1. The Programming Principles and the UNDAF
Human rights and a Human rights-based approach (HRBA)
Gender equality
Environmental sustainability
Capacity development and
Results based management (RBM).
Agreement about the 5 programming principles emerged from inter-agency discussions in 2006 to revise the UNDAF Guidelines.
These contained 11 guiding principles, seen as too cumbersome for use with stakeholders. Revised guidelines identify 3 key elements for country level performance, 5 inter-related principles that apply to UN supported programming at all time and in all stages of the UNDAF process, and a group of cross-cutting thematic issues to best respond to country priorities.
It is widely agreed that all 5 are necessary for effective UN-supported country programming that must balance the pursuit of international norms and standards with the achievement of national development priorities.

2. Characteristics of a programming principle
A principle gives a basis for reasoning and action
For the UNDAF, this means a principle is:
1. Universal, applying equally to all people in all countries;
2. Based in law, internationally agreed development goals and treaties, and national laws and commitments; and
3. Relevant to government-UN cooperation, everywhere, always.
Principles are different from priorities and goals – which are context dependent
For example: Hunger
Addressing Hunger is a good example of a priority or goal.
It may be a country priority, and something to which the UNDAF responds. Where hunger is a priority, the UNCT will use the principles with stakeholders to:
- Understand how the right to food and food security are addressed in national legal and policy frameworks;
- Analyse the underlying causes of hunger, such as regional, ethnic, and gender discrimination, and the depletion of natural resources; and
Support a national response by assessing capacity development needs, and formulating UNDAF results that can be achieved and measured.
In this example, you can see how the principles bring value to country analysis, by:
Helping to better understand the causes and impacts of major national problems; and
Helping to help to identify possible strategies and programme responses.

3. Group Exercise: The 5 programming principles - Sharing knowledge
In 15 mins, use the flip chart provided to describe the key characteristics of your programming principle
Be prepared to present in plenary
Preparation:
- Prepare 5 flip chart stations in the room. Write one principle at the top of each flip chart. Divide the flip chart into 4 sections with the headings: (1) Purpose; (2) Normative basis, (3) Methodology, and (4) Key UNDG guideline(s) (see example in manual)
Process:
Group work (15 mins)
- Ask participants to move quickly, individually to a station with the principle about which they have the most expertise
- Each group selects a facilitator and 1-2 persons to write
- The group brainstorms answers for each section, writing just key words or phrases (see HRBA example in manual)
Debriefing (15 mins)
- Use a walking plenary to debrief the group work. Ask a representative of each group to present in 1-2 minutes
- Ask participants from other groups if any major pieces are missing? Alternatively, if there are expert resource persons in the room, ask these persons to respond
Refer to manual Annex A: Characteristics of the 5 programming principles for additional detail and for debriefing 3

4. Principles can also become priorities
Important
3 normative principles
Human rights and the 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 (effectiveness and accountability)
Principles can also become priorities
The 3 normative principles adhere to the characteristics (above).
The basis for the 2 enabling principles:
Triennial Comprehensive Policy Reviews (TCPR) of the UN system,
Outcome of the 2005 World Summit,
The Paris Declaration and Accra Agenda for Action, and the 2008 Doha Declaration on Financing for Development, with their focus on national ownership and accountability.
It is important to note here that the principles are not valuable and relevant only in combination and only in the context of the UNDAF.
They have broader relevance, individually and in combination.
All five principles provide a lens, both individually and in combination, to strengthen UN engagement with and support to other national development planning processes and frameworks, such as poverty reduction strategies (PRS), sector-wide approaches (SWAPs), joint assistance strategies (JAS), and direct budget support (DBS).
Principles can also become priorities:
The principles are used to better understand and respond to national development priorities and challenges
They can also help to shape those priorities. Through engagement with stakeholders and advocacy, principles can also become priorities. For example, the UNCT should advocate for priorities in the national development framework that reflect the country’s commitments to achieving gender equality.

5. 3 reinforcing normative principles Connect international norms and standards to the UNDAF process
Key message: The 3 normative principles are reinforcing (see figure).
Human rights and the HRBA and gender equality share a basis in the norms and standards of international human rights treaties and instruments [1], and other international agreements, such as the Millennium Declaration and the Beijing Platform for Action.
Environmental sustainability offers a separate normative framework of Multilateral Environmental Agreements (MEAs) [2] in 3 broad clusters: climate, biodiversity, chemicals.
It is widely accepted that the fulfillment of human rights and the achievement of gender equality require environmental sustainability, and vice versa[3]. The major MEAs contain an article stemming from principle 10[4] of the Rio Declaration related to the political right to information and public participation, and the civil right to judicial and administrative proceedings, including redress and remedy. Procedural rights constitute a strong linkage between the three frameworks, and allow them to be used in a complementary manner.
These relate to the shared underlying principles. Each of the 5 programming principle has underlying principles. The shared ones are: (1) The emphasis on accountability, particularly for the state; and (2) the focus on public participation, inclusion and access to, and demands for, information; and (3) the relevance of equality and non-discrimination.
Reflection on these underlying principles strengthens the quality of the UNDAF process. For example, during support for country analysis, the shared underlying principles demand that we pay attention to disaggregation of data by sex, ethnicity, age, region, and wealth, and also to groups affected by systematic patterns of discrimination and inequality. During UNDAF implementation, the UNCT must pay attention to whether marginalized and disadvantaged groups have access to information and can participate in a meaningful way.
Areas where the 3 circles intersect, including the shared underlying principles, brings added focus to the quality of the development process and to important areas for analysis UNDAF results:
- Access to quality goods and services, and control of resources, particularly for vulnerable and excluded groups, including women and girls;
- Increased environmental and human rights protection, including the protection of women’s human rights
- The empowerment of women, girls and marginalized and excluded groups in decision-making processes affecting their lives
[1] These include the human rights conventions and instruments of the specialised agencies
[2] MEAs are legally-binding international instruments through which national governments commit to achieving specific environmental goals. They define standards, procedures and other requirements for effective implementation. Influential MEAs include: The Convention on Biological Diversity (CBD); The UN Framework Convention on Climate Change (UNFCCC); UN Convention to Combat Desertification (UNCCD). Manual on Compliance with and Enforcement of MEAs, UNEP, 2006.
[3] For example: The UDHR establishes the right to “a standard of living adequate for health and well-being”. The CESCR and CCPR establish the right to the highest possible standard of physical and mental health through "the improvement of all aspects of environmental and industrial hygiene“. Articles in the CRC and ILO Convention 169 on indigenous and tribal peoples also address the dangers of environmental pollution. Gender inequalities and discrimination have deprived women of the necessary decision-making power to take the steps that would help achieve [environmental sustainability]. See: Pathway to Gender Equality – CEDAW, Beijing, and the MDGs
[4] “Environmental issues are best handled with the participation of all concerned citizens, at the relevant level… States shall facilitate and encourage public awareness and participation by making information widely available.” – Rio Declaration
[5] For more discussion of these issues see: Dias, A., Human Rights, Environment and Development (part I), Human Development Report 2000, Background Paper, and Shelton, D., Human Rights and Environment Issues in Multilateral Treaties Adopted between 1991 and 2001, Joint UNEP-OHCHR Expert Seminar on Human Rights and the Environment, 2002.

6. Capacity assessment and development provide the “how”
Capacity assessment and development a means, not an end
Can apply to 3 normative principles and to entry points and core issues related to other national frameworks (PRS, JAS or SWAP)
For the UNDAF capacity assessments help to:
“Un-pack” capacity needs identified by the normative principles
Identify gaps between desired future capacities and current levels
Help formulate capacity development strategies and expected results.
Capacity Development
Key message:
It is essential to understand the purpose of the capacity assessment and development (the “why”), as well as the capacity for what, and for whom?
This enables focus on: Different points of entry (enabling environment; organisational level, individual level), core issues, and a range of functional and technical capacities. For example:
- The Ministry of Education (point of entry-organisational level);
- Public sector accountability (core issue);
Capacity to formulate policies and strategies (functional capacity).
In combination with the 3 normative principles, capacity gaps identified during analysis and planning can be categorized according to the different points of entry and core issues in the capacity assessment methodology[1]. Strategies and results help to close the distance between desired capacities and existing ones. This process will seek answers to the following key questions:
What are the desired future capacities?
What are the capacity targets?
What are the current capacity levels?
[1] UNDG, UNDG Capacity Assessment Methodology – User Guide, UNDG,

7. RBM makes it operational
RBM helps to ensure accountability
It connects analysis to planning and management, with:
Engagement
Joint formulation of SMART results, addressing capacity gaps
Arrangement of resources to achieve results
Functioning mechanisms and processes for monitoring and reporting on UNDAF performance
Use of UNDAF performance information with stakeholders for decision-making
Application of lessons and good practices in the next UNDAF cycle
Shared underlying principles demand:
Disaggregated, gender-sensitive indicators
Process indicators to monitor accountability and participation
Results Based Management
Capacity Development
Key messages:
RBM helps to ensure accountability by offering a process and structure to formulate results and to manage for their achievement.
RBM does not prescribe the substance of results, over which the other 4 principles will have greater influence.
It focuses time and resources on the achievement of UNDAF results, planned together with stakeholders, and on the basis of the country analysis.
In presentation, put emphasis on the “management” aspect:
Some UNCTs are struggling to collect UNDAF performance information regularly, and use that information for decision-making about the UNDAF[1]. The elements necessary for the full practice of RBM are:
- A single results framework, used a reference by all stakeholders;
- Coherent results reporting from inter-agency UNDAF groups;
- Greater engagement with stakeholders in monitoring and reporting, ensuring links to national development plans and indicators; and
- Use of results information by the UNCT and stakeholders to manage for UNDAF outcomes, including flexibility to re-arrange resources.
[1] Results Based Management at country level: Systemic issues that prevent good UNDAF results and the use of UNDAF results information, A report to the UNDG’s Working Group on Programming Issues, September 2008.

8. Group Exercise: Benefits
Using the framework for the 5 programming principles, discuss:
What are the benefits of applying the 5 programming principles to the step in the UNDAF process?
Prepare your response on 1 flip chart
Process:
Group work (20 mins)
- Count participants randomly into 4 groups
- Ask participants to move quickly into group tables
- Assign each group 1 of 4 UNDAF steps: (1) Road Map (2) Country Analysis (3) Strategic Planning (4) Monitoring & Evaluation. Each group to select a facilitator and writer
- Using the framework presented in slides 4 thru 7, ask each group to list the benefits of applying the framework to their step. If they have trouble, you could ask them to visualise how they would undertake the step differently, using the framework and describe this.
- The group prepares their response on 1 sheet of flip chart paper
Debriefing (25 mins)
- Use a walking plenary to debrief the group work. Ask a representative of each group to present in 2-3 minutes
- Discussion, Q&A
- If there are expert resource persons in the room, assign one to respond to each group work result
- To conclude, present slide 9 about the value added of applying the principles to the UNDAF process (see notes on slide) 8

9. 5 Principles: focus and added value for CCA-UNDAF steps
Use international norms and standards to better understand national development problems, root causes, and new capacities needed for action
Through engagement, principles can become priorities
Shared underlying principles (accountability, participation) strengthen the process
Include national processes related to the programming principles (eg. UPR, NAPs on women and environment, capacity assessments, and MfDR reviews)
Capacity assessments “un-pack” capacity needs identified by the normative principles and help formulate capacity development strategies and expected results
To present this final slide, first describe the different elements:
The conceptual framework for the interlinking of the 5 principles at the centre
The arrows represent application of the framework to the 4 main steps of the UNDAF process, in circular arrows
The light blue boxes around the outside summarise the added-value that comes with application of the programming principles.
Note: The box about capacity assessments bridges analysis with strategic planning. Capacity assessments can be used to analyse capacity gaps (whether identified by using the 3 normative principles or not) and to operationalise a response in terms of capacity development strategy and expected results.
Use UNDAF performance information for decision-making and feed it into national RBM systems
Collect performance information, lessons and good practices for the next UNDAF cycle
RBM helps connect analysis to planning
Engage stakeholders, formulate SMART results that address capacity gaps, and establish mechanisms and processes for monitoring UNDAF performance

10. Application
A tool to help apply the principles during the 4 steps of the UNDAF process:
(1) Roadmap; (2) Country analysis;(3) Strategic planning; (4) M&E
Not new processes.
Key questions for reflection and action at each step
Two key messages:
1. Apply the 5 programming principles and other thematic issues to better understand and respond to national development priorities;
2. The principles and other thematic issues can become priorities, through UNCT cooperation in the UNDAF process, and the engagement and buy-in of stakeholders.

11. Other Thematic Issues Conflict Analysis Disaster Risk Reduction
Employment & Decent Work
Food Crisis & Hunger
HIV and AIDS
Indigenous Peoples
Trade and Productive Capacity
Different thematic issues may be important to a particular country situation, and are relevant to each step in the UNDAF process.
The handout provides a menu of thematic issues for which there are CEB or UNDG-approved guidelines.
There are a range of possible entry points for use of the guidelines and for training at country level, for example:
- Preparations for UNDAF regional workshops, In-country road map workshops, or other consultations with stakeholders;
- Training or analytical exercises as part of the UNCT’s support for country analysis;
- In support of the Strategic Planning Retreat (SPR) as a means to strengthen the formulation of UNDAF strategy and results; and
- During the UNDAF process to inform annual and mid-term reviews, and make changes to programme results and strategy.
 All may be important to particular country situations
 Relevant to each step in the UNDAF process
 A menu of guidelines, resources, and training packages available

12. Results Based Management
Capacity Development
Time permitting, make a paper chart for slide 9.
The audience is more engaged by a mix of methods and presentation materials.
For the chart at the centre of the 4 circular UNDAF steps, print this slide.