"DELIVERING AS ONE" APPROACH - STANDARD OPERATING PROCEDURES for COUNTRIES ADOPTING

 
"DELIVERING AS ONE" APPROACH - STANDARD OPERATING PROCEDURES for COUNTRIES ADOPTING
STANDARD OPERATING PROCEDURES
                     COUNTRIES ADOPTING the
                             for
          “DELIVERING AS ONE” APPROACH

   With an integrated package of support
for implementation by UN Country Teams
                                     August 2014
"DELIVERING AS ONE" APPROACH - STANDARD OPERATING PROCEDURES for COUNTRIES ADOPTING
The One Programme unifies the UN system under one national
                                         development strategy/plan, and is underpinned by integrated policy
                                         positions and services, and real-time monitoring through joint work plans;

                                 The Common Budgetary Framework, with all planned and costed
                                         UN programme activities presented transparently in one place, provides a
                                         shared view of the UN’s contribution as a whole to the country.

                                 The One Fund (optional) provides performance-based support to the
                                         UN’s integrated policy approaches;

                                 The One Leader and the UN Country Team (UNCT) leadership, is based on
                                         mutual accountability, with an enhanced co-ordination function led by the
                                         Resident Coordinator, involving all of the UNCT in team leadership, to carry
                                         responsibility for the role and results of the UN in the country;

                                 Operating as One provides options to build ever more cost-effective
                                         common operations and service support; and

                                 Communicating as One facilitates coherent messaging and advocacy
                                         on normative and operational matters, and a consistent and teamed-up
                                         strategic dialogue with host countries

The United Nations Development Group (UNDG) is an instrument for UN reform created by the Secretary-General in 1997 to improve
the effectiveness of UN development work at the country level. Bringing together the operational agencies working on development,
the UNDG is chaired by the Administrator of the United Nations Development Programme on behalf of the Secretary-General.

The UNDG develops policies and procedures that allow the UN system to work together and analyse country issues, plan support
strategies, implement programmes, monitor results and advocate for change. These initiatives increase UN impact in helping countries
to achieve the Millenium Development Goals.

UN Development Operations Coordination Office
One UN Plaza, DC1-1600, New York, NY 10017
Tel.: 212-906-5053
www.undg.org

© United Nations Development Group 2014
"DELIVERING AS ONE" APPROACH - STANDARD OPERATING PROCEDURES for COUNTRIES ADOPTING
TABLE OF CONTENTS
FOREWORD������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������1
PREFACE ����������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������2

               1. INTRODUCTION ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ 4

               2. ONE PROGRAMME ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ 11

               3. COMMON BUDGETARY FRAMEWORK AND ONE FUND�������������������������������������������������������������������������������� 17

               4. ONE LEADER ������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������ 23

               5. OPERATING AS ONE �������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������� 28

               6. COMMUNICATING AS ONE������������������������������������������������������������������������������������������������������������������������������������������������������������������������ 33

ANNEXES
ANNEX I: LINKS TO RELEVANT UNDG GUIDANCE�������������������������������������������������������������������������������������������������������������������������������������36
ANNEX II: ROLES OF THE REGIONAL UNDG TEAMS�������������������������������������������������������������������������������������������������������������������������������38
ANNEX III: MONITORING AND EVALUATION FRAMEWORK FOR “DELIVERING AS ONE”�����������������������40
ANNEX IV: JOINT COVER LETTER BY UNDG PRINCIPALS ON “DELIVERING AS ONE” ���������������������������������46

                                                                                                                                                                                                                                                                       TABLE OF CONTENTS   i
"DELIVERING AS ONE" APPROACH - STANDARD OPERATING PROCEDURES for COUNTRIES ADOPTING
ii   STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
"DELIVERING AS ONE" APPROACH - STANDARD OPERATING PROCEDURES for COUNTRIES ADOPTING
FOREWORD
The world is now engaged in an accelerated push to reach the Millennium
Development Goals while shaping a bold post-2015 agenda for sustainable development.
At this critical time, the United Nations development system must intensify its efforts to
achieve even greater results.

Nearly a decade of experience in UN system-wide reforms produced “Delivering as one”.
Its eight pilot countries proved this was an enterprising and ambitious approach that
helped the United Nations to better coordinate its operational activities internally and to
more effectively align them with national priorities and plans.

We have since expanded on the success of the original eight pilot countries. Following
an independent evaluation in 2012, I called for the launch of a second generation of
“Delivering as one”. That same year, the General Assembly, in its resolution on the
“Delivering as one” approach, recognized its “important contribution for enhancing the
coherence, relevance, effectiveness and efficiency of the United Nations development
system”. Governments cited a better coordinated United Nations development system
facilitating strengthened national leadership and ownership of the United Nations work
and contributions.

Today, more than forty countries have formally adopted “Delivering as one” and many more
are actively implementing its core aspects, with the support of all members of the United
Nations Chief Executives Board.

Our efforts under “Delivering as one” have now matured to the point where we have
developed this set of Standard Operating Procedures. They will enable the United Nations
to function even more effectively and foster greater collaboration and teamwork.

I am proud of the professionalism and dedication of so many colleagues across the United
Nations system at the global, regional and country levels. It is their commitment to our core
values that has enabled us to achieve such important progress. These Standard Operating
Procedures can guide us going forward as we strive to achieve a life of dignity for all.

BAN Ki-moon
Secretary-General, United Nations

                                                                                                FOREWORD   1
"DELIVERING AS ONE" APPROACH - STANDARD OPERATING PROCEDURES for COUNTRIES ADOPTING
PREFACE
                                 Our rapidly changing world has made notable progress in recent years,
                                 such as in halving global poverty and sending many more children to school. At the same
                                 time, development gains and deprivations are unevenly distributed, and inequality is
                                 entrenched within and across countries. The sustainability of current achievements needs
                                 consistent commitment and follow-through in order to provide for the needs of current
                                 and future generations.

                                 The post-2015 agenda offers a unique opportunity to define a set of universal sustainable
                                 development goals and launch an ambitious new agenda to tackle complex development
                                 challenges. Whether rapid population growth and changing patterns of migration; food
                                 and water scarcity; joblessness among young people; or the combined shocks from climate
                                 change, financial market volatility and rapid onset of conflict, these challenges are increas-
                                 ingly interrelated and global in scope.

                                 The Member States of the United Nations are discussing a post-2015 development agenda
                                 which will address these multidimensional challenges and support integrated approaches
                                 to them. This calls for a UN development system that is streamlined and co-ordinated in
                                 its policy, programme, and business operations. A fully ‘fit for purpose’ UN system on the
                                 ground is one which is well teamed-up, has the agility and capacity to respond to the
                                 demands of the post-2015 agenda, and consistently delivers high quality results.

                                 In releasing the Standard Operating Procedures (SOPs) for Countries Adopting the
                                 “Delivering as one” approach, the UN Development Group (UNDG) is responding to the
                                 request from UN Member States, articulated in the QCPR, to deepen the “Delivering as one”
                                 reform, and to ensure that all countries which wished to pursue it can do so. The SOPs are
                                 about making things work better across the UN system, by removing institutional bottle-
                                 necks which prevented coherence, improving standards and common operating systems,
                                 and motivating the use of shared data, policy analytics, and advocacy to support integrated
                                 solutions. While making the UN development system more transparent, common results-
                                 oriented, and accountable, the SOPs enable a more complete system-wide alignment of
                                 the UN contribution in country with national development priorities and plans.

                                 It is up to us now to implement the SOPs. They have universal applicability and are a
                                 practical means of implementation for the post-2015 development agenda. Core
                                 elements will guide the extent of our “jointness,” based on country context:

                                 • The One Programme unifies the UN system under one national development strategy/
                                   plan, and is underpinned by integrated policy positions and services, and real-time
                                   monitoring through joint work plans;

2   STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
"DELIVERING AS ONE" APPROACH - STANDARD OPERATING PROCEDURES for COUNTRIES ADOPTING
• The Common Budgetary Framework, with all planned and costed UN programme activities
    presented transparently in one place, provides a shared view of the UN’s contribution as a
    whole to the country. The optional One UN Fund provides performance-based support to
    the UN’s integrated policy approaches;
• The One Leader and the UN Country Team (UNCT) leadership, is based on mutual
    accountability, with an enhanced co-ordination function led by the Resident Coordinator,
    involving all of the UNCT in team leadership, to carry responsibility for the role and
    results of the UN in the country;
•   Operating as One provides options to build ever more cost-effective common operations
    and service support; and
• Communicating as One facilitates coherent messaging and advocacy on normative
    and operational matters, and a consistent and teamed-up strategic dialogue with
    host countries.

Overall, the SOPs make it possible for us to move forward in a more practical and
harmonized way, making the most effective use of our combined ideas and skills,
institutional experiences and capacities across the membership of the UNDG. They help
to remove the real and imaginary obstacles that hindered the best practice of true collabo-
ration. With a flexible approach, and adapted to different country contexts, the SOPs are an
indispensable tool in ensuring that our joined-up work is focused on the strongest possible
results a UN team can deliver on the ground.

All UNDG members have now approved the SOPs, and each Executive Head commits to
promoting implementation actively through follow-up and collective monitoring. We all
recognize that the United Nations delivers greater value for development when we deliver
together. We look forward to seeing every UN Country Team taking steps towards the
progressive implementation of the SOPs in their country.

Helen Clark
Chair of the UNDG

                                                                                                 PREFACE   3
1. INTRODUCTION

                                               1.1         BACKGROUND

                                           Following the World Summit of 2005, where the need for UN
                                          reform was given new impetus, the Secretary-General established
                                       the High-level Panel on System-wide Coherence in 2006. In its report,
                                 entitled “Delivering as one,” the Panel presented a series of recommenda-
                                 tions aimed at, among other issues, strengthening the work of the UN
                                 in partnership with host Governments and its focus on results. The Panel
                                 also recommended that the UN should accelerate and deepen reforms
                                 to establish unified UN Country Teams (composed of representatives of
                                 the UN specialized agencies, funds and programmes and other UN enti-
                                 ties accredited to a given country) with a capacity to provide a coherent
                                 approach to cross-cutting issues.

                                 In 2007, eight countries volunteered to                            High-level Intergovernmental conference,
                                 pilot the “Delivering as one” approach,                            held in Tirana, Albania, in 2012.
                                 innovating new approaches to coherence
      THE SECRETARY-             at the country level. The pilot programme
                                                                                                    In his Five-Year Action Agenda for his
       GENERAL CALLS             countries were Albania, Cape Verde,
                                                                                                    second term, the Secretary-General

       SECOND
     FOR A                       Mozambique, Pakistan, Rwanda, United
                                 Republic of Tanzania, Uruguay and Viet
                                                                                                    included a call to “launch a second genera-
                                                                                                    tion of “Delivering as one,” which will focus
    GENERATION                   Nam. In 2010 and 2011, pilot programme
                                                                                                    on managing and monitoring for results,
                                                                                                    ensuring increased accountability and
     OF “DELIVERING              countries undertook country-led evalu-
                                                                                                    improved outcomes”.
    AS ONE” FOCUSING             ations1. An independent evaluation of
                                 lessons learned from the “Delivering as                            In its resolution 67/226, the General
     ON MONITORING FOR           one” pilot phase was completed in 2012.2                           Assembly, in the section on “Delivering as
     RESULTS, INCREASED                                                                             one” of the quadrennial comprehensive
     ACCOUNTABILITY AND          In parallel, the new approaches were
                                                                                                    policy review (QCPR)3, requested “the

     IMPROVED                    regularly reviewed in annual high-
                                 level intergovernmental conferences
                                                                                                    United Nations system to build on the best
                                                                                                    practices and lessons learned in imple-
     OUTCOMES                    on “Delivering as one,” subsequently
                                 welcomed by the General Assembly
                                 in its resolutions 63/11 and 64/289 on
                                                                                                    menting “Delivering as one” by a number
                                                                                                    of countries and to further consolidate
                                                                                                    the process by clearly outlining the core
                                 system-wide coherence. The eight pilot
                                                                                                    elements of each of the “ones”, based on
                                 programme countries were also joined by
                                                                                                    lessons learned, including by formulat-
                                 a steadily growing number of voluntary
                                                                                                    ing standard operational procedures
                                 adopters. Furthermore, representatives
                                                                                                    as guidelines for the successful work
                                 of 48 Governments attended the last

                                 1
                                     Please visit the UNDG website for reports and further resources on the country-led evaluations of “Delivering as one”.
                                 2
                                     Please visit the UN website on the independent evaluation of “Delivering as one”
                                 3
                                     Please access the QCPR resolution on the UN website

4   STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
of the United Nations country teams in
“Delivering as one” countries, as well as
for other countries that consider joining
“Delivering as one,” and to report on this
process and standard operating proce-
dures to the Economic and Social Council
during its operational activities segment”.

1.2 OBJECTIVES OF THE                                             contexts, such as low-income or least
    STANDARD OPERATING                                            developed countries and middle-income
                                                                  countries, each with its specific develop-
    PROCEDURES
                                                                  ment challenges, normative settings,
The objectives of the standard operating                          institutional capacities and UN presence.
procedures (SOPs) are to:                                         They respond to the mandate of the QCPR
                                                                  which “recognizes that the individual UN
• Provide to UN Country Teams, Govern-
                                                                  funds, programmes and agencies have
  ments, other national stakeholders and
                                                                  specific experience and expertise, derived
  partners in countries that call on the
                                                                  from, and in line with, their mandates
  UN to adopt the “Delivering as one”
                                                                  and strategic plans, and stresses, in this
  approach an integrated package of
                                                                  regard, that improvement of coordina-
  clear, straightforward and internally
                                                                  tion and coherence at the country level
  consistent guidance on programming,
                                                                  should be undertaken in a manner that
  leadership, business operations, funding
                                                                  recognizes the respective mandates
  and communications for country-level
                                                                  and roles and enhances the effective
  development operations, considering UN
                                                                  utilization of resources and the unique
  agencies’ mandates, rules and procedures;
                                                                  expertise of all UN funds, programmes
• Provide information for programme                               and specialized agencies” (paragraph
  countries that are considering adopt-                           18 of QCPR Resolution A/Res/67/226).
  ing the “Delivering as one” approach,                           Notwithstanding the contents of this
  presenting the approach simply and                              SOPs document, existing lines of account-
  clearly; and                                                    ability between members of the UNCT
• Where appropriate, identify and                                 and the agencies they represent are fully
  recommend critically important policy                           maintained. The SOPs recognize that UN
  and procedural changes that agency                              Country Teams and national counterparts
  HQs should make in order to reduce                              will need to tailor the implementation
  transaction costs for Governments, other                        of “Delivering as one” to their particular
  national stakeholders, development part-                        context. This tailoring is also important
  ners and UN Country Teams, and enable                           in countries in post-conflict transition,
  joint focus on results at the country level.                    especially where the principles of integra-
                                                                  tion apply4. In these contexts, coordination
The SOPs strike a balance between
                                                                  between development, humanitarian,
flexibility and standardization in order
                                                                  security and political activities helps to
to be applicable and useful for all UN
                                                                  maximize the UN’s impact. It also signals
agencies in a wide variety of country
                                                                  to national and international counterparts

4
    As per decisions of the Secretary-General, the principle of integration applies where the UN has a country team and a
    multidimensional peacekeeping/political office mission, irrespective of whether those presences are structurally inte-
    grated. The form integration takes in a given country is determined for each specific context and takes into account the
    need for humanitarian space. For further information and resources please visit the UNDG website on integration.

                                                                                                                               CHAPTER 1: INTRODUCTION   5
that operate in a coherent and mutu-                           and UN staff with operational experience
                                 ally supportive manner in the recovering                       at the country level have contributed their
                                 and transition.                                                expertise and knowledge.

                                 The post-2015 agenda calls for policy                          Using these sources of guidance, evalu-
                                 and programme responses that are more                          ation and consultation, six key principles
                                 integrated, and multi-sector in nature, to                     have guided the development of the SOPs:
                                 address sustainable development. The
                                                                                                1. Strong ownership by governments
                                 post-2015 and the new common program-
                                                                                                   and other national stakeholders5 and
                                 ming cycle are strategic opportunities for
                                                                                                   leadership by national governments;
                                 the UN system to embrace the SOPs to
                                 ensure strategic programming, greater                          2. Significant simplification and reduction
                                 mutual accountability, and reduced trans-                         of programming, business and service
                                 action costs for governments, donors and                          transaction costs for Governments,
                                 the UN.                                                           other national stakeholders, develop-
                                                                                                   ment partners and the UN system,
                                 In this context, the SOPs will be a living                        including by further integrating and
                                 document that will be updated based on                            harmonizing common and agency-
                                 the experiences in implementation of the                          specific business processes;
                                 SOPs, and UNDG internal reviews.
                                                                                                3. Empowerment of UN Country Teams,
                                                                                                   under the leadership of the UN
                                 1.3 FRAMEWORK/PRINCIPLES                                          Resident Coordinator, to address
                                     FOR DEVELOPMENT OF THE                                        country-level needs, based on
                                     STANDARD OPERATING                                            good practices and experiences in
                                     PROCEDURES                                                    ”Delivering as one” countries, both
                                                                                                   pilots and voluntary adopters;
                                 The framework for the development of the
                                                                                                4. Flexibility to allow for innovation by UN
                                 SOPs is based on a thorough review of all
                                                                                                   Country Teams;
                                 existing analyses of the “Delivering as one”
                                 approach. This includes relevant General                       5. Drive towards common delivery of
                                 Assembly resolutions, particularly resolu-                        results and strengthened accountabil-
                                 tion 67/226 on the 2012 QCPR, and reports                         ity, including on cross-cutting issues
                                 from the Secretary-General and outcome                            such as human rights, gender equality
                                 documents from the high-level intergov-                           and environmental sustainability; and
                                 ernmental conferences on “Delivering as                        6. Emphasis on the shared values, norms
                                 one”. Findings and recommendations from                            and standards of the UN system.
                                 the independent evaluation as well as the
                                 country-led evaluations of the “Delivering
                                 as one” pilots have been taken into account                    1.4 ENABLING ACTIONS
                                 as have other achievements and lessons                             AND DECISIONS AT THE
                                 learned from Resident Coordinators and                             HEADQUARTERS LEVEL
                                 UN Country Teams engaged in the piloting
                                                                                                In the process of developing the SOPs, a
                                 phase, including the voluntary adopters.
                                                                                                number of unresolved Headquarters issues
                                 Finally, UNDG working mechanisms and
                                                                                                surfaced in all pillars of UN support to
                                 High-level Committee on Management
                                                                                                “Delivering as one” countries. These issues
                                 (HLCM) networks, Regional UNDG Teams
                                                                                                are outlined in a separate UNDG Plan

                                 5
                                     RC/UNCT, including all UN agencies concerned, to determine the means and level of engagement of
                                     national stakeholders.

6   STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
of Action for Headquarters.6 The speed                           help monitor the extent to which UNDG and
with which follow-through is effected by                         UNCTs are performing against that intent.          THE DAO M&E
agencies and the subsequent allocation
                                                                 The M&E framework covers the five                 FRAMEWORK,
of resources will be key elements in the
success of the second phase of “Delivering
                                                                 “Delivering as one” pillars: One Programme,     THE UNDG PLAN OF
as one”.7
                                                                 Common Budgetary Framework, One                 ACTION FOR HQ AND
                                                                 Fund, One Leader, Communicating as One,         THE ONE PROGRAMME
Furthermore, for the SOPs to accelerate
transformational impact, change manage-
                                                                 and Operating as One. It is intended to
                                                                 help the UNDG to oversee the operational        PROVIDE       THE
ment and true delivery as one across
structures and locations, the shared vision
                                                                 effectiveness of “Delivering as one” in line
                                                                 with the six principles that guided the          BASIS TO
and culture of collaboration for results
must be strengthened. Mutual accountabil-
                                                                 development of the SOPs. The framework is
                                                                 organized into two levels. The first level of
                                                                                                                  MEASURE
ity modalities outlined in the management                        measurement attempts to measure change             ASSESS
                                                                                                                  AND
and accountability system of the UN
development and resident coordinator
                                                                 in the culture, behavior and practices that
                                                                 promote the spirit and intent of “Delivering    THE EFFECTS
system will need to be fully implemented                         as one”. The second level is designed for        OF DELIVERING
for all staff to embrace fully a common UN                       tracking the progress against the core               AS ONE
identity. The highest standards of leader-                       elements of the SOPs in countries that have
ship skills and management training must                         formally adopted “Delivering as one”.
be ensured. Additional investment in staff
                                                                 In and of itself, this monitoring and
development, exchange of information,
                                                                 evaluation framework is one of three
lessons learned and best practices across
                                                                 elements that together can provide
the system, joint training and continuous
                                                                 a comprehensive basis to periodi-
learning opportunities are required.
                                                                 cally measure and assess the effects of
                                                                 “Delivering as one”. The second source is
1.5 IMPLEMENTATION,                                              the UNDG Plan of Action for Headquarters.
    MONITORING, EVALUATION                                       The HQ action plan details UNDG commit-
    AND REPORTING                                                ments and actions to be undertaken at
                                                                 various levels to facilitate “Delivering as
    OF THE SOPS
                                                                 one” at the country level. The third source
In its resolution 67/226 on the QCPR, the                        is UNDAFs and One Programmes of UNCTs.
General Assembly emphasized the “need to                         Monitoring and evaluation of UNDAFs and
establish common monitoring, evaluation                          One Programmes will provide the evidence
and reporting mechanisms on the imple-                           of the country-level effects of delivering as
mentation of “Delivering as one” towards                         one in terms of actual development results.
greater accountability to Member States
                                                                 Collectively, the “Delivering as one” M&E
and a more results-based generation of
                                                                 Framework, the UNDG Plan of Action
Delivering as one”.
                                                                 for Headquarters and the UNDAF/One
The development intent of “Delivering as                         Programmes provide a basis to undertake
one” is spelled out in the QCPR and in the                       an evaluation of the development and
respective strategic frameworks of UNDG                          operational effectiveness of “Delivering
members. In this context the UNDG, in                            as one,” although further independent
collaboration with UNDESA, has designed                          scrutiny will be welcome to assure the
a monitoring and evaluation framework to                         evaluation-readiness of this approach. In

6
    Please visit the UNDG website for the UNDG Plan of Action for Headquarters.
7
    The term “agencies” refers to specialized agencies as well as UN funds and programmes.

                                                                                                                  CHAPTER 1: INTRODUCTION   7
the meantime, the M&E framework has                               The implementation of the core elements
                                  been designed to draw on data collected                           of the SOPs enable the UN development
                                  through established surveys and reports                           system in-country to demonstrate high
                                  and therefore will impose no additional                           impact and better address the more
                                  burden on United Nations country teams8.                          complex and integrated sustainable devel-
                                                                                                    opment agenda for post 2015 through
                                                                                                    increased policy and programme coher-
                                  1.6 CORE ELEMENTS OF THE                                          ence. The “Delivering as one” approach also
                                      SOPS FOR DELIVERING AS                                        reduces transaction costs and increase effi-
                                      ONE COUNTRIES                                                 ciencies by working together as demanded
                                                                                                    by Member States.
                                  The QCPR recognizes that the “Delivering
                                  as one” approach is adopted on a voluntary
                                  basis by programme country governments.                           Process
                                  Upon adoption, UN Country Teams (UNCTs)                           • The UNCT engages in a policy dialogue
                                  and national counterparts need to tailor the                        and shares information about the
                                  implementation of “Delivering as one” to                            “Delivering as one” approach and
                                  their particular context. The core elements
     THE IMPLEMENTATION                                                                               implications of its adoption with the
                                  are based on the QCPR commitments and
       THE CORE
                                                                                                      host government;
     OF                           guided by the Secretary-General’s call to all
                                                                                                    • Where there is interest (and clearly

      ELEMENTS
                                  agencies on moving ahead with the next
                                                                                                      voluntary in nature) a formal in-writing
                                  generation of “Delivering as one”. In their
                                                                                                      agreement is reached with the host
                                  full achievement at country level, they are
    OF THE SOPs ENABLE            the key requirements for the “Delivering
                                                                                                      government to adopt the “Delivering as
    THE UN TO DEMONSTRATE         as one” approach to enable the tracking of
                                                                                                      one” approach. The Resident Coordinator

    HIGH IMPACT                   shared results and measuring of impact of
                                  greater coherence of the UN development
                                                                                                      informs the Chair of the UNDG, the full
                                                                                                      UNDG and the Regional UNDG Team that
                                                                                                      the UNCT will apply the approach;
                                  system. They focus the collaborative and
                                  joined-up efforts of the UN development                           • The Resident Coordinator conducts a
                                  system on what can be measured and                                  strategic discussion within the UNCT
                                  monitored, thereby providing a concrete                             on how to apply the SOPs in the coun-
                                  and practical basis for the evidence and                            try context, on steps and timelines of a
                                  value of shared results.                                            change management process required
                                                                                                      to respond to the request to adopt the
                                  The SOPs contain critical coherence princi-                         “Delivering as one” approach, as well as
                                  ples relevant for all countries. In “Delivering                     on the support needed from regional
                                  as one” countries, the SOPs package should                          and HQ levels; and
                                  be adopted and adapted by the UNCT
                                                                                                    • There is no one size fits all but there is
                                  and Government in response to the needs
                                                                                                      a set of standards and ways of work-
                                  of each country context. The principle of
                                                                                                      ing to improve UN coherence to enable
                                  progressive realization is recognized, with
                                                                                                      shared results.
                                  achievements and goals to be met, actively
                                  tracked and reported on by the UNCT. The
                                  implementation of the core elements can
                                  be done over a one to two year period.

                                  8
                                      Please see Annex III for the full Delivering as one Monitoring and Evaluation Framework.

8    STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
“DELIVERING AS ONE”
 PILLAR           Core Elements
                                        Joint oversight and ownership agreed between Government and the UN and outlined in agreed
           Overarching                  terms of reference for a Joint National/ UN Steering Committee (Generic terms of reference);
                                        Annual reporting on joint UN results in the UN Country Results Report;

                                        Signed UNDAF at the outcome level with legal text9 as appropriate;
                                        Joint Work Plans (of Results Groups), aligned with the UNDAF and signed by involved UN entities (this
     One Programme                      does not preclude agency specific work plans where required) (Tips and template for JWPs);
                                        Results Groups (chaired by Heads of Agencies) focused on strategic policy and programme content
                                        established and aligned with national coordination mechanisms (Generic Terms of Reference);

                                        A medium-term Common Budgetary Framework aligned to the UNDAF/One Programme as a results-
                                        oriented resourcing framework for UN resources (Guide to the Common Budgetary Framework);
            Common                      Annual Common Budgetary Frameworks (as a part of the Joint Work Plans) updated annually with
           Budgetary                    transparent data on financial resources required, available, expected, and to be mobilized (Tools
          Framework                     and materials);
      (and One Fund)                    A Joint Resource Mobilization strategy as appropriate to the country context (with the option of a
                                        One Fund duly considered) approved by the UNCT and monitored and reported against in the UN
                                        Country Results Report;

                                        Strong commitment and incentives of the UNCT to work towards common results and accountability
             One Leader                 through full implementation of the M&A system and the UNCT Conduct and Working Arrangements;
                                        Empowered UNCT to make joint decisions relating to programming activities and financial matters;

                                        Business Operations Strategy10 endorsed by UNCT is highly recommended, adapted to local needs
                                        and capacities, to enhance operational oneness processes through eliminating duplication of
                                        common processes to leverage efficiencies and maximize economies of scale;
               Operating
                 as One                 Empowered Operations Management Team (chaired by a Head of Agency);
                                        Operations costs and budgets integrated in the overall medium-term Common
                                        Budgetary Framework;

                                        A joint communication strategy appropriate to the country context approved by the UNCT and
      Communicating                     monitored and reported against in the UN Country Results Report (Guide to Communicating as One);
            as One                      Country Communications Group (chaired by a Head of Agency) and supported by regional and HQ
                                        levels, as necessary.

 9
      Joint Programmes continue to be a valid mechanism in this context.
 10
      The Business Operations Strategy is currently being field tested with finalization in 2015.

                                                                                                                      CHAPTER 1: INTRODUCTION   9
10
                                                                                        DELIVERING AS ONE: INTERRELATIONSHIP BETWEEN THE PILLARS OF UN SUPPORT TO A “DELIVERING AS ONE” COUNTRY

                                                                                                                                                             Government of Programme Country

                                                                                                                                                                              One Leader*

                                                                                                                                                           Resident Coordinator and UN Country Team

                                                                                                                                             Results                      Operations                            Country
                                                                                                                                             Groups                    Management Team                     Communications Group

                                                                                                           Joint National/UN Steering Committee

                                                                                               Common Budgetary                                    One Programme                                  Operating as One                             Communicating as One
                                                                                                  Framework
                                                                                                                                                                                                   Business Operations
                                                                                                                                                                                                     Strategy (BOS)
                                                                                               Medium-term Common                                                                                                                                 Joint Communications
                                                                                                                                                          UNDAF
                                                                                               Budgetary Framework                                                                           Finance and            Common                               Strategy
                                                                                                                                                                                                Audit               Premises

                                                                                                                                                                                               Human
                                                                                                   Joint Resource                            Joint Results Groups’ Annual                                             HACT
                                                                                                                                                                                              Resources                                                Common Tools
                                                                                                 Mobilization Strategy                          or Biennial Work Plan(s)

STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
                                                                                                                                                                                              Transport
                                                                                                                                                                                                                        ICT
                                                                                                                                                                                             and Logistics
                                                                                                One Fund and Funding                                                                                                                               Common Messaging
                                                                                                                                                        Monitoring
                                                                                                Allocation Mechanism                                                                                                                                 and Advocacy
                                                                                                                                                                                                       Procurement

                                                                                                                                                             ONE UN COUNTRY RESULTS REPORT

                                                                                        * Main elements are: Management and Accountability System, UNCT Conduct and Working Arrangements and mutual accountability framework of Results Groups, OMT and CCG conveners and members.
2. ONE PROGRAMME

                             2.1 GOALS

               The One Programme brings all members of the UN Country
        Team together under one nationally owned strategy that draws on
   the full range of UN expertise and ensures a fully integrated UN Country
Team approach to delivering development results in a coherent manner.
These One Programme development results are measurable and costed.

The One Programme brings important gains                           2.2 MAIN ELEMENTS
by ensuring that UN country programmes
                                                                   The following are the required elements
integrate the full range of UN, national
                                                                   of the One Programme. They can be further
and international partners’ expertise and
                                                                   supplemented by additional elements
experience; facilitating the systematic
                                                                   that may be appropriate in specific
application of normative programming
                                                                   country contexts. In some cases options
principles in the formulation, implemen-
                                                                   are indicated.
tation, monitoring and evaluation of the
programme; and achieving close alignment                           • The United Nations Development
with national development priorities. It                             Assistance Framework (UNDAF)11, as
also increases access by programme coun-                             the basis of the One Programme, is a
tries to the mandates and resources                                  strategic, medium-term results frame-
of non-resident agencies. In transition                              work that describes the collective
countries, it is also an instrument for                              vision and response of the UN system
facilitating coherence with UN missions                              to national development priorities and
(when present).                                                      results on the basis of the normative
                                                                     programming principles, and defines
The One Programme contributes towards
                                                                     how the UN Country Team will contrib-
strong national ownership and govern-
                                                                     ute to the achievement of development
ment leadership, increased transparency,
                                                                     results, based on an analysis/assessment
reduced duplication, increased coher-
                                                                     of country needs and UN comparative
ence of planning, and better delivery and
                                                                     advantages. In countries where the
reporting of results, particularly on cross-
                                                                     principles of integration apply, the
cutting development challenges. Where
                                                                     UNDAF may be combined with an
applicable, agency-specific programmatic
                                                                     Integrated Strategic Framework (ISF)12
documents should be harmonized and
                                                                     and should capture the strategic
aligned with the UNDAF.
                                                                     objectives of the whole UN presence13
                                                                     and take into account humanitarian

11
     Please see: UNDG UNDAF Guidance Materials.
12
     For further information about the ISF, please see the Integrated Assessment and Planning Handbook.
13
     The term “UN presence” covers agencies present in a country and non-resident agencies with activities in the country
     including regional-based agencies.

                                                                                                                            CHAPTER 2: ONE PROGRAMME   11
objectives and responses,14 with due                               not necessarily have to cover a period of
                                       consideration given to the protection                              three to five years.
                                       of humanitarian space, as warranted                             • The UNDAF creates a clear division
                                       and agreed.                                                       of labour for Governments and devel-
                                  • The UNDAF defines outcomes to be                                     opment partners and within the UN
           THE UNDAF                achieved over the course of three to five                            system. The UNDAF results matrix serves

       DEFINES                      years by the UN and partners, with due
                                    consideration given to the importance
                                                                                                         as a mutual accountability framework,
                                                                                                         indicating which agencies will contribute

      OUTCOMES                      of harmonization with the timing and
                                    duration of the national planning cycle
                                                                                                         to each outcome (and to each output,
                                                                                                         if outputs are included). For transi-
      TO BE ACHIEVED OVER           whenever possible. It includes a results                             tion countries, national development
                                    matrix at the outcome level and a legal                              priorities might include peace- and state-
        THE COURSE OF               annex containing the requirements                                    building priorities and those should be
       THREE TO                     previously included in the funds’ and                                captured in the UNDAF even when they

     FIVE YEARS BY                  programmes’ Country Programme Action
                                    Plan (CPAP) and in the UNDAF Action
                                                                                                         are implemented by other UN actors.
                                                                                                       • Strategic guidance and oversight are
     THE UN AND PARTNERS            Plan. The Government, other national                                 exercised through a Joint National/UN
                                    stakeholders, and the UN Country Team                                Steering Committee with the partici-
                                    may opt to add outputs to the results                                pation of all national stakeholders as
                                    matrix, provided that the detailing of                               defined in the UNDG UNDAF Guidance.15
                                    outputs adds value. In general, it is                                In transition countries and depending
                                    preferred to keep the UNDAF results at a                             on the configuration of the UN pres-
                                    high level so that the UNDAF remains a                               ence, due consideration will be given
                                    strategic and inclusive document.                                    to facilitating linkages of development,
                                  • The UNDAF is fully aligned with national                             humanitarian, security and political
                                    priorities and the national development                              processes. Where a Peacebuilding Fund
                                    cycle or with key national development                               is present, UN, government and inter-
                                    initiatives where there is no unified                                national partners should consider the
                                    national programme. The UNDAF                                        feasibility of establishing a joint body
                                    strengthens national ownership through                               to oversee the allocation and use of
                                    participation in the development of the                              the Fund.
                                    results matrix, coherent engagement in                             • The UNDAF drives joint and comprehen-
                                    national and UN coordination processes,                              sive UN work planning and monitoring
                                    and alignment of the UNDAF with                                      for results. With some exceptions16,
                                    national planning cycles.                                            the UNDAF reflects the programmatic,
                                  • In the initial phases of transition, where                           operational and communications work of
                                    national programming cycles tend to                                  all UN agencies, funds and programmes
                                    be compressed, the UNDAF should be                                   operating in the country.
                                    aligned to the shorter cycle and does                                 UNDAF outcomes are operationalized
                                                                                                          and translated into concrete, measurable

                                  14
                                       In humanitarian situations, the UN system agencies should come together and organize themselves through the
                                       Inter-Agency Standing Committee (IASC) cluster approach, except for refugee situations, where UNHCR is mandated to
                                       assume the lead coordinating function.
                                  15
                                       In the UNDG UNDAF Guidance, “stakeholders” refers to governments, including line ministries; social partners, including
                                       workers’ and employers’ organizations; other development partners relevant to a country context; civil society; and non-
                                       governmental organizations (NGOs).
                                  16
                                       The exceptions are generally in terms of specific work activities (e.g. support of global public goods such as immuniza-
                                       tion campaigns; normative and standard-setting initiatives in given sectors, etc.). There is the collective understanding of
                                       the UN Country Team that UN agencies might undertake in a country activities that are not covered by the entire UNDAF
                                       programme cycle.

12   STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
and time-bound outputs and annual/                         Country Results Report should replace
     biennial action plans through the                          agencies’, funds and programmes,
     Results Group (see Joint Work Plan(s)                      individual reporting requirements.
     below). Results Groups are coordina-                       This report shall be inclusive of work
     tion mechanisms. Each Result Group is                      performed by all funds, programmes and
     chaired by a Head of Agency on behalf                      specialized agencies. However, it shall
     of the UN Country Team. The Results                        not preclude individual agency-specific
     Groups are organized to contribute                         reporting by specialized agencies as
     to specific UNDAF outcomes through                         required by their governance structures.
     coordinated and collaborative plan-                      • The UN Country Team and partners must
     ning, implementation, monitoring and                       carry out at least one evaluation during
     evaluation. Each Results Group creates                     an UNDAF cycle, normally during the
     a joint work plan that is rolling in nature                penultimate year. An exercise in learn-
     and articulates short-term outputs (one                    ing and accountability, the evaluation
     to two years) that will contribute to                      is intended to improve the quality of
     the achievement of UNDAF outcomes,                         on-going and future UN programming,
     performance benchmarks, division of                        coordination and partnerships.
     labour and budgetary requirements. All
     Results Groups use the same results-
     based management tools and standards                     2.3 IMPLEMENTATION
     as agreed by the UNDG (and build from
                                                              The UN Resident Coordinator leads the UN
     relevant measures among accepted
                                                              Country Team through the programming
     performance indicators)17. To ensure
                                                              process to create a set of strategic results
     maximum reduction of transaction costs
                                                              based on national priorities, the interna-
     for all involved partners, the Results
                                                              tionally agreed development goals, and
     Groups’ joint work plans will normally
                                                              the capacity and comparative advantages
     be the only work planning instrument,
                                                              of the United Nations.
     replacing agency-specific plans, except
     where Governments require an agency
     and/or (line) ministry work plan and/                    Country Analysis and the
     or the joint work plan cannot be signed                  Comparative Advantages
     by all agencies within an agreed period.                 of the United Nations
     Some specialized agencies may not                        The country analysis must inform the stra-
     be mandated by their governance                          tegic planning step of the UNDAF. The UN
     structures to replace their country                      Country Team reviews the existing analysis,
     programmes and work plans in given                       including the evaluation of past cycles, and
     sectors and thematic areas.                              determines whether additional analysis
• An annual UN Country Results Report                         is required. The UN Country Team deter-
  encompassing programmatic, opera-                           mines its comparative advantages, ideally
  tions, communications and financial                         through an independent assessment
  results and based on outcome areas and                      that includes an analysis of its relevance
  Results Group outputs documents the                         and capacity in terms of normative and
  collective work of the UN development                       operational activities in relation to devel-
  system in a country and the contribution                    opment priorities and needs as well as the
  of the UN to the national develop-                          activities of other development actors. In
  ment agenda. Normally, the annual UN                        countries in transition, either in special

17
     Please see the UNDG Results-based Management Handbook.

                                                                                                             CHAPTER 2: ONE PROGRAMME   13
circumstances or where the principle of                           Establishment of the Joint National/
                                  integration applies (and/or in humanitar-                         UN Steering Committee
                                  ian contexts), the exercise should be an
                                                                                                    Key points are:
                                  integral part of the mandated joint analysis
                                  of the whole UN presence.18                                       • Participation is inclusive (line ministries,
                                                                                                      UN Country Team, UN mission as
                                  UNDAF - Strategic                                                   relevant, and as deemed appropriate
                                  Medium-term Planning                                                in consultation with members of the
                                                                                                      UNCT, other stakeholders as defined in
                                  Based on the national development plan,
                                                                                                      the UNDG UNDAF Guidelines (2010) and
                                  the country analysis and the compara-
                                                                                                      the Committee is co-chaired by the UN
                                  tive advantage of the UN agencies, the
                                                                                                      Resident Coordinator and Government
                                  UN Country Team sets strategic priorities
                                                                                                      Coordinating National Ministry;
                                  and determines the division of labor for
                                  programming and implementation, taking                            • Terms of reference for the Steering
                                  into consideration the principle of inclu-                          Committee are jointly prepared
                                  siveness. For transition countries, national                        and approved by the host country
                                  development priorities might include                                Government and the UN system,
                                  peace- and state-building priorities. The                           including roles and responsibilities,
                                  planning process should include the                                 membership, and approval and dispute-
                                  totality of the UN presence and, specifi-                           resolution mechanisms;
                                  cally in transition countries, inter linkages                     • In countries where aid coordination
                                  should be ensured between the UNDAF                                 mechanisms already exist, the Joint
                                  and Integrated Strategic Frameworks,                                National/UN Steering Committee
                                  where applicable, and possibilities for                             should be integrated into the existing
                                  a single process and document should                                architecture;
                                  be explored.19
                                                                                                    • The Steering Committee should review
                                  The UNDAF may be agreed and signed                                  and confirm the strategic direction and
                                  with the Government between January                                 overall funding priorities for the One
                                  and May of the year prior to implementa-                            Programme and should provide high-
                                  tion. Any agency-specific programming                               level oversight and support; and
                                  instruments required for approval                                 • The Steering Committee normally meets
                                  by Executive Boards and UN govern-                                  one to three times per year with the
                                  ing bodies should be submitted to the                               Resident Coordinator’s Office serving
                                  governing bodies of UN entities in June/                            as the secretariat in conjunction with
                                  July for approval in September prior to                             relevant counterparts in the Government
                                  implementation of the UNDAF in January                              and being responsible for information-
                                  of the following year. In cases where the                           sharing with the UN Country Team.
                                  UNDAF is aligned to the July-to-June
                                                                                                    In addition, depending on the country
                                  fiscal cycle, submission of agency-specific
                                                                                                    context, UN Country Teams should strongly
                                  programming instruments will be for
                                                                                                    consider establishing national steer-
                                  Board approval in January of the year
                                                                                                    ing sub-committees linked to Results
                                  of implementation.
                                                                                                    Groups to replace project-specific steering
                                                                                                    committees and oversight boards.

                                  18
                                       See decision 2008/24 of the Secretary-General on integration and his decision 2012/1 on special circumstances, which
                                       request a joint assessment, analysis and planning for the whole UN presence in these countries.
                                  19
                                       See examples of Haiti, Liberia and others where the UNDAF and the integrated strategic framework (ISF) constitute one
                                       process and are contained in a single document.

14   STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
Results Groups and Joint                          preclude agency-specific work planning
Work Plan(s)                                      and programming as required by their
                                                  governance structures;
The Results Groups are mechanisms
organized to contribute to specific             • These joint Results Group-level work
UNDAF outcomes through coordinated                plans are signed with the Government
and collaborative planning, implementa-           wherever possible. Normally, line
tion, monitoring and evaluation. They are         ministries that are programme partners
defined at the strategic medium-term              should be signatories. If the Government
planning stage and are aligned to the             requires an agency annual work plan
One Programme expressed in the UNDAF              (AWP), it will be signed by relevant
results matrix. Each Results Group is led         partner ministries;
by a designated Head of Agency who is a         • To ensure programming coherence
member of the UN Country Team and who             and linkages as well as to facilitate
is responsible and accountable for driv-          reporting and tracking of the budget,
ing joint approaches for results as well as       the Resident Coordinator Office will                 EACH
                                                                                                 RESULTS
monitoring and reporting within a harmo-          consolidate all outputs and budgetary
nized and coordinated framework. The              information developed by the Results
leader is delegated to act on behalf of the
UN Country Team not as a lead agency but
                                                  Groups (the “joint programming results
                                                  matrix”) into a consolidated output             GROUP
rather to fulfil a coordination and leader-       document that includes the Common               IS LED BY A
ship function on behalf of the UN system.
Other key points are:
                                                  Budgetary Framework;
                                                                                              DESIGNATED
• Using the same results-based
                                                • All UN resources (including core,
                                                  non-core and the funding gap) will be
                                                                                              HEAD OF AGENCY
  management tools and standards,                 presented in the work plan(s); and
                                                                                               WHO IS A MEMBER OF
  each Results Group develops a one-to-
                                                                                              THE UN COUNTRY TEAM
                                                • UN Country Team members leading the
  two-year joint work plan that is rolling
                                                  Results Groups and UN Country Team
  in nature and indicates short-term
                                                  members participating in those groups
  outputs, commonly used perfor-
                                                  are accountable to the UN Country
  mance indicators and context-specific
                                                  Team and the Resident Coordinator
  performance benchmarks, respec-
                                                  for producing agreed results jointly, in
  tive roles and responsibilities, and
                                                  full compliance with the Management
  budgetary requirements;
                                                  and Accountability System. They also
• The joint work plan(s) serve as the only        continue to be accountable to their
  work-planning instrument, replac-               respective agencies for their contribu-
  ing wherever possible agency-specific           tions to the work of the UN at country
  plans, to drive and account for coherent        level. UN Country Team members lead-
  results delivery by the UN development          ing the Results Groups are empowered
  system or whole UN presence in coun-            and accountable for driving joined-
  tries where the principles of integration       up implementation and overcoming
  apply, particularly for areas of joint work     bottlenecks to achieve results aligned to
  between UNCT and UN missions. This              UNDAF outcomes.
  holds true except where Governments
  and other national stakeholders require       Monitoring, Reporting
  an agency and/or (line) ministry work         and Evaluation
  plan and/or the joint work plan cannot
                                                Results Groups will be guided by common
  be signed by all agencies within an
                                                terms of reference, with one of the key
  agreed period. This process shall not
                                                elements being active joint monitoring

                                                                                              CHAPTER 2: ONE PROGRAMME   15
at the output level. The Results Groups        It is important to note that:
                                  undertake active monitoring and regularly
                                                                                 • The annual UN Country Results Report
                                  adapt their plans to address identified
                                                                                   is developed by the respective Results
                                  development bottlenecks and focus on the
                                                                                   Groups, including those on operations
                                  most critical issues in order to contribute
                                                                                   and communications, and consolidated
                                  to national development results in the
                                                                                   by the Resident Coordinator’s Office. The
                                  most effective way. Reporting will focus
                                                                                   UN Country Results Report will be based
                                  on progress in overcoming development
                                                                                   on the outcome areas to which each
                                  bottlenecks (annually or more frequently)
                                                                                   Results Group contributes;
                                  as well as outputs and outcomes.
                                                                                 • The annual UN Country Results Report
                                  The designated UN Country Team members           will be used to undertake an annual
          THE ANNUAL              leading the Results Groups report results at     review of the One Programme, opera-

     UN COUNTRY
                                  two levels: (a) contribution to development      tions and communications. This annual
                                  progress (through the use of a common            review will inform the development of
     RESULTS REPORT               evaluation framework for results at the
                                  outcome level, i.e., collective account-
                                                                                   the next cycle of the Results Groups
                                                                                   work plans;
       WILL BE USED TO            ability of the team towards results) and
       UNDERTAKE AN               (b) attribution, i.e., individual account-     • Agency-specific annexes extracted from

      ANNUAL                      ability of each agency towards activities/
                                  outputs carried out through monitoring of
                                                                                   the UN Country Results Report could be
                                                                                   included to meet reporting requirements

     REVIEW OF THE                the output-level results spelled out in the
                                  annual joint work plans.
                                                                                   by Executive Boards/governing bodies,
                                                                                   whenever appropriate; and
     ONE PROGRAMME,               The respective Results Groups will contrib-
                                                                                 • A final independent evaluation will be
       OPERATIONS AND             ute to an annual UN Country Results
                                                                                   undertaken in the penultimate year of
      COMMUNICATIONS.             Report (covering programming, finan-
                                                                                   the cycle. Focusing on the contribu-
                                                                                   tion of each Results Group, including
                                  cial, operations and communications),
                                                                                   operations and communications, to
                                  integrating the One Fund Report and
                                                                                   the development results of the One
                                  demonstrating the collective contribu-
                                                                                   Programme, it will feed into the new
                                  tion of the UN development system to
                                                                                   programming cycle.
                                  various aspects of the national devel-
                                  opment agenda and to the country’s
                                  development progress.

                                      PLEASE VISIT THE UNDG WEBSITE FOR FURTHER TOOLS,
                                      MATERIALS AND EXAMPLES ON THE ONE PROGRAMME:

                                      •• UNDAF Guidance Materials
                                      •• One Programme – Tools and materials
                                      •• UN Evaluation Group Guidance Documents
                                      •• Country Examples

16   STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
3. C
    OMMON BUDGETARY
   FRAMEWORK AND ONE FUND

                             3.1 GOALS

                  The Common Budgetary Framework and One Fund
                 approaches were adopted by all “Delivering as one” pilot
             programme countries. These ‘Ones’ contributed to the align-
       ment of UN operational activities with national plans and priorities,
by integrating all planned and costed UN programme activities. The
independent evaluation of “Delivering as one” particularly highlights that:

• The Common Budgetary Framework                                 • Reduced duplication and fragmentation
  is a major innovation that enables UN                            of activities through improved planning               THE COMMON
  Country Teams to present all planned                             and reduction of competition for funds;
  and costed programme activities in one                           and
                                                                                                                          BUDGETARY
  place and thus it contributes to better                        • Better delivery of results (due, among
                                                                                                                         FRAMEWORKS
  delivery of UN system support;                                   other factors, to the introduction of                AND ONE FUNDS
• The One Fund is a catalyst for an                                performance-based allocation criteria                   ARE SEEN AS
  inclusive approach to UN engagement,
  encompassing a broader range of
                                                                   under the One Fund), most notably on
                                                                   cross-cutting issues.                                IMPORTANT
  organizations; and
• Joint resource mobilization is a major
                                                                 The Common Budgetary Frameworks
                                                                 and One Funds are seen as important                     TOOLS FOR
  innovation in all countries adopting the
  “Delivering as one” approach.
                                                                 tools for reporting to Governments and
                                                                 donors, promoting resources that are
                                                                                                                        REPORTING
                                                                                                                         TO GOVERNMENTS
                                                                 “less earmarked and more predictable
The independent evaluation of “Delivering
                                                                 than other forms of non-core funding”
                                                                                                                          AND DONORS...
as one” further recognizes that the
Common Budgetary Framework and One                               and driven by programme needs. They
Fund approaches contribute towards:                              also facilitate coherent resource mobiliza-
                                                                 tion by the Resident Coordinator and the
• Enhanced national ownership through                            UN Country Team for implementation of
  increased transparency and flexibility                         agreed costed result areas from the One
  for Governments due to the completely                          Programme work plans.
  un-earmarked or loosely earmarked
  nature of funding under the One Fund.
  This flexibility allows for governments to                     3.2 MAIN ELEMENTS
  mobilize UN expertise and assistance in
                                                                 Medium-term Common
  innovative areas, and to ensure partici-
                                                                 Budgetary Framework
  pation of non-resident agencies and
  agencies with limited in-country pres-                         • A medium-term (three-to–five-year)20
  ence when their expertise is needed;                             Common Budgetary Framework,

20
     In the initial phases of transitions, where national programming cycles tend to be compressed, the UNDAF (and
     consequently the ensuing budgetary framework) should be aligned to the shorter cycle and not necessarily cover a
     period of three to five years.

                                                                                        CHAPTER 3: COMMON BUDGETARY FRAMEWORK AND ONE FUND   17
supporting the One Programme,                joint resource mobilization will be
                                        operations and communications              supplemented by agency-specific
                                           and designed as a planning              resource mobilization.
                                              and management tool at the
                                              disposal of the UN Country         Monitoring, Reporting
                                              Team, provides a holistic over-    and Evaluation
                                             view of required, available and
                                                                                 • Monitoring of the Common Budgetary
                                              expected funding sources, and
                                                                                   Framework and One Fund is built into
                                              any gaps in funding to support
                                                                                   the monitoring and reporting mecha-
                                            delivery of the One Programme. It
                                                                                   nism of the One Programme and joint
                                       also provides a basis for setting fund-
                                                                                   work plan(s). Results Groups, the
                                       ing priorities, mobilizing resources
                                                                                   Operations Management Team and
                                    to cover funding gaps and allocating
                                                                                   Country Communications Group report
                                    resources (in the case of the One Fund).
                                                                                   on resource mobilization and allocations
                                  • The Joint National/UN Steering                 for their respective work plans.
                                    Committee (see the section on the
                                    One Programme) sets overall funding
                                    priorities for the One Programme.
                                                                                 3.3 IMPLEMENTATION
                                                                                 Strategic Medium-term Budgeting
                                  Operationalization                             Define a Common Budgetary Framework
                                  and Management
                                                                                 • As part of the UNDAF(see the section
                                  Important elements include:                      on the One Programme), define the
                                  • The One Fund is an optional but recom-         Common Budgetary Framework, which
                                    mended mechanism to complement                 includes an estimate of the available
                                    agency core and non-core fund manage-          and expected funding sources for each
                                    ment modalities, following the principle       outcome area (including the Results
                                    that programming drives the funding;           Groups, Country Communications Group
                                                                                   (CCG) and Operations Management
                                  • Agreed roles and responsibilities of
                                                                                   Team (OMT) Results Groups). This
                                    the Resident Coordinator, Results
                                                                                   Common Budgetary Framework is an
                                    Groups, UN Country Team and Resident
                                                                                   estimate for the entire programming
                                    Coordinator’s Office for budget develop-
                                                                                   cycle and will be further updated,
                                    ment and management and for resource
                                                                                   revised and detailed through the joint
                                    mobilization and allocation;
                                                                                   annual work plans of the Results Groups,
                                  • Annual Common Budgetary Framework              Operations Management Team and
                                    as an agreed, joint source of financial        Country Communications Group.
                                    information on available resources and
                                                                                 • The process should be as light as
                                    expected funding and as a basis for
                                                                                   possible taking into account that (a)
                                    joint resource mobilization and alloca-
                                                                                   precise costing at the outcome level is
                                    tion of resources from the One Fund (if
                                                                                   problematic; (b) agency budgets are
                                    applicable); and
                                                                                   defined differently; and (c) precise cost-
                                  • A joint resource mobilization strategy         ing and identification of funding needs
                                    to ensure a coherent approach to               often can be made only on an annual/
                                    fund-raising activities in country, with       biannual basis.
                                    inter-agency coordination under the
                                                                                 • The Common Budgetary Framework will
                                    leadership of the Resident Coordinator
                                                                                   include (a) estimated agency contribu-
                                    representing all agencies’ interests;
                                                                                   tions, with disaggregation by core and

18   STANDARD OPERATING PROCEDURES FOR COUNTRIES ADOPTING THE “DELIVERING AS ONE” APPROACH
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