Académique Documents
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Review of UN-Habitat’s
Participation in the
Delivering as One UN Initiative
december 2011
Evaluation Report 5/2011
Review of UN-Habitat’s
Participation in the
Delivering as One UN Initiative
december 2011
ii Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
HS Number: HS/060/12E
ISBN Number (Series): 978-92-1-132028-2
ISBN Number (Volume): 978-92-1-132475-4
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Views expressed in this publication do not necessarily reflect those of the United Nations Human Settlements
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Excerpts may be reproduced without authorization, on condition that the source is indicated.
Acknowledgements
Authors: Mathias Hundsalz
Antonio Yachan
Editor: UNON Conference Services
Design & Layout: Peter Cheseret
Table of Contents
Executive summary........................................................................................................................................... 1
I. Introduction.................................................................................................................................... 1
Ii. Methodology.................................................................................................................................. 1
Iii. Key findings.................................................................................................................................... 2
V. Conclusions ..................................................................................................................................... 2
Vi. Lessons learned............................................................................................................................... 4
Vii. Key recommendations.................................................................................................................... 5
LIST OF TABLES
TABLES
Table 4.1: Staffing table of UN-Habitat country teams 25
Table 4.2: Source of funding for UN-Habitat DaO projects 30
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative v
Executive summary
(HCPD); annual reports of Country complete agency country budgets, under a single
Programme Managers; and the September accounting system. This will require revision of
2010 evaluation; UN-Habitat programming to enrich the whole
(b) Field visits to Mozambique, Pakistan, Rwanda, project cycle at country level, by simplifying the
and Vietnam to gather primary information programming, approval and reporting exercise
through interviews and obtain relevant and reducing the number of required documents.
documentation; and
The Governments are requesting the UN system
(c) Interviews at Headquarters and UN-Habitat of agencies to concentrate more on policy,
Regional Offices relevant to the six pilot DaO strategies and capacity building. Further, they
countries. have asked UN agencies for new and innovative
proposals that can add value to development,
iii. KEY FINDINGS even as DaO funds are likely reduce.
UN-Habitat is currently active in six of the eight Field staff, though qualified, have inadequate
pilot DaO countries: Cape Verde, Mozambique, capacity to respond to new requests without the
Pakistan, Rwanda, Tanzania and Vietnam (and support from UN-Habitat Headquarters, which up
has no presence in Albania and Uruguay). Habitat to now has been limited to the former Regional
Country Programme Managers have taken the and Technical Cooperation Division. There are
lead in the time-demanding and complex tasks no significant inputs from the other programme
of DaO planning and implementation. They have divisions.
made commendable efforts. Indeed, they have
demonstrated the competency and comparative The One UN Fund has proved to be an incentive
advantage of UN-Habitat in a highly competitive for UN agencies to work together, in particular the
environment with resident and non-resident UN specialised agencies, encouraging a coherent and
agencies. This has also served to raise the profile holistic approach to planning and programming
of the UN-Habitat mandate, resulting in improved which plays to the strengths of each participating
recognition from United Nations agencies and agency.
Governments. The country programmes, in
Headquarters has not adapted its working
general, have expanded activities and staff
system and structure as One UN-Habitat. The
financed from DaO funds.
Regional Offices are also limited—they lack
The ‘Delivering as One’ approach has changed balanced normative, operational and managerial
the way country offices are representing the tasks. An agency-wide policy, programming and
agency, becoming fully participative in the new implementation modality is required, with a
One UN approach. However, some UN-Habitat common and coherent strategy and programme
staff appear to consider the DaO approach as a focus, common management practices, pooled
modality of implementation applicable to UN- country budgets, unified financial and substantive
Habitat’s Regional and Technical Cooperation reporting, and strengthened human resource
Division only. This misunderstanding of a global support from all programme divisions.
change in the UN system is affecting the agency
as a whole, particularly regarding its future focus v. CONCLUSIONS
on country activities. Country level conclusions
Funding of UN-Habitat country activities from core UN-Habitat activities undertaken and financed in
and DaO sources is currently through divisions DaO countries are important. Staff are committed
and/or projects, diluting the contributions of the and have delivered results recognised by the
agency in the One UN Fund and Government Governments. However, looking at the country
counterparts. UN-Habitat funding would be needs and priorities, and UN-Habitat’s mandate
more useful if it were consolidated to establish from a wider perspective, it is possible that other
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 3
interventions at policy and strategy levels could Without common and unified administrative,
have had a greater impact. budgetary, accounting and reporting procedures at
country level, UN-Habitat country programmes will
The main strategy of the One UN Programme
remain fragmented and inadequately recognized
under the reform process is to set up joint
by the DaO reform process. Country Programme
programming of agency inputs (resources and
Managers must work to overcome current
activities) at Headquarters and country-level to
fragmented procedures which negatively affect UN-
achieve stated and agreed upon results. Effective
Habitat participation in the DaO reform process.
participation of UN-Habitat in joint programming
has the potential to enhance its visibility and
Conclusions for Headquarters and
sharpen its comparative advantage.
Regional Offices
The performance of Country Programme Considering increasing competition among
Managers in DaO countries has been satisfactory. United Nations agencies to place their mandate on
To maintain the momentum requires stronger DaO priority interventions and on DaO funds, UN-
participation, streamlined from Headquarters Habitat advocacy to position the urban agenda
providing new and updated know-how on UN- is becoming extremely important. Establishment
Habitat mandated topics and strengthening field of National Urbanisation Committees or National
staff to better respond to the increasing demand. Urban Forums, with membership drawn from the
Country Programme Managers need some Government, civil society groups and the private
degree of delegated authority and seed funds sector is urgent.
from Headquarters core resources to better fill The DaO reform process has created considerable
the current gap in UN-Habitat DaO process for demand on UN-Habitat’s way of doing business as
conducting assessments, studies, workshops, part of the United Nations system. This is especially
advocacy campaigns, media announcements because there is no DaO officer at Headquarters
and other upcoming issues under the UN-Habitat to coordinate and raise awareness, monitor DaO
mandate that can justify being included in the development and provide assistance to DaO
One UN country plan. countries on the wide scope of implications of the
Funding of UN-Habitat country activities from United Nations DaO reform process. This practice
different sources (i.e., Multi-donor Trust Fund, has been adopted by other UN Headquarters, and
Foundation earmarked and non-earmarked, resident agencies at field level have also one staff
global programmes, etc.) need to be consolidated dedicated to DaO coordination and monitoring.
into a complete UN-Habitat country budget, under It is necessary for UN-Habitat to revise the whole
a single accounting system. Effective participation project cycle, simplifying programming, approval
in country level DaO process would require a and reporting exercise, and reducing the number
critical mass of funds and human resources. of required documents. This would improve
There is tendency among donors to shift their interaction between field and Headquarters, and
overseas aid less to the Multi-donor Trust Fund in at Headquarters it will speed up response on
favour of funding global programmes (e.g., the technical and administrative aspects.
Global Environment Facility (GEF) or HIV/AIDS) and Regional Offices should be gradually restructured
back to earmarked agency funding. UN-Habitat and expanded to become fully fledged regional
country programmes therefore need to increase arms of UN-Habitat as a whole, with balanced
efforts in mobilising additional funds, and open normative, operational and managerial tasks.
other funding sources such as Government cost- They should also become capable of providing
sharing (e.g., Vietnam) or corporate sources. If not, programmatic and administrative support to the
the agency’s participation in joint programming scope of operational and normative activities at
under the DaO process will not be sustainable. regional level.
4 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
field level. It would also be good if core funding • The current fragmented management
allocated to projects could reach the country practices in UN-Habitat should be reviewed to
aligned with the DaO plan but coordinated enable it to ‘deliver as one’ at country level:
from Headquarters with the DaO mechanisms of one budget, one coordinator and one set
implementation. of management practices in line with DaO
guidelines for pilot and ‘self-started’ countries.
ViI. KEY RECOMMENDATIONS This will require unified management and
programme support structure at Headquarters
Country level recommendations
to guide and coordinate the agency’s
• The present status of a UN-Habitat country interventions in the DaO countries, and align
team as a non-resident (or resident agency them with the efforts of the UN system of
depending on the perception of the UN agencies.
Resident Coordinator) should be kept. There
• UN-Habitat Headquarters, through PSD
is no need to ‘upgrade’ the status of the
and UNON should clarify with UNDP how
programme manager to international, except
recruitments and procurements will be
for countries with large development or
improved for projects implemented for UN-
humanitarian programmes.
Habitat at country level, eliminating the
• In countries (e.g., Mozambique, Pakistan, duplication on the steps being followed.
Rwanda and Vietnam) where the range
• Within the One UN country planning
of functions of the programme manager
documents (i.e., United Nations Development
has increased following the DaO reform,
Assistance Framework, UNDAP, etc.) UN-
and where UN-Habitat is implementing a
Habitat should ensure that its component
reasonable portfolio, the field offices should
is coherent, structured and coordinated,
have at least two additional non-project staff
consolidating all agency activities and
with relevant specialisations and in line with
budgets to demonstrate a complete profile
national priorities.
of UN-Habitat competencies and comparative
• UN-Habitat should create National Habitat advantages to the DaO joint programming
Committees or National Habitat Forums for process.
raising and maintaining the level of advocacy
and awareness on its competence and
comparative advantage in the DaO countries.
The objectives of the Participatory Slum
Upgrading Programme (PSUP) fits perfectly
well on this aspect and the project office
should ensure that all pilot, as well as ‘self-
started’ DaO countries are considered in the
programme.
for ‘preparing and implementing an enhanced UN-Habitat’s support to the One UN reform
normative and operational framework (ENOF) to agenda.
enable UN-Habitat play a leadership and catalytic
According to the UNDG work plan for 2010-
role in promoting sustainable urbanization in at
2011, the following outcomes of the DaO-guided
least 30 countries by 2013’.
reform process have been formulated:
1.3 OBJECTIVES AND RELEVANCE OF • Outcome 1: Accelerated national achievement
DaO FOR UN-Habitat of MDGs/IADGs;
• Outcome 2: Strengthened UN coherence and
The review, subject of this consultancy, will focus
coordination at country level; and
on the current challenges and opportunities of UN-
Habitat’s participation in the DaO. The objective of • Outcome 3: UN Development system more
the review is to determine the extent of UN-Habitat’s effectively deploys knowledge and know-
participation; filter lessons learned; identify and how. It should be recalled here that the
assess strengths, challenges and opportunities; expected administrative and cost benefits for
and make recommendations for a more effective a DaO UN system include:
participation. Among other issues, the review will (a) Synergies of interagency programming
generate better understanding of the effects and and implementation;
potential of the DaO for UN-Habitat. (b) Reduction of overlaps and duplication;
The relevance of UN-Habitat’s participation (c) Achievements of economies of scale; and
in the DaO process is related to the role and (d)
Reduction of transaction costs for
contribution that the agency can provide to the development activities.
UN system’s policy and programme support to
Consequently, the challenges, opportunities and
member states and their national development
prospects of UN-Habitat participating in the DaO
priorities. This is of particular importance due
system-wide initiative will have to be assessed
to the fact that UN-Habitat is a specialized Non-
under those aspects, both at Headquarters and
resident Agency whose urban development
Regional Office levels, as well as at country
mandates are generally recognized among
levels. The scope of this consultancy does
national Governments’ development priorities.
not include a full assessment of these issues
Specifically, this review focuses on the current which are fundamental to the prospects of the
challenges and opportunities of UN-Habitat’s agency’s participation in the DaO reform process
participation in the DaO process, with the at country level, and can only raise them with
objective of providing a detailed information base recommendations for organizational reform. The
on what would be needed to participate more expected DaO results include:
effectively. The review includes: • Reduction of costs by minimizing duplication
• An evaluation and recommendations and overlap of efforts following use of
concerning strategic, planning, managerial, common services for reducing overheads and
operational and monitoring/reporting increasing value for money in service delivery.
processes, mechanisms and human/financial • Better alignment of UN agency competencies
resources for more effective and efficient with national development priorities.
participation of UN-Habitat at both the global • Better use of comparative advantages, based
and national levels. on the diversity of mandates and types of
• An assessment of the value added of the intervention of UN agencies.
One UN process for UN-Habitat in the • Application of a result-oriented approach to
six participating countries, including the joint programming by securing multi-year
integration of the agency into this process. resources from donor trust funds and agency
• A qualitative assessment of the significance of core contributions.
10 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
This section is a summary on the findings of DaO • Environment, energy, disasters, prevention
process in pilot countries. Details on findings for and response; and
each of the six countries where UN-Habitat is • Human capital and social protection.
currently active in the DaO process are presented
in Annex III. The gender component is a cross-cutting aspect
mainstreamed in most interventions. The total
estimated budget for the OneUN Programme was
3.1 CAPE VERDE USD 70.3 million; donor contribution reached
The UN-Habitat office in Cape Verde was created USD 40.8 million.
in 2009, after the DaO was initiated, recruiting The entry point of UN-Habitat in Cape Verde was
a country coordinator supported by the Country the Participatory Slum Upgrading Programme
Programme Manager. The country coordinator (PSUP) which is financed by UN-Habitat with
is based in Cape Verde and participates in DaO contribution from the European Commission. This
meetings as well as works together with national entry point allowed UN-Habitat access to the One
partners on the planning and implementation of UN Programme with an urban governance project
the projects. The Country Programme Manager, financed by the DaO. At present, UN-Habitat
who is also the Country Programme Manager for is implementing activities for a total of USD
Senegal, assisted in key meetings in Cape Verde 588,500 including USD 88,500 from the PSUP
providing the necessary support from Dakar. project and USD 500,000 from DaO funds under
In Cape Verde, 20 UN agencies are collaborating the ‘Local Urban Development Programme in the
in the DaO (i.e., six resident and 14 non-resident framework of the One UN in Cape Verde’. This
agencies) and in a participatory way have prepared case is a good example where core funds (from
the OneUN Programme in Cape Verde. The PSUP programme) in a relatively small amount
programme is divided into four thematic areas: enabled UN-Habitat to implement activities under
DaO with considerable larger funds.
• Good governance;
• Promotion of growth and economic The Government of Cape Verde has been working
opportunities; on an integrated urban policy and operational
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 15
strategy which will act as a guide for better to maintain the pace of bigger agencies, or it is
living conditions in the cities. Accordingly, the intended to advocate for the agency mandate
Government of Cape Verde in partnership with or negotiate larger funds to increase the volume
UN-Habitat intends to produce this urban policy under implementation.
and the respective strategy in the next cycle of the
The DaO in Mozambique has been operational
UNDAF 2012-2016, where it is already included.
since 2007; its first cycle is finalising in 2011. In
This intervention is in line with the focus that the
planning and implementation DaO involves 24
Government of Cape Verde is intending to give to
UN agencies (nine resident, seven non-resident
the next DaO cycle, requesting less small projects
with office and staff in-country and eight
and more substantive contribution from the UN
covered from abroad). This first cycle has 13 joint
where value could be added to the development
programmes, with UN-Habitat collaborating in
process in the country. For UN-Habitat, with only
three programmes—environment mainstreaming,
one staff member in the field, to deal with policy
decentralisation and disaster risk reduction.
and strategic aspects becomes a great challenge.
The strength of UN-Habitat in DaO is on its
The DaO planning exercise with Government
specific mandate, which is not available in
counterparts and UN agencies facilitated the
other UN agencies. The planning exercise is
dialogue and the recognition of UN-Habitat
very demanding on policy aspects and on
mandate strengthening the working relations
technical knowhow and the Country Programme
with the Resident Coordinator office and sister
Manager in the UNCT and in meetings with the
agencies. Taking advantage of this situation, UN-
Government needs to convince UN agencies
Habitat could draw a plan covering additional
and ministries on the identified priorities and
urban aspects, for what will further advocate the
on innovative and feasible solutions in order
agency mandate and capability.
to be considered as a priority in the DaO plan.
Concerning increasing UN-Habitat capacity in Although the voice of the Country Programme
Cape Verde, it would be important to strengthen Manager in planning and decision taking
the local office investing on its human resources meetings is equally considered, it is less power
by upgrading and enlarging staff. The workload than the voices of resident agencies. Although
on programmatic and substantive aspects, the behind the Country Programme Manager is a full
time spent on meetings and the perspectives on agency with normative and operational divisions,
the new United Nations Development Assistance the required support with updated normative and
Framework cycle justifies this. Improvements on strategic information does not reach the field. It
the procurement and recruitment process are also is only with joint Headquarters, RTCD and field
needed to speed implementation and reduce the office interventions, that the agency will properly
administrative work in the field office. advocate for its mandate in a continuous and
more prominent way in the DaO plan and DaO
3.2 MOZAMBIQUE funding, reinforcing present areas of intervention
and opening new ones within the mandate and
UN-Habitat in Mozambique is implementing
needs in country.
a portfolio of USD 7.3 million within the DaO
approach, with USD 4.1 million coming from DaO The United Nations Development Assistance
funds and USD 3.2 million from bilateral or core Framework 2012-2015 was recently approved
funds from the agency. The field office has ten and is the result of a highly participatory planning
staff, with the Country Programme Manager being process involving the Government of Mozambique
the only one financed from core funds. Although and the UN. The United Nations Development
the number of staff seems large (compared to Assistance Framework was based on the Action
other countries) there are huge limitations on Plan for Poverty Reduction (PARP) for 2011-2014
staff and resources at a time when it is necessary as well as the country-led DaO evaluation done
16 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
Funds available to UN-Habitat under the One UN Coordinator, as well as a UN Humanitarian Country
Plan total USD 3.6 million for the implementation Team, with a UN Humanitarian Coordinator.
of five projects under the overall Joint Programmes:
The presence of UN-Habitat in Pakistan is
• Water and Sanitation improvement in informal
assured through a national team under the
settlements through gender mainstreaming
overall coordination of an international Country
and empowerment of local authority;
Programme Manager. The national team includes
• One UN Disaster Management Programme two national experts who are fully absorbed by
Pakistan; the DaO process at the level of United Nations
• One UN Joint Programme on environment— Country Team; participation at this level is
sustainable urbanization and energy required in a good number of meetings on
conservation; policy, joint programme and administrative
• Geographic Information Systems (GIS)— matters of harmonized management and
Capacity building for national population accounting practices. The mandate, competence
census; and and comparative advantage of UN-Habitat is
well recognized, largely due to its track record
• Improvement of 29 school buildings in Khyber
with post disaster recovery and reconstruction
Pakhtunkhwa.
programmes. Therefore, UN-Habitat works
In addition, UN-Habitat provides own funding closely with the line Ministries of Construction
to project activities from earmarked global and Housing, and the Ministry of Environment,
programmes on water and sanitation, and on as well as with the Earthquake Reconstruction
land and on youth activities, some of which are and Rehabilitation Authority (ERRA) of the Prime
contracted to NGOs. These project activities are Minister’s Office, later transformed into the
not coordinated by the Country Programme National Disaster Management Agency.
Manager and are not part of the One UN Plan, but
UN-Habitat’s participation in the Pakistan DaO
are administered directly by respective programme
process is constrained by the limited core funding
Divisions at the Headquarters in Nairobi.
and staff resources, as well as by a fragile security
By far most UN-Habitat’s activities in Pakistan, environment as a result of political instability.
however, are concentrated on recovery and The operational interventions are built around
rehabilitation, following the destruction of rural projects which bring in funds from donor
housing and rural infrastructure as a result of the countries in response to disasters, rather than
earthquake of 2005, the displacement of families resulting from consistent efforts on the basis of
affected by the war on terror, and more recently UN-Habitat’s mandate to strengthen the agency’s
the flooding disasters, funded by the Central competitiveness and profile at the level of United
Emergency Response Fund and direct earmarked Nations Country Team. UN-Habitat in Pakistan,
donor funding outside the Multi Donor Trust Fund as a project office, is faced with institutional and
for development activities. In fact, only four per resource limitations in committing itself to long-
cent of UN-Habitat’s current activities in Pakistan term support and policy advice to Government
are funded through the One UN Plan under Multi and other partners in civil society. Its interventions
Donor Trust Fund. rely on ad hoc and time-bound project delivery
initiatives when addressing key themes of
The United Nations Country Team activities focus urbanization or climate change.
almost exclusively on post-disaster recovery,
reconstruction and rehabilitation through In a way, UN-Habitat’s post disaster recovery
humanitarian assistance funds, while joint and reconstruction programmes subsidize the
programmes under the One UN Plan are receiving participation of the agency’s Country Programme
much less attention. As a result, there is need for Manager Office in the United Nations Country
United Nations Country Team with a UN Resident Team, which is not sustainable in strengthening
18 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
the agency’s capacity to participate in coordinated gender as a cross-cutting aspect. The Common
policy support and joint programming along the Operational Document presents key activities by
One UN Plan is the goal. outcome and by agency and its implementation
require a total of USD 487.6 million.
With a situation where donor funds in Pakistan
being overwhelmingly directed towards The Country Programme Manager is responsible
humanitarian and peace-building activities for UN-Habitat’s planning. It is very challenging
of the UN system, the future of One UN Plan and often difficult to meet the requirements due
development activities through pooled and non- to the number of meetings involved or because
earmarked donor contributions remains seriously specific policy or technical knowledge is required
underfunded. This has a direct impact on UN- on matters that fall under the agency’s purview.
Habitat’s participation in the One UN Plan which Advocacy on policy and strategic aspects to
is also in future likely to remain limited in terms of convince Government and other UN agencies on
cost-effectiveness. the importance of the UN-Habitat mandate and
the relevance for the country plays a key role.
For UN-Habitat to play a recognized and effective
If this is not well articulated, it can simply get
role in the new One UN Plan, it needs to focus its
ignored. Current strategic planning left out the
participation in the DaO through:
Country Programme Manager. During the next
(a) More advocacy and policy support and less on planning cycle the Government indicated that UN
single project service delivery; should contribute more to policy and strategic
(b) Capacity development of civil society; aspects and less on project implementation.
(c) Intervention through policy advice at the
Only one Non-Resident Agency (NRA) represents
regional and local levels; and
all the NRAs in planning and fundraising meetings
(d)
Disaster preparedness and humanitarian with donors. These decisions taken by the
response. Resident Coordinator at country level adds layers
of difficulty to the planning and funding limiting
3.4 RWANDA the advocacy on UN-Habitat mandate that can be
UN-Habitat opened its country office in UNDP done by the staff in-country.
compound in July 2004. This office has one Country Approximately one third of the expected
Programme Manager and eight staff, implementing DaO funds in Rwanda have been obtained
in the past four years a portfolio of USD 2.25 million with reluctance from some donors to meet
in the DaO programme in Rwanda. commitment or increase their contribution. This
One UN Programme in Rwanda ‘Common funding situation increases competition among
Operational Document 2008-2012’ was prepared agencies for available funds. Resident agencies
by 20 UN agencies (nine resident and 11 non- with larger amounts of core funds and stronger
resident agencies, including UN-Habitat). This is presence seem to have better opportunity of
the programmatic document specifying how the getting funds than NRAs that lack strong presence
UN in Rwanda will implement the United Nations and have limited core funds.
Development Assistance Framework 2008- UN-Habitat Headquarters promised the
2012. The UNDAF is a response to the national Government of Rwanda core funds for project
needs and priorities outlined in the ‘Rwandan implementation on water and youth. In the case
Government’s Economic Development and of water, a memorandum of understanding was
Poverty Reduction Strategy’ and the ‘Vision 2020’. signed for USD 1.12 million but the Headquarters
The Common Operational Document is divided provided only USD 180,000 in an Agreement
into five sectors: Governance; Health, population, of Cooperation before announcing that no
HIV and nutrition; Education; Environment, and more funds were available. On Youth, it was
Sustainable growth and social protection; with promised USD 200,000 from core funds, which
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 19
did not materialise. It is beyond the terms of this core funds and non-core funding mechanisms
consultancy to study why this occurred, but some such as earmarked donor funds and global UN
lessons can be drawn: programmes.
• Core funds exist in reasonable amount to
The One UN Fund contribution to UNDAP 2011-
involve the agency with core funds in the
2015 is financed from pooled contributions of
DaO and qualify for leveraging DaO funds
seven donors (‘friends of the UN’). According
implementing more significant projects, but
to the UNRC office, there is a trend emerging
this was not done.
among donors to revert to higher earmarked
• Trust on the agency is eroded and affect the contributions to specific programme areas and/or
efforts done by field staff with the Government ‘preferred’ agencies.
and inside the One UN by promising funds to
the Government and not materialising it. UN-Habitat participates in the Water, Sanitation
• Better coordination between Headquarters and Health programme (WASH) under Cluster
and Regional Office should be established to 2 of UNDAP, jointly with UNICEF, UNFPA and
work as One UN-Habitat in the field. WHO. WASH is likely to get an allocation of
approximately three per cent of the total One
According to field staff, the main problem with UN Fund for Tanzania, the smallest of the ten
UN-Habitat participation is the time taken for programme areas. The Country Programme
recruitment and procurement in the UNDP office. Manager has been requested to specify the
Delays in implementation affect beneficiaries, inputs of UN-Habitat (actions) to WASH, which
relations with Government and counterparts, will focus on water and sanitation (WatSan) for
reduce the delivery capacity of the agency Zanzibar Water and Sanitation Authority (ZAWA)
and impede obtaining DaO funds due to non- and for the Dar es Salaam Water and Sanitation
utilisation of funds already allocated. Authority. The total budget will be approx. USD
3 million, out of which about USD 0.9 million
3.5 TANZANIA is likely to come from the One UN Fund, the
rest is expected from agency core funds. Actual
In close collaboration with the Government of
allocation will be made on the basis of proposals
Tanzania and the donor countries (and coordinated
for joint programmes with the other agencies.
by a tripartite agreement through the Joint
There is a likelihood of earmarked funding for
Steering Committee), the United Nations Country
the WASH programme area of UNDAP from
Team formulated and adopted the present United
Switzerland and The Netherlands.
Nations Development Assistance Plan (UNDAP
2011-2015) which is composed of three clusters The UNDAP 2011-2015 has no programme area
with ten programme areas: nor specific activities on urbanization, and none of
• Cluster 1: Economic Growth and Poverty the other UN-Habitat operated projects in Tanzania
Reduction (with a budget USD 180 million, feature in the UNDAP 2011-2015. According to
i.e., 23 per cent). the Country Programme Manager and the UNRC
• Cluster 2: Quality of Life and Social Well- Office, the main reason for this ‘omission’ is failure
Being (with a budget USD 323 million, i.e., by the Government of Tanzania to prioritize on
42 per cent). urban issues when requests to the UN system
were made. However, there are a number of UN-
• Cluster 3: Governance, Emergency and
Habitat-supported project initiatives in Tanzania,
Disaster Response; Refugees (with a budget
many of them operated and backstopped by
USD 270 million, i.e., 35 per cent).
different Headquarters divisions under separate
The total budget for this period stands at USD 777
agreements with Tanzanian Government and non-
million, out of which USD 216 (28 per cent) is to
governmental institutions. These initiatives are
be financed by donors through the One UN Fund,
usually part of global Headquarters programmes
leaving the balance to be funded through agency
20 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
with normative and operational elements. UN-Habitat, notably UNDP, UNICEF, WHO, ILO
Although some of them are coordinated and and UNFPA. If the participation of UN-Habitat in
supported by the Country Programme Manager the DaO reform programme and its programming
in Tanzania, none have been included in the institutions can be strengthened, on account of
UNDAP. It becomes evident that such an array of its better recognized and understood coherent
fragmented and non-coordinated UN-Habitat- and comparative advantage, it will help to deflect
supported activities (often of very small scale) the danger to marginalize UN-Habitat in the
does little to strengthen UN-Habitat’s competency reform process.
profile, under the Habitat Country Programme
In order to provide professional support to
Document and as inputs to UNDAP.
the programming process, the substantive
Consequently, UN-Habitat’s competence and backstopping from Headquarters (by RTCD and
comparative advantage on urbanization issues like assisted by the water and sanitation programme)
sustainable urbanization, slum upgrading, and cannot be ignored. This should include advice to the
land management are not properly recognized water and sanitation working group on defining
in the current UNDAP. The past positive project the focus of UN-Habitat’s specific action to achieve
results with Sustainable Dar es Salaam and a more comprehensive, interlinked and coherent
slum upgrading have apparently not adequately joint programme with the other participating
influenced the Government of Tanzania to agencies (i.e., UNICEF, UNFPA and WHO). As part
introduce these issues into the consultations with of such programming contributions, there is need
the United Nations Country Team and the Resident to develop a more comprehensive and strategic
Coordinator on priorities for assistance from the definition of a ‘Joint Programme’, including
UN agencies. Considerable effort is needed both operational responsibilities, management practices
at the level of Headquarters and the Country and reporting.
Programme Manager to convince the United
Nations Country Team and the Government 3.6 VIETNAM
of Tanzania of UN-Habitat’s urbanization
The present One UN Plan for Vietnam during
competencies and comparative advantages.
the period 2006-2010 (extended to 2011) is the
Inadequate support from Headquarters and result of tripartite consultations between the
the RTCD to the Country Programme Manager Government of Vietnam, the United Nations
in terms of funding, staffing, and policy/ Country Team (UNCT) and the donor community.
programming expertise is a matter of concern. The Plan is financed from ODA donor grant
The Country Programme Manager is not an allocations to the One UN Plan Fund (OPF) for
expert on human settlement issues, has no Vietnam, under the UN Multi Donor Trust Fund
assistance from a competent team, and no (MDTF), as well as from earmarked and non-
resources to contribute to the United Nations earmarked agency contributions (core funds). For
Country Team and its working groups on action the period 2008-2010, OPF budget is at the level
plans for joint programming. There is urgent need of USD 79 million, representing approximately 30
for Headquarters to review this unsatisfactory per cent of multilateral ODA grants for Vietnam.
situation. UN-Habitat risks being marginalized UN-Habitat’s participation is solely funded
further in the UN reform process in Tanzania. through allocations from the OPF for Vietnam
(USD 0.95 million, representing slightly over one
On the more positive side, the Country per cent of OPF).
Programme Manager participation in the United
Nations Country Team and its working group on As per the OPF allocation criteria, it is hoped that
the WASH component has helped to raise the the next One UN Plan will be better integrated
visibility of the agency, and enhanced the interest among the agencies through procedures of joint
of other agencies to do joint programming with and result-based planning. In the current One
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 21
UN Plan, the UN-Habitat issues of urbanization, the One UN Fund, the visibility and perception of
urban development strategies, pro-poor land and the agency’s mandate has remarkably increased. As
housing, improvements of basic infrastructure a result of the cooperation agreements on projects
and services remain somewhat hidden in the total with national partners like the Association of
list of 23 output clusters and 93 expected results. Cities of Vietnam, and agencies under the Ministry
Nevertheless, UN-Habitat is recognized, and the of Construction, DaO has helped to engage the
agency is expected to make contributions under expertise of other UN agencies in national policy
each of the five plan components in line with its advocacy (i.e. UNFPA involvement in housing
mandate and comparative advantage. policy advocacy, UNDP in climate resilient urban
development policy) and local strategic planning
Participation in the One UN Plan in Vietnam
(i.e., Quang Nam Provincial Development Strategy
is under the responsibility of the UN-Habitat
with involvement of UNESCO, ILO and FAO). With
country team, which is composed of one Country
funding provided under the One UN Plan, UN-
Programme Manager and six other nationals (i.e,
Habitat was able to undertake specific projects to
four professionals and two clerical staff). While
demonstrate its competence and value added to
the Country Programme Manager is funded from
its Government counterparts, donors and other
Headquarters resources, the other team members
UN agencies. The Government recognizes UN-
are funded through UNDP administered service
Habitat as its main international partner on issues
contracts, under funds allocated to UN-Habitat
of sustainable urbanization. With its comparative
from the One UN budget. The One UN Fund
advantage in terms of specialized expertise, UN-
allocation is for the purpose of implementing three
Habitat has been taking the lead among UN
projects: the Quang Nam Provincial Development
agencies on DaO initiatives with sustainable
Strategy; the Urban Observatory (urban
urban development, and has made competent
indicators) project; and the pro-poor housing
contributions to United Nations Country Team
project, totalling USD 0.95 million. While most
discussions on climate change.
agencies contribute own resources (core funds) to
the DaO process, in the case of UN-Habitat, this In the next One UN Plan (2012-2016), UN-Habitat
modest amount ensures the implementation of shall focus its intervention more on capacity
three projects, and is the only source of funds for building, policy support, general advocacy, and
all the other functions of the Country Programme research on topical issues emanating from the
Manager and the team, including participation United Nations Country Team. The prospects of
in the DaO programming and implementation funding future UN-Habitat projects through the
process. The limited resources available to OPF are not promising. This is not a reflection
the Country Programme Manager team pose of UN-Habitat’s competence and relevance to
considerable stress and constraints to the team’s the Socio-Economic Development Plan, but the
ability to perform its multitude of functions. result of a likely reduction of the OPF for the
next plan period. The change of Vietnam’s status
Apart from the above DaO projects, UN-Habitat
from a developing to a middle income country
activities in Vietnam are funded by the Water
(MIC) will change the external development
for Asian Cities and Mekong Sanitation Project
assistance architecture, less from ODA, with a
(MekSan), implemented by a national project
shift to (concessional) loans and Government
manager, and coordinated by a regional project
cost-sharing. Agency representatives, as well as
office in Laos, separate from the institutional
donors expect a significant drop in OPF funds
arrangement for DaO in Vietnam, and outside
available for the next One UN Plan. Larger
the scope of responsibilities of the Country
agencies such as UNDP, UNICEF and UNFPA
Programme Manager in Vietnam and of the
are already preparing for a shift in the funding
Regional Office for Asia and the Pacific.
structure. This scenario will affect UN-Habitat’s
With the implementation of projects funded under future operations in Vietnam considerably. With
22 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
the absence of own (core) resources, the priorities There is overall recognition of UN-Habitat’s specific
and funding modalities through Government mandate relevant to the country’s development
cost sharing, or direct donor funding for specific priorities, its competence and comparative
project proposals along the agency’s recognized advantage within the United Nations Country Team.
competencies (including climate change or The active participation of the Country Programme
disaster/risk mitigation and adaptation), need to Manager and the team in the DaO process is very
be considered. much appreciated by the office of the Resident
Coordinator. This positive view is shared by the
At the level of the Ministry of Construction,
representatives of other UN agencies, particularly
which is the Ministry responsible for policies
UNDP, UNFPA, FAO and ILO. UN-Habitat’s status
on urbanization and housing, a wide range of
as a NRA does not appear to limit its active role
requests for assistance is directed towards UN-
and competent participation in the deliberations of
Habitat and its country team. The ministry has
the United Nations Country Team and its working
identified the bottlenecks to be at the level of
groups. In the view of the UNDP country office,
infrastructure, institutional development, and
UN-Habitat’s focus on programme delivery, while
capacity building and human resources. The
authorizing UNDP to administer its funds, is a
present support provided by UN-Habitat projects
good model for other UN agencies of similar size
under DaO is highly appreciated; a formal request
to follow. However, and as mentioned above, the
for further assistance will be made to UN-Habitat
effectiveness of the present Country Programme
soon, including a request for further consultations
Manager structure is severely constrained by a lack
on future cooperation.
of human and financial resources.
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 23
the UN makes a difference between NRAs The status of UN-Habitat as a NRA does not
with presence and NRAs without presence in- appear to constrain the ability of the Country
country. In Tanzania, UN-Habitat is considered Programme Manager to make programmatic
a ‘resident agency’, simply on the account of and coordinated contributions to the DaO
having Country Programme Manager being process in the case of Cape Verde, Mozambique,
resident in the country, regardless of national or Pakistan, Rwanda and Vietnam, largely because
international status. of their demonstrated competence. However,
UN-Habitat’s contribution in Tanzania remains
One of the main benefits of DaO is that it provides
marginal for reasons of inadequate agency
NRAs with the opportunity to participate in equal
presence. UN-Habitat has teams of seven to ten
conditions with resident agencies in the United
staff in Mozambique, Rwanda and Vietnam, but
Nations Country Team providing technical and policy
has only one staff in Cape Verde and Tanzania,
advice to the Government and other UN agencies to
and a team of over 40 staff in Pakistan dedicated
ensure mainstreaming some of their mandates in the
to humanitarian projects with only two working
United Nations Development Assistance Framework
on DaO (Table 4.1). Except Country Programme
(or other One UN country programme documents).
Managers who are financed from Headquarters’s
This opportunity that brings technical capacity,
funds, all others are financed from projects or DaO
providing the relevant normative and strategic
funds. Project financed staff are not considered
inputs adding value to the national programme
‘permanent’ staff and their TORs address project
with actions that are worth to be implemented,
implementation, leaving little or no time for them
providing a short-term solution to one of the
to participate in DaO planning and coordination.
greatest challenges for NRAs when competing with
In the case of Pakistan, project income from the
resident agencies that are institutionalised in the
large volume of humanitarian activities finance
country with larger number of technical staff and
the staff dedicated to DaO. The benefit of Pakistan
a large baggage of implemented projects and links
with a large humanitarian programme subsidising
with national institutions.
DaO staff is not repeated in other countries.
The Country Programme Managers are responsible and coordinating with UN agencies. However, the
for DaO planning, a time demanding task as well support to Country Programme Manager offices in
as stressful due to the technical requirements the pilot countries is reciprocal—uncoordinated,
in a variety of topics covered by the agency underfinanced and understaffed and remains
mandate. Nonetheless they have ensured UN- administratively fragmented as Headquarters’
Habitat participation in DaO in the pilot countries; programme divisions continue to apply different
thereby, promoting the implementation of UN- management practices.
Habitat’s mandate jointly with national partners
26 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
• Achieve improved understanding of UN- In line with the key components of the DaO
Habitat’s comparative advantage and reform process in the UN system, UN-Habitat
competitive capacity at country level and should take appropriate steps to ‘act and Deliver
within the UN system; as One’ coordinating policy/programmes, unifying
• Strengthen UN-Habitat’s capacity and UN-Habitat budget, and directing one set of
comparative advantage in joint programming management practices. If not, there is a great
28 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
risk of UN-Habitat remaining marginal to the UN The assessment of the six DaO countries in
DaO reform process, and fail to benefit adequately which UN-Habitat participates indicates that
from its joint programming opportunities with the Headquarters is far from being One UN-Habitat
UN system of agencies, be further alienated from with the Global Division and RTCD pushing for
the donor community (except for humanitarian predominance and justifications for direct field
assistance which follows a different donor intervention to the detriment of the agency. In
approach), and risk a decline of its classic mandate order to join the One UN-Habitat, it should find
and strength on urbanization issues. common grounds of structural and procedural
understanding at the Headquarters other than
At country level, resident UN agencies are taking
personal understanding which seems to be the
advantage of the DaO with their well settled and
working approach. As the DaO reform process is
structured policy advice and technical support.
likely to gain momentum in the UN system, UN-
The DaO opens the possibility for NRAs to
Habitat has no option but to follow suit. Failure
participate in joint activities at country level, but
would lead to marginalization of UN-Habitat in
the agency needs to provide quality messages
the UN system.
highlighting its comparative advantages in line
with its mandate, demonstrating its capacity to The MTSIP distinction between normative
implement improvements in the national context. and operational work at Headquarters is not
UN-Habitat, therefore, needs to have an agency- very meaningful at country level; a successful
wide policy (not limited to RTCD), with common ‘operational’ project on housing policy or
strategy and programme focus, common sustainable urbanization, for example, becomes
management practices, pooled country budgets, ‘normative’ when adopted as a national policy.
unified (financial and substantive) reporting and Normative global programmes at Headquarters
strengthened human resource support from become operational as soon as their ‘norms’ are
existing divisions. The current fragmentation applied at country level through ‘operational’
of division-led management practices and projects. Efforts to make this budgetary and
separate budgets is not sustainable and will human resource distinction more coherent
be counterproductive to the agency’s ability to under the Enhanced Normative and Operational
participate in a coherent manner in the DaO Framework did not fully meet with expected results
reform process. at Headquarters level except for the allocation of
some non-overhead funded posts to the Regional
At UN-Habitat Headquarters, especially the
Offices. This area remains a challenge.
Global Division, the DaO seems to be considered a
particular modality of implementation applicable UN-Habitat support to DaO countries is mainly
only to the RTCD. This misunderstanding of a from the Regional Office for Africa and the Arab
global change in the UN system is affecting the States and the Regional Office for Asia and the
agency as a whole, particularly regarding its Pacific, with very limited or no support from
future focus on country activities. This carries far- normative divisions. At field level there is an
reaching implications for UN-Habitat’s presence increased demand for new and renovated know-
and ability to work in countries, as well as for how to advocate for more participation of the
the future structure of the organization in terms agency in new areas of intervention as well as on
of budgeting, balance between normative and innovative ways to assist the country needs. In line
operational activities, programme management with the thematic focus areas of UN-Habitat under
and human resource allocations at country level, the MTSIP, there is need to sharpen UN-Habitat’s
Headquarters and Regional Offices. Although not profile of competence for in-country activities,
an ‘executing agency’, the level of awareness including an agency profile on its specific and
in UNEP on the implications of the DaO reform comparative advantage on partnership with local
process appears to be considerably higher than at authorities. The main operational tools should be
UN-Habitat Headquarters. policy advice, advocacy and awareness (including
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 29
networking and catalytic work with partners) and in the right direction to enable them carry out non-
capacity building, among others, depending on operational mandates under the MTSIP strategy.
local realities. The DaO reform process at country level requires
more substantive policy and programme support
Within the advocacy role, UN-Habitat should focus
from Regional Offices to the country teams, in
on raising public awareness in DaO countries on
order to assist them participate more competently
the significance of development issues related
in the United Nations Country Team working
to urbanization. It should consider providing
teams on joint programming and implementation.
substantive support to the setting up of political
lobbies promoting its mandate, identifying DaO has to begin within UN-Habitat
substantive priorities of intervention and Headquarters; there is urgency to establish a
providing light on innovative and well-structured common programme management structure for
solutions that convince United Nations Country all divisions to be followed by country activities.
Team members and Government counterparts. The current practice of some divisions setting
In a parallel and equally important initiative, UN- up their own country support lines, like many
Habitat should be doing the same at the level of global programmes, needs to be stopped.
UN in New York and Geneva and in other venues Regional Offices may have to be transformed
during global DaO meetings with sister agencies, from extended arms of former RTCD to proper
positioning UN-Habitat as an agency that is UN-Habitat Regional Offices, with a pool of staff
adding value to the DaO on urban governance, from programme Divisions and a funding drawn
urban management, slum upgrading, land from different UN-Habitat sources.
management and others. These (and other) clear
UN-Habitat actively contributes to and participates in
lines of action will reinforce UN-Habitat’s voice at
the DaO strategy formulation on global and regional
the United Nations Country Team meetings and
priorities in New York and in Bangkok (for the Asia
with counterparts at Government level.
and the Pacific Region). However, the support to
The DaO reform process is not limited to pilot the efforts of Country Programme Managers in
countries. There are a number of countries in the pilot countries is not well coordinated. They
all regions adopting the policies inherent to the are underfinanced and understaffed, and remains
reform process, and want to transform their administratively fragmented, as programme
‘business model’ of multilateral development divisions continue to apply different management
assistance along the principles of One Budget, One practices. The participation of UN-Habitat in the
Programme, One Leader, One set of Management DaO reform process in the pilot countries is affected
Practices (possibly expanded to One Voice and by the UN system’s move towards a harmonized and
One UN house). These ‘self-starters’ in the DaO unified set of agency management practices (i.e.,
jargon include Bhutan, Laos, Maldives, Mongolia, Harmonized Programme and Project Management
Papua New guinea, and the Philippines (in the Asia Guidelines (HPPMG)). Equally, UN-Habitat’s
and the Pacific Region), and Botswana, Comoros, administrative support to DaO operations in the
Ethiopia, Liberia, Lesotho, Malawi, Namibia, and pilot countries require a review and adjustment
Zimbabwe (in the Africa Region). in response to expected system-wide adoptions
of standard basic country agreements (SBA), of a
b. UN-Habitat reform for DaO Harmonized Approach to Cash Transfers (HACT), or
accomplishment the adoption of common (and country-specific) cost
norms for budget lines such as national staff (and
UN-Habitat Regional Offices have only limited
national consultants), travel, and so on. This process
delegated authority, being more of an extended
is quite advanced in a number of pilot countries.
arm of RTCD, rather than a full Regional Office. The
However, it is beyond the scope of this evaluation
recent allocation of staff resources under regular
to assess the implications of these administrative
budget and MTSIP funds to the Regional Offices is
reforms on UN-Habitat’s DaO participation.
30 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
c. The One UN Fund and funds for DaO One UN Fund has effectively fostered a more
implementation transparent approach to programming thereby
The One UN Fund has proved an incentive for enhancing accountability to both Government
UN agencies to work together, in particular and development partners. As per the current
specialised agencies, encouraging a coherent and management and accountability framework, the
holistic approach to programming which plays to Resident Coordinator is responsible for leading
the strengths of each participating agency. effective resource mobilisation at the country level
for the One Programme. However, there is no
The One UN Fund was presented as facilitating mechanism to bind which agencies to adhere to
improved programming and better management this principle.
for results, as well as enhancing the UN’s
compliance with the spirit and principles of mutual DaO budgets to finance One UN Country Plans
accountability established in the Paris Declaration in the pilot countries are usually sourced directly
and Accra Agenda for Action. Different pilot DaO from the Multi Donor Trust Fund (a minor part)
countries have different approaches for the One as well as from agency core funds and country
UN Fund. The first DaO cycle was referred to the allocations from non-core funds. Access to Multi
UN fund resources to be distributed by agencies for Donor Trust Fund under DaO is proving effective
implementing joint programmes. For the next cycle, to support UN-Habitat’s contribution to the reform
starting 2012, this concept has changed. In Cape process in most countries. However, the limited
Verde, Rwanda, Mozambique and Tanzania, the amount of core resources from UN-Habitat’s own
One UN Fund will correspond to a single budget for budget sets limits to the scope and effectiveness
the entire United Nations Country Team Programme, of the agency’s participation in joint programmes
which is divided across three funding sources: agency with other agencies. This is particularly so in the
core resources; agency non-core resources; and One case of Pakistan, Rwanda, Tanzania and Vietnam
UN Fund resources. Consequently, the One UN joint where the country programmes / projects are
programme will include all projects and activities almost exclusively financed through the Multi
implemented at country level independently from Donor Trust Fund pool of funds. The DaO process
the source of finance. brings in only a limited amount of ‘new’ financial
resources through MDTF allocations. Even more
Such eligibility and performance based funding so in future, the DaO reform process will depend
criteria have enabled the United Nations Country on core resources from agencies, earmarked or
Team to sharpen the focus of the One UN non-earmarked, Government cost-sharing, soft
Programme, with a clear division of labour based on loans, and corporate funding sources (Table 4.2).
parameters such as agency capacity, comparative So far, UN-Habitat’s contribution to DaO from its
advantage and mandates. In other words, the own core resources has been quite limited.
The volume of Multi Donor Trust Fund support a result, the agency’s yearly country activities
to UN-Habitat country activities is quite small (i.e. report does not provide a complete picture of
1.2 per cent from the total MDTF funds in Cape UN-Habitat’s country activities (e.g., Pakistan,
Verde, six per cent in Mozambique; four per cent Tanzania and Vietnam). Efforts by the internal
in Pakistan; 0.5 per cent in Rwanda; and 1.2 per task force on ENOF to make an inventory of all
cent in Vietnam), and is not likely to increase UN-Habitat activities at country level, and their
significantly if the agency follows the same path. total budgets, did not provide useful results. A
Otherwise, it is likely to be reduced even further. good example of integration was in Mozambique
where, following the initiative of the UN-Habitat
DaO funds are limited and generally the One
country staff, all projects financed by UN-
UN plan cannot be fully financed with donor
Habitat were included in the DaO as agency
contribution. Therefore competition among
contribution, and the result is very positive in
agencies increase and the Resident Coordinator
terms of integration with DaO at country level
restrict the allocation of DaO funds to certain
and in leveraging DaO funds.
conditions, for instance, through the contribution
of core funds from the agency. This was the case
DaO project implementation and
of UN-Habitat in Cape Verde where USD 88,500
reporting
allowed access to USD 500,000 and the same in
Mozambique, where the agency contributions In Cape Verde, Mozambique, Rwanda (and other
of all projects not financed by DaO. In Rwanda countries) DaO projects are being implemented at
if the agency does not increase its contribution, a slow pace. This is affecting agency reputation
the possibilities of obtaining DaO funds is very with beneficiaries and partners, and the allocation
limited and projects will remain unfunded. Core of DaO funds. One of the main factors behind
funds and non-core funds should be mobilized to these delays is the procurement and recruitment
upscale UN-Habitat activities at country level. process of the UNDP office. Although an
agreement with UNDP stipulates that UN-Habitat
It is clear that contributing with core funding for will implement projects following its own rules
DaO implementation helps in leveraging larger and regulations for recruitment and procurement,
amounts of DaO funds and it is also clear that UNDP does not act on authorizations from PSD
potential funds from Headquarters are totally and UNON.
unknown in the field; thus, it is impossible to plan
in advance, although every year a certain number UN-Habitat field staff follow UN-Habitat/UNON
of projects are implemented with core funding. procurements and recruitments procedures;
all the documentation goes for approval to
In Tanzania, Vietnam and Pakistan, UN- Headquarters, where it is revised by the Senior
Habitat’s Global Division is implementing HSO, the respective PMO, and then to PSD/
projects financed from UN-Habitat funds. These UNON for final approval. Once the approval
projects are not managed by the Regional Office arrives to UNDP at country level for issuing the
and have not been included in the One UN contract or paying the vendor, the full process
country programme. This situation has several starts again putting on hold the approval received
disadvantages; for instance, it is not following from UNON and repeating the whole process of
the DaO approach in the pilot countries and verification through internal UNDP procurement
raises criticisms on UN-Habitat coordination and and recruitment system (including the Contracts,
non-aligning with the One UN programme. On Assets and Procurement Committee and other
the other hand, UN-Habitat is losing a great internal mechanisms) at a fee. That process is
opportunity of leveraging DaO funds using UN- obviously very slow (i.e., it is not UNDP priority)
Habitat funds as agency contribution. Moreover, remaining pending for weeks and months.
there is no centralized procedure which manages Applying its own system, sometimes UNDP may
and accounts for UN-Habitat contribution. As challenge what is approved by UNON.
32 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
Up to now the Country Programme Manager and on One UN Plan implementation to the Resident
the Senior Human Settlements Officer have tried Coordinator and the Monitoring and Evaluation
in different countries to speed the UNDP approval Team represent an additional layer, considering
process without much help. What is required is reports to Regional Office under the MTSIP format
an agency intervention based on agreements and for clearance and transmission to Headquarters
understanding between the two agencies. for inclusion in the former RTCD annual report
on operational activities. In addition, donors
UN-Habitat’s participation in the DaO process have their own reporting format on projects
depends, to a considerable extent, on the implemented through earmarked funding.
support provided by Headquarters in Nairobi
and by the Regional Office, in terms of ensuring In DaO countries, there is joint planning with
compliance with UN-Habitat’s mandate and policy strong participation of UN agencies and less
priorities (focus areas), substantive backstopping strong involvement of Government counterparts,
capacities, and administrative services through however relatively adequate for being driven from
PSD and UNON. There is concern among the the UN side. There is less joint implementation
Country Programme Manager country team that with lapses in coordination, distribution of
requirements of project approval, allocation of funds and recruitment / procurements processes
funds, financial and substantive reporting are where different timings of different agencies
multi-layered, and involve different IT formats affect the joint process. Joint monitoring is
(UNON and UNDP use different formats). drafted and included in the joint programme
As such, they are very time-consuming and document, however there is more monitoring on
not always applicable to UN-Habitat projects expenditures and less on substantive aspects. Up
financed from DaO funds. Requirements, to now joint accountability for results seems to
particularly financial and substantive reporting, be an area where little effort has been dedicated
make considerable demands on working time. and its mechanisms need to be streamlined and
Concerning substantive reporting, regular reports clarified.
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 33
of DaO funds. Field offices are too far from UN- more visible. UN-Habitat also needs to strengthen
Habitat Headquarters’ decision centre and have its presence in UNDG meetings in New York and
limited authority at country level, constraining other venues where the DaO main decisions in
them from taking decisions. Decentralisation and relation to field priorities and distribution of DaO
delegation of authority should materialise closer funds are taken.
to the action, through transfer of responsibilities
Core funding for DaO implementation would
and accountability to Regional Offices and field
leverage larger amounts of DaO funds. However,
offices as emphasized in urban governance
this funding (and its availability) is totally
documents of UN-Habitat.
unknown in the field. Headquarters should be
more transparent on its core funds producing
5.1.2 Country Specific Conclusions
a sort of forecast of funds per country, and
Mozambique facilitating planning and negotiation at field level.
The Country Programme Manager is responsible Headquarters should also align its divisions with
for DaO planning. This is a time demanding and the One UN in the field, allocating core funds to
stressful task, with technical requirements in a projects aligned with the DaO country plan.
variety of topics covered by the agency’s mandate. The HCPD and the planning for DaO were
The field office is delivering over USD 1 million per done more or less in parallel; producing two
year and the possibility for increasing that amount different documents and two different planning
exists. For this reason, it would be necessary to instruments for the same country and same
enlarge the team of permanent staff to be more Government counterpart, both demanding time
competitive with larger agencies where different and effort from the same staff. There is urgent
specialists participate in the planning process need for Headquarters to rationalise planning,
providing technical input and advocating for their reporting, monitoring and other documents that
mandates in the Government and UN meetings. in many cases duplicate in content, but cover
Enlarging permanent staff could also improve different periods or use different formats.
monitoring and assistance to project preparation
and implementation.
Pakistan
The office in Mozambique is supported by ROAAS UN-Habitat’s mandate and comparative advantage
with very limited or no support provided by other in human settlements and urbanization issues are
divisions. At field level there is increasing demand well recognized in the current One UN Plan so is
for new and renovated know-how to advocate for the agency’s participation at the United Nations
more participation of the agency in new areas of Country Team level.
intervention as well as on innovative ways to assist
country needs. Without a continuous improvement UN-Habitat’s programmatic and policy
of normative aspects it would be difficult for UN- coordination at the United Nations Country Team
Habitat to increase its portfolio of implementation. and its working groups is financially not sustainable
and presently require subsidies through AOS
In the new DaO cycle (2012-2015), UN-Habitat sources from the large humanitarian projects on
field staff managed to include interventions for post disaster recovery and reconstruction. UN-
USD 10 million, i.e., 250 per cent more than the Habitat interventions are overwhelmingly oriented
amount leveraged by the agency from DaO funds. towards (and funded through) humanitarian
To include the UN-Habitat component in the United and peacekeeping donor contributions, with
Nations Development Assistance Framework long term development activities through policy
does not mean automatic prioritisation and support and service delivery taking a backseat.
funding. Considering the increasing competition
among UN agencies it is necessary to strengthen In order to increase cost effectiveness, core
Headquarters presence in the field, to become resources may have to be mobilized to set up
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 35
a UN-Habitat country team which can ensure the agency) to access them. UN-Habitat core
policy support to Government and United funds are limited; however some are available
Nations Country Team. The team would require and independently of the amount can highly
recruitment of some national professionals reinforce the participation of the agency
to ensure continued and specific thematic locally. Core funds allocated to Rwanda and
contributions to the deliberations of the United later retrieved damaged the agency in front
Nations Country Team. of Government authorities and should not be
repeated. In addition, core funds should be
UN-Habitat’s future participation in the One
better coordinated at Headquarters level and
UN Plan should focus more on advocacy, policy
better managed for obtaining increased DaO
support and advice to Government and partners,
funds.
at the provincial and local government level.
This will raise awareness in the general public Projects are implemented at a slow pace, affecting
and among the agencies on urbanization issues, agency reputation with beneficiaries and partners.
especially with the creation of a National Habitat Delays of six months are common at UNDP
Committee drawn from stakeholders. offices. This constraint falls under PSD and UNON
and should be solved. On a wider perspective,
Rwanda the existence of this problem implies the need
for improved communication and collaboration
Staff and the Government are committed in
mechanisms between RTCD, PSD and UNON to
delivering UN-Habitat activities undertaken and
be worked out at Headquarters.
financed by the DaO in Rwanda. The results
obtained are of good quality and recognised
Tanzania
at country level. However, when looking at
country needs and priorities, and UN-Habitat’s UN-Habitat’s thematic focus areas in the One
mandate from a wider perspective, it is possible UN Plan for Tanzania (UNDAP) are limited to
to identify that other interventions at policy and participation (through joint programming with
strategy levels could have had a greater impact. UNDP, UNICEF and WHO) in the UNDAP WASH
The Headquarters should provide field staff with (Water, Sanitation and Health) focus area. UN-
continuous and systematic know-how applicable Habitat’s participation in WASH is likely to get
to the country, aligned with the Government close to USD 0.9 million from the One UN Fund
request for the next cycle to support its vision for the plan period 2011-2015, representing
2020 with more value added interventions. about 0.4 per cent of the One UN Fund. In order
to access this funding, UN-Habitat has to submit
The DaO planning process is extremely demanding
to the United Nations Country Team working
and has become more of a policy and strategic
group on WASH specific project proposals for
exercise. However, divisions at Headquarters and
joint programming in the next few weeks.
Regional Offices continue working under silos with
interaction based on personal relations and not on None of UN-Habitat’s other thematic focus
a structural set up. Under the present situation, field areas, i.e., urbanization, slum upgrading, land
staff have no necessary normative tools to advocate management, has been programmed under
for the agency’s mandate in critical planning the UNDAP 2011-2015, which is probably an
meetings. The DaO and the new working modality omission on the part of the Government of
in the UN provide opportunity for UN-Habitat to Tanzania as well as on part of ROAAS.
restructure Headquarters and Regional Offices for
Most of UN-Habitat’s initiatives in Tanzania are
joining capabilities and providing the field with the
under a fragmented financing and management
best from normative and operational divisions.
support from different Divisions of UN-Habitat
DaO funds are limited and have some conditions which may have to be reviewed in light of their
(such as the contribution of core funds from exclusion from UNDAP.
36 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
Annexes
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 41
• There is a thin line between focus vs. a number of structural constraints at both
inclusiveness, and maintaining a balance Headquarters and in the country offices. These
between programme coherence and respecting constraints include:
the programmatic diversity of the UN. • Planning and approval processes of work
• Interaction with Headquarters is inadequate. programmes and activities which are currently
Many UN agencies use different systems for agency-specific and Headquarters focused, on
their resources and programme management top of the common UN planning at country
level.
• Human resource constraints in terms of
4. Justification for a review of
limited capacity at the country level to be
UN-HABITAT’s participation in
effective in DaO operations; and resource
the DaO
management, contract modalities etc. which
The aim of the DaO initiative is to make the role are still agency–specific.
and contribution of the UN system at country • IT platforms of various agencies are still
level more relevant, effective and efficient. It is incompatible, which means elaboration of
important to point out that the resolutions of the common monitoring and reporting becomes
General Assembly contained in the 2007 Triennial a difficult and time consuming exercise.
Comprehensive Policy Review (TCPR) emphasise
The constraints have affected participation
that programme countries should have access
of individual agencies in DaO. However, an
to and benefit from the full range of mandates
increasing number of intergovernmental bodies,
and resources of the UN development system.
the governing bodies and donors of various UN
Hence, national Governments should determine
agencies are pushing agencies in the direction of
which Resident and Non-Resident UN Agencies
the reform and are requesting progress reports on
(RAs/NRAs) best would respond to their specific
this on-going initiative.
development needs and priorities.
According to the outcome statement of the
This aspect is particularly relevant for specialised
intergovernmental meeting of the DaO pilot
NRAs such as UN-Habitat whose housing and
countries that took place 19-21 October 2009,
urban development mandates are generally part of
in Kigali, Rwanda, DaO has provided benefits for
national Governments’ main priorities. UN-Habitat
achieving better development results through
is currently active in six countries of Delivering as
increased national leadership and ownership in
One: Cape Verde, Mozambique, Pakistan, Rwanda,
the development partnership with the UN system.
Tanzania, and Vietnam. The core problem is often
Experience thus far has confirmed that DaO
a lack of implementation resources.
is better than a fragmented UN development
According to the assessments carried out so far system that existed at the country level prior to its
(the evaluability study, the stocktaking exercise adoption. In the pilot countries there is no going
and country led evaluations), there has been back to doing business in the manner prior to the
significant progress, but there are areas that still DaO initiative. It was therefore recommended to
need improvement. Various important questions maintain the momentum and take forward the
that are of special interest to individual UN process in a strengthened manner to address the
agencies have not been addressed, e.g., how challenges.
the relationships between their country offices
Other countries have already expressed their
and Headquarters are developing (or are to be
willingness to join the DaO initiative, including Benin,
reshaped) in the light of this new approach.
Bhutan, the Comoros, Kiribati, Malawi, Papua New
For small agencies, like UN-Habitat, in order to Guinea and Uganda. It is likely that more countries
deepen and consolidate the reform process at will introduce the DaO in coming years, showing
country level, it will be important to overcome that the UN system is indeed changing,
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 45
Although there are challenges for UN-Habitat • Perceptions and views of national
participating in the DaO, it is becoming Governments, other UN agencies and
increasingly clear that a foundation must be laid development partners concerning UN-
to fully participate in this initiative. This requires Habitat’s role, relevance and performance in
an assessment of UN-Habitat’s participation the DaO analysed;
in the DaO to determine the extent of the • Improved understanding of the value added
involvement; lessons learned; challenges; and of the One UN process for UN-Habitat and of
recommendations for improved participation. the significance of UN-Habitat’s support to
UN-Habitat’s DaO participation needs to be the One UN reform agenda;
reviewed in six of the eight pilot countries,
• Recommendations formulated and a strategic
namely: Cape Verde, Mozambique, Pakistan,
way forward defined for more effective and
Rwanda, Tanzania and Vietnam. In Albania and
efficient participation of UN-Habitat in the DaO.
Uruguay, UN-Habitat has almost no operational
activities and thus does not participate actively
in the DaO. 7. Methodology/activities
Note: The two consultants will agree between
them on their respective roles and exact division
5. Purpose and objectives of of labour to deliver the prescribed outputs.
the review
This review will focus on the current challenges Step 1: Preparatory phase
and opportunities of UN-Habitat’s participation
Desk review of existing documentation, such as:
in the DaO. The intent is to understand what
UN-Habitat should improve or do differently in • Report of the High Level Panel on UN System
order to participate more effectively in the DaO. Wide Coherence;
Specific objectives of the review are: • UN DaO evaluability reports, stocktaking
• Evaluate and make recommendations reports, country led evaluation reports and
concerning strategic, planning, managerial, other relevant documentation;
operational and monitoring/reporting • UN-Habitat strategic and policy documentation
processes, mechanisms and human/financial (MTSIP, ENOF, Policy/strategic papers, etc.) and
resources for more effective and efficient country reports (HCPDs, Country Programme
participation of UN-Habitat in the DaO at Managers annual reports, HCPCs evaluation
both at global and national levels. report September 2010, etc.);
• Assess the value added of One UN process for • UN relevant documentation at country level
UN-Habitat in the six countries, including the (United Nations Development Assistance
integration of the agency’s activities into this Framework, One Programme or Joint
process. Programmes, operational plan, assessments,
• Make a qualitative assessment of the strategies, etc.);
significance of UN-Habitat’s support to the • PRSPs, national development agendas and
One UN reform agenda. (sectoral) strategic plans.
• UN-Habitat will make some of these
documents available. However, the
6. Expected results
documents that UN-Habitat does not have
The following results are expected: will be obtained by the consultants through
• Strengths and weaknesses, benefits and appropriate channels.
constraints, opportunities and threats related • Based on the desk review and in consultation
to UN-Habitat’s participation to the DaO pilot with UN-Habitat Headquarters and concerned
phase determined and assessed; country offices, the consultants will prepare
46 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
an inception report to be approved by RTCD/ the consultants will carry out interviews at the
ROAAS. The inception report should include: level of the responsible UN-Habitat Regional
• Clear approach and working methodology; Offices dealing with the six pilot countries under
review, respectively, to, among other aspects:
• Detailed activity plan, including for field
visits; • Assess the level of understanding of the
• Preliminary list of key stakeholders to be DaO initiative, seizing the existing views and
interviewed; opinions of both the substantive (technical)
• Review questions and draft semi- and programme management (administrative/
structured questionnaire; finance) officers;
• Annotated table of contents of the review • Identify aspects which need to be addressed
report. in order to speed up the decision/managerial
flow and related administrative procedures
Step 2: Country visits and improve the agency’s performance at
The consultants will visit the following four of the country level;
selected pilot countries: Mozambique, Pakistan, • Evaluate Headquarters’s support to the
Rwanda, and Vietnam. Each consultant will visit country level.
two countries for 1 week each (2 weeks in- Similarly, the views of different departments and
country work in total for each consultant). The key managers at Headquarters shall be analysed,
purpose of the country missions is to gather especially those dealing with UN-Habitat’s
primary information through interviews and administration, finance, monitoring & evaluation,
collected documentation. and strategic & organisational aspects.
and the respective strategy in the next cycle of the should be considered for enlarging the agency
United Nations Development Assistance Framework portfolio.
(UNDAF) 2012-2016. For the next United Nations
For increasing UN-Habitat capability, it would
Development Assistance Framework, on the
be important to strengthen the local office
‘National Programme on Urban Development and
investing on its human resources by upgrading
Cities Empowerment’ have also been identified
and enlarging the staff. The load of work on
the following priorities: (i) Territorial planning,
programmatic and substantive aspects, the
urban planning and management; (ii) Mapping,
time spent on meetings (30 per cent of the
registration and information technologies; (iii)
coordinator’s time) and the perspectives on the
Housing, rehabilitation and urban sanitation; and
new United Nations Development Assistance
(iv) Urban security.
Framework cycle justifies it.
The DaO planning exercise with Government
Implementation: Coordination of
counterparts and UN agencies facilitated the
implementation with national partners is well
dialogue and the recognition of UN-Habitat
established; however there are improvements
mandate strengthening the working relations
that can be done for a better coordination with
with the Resident Coordinator office and sister
other UN agencies, especially on procurement
agencies. Taking advantage of this situation, UN-
processes and on timing of implementation.
Habitat could draw a plan to further advocate on
Joint planning has not been reflected on a joint
the agency mandate and capability.
implementation. UN-Habitat has spent 80 per
The Government of Cape Verde is complaining cent of the allocated funds what represents
on the large number of small projects included a good delivery. If the agency enlarges its
in the One Programme and is claiming the programme, would be necessary to recruit
need to concentrate in the next United Nations relevant assistance.
Development Assistance Framework cycle on
more substantive aspects which can add value to 1.3 Conclusion and Recommendations
the development process in the country. For UN-
Conclusion 1: With the DaO, the work with the
Habitat, with only one staff in the field, to deal
Government and other UN agencies have been
with more policy and strategic aspects becomes
facilitated with a unique platform for planning,
a great challenge; however it is necessary to
coordination and implementation what facilitates
respond to the country demand.
UN-Habitat works at all levels gaining better
Funding: In total, UN-Habitat requested USD recognition of its mandate and helping the
1.1 million to implement its DaO component expansion of its portfolio.
and from 2009 to 2011 received a total of
Recommendation 1: This good performance
USD 500,000 what can be considered a good
needs to be maintained and reinforced, for what
proportion considering its late integration and
is required to keep pumping from Headquarters
the lack of pre-DaO presence in the country.
new and updated know-how on relevant human
Necessary to mention that with the international
settlement’s topics strengthening the field staff
crisis, donors declined some funds for the DaO
and enabling them to respond in a better way to
programme what increased competition among
the increasing demand.
agencies for the available funds.
Conclusion 2: In the next United Nations
Cape Verde presents a good example where core
Development Assistance Framework cycle, the
funds (from PSUP programme) in relative small
Government will push for a change requesting
amount (USD 88,500) habilitated UN-Habitat
UN agencies to concentrate more on substantive
to implement activities under DaO and leverage
activities adding value to the development in the
funds in the amount of USD 500,000. This
country.
modality of ‘seed’ or ‘in-kind contribution’ funds
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 53
Recommendation2: UN-Habitat from its exercise that can provide seed funds for UN-
Headquarters should implement an intense Habitat activities in DaO countries allowing the
capacity building of its field staff on normative leverage of larger amounts of DaO funds. In Cape
aspects. This field enhancement should also be Verde is under preparation a fundraising exercise
followed by a continuous technical support from for the new programme on Urban Development
Headquarters assisting to key United Nations and Cities Empowerment that should be
Country Team and Government meetings. UN supported by Headquarters.
agencies and Government needs to see that behind
the local staff exists a full agency supporting with
relevant normative and operational experiences. 2. Delivering as One in
Mozambique
Conclusion 3: During the DaO period in Cape
2.1 Background
Verde and other pilot countries, a vast amount
of field experiences has been accumulated and it The Republic of Mozambique has an area
has not been shared among field offices. of 799,000 km² and a population of 21.8
million inhabitants with a population growth
Recommendation 3: UN-Habitat Headquarters rate of 1.9 per cent. Mozambicans have a life
should systematise DaO experience through the expectancy at birth of 51.7 years and a literacy
HSOs in the different Regional Offices capitalising rate of 38.7 per cent, and is considered one
information from DaO countries. That information of the sub-Saharan African countries with the
should be made available to staff in different strongest economy presenting an economic
divisions in Headquarters and also among pilot growth averaging 8 per cent in the last ten
DaO countries, self started DaO countries and years; however, it remains among the poorest
others. Such exchange of information could countries in the world with 65 per cent of the
help on learning from each other and be better population living in rural areas and mostly
prepared for DaO planning and implementation. depending on subsistence agriculture.
The DaO modality will definitely be expanded
due to increased interest from Governments. At From an administrative standpoint, Mozambique
Headquarters could also be advisable to have is divided into 11 provinces, of which the capital
a focal point for DaO countries coordinating Maputo is one. Urban areas accommodate 35 per
at Headquarters DaO needs and providing cent of its population. At country level, only 43 per
assistance to respective countries. This practice cent of the population has access to public water
has been adopted by other UN Headquarters and supply and 32 per cent has access to an improved
big agencies at field level have also one staff only sewage disposal system. In total there are 43
dedicated to DaO coordination. municipalities in great need of improving their
institutional capacity. From a housing perspective,
Conclusion 4: DaO funds at country level have Maputo, in 34 years cemented its periphery
not been enough for covering all identified building 200,000 self build new informal houses
projects and activities, and this implied that in cement block and iron sheets substituting the
projects are cut and UN agencies starts arguing old reed wall and thatch roof. The challenge
for a larger portion on the available funds. At now is to formalise the informal settlements and
critical moments, the UN system has favoured provide the necessary infrastructure and services
with DaO funds the UN agencies that contribute in the cities.
with core funding for their DaO activities.
UN-Habitat in Mozambique: UN-Habitat has
Recommendation 4: In order to minimise the cut implemented projects since the eighties; however,
on UN-Habitat allocations for DaO components, only after the year 2000 consolidated an office
it would be important to strategise the use of and had a continuous and sustainable increase
available core funding from Headquarters and of portfolio with projects reaching now USD 7.3
would also be necessary to initiate a fundraising million and a team of ten staff. The total number
54 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
of Delivering as One (DaO) financed projects are seven with value of USD 3,148,262. The following
three, with value of USD 4,126,500 and the total table presents the projects, its objective and main
number of core funds DaO financed projects are partners:
2.2 Delivering as One in Mozambique identified priorities and on innovative and feasible
solutions in order to be considered as a priority in
Planning: The DaO in Mozambique has been
the DaO plan.
operational since 2007 and its first cycle is finalising
in 2011. On its planning and implementation Behind the Country Programme Manager there
collaborates with 24 UN agencies (nine resident, is a full agency with normative and operational
seven non-resident with office and staff in- divisions, however the required support with
country and eight covered from abroad). This first updated normative and strategic information
cycle is divided in 13 joint programmes and UN- does not reach the field or what reaches is
Habitat is collaborating in three of them, being: not necessarily applicable. UN-Habitat from
environment mainstreaming; decentralisation; Headquarters and ROAAS should provide the
and disaster risk reduction. Country Programme Manager with updated
knowhow on permanent basis, and in key
UN-Habitat in Mozambique has limitation of staff
meetings should assist with expert’s presence in
and limitation of resources, and compared to UN
order to cover the demanding planning tasks.
resident agencies, its active participation in all
Only with a joint Headquarters/ROAAS-field
technical and managerial meetings is demanding
intervention, the agency will properly advocate
on human resources and stressful when advocating
in front of other UN agencies and ministries for
for UN-Habitat mandate or negotiating relevant
including the agency mandate in a continuous
funds for programme implementation. The
and more prominent way in the DaO plan.
numbers of planning meetings to be attended on
the UN side are many (United Nations Country The voice of the Country Programme Manager
Team, where decisions are taken; programme in planning, coordination and decision taking
management team, where programmatic meetings, although is equally considered, has
actions are developed; focal groups, where less power than the voices of resident agencies.
different agencies coordinates their activities; Many decisions, especially on priorities and on
retreats, where all agencies coordinate, identifies distribution of funds, are taken off meetings
priorities and decide on inter-sectoral aspects; in the absence of small agencies. DaO has
and others) this, is in addition to the meetings allowed UN-Habitat to be closer to the Resident
with Government. If the agency is not present Coordinator office, but it is not a guarantee of
in the meeting does not have the possibility for being fully considered. It is also a constraint that
submitting and advocating for the proposal, in the steering committee, where final planning
consequently will be left out when the decision is and financial decisions are taken, Non-resident
taken and will remain without the possibility for Agencies (NRAs) are not part of it, reducing
requesting funds. the possibilities of advocacy. What some NRA’s
Headquarters are doing, although could be
The strength of UN-Habitat in DaO is on its specific
questionable, is to lobby from Headquarters in
mandate, which is not available in other UN
order to obtain a more prominent position in
agencies; however, considering that the planning
terms of activities and funding.
exercise falls under the Country Programme
Manager and being the only permanent Building and maintaining good relations with
representative of the agency in-country makes it other UN agencies is fundamental, especially with
difficult if not impossible to qualify in all areas of the Resident coordinator office and other big
the agency mandate. The planning exercise is very resident agencies. Relations in Mozambique have
demanding on policy aspects and on technical been strengthened with technical departments
knowhow and the Country Programme Manager of FAO, UNICEF, WFP, UNIDO and UNDP what
in the UN country team (United Nations Country facilitates the Country Programme Manager
Team) and in meetings with Government needs work.
to convince UN agencies and ministries on the
56 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
The joint programming in DaO, in general, has as on the country-led DaO evaluation done in
benefited UN-Habitat providing higher visibility 2010. The new United Nations Development
among UN agencies and enlarging its presence Assistance Framework is organized around three
among national partners strengthening its focus areas: (i) The economic: aiming to diminish
previous achievements. However, it has been the economic disparities, improving productive
difficult to open new areas of intervention within capacities, and reducing vulnerability to natural
the agency mandate. disasters; (ii) The social: aiming reducing inequality
of access to services for vulnerable groups; and
Although the planning exercise is done with
(iii) The governance: deepening democracy and
close participation of the Government, this does
improving governance at the local level.
not mean that all Government departments are
aware of the DaO modality in country, therefore Among the three focus areas, there are eight
there are still departments that approach the UN- outcomes being: (i) Vulnerable groups (with a
Habitat office requesting funds and assistance particular focus on women) demand and ensure
disregarding the DaO approach. During the production and productivity in the primary sector
field mission for the DaO evaluation several in order to increase food security; (ii) Vulnerable
national partners were visited to understand groups access new opportunities for improved
their perception on the DaO and the contribution income and livelihoods; (iii) Sustainable and
received from UN-Habitat. What was found effective management of natural resources
in most of them was limited understanding on and disaster risk reduction benefit all people in
the DaO modality and in most of the cases they Mozambique, particularly the most vulnerable;
requested bilateral assistance as in the ‘old’ times: (iv) equitable provision of quality and essential
the Ministry of State Administration requested social services ensure improved wellbeing for all
technical assistance to build the capacity of their vulnerable groups; (v) Vulnerable groups demand,
ten new municipalities and prepare strategic access and use quality and equitably delivered
plans; the Ministry of Public Works and Housing, social services; (vi) Strengthened democratic
through the Fund for Housing Promotion, governance systems and processes guarantee
requested assistance for setting up the housing equity, rule of law and respect of human rights at
fund strategy; the National Institute for Disaster all levels; (vii) People in Mozambique participate
Management requested assistance in drafting the in shaping and monitoring a transparent and
resettlement strategy; the municipality of Matola equitable national development agenda; and (viii)
also wanted assistance and so forth… what clearly Government and civil society provide coordinated,
indicates that ‘One’ national plan for the UN equitable and integrated services at decentralized
assistance was not interiorised in the Government level.
sphere and it is only known by those that are
For implementing United Nations Development
directly involved in project implementation or
Assistance Framework 2012-2015, it is required
are part of the higher levels at the counterpart
a total budget of USD 735 million out of which
ministry for DaO (Ministry of Foreign Affairs).
20 per cent is expected to be covered from DaO
The new DaO cycle: The United Nations funds, 25 per cent from regular resources (from UN
Development Assistance Framework (United agencies) and the difference from other bilateral
Nations Development Assistance Framework) for arrangements. Within the eight outcomes, UN-
the period 2012-2015 was recently approved and Habitat’s mandate could be easily included and
is the result of a highly participatory planning planned its participation in outcomes 3, 4, 5 and
process with a continuous partnership between 7 expecting a total of ten million dollars from
the Government of Mozambique and the UN. DaO funds.
The United Nations Development Assistance
The Government focus in this new DaO cycle is in
Framework was based on the Action Plan for
obtaining better programmatic coordination and
Poverty Reduction (PARP) for 2011-2014 as well
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 57
more effective implementation. For Government, contribute with some funds. When this happens,
the value of the DaO programme, compared to a series of meetings are organised (UNCT to
what they obtain from other sources of support, coordinate, PMT to prepare the plan for the
is the neutral position of the UN, the value of the new available funds, lead agencies to work the
technical expertise of agencies and the global specifics for each joint programme, then back to
advice. the PMT for consolidation of the submissions and
back to the United Nations Country Team and
Funding: The funds for the present UN programme
Government for taking the decision). The whole
in Mozambique has approximately 25 per cent
process can take two to three months and it is a
coming from core funds from UN agencies, 65
very stressful and time-consuming process, which
per cent from agencies’ bilateral arrangements
has to be repeated again when more funds are
and around ten per cent is coming from the DaO
allocated making the management of the agency
trust fund, which is approximately USD 70 million
budget very difficult. Necessary to mention,
distributed in the 13 joint programmes. The trust
that in order to have access to new funds, the
fund has covered almost all joint programmes and
agency have to prove delivery according to what
UN-Habitat received up to now USD 2,750,000
was planned for previous allocations. This is
from DaO, what represents 3.9 per cent from the
challenge by the slow pace that takes approvals
total planned for DaO.
for recruitment and procurements.
UN-Habitat was able to leverage a reasonable
Implementation: Depending on the way the
proportion of funds from DaO due to: (i)
joint programme was designed and the lead
the good performance obtained in-country
agency coordination, there is less or more joint
on previously implemented projects; (ii) the
implementation. In two joint programmes
considerable number of project staff already
where UN-Habitat is participating (disaster risk
recruited (ten staff); and (iii) because was able to
reduction and environmental mainstreaming)
contribute with non-DaO funds to the DaO joint
synergies are high and joint implementation with
programmes. This UN-Habitat contribution was
different agencies contributing in their areas of
possible including in the DaO plan bilateral and
specialisation is undergoing according to what
Headquarters funds allocated to other related
was planned. This is not always the pattern
projects under implementation (financed by EC,
and needs to be recognised, as in many joint
ECHO, Spain and others).
programmes there is joint planning, but individual
Obtaining DaO funds is very competitive, having implementation.
on one side small NRAs that want to initiate or
UN-Habitat implementation in terms of
increase their presence in country and on the
disbursements is on track with approximately
other, the big resident agencies who have large
80 per cent of the DaO funds committed,
number of technical staff and consolidated
however on real field works, the environmental
programmes and do not want to lose their
mainstreaming project in Chicualacuala is delay,
predominance. Within this scenario, large portion
estimating the need for an additional year to
of the DaO funds are generally pre-distributed
finalise implementation. This delay may affect
before arriving to the fund distribution meeting.
UNIDO and FAO with whom UN-Habitat has joint
Although it is early to say, at country level it was
implementation in some activities.
indicated that donors will probable diminish their
contributions to the DaO trust fund during next The most important bottle neck on
years, what will increase the competition among implementation refers to delays on recruitments
UN agencies. and procurements. Field office follows the
procedures as established by UN-Habitat/UNON,
Another problem with the DaO trust fund is
then all the documentation goes for approval to
that generally the disbursements are erratic
Headquarters, where it is revised by the Senior
and depend very much on donors deciding to
58 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
HSO, then it goes to the PMO, from there to Conclusion 2: The support provided to DaO in
PSD/UNON for final approval and once the Mozambique is coming from ROAAS with very
approval arrives to UNDP at country level for limited or no support provided by divisions in
issuing the contract or paying the vendor, the Headquarters. At field level there is an increased
full process starts again with UNDP putting on demand on new and renovated knowhow to
hold the authorisation received from UNON advocate for more participation of the agency in
and repeating the whole process of verification new areas of intervention as well as on innovative
through internal UNDP procurement or ways to assist the country needs. Without a
recruitment system, including CAP and other continuous improvement on normative aspects
internal mechanisms. That process is done after it would be difficult to increase the portfolio of
receiving the authorisation from UNON and it is implementation.
obviously very slow (not UNDP priority) remaining
Recommendation 2: UN-Habitat in Headquarters/
pending for weeks and months and applying
RTCD/ROAAS should streamline its structure and
UNDP own system that sometimes challenge
working modality to become a One UN-Habitat,
what is approved by UNON. In addition, UNDP
complementing division’s tasks in a way that could
charges UN-Habitat for repeating the process
reach the field with improved knowhow building
that was already done by UN-Habitat/PSD/
the capacity of field staff on a systematic way.
UNON. The only document that is accepted by
Headquarters, especially global division should
UNDP is the Agreements of Cooperation which
also do field missions to assist DaO planning
is processed without verification or additional
advocating in UN and Government meetings for
approvals in UNDP.
the agency mandate presenting strategic and
innovative approaches that can convince on UN-
2.3 Conclusion and recommendations
Habitat interventions. Headquarters’s presence
Conclusion 1: The load on DaO planning is over also helps in understanding that behind the field
the shoulders of the Country Programme Manager team there is a whole agency support.
and this is a very time demanding task as well as
stressful due to the technical requirements in a Conclusion 3: In the new DaO cycle for the period
variety of topics covered by the agency mandate. 2012-2015, UN-Habitat field staff managed to
include interventions for USD 10 million, what is
Recommendation 1: In the case of Mozambique, 250 per cent more than the DaO funds obtained
where UN-Habitat has been implementing a in the first cycle. Having them included in the
reasonable portfolio of projects delivering over a DaO plan does not mean automatic prioritisation
million USD per year and existing the possibilities and funding.
of increasing that amount, it is recommended
to enlarge the team of permanent staff in the Recommendation 3: Considering the
UN-Habitat Maputo office with two or three potential cutting on DaO funds and the
additional staff in relevant specialisations, this in increasing competition among UN agencies it
addition to the existing project staff. With such is recommended to strengthen the presence of
strengthening of the office, the participation in Headquarters in the field becoming more visible
DaO planning could be improved with stable in UN and Government key meetings at country
and specialised technical staff, similarly to level, as well as strengthening the presence in
what is done by the resident agencies where UNDG in New York and other venues where
different specialists participate in the planning the DaO main decisions are taken in relation
process providing higher technical inputs and to policy, priorities and distribution of DaO
advocating for their mandates in Government funds. Alternative ways of keeping presence
and UN meetings. Enlarging the permanent staff in country and in other forums through letters,
in the office could also improve monitoring and communications, phone calls and others could
assistance to projects during implementation. also be considered.
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 59
Conclusion 4: The HCPD and the planning for regulations. Up to now, Country Programme
DaO were done more or less on parallel; however Managers and S/HSO have tried to mediate with
were produced two different documents and UNDP without results. If accountability on project
two different planning instruments for the same implementation is with UN-Habitat, then only the
country and same Government counterpart, both UN-Habitat /UNON procedures should prevail.
demanding time and effort that falls on the same Recommendation: UN-Habitat Headquarters,
staff: the Country Programme Manager. through PSD/UNON should clarify with UNDP how
recruitments and procurements will be processed
Recommendation 4: Considering the efforts
for projects implemented by UN-Habitat eliminating
required by the DaO planning and the need to
the duplication on the steps to be followed.
have only one UN-Habitat planning instrument
per country, in future it is recommended to merge
the HCPD with the UN-Habitat component on 3 Delivering as One in Pakistan
DaO, and make them coincide on the period
that will cover. Doing so, will avoid duplication 3.1 One UN : Overall orientation and
of planning instruments, the DaO and the HCPD relevance to UN-Habitat thematic
cycle will be the same and the coordination focus areas
with Government counterparts will be over one The One UN Plan for Pakistan is based on the
instrument which is already institutionalised at experiences with the country’s United Nations
country level. Rationalisation of documents could Development Assistance Framework which
also apply to reporting, monitoring and others was extended to 2010, in order to align it with
that in many cases duplicates in content, but Pakistan’s National Development Plan, in terms of
covers different periods or use different formats. timing and matching national priorities with the
Conclusion 5: It is clear that contributing with capacities of the UN system. In line with the overall
core funding for DaO implementation helps in objectives of DaO under the UN reform, the One
leveraging larger amounts of DaO funds and UN Plan is expected to be result-oriented, and is
it is also clear that potential core funds from contained in one document, with one work plan
Headquarters are totally unknown in the field, and budget, for implementation through joint
thus it is impossible to plan in advance, although programming. For the preparation of the One
every year a certain number of projects are UN Plan, five thematic working groups of the UN
implemented with core funding. Country Team formulated the following five joint
programmes:
Recommendation 5: Regarding core funding, • Agriculture, Rural Development and Poverty
would be ideally if a forecast could be done for Reduction,
DaO countries in order to facilitate planning
• Disaster Risk Management
and negotiation at field level. It would also be
good if core funding allocated to projects could • Education
reach the country aligned with the DaO plan and • Environment
coordinated from Headquarters with the DaO • Health and Population
mechanisms of implementation.
Based on its mandate, experience and capacity
Conclusion 6: Although agreements with UNDP to deliver, UN-Habitat participated actively in
stipulates that for project implementation UN- the formulation of four joint programmes, in
Habitat will use its own rules and regulations which UN-Habitat actively participates, under the
for recruitment and procurement, at field umbrella of the United Nations Country Team:
level UNDP does not recognize PSD/UNON • Environment
authorizations and put those authorisations on
The following outcomes address human
hold until UNDP repeats the recruitment and
settlement related issues:
procurement process using UNDP rules and
60 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
3.2 UN-Habitat country team In a way, the UN-Habitat post disaster recovery
participating in the DaO process and reconstruction programmes subsidize the
The presence of UN-Habitat in Pakistan is participation of the agency’s Country Programme
assured through a national team under the Manager Office in the United Nations Country
overall coordination of an international Country Team, which is not sustainable if strengthening
Programme Manager (Country Programme the agency’s capacity to participate in coordinated
Manager). The national team includes one person policy support and joint programming along the
whose working time is fully absorbed by the DaO One UN Plan is the goal.
process at the level of United Nations Country In the present situation of donor funds in
Team which requires participation in a good Pakistan being overwhelmingly directed towards
number of meetings on policy, joint programme humanitarian and peace-building activities
and administrative matters of harmonized of the UN system, the future of One UN Plan
management and accounting practices. The development activities through pooled and non-
mandate, competence and comparative earmarked donor contributions remains seriously
advantage of UN-Habitat is well recognized, underfunded. That scenario has impacts on UN-
largely due to its track record with post disaster Habitat’s participation in the One UN Plan which
recovery and reconstruction programmes. is also in future likely to remain limited in terms of
On the side of the Government of Pakistan, cost-effectiveness.
UN-Habitat cooperates closely with the line The UN-Habitat Country Programme Manager
Ministries of Construction and housing and the participated in the United Nations Country Team
Ministry of Environment, as well as with the retreat in December 2010 on the DaO starting
Earthquake Reconstruction and Rehabilitation in 2011, at which occasion a list of priorities in
Authority (ERRA) of the Prime Minister’s Office, the One UN Plan and its five joint programmes
later transformed into the National Disaster was identified, and the need to enhance impact
Management Agency. of the UN programme in Pakistan. Faced with
natural disasters and an unstable security
3.3 Prospects of funding UN-Habitat situation, a key theme for the One UN Plan is the
country activities through the One need to strike a balance between humanitarian
UN Fund and development assistance, rightsizing the
UN-Habitat’s participation in the Pakistan DaO humanitarian appeal, and ensuring partners’
process is constrained by limited core funding ownership and sustainability of UN interventions.
and staff resources, as well as by a fragile security For UN-Habitat to play a recognized and effective
environment as a result of political instability. role in the new One UN Plan, it needs to focus
The operational interventions are built around its participation in the DaO on (a) More advocacy
projects which bring in funds from donor and policy support and less on single project
countries in response to disasters, rather than service delivery, (b) Capacity development of civil
resulting from consistent efforts on the basis of society, (c) Intervention through policy advice
UN-Habitat’s mandate to strengthen the agency’s at the regional and local levels, and (d) Disaster
competitiveness and profile at the level of United preparedness and humanitarian response.
Nations Country Team. Being a project office, UN-
Habitat in Pakistan is faced with institutional and
resource limitations in committing itself to long-
term support and policy advice to Government
and other partners in civil society. Its interventions
rely on adhoc and time-bound project delivery
initiatives when addressing key themes of
urbanization or climate change.
62 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
In addition to these funds mobilised under DaO, Operational Document is divided in five sectors
UN-Habitat sourced from UNDP the amount of being: (1) Governance; (2) Health, population,
USD 820,000 to support environment project HIV and nutrition; (3) Education; (4) Environment,
activities enclosed in the AQUPO project. This and (5) Sustainable growth and social protection;
brings to a total of USD 2,247,287 mobilised in with gender as a cross-cutting aspect in all five
four years by the Country Programme Manager. sectors. The Common Operational Document
presents key activities by outcome and by agency
Planning: With the collaboration of 20 UN
and for its implementation it is required a total of
agencies (nine resident and 11 non-resident
USD 487.6 million. UN-Habitat activities listed in
agencies) it was prepared the ‘One UN
the above table were selected from the Common
Programme in Rwanda: Common Operational
Operational Document.
Document 2008-2012’ which is a programmatic
document specifying how the UN in Rwanda will For UN-Habitat, the load of the planning exercise
operationalise the United Nations Development falls on the Country Programme Manager who
Assistance Framework 2008-2012 (United has to participate in multiple meetings (UNCT,
Nations Development Assistance Framework). subject groups, programme planning advisory
The United Nations Development Assistance groups, sectoral and other planning meetings and
Framework is a response to the national needs and retreats) where it is discussed and coordinated the
priorities outlined in the ‘Rwandan Government’s preparation of the One UN programme. These
Economic Development and Poverty Reduction meetings are time consuming, some of them more
Strategy’ and the ‘Vision 2020’. The Common technical and others are more strategic meetings
64 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
where are discussed the details of the programme from donors to the One UN fund for Rwanda. In
and its funding. For agencies with one person, as Rwanda, resource mobilisation with in-country
it is the case of UN-Habitat in Rwanda, it is very donors falls only under the Resident Coordinator
challenging and in many cases impossible to meet and UN-Habitat is not allowed to participate or
the requirements because meetings run in parallel contact any potential donor for bilateral funding
or because specific policy or technical knowledge or for negotiating specific funds for a UN-Habitat
is required to advocate on the importance of a component in the One UN programme. Therefore
certain topic that falls under the agency mandate. the only way to obtain funds from DaO is preparing
The possibility of integrating the national project consolidated action plan that captures project
coordinators on some meetings could be studied. proposals for activities already agreed and submit
those proposals for approval by the Resident
Advocacy on policy and strategic aspects to
Coordinator. The approval is subject to: priorities
convince Government and other UN agencies
decided on the DaO programme; availability of
on the importance of the UN-Habitat mandate
vertical or core funds from the agency; if previous
and the relevance for the country plays a key role
allocations were properly utilised; and availability
and if not well articulated it is simply ignored. On
in the DaO fund.
this key strategic planning exercise the Country
Programme Manager has been left alone. Up to now in Rwanda, approximately one third
of the expected DaO funds have been obtained
For the next planning cycle it seems that the One UN
with reluctance from some donors to provide or
programme will concentrate on less sectors (from
increase their contribution. This funding situation
five will probable reduce to three) and the intention
increases the competition among agencies for
is to concentrate more on policy and strategic
available funds. Resident agencies with larger
aspects, reducing or eliminating direct interventions.
amounts of vertical funds and stronger presence
Although this is not decided, if implemented, it will
seems to have more chance of getting funds
imply that UN-Habitat will have to radically adapt its
than NRAs without a strong presence and limited
assistance to the new line of intervention, bringing
vertical funds. It is becoming clearer, although it
to the country otherwise unavailable technical
is not a rule, that agencies without contributions
expertise and assisting Government with fewer
with vertical funds will not have access to the
projects and quality know-how. More specifically,
DaO fund.
for UN-Habitat may imply reducing its areas of
intervention and choosing one or two key topics UN-Habitat Headquarters approached the
where the agency can provide technical assistance Government of Rwanda promising vertical funds
adding real value to the programme. for project implementation on water and youth.
In the water case (WAC-II) a Memorandum
In strategic planning meetings with Government,
of Understanding (MoU) was signed for USD
one agency (generally UNESCO) represents all
1,120,000 and Headquarters only provided USD
Non Resident Agencies (NRA) what adds another
180,000 in a cooperation agreement before
layer of difficulty to the planning exercise limiting
announcing that no more funds were available.
the advocacy on UN-Habitat mandate that can be
On Youth, it was promised USD 200,000 from
done by the staff in country.
vertical funds, which were not materialised. The
In Rwanda, the Government manifested that DaO reasons why these two cases occurred were not
is the modality how they want to deal with the studied, however it can be concluded that some
UN and they don’t want to go back to agency funds in reasonable amounts were promised
implementation. from Headquarters and could have been used
to leverage larger DaO funds, and that did not
Funding: Funds for DaO are originated from two occur. Secondly, having promised funds to the
sources: (a) Contributions from the UN Agencies, Government and not materialising it, eroded the
called ‘vertical funds’; and (b) Contributions trust on the agency and affected the efforts done
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 65
by field staff with the Government and inside the other interventions at policy and strategy levels
One UN. could have had a greater impact.
DaO funds. Once funds are committed with period stands at USD 777 million, out of which
governmental authorities, they should not be USD 216 (28 per cent) is to be financed by donors
retrieved. through the One UN Fund, leaving the balance to
be funded through agency core funds and non-
Conclusion 4: Projects are implemented at a slow
core fund mechanisms (earmarked donor funds,
pace and it is affecting agency reputation with
global UN programmes, etc).
beneficiaries and partners. Delays of six months
are common inside of UNDP. Cluster 1: Economic Growth and Poverty
Reduction (One UN Fund USD 180 million, i.e. 23
Recommendation: To avoid the delays on
per cent); with programme areas for joint agency
recruitment and procurement, PSD/UNON
programmes on
should take action as soon as possible for an
6. Economic growth (9 per cent of total One UN
understanding with UNDP on the recruitment
Fund),
and procurement process to be followed and
the timing to be taken. From the operational 7. Environment (14 per cent);
side, alternatives should be studied to speed
Cluster 2: Quality of Life and Social Well-Being
implementation, and from the management side,
(One UN Fund USD 323 million, i.e. 42 per
Headquarters should take action decentralising
cent) with programme areas for joint agency
decisions closer to the action.
programmes on
Conclusion 5: The One UN trend in the UN 8. Education (13 per cent),
system, which was initiated in pilot and non- 9. Health (17 per cent),
pilot DaO countries, has not reached UN-Habitat
10. HIV/AIDS (5 per cent)
Headquarters thus, planning, funding and
11. WASH (3 per cent)
implementation of field activities continues to be
segmented by divisions or by project. 12. Social protection (4 per cent)
or ‘preferred’ agencies. Such a trend looks of Lands, Housing and H.S. Development, with
somewhat contradictory to the concept of multi- a request to submit competent requests on
year pooled funding for the UN reform process, assistance for urban issues to the United Nations
and has the risk of creating funding imbalances Country Team and donors when the UNDAP is
in favour of ‘preferred’ agencies and away from reviewed next year.
Government ownership concepts. In the view
Consequently, UN-Habitat’s competence and
of the UNRC office, the success of the One UN
comparative advantage on urbanization issues
Plan as a unified programme of the UN system
like sustainable urbanization, slum upgrading,
of agencies will depend considerably on the
or land management is not properly recognized
availability of multi-year non-earmarked funding
in the current UNDAP. The past positive project
of the UNDAP as a whole.
results with Sustainable Dar es Salaam and slum
UN-Habitat participates in the WASH (Water, upgrading have apparently not influenced the
Sanitation and Health) programme area under Gov. of Tanzania adequately enough to introduce
Cluster no. 2: Quality of Life and Social Well- these issues into the consultations with the
Being, jointly with UNICEF, UNFPA and WHO. United Nations Country Team and UNRC on
WASH is likely to get an allocation of approx. 3 priorities for assistance from the UN agencies.
per cent of the total One UN Fund for Tanzania, Considerable efforts are needed both at the level
the smallest of the 10 programme areas under of Headquarters and the Country Programme
UNDAP. The Country Programme Manager has Manager to convince the United Nations Country
been requested to specify the inputs of UN- Team and the Gov. of Tanzania of the urbanization
Habitat (actions) to WASH, which will focus competencies and comparative advantages of
on Zanzibar (assistance to the Zanzibar Water UN-Habitat in that field.
and Sanitation Authority (ZAWA), and to the
In this context, note should be taken of the very
Dar es Salaam Water and Sanitation Authority.
inadequate support from Headquarters and the
The total budget will be approximately USD 3
RTCD Africa office to the Country Programme
millions, out of which about USD 0.9 millions
Manager, in terms of funding, staffing, and
is likely to come from the One UN Fund, the
policy/programming expertise. The Country
rest is expected from agency core funds. Actual
Programme Manager, not being himself an expert
allocation will be made on the basis proposals
on human settlement issues, has no assistance
for joint programmes with the other agencies.
from a competent team, and no resources to
There is a likelihood of earmarked funding for
input to the United Nations Country Team and
the WASH programme area of UNDAP from
its working groups on action plans for joint
Switzerland and Netherlands.
programme formulation. The multiple functions
The UNDAP 2011-2015 has neither programme of the Country Programme Manager get further
area, nor specific activities on urbanization, and amplified on account of having to attend, as the
non of the other UN-Habitat operated projects only agency representative, an increasing number
in Tanzania figure in the UNDAP 2011-2015. of DaO related meetings in which inter-agency
According to the Country Programme Manager consultations and decisions on joint programme
and the UNRC Office, the main reason for this identification and formulation take place. There is
‘omission’ results from a lack of priorities on an urgent need for Headquarters/RTCD to review
urban issues by the Government of Tanzania this very unsatisfactory situation. UN-Habitat
when requests to the UN system were made. risks to be marginalized further in the UN reform
However, the Government development plans process in Tanzania.
(MUKUTA and MUKUZA) include urbanization
As agency-specific inputs to the WASH programme
among the development priorities of the country.
area UN-Habitat is identifying a list of key actions
This glaring missed opportunity has been brought
under its responsibility for joint programming
to the attention of the line Ministry, the Ministry
68 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
2011-2016 (OP3), currently under preparation The OP2 has been extended through 2011,
as a tripartite programming exercise between with an allocation of USD 0.4 million planned
the Government, the Like Minded Donor Group for UN-Habitat, awaiting approval by OPFMAC.
(LMDG) and participating UN agencies, under While most agencies contribute own resources
the overall coordination of the UN Resident (core resources) to the DaO process, in the case
Coordinator, will be more of a strategic framework of UN-Habitat, this modest amount ensures the
for joint result-based programming of agencies, implementation of three projects, and is the only
including of UN-Habitat. source of funds for all the other functions of the
Country Programme Manager and the team,
It is to be expected that, in pursuit of this
including participation in the DaO programming
objective of joint programming by the agencies,
and implantation process. There are no other
the various Programme Review Committees set
financial resources from UN-Habitat, neither in
up among the agencies for that purpose will
support of participating in the DaO process, nor
benefit from the analysis of Vietnam’s 2010-2015
for studies on upcoming issues, or advocacy and
Socio-Economic Development Plan, undertaken
public awareness.
by a joint team of GoV, UN consultant and the
LMDG, entitled ‘Joint Country Analysis’ (dated Apart from the above DaO projects, UN-Habitat
July 2010) which includes full chapters on Climate activities in Vietnam are funded by the Water
Change Adaptation and Mitigation, and on for Asian Cities and Mekong Sanitation Project
Urban Management. As the current OP2 has only (MekSan), implemented by a national project
broad references to urban issues under ‘expected manager, and coordinated by a regional project
results’, and almost none at all to issues of climate office in Laos, separate from the institutional
change, neither on affecting national nor coastal arrangement for DaO in Vietnam, and outside
or urban development, it remains to be seen, if the scope of responsibilities of the Country
the OP3 will contain policy and strategic links to Programme Manager in Vietnam and of ROAP. If
these recognized national priorities. such separate arrangement is allowed to continue,
UN-Habitat’s visibility and its contribution to DaO
6.2 UN-Habitat country team (Country under the established United Nations Country
Programme Manager) participating Team scope of activities is likely to be negatively
in the DaO process affected. There is urgent need to review this
separate arrangement, with the objective of
Participation in the One UN Plan in Vietnam
bringing all UN-Habitat activities in Vietnam under
is under the responsibility of the UN-Habitat
a unified institutional set up coordinated by the
country team, which is composed of one Country
Country Programme Manager, and following the
Programme Manager and 7 other nationals (4
objectives of DaO and the One UN Plan. If the
professionals and 3 clerical staff).
system of UN agencies is expected to review their
While the Country Programme Manager is funded management practices arrangment, the question
from RTCD resources, the other team members that should be raised, is why UN-Habitat as a
are funded through UNDP administered service single agency does not deliver as one.
contracts, under funds allocated to UN-Habitat
The limited resources available to the Country
from the One UN budget. The One UN Fund
Programme Manager team pose considerable
allocation is for the purpose of implementing
stress and constraints to the Team’s ability to
three projects:
perform its multitude of functions as a small
a. Quang Nam Provincial Development Strategy;
agency:
b. Urban Observatory (urban indicators) project;
a. Ensure the recognition of UN-Habitat’s
and
competence, competitiveness and
c. Pro-poor housing project totalling USD 0.950 comparative advantage at the level of United
million. Nations Country Team deliberations, incl.
70 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
participation in numerous meetings required under the Ministry of Construction. DaO has
for OP preparation and coordination; also helped to engage the expertise of other UN
b. Establish partnerships with UN agencies for agencies in national policy advocacy (e.g., UNFPA
joint programming under DaO; involvement in housing policy advocacy, UNDP in
climate resilient urban development policy) and
c. Establish partnerships with Government
local strategic planning (e.g. the Quang Nam
institutions (mainly Ministry of Construction
Provincial Development Strategy with involvement
and local authorities), as well as with civil
of UNESCO, ILO, FAO).
society;
d. Set up and coordinate the implementation of Visibility improvement was also achieved after
TC projects in the country; 2007, when the country programme manager
e. Carry out advocacy work and public relations, was officially appointed so that UN-Habitat could
incl. World Habitat Day at country level; participate actively in the United Nations Country
Team. With funding provided under the One UN
f. Provide logistic and substantive support to
Plan, UN-Habitat was able to undertake specific
UN-Habitat global programmes in the country,
projects to demonstrate its competence and
which are not funded through OPF; and
value added to its Government counterparts,
g. Carry out administrative (incl. financial) and
donors and other UN agencies. Government
substantive reporting to United Nations
recognizes UN-Habitat as its main international
Country Team, UNDP, ROAP, RTCD and donors,
partner on issues of sustainable urbanization.
as required under established arrangements;
With its comparative advantage in terms of
In order to address this multitude of functions, specialized expertise, UN-Habitat has been taking
the Country Programme Manager estimates that the lead among UN agencies on DaO initiatives
25 per cent of working time is allocated to DaO with sustainable urban development, and makes
meetings and discussions, 50 per cent to technical competent contributions to UNCT discussions on
advisory and programme management, and 25 climate change. There is room for a more pro-
per cent to national delivery and UN-Habitat active intervention by UN-Habitat on climate
representation. change affecting coastal development, urban
governance, pro-poor housing policies, and basic
The country programme manager team is infrastructure improvements.
presently preparing UN-Habitat’s participation
in the next OP for the period 2012-2016 (OP3), In the next One UN Plan (2012-2016), UN-Habitat
following an elaborate set of allocation guidelines shall focus its intervention more on capacity
and criteria, set up and coordinated by OPFMAC. building, policy support, general advocacy,
Apart from direct relevance to the country’s and research on topical issues emanating from
priorities under the 2012-2016 Socio-Economic the United Nations Country Team. Guided by
Development Plan, these criteria include UN- the tripartite partnersip agreements between
Habitat’s track record on cost effectiveness, the Government, UN and donors, future
competence and competitive use of resources by interventions of the UN system shall be more
the agency’ overall programmes outside Vietnam. relevant to Government priorities, and sustainable
urbanization is very relevant.
6.3 UN-Habitat’s visibility
6.4 Funding Prospects
With the implementation of projects funded under
the One UN Fund, the visibility and perception of The prospects of funding future UN-Habitat
the agency’s mandate has remarkably increased, projects through the OPF look not very
also as result of the cooperation agreements promising. This is not a reflection of UN-Habitat’s
on projects with national partners like the competence and relevance to the Socio-Economic
Association of Cities of Vietnam, and agencies Development Plan, but the result of a likely
Review of UN-Habitat’s Participation in the Delivering as One UN Initiative 71
reduction of the OPF for the next plan period. The (b) institutional development, and (c) capacity
change of Vietnam’s status from a developing to building and human resources. The present
a middle income country will change the external support provided by the UN-Habitat projects
development structure, less for ODA, with a shift under DaO is highly appreciated; a formal request
to (concessional) loans and Government cost- for further assistance will be made to UN-Habitat
sharing. Agency representatives, as well as donors soon, incl. a request for further consultations on
expect a significant drop in OPF funds available future cooperation.
for the next One UN Plan. Larger agencies, like
The Association of Cities in Vietnam is the
UNDP, UNICEF or UNFPA are already preparing for
national institutional umbrella under which
a shift in the funding structure. That scenario will
the collection of 97 indicators for 96 cities and
affect UN-Habitat future operations in Vietnam
towns is presently underway. The results shall be
considerably. With the absence of own (core)
presented to the Government, the United Nations
resources, the priorities and funding modalities
Country Team and selected donors in July, which
through Government cost sharing, or direct
has a good potential of raising awareness on UN-
donor funding for specific project proposals along
Habitat’s competence and thematic relevance in
the agency’s recognized competencies (including
participating in the next One UN Plan.
climate change or disaster (risk) mitigation), will
have to be considered. In terms of future topical issues, matters
concerning the impact of climate change
Several ODA donor countries are likely to move out
on urbanization (particularly for coastal area
of Vietnam, because of its change to a MIC. The
development), disaster preparedness, mitigation
Governments of the United Kingdom, Sweden,
and risk reduction, as well as urban rural linkages
and Denmark have already announced such
are mentioned by United Nations Country
move. The picture of (future) donor contributions
Team members as having the potential for joint
looks very uneven. Some donors (e.g. Norway and
programming under the next One UN Plan.
Finland) channel their ODA exclusively through
the DaO process to the OPF for Vietnam, while
others (e.g., the EU and Japan) continue to fund 6.6 UN-Habitat’s participation in the
UN agencies directly on specific programmes of UN Country Team: benefits and
their interest (earmarked funding). Others again
constraints
(e.g., Belgium) support the DaO process politically, There is overall recognition of UN-Habitat’s specific
but do not provide funds to the OPF directly and mandate relevant to the country’s development
prefer to channel their ODA unearmarked to UN priorities, its competence and comparative
agencies. Apart from this mixed picture as regards advantage within the UN Country Team. The
support to the DaO process and its OPF, donors active participation of the Country Programme
continue bilateral funding of their international Manager and his team in the DaO process is very
development priorities. much appreciated by the Office of the Resident
Coordinator. This positive view is shared by the
6.5 Relevance of UN-Habitat’s thematic representatives of other UN agencies, particularly
focus areas to Vietnam’s national UNDP, UNFPA, FAO or ILO. UN-Habitat’s status as
development priorities and OP3 a Non-resident Agency (NRA) does not appear to
strategies limit its active role and competent participation in
At the level of the Ministry of Construction (line the deliberations of the United Nations Country
Ministry responsible for policies on urbanization Team and its working groups. In the view of
and housing), a wide range of requests for the UNDP country office, UN-Habitat’s focus on
assistance is directed towards UN-Habitat and programme delivery, while authorizing UNDP to
its country team. The Ministry has identified the administer its funds, is a good model to follow for
bottlenecks to be at the level of (a) infrastructure, other UN agencies of similar size.
72 Review of UN-Habitat’s Participation in the Delivering as One UN Initiative
these, the Harmonized Programme and Project As these moves towards one set of management
Management Guidelines, which up to now practices will also significantly affect UN-Habitat’s
have been only applied by the three Executive operations in Vietnam, the existing administrative
Committee Agencies—UNDP, UNICEF and arrangements and procedures of UN-Habitat with
UNFPA—are expected in future to also guide its own PSD and ROAP, as well with UNON may
the other participating agencies. So will the need to be reviewed.
Harmonized Approach to Cash Transfers (HACT)
and the Standard Cost Norms for Vietnam, and
information technology.
United Nations Human Settlements Programme (UN-HABITAT)
P. O. Box 30030, 00100 Nairobi GPO KENYA
Tel: 254-020-7623120 (Central Office)
www.unhabitat.org
HS Number: HS/060/12E
ISBN Number (Series): 978-92-1-132028-2
ISBN Number (Volume): 978-92-1-132475-4