Planning in practice: multiple, overlapping processes

South Sudan Development

Plan

Establishment of OMT and SMT, work plans and

TORs

UN Post-Referendum Contingenc

y and Preparedne

ss Plan

GoSS Core

Functions

RBB

Mission Concept

 

South Sudan

Aid Strateg

y

100 Day Plan

Establishment of UNCT,

development of first UNCT

work plan

Revised

UNDAF under austeri

ty

Core Functions

Under Austerity

Medium Term Capacity

Development Strategy 

UNDAF 2012-2013 (to support the SSDP)

South Sudan Development Initiative

(SSDI) 2012-2020

UNDAF Review

and Lessons Learned

Peacebuilding Support Plan

Peacebuilding

Operational Plan

New Deal Fragility

Assessment

sector specific plannin

g

CAP 201

1 CAP 201

2

South Sudan planning universe in 2011-2012 (first 18 months of the country’s existence)

South Sudan planning universe in 2011-2012 (first 18 months of the country’s existence)

Planning Framework for Integrated UN Presences

Strategic Assessment

Recommendation to the SG and Recommendation to the Security Council

Security Council

Mandate

Directive to S/ERSG, RC and HC

Integrated Strategic Framework or Equivalent

(e.g. UNDAF+)

SRP Mission Concept UNDAF

Humanitarian Programmes

Mission CONOPS (military, police, support,

etc…)

Results-based budget

Agencies, Funds and Programmes’ Country

Project Documents

Peace Consolidation

National and International

Planning Frameworks

Span of Activities

UN-wide Strategic Planning (for peace consolidation)

Entity-Specific

and Operational

Planning

IAP Policy History

Agenda for Peace…Agenda for Reform (1990s): integration within the SecretariatBrahimi report (2000): integration between missions and UNCTsSG’s Note of Guidance (2000, 2006): structural integration in the mission via appointment of SRSG – DSRSG/RC/HCIMPP Guidelines (2006, 2010): Mission planning processes and mechanisms in the HQ and the fieldSG Decision on Integration (2008): scope of integration and the requirement for an Integrated Strategic Framework (ISF)IAP Policy (2013): minimum and mandatory requirements for UN-wide planning

IAP Policy (2013): what’s new?

New Integrated Planning and Assessment Policy adopted in April 2013 (replaces the IMPP guidelines); accompanying Handbook

Simpler and more flexible approach to requirements

UN wide strategic planning (not mission planning)

Mandatory minimum requirements = more flexibility

Stronger emphasis on joint analysis and assessment

Stronger links to national and international planning processes

IAP core principles

Inclusivity

Form follows function

Flexibility

National ownership

Recognition of mandates, comparative advantages, and understanding of risks and benefits

Integration: Principle, Scope and Purpose

When and where an integrated UN presence is in place or is being considered

To maximize individual and collective impact of peace consolidation interventions throughout the lifecycle of the integrated UN presence

Principle, regardless of structures

IAP minimum requirements: 1

Integrated Strategic assessments

Joint analysis of situation as the basis for individual and collective planning

Shared analysis linked to solid strategic options

IAP minimum requirements: 2

Common vision, priorities, and responsibilities

A process and two documents

HQ: Directive from the SG to senior leadership on the ground, and

field: integrated strategic framework (flexible form)

IAP minimum requirements: 3

Integrated mechanisms

Light but effective and senior leadership owned

HQ: Integrated Task Forces

Field: senior leadership forum (mission and UNCT)joint analytical and planning capacity

IAP minimum requirements: 4

Integrated monitoring and reporting

Decision making and mutual accountability

Integration in Key Mandated Areas

Elections: integrated support by missions and UNDP; DPA/EAD roleGlobal Focal Point for Police, Justice and Corrections (DPKO, UNDP); joint assessments and programmingProtection of Civilians (protection strategies and coordination mechanisms)Integrated human rights components Child protection and gender (mission components and UNICEF/UN Women)

Diversity in the UN planning universe

Substance

Responsibility/accountability lines

Time span

Funding sources

Mission planning architecture

Component-level

planning

Mission Concept

RBB

Police ConOps

Support Concept

Component Plans ( including Political, ROLSI, Civ. Affairs, Electoral, etc.)

Military ConOps

‘s

Mandate from the Security Council

General Assembly

Other concepts needed?

Humanitarian planning: core principles accountabilities and deliverables

Parameters•Humanitarian principles

•Inclusive coordination and planning beyond the UN

•Accountability to affected people

•Shorter timeframe (1 year)

•Exit and early recovery

One Programme

UNDAF

(or) UNDAF Action Plan

UNDAFat the Outcome level (outputs optional)

+ integration of legal stipulations previously in CPAP/UNDAF Action Plans

Agency specific progr. Doc (e.g.CPD)+

One UN Country Results Report annually

On

e P

rog

ram

me

Results group

Systemic Constraints

Different mandates and accountability lines to Security Council, General Assembly, agency boards

Planning cycles not aligned and different funding sources (assessed contributions vs. regular budget vs. voluntary funding; )

Lack of integration and coherence within governments Secretariat vs. agency rules and regulations, especially on

support issues Even structural integration (triple hats) does not fully

address the issue of accountability and coherence Different institutional cultures across

peacekeeping/political, development and humanitarian parts of the system

UN Integration and Humanitarian Action

No instrumentalization of humanitarian aid for political purposes

UN humanitarian coordination mandate goes beyond the UN system; position of non-UN humanitarian partners

UN integration can have both positive and negative impact; experience with mitigating negative impact

Risks particularly high in active armed conflict situations Most humanitarian interventions outside the scope of

integration/peace consolidation but UN humanitarian actors committed to policy and participate in integration mechanisms

Grey line between humanitarian and development (e.g. early recovery and resilience building); dual mandates

Importance of inclusive integration mechanisms and integrated assessments and planning

Development Perspective

Key role of development agencies in supporting peace consolidation

Advantages of consolidating management structure and reporting lines (DSRSG/RC/RR) to maximize individual and collective impact of UN missions and development agencies

Development programs and strategies (e.g. UNDAF) based on national (government) ownership

Mission mandates and strategies need to take into account UN development work already on-going in host countries; development actors should also adjust to new priorities

Development funding not aligned with Security Council priorities; ODA definition limits funding options

Transitions

UN Transition Policy in context of mission drawdown and withdrawal

Signed by SG in Feb. 2013UN-wide document basis for integrated planning

and management of transitionsClarifies roles and responsibilitiesOutlines key transition principles

• Early and flexible planning • UN integration • National ownership • National capacity development • Communication

Transitions

Transition processes in several missions:

• UNMIL: military drawdown• MINUSTAH: consolidation plan• MONUSCO, ONUCI, UNAMID: gradual handover

processes• UNOPSIL and BNUB: completed

Current Trends in policy development

Review of peace operations

New policy on peacekeeping mission planning (DPKO/DFS)

Financing arrangements to support integration

Human Rights Up Front

Planning with regional organizations (in particular, the African Union)

Deployment alongside non-UN forces (Afghanistan, Somalia, Mali, CAR)

Benchmarks

Transitions

Strategic assessments

Comparative advantage analysis, including as part of “transfer of tasks”

Links to broader international plans (e.g. New Deal compacts)

Robust mandates (DRC); UN peacekeeping in environments with extremist threats (Mali)