Regional, national and local level - Rio+20

RIO 2012 Issues BriefsProduced by the UNCSD Secretariat December 2011No. 10www.uncsd2012.orgRegional, national and local level governance for sustainable development 1This Brief addresses the main issues involved in strengtheninggovernance for sustainable development below the internationallevel. At the regional level, it considers how to strengthencoherence among the UN bodies engaged in providing normativeand operational support to Member States, but it also looks atthe question of broader coherence and coordination with otherrelevant institutions. At the national and local levels, the focus isprincipally on how country‐specific institutions can bestrengthened and coordinate more closely in implementingaspects of the sustainable development agenda. Finally, thequestion of coordination and linkage across governance levels –what we call ‘vertical integration’ – is addressed.Subsidiarity is a useful starting point in considering governance atdifferent levels. It states that matters ought to be handled by thesmallest, lowest or least centralized competent authority. Thisapplies in sustainable development governance as in other areas,with the possible qualification that by its nature sustainabledevelopment governance involves effective horizontal andvertical coordination among institutions.Part I: Regional landscape1. IntroductionOver the last three decades, regional integration processes havegained momentum, together with sub‐regional platforms, incoordinating effective policy actions and dialogues to address keydevelopment issues. There is an increasing acknowledgement ofthe regional dimension of development as a critical link betweenthe global and national levels.Intergovernmental regional foraThe Regional Commissions of the United Nations regularlyconvene meetings of high‐level policy makers in various domainsto deliberate on and develop policy responses to regionalsustainable development challenges as well as provide guidanceto national‐level actions within different regions.Agenda 21 and subsequent CSD decisions recognised therelevance of the regional dimension. The World Summit onSustainable Development (WSSD) reiterated and furtherstrengthened this mandate and tasked the Regional Commissionsto facilitate and promote a balanced integration of the economic,social and environmental dimensions of sustainable developmentinto their work, and into the work of regional, sub‐regional andother bodies.The Regional Commissions promote an integrative approach tosustainable development in the following ways:(i) Providing an inclusive platform for deliberation and decisionmaking on such an integrative approach, e.g., through theCommission sessions and meetings of the subsidiary bodiesof the Commissions related to sustainable development.(ii) Providing the link between the global and the national levels:e.g., Regional Commissions have led the regional preparatoryprocesses for Rio+20 collaborating closely with the regionaldevelopment banks, UNEP, UNDP and regional andsubregional organizations, as well as with the entire UNsystem through the Regional Coordination Mechanism. Otherexamples include: ECA collaboration with the AUC and UNEPin the establishment of the African Ministerial Conference onthe Environment (AMCEN), ECA’s Climate for Development inAfrica (ClimDev‐Africa) Programme, and hosting of theAfrican Climate Policy Centre (ACPC), the policy arm of theProgramme. Similarly, ESCWA closely cooperates withUNEP/ROWA and the League of Arab States (LAS) through ajoint technical secretariat for WSSD follow‐up. In the ECLACregion, the Regional Implementation Forum has convenedthe regional implementation meetings in support ofsustainable development and CSD processes. ESCAP’sregional mandate includes convening the MinisterialConference on Environment and Development in Asia andthe Pacific (MCED) as well as other Ministerial Conferences insectoral areas. ECE provides the secretariat for the“Environment for Europe” process.(iii) Setting norms and standards at the regional level: e.g., ECEconventions (including those related to water, transboundarypollution and access to information) and their associatedprotocols constitute a legal backbone for improving theenvironment in the region. The ECE, through itsEnvironmental Performance Review Programme (EPR), hasbeen providing in‐depth advice to countries with economiesin transition to improve their environmental performance.(iv) Coordination among UN organizations and entities at theregional level: through the chairing of the RegionalCoordination Mechanisms (RCMs).Some important initiatives that subsequently gained globalmomentum originated in the intergovernmental work of specificregional commissions. For example, before discussions began atthe international level on a green economy in the context ofsustainable development and poverty eradication, the Asia‐Pacificregion had a substantial body of work and intensiveintergovernmental dialogue on green growth which was laterendorsed by ECE’s “Environment for Europe” through the1

adoption in 2010 of the “Astana Initiative” as a framework forgreen economy principles in Europe and Asia and the Pacific.Regional Coordination Mechanisms (RCMs)Mandated by ECOSOC 2 , the Regional Commissions 3 hold regularinter‐agency meetings in each region to improve policy coherenceand programme coordination among the organizations of the UNsystem and non‐UN partners in that region. These meetings areconducted through the Regional Coordination Mechanism (RCM),which is chaired by the Deputy Secretary General andcoordinated by the Regional Commissions. RCM meetings focuson policy and programming issues of a regional nature and areguided by regional priorities. The RCMs in different regions haveon average a membership of 30 UN and affiliated entities,including the Regional Development Banks.The RCMs have become the vehicle for delivery of joint analyticalproducts in support of regional development frameworks.Regional UNDG TeamsThe UN Country Team (UNCT) 4 is guided and supported by theRegional UN Development Group (UNDG) Teams 5 (formerlyknown as “Regional Directors Teams”). The Regional UNDGTeams’ core functions are focused on the provision of coherentand timely technical support to UNCTs, quality assurance of UNDevelopment Assistance Frameworks (UNDAFs) 6 , performancemanagement through the Resident Coordinator (RC)/UNCTPerformance Appraisal system, and “trouble shooting” inchallenging country situations.Regional Development BanksRegional development banks 7 have emerged as important actorsfor economic integration and development at the national as wellas the sub‐regional level (e.g., ADB in the Greater MekongSubregion). They provide effective instruments to funddevelopment initiatives. Sustainability and the environment arepost‐Rio 1992 additions to the focal areas of these banks (forexample, EBRD D8 ).Regional/sub‐regional intergovernmental organizationsRegional/subregional organizations, such as the European Union,African Union, MERCOSUR, ASEAN, CARICOM and the PacificIslands Forum, to name a few, provide platforms for effectivepolicy dialogue and actions to address key development issues atthe regional and sub‐regional levels. These organizations areimportant players in determining the development agenda.Some have more comprehensive cooperation programmes thanothers for which trade cooperation and integration remains thetop priority.Regional/sub‐regional partnerships, targeted cooperationmechanismsRegional partnerships are also playing an increasingly importantrole. For example, the East Asia Climate Partnership (EACP) is acooperative mechanism that aims to tackle climate change andpromote green growth in the Asian region. In the Caribbean, theRegional Coordinating Mechanism (RCM) is a coordinationmechanism, promoting partnership among ECLAC, UNEP, theCaribbean Community (CARICOM) Secretariat, the Association ofCaribbean States (ACS), and the Organisation of EasternCaribbean States (OECS) Secretariat. In the Pacific, the Council ofRegional Organizations of the Pacific (CROP) SustainableDevelopment Working Group coordinates the activities of itsmembers, which include both UN and non‐UN sub‐regionalorganizations.How these organizations currently work togetherIn 2008, it was agreed within the UN system 9 that: RegionalCommissions lead on regional policy issues, together with thelinkages to global policy issues, with UNDG members supportingas required; Regional UNDG Teams manage country operationalwork (country programming and policy work), with the RegionalCommissions participating as needed.2. Enhancing coordination and integration ofregional governanceIt is important that regional governance institutions coordinateamong themselves and integrate effectively the social, economicand environmental dimensions of sustainable development.Regional institutions need to address region‐specific issues;manage regional spillovers, externalities, interdependencies;support national policy development and implementation withinthe region; provide region specific inputs to inform global policymaking.How well is it working at present?The functions and complementarities of the RCMs vis‐a vis theregional UNDG teams are clearly outlined, with areas of synergyidentified 10 . For example, the outcome of the policy coherencework of the RCMs, including regional and sub‐regionalframeworks, can be conveyed to regional UNDG teams to informtheir country‐level actions; whereas the country‐level experiencecan inform the regional discussions on policies. A good start hasbeen made by scheduling the meetings of the two mechanismsback‐to‐back in all regions to ensure complementarities and toallow outcomes of one to feed into the other. However, slowprogress has been recorded in the regions regarding improvingcomplementarities and synergies between the two coordinationmechanisms.3. The way forwardIdeas on how regional governance could be better integratedacross the three pillarsIssues relating to sustainable development governance at theregional level and the role of emerging new stakeholders andactors, such as the private sector, civil society, trade unions and2

farmers, could be further studied. Current inter‐linkages and gapsbetween key organizations (i.e. UN, Regional Development Banks,sub‐regional organizations) could be further analyzed to helpaddress the lack of coherence or multiplicity of integrationprocesses and initiatives. Such insights would be useful indesigning improved and more effective implementationprogrammes in the near future.Ideas on how UN agencies can work better together at theregional levelUN organizations working at the regional level should develop 11an agreed medium‐term capacity‐building framework.Stocktaking and reviews should feed into a coherent andcoordinated regional framework, informed by normative policiesformulated at the international level. To this end, the roles of theRegional Commissions and the UNDG Regional Teams areabsolutely critical. Greater coherence and cohesiveness 12between RCMs and Regional UNDG Teams should be forged. TheRCMs and the Regional UNDG teams could be linked morestrongly to ensure input from the normative regional work intothe work of the Regional UNDG teams in support of UNCTs andvice versa. Engagement and commitment at the highest level tocloser collaboration would go a long way in ensuring policycoherence and improving coordination among the workprogrammes of UN organizations at the regional level. TheRegional Commissions and UNDG, as the UN entities mandatedwith coordination responsibilities at regional level, shouldprepare a common regional roadmap on how the actions of allregional actors could be better integrated across the three pillars.The strategy should be discussed and agreed upon by all actors atthe RCMs and Regional UNDGs, operating as One UN at theregional level. Under the leadership of the Chief Executives Board(CEB), the linkages of the High‐Level Committee on Programmes(HLCP) with the RCMs (as a means of enhancing policycoordination between global and regional levels) and with UNDG(as a means of enhancing implementation at the national level)continue to be of relevance.Part II: Governance at national and local levels1. IntroductionGovernance at national and local levels can be described as theprocesses by which public policy decisions are made andimplemented. It is the result of interactions, relationships andnetworks among the different sectors (government, public sector,private sector and civil society) and involves decisions,negotiation, and different power relations between stakeholdersto determine who gets what, when and how – that is, who isresponsible and accountable for what actions.Some elements of sustainable development governance include:- integration of economic, social and environmentaldimensions across sectors and policy domains(horizontal integration);- coherence in policy design across domains withsometimes competing priorities (coherence);- inter‐connectedness between governance levels (verticalintegration and coherence);- effectiveness and efficiency of administration and publicservice delivery;- quality and inclusiveness of public policy and decisionmakingprocedures;- engagement of all constituencies of civil society throughdifferent forms of participation;- transparency and accountability.It is evident that governance for sustainable developmentinvolves a wide range of entities, networks and bodies within andoutside government that play a role in policy‐making andimplementation of sustainable development priorities. While thiscan provide flexibility and innovative solutions to challenges ofcoordination and coherence, it can in turn influence effectivenessof oversight, accountability and ultimately implementation.In the Johannesburg Plan of Implementation (para. 162a), Statescommitted to “[c]ontinue to promote coherent and coordinatedapproaches to institutional frameworks for sustainabledevelopment at all national levels, including through, asappropriate, the establishment or strengthening of existingauthorities and mechanisms for policy making, coordination andimplementation and enforcement of laws.” Furthermore, theycommitted to take immediate steps to make progress in theformulation and elaboration of national strategies for sustainabledevelopment and begin their implementation by 2005 (para.162b). It is widely recognized that such strategies can takedifferent forms such as poverty reduction strategies, nationaldevelopment plans or similar, as long as they fulfil therequirement of integrating economic, social and environmentalconcerns in a balanced and integrated manner. As of 2009, 106countries had reported their National Sustainable DevelopmentStrategies (NSDS) to the Commission on SustainableDevelopment.Local authorities, one of the nine major group sectors recognizedby Agenda 21 13 are considered the level of governance closest tothe people, playing a vital role in mobilizing and responding to thepublic to promote sustainable development. Local governmentinstitutions come in many shapes and sizes, functioning as part ofwidely varying constitutional and administrative frameworks, yetsharing some common features and responsibilities. As stated inAgenda 21: “Local authorities construct, operate and maintaineconomic, social and environmental infrastructure, overseeplanning processes, establish local environmental policies andregulations, and assist in implementing national and subnationalenvironmental policies.” Thus even when frameworks, norms and3

standards are set at a higher level of authority, local governmentspossess competencies for numerous sectors such as urbanplanning, urban management, transportation, water, wastemanagement, air quality management, public health, promotionof social services and education.There is no single model of governance of sustainabledevelopment. As a rule, however, local governments are subjectto national or regional legislation, dependent to varying degreeson higher levels of government for funding, and have limitedlegislative powers.2. An issue of integration and coherenceThere are many examples of good practices, as well as guidelines,resource materials, planning models, and tools that both nationaland local governments can use to implement sustainabledevelopment action plans or strategies. In this regard, it is wellrecognized that institutional arrangements for sustainabledevelopment are key to achieving integrated decision‐making andimplementation of sustainable development priorities.Experience has shown that a number of factors which areapplicable to most countries contribute to success:1. A high‐level government commitment to sustainabledevelopment articulated through a common vision orstrategic objective which also informs governance at the locallevel. Such commitment can follow on commitments made atthe international level which are then translated into goalsand priorities taking into account the specific nationalcontext and anchored in national legislation.2. Strong horizontal coordination and coherence mechanismsled by a high‐level government office with substantiveauthority. Such mechanisms can take a variety of forms, suchas presidential commissions, inter‐ministerial working groupsor task forces where participating entities share a commonresponsibility for ensuring integration and coherence whilemaintaining operational mandates.3. Balanced horizontal integration of policy concerns whichadequately considers synergies and trade‐offs associatedwith proposed policy measures across economic, social andenvironmental domains.4. An integrated development planning process and documentunderpinned by integrated assessment methods andappropriate measures of progress (such as indicators ofsustainable development), which ties directly to Medium‐Term Expenditure Frameworks, to ensure that integratedstrategies and policies are funded.5. Strong vertical integration which ensures alignment betweennational, regional, and local levels of government. Properalignment can reinforce and support achieving goals acrossterritories and facilitate implementation at all levels, ifadequate resources are attached, taking into account thatlocal government is often at the frontline of theimplementation challenge.6. Institutionalized processes for ensuring meaningfulparticipation of all civil society actors, including the privatesector and local government. This has been shown not onlyto facilitate public awareness regarding sustainabledevelopment issues, but to condition the quality,accountability and impact of sustainable development plans.The experience of national councils and stakeholder advisorybodies has shown their potential as a forum for opennessand transparency, articulating priorities and concerns, andmonitoring progress made in achieving sustainabledevelopment goals.7. In this regard, access to data and information is not onlycritical to goal setting and as a communication and outreachtool for engaging stakeholders, but experience has shownthat increased access to high quality up‐to‐date informationcan serve as an integration tool in and of itself. In manycases, access to information on government budget andexpenditures provides a critical tool for accountability andtransparency.8. The national sustainable development strategy processimplies a continuous iterative process encompassingarticulation of priorities, monitoring, evaluation and reviewto ensure progress in implementation and accountabilitywhile allowing for adjustments in priority setting andimplementation actions responding to new and emergingchallenges.9. Lastly, some countries have found it useful to undertakevoluntary sharing of experiences or reviews vis‐à‐vis othercountries engaged in similar strategy processes. This createsan opportunity to reflect on good governance experience andidentify gaps and potential remedies in a collegial setting.3. Particular challenges at the local levelDecentralization and devolution of functions and responsibilitiesto local governments has sometimes occurred without theaccompanying resources and legislative powers. Local authorities,with sub‐regional and national spheres of government “above”them, are especially prone to unfunded mandates. Anotherdimension is that reforms granting local governments newpowers and responsibilities should go hand‐in‐hand with newpublic accountability mechanisms. There is also room to explorenew forms of social accountability mechanisms, such as citizenoversight bodies and participatory budgeting, which enable directengagement of citizens with government and complement moretraditional public accountability mechanisms.4. UN system support at country levelWhile implementation of sustainable development priorities isthe sole responsibility of governments, a number of internationalactors are engaged at the national and local levels to providesupport in one or several areas of concern.4

Resident UN agencies, non‐resident UN agencies (NRAs) andinternational financial institutions (IFIs) all form part of UnitedNations Country Teams (UNCTs) to varying degrees. UN‐HABITAThas been supporting local governments around the world inenhancing local leadership for sustainable development.Experience reported by country teams suggests that, in order toachieve the necessary level of capacity to support nationalinstitutional arrangements for sustainable development, a furthersystematized inclusion of the expertise of NRAs and IFIs at thecountry level would be an advantage. Typical areas of suchsupport include the development of national strategies,regulations, frameworks and policies, but also capacity building ofall stakeholders at all levels. Well functioning UNCTs have thepotential to provide support by providing policy guidance;developing indicators and other measurements; building capacityof government to deliver on commitments; improvinginformation sharing and knowledge networking; finally, linkingissues/frameworks for greater cross‐sectoral cooperation.5. The way forwardThough many implementation measures have been taken bygovernments and non‐government stakeholders alike, barriers toimplementation such as fragmented decision‐making, conflictingpolicy targets and insufficient or ineffective coordination persist.The lessons learnt from the past 20 years should provide a basisfor the further improvement of governance at the national andlocal levels. This includes seeking a renewed attention to nationaland sub‐national sustainable development strategies as a keyvehicle for integration and coherence in sustainable developmentpolicy design and implementation, if appropriately linked withresource mobilization.There is a need to pursue cooperation and integration along twoaxes – vertical and horizontal. All governance levels from localthrough global need to be vertically interconnected, knittingtogether sometimes fragmented and overlapping governancearrangements. This is sometimes referred to as the notion ofmulti‐level governance. The strategies and SD policies at the locallevel should be integrated into sub‐national and national plansand processes for SD.In the context of many “emerging issues” such as climate changeand rapid urbanization in many parts of the world, localauthorities’ frontline responsibility for provision of basic servicesand spatial planning places intense strains on their institutionaland human capacities. The sustainable developmentimplementation gap can therefore only be closed if the capacitiesof local authorities are significantly strengthened.Future efforts should enhance capacity building for localauthorities and ensure that resources follow implementingauthority. For local authorities to be successful in their work forsustainable development, it is crucial that favourable conditionsare put in place by national governments, since there is a limit towhat local authorities can achieve on their own. It is imperativethat decentralization policies are accompanied by all the neededpolitical, legal and financial support that local authorities need forimplementing their localized strategies for sustainability.At the heart of the debate on institutional strengthening andcapacity development are the use of data and information tobuild consensus and support decision making in an integratedmanner, the ability to provide leadership on cross‐sectoral issues,and the reinforcement of analytical and strategic planningcapacities for multi‐sectoral issues. The enabling environmentwithin which this can happen is a key dimension of capacitybuilding at the local level.Looking forward, UNDG and entities at headquarters could beencouraged to strengthen support for the further application ofgood practices at country level in furtherance of governance forsustainable development, including in the areas of developingsuitable coordination mechanisms that address sustainabledevelopment in its totality; integration and coherence in policydesign; support for meaningful stakeholder participation indecision‐making; outreach and communication. In addition,opportunities could be sought to facilitate learning and sharing ofexperiences among peers, including through use of technologicalinnovations.The purpose of the Rio 2012 Issues Briefs is to provide a channelfor policymakers and other interested stakeholders to discuss andreview issues relevant to the objective and themes of theconference, including a green economy in the context ofsustainable development and poverty eradication, as well as theinstitutional framework for sustainable development.For further information on this Brief, contact Friedrich Soltau(soltau@un.org).1We would like to acknowledge inputs received from the Regional Commissions,UNESCO, GEF, UN‐HABITAT, UNEP and UNDP.2Resolution 1998/463CEB/2009/HLCP‐XVII/CRP.24The main purpose of the UN Country Team is for individual agencies to plan andwork together to ensure inter‐agency coordination in delivering tangible results insupport of the development agenda of the Government. Source:http://www.undg.org/index.cfm?P=1257.5http://www.undg.org/index.cfm?P=6846The UN Development Assistance Framework (UNDAF) is a programme documentbetween a government and the UNCT, describing collective actions and strategiesof the UN to support national development. The UNDAF includes outcomes,activities and UN agency responsibilities that are agreed by government.7The African Development Bank, Asian Development Bank, European Bank forReconstruction and Development, and Inter‐American Development Bank Group.5

8 http://www.ebrd.com/downloads/research/sustain/sr10e.pdf9 “The Regional Dimension of Development and the United Nations System”, draftunedited version (4 Oct 2011).10“The Regional Dimension of Development and the United Nations System”,draft unedited version (4 Oct 2011).11Recommendation 4 of “The Regional Dimension of Development and the UnitedNations System”.12Recommendation 6 of “The Regional Dimension of Development and the UnitedNations System”.13Agenda 21, Section III, Chapter 28:http://www.un.org/esa/dsd/dsd_aofw_mg/mg_locaauth.shtml6