Tags:

Based on evidence provided by the CCA, the UN system ensures the following elements are common to all UNDAF development processes.

  • Identification of a limited number of key UNDAF strategic priorities (sometimes called results, areas, pillars or clusters) that are issue-based and framed by the 2030 Agenda, rather than being sector-oriented, and in which the UN system has the capacity and comparative advantage to make an impact through results that can be taken to scale and achieve transformative change;
  • Development of an overall theory of change that identifies viable development pathways. The theory of change will be used to derive collective outcomes, outputs and indicators for measuring changes, and articulates the logic and assumptions behind the assertion that those will lead to results.

FORMULATING UNDAF STRATEGIC PRIORITIES AND THE RESULTS MATRIX

STRATEGIC PRIORITIZATION

The strategic priorities of the UNDAF should be primarily drawn from the CCA and the UN Vision 2030. Those selected are envisaged to generate the greatest impacts in contributing to the achievement of the SDGs, in line with national priorities and needs. The identification of strategic priorities and the theory of change associated with them (including UNDAF outcomes) occurs through a transparent and consultative process involving national stakeholders.

Strategic prioritization takes into account national priorities, and gaps in policies and legal frameworks as well as the capacities of state and non-state institutions. It also considers a possible geographic focus, and looks at what other bilateral and multilateral partners are doing, and how the United Nations will work with them to achieve national priorities. The strategic prioritization exercise should be based on a previously agreed and shared UN understanding of the priority areas in the country, including under humanitarian and peacekeeping agendas, where the UN system, based on its comparative advantage, will focus its contribution.

UNDAF Outcomes

In line with UNDG RBM Handbook, outcomes represent changes in the institutional and behavioural capacities for development. Outcomes should:

  • Make a substantive and measurable contribution to the achievement of the selected priorities of the national development framework and the 2030 Agenda;
  • Directly address key issues/development challenges identified by the country analysis;
  • Be specific, realistically achievable, sustainable and measurable, ensuring accountability and monitoring;
  • Include special measures to address gender inequalities and empower women based on the findings from the CCA; and
  • Reflect the contributions of one or more organizations, clearly highlighted in the UNDAF results matrix.

Outputs are changes in skills or the abilities and capacities of individuals or institutions, or the availability of new products and services that result from the completion of a development intervention. Outputs are reflected in annual, biennial or multiyear joint work plans. Results at output level are directly attributable to the UN system and contribute to outcomes. While outputs are not required for the UNDAF, the UN system may choose to develop outputs as part of the outcome theory of change, which underlies work plans.

PREPARING A THEORY OF CHANGE

UNDAFs are founded on a clearly articulated, evidence-based theory of change that describes everything that needs to happen for development change to occur. As such, the theory of change allows the UNCT to understand the ways in which the results of the UNDAF results framework relate to one another. It explains the causal relationship between different types and levels of results, and makes explicit both the risks and assumptions that define the relationship. By doing so, it allows the UNCT and its partners to interrogate those assumptions and risks when subsequently developing programmes and projects.

Developing a theory of change is crucial for shaping the strategy for change that underlies the UNDAF, and for making explicit the focus on groups left behind or at risk of being left behind. This exercise in collective thinking helps the UN system and its partners to devise programmes best suited to achieving the desired change based on evidence and learning. The theory of change enables: a better and more agile strategy; more effective communication of it; improved partnership decisions for delivering on the strategy; and broader, deeper and more substantial ownership of it.

UNDAFs have an overall theory of change that shows how it is assumed that UNDAF strategic priorities will support achievement of national priorities and the SDGs, as well as how the outcomes collectively support the achievement of chosen priorities while mutually reinforcing each other. UNCT Results Groups also prepare a theory of change for each UNDAF outcome.

An UNDAF theory of change:

  • Is based on analysis and data provided in the CCA;
  • Articulates the high-level change the UNCT intends to contribute to in the context of the 2030 Agenda;
  • Makes clear why the UNCT believes that lower level results will necessarily result in higher level results;
  • Lays out the risks and assumptions that define the relationships among different results;
  • Is developed through a consultative process, reflecting the understanding of all relevant stakeholders; and
  • Supports continuous learning and improvement from programme design to closure.

UNDAF RESULTS MATRIX

UNDAF strategic priorities and outcomes are articulated in the UNDAF results matrix (see Annex 3). The matrix includes indicators, baselines, targets, means of verification, a list of partners, the medium-term CBF, and, where relevant, links to other UN plans. It makes the division of labour clear within the UN system by identifying roles and responsibilities. To the extent possible, indicators, targets, baselines and means of verification are aligned with the relevant SDG indicators and targets, and are drawn from the data used in the CCA.

UNDAF outcomes can be adapted directly from SDG targets that are lagging behind in areas where the United Nations has a comparative advantage. They are tailored to the national context and drawn from national priorities. The results matrix becomes the basis for monitoring and evaluation of the UNDAF, serving as a key element for ensuring evaluability.

The multiyear CBF is discussed under financing the UNDAF.

REVIEW AND VALIDATION OF THE UNDAF

The UNDAF is prepared in a standard template (see Annex 4), which also contains a standard legal clause (Annex 5). Prior to finalization, the Resident Coordinator, on behalf of the UN system, shares a draft of the UNDAF, including the results matrix and CBF, with the regional Peer Support Group for review. The group has 15 working days to provide consolidated comments, assessing the UNDAF based on the quality criteria in Annex 1. For more details about quality assurance at the regional level, see Annex 6. The UNCT reviews and incorporates comments it considers appropriate into the final draft UNDAF, and provides an explanation to the Peer Support Group on those comments it chooses not to include. In countries with UN missions, the Deputy Special Representative of the Secretary-General/ Resident Coordinator shares the draft UNDAF with the inter-agency taskforce to receive feedback within the same timeframe. After incorporating feedback, the UN system provides a new draft to the government, and seeks feedback on it from key stakeholders and other development partners.

SIGNATURE AND LAUNCH OF THE UNDAF

Once the UNDAF is agreed upon, it is signed by the government and all UN entities. Launching the UNDAF simultaneously with the national development plan, where feasible, can increase its visibility. The Resident Coordinator sends the signed UNDAF to all partners and to the Chair of the UNDG. Completed UNDAFs are posted on the UNDG website.

ALIGNMENT OF UN ORGANIZATION PROGRAMME DOCUMENTS

All UN organizations participating in the UNDAF align their programming processes to the UNDAF process to the extent possible. UNDAF strategic priorities, outcomes and joint work plans provide a basis for individual organizational planning instruments. While preparation of such plans will often begin before the final signature of the UNDAF, the final versions of these plans should align with the UNDAF, reflect its specific strategic priorities and outcomes, and make explicit their relationship with the UNDAF.

REGIONAL APPROACHES TO  PROGRAMMING

In certain sub-regional contexts, such as those involving small island developing states, the possibility of applying a regional approach to programming may be considered, including through multicountry UNDAFs to ensure coherent, coordinated and, where appropriate, integrated support that reduces duplication and increases impact. This has been done successfully for the Pacific Region (2013-2017 United Nations Development Assistance Framework for the Pacific Sub-region), covering 14 countries, and for the Caribbean (2017-2021 UN Multi-country Sustainable Development Framework in the Caribbean), covering 18 countries.

Related Blogs and Country stories

Silo Fighters Blog

We want to hear from you: digital forums and community trust in local government in Somalia

BY Isatou Batonon, Liam Perret | April 5, 2018

Good news and Somalia are words that rarely appear in the same sentence. The country is slowly emerging from decades of conflict and recurrent drought, and continues to be the victim of tragic terrorist attacks, the most recent and deadliest of which occurred in October 2017. And yet, there is positive news to report. Somalia successfully organized presidential elections in February 2017, a major milestone for a country that has long been plagued by political instability. Other signs of progress include the formation of new federal member states and, most recently, of district councils. It is the establishment of these local governance structures, which are closest to the population and best placed to respond to local needs, which offer the most promising opportunities for successful state-building in Somalia. Seizing opportunities and addressing gaps As the district council formation and local governance process extends to new member states over the coming months, the quality of relationships between local government and citizens will become increasingly important. A local governance foundation based on trust, cooperation and legitimacy is critical to realizing greater stability and security in the country. It is in this context that we, the Somalia Resident Coordinator’s Office/Peace-building Fund Secretariat and UNICEF Somalia, developed a joint initiative aimed at giving voice to community priorities and concerns, and stimulating dialogue between local government officials and their constituents in two key districts: Baidoa and Kismayo. Our Daldhis project is funded under the Voice pillar of the UN DOCO Delivering Together for Sustainable Development Facility and implemented through the Joint Programme on Local Governance and Decentralized Service Delivery, a multi-agency UN programme which supports the establishment of legitimate and functional local government across Somalia. We want to hear from you The in-depth consultations we held with federal, state and district officials at the start of the initiative revealed that, not only were these stakeholders wanting to hear from their constituents, but they were also eager to interact directly with them on the issues that citizens care about. District and state officials have generally been confined to the capital cities and been unable to conduct any outreach in the community. Drought-related population movements and low levels of access due to chronic insecurity, both of which have disproportionately affected this part of the country, have all posed challenges to stronger engagement between local authorities and their constituents. There is subsequently a real demand for cost-effective, accessible and open spaces for public engagement and dialogue. Public officials expressed to us their eagerness to hear from citizens about the quality of service delivery, security and public participation in decision-making. There was also interest in understanding the public’s perception of government efforts to integrate the large numbers of IDPs and former refugees who have arrived in Kismayo district in particular. While government authorities are the primary beneficiaries of this initiative, we and other implementing partners also lack the means to conduct real time community level surveys that can serve programme implementation and the needs of their government partners. Nuanced feedback gathered from citizens in pre-existing and valued social spaces can be useful in making the policies and services delivered by government and implementing partners more responsive to the needs of citizens. Establishing the interactive forum and building engagement As part of the UN Country Team, UNICEF, in partnership with Africa Voices Foundation, designed a research and citizen engagement initiative based on the community scorecard methodology. While this approach has been tried before in more stable parts of the country, the challenge in southern Somalia was to establish large-scale and inclusive forums for citizen-government dialogue that are unhindered by barriers of insecurity or access. Given the extent of mobile phone penetration and reach of radio in Somalia, it was decided to base the initiative around SMS messaging and interactive radio in Baidoa and Kismayo. Five radio stations were selected across the two districts – including a mixture of independent and government owned radio stations to ensure greater engagement public engagement and a diverse range of opinions in the radio discussions. Each week questions on service delivery, security, civic engagement and returnee integration are disseminated through radio broadcasts across the target districts. Citizens then respond via toll-free SMS messages with their opinion/perspective on the topic. These messages are analysed by Africa Voices Foundation to provide in-depth insight into citizen perceptions on priority topics, and how they vary by demographic group. In the first instance, this analysis provides the key talking points for monthly interactive radio consultations. Emerging themes, trends and illustrative messages are read out on air in conversation with policymakers and government officials who are given the opportunity to respond and interact with callers. The analysis also serves to amplify citizen voices as robust forms of evidence for decision-making. The first of two rounds of the scorecard exercise has recently been completed. The first set of questions have focused on citizen perceptions of service delivery, security and local government roles and priorities. 1,055 people engaged through SMS in the two districts over the first three weeks, with especially strong reach among youth (68% of respondents were under 24 years), IDPs, those in urban centres and those with secondary or higher levels of education. Key findings from analysis of citizen feedback show that: Men, older people and those with higher education and were all more likely to be dissatisfied with local government services than other audience members. The narratives used by citizens to proclaim satisfaction with service delivery often focused on perceptions of overall positive change in their environment, rather than predetermined notions of what government should deliver. Those dissatisfied with local government performance often discussed this in terms of government failing to live up to certain political values, whether they were transparency, fairness or abiding by Somali cultural and religious norms. They also mentioned a range of services that they perceived as lacking including education, healthcare, infrastructure and water and sanitation. There was a clear lack of consensus amongst radio audiences on which institution(s) should be responsible for security. Many voices pointed to the community and citizens themselves as being the primary arbiters of security, rather than any formal institution. We shared these findings in the form of reports produced in English and Somali with local authorities. We recently organized the first of two radio shows in Baidoa and Kismayo and included key representatives from local and state level government who were interviewed based on the concerns that citizens had raised. Radio and citizen feedback State and district authorities have reported being satisfied with the radio format as a way of disseminating their work to the public, and value it as a space to hear and respond to citizen perspectives on their work. They also see value in using citizen feedback to guide civic education efforts, particularly as the district council formation process intensifies in Jubbaland and Southwest states. Public engagement: A key lesson we learned is that an initiative such as this one should remain flexible and adapt to trending topics so as to remain relevant and build public engagement. Participation from the public and from local government officials has not been as strong in Kismayo as it has been in Baidoa. Kismayo district has been at the centre of ongoing political tensions between the Federal Government of Somalia and the Federal Member States, as each vies for their share of power and resources under the new federalism arrangements. Representatives of the Member States met in Kismayo recently to discuss their grievances with the Federal Government and this coincided with the first round of the scorecard. The airwaves were dominated by discussions about these tensions (and of the deadly terror attack that had just taken place), and this left little room for public engagement on the scorecard questions which focused on service delivery. While this can be difficult to achieve within the context of a small pilot project, a longer-term intervention should be able to tap into initiatives like the Somalia Big Data project implemented by the UN Global Pulse to identify and leverage trending topics. Technology: Using new technologies increases the reach and inclusivity of citizen engagement but it also comes with limitations: FM radio coverage is mainly focused on urban areas and use of SMS responses means that those with very low levels of literacy may be excluded. This is also reflected in the demographic breakdown of respondents, as described previously. However, the literacy barrier may be overcome in the future with the introduction of other technologies such as Interactive Voice Response (IVR). The reach of shortwave radio may also increase participation from rural areas. Findings: The nature of the SMS and radio-based scorecard means that it is not possible to gain a ‘representative’ sample of respondents from which to calculate statistics that can be generalised (e.g. x% of people believe that public services are of poor quality). However, this initiative seeks to unearth rich qualitative data that can provide the ‘why’ behind trends and public opinion that surveys fail to provide. Moreover by ensuring diversity in the discussions, and drawing comparisons between groups (e.g. men and women, IDPs and non-IDPs), it is possible to discuss how perception varies between them. The finding that women, younger and less educated respondents were perhaps less willing to criticize government performance than their male, older and more educated counterparts was of particular interest to government officials as it suggests the need for greater engagement with this segment of the population in order to solicit and respond to their feedback. Radio stations and citizen-state dialogue: This is the first time that government-run radio stations are engaging in an initiative such as this one in Somalia. The project is providing an opportunity to build the capacity of these radio stations and strengthen their role as facilitators of citizen-state dialogue and cooperation. The space we created through SMS and radio has also opened up opportunities for citizens to discuss issues that fall outside of the scope of the intervention. For example, a number of messages have focused on Somali values and government’s relationship with al-Shabaab. This suggests that there is real potential for such an initiative to promote broader debate and dialogue in Somali society. As we move  into the second and final round of questions and radio shows focusing on citizen engagement and reintegration issues, there will be more opportunities for the Somali government and its development partners to better understand how constructive relationships can be fostered and sustained between citizens and local governments, as they seek to build the foundations for inclusive, effective and accountable local governance in Somalia. PHOTO: Internews Europe  

Silo Fighters Blog

Dominican Republic: 5 Steps to Develop a SDG Data Innovation Lab

BY Mildred Samboy | February 8, 2018

Have you ever wondered how much hazardous waste is generated in your community, city, or country? What is the proportion of women who make their own informed decisions regarding sexual and reproductive health? Or how many people have declared themselves victims of discrimination or harassment in the last 12 months? Imagine if you could have access to this data in a country of more than 10 million inhabitants in the center of the Caribbean. In the Dominican Republic, only 37 percent of the indicators that make up the Sustainable Development Goals (SDGs) have data available for monitoring and 44 percent do not have information or sources for their measurement. This constitutes a challenge for the achievement of the 2030 Agenda for Sustainable Development (2030 Agenda). SDG 12: Responsible Consumption and Production is one of the biggest statistical challenges for the country. As established in the 2016 Rapid Integrated Assessment “there are significant biases in the integration of (SDG 12) indicators into the national development planning and their availability for an adequate monitoring and fulfillment of the fourth axis (sustainable development) of National Development” in the Dominican Republic [1]. All of this considered, how can we measure the SDG 12 indicator related to the generation and proportion of hazardous waste in the country? To figure this out, we joined forces with the National Statistics Office, the Ministry of Economy, Planning and Development and the Ministry of Environment and Natural Resources to come up with a strategy. The result was a data innovation lab built in five steps: Step 1: Select key stakeholders Which institutions are fundamental in the development of an SDG data innovation lab? Multisectoriality is essential to guarantee the richness of this exercise. Two things were paramount for this step: To bring the institutions in charge of statistics and planning (the National Statistics Office and the Ministry of Economy) on board. These institutions are part of other coordination structures, such as the National Commission for Sustainable Development (SDGs Commission), which is the 2030 Agenda coordination and advisory structure (See Decrees 23-16 and 26-17). In this exercise, the UN System in the Dominican Republic worked with the Technical Secretariat of the SDGs Commission to identify a proposal of indicators and criteria for this initiative. To include as many stakeholders as possible in the discussion; from representatives of the public sector (hospitals, General Customs Directorate), to the private sector, to Academia, to environmental organizations, everyone related to the disposal of hazardous waste was invited to participate. This exercise demonstrates the importance of challenging these structures to enforce the fluidity and comprehensiveness of the statistical systems, and their responsibility in the process, guaranteeing an effective relationship that helps bridge existing gaps. Step 2: Select the indicators Which indicators should be selected and prioritized for the development of a Data Innovation Lab? Prioritizing indicators at a national level means choosing them according to the country’s statistical needs. The parameters for this lab were: (A) Lack of source or measurement methodology (B) Indicators within the SDGs identified for the Voluntary National Review (VNR) for the High-Level Political Forum on Sustainable Development (HLPF 2018), in which the Dominican Republic will participate this year. Following these parameters, the Statistics Office presented a proposal with the following indicators: "Proportion of wastewater safely treated"; "Hazardous waste generated per capita and proportion of hazardous waste treated, disaggregated by type of treatment"; and "Number of companies that publish sustainability reports". Of these proposals, hazardous waste was prioritized, taking the Environmental Compliance Reports [2] as a starting point. Step 3: Build participatory and formative spaces How can sectors express and validate the challenges and opportunities for improvement related to the selected indicator? Following this initiative, two main consultation workshops were held with institutions related to the field. The results of the first consultation highlighted the challenges and bottlenecks that make it difficult for the indicator to be measured.  The second workshop aimed to find innovative solutions and improvement opportunities to the problems identified in the first workshop. In both workshops, over 20 young people from academia and civil society institutions volunteered, moderating and summarizing key findings and conclusions at each table discussion. Step 4: Check the possible sources of the indicator How to guarantee results and sustainability in the statistical development of the indicator? In addition to the consultations, a group of specialists were tasked with reviewing the Environmental Compliance Report. This source was important because it is an environmental Administrative Record (forms, reports, files, among others). This review led to a joint exercise by the Statistics Office and the Ministry of Environment to collect and analyze data regarding hazardous waste, together with the private sector, academia and hospitals. It also made it possible to generate technical, statistical and environmental capabilities linked to the indicator, and has created tools to formalize this practice within the institutional framework. Step 5: Systematize, develop and implement What can we do next? The final step is to follow up on the findings and conclusions of these exercises, by developing initiatives that could have a direct impact on the improvement, organization and visualization of the data related to the hazardous waste indicator. One of these initiatives would be a Hackathon to foster the creation of applications and software development for data collection and visualization. Another, which is already underway, is the elaboration of a technical data note (explaining the indicator metadata) by the Statistics Office. This note will be validated by several sectors that will have the opportunity to rethink together the statistical development structures of the indicator. At last, this team is also working with the culmination of the construction of the database of the Environmental Compliance Reports and its respective baseline. What we learned This experience shows that there is a link between the statistical development capacity of our countries and their needs, challenges, accomplishments and opportunities, which must consider the political and social dimensions. Implementing the 2030 Agenda in the field brought institutions from different sectors together to break existing barriers. While working together was as a challenge, it was also an opportunity to improve practices and actions. Strengthening the national statistical system will only be possible if the key sectors involved have the tools, the capacities and the will.     [1] The Rapid Integrated Assessment (RIA) Tool aims to support countries in mainstreaming the Sustainable Development Goals (SDG) into national and subnational planning, by helping assess their readiness for SDG implementation. Click here to access the Dominican Republic’s 2016 RIA elaborated by UNDP and MEPyD [2] The Environmental Compliance Report (ICA, its Spanish acronym) “is a technical report that explains the degree and quality of compliance of a facility, project, program or other activity by its operator or entity (company, NGO, government) with regards to environmental laws and regulations governing a certain place, resulting in a process of auto management.” (Dominican Republic Encyclopedic Dictionary of the Environment)

Shares