Knowledge Management Toolkit for the Crisis Prevention and Recovery Practice Area United Nations Development Programme United Nations Development Programme One United Nations Plaza New York, NY 10017 USA www.undp.org KNOWLEDGE MANAGEMENT TOOLKIT for the Crisis Prevention and Recovery Practice Area UNDP Handbook cover OK.indd 1 UNDP Handbook cover OK.indd 1 20.3.2007 15:14:01 20.3.2007 15:14:01

KNOWLEDGE MANAGEMENT TOOLKIT for the Crisis Prevention and Recovery Practice Area

Knowledge management in the Bureau for Crisis Prevention and Recovery (BCPR) The Bureau for Crisis Prevention and Recovery is the Practice Leader for crisis prevention and recovery within the United Nations Development Programme (UNDP). A repository for tools, methods, and experience, BCPR provides expertise on crisis issues to UNDP country o��� ces, regional bureaux, and headquarters. BCPR forms a bridge between the humanitarian phase of a post-crisis response and the longer-term development phase following recovery. BCPR is also an internal advocate for crisis sensitivity, working to ensure that UNDP���s longer- term development policies and programmes build in opportunities for disaster reduction and confl ict prevention. As the crisis prevention and recovery Practice Leader, BCPR pays special attention to knowledge management within this Practice Area. The BCPR Knowledge Management (KM) Team is part of BCPR���s Central Strategy and Policy Cluster and works closely with BCPR���s information technology team. Together they provide knowledge management tools and advice to BCPR teams, colleagues, country o��� ces and members of the Crisis Prevention and Recovery Community of Practice. They also facilitate the Crisis Prevention and Recovery Practice Network (CPRP-net) and manage the online Crisis Prevention and Recovery Practice Workspace. BCPR has also formed a bureau-wide Knowledge Management Group with a mandate to ensure consistency and coherence of knowledge products, conduct Peer Reviews of planned KM products and processes, monitor the use of knowledge products to determine their impact, and advise on BCPR corporate KM activities, such as the CPR Practice Workspace. This is an internal UNDP document. Contact For questions, further information or to receive a copy of this publication, please contact cpr_km@undp.org March 2007 ��������������������������������������������������������������� Knowledge Management Toolkit for CPR ii

iii Table of contents Abbreviations ������������������������������������������������������������������������������ v Foreword ������������������������������������������������������������������������������������ vii Flowchart: Where to fi nd what in this toolkit ��������������������������������������� viii Introduction ������������������������������������������������������������������������������ ix 1. What is knowledge management? ��������������������������������������������������� 1 2. How to fi nd and share CPR-related information ������������������������������������ 7 2a. Internal CPR information management and communication resources 8 2b. External CPR communication tools 12 3. What does knowledge management mean on a day-to-day basis? ������������ 13 4. Golden rules of knowledge management ������������������������������������������ 17 5. Writing and sharing: The fi ve core CPR knowledge products ������������������ 19 5a. Planning your CPR knowledge products 20 5b. How to write a CPR Concept Note 25 5c. How to write a CPR Lessons Learned paper 27 5d. How to write a CPR Comparative Experiences paper 30 5e. How to write a CPR How-to Guide 33 5f. How to write a CPR Practice Note 36 6. More knowledge management tools and techniques ��������������������������� 39 6a. How to set up and sustain a Knowledge Network or a Community of Practice 41 6b. How to conduct a Peer Assist 47 6c. How to conduct an After Action Review (AAR) 50 6d. How to undertake a Peer Review 54 6e. How to conduct a knowledge-based Exit Interview 57 7. Strategizing, mainstreaming and monitoring knowledge management ������ 59 7a. When and how to develop a knowledge management strategy 60 7b. How to integrate knowledge management into your work planning process 63 7c. How to integrate knowledge management into your workfl ows and management processes 66 7d. How to measure the impact of knowledge management 71 Annex 1: Templates for CPR knowledge products ������������������������������������ 75 Annex 2: Glossary of KM terms ��������������������������������������������������������� 83 Annex 3: Additional resources ������������������������������������������������������������ 89 Table of contents ������������������������������������������������������������������������������������������

Acknowledgements This Knowledge Management Toolkit for the CPR Practice Area was prepared by UNDP���s Bureau for Crisis Prevention and Recovery in response to requests from members of the Crisis Prevention and Recovery Practice Network for guidance on knowledge manage- ment tools and techniques. The KM toolkit was written and edited by Charlotte Lattimer, Gita Swamy Meier-Ewert and Misaki Watanabe. Clare Blenkinsop and Johannes Zech edited the text and coordinated the production. Contributions, mostly in the form of UNDP perspectives from the fi eld, were made by Alberto Alface, Heather Bryant, Patrick Gremillet, Douglas Keh, Ramla Khalidi, Katrin Kinzelbach, Toshihiro Nakamura, Max Ooft, Devanand Ramiah, Silvia da Rin Pagnetto, Alvaro Rodriguez and Ewa Wojkowska. The cartoons were created by Satish Vangal. The toolkit also benefi ted substantially from comments and contributions from participants of a Peer Review process. Thanks to UNDP internal Peer Review partici- pants: Johan Arvling, Sam Barnes, Joanne Burke, Barbara Goedde, Steve Glovinsky, Kim Henderson, Valeria Izzi, Zoe Keeler, Marcus Lenzen and Juan Manuel Salazar and external Peer Review participants: Caryn Anderson, Simmons College Chris Burman, University of Limpopo Peter J. Bury, IRC International Water and Sanitation Centre Claudia Coenjarts, ILO Marie-Jo Floret, UNOCHA Susanne Frueh, UNOCHA Nguyen Hoang Ha, ILO Allison Hewlitt, Bellanet International Secretariat Mark Higgins, CAFOD Yoshie Ichinohe, ILO Eiko Ikegaya, UNDPKO Alim Khan, WHO Peter Van Rooij, ILO Ian Thorpe, UNICEF and Jonna Wetterholm, ILO. iv ��������������������������������������������������������������� Knowledge Management Toolkit for CPR

Abbreviations A AAR After Action Review B BCPR Bureau for Crisis Prevention and Recovery (UNDP) BDP Bureau for Development Policy (UNDP) C CAFOD Catholic Agency for Overseas Development CIS Commonwealth of Independent States CO Country O��� ce CoP Community of Practice CPR Crisis Prevention and Recovery CPRP-net Crisis Prevention and Recovery Practice-Network (UNDP) CV Curriculum Vitae D DCAF Democratic Control of Armed Forces DDR Demobilization, Disarmament and Reintegration DRM Disaster Risk Management E ECIS Europe and the Commonwealth of Independent States E-discussion Electronic-discussion (online discussion) F FAO Food and Agriculture Organization of the United Nations FARC Revolutionary Armed Forces of Colombia H HC Humanitarian Coordinator (UN) HQ Headquarters HR Human Resources I ICT Information and Communication Technology ILO International Labour Organization IT Information Technology K KM Knowledge Management KM4DeV Knowledge Management for Development (web portal) Abbreviations ��������������������������������������������������������������������������������������������� v

vi M MDGs Millennium Development Goals MYFF Multi-Year Funding Framework N NeLH National Electronic Library for Health (UK) NGO Non-Governmental Organization NSAG Non-State Armed Group O OC O��� ce of Communications (UNDP) ODI Overseas Development Institute (UK) P PEM Practice Experience Map R RBEC Regional Bureau for Europe and the Commonwealth of Independent States (UNDP) RC Regional Center (UNDP) RC Resident Coordinator (UN) RCA Results and Competency Assessment S SALW Small Arms and Light Weapons SURF Sub-Regional Resource Facility (UNDP) T ToR Terms of Reference TRAC Target for Resource Assignment from Core Funds (UNDP) TTF Thematic Trust Fund (UNDP) U UN United Nations UNDP United Nations Development Programme UNDPKO United Nations Department of Peacekeeping Operations UNICEF United Nations Children���s Fund UNOCHA United Nations O��� ce for the Coordination of Humanitarian Aff airs W WHO World Health Organization ��������������������������������������������������������������� Knowledge Management Toolkit for CPR

Foreword Crisis prevention and recovery (CPR) is the fastest-growing Practice Area within UNDP. An increasing number of UNDP country o��� ces are involved in activities relating to confl ict prevention, peacebuilding, disaster risk reduction, early recovery and other crisis-related issues. The Bureau for Crisis Prevention and Recovery (BCPR) is respon- sible for consolidating UNDP���s CPR-related knowledge and experience providing a bridge between humanitarian response and the development work of UNDP and acting as an advocate for crisis sensitivity in the context of development policy. BCPR is committed to the long-term goal of transforming UNDP into a global leader in crisis prevention and recovery. To achieve this goal, we need to work together to capture the vast wealth of knowledge and expertise that exists within the organization on CPR-related issues and programmes. This means connecting UNDP practitioners with expertise in crisis prevention and recovery, facilitating an exchange of knowledge among them and ensuring that valuable lessons learned from CPR practice are shared and built upon in order to improve the way we work to prevent and respond to crises. This toolkit sets out the various ways in which we can do this. It explains the concept of knowledge management (KM) in a straightforward and accessible way, before in- troducing the various KM products and tools that BCPR recommends for use in the CPR Practice Area. It pulls together a range of resources, tools and techniques that can help us to learn from one another���s experiences and improve the way we work in crisis prevention and recovery situations. Much of the material in this toolkit will be familiar to you ��� most of us are already practising knowledge management in our day-to-day work. However, the toolkit also contains some new techniques that can be integrated into your work to en- hance further the transfer of CPR-related knowledge and expertise. If you have any additional ideas for successfully integrating knowledge management into crisis pre- vention and recovery work, or any feedback on using the tools and techniques con- tained in this toolkit, please let us know so that we can share your experiences with other colleagues in UNDP. We hope that this toolkit will prove to be a useful reference guide during your work in UNDP���s CPR Practice Area. Kathleen Cravero Assistant Administrator and Director Bureau for Crisis Prevention and Recovery United Nations Development Programme Foreword ��������������������������������������������������������������������������������������������������� vii

Want to un- derstand more about KM or seek KM support? Chapter 1: ��� What is KM? ��� KM in UNDP ��� KM and CPR Chapter 8: Glossary of KM terms Chapter 2: How to fi nd and share CPR-related information Chapter 3: What KM means on a day-to-day basis Chapter 4: Golden rules of knowledge management Chapter 2: Research online ��� Participate in CPRP-net ��� Visit CPR Practice Workspace ��� Search CPR Project Database ��� Find experts in CPR Who���s Who ��� Read mission reports ��� Explore external websites Chapter 3: Research in person ��� Participate in thematic workshops ��� Participate in or organize staff meetings Chapter 6: ��� Conduct a Peer Assist ��� Conduct an After Action Review Chapter 4: How to plan a KM product Chapter 5: How to write KM products Annex 1: Templates for KM products Section 6d: How to obtain comments and feedback Want to quickly fi nd or share CPR-related information or knowledge? Get the best out of your team: ��� New staff , use this toolkit as an introduction to KM ��� Current staff , see chapter 3 for KM on a day-to-day basis ��� Exiting staff , see section 6e on conducting a knowledge-based Exit Interview Section 5a: How to fi nalize your CPR knowledge product for publication Section 2b: External dissemination ��� Post on external CPR website ��� Feature in Quarterly CPR Newsletter ��� Organize launch event (see section 5f: How to write a Practice Note) Section 7b: Integrate KM into work planning Section 7c: Integrate KM into workfl ows and management processes ��� Analyze KM demands on staff time ��� Determine KM components within programme/project management responsibilities ��� Tie fi nancial disbursements to KM outputs and deliverables ��� Ensure that IT systems support and enhance KM Chapter 1: Understand UNDP���s KM strategy ��� Read the UNDP KM Roadmap ��� Read the CPR KM Strategy Get to know the KM tools at your disposal: ��� Chapter 5 on KM products ��� Chapter 6 on KM tools and techniques Section 7a: Develop KM strategy Section 7b: Integrate KM strategy into work planning Feed results into your updated KM strategy Flowchart: Where to fi nd what in this toolkit What do you want to know? All staff Recommended reading for: Where to look: All staff , particularly those new to UNDP and CPR issues Want to expand your knowledge on a CPR-related topic? All staff , particularly those new to CPR issues Want to codify and share knowledge? Those embark- ing on writing a knowledge product Want to build a culture of knowledge sharing and building? Managers and those with spe- cifi c knowledge management responsibility Want to develop a KM strategy and turn it into practice? Managers and those with spe- cifi c knowledge management responsibility Section 2a: In-house dissemination ��� Publish on CPR Workspace ��� Post on BCPR Intranet ��� Feature in CPR News Update Section 7d: Measure the impact of KM initiatives Integrate KM into workfl ows and man- agement processes: see box above Section 5a: How to assess demand Research: see boxes above viii

ix Introduction Knowledge management is simply the practice of capturing, storing and sharing knowledge so that we can learn lessons from the past and apply them in the future. The application of knowledge and learning is vital to improve the quality of humani- tarian and development work that ultimately seeks to alleviate suff ering, develop local capacity and reduce poverty. ���Less is more��� Prioritizing our knowledge management output and producing quality publica- tions is what this toolkit aims to achieve. Producing a few well-researched, quality products that really support practitioners working in post-crisis countries is more useful than producing a multitude of inferior-quality reports and knowledge prod- ucts. We have to consider the absorptive capacity of our target audience, particu- larly the UNDP country o��� ce colleagues who are frequently inundated with too much information. The goal of this toolkit is to encourage strategic planning and production of cutting-edge knowledge products that are clear, coherent and ad- dress identifi ed knowledge gaps. We are advocating delivering products that meet the ���golden rules��� ��� explained in the toolkit ��� to package UNDP experience with CPR in a professional and accessible format and echo agreed-upon policies. Target audience This toolkit aims to explain the theory and outline the tools used in knowledge man- agement for UNDP staff working in crisis and post-crisis situations. It is targeted at both BCPR staff and members of the wider Crisis Prevention and Recovery (CPR) Prac- tice Area within UNDP. However, many of the suggestions given here are not strictly CPR-specifi c and can be applied to knowledge management in other UNDP Practice Areas. Purpose This toolkit aims to provide ideas and entry points to a wide range of tools and methods that can help us to better share and apply the knowledge that exists with- in UNDP on crisis prevention and recovery. By working to simplify and standardize knowledge management products and methodologies, we can cut out the time- consuming process of ���reinventing the wheel��� every time we embark on a knowledge management-related task. This toolkit is one step along the road to advocating for a simplifi ed and standardized approach towards knowledge management in the CPR Practice Area. Introduction ���������������������������������������������������������������������������������������������������

��������������������������������������������������������������� Knowledge Management Toolkit for CPR x Sources Suggestions, resources and experiences from a range of sources have been used to compile this toolkit. It draws heavily on existing knowledge management practice within UNDP, as well as on outside expertise.1 How to use this toolkit and what to read when This toolkit is not intended to be read in one sitting. Rather, it should be seen as a reference guide of interest to diff erent readers for a variety of purposes. The diagram on the previous page suggests how diff erent readers might use the toolkit to answer commonly asked questions. This toolkit will also be published as an online resource and can be found at UNDP���s Crisis Prevention and Recovery Practice Workspace: http://practices.undp.org/cpr/ 1 In particular, this toolkit draws on the online Specialist Library for Knowledge Management, developed by the UK���s National Electronic Library for Health (NeLH) FAO���s ABC of Knowledge Management, which also draws on the NeLH���s materials and ODI���s Knowledge and Learning Online Toolkit by B. Ramalingam, 2006.

1 1 What is knowledge management? This chapter aims to answer the following questions: ��� What do we mean by knowledge management? ��� Why is knowledge management important and relevant? ��� What are the challenges of knowledge management, particularly in crisis or post-crisis settings? ��� Where can I go for support on knowledge management? Knowledge management can be a problematic term: it means diff erent things to diff erent people. In BCPR/UNDP, knowledge management is defi ned as ���the creation, organization, sharing, and use of knowledge for development results���. 2 Each of us has a personal store of relevant knowledge. We have all had experiences in crisis preven- tion and recovery work, whether direct or indirect. Knowledge management is the process whereby we refl ect on and share these experiences, and then collectively build on them to improve the way we work as well as the results of our work. 1 / What is knowledge management? ��������������������������������������������������������������� 2 BCPR Knowledge and Information Management Strategy for the Crisis Prevention and Recovery Practice Area, 2005.

Viewpoint ���As practitioners in the fi eld most of us have our hands full and do not have the time to think and write about the unique experiences and knowledge gained. However, by con- tributing to knowledge management, we are able to refl ect on our work in specifi c areas and codify it, the closest we ever get to sharing and storing knowledge within UNDP. Spe- cifi cally in the area of crisis prevention and recovery, which is constantly evolving, the need to share knowledge and learn cannot be over-emphasized and the CPR-net may be the only tool in UNDP that pushes me in that direction.��� Devanand Ramiah, UNDP Sri Lanka Knowledge management and information management There is a diff erence between information and knowledge management. Information and information management focuses on the collection, structuring and processing of data. Reliable and timely data is important for eff ective knowledge management, but it is only one part of the picture. Knowledge management may be derived from information, but it also implies an analysis of the information and data and an un- derstanding of that analysis. It also enables the application of that understanding in future practice. This last point is critical. It is not enough for an organization to simply ���have knowledge��� it must be able to harness and apply that knowledge to bring better results. Why is knowledge management important? There are many reasons why an eff ective system of knowledge management is im- portant. By refl ecting on and analysing our experiences, we can capture valuable insights to help improve our own performance. Sharing those distilled experiences means that collectively we can: ��� Avoid repeating past mistakes ��� Highlight good practice to be replicated elsewhere ��� Make our work more relevant, eff ective and accessible ��� Compare experiences and draw out common issues and challenges ��� Infl uence policy and strategic thinking by rooting them in experience ��� Make lesson-learning, and thereafter capacity-building, a conscious and habit- ual process within a team and/or an organization and ��� Help develop strong networks among people. What does knowledge management involve? There are many ways in which we can practise knowledge management. Often we are already doing so without realizing it. By participating in a workshop for example, ��������������������������������������������������������������� Knowledge Management Toolkit for CPR 2

3 and sharing personal experiences of what worked and what did not in a particular country or within a specifi c thematic area, we are passing our knowledge on to others. By responding to a query on the Crisis Prevention and Recovery Practice Network (see chapter 2), we are sharing knowledge that may be applied by others when faced with a similar problem. There are other more formal ways of contributing towards knowl- edge management, such as drafting a Practice Note or a How-to Guide (see chapter 5). Quite simply, though, knowledge management is about creating an environment in which people���s experience and wisdom are valued and where internal processes are structured to support people in creating, sharing and using their knowledge. Knowledge management in UNDP With the introduction of its Practice Area Approach in 2000, UNDP committed to strengthen and manage knowledge in each of its Practice Areas.3 Subsequently, UNDP introduced system-wide processes and tools to make it easier for UNDP colleagues to build, share and apply knowledge. In 2004 UNDP elaborated a Knowledge Manage- ment Roadmap 4 as a comprehensive, UNDP-wide knowledge management strategy. This strategy is the framework for knowledge management in the CPR Practice Area. UNDP���s approach to knowledge management focuses on connecting people with the knowledge they need, rather than only collecting and compiling documents in online repositories. This connecting approach stresses the two principles of knowl- edge sharing and networking. The primary mechanisms used to facilitate this ap- proach are: ��� Communities of Practice (CoPs) and Knowledge Networks, established in each of UNDP���s thematic Practice Areas to allow UNDP to fulfi ll its mandate as the ���UN���s global development network, advocating for change and connecting countries to knowledge, experience and resources to help people build a better life��� 5 and ��� Sub-Regional Resource Facilities (SURFs) and Regional Service Centres, es- tablished to better diff use and share knowledge and expertise gathered in the fi eld throughout UNDP. Knowledge management and Crisis Prevention and Recovery While knowledge management is important for all of UNDP���s Practice Areas, it plays a special role in Crisis Prevention and Recovery. Working in situations marked by a high level of violence, political crisis, or just after a natural disaster means colleagues and o��� ces must have relevant CPR expertise at their fi ngertips so they can respond and 1 / What is knowledge management? ��������������������������������������������������������������� 3 UNDP���s current development-related Practice Areas are: Crisis Prevention and Recovery, Democratic Governance, Energy and Environment, Poverty Reduction and HIV/AIDs. The functional Practice Areas are Management and Coordination. 4 UNDP Knowledge Management Roadmap. A Strategy for Developing Knowledge Management within UNDP, 2004. 5 See: http://www.undp.org/about

4 ��������������������������������������������������������������� Knowledge Management Toolkit for CPR give advice quickly and fl exibly. As natural disasters such as earthquakes, tsunamis, fl oods and hurricanes mostly hit without warning, it is important to be prepared at any moment and know in advance what to do, how to do it, and where to get ad- ditional support. Extensive planning in such circumstances is possible and necessary, but it needs to be quick and thus demands that expertise and knowledge are readily available and accessible. Before, during or after a crisis, be it an armed confl ict, elec- tion-related violence, insurgence or continuous low level of violence, response and advice need to be fl exibly delivered, well grounded, based on experience from other countries and refl ect UNDP���s policies and priorities. This requires that UNDP build a repository of knowledge, experience and people, and that UNDP colleagues apply this knowledge, strengthen it and contribute to a continuous knowledge base in crisis prevention and recovery. With UNDP spread around the globe, it is even more im- portant to have processes and tools that allow colleagues to build, share and apply experiences and insights from crises occurring in other parts of the world. In this way, mistakes can be avoided and good practice can be replicated to restore the quality of life of those aff ected by disaster or violent confl ict. There are a number of challenges inherent in knowledge management that may be felt even more keenly by those involved in crisis prevention and recovery activities. Time, for example, can be a limiting factor. Often, within a pressurized work setting, we feel as though we do not have the time to set aside for proper refl ection on past action. This can be particularly true in crisis or post-crisis situations, where the envi- ronment is often chaotic and there may be considerable pressure to act quickly to prevent further suff ering. Failing to refl ect and learn, however, can lead us to repeat mistakes. It can also result in a working environment with an emphasis on delivery and spending, without enough thought about the positive or negative impacts of our work. We have to start the knowledge management process by committing our- selves (and encouraging our senior managers to allow us) to set aside adequate time for refl ection. In the past few years, UNDP/BCPR has built specifi c tools to strengthen knowledge management in the Crisis Prevention and Recovery Practice Area: the CPRP-net facilitates the exchange of knowledge and expertise amongst UNDP practitioners through online and offl ine queries on specifi c topics related to crisis prevention and recovery. It also off ers an online Workspace with access to a wide range of CPR- related resources, regional workshops on crisis prevention and recovery themes (see chapter 2 for further details), and additional tools such as the CPR Project Database and Monthly Newsletter. To streamline its knowledge management approach, BCPR has developed its own Knowledge and Information Management Strategy within UNDP���s overall Knowledge Management Roadmap. BCPR���s overarching goal is to facilitate the swift provision of high quality support to UNDP country o��� ces and partners in the area of crisis pre- vention and recovery.