencies

Day 2: Recap / Overview Post-Crisis Planning Tools: PCNA, Strategic Assessment

Matoto: Assessing Post-Crisis Needs UNCT: Has decided to develop recovery framework Grounded in thorough analysis/understanding of country’s needs Prime Minister Concerned that full-blown needs assessment will delay PRSP Sufficient studies already exist Certain issues, such as SSR, are off-limits Ministries concerned about including ‘capacity assessments’ - fear of losing control of resources and project implementation

Update (2) … Kizu: WB/Donors: Support in-depth needs assessment Support special focus on Kizu as separate exercise, due to specific regional concerns WB/Donors: Differences over process, competing priorities anticipated based on part 1 of case

Assessing Post-Crisis Needs At your tables (25 min – 1 flip-chart page) Concerns: How should the UN respond to the concerns of key governmental, political and/or other stakeholders about the assessment? Parameters: Recognizing that you would need more information to give a definitive answer: What are some key parameters you would suggest for the needs assessment in Matoto? Linkages: What are the key links to establish between this needs assessment and other related existing or upcoming processes (security, political, etc)?

Assessing Post-Crisis Needs Roles of the Strategic Planner: Frame the Issues / Questions Scope, Consultations, Parameters Flag Potential Political Considerations Identify Potential Options Design Effective Stakeholder Strategy Coordinate/Manage the Process w/ Reference to capacity, opportunities to delegate Overall: Ensure that sound analysis underpins the strategic planning effort; and that analysis is shared w/ relevant key actors.

Initiating the Planning Process Key factors to consider State of the conflict: assuming a peace agreement in place, is there a level of security and stability across substantial portions of the country that would allow recovery and institution-building? Alignment of key actors: is the government willing to participate in planning, and does it have capacity to do so? Are donors and international political actors supportive? Is the UN system (mission and UNCT, HQ counterparts) in agreement on the need to begin planning? Planning frameworks and tools: is there agreement between UNCT and Mission on a coordinated and integrated approach to planning—including links to gov’t planning? On the methods and tools to be used? Is there sufficient UN planning capacity in place?

Assessing Post-Crisis Needs Assessing Post-Crisis Needs in Practice: Somalia

Comparative Advantage Mandate to act + Capacity to act Unique Niches for UN Actors Only the UN can act in this area in this way The UN has a unique contribution in this area The UN is better positioned than other actors

Elements of Comparative Advantage… Relationships with key partners Access/Influence with key decision-makers Legitimacy (e.g. from mandate, other) Reputation/Track record Field Presence/Infrastructure/Admin. & management Financial Resources Technical/Analytic Resources Cost-Effective Delivery Effective Programme Approaches / Methodologies As compared with other actors who might play same/similar role…

Update from Matoto… Matoto Assessment Process (MAP) ‘Light’ Needs Assessment Priorities from the MAP finalization workshop Equal and affordable access to quality social services, focus on health and primary education, across the territory Environmental degradation, through transparent and efficient management of natural resources and rehabilitation of infrastructure Core state functions and capacities, national cohesion, unity, citizen participation Achieve pro-poor economic growth, youth employment generation, financial management

Update from Matoto (2)… Stakeholders welcomed renewed emphasis on access to social services and employment Expansion of Recovery Plan Certain issues, such as SSR and reconciliation, out Consequence of achieving results in these priority areas Kizu Refused to endorse final report; didn’t treat Kizu separately UNCT ready to move ahead with addressing these priorities DSRSG/RC/HC: Asked each agency to prepare statement of comparative advantage.

Working Groups: Part 3 At your tables (25 min – 1 flip-chart page): Challenges: What kinds of obstacles / challenges do you anticipate in this phase of assessing comparative advantage? Methodologies: What else would you want to know to inform the comparative advantage analysis before developing UN strategies, and how might you find out? (i.e., what methodologies might you use)? Integration: What opportunities might exist for agency mandates and capacities to either conflict with or complement Mission mandates and capacities? What role(s) can/should the planners from both the Mission and the UNCT play in this phase of comparative advantage analysis?

Engaging Stakeholders A Spectrum of Options - information-sharing - joint fact-finding - dialogue - negotiation - advocacy - consultation - consensus building - joint decision making © CBI 2006

The Consensus Building Option Decision making processes in which groups… Seek representation of all affected stakeholders Jointly clarify facts and issues among all stakeholders Gain a shared understanding of each other’s underlying interests and of the political, social, economic, institutional and environmental issues at stake Jointly develop options that are more creative and widely supported than the initial proposals of any one stakeholder Seek agreements that satisfy everyone’s primary interests © CBI 2006

Matoto: Stakeholder Support Proposed UNCT Strategies: National capacities to provide basic services to vulnerable populations are strengthened including through pro-poor allocation of budgetary resources Livelihood opportunities are increased, through public works, small scale income generating activities and environmental rehabilitation The country’s human rights framework is aligned with international standards and monitoring systems are established, leading to a reduction of human rights violations. Citizens’ participation and engagement in public affairs are strengthened, and the design and implementation of national policies reflect the concerns and needs of all segments of the population

Matoto: Stakeholder Support At your tables: How would you go about building broader stakeholder support for the key strategic results developed by the UNCT? What kind of process would you propose and design? How would you frame the purpose of the process? Who would you want to consult with? What is the role of the strategic planner in this phase of building stakeholder support?

The Mutual Gains Approach © CBI 2006

Matoto: Part 5 – Stakeholder Engagement As the Strategic Planner, you have invited key stakeholders to discuss the UN post-crisis strategy. Stakeholders include: Mission Central Government Kizu Authorities World Bank Each has expressed initial feedback on the proposed strategy. General Instructions: Information common to everyone Confidential Instructions: Private information about your role.

Matoto: Part 5 – Stakeholder Engagement The meeting will begin in 15 minutes and last for 60 minutes Use the next 15 minutes to prepare for the meeting. For those playing the role of Strategic Planner, consider your goals / purpose of the meeting, and how you plan to use the 60 minutes of the meeting.

Results-Based Management (RBM)

Skills, Competencies and Support Given the task, context, roles and challenges of strategic planning in post-crisis settings: What are the critical skills and/or competencies required? What kinds of support would be helpful? If you had 1 hour per week, 1 week per quarter, 1 month in a year: What would be the highest value professional development opportunities?