In your specific area of work, please list 3 highest value activities or services

As a part of our analysis of the activity survey, we reviewed the responses across the three questions and identified key themes and recurring points.

Humanitarian trend, financial and staff analysis

The Functional Review team pieced together basic HR and financial data (which was not readily available) from multiple sources and across multiple time periods. The data was validated with the Strategic Planning, Evaluation, and Guidance Section (SPEGS) team but given we needed only directional estimates for our analysis it was not validated in detail with each of the other sections.

Although we are confident that the data analysis and insights are largely right, there may be some details that may not be fully accurate or current.

OCHA historical growth

The Functional Review team collated OCHA's historical staff growth from the post requirements based on starting budgets in the OCHA Annual Reports from 2002 to 2015. Only for 2009 to 2015,

152 data is available on the breakdown of post requirements for field staff by office type and region and for headquarters staff by division and branch.

Humanitarian trends

For comparison to OCHA's historical growth, the Functional Review team also collated historical staff growth for the United Nations High Commission on Refugees (UNHCR) from 2001 to 2015 in five year intervals and for the World Food Program (WFP) from 2011 to 2015 from historic annual reports.

For analysis on drivers of historical growth, we compiled historical data on the number of people affected by conflict and natural disasters from 2005 to 2014 from OCHA's Humanitarian Data and Trends Reports. The number of people affected by conflict includes a breakdown by displaced asylum seekers, displaced refugees, and internally displaced people. For further analysis on drivers of

historical growth, we also compiled historical data on appeals from 2005 to 2014 also from OCHA's Humanitarian Data and Trends Reports. The appeals data includes the number of people targeted through inter-agency appeals, amount requested and received through inter-agency appeals, appealing organizations, and appeals projects.

Current crisis data

The Functional Review team received data from the Office of the Director in Coordination and Response Division (CRD) liaison to SPEGS on the current country offices and HATs and the primary crisis type (slow onset natural disaster, sudden onset natural disaster, and political conflict) each office is responding to. The data specified whether or not the crisis is contained in one country or if it is a cross border crisis that spans multiple countries, whether there is an integrated mission with or without peacekeeping. The data also specified the year the office was established, and whether the office is currently scaling up or down. This data did not fully correspond to the OCHA in 2016 Annual Report in terms of the location and classification of offices and some corrections were made by the SPEGS team.

Current staff data

The Functional Review team received data from the Administrative Services Branch (ASB) on current staff data from February 2016. This included data from UMOJA on international staff who are based in headquarters or the field as well as data from UNDP on national staff who are based in the field. OCHA does not have one consolidated database of staff or current organizational charts at the staff level for each of the field offices.

The UMOJA data specified the organizational unit so it was easy to identify the division, branch, and section. However the UNDP data did not specify the organizational unit so we had to assign office type. To do this, we assumed that all national staff are based in the field and used the duty station city and country and the OCHA in 2016 Annual Report's classification of offices to assign office type. Most duty station countries only have one office so it is easy to assign office type. However some duty stations such as Addis Ababa, Ethiopia have multiple offices. In those instances, it was more difficult to assign an office type to staff and we assigned staff to the larger office with more national staff. Again the data did not fully correspond to the OCHA in 2016 Annual Report in terms of location and

classification of offices and some corrections were made by the SPEGS team. The Functional Review team was eventually able to piece together a staff database that includes:

 Employee general information: position ID, employee ID, name, job title, employee level / grade;

 Organizational unit information: duty station city and country, organization unit name, division, branch, and section;

 Tenure in OCHA and in role; and

 Demographic information: gender, age, nationality, appointment type.

153 Job categories (Core and Administrative Functions) were assigned based on job title and employee categories (international, national, local, or non-staff) were assigned based on employee level / grade.

This staff database did not have any vacant positions. It also does not have direct reporting

relationships but for the UMOJA data, the supervisor ID includes is the head of the organizational unit.

This data enabled analysis for field offices on the average size of country and ROs and the

breakdown by job category. This data also enabled analysis for headquarters on the size of Core and Administrative Functions. The Functional Review team assigned branches and sections to Core and Administrative Functions based on interviews with key stakeholders from each function.

Current financial data

The Functional Review team received data from the Finance and Budgeting Section in ASB and from SPEGS with cost plans and expenditures. Historical cost plans and expenditures are difficult to compare to current data as they are in different formats and there has been restructuring of field offices and headquarters branches and sections over time.

154 Annex C: Management model (Key Definitions)

The Executive Management Committee (EMC) ¹³⁷ is designed to be OCHA's main forum for collective, strategic and operational decisions ensuring fulfillment of OCHA's mandate and strategic plan. The EMC is described as offering leaders a constructive challenge function and allowing members to monitor and mitigate potential risks more effectively. There are currently 11 members of the EMC, comprising the USG, the ASG for Humanitarian Affairs, three Directors, and the Chiefs of Communications, Policy, Strategic Planning, Information Services and Administrative Services, and the Chief of Staff. While the meeting cadence has not been formalized, the EMC currently meets monthly.

The EMC has supplanted the Senior Leadership Team (SLT) – an undocumented committee made up of the USG, ASG, and D2s. The USG has expressed interest in reviewing the EMC structure following the findings from the Functional Review team. Internal communication norms from the EMC have also yet to be established.

The Senior Management Team (SMT)¹³⁸ is described as having three primary responsibilities.

First, it acts as the primary discussion and decision-making forum for organization-wide issues; second, it serves as a consultative body that advises and assists the USG in fulfilling OCHA's mandate and responsibilities; third, it makes recommendations for implementation by the relevant parts of OCHA.

The SMT includes ~20 people. In addition to all the members of the EMC, the SMT also includes the Deputy Director of CRD, the Chiefs of the Partnerships and Resource Mobilization Branch, Program Support Branch, CERF Secretariat, a Senior Resilience Advisor, and representative heads of a country office, regional office and liaison office. The SMT meets every two weeks for 60-90 minutes.

The Budget Review Committee (BRC)¹³⁹ is responsible for monitoring the financial situation of OCHA (for example, income, allocation of funds, allotments, expenditures, cash flow), and for advising and making recommendations to the USG on a range of financial matters, for example: office-wide allocation of financial resources; biennial budget submissions; annual year-end adjustments of cost plans; cost plan revisions beyond a certain amount; approval of new projects or activities to be funded with Specially Designated Contributions outside current work program. The BRC is chaired by the ASG for Humanitarian Affairs, and consists of the three Directors, the Chiefs of Administrative Services, Strategic Planning, Donor Relations, Finance and the Chief of Staff. The BRC does not have a regular meeting cadence, and convenes at the request of the Chair.

The Emergency Response Task Force (ERTF)¹⁴⁰ is activated automatically when the USG declares an "OCHA corporate emergency response". It can also be activated upon the request of the USG or Director of CRD for a "major emergency response". The ERTF is responsible for ensuring teamwork and collective responsibility in OCHA’s response to a crisis, with primary accountabilities allocated between team leaders and functional teams. Team leaders are accountable for activities such as: coordinating information exchange within the team and with other functions; leading information gathering and analysis; delivering briefings at each ERTF; managing follow-ups as required. The functional teams are accountable for activities such as: status/gap analysis for the functional area; actions taken (if any) since the last meeting; recommendations for consideration by ERTF. The ERTF membership for each crisis is composed of the CRD Director, CRD Section Chief, CRD Geneva Chief, Heads of Office for the relevant regional and country offices, and representatives of various functional groupings, such as situation analysis, staffing, logistics, information management, policy, and communications. There is no set cadence for ERTF meetings; their frequency is set by the ERTF Chair and agreed by the members.

The Governance Board for Information Technology (GBIT)¹⁴¹ is primarily responsible for setting corporate priorities in line with the agreed OCHA information strategy and roadmap, and for ensuring

137 All staff announcement sent by USG on 8 February 2016

138 Latest TOR for the Senior Management Team as of July 2013

139 Latest TOR for Budget Review Committee as of June 2014

140 Policy Instruction on Emergency Response as of July 2015

141 Latest TOR for the Governance Board for Information Technology as of October 2013

155 that resources are focused accordingly. It also endorses corporate standards and policies for all

aspects of OCHA’s information strategy, including: enterprise services; web and mobile technology;

content and data-sharing; ICT hardware; software; connectivity; and support. The GBIT identifies promising initiatives that merit investment and/or scaling up, it provides support and guidance, it reviews each initiative to ensure it complies with the relevant criteria, and it endorses initiatives as appropriate. Membership is divided between core members present at all meetings and flexible members who attend as required by invitation only. Core members on the standing team include the three Directors, a Field Director from a regional or country office, and Chiefs of Information Services and Strategic Planning. In addition, flexible membership includes Chiefs of Administrative Services, Communications, Programme Support, Policy, Partnerships and Resource Mobilization, and other relevant Information Services Section Chiefs, or Heads of Office for country or regional offices. The Governance Board for Information Technology convenes as required without a set cadence, though it must meet at least once every two months.

The Learning and Knowledge Management Board (LKMB)¹⁴² is responsible for providing a governance model that supports OCHA's review and monitoring of learning and knowledge

management initiatives to ensure that they are aligned with agreed strategic priorities. LKMB also defines annualized strategic priorities and resourcing for advancing learning and knowledge

management. The Board oversees and provides advisory support to ensure effective implementation of information initiatives, and monitors implementation of learning programs to ensure that effort and investments are in line with agreed priorities, that they are cost-effective, and that they lead to tangible results. Finally, the LKMB enables and supports an innovative approach to learning within OCHA, where best practices and innovative products/solutions can be identified and scaled up, when relevant, for maximum impact. Core membership includes three Directors, Chiefs of Administrative Services, Programme Support, Policy, and Strategic Planning, two Heads of Office in the field and a staff

representative. In addition, this Board has flexible members who can be invited upon request, including other Branch Chiefs, business owner (which could include OCHA Sections or Country Offices), and/or product manager, Section Chiefs in Administrative Services, and other Heads of Office for country or regional offices. The LKMB does not have a set cadence for meetings; it convenes as needed and at least once every four months.

142 Latest TOR for the Learning and Knowledge Management Board as of February 2016