AN ACCOUNTABILITY FRAMEWORK FOR DELIVERING AS ONE IN … · and AIDS, agriculture, food security, employment, democratic governance, gender equality, climate change, disaster prevention

A MANAGEMENT AND ACCOUNTABILITY FRAMEWORK FOR DELIVERING AS ONE

Objective of the Management and Accountability Framework Well-functioning organisations have clear roles, responsibilities and delegated authorities and accountabilities. The principle of accountability is broad and includes system owned inclusive planning, prioritization and evaluation. When members of an organisation know what to do and are held accountable for their performance, results are more likely to be achieved. UN agencies have their individual management and accountability frameworks. However, as the UN System in Zambia is moving towards more coordinated technical assistance in support of national development priorities, desired results are dependent on clear roles and responsibilities and effective performance management across agencies. The Accountability Framework for Delivering as One in Zambia draws on ‘The Management and Accountability System of the UN Development and Resident Coordinator System, including the “functional firewall” of the RC System’ and the ‘Guidance Note on Resident Coordinator and UN Country Team Working Relations’ of the United Nations Development Group (UNDG). The Accountability Framework outlines agreed roles and responsibilities of the management structures established by the UN Country Team in Zambia. The framework specifically addresses inter-agency accountabilities and clarifies:

the elements and instruments of accountability;

“what” is expected - i.e. what management structures and individuals will contribute in order to achieve the collective results agreed in the UNDAF, joint programmes and related Delivering as One commitments;

“who” is responsible for carrying out a particular function, and accountable to “whom” and;

the system for monitoring and evaluating, including performance management for inter-agency work

Elements of the Management and Accountability Framework Accountability rests at the heart of the UN’s work in Zambia and consists of the elements and associated instruments of accountability listed in the matrix below. The document is structured along these lines of accountability. Figure 1: Elements and instruments of inter-agency accountability

Element of accountability Instrument of accountability

Strategic direction UN Development Assistance Framework (UNDAF) 2011 – 2015 (as a contribution to the SNDP)

UNDG Strategic Priorities

Programmes UNDAF annual work plans, including M&E frameworks

Joint programme documents

Organizational arrangements and partnerships

UN management structures (inter-agency groups) with agreed deliverables

Division of Labour under the SNDP/JASZ with agreed principles and roles

Delivering as One Steering Committee

Cooperating Partners’ ‘Friends of DaO’ group

Guiding principles UN Zambia Code of Conduct

UNDG ‘Guidance Note on Resident Coordinator and UN Country Team Working Relations’

Joint Communication UN Communications/Advocacy Strategy

UN Communications Group annual work plan

Harmonized UN business practices OMT annual work plan, including HACT action plan and One UN ICT road map

Resources UN Resource mobilization and partnership strategy

Measurement of results and performance

Organizational

UNDAF and Joint Programme reviews and evaluations

RC/UNCT annual report

Individual

UNCT 180 degree assessments

Annual inter-agency performance assessments

Agreement on roles and responsibilities through letter issued to staff members

1. STRATEGIC DIRECTION

1.1 UNDAF 2011-2015 Strategic direction is an important element of accountability. The UN Development Assistance Framework (UNDAF) 2011-2015 sets out the UN system’s role and collective contribution to the achievement of the Sixth National Development Plan (SNDP), 2011-2015. The SNDP, and related sector plans and policies, form the national framework for Zambia to achieve its development goals and attaining the Vision 2030 of Zambia being a prosperous middle income nation. The global strategic priorities set by the UN General Assembly and the UN Development Group (UNDG) also provide strategic direction to the work of the UN in Zambia. Under the UNDAF, the “One UN” team in Zambia has agreed to support Government-led development efforts in the areas of HIV and AIDS, agriculture, food security, employment, democratic governance, gender equality, climate change, disaster prevention and mitigation, and human development. At the heart of this contribution is support to the country’s drive towards the achievement of the Millennium Development Goals (MDGs) by 2015, with an emphasis on equity. The UNDAF includes a results and performance framework with agreed outcomes and outputs, as well as baselines, targets and indicators.

2. PROGRAMMES

2.1 UNDAF annual work plans UNDAF Outcome Groups prepare annual UNDAF work plans. A standard work plan template has been developed by the M&E Working Group and the Programme Management Team, and may be updated annually. The results framework of the UNDAF is the starting point for the annual work plan. The work plan includes annual activities (building blocks) and milestones that are critical in

order to contribute to the achievement of related country programme outputs and outcomes of the UNDAF. The activities included in the work plans are specific and guided by results-based management.

2.2 Joint Programme documents In developing Joint Programmes, the ‘Revised Standard Joint Programme Document’ approved by UNDG (April 2008) serves as a guiding framework to enable UN agencies to implement harmonized, results focused joint programmes. Joint programmes directly contribute to the results of the UNDAF. Thus, the development of a Joint Programme should ideally be centred on a specific UNDAF CP output. Participating UN agencies are responsible for delivering on organisation specific outputs/commitments. All key activities under a Joint Programmes are to be captured in the annual UNDAF work plans. M&E activities of Joint Programmes should be undertaken as part of the structures and processes established for monitoring UNDAF implementation, hence fully integrated in reviews and evaluations of UNDAF result areas. The UNCT has agreed on a standard process for development of joint programmes:

1. Lead agency coordinates programme development with UN and GRZ, involving relevant UNDAF outcome group/s and the M&E Working Group

2. Internal Programme Appraisal Committee (PAC) by PMT with attention to UNDAF alignment and PAC criteria (relevance; feasibility; commitment; accountability; cost effectiveness; sustainability; environmental and social impacts; risk management; and monitoring & evaluation)

3. Heads of Agencies of participating agencies review the joint programme document and ensure clearance by HQs and regional offices as required

4. External PAC with GRZ and partners for endorsement 5. UN Country Team signs off final document

3. ORGANIZATIONAL ARRANGEMENTS AND PARTNERSHIPS

3.1 UN management structures (inter-agency groups) with agreed deliverables

As a vehicle for moving towards ‘Delivering as One, and in order to ensure effective implementation of the UNDAF and related joint programmes, the UN Country Team (UNCT) has established management structures (inter-agency groups) with specific deliverables and inter-agency accountabilities. The figure below provides an overview of these structures. Figure 2: UN Zambia management structures

The Programme Management Team (PMT), Operations Management Team (OMT), Disaster Management Team (DMT) and UN Communications Group (UNCG) report directly to the UN Country Team (UNCT). The Conveners of the five UNDAF Outcome Groups

Joint Programmes

UNDAF Outcome Group) 1

UNDAF Outcome Group 2

UNDAF Outcome Groups 3

UNDAF Outcome Groups 4


Monitoring & Evaluation Working Group

UN Communications Group (UNCG)

UN Country Team

Operations Management Team (OMT)

Programme Management Team (PMT)

Disaster Management Team (DMT)

(UOGs) constitute the PMT, which ensures effective coordination and quality of UNDAF implementation across outcomes. The M&E Working Group reports to the PMT. Among the members of the M&E Working Group, M&E focal points have been identified to work directly with UOGs to strengthen results-based planning and monitoring. The UN Communications Group (UNCG) has identified communications focal points, who participate in the work of the UOGs to enhance joint and issue-based UN communication and advocacy. For each management structure, the UNCT has agreed on key objectives and deliverables: Programme Management Team (PMT) Objective: Effective coordination and quality of UNDAF implementation across outcomes. Deliverables:

Review UNDAF Annual work plan with attention to linkages across outcomes

Support integration of UNDAF cross-cutting principles

Review Annual progress reports

Support Joint Programmes/programming Initiatives

Support resource mobilization

Review UN Policy Briefs

Support effective information sharing on issues that relate to UN participation in CP groups and SAGs across outcomes UNDAF Outcome Groups (UOGs) Objective: Effective implementation of programmes under the UNDAF 2011-2015 Deliverables:

Prepare UNDAF Annual work plans with attention to cross-cutting principles

Programme reviews and Annual progress reports

Joint Programmes/programming initiatives

Prepare UN policy briefs

Input to Cooperating Partners Groups and Sector Advisory Groups (SAGs)

Partnerships with civil society, private sector and regional/global initiatives

Monitoring & Evaluation Working Group Objective: Effective support to the PMT and UOGs on UNDAF M&E activities and coordination of UN support to the national statistical system. Deliverables:

Technical advice and guidance on UNDAF M&E activities

Support to Joint Programme planning and monitoring processes

Capacity development in M&E/RBM and enhance broader understanding of the use of evaluation and UNEG standards

Mapping of UN support to national statistical and management information systems

Inputs to CP group on Monitoring and Statistics, and Monitoring and Statistics Government-Partner Forum

Support strategic information sharing across UN agencies on development data/statistics UN Communications Group (UNCG) Objective: One UN advocacy and voice Deliverables:

Coherent image and voice of the UN system

One UN advocacy materials and tools

Implement and monitor UN Communications/Advocacy strategy and annual UNCG work plan Disaster Management Team (DMT) Objective: Coordinated humanitarian activities Deliverables:

Support and advice to Government on disaster risk reduction, preparedness and response issues and interventions

Coordination of preparedness, response and recovery activities among UN agencies

Compile and maintain an up-to-date picture of the humanitarian situation by sector/ organization/geographic area - facilitate the flow of information, provide real-time monitoring and plotting of humanitarian incidents.

Guidance on common strategic issues Operations Management Team (OMT) Objective: Harmonized and simplified business practices Deliverables:

Technical Guidance on UN Operations Rules and Procedures

Develop, implement and monitor OMT Annual Work Plan

Common framework of operations, including Standard Basic Agreement for Goods and Services and Common Service Budget

Develop/update Common suppliers database

Ensure HACT compliance, through the implementation of the HACT work plan The UNCT may also establish task teams to take forward specific and time-limited tasks. The UN Resident Coordinator’s Office (RCO) coordinates and facilitates efforts towards achieving agreed UNCT results and supports the roles of the RC and UNCT. The RCO supports coordination across inter-agency groups and facilitates the inter-agency staff performance management system to enhance UN wide engagement and team work;

3.2 Division of Labour under the SNDP/JASZ II Under the SNDP and the Joint Assistance Strategy for Zambia (JASZ) II, Government and Cooperating Partners (CPs) have agreed on a Division of Labour. Lead, Active and Background roles have been agreed among CPs to better coordinate support under the SNDP. The UN System holds Lead roles in seven sectors: Gender, Governance, Health, HIV and AIDS, Social Protection, Education and Environment. The UN System also participates actively in other sectors such as Agriculture, Decentralization, Education, Energy, Macro-economics, Private Sector Development and Water. The UNCT has agreed on principles for UN participation and representation in sector coordination under the SNDP and the JASZ:

Participation in sector advisory groups and sector working groups will be as, and on behalf of, the UN system, and not representing any one individual UN agency.

Whoever represents the UN will call upon the expertise of all UN agencies active in the sector, and be able to avail of this UN team capacity as needed.

The UN lead will be fully empowered to speak on behalf of the UN system on those sector/thematic issues.

When the individual representing the UN in a sector advisory group/sector working group is not available, the alternate staff member may be of a different UN agency. In this context, the UN agencies concerned will ensure clarity on representation and agree on mechanisms for internal coordination.

In sectors where the UN has a Lead role, it will represent the CPs in dialogue with the Government. Where the collective position is not that of the UN, the lead will speak on behalf of the CP group and state where necessary that such is not necessarily the position of the UN. The lead role represents the CP group and not the UN.

Based on the Division of Labour agreed between the Government and Cooperating Partners, the UNCT has agreed on an Internal UN Division of Labour, identifying primary UN agencies representing the UN system in sectors. UN agencies may agree that more than one UN agency participate in CP group and Sector Advisory Group meetings, but should then work with the ‘primary UN agency’ to ensure effective coordination of UN inputs and positions. Figure 3: UN internal Division of Labour under the SNDP and JASZ II

Sectors Lead Ministry Role of the UN Primary UN agency Related UNDAF Outcome area

Agriculture, Livestock & Fisheries MACO Active FAO 2.1 Food security

Local Government & Decentralization MLGH Active UNDP 5.1 Governance

(3. Human Development)

Education and Skills Development MOE Lead UNICEF 3.2 Education

Energy MEWD Background UNDP 4. Environment, climate change, DRR

Gender CO-GIDD Lead UNDP 5.2 Gender equality

Governance MOJ Lead UNDP 5.1 Governance

Health MOH Lead WHO 4.1 Health

Housing MLGH, MOL Background UN-HABITAT 3. Human development

HIV/AIDS MOH Lead UNAIDS 1. HIV and AIDS

Macro-economics MOFNP Active UNDP Cross-cutting

2.2 Employment

Manufacturing, Commerce and Trade CO-SC/MCTI Active ILO 2.2 Employment

Social Protection MCDSS Lead UNICEF 3.3 Social protection

Science, Technology & Innovation MTEVT Background RCO in coordination Cross-cutting

with relevant NRAs

Tourism MTENR - - -

Water & Sanitation MEWD/MLGH Active UNICEF 3.1 Health

Transport MWS/MCT - - -

Environment and Natural Resources MTENR Lead UNDP 4. Environment, climate change, DRR

In order to ensure a clear division of roles and responsibilities and related accountabilities also at programmatic level, the UNCT has agreed that Outcome Groups may develop a Division of Labour that defines responsibilities also for specific sub-areas. In the area of HIV, a global division of labour has already been endorsed and guides roles and responsibilities at country level.

3.3 Delivering as One Steering Committee A strong alliance between the UN system, Government and Cooperating Partners is indispensable in taking forward the DaO agenda at country level. To guide and hold the UNCT accountable, a Delivering as One steering committee, co-chaired by the Government (Ministry of Finance and National Planning) will be established. The Steering Committee will be responsible for providing guidance and monitoring progress on the implementation of DaO work streams and UNDAF results areas. The DaO Steering Committee will meet at least annually.

3.4 Cooperating Partners’ ‘Friends of Delivering as One’ group Cooperating Partners that are supportive of UN Delivering as One efforts formed a ‘Friends of Delivering as One’ group. The group meets with the UN Country Team twice a year to review progress and provide feed-back.

4. GUIDING PRINCIPLES

4.1 UN Zambia Code of Conduct

All UN staff members are expected to comply with the UN Charter and Standards of Conduct of the International Civil Service. As outlined in the UNDG Guidance Note on Resident Coordinator and UN Country Team Working Relations, this includes an expected set of personal qualities and business process standards. The UNCT in Zambia has signed a UN Code of Conduct to support and guide the work of the UNCT and UN inter-agency groups in implementing the One UN initiative. The core principles of interaction aim at ensuring productive relationships and clarifying the expected set of personal qualities and business process standards required by UN staff members. The principles of interaction outlined in the Code of Conduct apply to the UNCT, inter-agency groups and UN staff members. The Code of Conduct complements related agency specific standards. In the Code of Conduct, the UN in Zambia commits to the following core principles of interaction:

Integrity and ethics: UN staff members will comply with the UN Charter and UN Standards of Conduct for the International Civil Service of UN Staff members.

Coordination for results: The UNCT and inter-agency groups will work towards common and strategic UN impact/results on the ground, through shared programmes, policies, knowledge and capacities.

Strengthening inter-agency collaboration: All UN staff members, irrespective of rank and title, are encouraged to share their knowledge and participate actively in inter-agency groups and activities to achieve results and promote inter-agency learning.

Cooperation and trust: Members of the UNCT and inter-agency groups will collaborate constructively, respectfully and in the spirit of ‘Delivering as One’. UN staff members will pro-actively promote the interests of the whole UN system and respect confidentially when required.

Team-work: Members of the UNCT and inter-agency groups will exercise those skills and attributes which lead to good team-work: clear communication, good listening skills, flexibility and respect for appropriate channels of communication.

Respect for Diversity: Members of the UNCT and inter-agency groups will recognize and appreciate the diversity of agency mandates, while promoting coherence and synergy of activities and programs. Members will invest the necessary time and effort to understand the mandates, policies and programme modalities of each agency.

Speaking as One: All participation in Cooperating Partners Groups, Sector Advisory Groups and similar fora will be as, and on behalf of, the UN System. The UNCT and inter-agency groups will foster an environment where team members respect each other’s work and avoid criticizing other agencies externally, while encouraging a constructive and respectful internal dialogue.

Transparency and Accountability: The UNCT will seek to enhance transparency and accountability at all levels of the decision-making process, both within and among individual agencies and in relation to commitments to the UNCT and the cooperation agreements outlined with the Government of Zambia.

Participatory approach: The UNCT will strengthen its participatory approach to management and delegate the necessary decision-making authorities to members of inter-agency coordination groups to enable them to achieve agreed deliverables. UN staff associations will be expected to play a major role in the management of staff-related processes.

Open communication and information sharing: The UNCT will ensure that it maintains and fosters open communication and regular and effective information sharing with all staff members. UNCT members will also ensure effective information sharing within the UNCT.

Professional development: The UNCT will encourage and nurture opportunities for professional growth through individual and group learning activities, as much as possible through inter-agency efforts and initiatives.

5. JOINT COMMUNICATION

5.1 UN Communications & Advocacy Strategy 2011-2015 The UNCT Zambia Communications/Advocacy Strategy 2011-2015, endorsed by the UNCT, promotes the programmatic areas of the UNDAF, including Joint Programmes, the MDGs and UN Reform. The strategy sets out three main directions for joint UN communication and advocacy: Impact, Issues, and Internal communication.

5.2 UNCG Annual Work Plan UNCG annual work plans build on the UN Communications/Advocacy Strategy 2011-2015 and identify annual priority areas and key activities to be taken forward by the UN Communications Group during the year following endorsement by the UNCT. Activities relate to internal and external communication, media interaction and MDG advocacy.

6. HARMONIZED UN BUSINESS PRACTICES

6.1 OMT annual work plan The Operations Management Team (OMT) prepares annual work plans for endorsement by the UNCT. The annual work plan sets out annual activities and targets for moving towards harmonized business practices in the areas of finance, human resources and procurement. Two priority areas for harmonization include the Harmonized Approach to Cash Transfers (HACT) and One UN ICT. HACT The UN in Zambia has committed to working towards becoming HACT compliant in order to enhance coordination and reduce transaction costs. Once all steps are completed the Resident Coordinator along with the Representatives of the individual agencies will certify that the UNCT is HACT compliant. One UN ICT A UN Zambia ICT strategy for 2012-2015 is under development to ensure better, integrated and cost effective ICT services.

7. RESOURCES

7.1 Resource mobilization and partnership strategy The UNCT has developed a resource mobilization and partnership strategy to promote a collective and coordinated approach to resource mobilisation and partnership building, thus maximising resources and reducing transaction costs. Where possible, the UNCT mobilises resources and build partnerships jointly, however recognising that some resource mobilisation will still be carried out individually. The UNCT has identified guiding principles for resource mobilization and partnerships:

The UN will mobilise resources for joint initiatives such as joint programmes and all initiatives aimed at Delivering as One. These initiatives will be discussed, agreed and endorsed by the Government and the UNCT to avoid duplication. The discussions will be facilitated by the Resident Coordinator with support from the UNCT

All funds mobilised from this resource mobilisation effort will be channelled through the joint programme funds.

Resource mobilisation and partnership development efforts will be led by the UN Resident Coordinator with support from the UN heads of agencies.

UNDAF outcome groups will be responsible for the follow-up on resources mobilised as well as to identify new partnerships. This will be on the understanding that partnerships built and resources mobilised will be for joint initiatives.

Agencies will continue to mobilise resources using their existing channels as long as those will not be seen to be working against this strategy and as long as it is not seen as a duplication of this coordinated effort.

8. MEASUREMENT OF RESULTS AND PERFORMANCE

8.1 UNDAF and joint programme reviews and evaluations

The UNDAF 2011-2015 includes an M&E framework and M&E calendar. The M&E calendar may be updated as required. As per UNDG guidance, annual UNDAF reviews are undertaken. A mid-term UNDAF review will be undertaken in 2013. The UNDAF M&E calendar indicates that an end of cycle evaluation will be undertaken in 2015, but depending on the primary purpose of the UNDAF evaluation (whether to inform the development of the next UNDAF, or whether to establish the extent to which the current UNDAF has achieved the intended results), the timing may be modified. Once the M&E plan of the SNDP 2011-2015 is confirmed, it will also be possible to consider aligning the mid-term review and end of cycle evaluation to this. Result frameworks of Joint Programmes are linked to agreed UNDAF results frameworks, and M&E should to the extent possible be harmonized across joint programmes and with the UNDAF. Contributions to a joint programme by a UN agency will be monitored by that specific agency in the first place, while the Joint Programme team will monitor the contributions of all UN participating agencies secondly.

8.2 Annual RC/UNCT report The UN Country Team reports on the results it has achieved based on its annual work plan, using the Resident Coordinator's Annual Report format developed by the UNDG/DOCO. This report includes a letter to the Secretary-General summarizing key activities and highlighting significant achievements.

8.3 Inter-agency performance assessments The flip side of accountability is performance measurement and management. Once staff members know their expected results and for what they are accountable at the beginning of the period, it will then be possible to put in place a performance evaluation mechanism to determine the extent to which the results have been achieved. The inter-agency system for performance management also aims to ensure that staff members get recognition for contributions to inter-agency work within their respective ‘home agencies’ and are part of staff members ‘core business’ and not an add-on’.

Process for individual performance assessment The proposed process for individual performance evaluation is as follows:

i. Inter-agency responsibilities of UNDAF Outcome Groups, the M&E Working Group, PMT, OMT, UNCG and DMT are captured

in agency specific annual performance plans. Head of Agencies ensure that supervisors of staff members who represent the agency in inter-agency groups are aware of related obligations.

ii. A letter is issued at the beginning of the year appointing Senior Advisors, Convenors, Technical Leads and Members of inter-

agency groups. The letter is signed by the UN Resident Coordinator and the respective Head of Agency. Letter details:

specifies individual responsibilities, i.e. the “what” column in matrices under section 8.3

who will be responsible for reporting on performance, i.e. the “to whom” column” in matrices under section 8.3 (also refer to Annex 1)

guidance/reference documents

iii. As the end of the performance period, the standard performance appraisal template is completed (refer to Annex 2) and shared with respective Heads of Agencies for integration into agency specific assessments. The appraisal follows the following format:

RC through the RCO shares the standard performance appraisal template with staff members, providing guidance on the process and timelines

Staff members’ own assessment against the results (roles and responsibilities outlined in the appointment letter)

Assessment from individuals that are responsible for reporting on performance

Completed and signed templates are submitted to the RCO. Templates are compiled and forwarded to respective Heads of Agency

Heads of Agencies share performance appraisals with respective supervisors for integration into agency specific assessments. DaO/inter-agency results are incorporated in agency specific performance plans for the new year.

8.4 UNCT 180 degree assessments The Resident Coordinator and UNCT members are appraised on their substantive performance in their contribution to the team by an inter-agency appraisal meeting of the UNDG-ESA, which includes designated HQ officials. As part of this appraisal process, RC/UNCT working relations will be assessed using the 180-degree assessment mechanism. The UNCT will support each other and the team in improving competencies identified in the 180 degree assessments and appraisals of the RC and UNCT by the UNDG-ESA.

8.5 Agreement on roles and responsibilities

All UNCT members, including the Resident Coordinator, are accountable for their roles in the team, particularly those members that take on leadership roles. All Senior Advisers, Conveners, Technical Leads and Members of inter-agency groups are formally nominated and are given appointment le tters specifying individual responsibilities. The letters are signed by the Resident Coordinators and the respective Head of Agency. The tables below elaborate in more detail on “measurement of results and performance” and propose accountability for agreed UN functions, as distinguished from staff members’ management reporting lines to their direct supervisor.

Resident Coordinator

‘Who’ is accountable for ‘What’ (results) to ‘Whom’

Resident Coordinator

Represent the Secretary-General to Government

Represent the UNCT as a group

Lead the team in strategic development of the UNDAF and joint programmes and take the final decision on strategic focus if consensus cannot be reached

Advocate and mobilize resources for the UNDAF, supporting UNCT priorities

Coordinate UNDAF implementation with the lead agencies (Senior Advisers) and the UNCT more generally

Lead UNCT-wide monitoring, evaluation and reporting on the UNDAF results

Represent and support inclusion of non-resident agencies

Lead a consultative process on allocations from joint programme funds and make final decisions if consensus cannot be reached

Report on UNCT results

Achieve agreed RC results drawn from UNCT work plan

Implement/promote the UN Zambia Code of Conduct

Report back to the UNCT on issues discussed in the Cooperating Partners Group (CPG)

Ensure close links with regional/global levels of UNDG

GRZ & UNCT

UN Country Team

Programme Management Team (PMT) Objective: Effective coordination and quality of UNDAF implementation across outcomes. Key deliverables:


‘Who’ is accountable for ‘What’ (results) to ‘Whom’

UNCT members

The UNCT in Zambia is composed of representatives of the UN funds and programmes, specialized agencies and other UN entities accredited to Zambia. It also includes the International Organization for Migration (IOM).

The UNCT is to ensure full participation of all other UN entities active in Zambia in the decision making process concerning strategic and programmatic issues.

Contribute to the implementation of the UNDAF

- Policy voice

- Technical contributions to programmes

- Leadership and coordination

- UN agency specific programmes

Endorse annual UNDAF work plans

Oversee the work of UNDAF Outcomes Groups, PMT, M&E Working Group, UNCG, OMT and DMT.

Contribute to UNDAF implementation and follow up on results – in particulate where individual members have take on leadership roles as Senior Advisers of UNDAF Outcome Groups or otherwise

Implement and monitor results of respective agency

Help develop proposals regarding pooling country level fund raising and joint financing


RC & UNCT members

Secretariat

The RCO constitutes the Secretariat.

Provide effective support to the functioning of the UNCT. RC



Support Joint Programmes/programming

Support resource mobilization

Initiatives

Review UN Policy Briefs

Support effective information sharing on issues that relate to UN participation in CP groups and SAGs across outcomes

‘Who’ is accountable for ‘What’ (results) to ‘Whom’ and ‘How’

PMT Chair

The PMT Chair is identified by the PMT members, and rotates every 6 months.

Convene monthly meetings of PMT and ensure that PMT delivers on its functions

Effective information sharing and reporting back to the PMT on guidance and decisions from the UNCT.

Effective information sharing through sharing of minutes between PMT and OMT Chairs, and reporting back to PMT members on OMT issues

Follow up with members on agreed actions and deliverables

RC/UNCT:

Reports to the RC/UNCT as required

6 monthly progress reports

PMT members

The members of the PMT include the Conveners of the five UNDAF Outcome Groups. The PMT members represent their outcome group, not their agency. If a PMT member is not available to attend a PMT meeting or provide required inputs due to duty travel or leave, one of the Technical Leads is expected to take up his/her functions.




Oversee implementation of Joint Programmes/programming initiatives

Review and approve of UN policy briefs before submission to the UNCT

Support effective information sharing on issues that relate to UN participation in CP groups and SAGs across outcomes

Ensure alternative participation by technical lead, if absent

Circulate minutes/ information from PMT to Technical Leads and members.


PMT Chair:

Quality inputs to the deliverables of the PMT and agreed actions.

Secretariat

The RCO constitutes the Secretariat.

Provide effective support to the functioning of the PMT PMT

UNDAF Outcome Groups (UOGs) Objective: Effective implementation of programmes under the UNDAF 2011-2015. Key deliverables:

Prepare UNDAF Annual work plans with attention to cross-cutting principles

Programme reviews and Annual progress reports

Joint Programmes/programming initiatives

Propose and prepare UN policy briefs

Input to Cooperating Partners Groups and Sector Advisory Groups (SAGs)

Partnerships with civil society, private sector and regional/global initiatives


Senior Advisers

Each UNDAF Outcome has two ‘Senior Advisers’, The Senior Advisers are at Head of Agency level.

Oversee the outcome area and enhance quality of results through feedback on the annual work plan and annual progress reports

Provide strategic guidance for Joint Programmes under UNDAF outcome area

Advocate with government counterparts on policy issues that may affect outcome performance

Provide guidance on potential partnerships with key CSOs, private sector and regional/global initiatives

Keep abreast of issues discussed in relevant CP groups/SAGs

Provide feedback on topics for UN Policy briefs

Promote the implementation of the UN Zambia Code of Conduct

Provide input to the performance review of the Outcome Group Convener

UNCT:

Bi-annual updates on the results of Outcome Groups and appraisal

Regional Directors:

Responsibilities integrated in work plan and part of performance assessment

Conveners

Each UNDAF Outcome has a Convener, who is responsible for

Coordinate development of annual work plans with attention to cross-cutting principles.

Coordinate mid-year and end-year reviews and progress reports.

Keep track of development and implementation of joint programmes.

Senior Adviser:

Briefings prior and post outcome meetings.

chairing and coordination of the UNDAF outcome area. The Convener is at a deputy level (head of programme or equivalent).

The Conveners of the five UNDAF outcomes constitute the Programme Management Team (PMT), where they represent their outcome group (not their respective agency)

Coordinate identification of topics for Policy Briefs and clearance of final Brief to send to submit to the PMT for review before clearance by the UNCT/RC.

Keep track on upcoming SAGs/CP groups and monitor information flow before and after meetings to ensure that representation is as, and on behalf of, the UN system

Identify and maintain partnerships for implementation of UNDAF results areas

Ensure UN participation in sector specific annual programme reviews and report on performance as appropriate

Provide input into performance reviews for Technical Leads of the UNDAF group (and in the absence of a Technical Lead, the members)

Represent the outcome group in the PMT, provide updates on status of Outcome group work and follow up on decisions made by the PMT.

Ensure close communication and effective coordination with Senior Advisers, Technical Leads and M&E focal points on work plan activities.

Provide regular guidance and information, including information on PMT discussions and decisions, to Technical Leads and Outcome Group members

Meetings and key activities documented and minutes shared with members, Senior Advisers and the RCO.


Communication when issues arise

Technical Leads

Within the UNDAF Outcome Group, technical groups have been formed around specific areas (Country Programme Outcomes areas of the UNDAF), under the coordination of a Technical Lead. Leads of technical groups are expected to have substantive technical expertise.

While the Technical Lead contributes to the

Coordinate technical inputs to sub-areas (country programme outcomes) of annual work plans with attention to cross-cutting principles

Support coordination of technical inputs to mid-year and end-year reviews and progress reports.

Oversight of development and implementation of joint programmes

Provide inputs on technical areas for UN Policy Briefs.

Support effective participation in SAGs/CP groups as required

Develop of partnerships for implementation of UNDAF results areas

Support coordinated UN participation in sector specific annual programme reviews and report on performance as appropriate

Support coordinated monitoring visits to the field.

Convener:

Report on a quarterly basis on progress.

Timely response to requests

management/coordination of a specific sub-area, the Convener has the overall responsibility for the management/ coordination of the outcome area.

Provide input into performance reviews for Members of the Outcome Group

Seek inputs and share information with members of the Outcome Group.

Meetings and key activities of sub-area (CP outcome) documented and minutes shared with members, Convener, Senior Advisers and the RCO


Members

UOGs include staff members of agencies having committed to contributing to specific UNDAF Outcomes, including NRAs. Members are nominated by their respective Head of Agency.

Members are expected to have relevant technical expertise and be responsible for agency programme activities in the UNDAF Outcome area.

Provide quality and timely inputs on annual work plans, mid-year and end-year reviews and progress reports, joint programmes, UN policy briefs and partnership development.

Implement and monitor activities as per annual work plan

Provide inputs to issues discussed in SAGs/CP groups as requested

Share relevant information related to activities, events, programme reviews and monitoring visits to the field with the Convener and Technical Lead

Attend Outcome Group meetings (and when not able to attend, provide your inputs in advance of the meeting), report in a timely fashion, and follow-up on action points

Keep your Head of Agency and other relevant staff of your office fully informed of the activities of the Outcome Group

Implement the UN Zambia Code of Conduct

Technical Leads (or Convener if decided by the UOG):

Quality inputs to the deliverables of the Outcome Group.

Implementation, monitoring and reporting of activities as per the annual UNDAF work plan.

Participation in Outcome meetings (for NRAs by e-mail/phone)

Secretariat

The UOG (or sub-group) may identify a UN colleague to take on a Secretariat role.

Support the effective functioning of the Outcome group/sub group Convener/Technical Lead

Joint Programme Manager (person who has taken on substantive coordinating function – in most cases the Convener or Technical Lead)

In addition to the responsibilities outlined above, Joint Programme Managers also have the following responsibilities:

Ensure effective coordination, performance management and reporting of the joint programme

Note: the Administrative Agent receives, distributes and reports on donor finances

RC/Senior Adviser/Convener

Joint Programme Team member In addition to the responsibilities outlined above, Joint Programme Members also have the following responsibilities:

Joint Programme Manager

Implement and monitor activities as per Joint Programme document

Monitoring and Evaluation Working Group (M&E WG) Objective: Effective support to the PMT and UOGs on UNDAF M&E activities and coordination of UN support to the national

statistical system. Deliverables:

Technical advice and guidance on UNDAF M&E activities

Support to Joint Programme planning and monitoring processes

Capacity development in M&E/RBM and enhance broader understanding of the use of evaluation and UNEG standards

Mapping of UN support to national statistical and management information systems

Inputs to CP group on Monitoring and Statistics, and Monitoring and Statistics Government-Partner Forum

Support strategic information sharing across UN agencies on development data/statistics


Convener

The RCO is co-convener of the group together with one of the UN agencies on a rotating basis.

Convene quarterly (or more) meetings of the M&E Working Group and monitor that the M&E WG delivers on its functions

Follow up with all UN agencies on their support to national statistical and management information systems

Participate in meetings of CP group on Monitoring and Statistics and promote two-way information sharing

Effective information sharing and reporting back to the M&E WG on guidance and decisions of the PMT.

Provide input into performance reviews for Members of the M&E WG group


PMT:

Report to the PMT through updates/sharing of minutes on

Members

Members include staff members with expertise in M&E and/or statistics. Members are nominated

Review and provide feed-back on UNDAF Annual work plans and Annual progress reports

Provide updates on support by UN agency to national statistical and management information systems

M&E WG Convener:

Quality inputs to the deliverables of the M&E WG

by their respective Head of Agency.

Support capacity development efforts in M&E/RBM

Provide inputs on issues of discussion in the CP group on Monitoring and Statistics, and Monitoring and Statistics Government-Partner Forum

Support strategic information sharing across UN agencies on development data/statistics.

Provide inputs to design of TOR for mid-term and end evaluation of UNDAF.


M&E focal point for Outcome Groups

Five of the M&E Working Group members have also taken on responsibility as M&E focal points for specific Outcome Groups.

Support to development of annual work plans (including identification of indicators, baselines etc.), monitoring and progress reports

Support mid-term and end of year reviews

Participate in Outcome Group meetings as necessary

Outcome Group Convener:

Quality inputs to the M&E elements of UOG deliverables

M&E Working Group Convener:

Updates on M&E issues of UOG

UN Communications Group (UNCG) Objective: One UN advocacy and voice Key deliverables:

Coherent image and voice of the UN system

One UN advocacy materials and tools

Implement and monitor UN Communications/Advocacy strategy and annual UNCG work plan


Convener Chairing and effective coordination of UNCG UNCT:

The RCO is co-convener of the group together with one of the UN agencies on a rotating basis.

Oversee the implementation of the UNCG work plan.

Information sharing and consultation on activities and results areas

Input into performance reviews for Members of the UNCG

Effective information sharing and reporting back to the UNCG on guidance and decisions from the UNCT


Report to the UNCT

UNCG members:

Effective information sharing

Members

The UNCG includes members of all UN agencies.

Provide inputs to the preparation and implementation of the UNCG annual work plan

Provide inputs to the preparation of One UN advocacy materials and tools


UNCG Convener:

Active participation and provision of quality and timely inputs to the deliverables of the UNCG

Communication focal points for Outcome Groups:

The UNCG has identified communications focal points, who participate in the work of the UOGs to enhance joint and issue-based UN communication and advocacy.

Ensure that key issues of Outcome groups are captured in advocacy materials

Enhance joint and issue-based UN communication and advocacy in the outcome area

Participate in Outcome Group meetings as necessary

Outcome Group Convener:

Active engagement with the UOG on communications issues

UNCG Convener:

Updates on UOG communication issues

Operations Management Team (OMT) Objective: Harmonized and simplified business practices Key deliverables:

Technical Guidance on UN Operations Rules and Procedures

Develop, implement and monitor OMT Annual Work Plan

Common framework of operations, including Standard Basic Agreement for Goods and Services and Common Service Budget

Develop/update Common suppliers database

Ensure HACT compliance through the implementation of the HACT work plan

Enhance One UN ICT


Chair The OMT Chair/Convener is identified by OMT members and rotates on a given basis as agreed by group.

Convene monthly meetings and monitor that the OMT delivers on its functions.

Oversee the implementation of the work plan

Ensure effective information sharing and reporting back to the OMT on guidance and decisions from the UNCT

Ensure effective information sharing between OMT and PMT (through sharing of minutes and otherwise) and report back to OMT members on PMT issues

Provide input into performance reviews for Members of the OMT

Ensure that meetings and key activities are documented and minutes shared with Members and the RCO

Keep track of activities and progress of OMT related task teams and task forces


RC/UNCT:

Reports to the RC/UNCT as required

Members

Members include all Operations Managers in all agencies.

Participate actively in OMT meetings and work tasks

Provide quality and timely inputs as requested for achieving results

Implement and monitor activities as per annual OMT work plan

Contribute effectively to any task forces of which you are a member

Communicate available Common Services agreements to all Agencies

Share agency specific information relevant to the OMT with the OMT chair


OMT Chair:

Active participation and timely and quality inputs on a monthly basis to the deliverables of the OMT

Task force members Task forces are established as needed to deliver on common results. Task Forces comprise the lead agency for that task and staff of two or three other agencies.

Task Force:

Active participation in the Task Force for the procurement of a specific service or goods.

Provide recommendation on result of a particular procurement process

OMT Chair:

Active participation and contribution to recommendation of Task Force

Disaster Management Team (DMT) Objective: Coordinated humanitarian activities Key deliverables:

Support and advice to Government on disaster risk reduction, preparedness and response issues and interventions

Coordination of preparedness, response and recovery activities among UN agencies

Compile and maintain an up-to-date picture of the humanitarian situation by sector/ organization/geographic area - facilitate the flow of information, provide real-time monitoring and plotting of humanitarian incidents.

Guidance on common strategic issues


Chair

The DMT is presently chaired by WFP with UNICEF as Co-Chair. The Chair rotates on a given basis as agreed by the group.

Chairing and effective coordination of DMT

Providing continuous link with DMMU on matters arising from the DMT

Assisting the RC with the chairmanship of the Humanitarian Coordination Committee (HCC)


UNCT:

Provision of humanitarian updates to the RC/UNCT as required

Members

Staff members of UN agencies undertaking humanitarian action in Zambia.

Active participation in DMT and quality and timely inputs provided as requested for achieving results

Provide inputs to action plan for disaster preparedness and disaster risk reduction

Provide inputs to Mapping of areas of support to the Government/DMMU

Coordinate with Government the preparation of appeals (CERF etc)


DMT Chair:

Active participation in DMT and quality and timely inputs provided on DMT deliverables

ANNEX 1

‘Who’ is providing input to the performance appraisal The matrix below provides information on ‘who’ is responsible for making the performance appraisal of members of inter-agency groups.

Staff member being assessed Individual responsible for making assessment UNDAF Outcome Group 1

Senior Advisers Resident Coordinator

Convener Senior Advisers

Technical Lead Convener

Members Technical Leads





Members Technical Leads (for sub-area)





Members Technical Leads (for sub-area)





Members Convener





Members Technical Leads

PMT

PMT Chair UNCT through Resident Coordinator

M&E Working Group

Convener PMT Chair

Members M&E WG Convener

UNCG

Convener UNCT through Resident Coordinator

Members UNCG Convener

Operations Management Team (OMT)

Chair UNCT through Resident Coordinator

Members OMT Chair

Disaster Management Team (DMT)

Chair UNCT through Resident Coordinator

Members DMT Chair

ANNEX 2

Standard performance appraisal template for inter-agency work 2011

Part 1: To be completed by the staff member I have made the following inputs to the work of the group, based on the roles and responsibilities outlined in my appointment letter (list key contributions): Part 2: To be completed by the individual responsible for reporting on performance ____________________________ (insert name) has ________________________ (include a sentence or two that gives a general assessment of the contribution made) Specific inputs to the work of the group included (list key contributions): Signed: ________________________________ Date: _________________________ Name and title/role: _____________________________________________________________

Input to Performance Appraisal of _______________________________ (insert name), who

is a _________________________ (insert role, e.g. Member/Technical Lead/Convener/Senior

Adviser) of the_____________________________________________ (insert the name of the

inter-agency group). To cover the period of appointment: ____________________________

Documents

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