Towards a new format for the EX/4 document: Background Note

BSP – 2 September 2014

Evolving context of EX/4 reporting: new demands, new approaches

New format EX/4

Phased introduction of Results-Based

Budgeting (RBB)

Enhanced oversight of the Executive Board

(PG)

Future-oriented reflection

Sunset clause - Programme

prioritization

Enhanced monitoring & accountability

Transparency

Field reform & accountability

Three areas of improvement (proposed)

1) Simplifying and reducing the number and length of reports – the current proposal reduces by half the number of reports and makes a clear distinction between the reporting on activities/output and the reporting on trends/outcomes

(2) Facilitating timely strategic decision-making on future programme orientations -- the current proposal is synchronised with UNESCO’s programme cycle and is designed to facilitate decision making at critical stages of the cycle, with a “Programme Review” presented at the stage of “preliminary proposals” and one at the General Conference with indicaitons on sunset clauses.

(3) Simplifying, rationalizing and recalibrating the online SISTER reports in line with RBM-RBB principles for a more rigorous and timely analysis – the proposal contains new online reporting formats, using the tri-color system and new financial information, showing whether programme delivery is on track, cross-cutting challenges in implementation as well as proposals for corrective action.

Two new tools

• Annual reports: a single Annual Report on implementation of the programme (“Annual Progress Report”), instead

of the current practice of issuing printed reports on a six-monthly basis; issued for the Spring sessions of the Executive Board; containing a concise strategic assessment of progress made on implementation, including trends

and challenges in key programme areas, aggregating several expected results; the unit of analysis will no longer be the individual C/5 expected result, but rather the Main Line

of Action, global priorities and thematic areas.

• Programme Review/s: Publication of two “Programme Reviews” in the quadrennium, at critical stages in the programme

cycle, to facilitate strategic decision-making and future planning by the Executive Board. to inform the discussions on the Director-General’s Preliminary Proposals (with preliminary

indications on programme progress and prospects) and to later inform the General Conference (containing at that stage recommendations related to the application of sunset clauses)

Dedicated to a strategic, analytical and forward-looking review of UNESCO’s programmes focusing on the relative merit and worth of programmatic areas according to certain criteria, and providing information useful to define future areas of work, etc.

Quadrennial reporting cycle (proposed)

195 EX/4

196 EX/4

197 EX/4

199 EX/4

200 EX/4Programme review

201 EX/4

202 EX/4Programme review (GC)

204 EX/4End-of-quadrennium report (Draft C/3)

20142015

2016

2017(2018)

Online report, including contributions from Field Offices

Programme review- Fall 2016 (preliminary indications on programme progress and prospects);- Fall 2017 (indications on sunset clause)

End-of-cycle report (C/3)

Annual Report on implementation of the programme(MLA level; printed)

38th General ConferenceAdoption of 38 C/5

39th GeneralConferenceAdoption of 39 C/5

Preliminaryproposals

Preliminaryproposals

Draft C/5

Draft C/5

40th GeneralConferenceadoption of 40 C/3

Proposed format for the online template: (1) financial information

196 EX/4 Part I SISTER Online Report Results tables (for all entities including AFR and GE results under MPs and on the basis that Category 1 Institutes and Centres financial integration is finalized)

Proposed format for the tabular report: (2) programmatic information

(excerpt from the 195 EX/4 online)

Assessment of progress: three-color systemIn addition to qualitative assessments, SISTER now contains a 3-color (green, amber, red) rating system:This new system gives an overal assessment whether progress against an expected an activity is at this moment in time is “On track”, “Partly on track” or “Not on track”. This rating scale enables responsible officers to represent through a symbol the conclusions of their assessment of progress and achievements towards each C/5 result.

Assessment of progress achieved

against C/5 expected

result

Definition SISTER Aggregation Rule

: On track Progress achieved corresponds to plans. The corresponding targets/benchmarks are expected to be met.

When at least three-quarters of assessments of the Workplans implementation are “On track” (i.e. ).

: Partly on track

Progress achieved corresponds partly to plans. The corresponding targets/benchmarks are expected to be only partially met.

When between half and three-quarters of the assessments of Workplans implementation are “On track” (i.e. ).

: Not on track

Progress achieved does not correspond to plans. The corresponding targets/benchmarks are not expected to be met.

When less than half of the assessments of Workplans implementation are “On track” (i.e. ).

Verification: the assessment is entered by the Officer responsible for an expected result. It must be verified by the responsible ADG.N.B.: at the level of workplans, the assessment is entered by the Officer responsible, and verified by the Field Office Head/Director.

Continuing challenges

• Defining UNESCO’s impact• Beneficiaries feedback• Integrating lessons from evaluations into the reporting process• C/5 results, performance indicators and benchmarks must in the future be

formulated more precisely, more realistically and more measurably• Number of expected results is a challenge

New format: Improved information on country-level activities

• Field Office reports will be reported on every six-months in the online EX/4 (in addition to other information available from FO websites and Transparency Portal) – which will provide basic information about UNESCO activities at the country level in a user-friendly searchable format

• Accountability will be enhanced through « tri-color » system will allow for easier monitoring of performance on FO programme implementation

• FO Heads/Directors will periodically participate in meetings with Member States at Headquarters