Facilitation Guide as of 19 nov 13

Anti-Corruption Training-ofTrainers (ToT) Course for UN Programming Process

Facilitation Guide for In-Country Workshops UN Development Programme (UNDP), UN Office on Drugs and Crime (UNODC) & UN System Staff College (UNSSC) April 2013

Table of Contents 1.

Purpose of the facilitation guide ............................................................................... 2

2.

How to use this facilitation guide .............................................................................. 2

3.

Workshop objectives and key messages ................................................................. 3

4.

Standard agenda for the Anti-Corruption Workshop ................................................ 5

5.

Workshop preparation ............................................................................................. 6

6.

Session designs ...................................................................................................... 7

Session 0: Welcome and introduction ............................................................................. 8 Session 1: Introduction to Corruption/Anti-corruption .................................................... 11 Session 2: Corruption-Development Nexus .................................................................. 13 Session 3: Anti-corruption in the national development context (country specific session)15 Session 4: Anti-corruption and the national, regional and international normative frameworks ..................................................................................................................................... 17 Session 5: The value of UNCAC ................................................................................... 19 Session 6-7: The UNDAF process: 4 steps and key elements ...................................... 22 Session 7: UNDAF Process - Step 2: Country Analysis ... Error! Bookmark not defined.

Session 8: UNDAF Process - Step 3: Strategic Planning - Linking Analysis with Results28 Session 9: Addressing sensitive issues and discussing challenges to anti-corruption programming ................................................................................................................ 33 Evaluation and close..................................................................................................... 37

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1. Purpose of the facilitation guide This guide is a complete and updated reference to assist the facilitation of in-country workshops to support and guide UNCTs to integrate anti-corruption into the United Nations Development Assistance Framework (UNDAF).

In the MDG summit outcome document titled “Keeping the promise: United to achieve the Millennium Development Goals”, 1 corruption was identified as a serious barrier for human development and for achieving the MDGs by 2015. States stressed that “fighting corruption at both the national and international levels is a priority” and committed to actions in the fight against corruption. Anti-corruption features also prominently in the discussion of the post-2015 agenda.

The objective of the training will be to familiarize UN staff on anti-corruption in different sectors and fields of work, to enable UN staff to discuss with country stakeholders how anti-corruption can strengthen the effectiveness of national development processes, and include anti-corruption programming elements into the UN programming process (e.g. inclusion of anti-corruption in the analytical framework, assessment of entry points for anti-corruption initiatives, mainstreaming anticorruption in UNDAF strategy and monitoring framework).

2. How to use this facilitation guide Part 1 explains the purpose of this guide. Part 2 describes how to use this guide. Part 3 provides the learning objectives for the in-country workshop and the key messages to be delivered, and Part 4 shows the standard in-country workshop agenda. Part 5 describes important workshop preparations, including a learning needs assessment, adapting the agenda to the knowledge levels and expectations of participants, and preparation of the facilitation team.

Part 6 is the core of this guide. It describes the details of each session, including:      1

The purpose of the session; The expected results; An outline of session activities and approximate timing proposed; Instructions for each activity and the materials needed, such as presentations, hand-outs, and materials needed for group work; and Optional activities.

Adopted at the high-level Plenary Meeting of the UN General Assembly, held from 20 to 22 September 2010.

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Available presentations will be referred to throughout this guide. They contain notes with important details and talking points. Presentations and learning materials for each session are available at the UNKampus website.2 Annex A contains a workshop set-up note. Annex B provides a standard workshop evaluation. Annex C shows the standard Learning Needs Assessment, and describes a Follow-up questionnaire that can be sent to participants once they have returned to work. Annex D includes an outline of what should be included in the Facilitation Team report as well as a template.

This guide is a work in progress. We encourage users to improve it. Please send lessons learnt and any suggestions to: development-humanrights@unssc.org.

3. Workshop objectives and key messages Objectives: At the end of the workshop, participants will be able to: 1. Understand the impact of corruption on development and the importance of anti-corruption programming; 2. Explain the relevance of national, regional and international normative frameworks for integrating anticorruption in development programmes; 3. Understand the UNDAF process and to apply the 3-step analysis through an anti-corruption lens to strengthen country-level analytic work and the formulation of results.

2

http://newunkampus.unssc.org/course/category.php?id=14

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Key Messages 

Corruption is a phenomenon that is constantly evolving and continuously influenced by political, economic, social and cultural contexts.



Corruption is a universal phenomenon, and not a cultural phenomenon. It affects both developed and developing countries.



There is no universally accepted definition of corruption.



Corruption undermines development in all its aspects. Incorporating anti-corruption measures in programming leads to more sustainable and equitable developmental results: » Corruption diverts key financial resources aimed at development projects. » Corruption undermines public trust and the rule of law, and serves as a trigger for political instability and conflict. » Corruption negatively affects both the access to and quality of service delivery, particularly for the poorest and most vulnerable. » Corruption reinforces discrimination, social exclusion and social/political grievances. » Corruption obstructs entrepreneurship and innovation, both of which are critical for economic and social development.



The UN can use existing national, regional and international anti-corruption norms and measures to: »

Serve as an entry point for dialogue with national counterparts regarding their implementation, securing both the legal and political commitments of the State.

»

Provide systematic and consistent technical support & recommendations that strengthen the prevention and detection of corruption.



UNCAC is the first global and only all-inclusive legally binding anti-corruption instrument of international application.



UNCAC touches all aspects of anti-corruption and thus can be used as a framework and practical guidance for any anti-corruption initiative, including in the development of a comprehensive national anti-corruption strategy or sector-specific preventive and enforcement measures.



Anti-corruption measures should be integrated into UN programming processes via UNDAF. If corruption risks are not acknowledged in the design of a UN development programme, there is a higher chance that corruption will threaten the implementation and impact of the programme.



An anti-corruption based approach brings depth and credibility to UN work by informing: » The kinds of changes we should be aiming for. » How to measure, monitor, and report the change with stakeholders.

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4. Standard agenda for the Anti-Corruption Workshop This programme may change based on participants’ needs.

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5. Workshop preparation Audience & Timing The Anti-Corruption workshops are for UN staff from different sectors and fields of work to encourage mainstreaming of anti-corruption in all areas of UN programming. It can also be adapted for other audiences, including implementing partners from government and civil society. Participants will benefit from this workshop at any point in the UNDAF process. It is most relevant during Step 1: Road Map and Step 2: Country Analysis.3 For maximum effectiveness, participants should be UN staff serving on thematic groups that will engage in country analysis exercises and UNDAF preparation. The workshop can make a practical contribution to the country analysis step by analysing real country challenges. Most workshops are 2.5 days, depending on the needs of participants and available time. Participants should number no more than 30 to allow for a meaningful and interactive experience.

Learning Needs Assessment A Learning Needs Assessment (LNA) is useful to understand the profile of the participants, gauge their level of knowledge about corruption and anti-corruption, and identify expectations for the workshop. This could be offered using the LNA proposed (Annex C) as an on-line survey distributed approximately 3 weeks before the event.

Adapting the Workshop Agenda The facilitation team may use the LNA results and their understanding of the participants’ backgrounds and country situation to adjust the workshop agenda. This should also be based on preparatory discussions with the UNCT to ensure that the workshop will be tailored and responsive to the needs of the country where it will take place.

Facilitation Team The standard workshop is best delivered by a team of at least 2, and possibly 3, persons: 1 facilitator and 2 resource persons with expertise in the application of anti-corruption elements to the UNDAF process (one of which could also be the lead facilitator, if the team is composed of 2 people). Experienced participants can be involved as resource persons or presenters, helping to ground the workshop with their experiences. This may be identified in the preparatory phase.

Facilitation team members will need at least 2 days to review this facilitation guide, related learning materials, and the Anti-Corruption Resource Guide. A teleconference between the facilitation team members and the workshop hosts (normally the UN Resident Coordinator’s Office, RCO) should take place at least 3 weeks in advance of the workshop. This will help team members to familiarise themselves with the country situation, including the level of UNCT support for the workshop. Time permitting, brief discussions with the RC and Heads of Agencies are useful to understand their expectations and how they intend to position anti-corruption measures in their UNDAF process.

3

See UNDG, UNDAF Guidance Package, http://www.undg.org/?P=232

6

Background Reading Participants should receive the following required background reading at least 5 working days before the workshop. The documents are available at the anti-corruption course page of the UNSSC UNKampus website or via the hyperlinks below:     

United Nations Convention against Corruption. UNCAC Implementation Review Mechanism The Anti-corruption Resource Guide UN Common Country Programming and 2010 UNDAF Guidance Package Frequently Asked Questions: UN Common Country Programming and 2010 UNDAF Guidance Package The Road Map for the country UNDAF process (to be provided by the Resident Coordinator’s Office, if available)

Workshop Set-up Annex A contains a note to assist with workshop set-up and a suggested diagram for the workshop room. An in-country secretariat or support team is useful to assist with the set-up and support for the delivery of the workshop. This should be discussed in advance between the training team and the workshop hosts (normally the UN Resident Coordinator’s Office, RCO).

6. Session designs Resources for each session can be found at the anti-corruption course page of the UNKampus website. Session folders are organized according to the standard workshop agenda. The Facilitation Guide will walk you through all preparatory elements needed to run each session.

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Session 0: Welcome and introduction Time: 70 min Purpose -

To introduce all participants, the facilitation team, and secretariat To review the objectives of the workshop and the schedule To establish ground rules for the conduct of the workshop

Expected Results -

-

Participants and team are introduced Participants understand the objectives and schedule of the workshop A set of ground rules to guide the workshop is agreed upon An understanding of corruption, using plain language, through the participants’ own definition of “corruption”, is reached and leads to the first substantive session.

Session Outline Duration :10 :15 :5 :10 :30

Activity Welcome and key message from Resident Coordinator Introductions and expectations of participants Findings from Learning Needs Assessment (if available) Objectives, Schedule, Ground rules, Rules for writing cards Exercise: A definition of “corruption”

Session Design Duration :10 :15

:5

:10

Activity Welcome and key messages from UN Resident Coordinator (or designated UN official, as appropriate) Introductions and expectations of participants - Ask each participant to say their name, organization, position, and duty station (for in-country workshops) - Ask each participant to say the 1 most important thing they want to get from the workshop.

- Note these on flipchart - Introduce the facilitation team and secretariat Findings from Learning Needs Assessment (if available) - Review the main findings of the LNA - Use a chart to display the self-assessed knowledge levels for different topics, or copy it to a slide - As appropriate, show participants how the team has adjusted the agenda to address the LNA results Review the workshop objectives and schedule - Present the workshop objectives and review the schedule - Emphasise the participatory nature of the workshop Ground Rules: In plenary, ask participants to call-out some ground

Materials

- Computer and PowerPoint projector - Presentation 0 - Flip chart (fc)

- LNA results

- Objectives (on flipchart) - Schedule on brown paper (start/end times 8

Duration

Activity rules for the workshop, write these on flip chart, and post in a visible spot - Typically these include: respect each other’s opinion, one conversation at a time, brief interventions, turn cell phones off/vibrate, good time-keeping, etc.

- Efforts will be made to keep use of acronyms to a minimum - Point out the parking lot and explain its use (it is a space for participants to note issues or concerns raised, but not yet addressed)

Materials only) - Ground rules on flip chart

Writing cards: Introduce the cards, tell participants they will be used as a way to quickly gather and share information, and review the rules for writing cards. Show example cards on a flip chart: one idea per card, use key words, no more than 3 lines of text, ALL CAPITALS HARD TO READ, spelln and gramer not important, stick to colour scheme :30 Exercise: Define “Corruption” - Flip charts (FC) - Divide participants into groups of about 5 - Give them 10 minutes to discuss and create a one-sentence definition of corruption (to be written on flip-chart provided for each group) - Spokesperson for each group reports back and reads out definition and explains why they came up with that definition.

- Ask participants what were the difficulties in coming up with a definition? What was considered in creating the definition?

- Focus on the issues that were not brought up by participants when considering the definition (E.g. different forms of corruption; International Law; Public/Private, certain sectors, etc.)

- The exercise will lead directly to the first session which provides an introduction to the term corruption. Conclude with the message that corruption affects all areas of development and particularly the most vulnerable population (women, indigenous people, children, elderly, youth, etc.) and needs to be addressed in every programmatic area in the UN system; that many anti-corruption measures are found in national, regional and international law; that the UN is ideally placed to advocate for their use; and that this workshop will help them with tools and processes for doing so.

- Emphasize that each of the following sessions will un-pack these key messages and help participants to practice with processes and tools that they can apply to the UNDAF process.

- Take clarifying questions (5min).

Trainer notes: - The facilitation team should share responsibility for the elements of this session amongst themselves.

This ensures that participants recognize all the members of the team.

- Team members should be upbeat and enthusiastic about the workshop.

- Be sure to sort out all ‘protocol’ issues with the UNCT before the start, in terms of flow of speeches, who introduces the RC, etc.

- The ground rules capture their expectations about the way the workshop will be conducted. They are their rules – don’t set them for them! Be sure to write ground rules on a flip chart and post them where they can be referred to, if necessary.

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:15

Optional Exercise: Cracking Corruption Myths Quiz This is an optional exercise that can be used either for the opening session, before you get into Session 1 on “Introduction to Anticorruption� or as an ice-breaker/introduction to Session 2.

In either case, you may decide to use it or not depending on the available time.

- Have the PPT presentation ready on the screen.

- In plenary, ask participants to raise their hands as you read out each of the answers.

- You will have the answers of each of the quiz questions on the Notes of the PPT slides and some extra information to assist you in providing a reason for the answer.

- Note any complex or contentious points for sessions later in the workshop or for the parking lot.

- Computer and PowerPoint projector - PPT Presentation 0.B

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Session 1: Introduction to Corruption/Anti-corruption Time: 90 min Purpose -

To understand what constitutes corruption To look into the different types, symptoms, manifestations and forms of corruption and the applicable terminology; To provide an overview of the causes of corruption;

Expected Results -

Participants have a common level of understanding about what constitutes corruption Participants are able to describe the different types of corruption as well as different forms how it manifests itself.

Participants understand the different approaches to identify causes of corruption from a political, economic, institutional and social angle.

Note: The training team may evaluate whether to begin the training with session 2 on the Corruption – Development Nexus, meaning to replace the order between sessions 1 and 2.

Given that this session sets a common understanding on why tackling corruption is crucial for development effectiveness, depending on the audience, it may be a good starting point to help the audience understand why the training is important for them.

Session Outline Duration :60 :30

Activity Presentation: Introduction to Anti-Corruption Q&A, discussion

Session Design Duration :60

Activity Presentation: Introduction to Anti-Corruption - Deliver the presentation. The slides contain notes (which can be added to if needed).

Caution – For this and all other presentations, review the slides and reflect on your own style. This may include taking questions during the presentation itself. BUT ensure that you take no more than the time allotted. Cut slides that you think are unnecessary for your audience, or that you can use as talking points – the shorter the better. The crucial point for all sessions is to keep focused on the key messages you need to highlight. They are always captured in the last slide and are the necessary minimum which should be discussed and brought across.

Materials - Computer and PowerPoint projector - PPT Presentation 1

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Duration :30

Activity Q&A, Discussion - Take questions and facilitate a plenary discussion

Materials

- Deliver the following key messages, as appropriate: » There is no exhaustive or universal definition of corruption; » Corruption is a phenomenon that has evolved with human history and is continuously influenced by political, economic, social and cultural contexts; » There are different types of corruption (non-exhaustive): political corruption, bureaucratic corruption, grand corruption, petty corruption, systematic corruption etc. » There are multiple causes and symptoms of corruption. A solid analysis is needed to determine the immediate, underlying and root causes. There are different manifestations and forms of corruption (non-exhaustive): e.g. bribery, money laundering, abuse of public functions, and these typologies may differ in scope in different national anti-corruption laws.

Also highlight: Anti-corruption goes beyond responding to the normative anti-corruption framework to cover systematic, comprehensive and multi-disciplinary measures aimed to tackle corruption, including both preventive and enforcement measures.

Trainer Notes: - Prep Prep Prep!

- Remember that some slides have detailed notes. Read them carefully!

- This session requires some anti-corruption background. Read the Resource Guide and the slides notes carefully.

- Ask in advance if there are participants with a background in anti-corruption in the room. Invite them to clarify any points, if needed.

- Do some additional reading on corruption and anti-corruption measures that are applicable to the country in which you are running the training.

- There might be questions before you finish the presentation. You might need to take them, especially if it is a ‘burning question’, but be careful not to disrupt the flow too much and keep aware of the time.

- During the Q & A it is useful to cluster the questions so that you are able to answer more effectively.

- During these sessions, participants may mention the difficulties in tackling corruption in certain countries. These can be addressed, but do remember that Day 3 will focus on these challenges. It is useful for the participants to record their questions for then, after receiving more information from the course. Be prepared, consult the Resource Guide and do any necessary research.

- Be prepared in case of power cuts! Keep copies of the presentation at hand in case you cannot use PPT. Always be prepared to deliver without PPT!

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Session 2: Corruption-Development Nexus Time: 75 min Purpose - To understand how corruption affects various aspects of development and particularly of the -

work of the UN System Understand the disparities that exist in any society and how corruption has a large role to play in causing them, and can start to consider how to address these disparities through programming.

Expected Results -

Participants understand how corruption affects various aspects of development (e.g. human rights, poverty, energy and environment, gender, rule of law, armed conflict, and HIV/AIDS); Participants know about the current discourse on anti-corruption, particularly in the context of the post-2015 agenda; Participants understand why anti-corruption is currently seen as a global, regional and national concern, particularly in the context of the post-2015 agenda; Participants develop a perspective on how the ‘corruption- development nexus’ manifests in the national development context.

Note: See note for session 1. The order of session 1 and 2 might be changed depending on the assessment of the training team.

Session Outline Duration :50 :25

Activity Presentation: Corruption-Development Nexus Plenary discussion, Q&A

Session Design Duration :50

Activity Presentation: Corruption-Development Nexus This presentation will provide an overview of the nexus between corruption and development and how they affect each other.

Depending on the country situation, the presentation could include examples of how corruption affects certain areas in that country or another relatable country.

- Deliver the presentation. The slides contain notes (which can be added to if needed). The presentation should be no longer than 50 min.

:25

Plenary discussion - Facilitate discussion with any resource persons from the UN Country Team.

- Initiate discussion with the following leading questions, on flip chart: » Is enough being done to tackle these issues?

Note any contentious points for sessions later in the workshop or for the parking lot. Record suggestions for consideration in the next steps

Materials - Computer and PowerPoint projector - PPT Presentation 2 (online Videos x2)

- Flip chart

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Duration

Activity session.

Materials

Deliver key messages, as appropriate: » Corruption is a major bottleneck in achieving the MDGs. It diverts resources away from basic social services (e.g. health, education, water and sanitation, justice). » Corruption hinders sustainable economic development by reinforcing social inequality. » Corruption impacts on the realization of human rights. » Corruption undermines public trust and the rule of law and can fuel instability and armed conflict. » As the post-2015 agenda evolves and takes shape, it is imperative to recognize the effect of governance/corruption bottlenecks to the achievement of development outcomes and to address them.

Trainer Notes: - Prep Prep Prep!

- Remember that some slides have detailed notes. Read them carefully!

- This session requires background information on the corruption situation in the country.

- Do some additional reading on corruption and anti-corruption measures that are applicable to the country in which you are running the training in relation to the national development challenges.

- Engage the audience in the identification of the nexus between corruption and development issues but minimize internal competition among representatives from different sectors or agencies to prioritize issues.

- Some relevant sources of information about the negative impact of corruption in development processes and on people’s well-being can be found here: www.anti-corruption.org / http://www.track.unodc.org / http://web.worldbank.org/

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Session 3: Anti-corruption in the national development context (country specific session) Time: 60 min Purpose - To have a shared understanding of national development priorities and how well these priorities address corruption challenges in the country.

Expected Results -

Participants have been updated about the general trends in the development and (anti)corruption situation of the country; Participants have identified the key documents and instruments that will inform their application of anti-corruption measures at country level.

Session Outline Duration :20 :20 :20

Activity Presentation: National development priorities and strategies Presentation: The national anti-corruption situation Plenary discussion, Q&A

Session Design Duration :20

:20

Activity Presentation: National development priorities and strategies This presentation will provide an overview of major national development priorities and strategies, from the National Plan or PRS, or other key reports.

Depending on the country situation and interests of the UNCT, the presentation could focus on a particular sector or theme.

It should be prepared and delivered by a country resource person(s) from government or civil society. The presentation should be no longer than 20 min.

Allow a few clarifying questions. Inform participants that there is time for a discussion, following the second part of the presentation.

Presentation: The national (anti-)corruption situation This part of the presentation will provide an overview of the corruption challenges, including if the country has ratified UNCAC or regional conventions, reporting status, and links between anti-corruption commitments and the constitution and national laws, existing policy frameworks and challenges.

The part of the presentation should be no longer than 20 min. It could address such issues as: - A summary of anti-corruption strategies, policy frameworks or action plans - The main anti-corruption actors and mechanisms in the country, their strengths, weaknesses, and how well they are performing - The level of engagement/influence of those actors in national planning processes

Materials - Country presentation

- Country presentation

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Duration

Activity - Instruments ratified by the country, and the reporting status - Key challenges or constraints for moving forward

Materials

Allow a few clarifying questions.

The team should review the slides prepared by the invited/identified resource person for length, clarity and visibility in advance of the presentation. :20 Plenary discussion - Facilitate discussion with the country presenter.

- Flip chart - Initiate discussion with the following leading questions, on flip chart: » What corruption concerns or issues are not being addressed by current national priorities and strategies? » What can be done to promote greater integration of anticorruption measures into the national planning processes?

Note any contentious points for sessions later in the workshop or for the parking lot. Record suggestions for consideration in session 9.

Deliver key messages, as appropriate: » By focusing on the quality of the development process, anticorruption measures contribute to more sustainable and equitable results. » Anti-corruption is central to advancing and promoting gender equality. » Anti-corruption is about helping the governments to fulfill the commitments they have made.

Trainer Notes: - The country resource person may need additional guidance to help them prepare this presentation.

Clarify whether the audience is the UNCT alone, or whether it includes government and civil society partners. The presentations could deliver 3 key messages about: Challenges, Progress, and Aspirations for how anti-corruption measures could assist in meeting national development targets. Additional questions to help the presenter frame their presentation are listed below: - What are the biggest development challenges in your country and how do they relate to corruption concerns (including laws, policies and mechanisms) in the country?

- What do you see as the major corruption challenges confronting your country?

- Based on corruption information available, who do you consider as ‘most vulnerable’ to corruption in your country?

- What do you consider as the biggest achievements made by the country in terms of anti-corruption measures or institutions?

- What anti-corruption instruments have been ratified by your country? Are they available in local languages?

- What are the anti-corruption provisions in your constitution?

- What national laws are enacted to enforce ratified instruments?

- What are the major anti-corruption institutions in your country? What is the scope of their mandate? Do they have adequate resources and personnel? Is their independence guaranteed?

- What is the status of measures to strengthen judicial integrity and safeguard judicial independence?

- Is access to justice an issue? How is it being addressed? How is access to justice addressed in rural areas?

- What is the status of measures to strengthen prosecutorial integrity?

- What can the UN contribute to address the national development and corruption challenges in partnership with the Government?

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Session 4: Anti-corruption and the national, regional and international normative frameworks Time: 75 min Purpose -

To learn about the established national, regional and international frameworks of agreed rules and standards for countering corruption that will inform their application of anticorruption measures at country level.

Expected Results -

-

Participants have identified national, regional & international frameworks relevant for anti-corruption and recognize the sources of anti-corruption norms and standards at different levels which are relevant to their country.

Participants understand the content of UNCAC and its different chapters become

familiar with the basic concepts of the review mechanism and self-assessment, and know where to find further information.

Session Outline Duration :45 :15 :15

Activity Presentation: Anti-corruption and the national, regional and international normative frameworks Research Exercise (if possible) Plenary discussion, Q&A

Session Design Duration :45

Activity Presentation: Anti-corruption and the national, regional and international normative frameworks - Deliver the presentation. The slides contain notes. The presentation should be no longer than 45 min. The power point slides inform the participants of the documents to be used to research the rules and regulations regarding anti-corruption measures at the national, regional & international level for your preparatory work to deliver the session.

Materials - Computer and PowerPoint projector - PPT Presentation 4

:15

If possible, run a research exercise: Invite participants to identify the regional and international bodies that the country is a member of, and which treaties the country has or has not signed/ratified.

Computers with Internet access

Use TRACK Legal Library Tool: http://www.track.unodc.org/LegalLibrary/Pages/Home.aspx The following questions can be used to guide the research exercise.

If you do not run the exercise, use these questions to guide the plenary discussion.

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Duration :15

Activity Plenary discussion - Facilitate discussion inviting contributions from any resource persons from the UN Country Team.

Materials

- You may use some of the following questions: » To what extent do you feel UNCAC addresses the main problems of corruption in your country? » Has your country participated in the UNCAC Implementation Review Mechanism? What were the recommendations contained in the published Executive Summary? Was the full report published? » What areas do you think the national legislation falls short of the international principles set forth in the Convention?

- Criminalization?

- Preventive Measures?

- International Cooperation?

- Asset Recovery?

- Technical Assistance and Information Exchange? » Discuss how this knowledge can assist in anti-corruption discussions with the government (This leads on to the next topic: The Value of UNCAC).

Note any contentious points for sessions later in the workshop or for the parking lot. Record suggestions for consideration in session 9.

Deliver key messages, as appropriate: » It is essential to conduct a comprehensive review of the legal instruments on anti-corruption. Tools exist to help UN staff and their national counterparts to do so; » Norms are in place related to the prevention, detection, investigation and sanctioning of acts of corruption. Most regional Conventions were created prior to UNCAC. They do not usually cover as much ground on corrupt practices, their language is shorter in regards to prevention and combating corruption, and most of them do not include provisions dealing with the specific challenge of recovering the proceeds of corruption at the international level; » UNCAC is the only all-inclusive legally binding corruption instrument of international law; » UNCAC provides solutions to challenges posed by corruption and can form the basis for UN programming and technical assistance; » UNCAC Implementation Review Mechanism provides an opportunity for intervention and technical assistance programming.

Trainer Notes: - Prep Prep Prep!

- Be prepared to answer the questions that you use for the research exercise/plenary discussion.

- Familiarize yourselves with the TRACK Legal Library Tool.

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Session 5: The value of UNCAC Time: 60 min Purpose -

To learn about the value of using UNCAC as an entry point for dialogue with country stakeholders and about the comparative advantage of the UN in engaging in or facilitating such dialogue.

Expected Results -

Participants identify key entry points for dialogue and will have recognized the usefulness of UNCAC to guide technical assistance and support the Government in such attempts.

-

They understand how UNCAC can serve as a guide for anti-corruption programming;

-

Participants value the addition of the UN system on anti-corruption.

Session Outline Duration :10 :25 :10

Activity Presentation: The Value of UNCAC Group exercise: UNCAC Articles 7 to 13 and UNDAF entry points Presentation: The Value of UNCAC (cont.)

:20

Plenary discussion, Q&A

Session Design Duration :10

:25

Activity Presentation: The Value of UNCAC Distinction between session 4 and 5: Session 4 which focuses on the delivery of key knowledge about the normative framework and the review mechanism, whereas session 5 shows how UNCAC and the review mechanism can be used for programming, capacity building and reform initiatives at country level.

As session 4 is already very long, it would be useful to separate the more practical oriented session 5 and to point out the added value of UNCAC and the comparative advantage of the UN system to support countries in the area of anti-corruption based on the normative framework of UNCAC.

Materials - Computer and PowerPoint projector - PPT Presentation 5

However, depending on the available time and the preferences of the training team it will not be necessary to deliver a full presentation for session 5. The key The most important parts of this session which need to be addressed

- Flip chart for 19

Duration

Activity are the practical exercise and the messages contained in slides 4, and 7 to 9. This is the main opportunity to familiarize the participants with UNCAC and to use it as basis for practical programming work.

Materials each group

:15 The slides contain notes (which can be added to if needed). The presentation should be no longer than 10 min to introduce the value that UNCAC can bring to UNDAF programming.

Group Exercise: Invite participants to, in their table groups, discuss the content of the following UNCAC articles and identify possible programming entry points to be integrated in the country UNDAF:  Group 1 focuses on Article 7  Groups 2 and 3 focus on Articles 8 and 9  Group 4 focuses on Articles 10 and 11  Group 5 focuses on Articles 12 and 13 Participants shall present briefly in plenary their “findings”, which the facilitator shall capture to bring back when starting the 3-step analysis and session 8, when considering strategic programming decisions.

If time allows, this group work exercise should be longer, as it really helps participants to familiarize themselves with the content of the normative framework and the applicability and usefulness of bringing it to the UNDAF programming.

Q&A, Discussion - Take questions and facilitate a plenary discussion - In responses, highlight the added-value of UNCAC an entry point for dialogue with country stakeholders and the value added by the UN system in fighting corruption. Build on the results of the group work and refer to examples brought up by the participants.

Note any contentious points for sessions later in the workshop or for the parking lot. Record suggestions for consideration in session 9.

Deliver key messages, as appropriate: » The UN’s impartiality in promoting normative values at global, regional and national level provides it a unique legitimacy to deal with the subject matter in the context of technical assistance; » UNCAC touches all aspects of anti-corruption and thus can be used as a framework and practical guidance for any anticorruption initiative, be it the development of a comprehensive national anti-corruption strategy or the design of sector-specific preventive or enforcement measures. » UNCAC is the only all-inclusive legally binding corruption instrument of international law; »

UNCAC provides solutions to challenges posed by corruption and can form the basis for UN programming and technical assistance; 20

Duration

Activity Âť

Materials UNCAC Implementation Review Mechanism provides an opportunity for intervention and technical assistance programming.

Trainer Notes: - Prep Prep Prep!

- Remember that some slides have detailed notes. Read them carefully!

- This session requires background information on the status of ratification of UNCAC in the country and information gathered through the UNCAC Review processes, if available.

21

Session 6-7: The UNDAF process: Overview and Step 1-2 Time: 180 min (plus) Purpose -

To help participants understand the UNDAF process; Explain how UNDAF will be aligned with national development cycle Outline the UNDAF preparation process and road map To understand the 3 main steps for using an anti-corruption lens in the analysis phase and apply them to real country development challenges

Expected Results -

-

-

Participants will undertake a causality analysis of development challenges to identify

the immediate, underlying and root causes of the problem at stake related to anticorruption; Build on their causality analysis to identify claimants and their claims, and accountable actors and their corresponding obligations; Use this role analysis to identify the critical capacity gaps that prevent claimants from claiming what they are being denied of, and accountable actors from meeting their obligations; Apply the anti-corruption normative frameworks to strengthen their overall analysis.

The success of this session depends on 2 important preparations prior to the workshop:

Preparation 1. Selection of development challenges for analysis The facilitation team will request the UNCT to select 2 to 4 major development challenges for analysis during the workshop. These should come from challenges that have been identified in National Development Plans and/or identified as possible challenges for Government-UN cooperation in the next UNDAF. By analyzing ‘real’ country challenges, the workshop will make a practical contribution to the country analysis step. The facilitation team will request the RC’s Coordination Office to prepare brief summaries (2-3p) of each development challenge, using data from national reports and UNCT supported analysis.

2. Anti-corruption Handouts For each development challenge, the facilitation team will prepare a handout that lists the relevant normative standards and any concluding observations and recommendations from recent UNCAC Reviews or other relevant documents. Summarized in about 5 pages, these handouts enable participants to see, first-hand, the practical value of the UNCAC Review Mechanism or other existing instruments to the analysis.

Session Outline 22

Duration 120 min

Activity Presentation part I (slides 0-12): Overview of the UNDAF Process, Anti-corruption Linkages with UNDAF normative and enabling principles and the UNDAF process (slides 13-23): Step 1 Roadmap Step 2: Country Analysis A. Causality Analysis – Group Exercise (slide 36 of PPT)

60 min :10 :50

B. Role Analysis Presentation part II: Role Analysis Group Exercise: Role Analysis

60 min :10 :50

C. Capacity Gaps Analysis Presentation part III: Capacity Gaps Analysis Exercise: Capacity Gaps Analysis

Session Design Duration :120

Activity Presentation part I (slides 0-12): Overview of the UNDAF Process, Anticorruption Linkages with UNDAF normative and enabling principles and the UNDAF process (slides 13-23): Step 1 Roadmap - Deliver the presentation.

- Optional exercise to look at an UNDAF example.

Materials Presentation 6-7 Anti-Corruption HOs

Highlight the added value of ensuring an anti-corruption lens is used in the country analysis phase and other steps of the UNDAF process.

- Deliver the following key messages, as appropriate: » The Anti-Corruption lens in the UNDAF process provides for an invaluable diagnostic tool for contextualization of the development situation, and to determine the space available to respond through UN Programmes; » The Anti-Corruption lens in the UNDAF process will further amplify the understanding of formal and informal linkages between different, equally important, components of the development architecture. » It will be critical to link the anti-corruption lens to the programming principles as well as broader processes such as context analysis. » Such linkages will assist in identifying challenges and opportunities and guide the process of making ‘informed choices’ through which development effectiveness will be enhanced.

Group Exercise: Causality Analysis Review the country challenges that were selected for analysis in the workshop (e.g. 2 challenges); Show group work slide; Allow participants to choose one challenge to work on, based on their experience and interest. This creates the groups (2 groups for each of 23

Duration

Activity the 2 challenges identified).

Designate the tables in the room for each of the 2 challenges and ask participants to move to the table of their choice. Balance the groups as needed, then review the group work instructions: In groups: Read the summary of the development challenge (if provided by RCO) Work together to do a causality analysis, as follows: - Brainstorm the major immediate, underlying, and root causes of the development challenge - Use cards and paper to create a causality diagram or “problem tree�

- Indicate the flow of causality using arrows - Remind groups to be as specific as possible.

- This helps to link the problem analysis to roles and responsibilities of particular accountable actors and claimants.

:60

- After some time, ask groups to identify the immediate, underlying and root causes of the development challenge as well as identifying corruption risks.

- The main critical corruption related issues are written on post-it notes and placed on the relevant parts of the problem tree.

Analysis Step 2: Role Analysis Presentation part II: Role Analysis - Continue the presentation. The slides contain detailed notes.

Materials

HO: Summaries of development challenges (from RCO) - Cards and boards or brown paper - Markers

Presentation 6-7

(:15)

(:45)

Exercise: Role Analysis - Show group work slide and example - Ask groups to each select 1 corruption issue from their causality analysis on which to focus, then: - Identify the main claimants and their claims, the main accountable actors(s) and their corresponding duties and other responsible actors and their possible role, in a simple table (see example slide). Encourage groups to identify accountable actors who must do something about that claim, their most critical obligations and the role they currently play (national, district, and community) and to be as specific as possible in the identification of all actors.

- Analysis is recorded on flipchart Analysis Step 3: Capacity Gap Analysis Presentation part III: Capacity Gap Analysis - Continue the presentation.

Exercise: Capacity Gaps Analysis - Show group work slide and example.

- Groups build on their role analysis as follows: - For each critical corruption issue identified, discuss and list possible ways to prevent it; - For each claimant, discuss and list the possible elements of capacity that are lacking or need strengthening (e.g. access to information) that prevent them from claiming what they are being denied of;

Group work slide and example in Presentation 7 - Cards - Markers

Presentation 6-7

Group work slide and example in Presentation 7 - Cards - Markers

24

Duration

Activity - For each accountable actor, discuss and list the possible elements of capacity that are lacking or need strengthening (legal, institutional) and any policy gaps (national protection systems) that prevent them from fulfilling their obligations; - For each responsible actor (RA), discuss and list the possible elements of capacity that are lacking or need strengthening (e.g. access to information) that prevent them from assuming their potential roles.

Materials

- Analysis is recorded on flipchart Trainer Notes: - Participants will be very engaged in these steps. Be flexible about allocating more time when you see the groups are willing to work more deeply on the analysis.

- Remind participants that resources are not financial resources only. They must consider: Knowledge, Resources (human, technical and financial), Organizational abilities, Responsibility – motivation – leadership, and Authority.

- The group work for this session should be photographed and typed-up, especially when it will be used as part of the UNCT’s country analysis.

- Key messages to be delivered concerning the integration of the anti-corruption lens in the UNDAF process: Corruption comes up as a common risk in almost all UN interventions ranging from development, rule of law, human rights, climate change, gender equality, service delivery, peace building and recovery. If risks associated to corruption are not acknowledged from the initial design of any UN development programme, the chances that corruption will threaten the implementation and the impact desired of a particular programme become higher. Thus, the importance of integrating an anti-corruption lens as a key element of the country analysis is paramount.

25

Gallery of analysis: Debriefing of 3-step analysis Time: 60 min Purpose -

To give and receive feedback on the quality of each group’s 3-step analysis of the identified development challenges

Expected Results -

Participants will have had the opportunity to “visit” and provide feedback on the work of other groups Participants will have discussed approaches, challenges and decisions taken throughout their analysis process

Session Outline Duration :40 :20

Activity Rotating Gallery (approx. 10’ each group) Review and incorporation of feedback

Session Design Duration :40

Activity Materials Rotating Gallery: - In this exercise, each group has the opportunity to “visit” and provide Presentation 7 feedback on the work of other groups.

- Invite one group member to remain at the group’s analysis to clarify and respond to questions. Emphasize that they should not present the group’s work, but rather stand-by to clarify and answer questions.

- The other members of each group will rotate every 7 to 10 min to visit and comment on the work done by other groups.

Post-it notes - Visitors should leave comments and suggestions on post-it notes.

- Ask participants to reflect critically on: Causality Analysis: Is there a logical flow in the causality analysis and clarity of problems, particularly at the lower levels of the framework?

Role Analysis: Do the claims and obligations make sense and are presented in plain language – when you read an obligation can you imagine a corresponding action?

Capacity Gaps: Is there sufficient attention to capacity gaps that address the lower levels of the framework (root causes) – related to critical gaps in legal, institutional and policy and budgetary frameworks?

Gender Dimension: How well does the analysis reflect the different ways that women and men experience the development challenge?

Will the capacities address the root causes of gender inequality?

:20

Review and incorporation of feedback - Ask participants to return to their working groups, review the feedback received, and make modifications to their analysis.

26

Duration Activity Materials Trainer Notes: - If time is short, just do one rotation. If you have set-up the group work so that 2 table groups are using the same challenge, have these 2 groups visit each other.

‘Chaotic’ gallery (shorter alternative): - Allow participants to roam individually, as they please. This is a “chaotic” gallery. It takes less time, and you must assume that not every participant will visit each group. Rather, participants will spend time on the analyses that interest them, and with which they have experience.

27

Session 8: UNDAF Process - Step 3: Strategic Planning Linking Analysis with Results Time: 105 min Purpose -

To show participants how to formulate results and indicators that are drawn from the analysis conducted in session 6-7.

Expected Results -

Participants will be able to identify key anti-corruption entry points in the strategic planning phase.

-

Participants reach a common understanding of the fundamentals of RBM approach to measure progress on anti-corruption

-

Participants will be able to discuss the pros and cons of different type of indicators to measure corruption and anti-corruption

-

Formulate anti-corruption result statements (outcome, output) and indicators according to RBM principles as a key tool to accelerate national development processes

Session Outline Duration :20

Activity Presentation: Linking analysis with results (incl. examples RBM)

:30

Group work: Develop 1 outcome and 2 outputs

:10

Presentation (cont.): Linking analysis with results

:20

Presentation: Corruption and Anti-corruption indicators

:15

Group work: Formulate 2 indicators

:10

Gallery: quick recap of group-work and session

(:50)

Optional: Presentation and Exercise - Assumptions & Risks

Session Design Duration (:5)

Activity As a first step, you should mix the table groups. Two methods: Simple: Ask participants to count off 1 to 4 – assign all the 1s, 2s, 3s, and 4s to a new table More fun: Inform participants that we need to mix the groups. Ask for

Materials

28

Duration

:20

:30

Activity half of each table to stand up. Once half of each table are standing, thank them for their voluntary spirit. Ask those who did not stand to shift to a new table.

Presentation: Linking analysis with results Present the session objective and deliver the presentation until the Slide 10. After highlighting some of the examples illustrated on slide 10, participants will be invited to start the group work.

When presenting slide 4 on the UNDG approved RBM definitions emphasize the focus on cause and effect relationships, measurable changes, and accountability, through performance monitoring.

Key messages: RBM practice‌ 1. Helps us to connect the analysis of country challenges to evidence about progress to date and lessons-learned 2. Enables us to engage partners to formulate SMART results, and develop mechanisms and processes to ensure regular monitoring and reporting on UNDAF performance 3. Demands working mechanisms for UNDAF monitoring and reporting and the use of UNDAF performance information by the UNCT and partners for decision-making 4. In all the above, an anti-corruption lens during the analysis phase brings depth and credibility to our practice of UN programming processes by telling us‌ The kinds of changes we should be aiming for: How to measure, monitor, and report on changes in behaviours, performance and capacities.

Ask participants to return to the same groups that did the analysis in session 7. Groups formulate 1 UNDAF outcome and 2 contributing outputs that respond to the development challenge integrating anticorruption measures from session 7.

The outcomes should be written on A4 cards and placed on the wall beside their analytical work, as a results framework: e.g.

Materials

Presentation 8 Flip chart

Group work slide in Presentation 8 Group work analysis from session 7 - Cards - Markers - Wall space, boards, or brown paper

:10

Presentation (cont.): Linking analysis with results - Continue the presentation from slide 13 - Walk participants through the Typology for RBM (slide 13):

Presentation 8

29

Duration

Activity Highlight that:

Materials

Outcomes are: Changes in the performance in development Outputs are: Results that address critical capacity gaps created by corruption.

Present the format for the UNDAF results matrix. Prior to the workshop, consult with the RCO about which format the UNCT intends to use (1a. Outcomes or 1b. Outcomes and Outputs). You may have to show both. Emphasize that there is only 1 level of outcome (this was introduced by the UNDAF Guidance 2010).

Take any clarifying questions on the typology and UNDG RBM definitions.

:20

:15

Presentation: Monitoring and Evaluation: Measurements & Assessments of Corruption to inform Country Analysis and Strategic Planning Emphasize that monitoring and evaluation are different activities carried out by different actors.

UN staff must carry out the bulk of UNDAF monitoring, measurements, and assessments of corruption can help them to do this more effectively.

Group work: Formulate 2 indicators Groups formulate 2 indicators for the outcome and 2 outputs.

The indicators should be written on cards and placed on the results diagrams, e.g.

Presentation 8

Group work slide in Presentation 8

30

Duration :30

Activity Optional: time allowing Gallery: Quick recap of group-work and session

Materials

Participants’ opportunity to “visit” other groups and give feedback Reflect on…

– The logical flow of results and use of change language – The linkage between the results framework and the analysis.  Does it make sense?  Do the results respond to the underlying and root problems revealed by the analysis?  Do the outcomes show changes in the performance of claimants to claim what they are being denied of, accountable actors to meet their obligations?  Do the outputs address identified capacity gaps? :10

:30

:20

Conclusion: Linking Analysis with Results Take a moment to conclude this session with key messages: » The analysis with an anti-corruption lens brings depth and legitimacy to our practice by telling us: the kinds of changes we should be aiming for and how to measure, monitor, and report on change. » The monitoring and evaluation plan should use measurements and assessments of corruption.

Optional: Presentation and Exercise - Assumptions & Risks Time allowing, this is an optional presentation and linked exercise to formulated assumptions and risks. Gauge the time and interest of participants to do this additional activity.

Presentation 8 (slides are hidden)

Continue the presentation from slide 27 thru the end of the ppt. The slides contain detailed notes.

Exercise: Assumptions & Risks Groups formulate at least 1 major assumption and identify 1 potential risk for their results framework. The assumption and risk should be placed on the group’s results framework: e.g.

31

Optional Energizer: Anti-corruption flip quiz Time: 30 min Purpose -

To energize the group.

Expected Results -

Participants will refresh and recap their knowledge from the previous sessions in an energizing and engaging manner.

Session Outline Duration :30

Activity Optional Energizer: The Anti-Corruption flip quiz

Session Design Duration :30

Activity Optional Energizer: Anti-corruption ‘Flip’ Quiz This energizer will refresh and recap participants’ knowledge from the previous sessions in an energizing and engaging manner.

In table groups…

1. Give each group a set of cards which they place face down on the table.

2. Ask participants to shuffle the cards always keeping them face down 3. Read the first question out loud for the groups 4. Groups ‘flip’ their cards to find the correct answer 5. The first group to raise the card and shout-out the answer is given 1 point (Team members help to adjudicate, ties allowed) 6. Cards are again replaced face-down, and next question is asked 7. Proceed for 10-15 questions, depending on time and interest

Materials - 4 ‘Flip” Quiz card sets - See: AC Flip Quiz for questions and detailed instructions

Keep score, but reward all tables with chocolates or other treats.

Trainer Notes: - Prepare the card sets - Remember to have the rewards for all participants (chocolates, mints, etc.)

- Run the energizer in a fun and engaging way!

32

Session 9: Addressing sensitive issues and discussing challenges to anti-corruption programming Time: 60 mins Purpose Recognition of challenges to designing an effective anti-corruption programme in order to prepare strategies to avoid or reduce the impact of these possible challenges. Give the UNCT an opportunity to reflect on what has been learnt during the workshop and discuss the implications for its future work.

Expected Results -

Participants will have discussed some of the most common questions related to sensitive issues around anti-corruption programming; Participants will have look at some of the options to respond to sensitive issues; They will understand some of the Dos and Don’ts of sensitive issues; Participants will explore options, entry points and practical next steps to better integrate anti-corruption principles to the country’s UNDAF process;

Session Outline Duration :30 :30

Activity Discussion about sensitive issues and challenges Discussion about entry points and practical next steps to integrate anti-corruption principles into the country’s UNDAF process

Session Design Duration :30

Activity Discussion about sensitive issues and challenges Facilitate a discussion. Use the ppt slides to assist the discussion.

:30

Materials - Computer and PowerPoint projector - PPT Presentation 9

Discussion about entry points and practical next steps to integrate anticorruption principles into the country’s UNDAF process This session must be focused and grounded in country realities. It should not produce an idealized ‘wish-list’ of ways to apply an anticorruption based approach. Before the workshop, the facilitation team should discuss with the UNCT and RCO about different concrete opportunities for integrating anti-corruption measures into the UNDAF process or wider national programming processes. For example: - The National Development Plan or PRS - National Sector reviews, plans, or strategies Before the workshop, develop a short-list of the most realistic 33

Duration

Activity opportunities for integrating anti-corruption into programming. This is the starting point for this session. Flexibility is important in this session.

Materials

Option 1: What do we do next?

Have the presentation on the UNDAF road map (as above). Ask the presenter (HoA or the Coordination Officer) to remain as a resource person. Keep the Road Map table or list of activities on the screen for reference. Ask: In order to apply what we have learned in this workshop, what do we do next?

- Facilitate a plenary discussion, seek consensus on a short-list of next steps, as recommendations to the UNCT.

Option 2: What do we do next?

Break participants into groups (4 or 5) and invite them to brainstorm about the opportunities/entry points which most interest them.

In groups‌ - Identify the result you want to achieve (short term, practical) - Indicate a possible timeline for completion/achievement - List any key resources needed for each result (reference materials, data, expertise, and funds) - Identify up to 3 major challenges or barriers that would prevent the UNCT and partners from taking advantage of the opportunity, including any stakeholders who may oppose - Ask each group to present their work plan in 3 minutes or less in plenary.

Key messages 1. Corruption normally occurs within complex economic and political networks in which personalities of the economic and political elite are engaged.

2. The UN is in a unique position to address anti-corruption issues because of the United Nations Convention against Corruption, the Review Mechanism and its follow-up mandate.

3. It is critical to identify what are the interests and incentives of the opposition, business sector or ruling party regarding a particular scandal.

4. It is always advisable for the UN system to monitor the domestic politics and anti-corruption programming as it could still be sensitive.

34

Duration

Activity

Materials 5. The ultimate goal of eradicating poverty will not be achieved unless challenges posed by corruption are addressed. Not addressing corruption as part of UN programming bears both operational as well as credibility risks to the mission of the UN.

Trainer Notes: - This session may not be appropriate for workshops with some government partners. The UNCT may need another opportunity to strategize collectively.

- The following questions can also be used to prompt the group discussions on challenges and strategies: »Do you have enough high quality, disaggregated data to illustrate the problems? Are decision-makers motivated by this data? »Who are the advocates and allies (e.g. parliamentarians, civil society groups, eminent people) that can be involved to build commitment (e.g. attention to specific populations and marginalized groups)? »Will an explicit anti-corruption strategy move the agenda (e.g. advocacy based on standards, commitments)? »Do national bodies (e.g. government, CSOs) have the technical and financial resources they require?

- Add relevant questions to the slides after each session (that were brought up by participants) to trigger discussion on different issues and challenges in future workshops.

35

Optional Session: Open space Normally, there will not be time for an open space session in a 2 ½ day workshop. However, you could include it in a full 3 day workshop. Alternatively, if some participants are keen to explore and discuss more technical details about corruption and anti-corruption, it could be done as a short evening session, or during a lunch session.

Time: 45 min Purpose - To help participants clarify any outstanding questions they have about corruption and anticorruption, and the UN country programming process and guidelines; - To guide participants to additional resources and reading.

Expected Results - Participants will have clarified any outstanding substantive or operational concerns from the content of the workshop.

Session Outline Duration :45

Activity Resource persons are each assigned a topic, related to their expertise - UN Country Programming process and UNDAF Process - Anti-Corruption Corners or tables are assigned in the main workshop room and break-out rooms Participants roam freely among the stations to clarify any outstanding questions or concerns with resource persons.

Questions are taken on a ‘first come-first served’ basis

36

Evaluation and close Time: 15 min Purpose - To evaluate the workshop, clarify follow-up actions, and thank participants and organizers.

Expected Results - Workshop is evaluated and closed.

Session Outline Duration :5 :5 :5

Activity Parking Lot Evaluation Thanks and close

Session Design Duration Activity :5 Parking lot: Review the parking lot for any remaining concerns – those not addressed to be followed-up by facilitation team with relevant experts. :5 Workshop evaluation (see Annex B) :5

Thanks and closing statement by RC (if possible) Thanks and closing words by Facilitation team.

Distribute Certificates. Close.

Materials - Parking lot

- Evaluation - Distribute Certificates

37

Annex A: Workshop set-up   

1 main workshop room See a diagram for arrangement of the main room (below).

It is very important that materials, cards, flip charts can be taped to the walls of the workshop room. 3 to 5 large rolling display boards are also acceptable.

Note: Will there be a break-out room? If so, material should be considered for that room as well (e.g. a flipchart should be set there with flip chart paper and markers) Items for Rooms  4 main tables with 8 chairs each  2 tables in the back corners for break-out groups (as needed)  Small tables for projectors and video equipment  4 to 6 Flip charts (one at each table and one in front, in the plenary room), the quantity depending on the number of islands, but not less than 6;  Flipchart stands with plenty of flip chart paper and markers  3 to 5 rolling boards/white boards (if walls not acceptable for taping materials)  A computer and projector for "power point" presentations  Screen for projection (if the wall is not white)  Extension cords (voltage adaptors if required)  Copies of all hand-outs for the workshop (these will come in a separate communication)  Drinking glasses and pitchers for water  2 coffee/tea breaks per day (normally around 10:30a and 3:30p) Equipment and Consumables for secretarial support  Photocopying facilities  Computer with internet and printer access  Staplers, at least one heavy duty and two light ones, and staples  Scissors  Folders for participants for their handouts  List of participants  Registration form  Containers for pens and pencils  Paper for flip charts (2 pads per stand)  30 Thick felt-tip marker pens  Marker pens for use with transparencies  Writing pads for each person with some spare ones  Pens for each person with some spare ones  Name tags (clip-on or stick-on ones)  3 reams photocopy/computer printer paper  Post-its, different colours  Paper clips  VIPP cards – 100 various colours (these are cards for use in group work exercises – 1 A4 sheet of heavier gauge paper is cut lengthwise to make 2 cards)

 

Prepare a briefing on logistical arrangements for participants (as needed) Draft opening statement for senior official to open the workshop (as needed) 38

Secretariat Support During the workshop One administrative assistant to facilitate the logistics for the workshops is needed. The resource team will rely on her/him to:

    

Help to photocopy, organize handouts and materials, and typing group work results Deal with participants’ requests, needs Participate in the daily navigation meeting Organise recreational activities (as needed) Settle various issues with the hotel as/when required

After the workshop

   

Collect and type or photograph the main work products of the workshop Pack and close down Ensure that the evaluation forms are collected to be sent to UNSSC for tabulation Organise follow up communications (as needed)

39

Diagram for Room Arrangement:

40

Annex B: Workshop evaluation Each workshop should conclude with an evaluation, completed by each participant. The evaluations are confidential and participants are not required to include their name. The standard model is offered below. If the specific objectives were adapted to suit the audience and country situation, simply cut and paste the updated objectives into the ranking questions on the first page. All other questions should be included, as is.

Country: Date:

1. On a scale of 1 to 6 (where 6 is high and 1 is low), have the objectives of the workshop been reached?

Objectives At the end of the workshop, participants will be able to: Understand the impact of corruption and of anti-corruption programming on development 1

2

3

4

5

6

Explain the contributions anti-corruption principles can make to the UN programming process 1

2

3

4

5

6

Apply the key elements of anti-corruption principles to strengthen country analytic work and the UNDAF 1

2

3

4

5

6

4

5

6

2. How would you rate the following on a scale of 1 to 6? (where 6 is high and 1 is low) The workshop facilitation 1

2

3

The organization of the workshop 1

2

3

4

5

6

2

3

4

5

6

The venue 1

41

3. Which parts of the workshop did you find the most useful and why? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________

4. What changes would you make to the workshop and why? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________

5. What topics/areas would you add or give more time to? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________

How would you rate the following on a scale of 1 to 6?

42

(where 6 is high and 1 is low) 6. How relevant was the workshop to your work?

1

2

3

4

5

6

7. Any additional comments? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________

43

Annex C: Learning Needs Assessment & Follow-up questionnaire to participants A Learning Needs Assessment (LNA) is essential to understand the profile of the participants, gauge their level of knowledge about anti-corruption, and identify expectations for the event.

The LNA can be offered as an on-line survey about 3 weeks before the event.

The standard questions of the Learning Needs Assessment (LNA) are shown below: Anti-corruption Workshop – Learning Needs Assessment 1. What are the key issues that you would like to learn in the workshop?

2. Have you applied anti-corruption principles/measures in your work? Has the prevention or enforcement of anti-corruption measures ever been a factor in programmes you have worked on? Please explain.

3. What have been the most challenging issues related to applying anti-corruption principles/measures in your work? If anti-corruption measures have not been factored into programmes you have worked on, what do you think the reasons are for that?

4. Please assess your level of knowledge/proficiency on the following topics using a scale of 1 to 6 (where 1 is low and 6 is high):           

The different types of corruption Development-corruption nexus UN Reform and Common Country Programming Process International, Regional and National Anti-corruption measures Integration of Anti-corruption Principles into the UN Programming process Causal Analysis Role Pattern Analysis Capacity Gap Analysis What makes a good UNDAF outcome, Agency outcome and Agency output Assumptions, risks and challenges to anti-corruption programming Monitoring & Evaluation of Anti-Corruption programmes

Thank you for completing the questionnaire.

A Follow-up questionnaire may provide a measure of the effectiveness of the Anti-corruption workshop, once participants have returned to their work. You may send a follow-up on-line questionnaire to all participants. Ideally, the arrival of the questionnaire will follow closely on a major event or milestone in the UNDAF road map in the country.

44

Annex D: Facilitation Team Report Your report is very important to UNDP and UNODC as it provides useful lessons for future anti-corruption in-country workshops and alerts them on any issues requiring urgent action and follow up.

The template on the next page suggests the five main points your report should cover.

For points 1 and 2 please consider the following categories: a. b. c. d. e. f.

The results obtained The preparation of the workshop The support provided by the RC, the UN Country Team, Government The participation of the national counterparts The facilitation The logistical arrangements and support provided by the UN Coordination Office

Please attach the following items to your report:    

The agenda as used in the workshop The list of participants Any new material (including tailored PowerPoint presentations) you used during the retreat The “next steps” produced at the end of the workshop (Session 9)

Thank you for your support!

45

TEMPLATE FOR FACILITATION TEAM REPORT Facilitation Team Names:________________________________________________ Title: Anti-Corruption Workshop Country: Date:

1.

What went well?

2.

What needs improvement and how would you improve it?

3.

High-stakes moments and how you managed them?

4.

What are your recommendations for follow-up?

5.

Any good practices to share?

46

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