1. UNDAF Process: Step 2 Country Analysis
Session 7

2. Session Objectives
By the end of this session participants will be able to:
Undertake causality analysis of development challenges to identify the immediate, underlying and root causes of the problem at stake;
Build on their causality analysis to identify claimants and their claims, and accountable actors and their corresponding obligations;
Use this role analysis to identify the critical capacity gaps that prevent claimants from claiming what they are being denied of, and accountable actors from meeting their obligations;
Apply the anti-corruption normative frameworks to strengthen their overall analysis.

3. Gathering Information
Country Analysis
Gathering Information
Assessment
Analysis

4. Gathering Information
Legal System: Constitution, treaties Political Structure: Form of State, Political parties Social Structure Demographic and ethnic characteristics The Economy Natural Resources, Investments Outside Forces at Work: Donors, Multinationals, Other States
Country and People
Legal System
Political
Structure
Social
The Economy
Outside Forces at work
From an anti-corruption perspective, every ‘Country Analysis’ should at least contain information about:
Normative standards (national, regional and international level);
Reviews and Self-Assessments (e.g. for States parties of UNCAC or under other relevant Conventions);
Institutional Framework in the Field of Anti-Corruption (Actors and responsibilities);
Existing regulations and mechanisms;
Statistical data (Perception, victimization and governance studies )
Extra ideas: The corruption narrative of the country; level of political will; legal framework; institutional framework and capacities; independence, effectiveness and efficiency of institutions.
For more information consult the resource guide (section 5.2)

5. Gathering Information - Reminder!
Where does the information come from?
Triangulation of data is important!
Don’t reinvent the wheel!
In an ideal situation, anti-corruption programmes would be based on a sound foundation of corruption risk assessments and measurements of the extent that corruption has permeated the public and private institutions. In reality, however, this is easier said than done. Measuring corruption is a complex endeavor, and it is infused with a high risk of inaccuracies as well as political controversy.
Fortunately, there has been tremendous progress in the development of indicators to measure or assess different aspects of anti-corruption, such as integrity, transparency, governance, and the rule of law. One of the foundational documents in this regard is the 2008 Users’ Guide to Measuring Corruption, developed by the UNDP and Global Integrity.
E.g. illicit behaviours are generally hidden, which makes them more difficult to identify and describe. Corruption is often underreported; e.g. victims might be, to some extent, co-responsible for the crime or fear retaliation. Moreover, national legislation, which is not fully consistent with UNCAC, could blur the boarders between licit and illicit etc. Therefore data on reported crime will not provide enough information to assess the scope of the phenomenon.
UNDP, A Users' Guide to Measuring Corruption (UNDP, 2008); see also UNODC and the Centre for the Study of Democracy, Workshop on Measuring and Monitoring Corruption and Anti-Corruption (17-18 June 2005)

6. Assessing the Ingredients
Functioning of the State and Society
Limitations
Implications
Obligations

7. Focus Area for UN Analysis?
MDGs
Disaster Risk Reduction
Trade
Youth
Governance
Civil Society

8. Quick Reminder:
The gathering information and assessment stage, as part and parcel of the UN Country analysis, to establish the base-line needs sufficient time in the roadmap
This phase already creates a tremendous opportunity for consensus building within the UN itself as well as with government partners and civil society.

9. The Programming Principles and the UNDAF
Human rights-based approach (HRBA)
Gender equality
Environmental sustainability
Capacity development and
Results based management (RBM)

10. Important 3 normative principles 2 enabling principles
HRBA, Gender Equality, and Environmental Sustainability
Connect international norms and standards and agreed development goals to the UNDAF process
2 enabling principles
Capacity development and RBM
Help to make the normative principles operational in the UNDAF
UNCTs are required to apply the 5 programming principles which are intended to strengthen the quality and focus of the UN responses to national priorities

11. Anti-corruption linkages with UNDAFs normative principles
UNDAFs Programming Normative principles
Corruption Linkages
Examples of anti-corruption Entry points with respect to the UNDAF Programming Principles
Human Rights
Corruption denies access to public services in favour of those able to influence authorities to act in their personal interest.
Corruption generates discrimination.
Corruption in the judicial system violates basic human rights to equality before the law.
Corrupt political systems deny the fundamental right to democratic participation.
Corruption reduces public expenditures especially on education, health, and social protection while also affecting the quality of services.
A legally mandated and enforced line of accountability of those who have the obligation to deliver public services.
Legislation that guarantees the right to access to public information, transparency and accountability into all public sectors.
Participation and collective action from citizens and civil society organizations to strengthen accountability measures for the use of public resources.
Strengthening legislative processes, legal safeguards and justice mechanisms for vulnerable groups to fight corruption as well as ensure human rights of vulnerable groups.

12. UNDAFs Programming Normative principles
Anti-corruption linkages with UNDAFs normative principles
UNDAFs Programming Normative principles
Corruption Linkages
Examples of anti-corruption Entry points with respect to the UNDAF Programming Principles
Environmental Sustainability
Corruption is used for land expropriations.
Corruption deprives citizens in general, yet especially those with a low-income, of their rights to services such as water, electricity, and environmental safety.
Private companies may pay state officials to shape the laws, policies, and regulations.
State capture may happen through legal methods such as lobbying and donation-giving to political parties.
Incorporation public hearings of new projects subject to environmental and social impact.
Empowering local communities to use resources sustainably and thereby incentivizing resource control and protection.
Making communities aware of the corruption risks in REDD+ mechanism by strengthening the rights of indigenous population.
Promoting consumer awareness and collective action.
Strengthening policy for environmental management by enhancing access to data and information, greater inclusion of stakeholders, and supporting the integration of environmental analysis into anti-corruption strategies.

13. UNDAFs Programming Normative principles
Anti-corruption linkages with UNDAFs normative principles
UNDAFs Programming Normative principles
Corruption Linkages
Examples of anti-corruption Entry points with respect to the UNDAF Programming Principles
Gender Equality
As corruption affects poorer sections of a population, women are likely to be affected more severely.
Gender bias in the judicial system hurts women.
Trafficking is more likely in a corrupt environment.
Sexual corruption in the workplace affects women.
Corruption hinders gender equality.
Corruption is an obstacle for women participation in the decision making.
Use gender disaggregated data in risk and corruption assessments.
Consult women´s organization national anti-corruption strategies.
Promote special accountability tools and mechanisms aimed at protect women´s rights.
Consult and involve women´s organization in gender sensitive anti-corruption strategies.

14. Anti-corruption Linkages with UNDAF enabling principles
UNDAFs
Enabling Principles
Anti-corruption Linkages
Results-based Management (RBM)
An analysis of corruption problems, possible causes, and consequences provides the required baseline information on a corruption.
A selection of entry points based on a sound analysis of country’s national anti-corruption instruments and the actors will help clarify priorities and sequence short, medium, and long-term priorities.
Follow up and sustainability: Corruption evolves and changes over time and thus, the analysis of corruption should be considered an on-going process.
Tracking progress by utilizing assessment tools helps measure the effectiveness of programmes.

15. Anti-corruption Linkages with UNDAF enabling principles
UNDAFs
Enabling Principles
Anti-corruption Linkages
Capacity Development
The capacity development approach is central to anti-corruption programming. For example, support to increase state/institutional capacity on anti-corruption has to look at three levels:
enabling environment (legal and institutional frameworks, political environment, etc.);
mandates and organizational capacity of relevant anti-corruption institutions (e.g., anti-corruption agencies, prosecutor’s office, etc.); and
capacity of civil society and media.
Capacity Assessment of Anti-Corruption Bodies under the UNCAC Framework: Strengthening of anti-corruption bodies should start with a capacity assessment and be followed by the implementation of capacity development plan to address the issue of independence, degree of authority, functions, internal organization, and coordination with relevant public and private-sector organizations.
Strengthening civil society and the Media to support anti-corruption is a key element in anti-corruption programming. Capacity-strengthening methods may include: awareness-raising; training of civil society members and journalists; increasing the participation of civil society and the Media in policy formulation; or supporting good governance principles in CSO organizations.

16. But !!
It will be critical to ensure that key contextual issues deriving from the earlier steps will come back into the deeper analysis as well
HRBA GE ES
DRR AC CP

17. GATHERING INFORMATION Shortlist major development issues
Country Analysis
GATHERING INFORMATION
ASSESSMENT
Shortlist major development issues
for deeper analysis
ANALYSIS 17

18. Assessment Analysis in three steps Causality Analysis 1 Why?
What is at stake?
Analysis
in three steps
Role
Analysis 2
Who is being denied what?
Who has to do something about it?
Capacity Gap Analysis 3
What do they need to take action?

19. What is it? it? Causality Analysis
A technique for identifying causes of a problem which can then be used to formulate appropriate responses;
We can map the problem and its causes in the form of a problem tree. 19

20. Group Work – Part 1: Causality analysis/problem tree
Using the information from the Country about the national development challenges:
Identify a critical development problem – be prepared to explain why you selected this problem over another
Formulate a problem statement in terms of what is happening, to whom and where – write it on a card
Discuss and identify the immediate, underlying and root causes – ask “WHY”
Build a problem tree
Each group will select and define one problem to work on.
Constructing a problem tree for those unfamiliar with the practice will be most easily done by initial brainstorming and noting the results on cards. E.g. if the question is “Why do girls leave school?”, group members may note any possible cause without respect to whether it is immediate, underlying or basic. Once a reasonable number of causes have been identified, the causes may be structured in the logical chain.
The alterative is to try to build from the top down, but this will be less participatory and creative.
Selecting one chain means one vertical causal relationship out of the various possible vertical relationships.
An example of a corruption related problem in the health sector is available in the resource toolkit (page 38) 20

21. “Poverty in remote rural areas, particularly among ethnic groups”
Problem statement
“Poverty in remote rural areas, particularly among ethnic groups”

22. To unpack the causes of a Problem
CAUSALITY ANALYSIS
Problem
Immediate Causes
Underlying causes
Root Causes
To unpack the causes of a Problem 22

23. Causality Analysis EFFECT Problem Statement
Immediate causes
Underlying
causes
Root causes
EFFECT
Problem Statement
Poverty in remote rural areas, particularly among ethnic groups
Lack of employment opportunities in rural areas
Low farm productivity
Immediate Causes
Lack of marketable skills of the rural poor
Lack of access to markets
Lack of access to resources
agricultural extension services
Corruption in credit and savings schemes
new technology/ inputs (seeds, fertilizer, etc)
Landlessness/ land tenure insecurity
Underlying Causes
Poor transportation/ infrastructure
Unfair land concessions and land grabbing
Causality analysis PLUS: Identify entry points from UNCAC that you could bring up in the UNCT analysis of this problem
Next:
Choose a branch to focus your analysis on
Role analysis
Causality gap analysis
Root Causes
Lack of access to Justice & Recourse mechanisms
Population increase
FDI increase and greater demand for land for mining, hydro power, etc.
Clientelism and patronage
CAUSES

24. Group Work – Part 2: Causality analysis/problem tree
Select one chain from the problem tree – consider UNCT comparative advantages to help with selection 24

25. Analysis in three steps
Assessment
Causality Analysis 1
Why?
What is at stake?
Analysis in three steps
Role Analysis 2
Who is being denied what?
Who has to do something about it?
Capacity Gap Analysis 3
What do they need to take action?

26. Role Analysis Claimants (RHs) Accountable actors (DBs)
Check what the normative framework says about claims and duties
Claimants (RHs)
Who are they?
What are their claims?
Accountable actors (DBs)
What are their obligations?
Check also what role is expected from accountable actors
Claimants (Rights-holders)
Accountable actors (Duty-bearer) 26

27. Role Analysis
1. To identify who are the claimants, their claims and the current status of those claims (what the claimants are experiencing);
2. To identify the accountable actors who must do something about those claims, their most critical obligations and the roles they currently play (what the accountable actors are actually doing);
3. To identify other responsible actors who could do something about those claims, their most critical responsibilities and the roles they currently play (what the responsible actors are actually doing);

28. Group Work: Role Analysis
Given the critical corruption-related issue you have identified in step 1:
1. Focusing on the branch selected, identify a main claimant, a claim and the current status of that claim
2. Identify a strategic accountable actor who must do something about that claim , their most critical obligations and the role they currently play
3. Identify a responsible actor who could do something about that claim , their most critical responsibilities and the role they currently play
Role Pattern
Whose rights are being affected? Who is responsible for the rights not being respected, protected or fulfilled? Who are the rights-holders and do they have the capacity to claim their rights including the ability to access information, organize and participate, advocate claims and policy change, as well as obtain redress? What, specifically, is owed to the rights holders? What mechanisms of delivery, accountability, and redress exist, and what mechanisms should be established? Who are duty-bearers and what obligations are they supposed to meet? Who are the specific actors or institutions responsible for performance and do they have the capacity to meet obligations (including responsibility, authority, data, and resources)? Are these duty-bearers also rights-holders? In other words, do they rely on others performing their duties in order to be able to, in turn, deliver what they owe? Do the others have the capacity to perform their duties? What is the relationship between the rights-holders and duty-bearers in regard to the development issue being examined and at what level are interventions for capacity building most effective (community, regional, national)?
Call Boxes: the identification of roles should not be an arbitrary exercise. It should be guided by the claims and duties established in international human rights standards as well as by the more specific roles and standards defined in national laws, procedures and policies.

29. Role Analysis Claimants (RHs): Claim: Current Status:
According to National and/or Regional and International normative frameworks
Current Status:
What is the claimant actually experiencing?
Accountable actors (DBs):
Obligations:
Current Role:
What is the accountable actor actually doing?
Other responsible Actors:
Responsibilities:
Defined in relation to the issue at hand and given the local situation
What is the responsible actor actually doing? 29

30. Role Analysis Poverty in remote rural areas, particularly among ethnic groups
Claimants: (Who is denied what?)
Communities
Citizens
Rural people
Minority groups
Other Responsible Actors:
(Who has a role to play?)
Accountable Actors:
NGOs
(Who is accountable?)
Private Sector
Service providers
District Level Officials
Ministries (Environment, etc.)

31. Analysis in three steps
Assessment
Causality analysis 1
Why?
What is at stake?
Analysis in three steps
Role analysis 2
Who is being denied what?
Who has to do something about it?
Capacity gap analysis 3
What do they need to take action?

32. Capacity Gap Analysis Claimants (RHs) capacity elements: Can?
- Knowledge
- resources
- individual abilities
Want?
- Security
- motivation
Enabling environment?
- right to participate
- Information
- freedom of association and expression
Accountable actors (DBs) capacity elements:
Can?
- Knowledge
Resources (human, technical
and financial)
Organizational challenges
Want?
Responsibility/motivation
/leadership
Must?
- Authority
How to operationalize anti-corruption in such a way that it creates value-added for enhanced development effectiveness
If anti-corruption or governance issues are treated as stand alone issues, other institutions will not see the agenda as relevant to their mandates.
By strengthening the capacity of Ministries, Departments and Agencies (MDAs) to prevent corruption. Particularly, in regards to the identification of risks, vulnerabilities and loopholes that facilitate corruption as well as in the design of action plans to prevent its occurrence.
By strengthening accountability systems from a multi-stakeholder approach including: CSOs, the private sector, donors, MDAs and the anti-corruption agencies.
By integrating anti-corruption measures into national development processes. Integrity, accountability and transparency measures need to be integrated as part of the national and local development agendas in order to tackle corruption risks.

33. Capacity Gap Analysis
Based on the role analysis, the capacity gap analysis aims at:
Identifying the key capacity gaps of the claimants (RHs):
The aspects that prevent claimants from claiming what they are being denied of and what they would need to take action
Identifying the key capacity gaps of the accountable actors (DBs):
 The aspects that prevent accountable actors from fulfilling their obligations and what they would need to take action
Identifying the key capacity gaps of other responsible actors:
 The aspects that prevent other responsible actors from assuming their potential roles and what they would need to take action 33

34. Group work: Capacity Gap Analysis
Based on the role analysis:
For the claimants (RHs), identify their key capacity gaps
The things that prevent claimants from claiming what they are being denied of and what they would need to take action
For the accountable actors (DBs), identify their key capacity gaps
 The things that prevent accountable actors from fulfilling their obligations and what they would need to take action
For the responsible actors, identify their key capacity gaps
 The things that prevent responsible actors from assuming their potential roles and what they would need to take action

35. Reason for Capacity Gap / Possible Action to fill the
Capacity Gap Analysis Poverty in remote rural areas, particularly among ethnic groups
Capacity Gap
Reason for Capacity Gap / Possible Action to fill the
What prevents rural people from…knowing/accessing etc.?
 What do they need to take action?
What prevents district level officials from performing their roles?
HRM
Procurement
Conflict of Interest
Code of Conduct
What prevents private sector from contributing to addressing this problem?
Training
Law enforcement
UNCAC articles 12 (Private sector), 13 (CSO)

36. Gallery of analysis: Debriefing of 3-step analysis
Our opportunity to “visit” other groups and give feedback
Organise your 3 steps on the wall
Choose one person to present your analysis
Causality Analysis: Is there a logical flow in the causality analysis and clarity of problems?
Role Analysis: Are the claims and obligations intuitive and presented in plain language – when you read an obligation can you imagine a corresponding action?
Capacity Gaps: Is there sufficient attention to capacity gaps that address the lower levels of the framework (root causes) – related to critical gaps in legal, institutional and policy and budgetary frameworks?
Gender Dimension: How well does the analysis reflect the different ways that women and men experience the development challenge? Will the capacities address the root causes of gender inequality?
!! Remember to leave comments on post-it notes

37. Analysis in the programming process: remember 4 critical questions
This analysis helps the UN and partners to answer 4 critical questions:
Why? What problem(s) is at stake?
 Who is being denied what?
Who has to do something about it?
What do they need, to take action? 37 37

38. comparative advantage
Next Step
Where does the UN have a
comparative advantage

39. Definition of Comparative Advantage
Mandate to act
Capacity to act
Better positioned to act than others

40. Strategic Priority Setting for UN Country Teams
MD/MDGs/
International norms
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
Major
National
Challenge
UNCT
Comparative Advantage 2
Alignment of key actors to support UNCT action 1 4 3
The slide from the previous session on integrating anti-corruption in UN programming through a sectoral approach can be explained in this session as well. 40