| United Nations | A/50/202-E/1995/76 |
General Assembly
Economic and Social Council
Distr. GENERAL
7 September 1995
ORIGINAL:
ENGLISH
GENERAL ASSEMBLY ECONOMIC AND SOCIAL COUNCIL
Fiftieth session Substantive session of 1995
Item 99 (a) of the provisional agenda A/50/150. Item 4 of the provisional
OPERATIONAL ACTIVITIES FOR DEVELOPMENT: agenda E/1995/100.
95-27449 (E) 051095/...
*9527449*
TRIENNIAL POLICY REVIEW OF OPERATIONAL OPERATIONAL ACTIVITIES OF
ACTIVITIES FOR DEVELOPMENT OF THE THE UNITED NATIONS FOR
UNITED NATIONS SYSTEM INTERNATIONAL DEVELOPMENT
COOPERATION
Triennial comprehensive policy review of operational activities
for development of the United Nations system
Report of the Secretary-General
I. INTRODUCTION
1. In accordance with General Assembly resolution 47/199 of 22 December
1992 on the triennial policy review of the operational activities for
development within the United Nations system, an analysis of the
implementation of the resolution in the form of an interim report was
submitted to the Economic and Social Council at its substantive session for
1995 (E/1995/98). It was indicated therein (para. 3) that the
recommendations of the Secretary-General which had been requested in
paragraph 55 of resolution 47/199 would be submitted following the
preliminary consideration of this subject during the operational activities
segment of the Council and that the interim report would be finalized in
time for the triennial comprehensive policy review.
2. Accordingly, the Secretary-General is submitting his recommendations,
taking into account the discussions on this subject during the Council's
substantive session of 1995, the additional information provided by
countries since the interim report, and the views of the appropriate inter-
agency bodies. The updated interim report, which takes account of
additional questionnaire responses submitted by Member States, appears in
the annex.
3. The findings and recommendations that follow take as their starting-
point the position enunciated by the Secretary-General in his report on an
agenda for development with respect to operational coordination which
stated that:
"Efforts to enhance operational coordination within the United Nations
should endeavour to achieve the benefits of a unified system, while
preserving the strength of the current approach.
"Such efforts should be aimed at the following objectives, among others:
building a more integrated, efficient and effective framework through which
the United Nations can better assist countries in realizing their
development objectives, including clearer and more complementary definition
of the roles and missions of the various components; eliminating
duplication and fragmentation; strengthening leadership and cooperation at
country, regional and headquarters levels; strengthening United Nations
capabilities in the coordination and delivery of humanitarian assistance,
the linking of emergency relief and development, and in the promotion of
preventive and curative development; mobilizing analytical and normative
capacities and strengthening the role of the Organization in interrelated
areas such as trade and access to technology, in support of operational
activities; defining the appropriate level - country, region or
headquarters - for activity on various issues; integrating the regional
commissions with the development work of the Organization as a whole;
strengthening the resident coordinator and country-driven approaches;
streamlining the delivery capacity of the United Nations through common
premises, the programme approach and common programming cycles; and
achieving more rapid and aggressive implementation of General Assembly
resolutions 44/211 and 47/199, including the country strategy note and
other tools, for a more integrated United Nations response to country
priorities" (A/49/665, paras. 86-87).
A. Context
4. The fiftieth anniversary celebration provides an opportunity to reflect
on the future scope and nature of the operational activities for
development within the United Nations system and to give further impetus to
the reform process already under way, particularly in the interconnected
areas of governance and resources - carried out within the framework of
General Assembly resolution 48/162 - and enhanced coherence, efficiency and
effectiveness - promoted by General Assembly resolution 47/199.
5. The outcome of the current intergovernmental discussions on an agenda
for development will undoubtedly have a bearing on the future of
operational activities. This process should provide an opportunity to
reaffirm the commitment to and recognition of the unique advantages to
Member States both individually and collectively of development cooperation
provided through the United Nations system.
6. The contemporary development context includes a greater degree of
heterogeneity not only in the levels of development of countries but also
in their perceptions of the role of external aid in general and, more
particularly, in the use of United Nations development resources.
7. Official development assistance in general, and the development
activities of the United Nations system in particular, are affected by
stagnant and, in some cases, declining resources in real terms. There have
also been repeated calls to enhance the efficiency and effectiveness of the
United Nations system development assistance within existing resources. At
the same time, the increase in humanitarian emergencies during the past few
years has led to renewed attention being given to linkages between
development and emergency assistance. These developments raise questions
as to how best to put to use United Nations system operational activities
so as to yield optimum results and maintain the attention and commitment of
donor countries.
8. The United Nations system is being asked to help Governments address
major development problems that go far beyond the financial resources that
the system can make available. For operational activities the gap between
what Member States seek and what can be responded to by the system is large
and widening.
9. Within this changing environment, operational activities are adapting
to new requirements of recipient countries. As shown in the annex, demand
for the development services provided by the United Nations system is
increasing in scope and volume both in traditional and in new areas. These
resources are increasingly used by some Governments to support national
reconstruction, relief and development, administrative and institutional
reform, disaster management, drug control and activities related to human
rights. At the same time, programme resources are becoming scarcer,
requiring an increased attention to priority-setting.
B. Implementation of resolution 47/199
10. The preparatory process for the present report followed a two-track
approach: detailed questionnaires sent to Governments and organizations of
the United Nations system and the resident coordinator system, and case
studies drawn up on the basis of country missions. While the annex is
based primarily on the analysis of data collected, especially from
Governments, the policy recommendations have benefited from the
deliberations and resolutions of the Economic and Social Council at its
substantive session of 1995. The principal findings emerging from the
addendum are described briefly below.
11. The annex lays out the changing trends in operational activities and
deals with the broad themes of programme development and implementation,
United Nations system coordination mechanisms at the global level in
support of country actions, the resident coordinator system and programme
support. It provides a summary analysis of the results of the review
noting the directions and demands, the shift from individual projects to
support of and inputs to national goals and strategies, the broadened reach
and range, the growing importance of humanitarian aid and the imperative of
enhanced cooperation with the Bretton Woods institutions (BWIs). It deals
with the growing upstream role of the United Nations system in some
countries; the increasing specificity of country contexts; the differing
perceptions of how and where United Nations system assistance can make a
development difference; evaluation, monitoring and review; and the cross-
cutting nature of capacity-building.
12. There is a broad consensus that developing countries' capacities
require selective strengthening in order to achieve greater self-reliance.
This needs to be done in new and more effective ways to promote a
coordinated response which is effectively integrated into national priority
programmes.
13. The annex reviews a number of coordination mechanisms and operational
modalities such as the country strategy note, harmonization of the
programming cycles, the programme approach and national execution. The
country strategy note has been generally welcomed as a promising basis for
better and more coordinated United Nations system operational activities in
support of national plans, strategies and priorities. The report indicates
the current status of the adoption and implementation of the country
strategy note in Member States. Six States have completed the country
strategy note and a total of 85 States are in the process of preparing it.
Six States have formally decided that they do not wish to implement this
measure. The United Nations system and resident coordinators are also
playing a strong and active supporting role.
14. Increasingly, developing countries are shifting from project technical
cooperation towards modalities that emphasize support for national
programmes, around which the United Nations system inputs are mobilized in
a flexible manner, and often linked to other sources of external financing.
There are more requests for upstream policy advice and technical support,
with the result that policy-making, normative analysis and technical
assistance are being brought together.
15. National execution has been widely welcomed by recipient countries as
a major means of promoting the national management of United Nations
development assistance and is increasingly the preferred modality by the
United Nations system operational activities. While traditional agency-
executed activities have markedly diminished, as concerns their involvement
in nationally executed activities the trend appears to be to obtain their
technical services more selectively, particularly through short-term
expertise. Adjustment by the organizations to the new situation has not
been without difficulty in several instances.
16. The annex provides a broad overview of the work of the Consultative
Committee for Programme and Operational Questions (CCPOQ) of the
Administrative Committee on Coordination (ACC). Under the guidance of ACC,
CCPOQ has made important contributions to the implementation of General
Assembly resolution 47/199, in particular to the strengthening of the
resident coordinator system, by agreeing to a statement on the role and
function of the resident coordinator system, developing guidelines on the
country strategy note process, developing common system-wide
interpretations of the programme approach, and promoting national execution
and common operational activities training. The Inter-Agency Working Group
on Monitoring and Evaluation has prepared proposals on the harmonization of
monitoring and evaluation as a step towards developing common principles
and policies for the programme approach.
17. The Joint Consultative Group on Policy (JCGP) and its working groups
and committees have devoted much of their attention to the implementation
of resolution 47/199. Significant progress has been achieved in areas such
as the harmonization of programme cycles and harmonization of key
terminology in the United Nations development system and the planning of
common premises. Concerning the harmonization of programming cycles, those
JCGP organizations which have programming cycles (United Nations
Development Programme, United Nations Children's Fund and United Nations
Population Fund) have achieved about 80 per cent harmonization in all
countries or expect to do so in preparing the next country programme or
similar instrument.
18. The resident coordinator system, over the last three years, has
undergone considerable strengthening and enhancement in a number of
substantive areas, involving subjects such as the preparation of the
country strategy note and the application of the programme approach and
national execution. The procedure for selection and appointment of
resident coordinators has been improved. Steps were taken to strengthen
the resident coordinator system which are described in the annex, including
the widening of the pool for recruiting resident coordinators, the
development of a new statement on the role and functioning of the resident
coordinator system, the provision of substantial financial support by
decision of the Executive Board of UNDP in June 1995 and by intensifying
the number and frequency of training workshops and other measures.
19. Many United Nations system organizations have introduced, over the
last three years, changes in their organizational and management structures
and practices, not only in response to General Assembly resolutions but
also as an ongoing process of streamlining, simplifying and enhancing the
impact and effectiveness of their activities, as directed by their own
governing organs. Decentralization and empowerment of field offices are key
elements in these efforts.
20. The annex also provides information on other issues, such as common
premises and common services, accountability, monitoring, evaluation and
audit.
C. Recommendations
1. Role of the Economic and Social Council
21. General Assembly resolution 48/162 on the restructuring and
revitalization of the United Nations in the economic, social and related
fields envisages that the General Assembly and the Economic and Social
Council should supervise the activities of the United Nations funds and
programmes and provide overall policy guidance to their executive boards,
which will be subject to the authority of ECOSOC. The role of ECOSOC in
ensuring coherence in the policy approaches of the United Nations funds and
programmes is critical to enhance the collective efficiency and impact of
operational activities at the country level. The Secretary-General has
made recommendations on this topic separately in his reports concerning an
agenda for development.
22. ECOSOC's relationship to the Executive Boards of the funds and
programmes needs further consideration. Building on the experience of the
past three years, greater efforts need to be made to bring country
experience to bear on the policy role of ECOSOC. As a means of providing
substantive support to ECOSOC in monitoring the implementation of General
Assembly resolutions, consideration should be given to strengthening the
capacity of the United Nations system to undertake evaluations of the
impact and effectiveness of operational activities.
23. Concerns about the efficiency and effectiveness of the United Nations
system operational activities have been addressed both individually and
collectively by organizations, intergovernmental bodies and inter-agency
bodies as detailed in the annex and the Secretary-General's annual reports
to the Council in 1993 and 1994 on operational activities. In future
renewed efforts need to be made to ensure consistency in the individual
actions taken by all bodies and organizations with the provisions of the
relevant General Assembly resolutions. Improved monitoring of the
implementation of policy guidelines emanating from the comprehensive policy
review is necessary to ensure more effective and coordinated support of
country-level action.
Recommendation 1
24. ECOSOC, in reviewing the annual reports of the Executive Boards of the
United Nations funds and programmes, should ensure that the activities and
operational strategies of each fund or programme are consistent with each
other and mutually supportive, within the overall policy guidance of the
General Assembly and ECOSOC; that the results and impact achieved are
commensurate with the resources and efforts devoted to them; and that the
provisions contained in any future triennial policy resolutions are being
implemented fully and consistently.
Recommendation 2
25. Additional practical steps to facilitate greater operational
coordination are needed. Building on recent experience, joint reviews of
country strategy notes and country programmes by the Executive Boards
should be further developed, in order to improve the linkages between them.
Consideration might be given to utilizing these reviews to identify
shortfalls in the resources required to carry out principal activities
identified in the programming process.
Recommendation 3
26. A common approach to the undertaking of country visits by members of
the various Boards and intergovernmental bodies of the United Nations
system dealing with operational activities should be instituted. More
systematized informal exchanges in connection with Board meetings with
senior representatives of the United Nations system at the country level
and with national officials responsible for development coordination should
be established in the context of Board meetings and other intergovernmental
sessions.
Recommendation 4
27. Specific areas falling within the responsibility of various
organizations and intergovernmental bodies such as common premises, sharing
of services, simplification and harmonization of procedures and other
management action to enhance efficiency should be reviewed periodically by
relevant subsidiary bodies of ECOSOC and other governing bodies of the
United Nations system and simple reports following the same structure
detailing specific management and Board action over a given time period
should be submitted to ECOSOC.
2. Improved substantive dialogue at country level
28. Over the last decade, much development assistance has gone into
efforts to adjust economies to the effects of world recession, to evolving
concerns about governance, equity and environmental and economic
sustainability, and to continuing concerns over poverty and demographic
issues.
29. Short-run, macroeconomic stability, a necessary foundation for long-
term development, has been achieved in many developing countries. It is
necessary for countries to go beyond adjusting to relatively short-run
shocks, and to formulate the longer-term vision and strategy needed to
mobilize their societies for their own development. In order for them to
do so, there is an identified need to strengthen the policy dialogue within
the country.
30. The resident coordinator system should be an important vehicle in
supporting, within the framework of national priorities and management
arrangements, this policy dialogue as well as processes which facilitate a
clear dialogue between Government and its external partners. The objective
should be better mutual understanding both of the country's problems and of
proposed solutions, including the international community's contribution to
them.
31. The increased use of global conferences by the world community to
address problems and issues that are of genuine concern to all nations is
making an important contribution to operationalizing the concept of a
global compact and creating a body of global priorities. While the
principal responsibility for the implementation of the outcome of these
conferences rests with each country, the United Nations system has been
mandated by governing bodies to support national efforts utilizing the
country strategy note, the resident coordinator system and other relevant
mechanisms and tools.
32. The United Nations system is organizing itself to respond to cross-
cutting issues emerging from these mandates by means such as inter-agency
bodies and task forces led by different lead agencies. The Inter-Agency
Committee on Sustainable Development for the implementation of Agenda 21
and the Inter-Agency Task Force for the implementation of the Programme of
Action of the International Conference on Population and Development are
examples of such arrangements. In this way, it seeks to optimize its
collective support for the implementation of global compacts and the
commitments contained within them agreed upon at global conferences.
33. At its substantive session of 1995, ECOSOC addressed the question of
the coordinated follow-up to, and implementation of, results of the major
international conferences in the economic, social and related fields. In
section II of its agreed conclusions the Council stated that "in line with
General Assembly resolution 47/199 the resident coordinator, in
consultation with the Government and in the light of national priorities,
could utilize thematic groups composed of the agencies concerned, with a
designated lead agency or task manager under his or her overall leadership,
to serve as the coordination mechanism with the responsibility of
developing integrated approaches for the realization of common goals,
including, where appropriate, the development of a common data system at
the national level to facilitate reviewing and reporting on the progress
achieved".
34. The United Nations provides support to national programmes, including
supporting governmental efforts to mobilize the required resources from a
variety of donors. A delicate balance exists, in the context of
operational activities, between advocacy of internationally agreed targets
and respect of the prerogative of each country to establish its goals and
priorities. The time-tested comparative advantages of operational
activities - flexibility, neutrality and national prerogative to choose the
areas of United Nations system support - need to be recalled.
35. Under the leadership of the resident coordinator, thematic teams are
being organized with designated lead agencies and task managers. They help
to develop and implement common approaches in accordance with national
priorities, taking into account the country strategy note where it exists
and the framework designated by Government where it does not. Follow-up
will be more effective if the common approaches and programmes agreed for
the country in these areas are reflected systematically in the policy
framework papers agreed with the World Bank and the letter of intent agreed
with the IMF. The resident coordinator system at the country level will
set up a common data system to facilitate monitoring of progress in these
areas.
Recommendation 5
36. Recipient countries should be encouraged to establish or strengthen
the appropriate forums and mechanisms that facilitate and guide the policy
dialogue among the different partners in the development process in
consultation with the local representatives of the donor community. The
United Nations system should be ready to support this process as requested
by Governments. It should equip and staff itself accordingly.
3. Resources
37. The funding of operational activities is the subject of consultations
as provided for in General Assembly resolution 48/162, annex I. In support
of these consultations, the Secretary-General has submitted two reports
(A/48/940 and A/49/834) containing options to improve the current funding
system. This subject was also dealt with in the Secretary-General's
recommendations on an agenda for development (A/49/665). Addendum 1 to the
present document provides the most recent data on resources of the funds
and programmes of the United Nations and addendum 2 provides detailed
income and expenditure figures up to 1993.
38. These reports illustrate that, while demand for operational activities
of the United Nations system has expanded, programmable, central resources
have declined. Significant increases in non-core, supplementary and
emergency resources have altered the composition of resources. Volatility
in contributions and the stagnation in resources, and in some cases actual
reductions, are having serious consequences.
39. The review confirms that more predictable funding would promote the
efficiency and the impact of operational activities. Proposals have
already been made for a "mixed" system, which would include assessed dues,
negotiated pledges and voluntary contributions. Since sufficient grant
resources have not been forthcoming on a voluntary, predictable and assured
basis to support operational activities at the level required,
consideration needs to be given to a funding system which would place
operational activities on a more viable basis.
Recommendation 6
40. The negotiations on a new, improved funding system should be re-
energized by all parties to achieve a better system which ensures
"mechanisms for all participating countries to demonstrate their
responsibility and commitment to the programmes and funds" (General
Assembly resolution 48/162, annex I, para. 32).
Recommendation 7
41. The triennial review process should be linked with the consultations
on a new funding system carried out within the framework provided under
General Assembly resolution 48/162, annex I, paragraphs 31-34. The
consultations should lead to an improved funding system that would ensure
predictable resources. Further consideration should be given to the options
presented in the Secretary-General's reports cited above.
4. Resident coordinator system
42. The resident coordinator system has been assigned a central role in
enhancing the United Nations system coordination at the country level and
in integrating it into the national development process. General Assembly
resolution 47/199 has elaborated the functions of the resident coordinator
system and there has been a system-wide effort to put it into effect.
43. As part of this effort, the Secretary-General, in July 1994, in
addition to requesting the Administrator of UNDP to assist him in ensuring
policy coherence and enhancing coordination within the United Nations in
the economic, social and related fields, entrusted the Administrator with
overall responsibility for assisting him in improving the coordination of
operational activities for development, including the strengthening of the
resident coordinator system; subsequently, a series of steps were taken to
implement this decision. Recently the UNDP Executive Board approved the
use of 1.7 per cent of UNDP's resources to support the resident coordinator
function.
44. At the country level, the Government, as part of the management of its
own development, has the primary responsibility for coordinating all types
of external assistance on the basis of national priorities and strategies.
The resident coordinator system seeks to facilitate and support the
exercise by Government of this coordination responsibility. The support
given by the resident coordinator is more effective where the Government
has clearly articulated its policies and programmes and defined the role it
expects of the resident coordinator system in support of its national
objectives.
45. In his recommendations the Secretary-General has been guided by the
following approach to how the current system could operate at the country
level: (i) the country team would be endowed with as many technical
capacities as resources permit; (ii) its composition would reflect the
needs that the country has defined and which the Government and the United
Nations system have mutually decided to be the most pertinent; (iii) the
United Nations system representatives would work as a team stressing
collaboration rather than control with due respect for different mandates
and the advocacy responsibility associated with them; (iv) the team would
keep in view these mandates in pursuing government priorities and
supporting the Government in solving the development problems of the
society; (v) the team would support the Government's efforts to implement
its programmes and its task of coordinating other external inputs into its
programmes; and (vi) they would also help support nationally led monitoring
and evaluation of national development programmes.
46. Important cooperative initiatives have been launched by the United
Nations system in many countries. In some countries, resident coordinators
were called upon to provide substantive leadership in cross-cutting issues
such as human immunodeficiency virus/acquired immunodeficiency syndrome
(HIV/AIDS) or follow-up to the United Nations Conference on Environment and
Development (UNCED). In others they have been asked to play important
roles in post-conflict peace-building and in meeting humanitarian crises in
several countries.
47. While there has been a great deal of focus on the resident
coordinators and the need for them to have an appropriate mix of skills,
there has been less consideration of the resident coordinator system and
the requirements needed to make it work effectively particularly in
substantive programme areas.
48. The use of workshop training techniques in team-building at the
International Training Centre of the ILO at Turin, Italy, has generated
improved cooperation at the country level, and these techniques should
continue to be used. Furthermore, the training course for resident
coordinators initiated in September 1994 should be expanded and become an
integral part of the assignment of new resident coordinators.
49. As regards a unified approach in accordance with paragraph 49 of
General Assembly resolution 47/199, the experience with the new offices
that have been established is still too fresh for a full assessment of
their impact and effectiveness but the limited data available from the
country missions do suggest that the United Nations development system is
more effective the more integrated its presence is.
50. The resident coordinator system should be seen to function as the
extension of the United Nations system operational activities at the
country level with the resident coordinator serving as the team leader.
Given their increasing responsibilities in coordinating the operational
activities of the United Nations system, the priorities to which a resident
coordinator should devote his/her time will be clearly delineated in each
country based on national priorities and the programmes and strategies for
which the United Nations system has a mandate and a capability.
51. The resident coordinator system function will be reinforced by
appropriate administrative and financial decentralization of all United
Nations system activities to enhance efficiency, ensure output and results
and strengthen substantive accountability.
52. Arrangements will be made to ensure that all representatives of the
United Nations system at the country level are more active and fuller
participants in the resident coordinator system. Moreover, ACC has agreed
in its statement on the role and functioning of the resident coordinator
system on a series of steps to deal with organizations of the system
without field representation. Both the resident coordinator and agency
representatives will be held accountable by their respective organizations
for the effective and coherent functioning of the system at the country
level.
53. The United Nations system will strive to utilize more effectively and
efficiently available resources in support of operational activities for
development. The United Nations system will use the new information
technologies to enhance the efficiency of internal operations and
management in support of operational activities as well as to improve the
effectiveness of coordination within the system as a whole.
54. Steps will also be taken to ensure that the resident coordinator
system at the country level will be endowed with the information
technologies, staffing and access to the analytical capacity of the United
Nations development system in order to facilitate efficient and up-to-date
access to all the services and capacities of the United Nations system.
Recommendation 8
55. Given the growing responsibilities of the resident coordinator, it is
important that, in addition to the resources provided by the UNDP Executive
Board, the resident coordinator system should have supplementary resources,
either financial or in kind, drawn from the entire United Nations system to
support system efforts.
Recommendation 9
56. In accordance with paragraph 39 (g) of General Assembly resolution
47/199, the responsibility and authority of the resident coordinator should
be enhanced for the planning and coordination of programmes and to allow
him or her to propose, in full consultation with the Government, to the
heads of the funds, programmes and specialized agencies, the amendment of
country programmes and major projects and programmes, where required, to
bring them into line with the country strategy note.
Recommendation 10
57. The United Nations system country team should be requested to organize
a single review committee for the purpose of reviewing substantive
activities prior to their approval by individual organizations and for
considering the results and lessons learned from any periodic reviews or
evaluations and feeding them back into operations.
5. Country strategy note
58. The country strategy note is a major step towards achieving conceptual
and operational coherence at the country level. As established in General
Assembly resolution 47/199, it is designed to harmonize and integrate the
United Nations system activities at the country level into national
priorities and to provide a basis for their monitoring and evaluation.
59. The progress achieved in the extent of its use has been uneven,
reflecting its optional nature and varying perceptions of its utility
relative to existing processes and national mechanisms. The experience
gained so far suggests that the success of the country strategy note
depends on the interest and involvement of national authorities.
60. The review found that the United Nations system welcomes the
formulation of the country strategy note as a strategic tool to harmonize
national priorities with the United Nations system's comparative advantage.
61. The analysis of the country strategy note process in countries where
the country strategy note is under implementation shows that the process
requires a period of preparation to ensure broad and effective
participation. The drafting of the country strategy note can be complex
and time-consuming, but the consultative process both with the Government
and within the country team has proved to have intrinsic value. Experience
shows that a number of conditions have been crucial for its effective
progress:
(a) Full participation and leadership of the Government;
(b) Effective information sharing;
(c) Adequate support to country teams from the United Nations system;
(d) Full participation of the United Nations system and its
organizations (including those not represented in the country).
Recommendation 11
62. Each Government should continue to decide whether to proceed with the
country strategy note in consultation with the resident coordinator system,
and on the form as well as on the process to be established for its
formulation. All concerned United Nations system organizations should
provide in-kind and/or financial support, as required, to the common
initiatives promoted to assist the Government in formulating and monitoring
the country strategy note, including training activities and background
analysis.
Recommendation 12
63. The country strategy note should be the common country framework for
country programmes of United Nations system organizations and the key
framework for both the Government and the United Nations system
organizations in programming, monitoring and evaluating United Nations
system operational activities for development in the country. The document
should outline the contribution that the United Nations system can make to
responding to the requirements included therein, including an indication of
the level of resources needed. Broad, well-defined, monitorable targets
should be a part of the country strategy note. Monitoring and evaluation
of the impact of operational activities should be a standard part of the
follow-up of the country strategy note process.
Recommendation 13
64. Governments should consider using the country strategy note as a basic
input to the Consultative Group and Round Table processes. Governments
should also consider the country strategy note as a tool for resource
mobilization, with the support of the resident coordinator system, to
achieve national priorities that are receiving United Nations system
support.
Recommendation 14
65. The Bretton Woods institutions should be encouraged to be actively
involved in the formulation of the country strategy note if the Government
so decides. Clear links between the country strategy note process and the
planning and programming processes and instruments adopted by those
institutions should be established.
6. Programme approach
66. Significant progress has been made by the system in implementing the
programme approach. Given the diversity of mandates and the variety of
countrylevel activities, operational interpretations of the approach and of
the guidelines vary. There is a need to analyse the experience gained to
date and to feed it back into operations, improving guidelines continuously
in the light of best existing practices.
67. Resolution 47/199 envisages that where Governments do not have
programmes the United Nations system should help to formulate them.
Accordingly, in certain cases, the United Nations system has proceeded to
support the formulation of such programmes. In some instances the United
Nations system has prepared programmes but these have not necessarily been
fully transformed into specific elements or inputs into coherent national
programmes, owned and managed by Governments as contemplated in the
programme approach. The programme approach remains an important element,
none the less, in better integrating United Nations system efforts with
national priorities and plans.
68. Smaller specialized agencies have pointed out that the programme
approach tends to focus on broad thematic issues while they are more
concerned with highly focused subsectoral issues and that operational
activities should remain flexible to meet requirements in these specific
technical areas.
69. The programme approach is not an end in itself. It is a tool designed
to integrate operational activities more effectively into national efforts.
As such, given the diversity of countries' development needs and
circumstances, there will remain occasions when a project may be the
appropriate vehicle for United Nations system support.
Recommendation 15
70. The United Nations system organizations should continue to play a
strong role in helping countries, at their request, to prepare coherent
national programmes, to implement them and to monitor and evaluate them.
Care should continue to be devoted to seeing that United Nations system
substantive and technical inputs are fully integrated into such national
programmes and that the United Nations system, as appropriate, assists the
Government in mobilizing resources from a variety of sources in support of
these programmes.
7. National execution
71. National execution has proved to be a valuable and cost-effective
modality involving national management, the creation of self-reliant
capacity and the close integration of the United Nations system's
development cooperation into national activities. Its use as an executing
modality has significantly increased since the last triennial comprehensive
policy review of operational activities, most noticeably in UNDP-assisted
programmes and projects. Owing to the nature of their operations the other
JCGP agencies already employ national execution extensively.
72. The operational activities financed through other sources such as
multi-funding and funds-in-trust arrangements and carried out by United
Nations specialized agencies continue to be agency executed in conformity
with the wishes of the funding source concerned and to reflect the
substantive accountability requirements of the donor.
73. The shift to national execution in UNDP-supported projects has reduced
the executing role of some United Nations system organizations,
particularly those without field presence. The involvement of some United
Nations specialized agencies as implementing or cooperating agencies in
national execution projects providing technical support has not developed
as expected. National execution is still largely Government execution and
the use of non-State organizations as executing agencies is limited.
74. Although national execution is accepted as the preferred modality and
is widely adopted, the extent of its application in individual countries is
not a simple function of the national capacity for execution and is a
reflection of a range of factors. Administrative burdens placed on
countries, particularly reporting requirements, continue to constitute an
obstacle. Reporting requirements should be simplified and brought into
line with national financial management and audit systems as long as
internationally accepted standards of accountability are observed. None
the less, there is general agreement that it is effective and responsive to
national needs and resources, and there is increasing evidence through
evaluation to substantiate this conclusion.
Recommendation 16
75. The expansion of national execution should be continued on a
situationspecific basis. Mechanisms currently in place to finance and
ensure more effective and systematic support by the United Nations
specialized agencies to UNDP-funded projects should be strengthened.
Special attention needs to be paid to accountability issues. Reporting
requirements should be simplified and brought into line with national
systems.
8. Harmonization and simplification of rules and procedures
76. General Assembly resolution 47/199 emphasized the need for
harmonization and simplification of the rules, procedures and formats of
the United Nations system organizations so as to reduce the burden on
Governments and to enhance the effectiveness of operational activities.
Progress has been made in the harmonization of the programme cycles of JCGP
organizations with those of national plans. The United Nations system
organizations have initiated several measures, both at their headquarters
as well as in the field, to simplify their procedures and to decentralize
and delegate greater powers and authority to the field.
77. The degree of harmonization still remains a problem. Little progress
was made in the preparation of a system-wide common manual as requested in
paragraph 33 of General Assembly resolution 47/199. In view of the fact
that the diversity of rules and procedures continues to pose a problem both
for recipient countries and for the full and effective United Nations
system cooperation at the programme and project level, much greater
priority must be accorded to this matter than hitherto.
78. Some progress has been made in delegating greater authority to field
representatives. The degree of this delegation has not been harmonized and
wide discrepancies and disparities exist within the United Nations system.
Additionally, the heterogeneity of rules, procedures and formats is
retarding progress on important issues, such as coordination and the
programme approach. It also places an unnecessary burden on Governments.
Recommendation 17
79. The United Nations system organizations should intensify their efforts
to simplify, streamline and harmonize their rules and procedures,
particularly those that have a bearing on their programming processes and
delivery systems. An important criterion in deciding which procedures to
simplify first should be the burden they place on recipient countries.
Recommendation 18
80. A time-bound targeted programme of simplification and harmonization
should be submitted to ECOSOC in 1996 and the system should submit a
progress report to ECOSOC on this issue in 1997. This programme should
include the specific elements of a system-wide common manual and the
schedule for completing it. The views of key staff and officials at the
country level should be obtained in this process. The introduction of the
manual and agreed common interpretations of key operational concepts should
be undertaken in conjunction with joint training programmes and workshops.
9. Staffing at the country level
81. Paragraph 38 (b) of General Assembly resolution 47/199 specifically
stated: "The United Nations system at the country level should be tailored,
taking into account the views of the recipient Government, to the specific
developmental needs of the country in such a way that they correspond to
the ongoing and projected programmes rather than to the institutional
structure of the United Nations". Steps still need to be taken to give
effect to this provision of the resolution.
82. The representation, structure and capacities of the organizations of
the United Nations system at the country level are determined autonomously
by the governing bodies and headquarters of the concerned organizations
without communication between organizations based on a system-wide review
of expected programme requirements. The overall capacity of the United
Nations system at the country level to provide substantive services to the
country is not assessed at present.
83. As a result the United Nations system presence and profile in the
field are not always sufficiently focused to meet the specific technical,
technological and managerial needs of a country, particularly in view of
the emergence of new demands, new dimensions and integrated development.
Some country teams seem insufficiently equipped with staff and resources to
respond to the specific context and contemporary needs in a speedy and
effective manner.
84. In the interest of fostering a strengthened team approach and ensuring
the appropriate balance of technical skills required to address the needs
of the country, it is important that a process of consultations on the
composition of the United Nations system country team be initiated. This
requirement will be actively pursued at the inter-agency level with a view
to the dovetailing of agencies' technical capacities and "skills-sharing".
10. Regional coordination
85. The capacities of the regional commissions and the smaller technical
agencies can be used particularly effectively to address issues of an
intercountry and regional character. Their capacities should be used, in
particular with the involvement of other relevant organizations of the
system, to address the regional dimension of development problems as an
integral part of the country strategy note process.
Recommendation 19
86. Bearing in mind recommendation 12, regional and intercountry
dimensions should be considered during the country strategy note process.
Recommendation 20
87. There should be a regional strategy note to serve as a framework for
regional cooperation. A regional strategy note can also be seen as one
means of linking national processes, regional obligations and global
priorities. The regional commissions should be invited to consider the
preparation of a regional strategy note in consultation with other relevant
bodies. Where required, substantive support should be provided, including
through subregional workshops, to facilitate the preparation of the
regional strategy note. Resident coordinators in the countries concerned
should support such regional initiatives.
11. Capacity-building
88. There is continuing confirmation that the efficiency, effectiveness
and impact of development cooperation and operational activities are a
function of the capacity of a country to manage the development process
effectively and integrate external development assistance into the national
context. The United Nations system continues its traditional role of
helping to construct or strengthen key national institutions. This
includes helping countries to strengthen their capacities for aid
coordination and the managerial capabilities of the coordinating ministries
or similar organizations as a contribution to better development
management.
89. Support for capacity-building is now undertaken mainly by individual
organizations in their respective fields of competence, focusing primarily
on their domestic counterparts and strengthening both public administration
and civil society. Many parts of the United Nations system are now
involved in capacity-building at the community level, promoting broad
participation in development activities.
90. Capacity-building is a major factor both in the follow-up of global
conferences and in the achievement of national requirements, and there is a
consensus that operational activities should address it as a cross-cutting
issue. The essential lessons of the different United Nations system
organizations should be collected and synthesized as a contribution to
fostering the understanding of capacity-building as a discipline within the
United Nations system.
Recommendation 21
91. Capacity-building in priority areas should continue to be an essential
part of the operational activities of the United Nations system at the
country level. A more systematic and sustainable process should be
launched, tailored to each country's strengths and weaknesses, to help
integrate the different dimensions of development and design and manage
complex programmes and projects.
Recommendation 22
92. Where the Government so desires, the United Nations system should be
ready to engage in building and strengthening the capacities of the
constituencies of civil society and national non-governmental organizations
which are involved in key development activities.
12. Evaluation, monitoring and review
93. There have been external evaluations of five agencies during the last
three years: the International Fund for Agricultural Development, the
United Nations Conference on Trade and Development, the United Nations
Children's Fund, the United Nations Population Fund and the World Food
Programme. They contain a variety of substantive and managerial
conclusions and recommendations. There have been no global evaluations of
operational activities carried out by the system as a whole. However, some
initiatives have been undertaken at the country level including, in one
case, a review of operational activities in which the Government included
the programmes of the World Bank.
94. An evaluation of the impact of selected major components of
operational activities will be an integral part of the next triennial
policy review. The various parts of the United Nations system will consult
on its scope and methodology and establish, as soon as possible, the
essential baseline data needed and the mechanisms to collect the data, so
as to permit successful completion of the evaluation. Greater use will be
made by the United Nations system, as appropriate, of joint evaluations to
assess results and impact.
Recommendation 23
95. Periodic evaluations of the impact of operational activities should be
organized and should normally be nationally led processes. Organizations
of the United Nations system operating at the country level should
endeavour to ensure that the periodic programme reviews and evaluation they
conduct are timed and organized in a coordinated fashion. Where necessary,
the United Nations system should be ready to support the development of
national evaluation capacities and to support nationally led evaluations of
specific programme or cross-cutting thematic areas. The lessons learned
should be systematically fed back into the programming processes at the
appropriate level.
13. The Bretton Woods institutions
96. Cooperation between the Bretton Woods institutions and other
organizations of the United Nations system in the area of development
cooperation has been given special attention in the recent period at both
the inter-agency and intergovernmental level, including in the context of
the discussions on an agenda for development.
97. While the importance of closer collaboration between the Bretton Woods
institutions, particularly the World Bank, and other organizations of the
United Nations system is generally appreciated, some countries have
cautioned that programme cooperation between the Bretton Woods institutions
and other organizations of the United Nations system should not lead to
"new conditionalities" and make the United Nations system grant resources
more vulnerable to the restrictive policies normally attached to loans.
Other countries consider that efforts to enhance complementarity between
the programmes and resources of the World Bank and the rest of the United
Nations system should be given high priority. In some countries the
relationship between United Nations programmes and other agencies and the
Bretton Woods institutions is already very close and includes complementary
and mutually supportive roles in critical areas like capacity-building and
poverty elimination.
98. Many countries indicated that they favour closer links between the
United Nations system's technical cooperation and the Bretton Woods
institutions' technical assistance, particularly for free-standing
technical assistance unrelated to specific capital investment projects.
The Bretton Woods institutions have indicated that they are prepared to
cooperate with the United Nations system in the preparation of the country
strategy note.
Recommendation 24
99. A more focused policy dialogue encompassing the system as a whole
should be promoted at the Headquarters level. This dialogue could be
pursued within the framework of ECOSOC, within the governing bodies of the
Bretton Woods institutions, between the Bretton Woods institutions and
other organizations of the United Nations system and within the ACC.
Recommendation 25
100. In consultation and agreement with Governments, efforts by the
resident coordinator system to promote harmonization between the country
strategy note and the World Bank's policy framework paper and the IMF's
letter of intent should be encouraged. The operational conclusions of all
three instruments should contribute to the improved dialogue on policy and
substantive issues at country level proposed in paragraph 36.
Recommendation 26
101. Collaboration with the Bretton Woods institutions in programming,
monitoring and evaluation should be actively sought at the country level.
14. Strengthened national coordination
102. Efforts at improving coordination and cooperation among organizations
of the United Nations system in the area of operational activities for
development are mostly pursued at the country level or at the level of
central intergovernmental bodies, particularly the General Assembly and the
Economic and Social Council. Little attention has been paid to the
objective of ensuring consistency in decision-making on related issues at
the level of the governing bodies of the specialized agencies. There is
growing evidence to support the view that efforts to promote coordinated
approaches by secretariats, whether at headquarters or in the field, would
be enhanced if Governments took more consistent positions on similar or
related issues in the various governing bodies of the United Nations
system.
Recommendation 27
103. Governments should be invited to review their internal coordination
processes in order to ensure consistent and compatible decision-making at
all levels throughout the United Nations system. Secretariats of
organizations should be invited to support this endeavour by systematically
drawing the attention of their governing bodies to decisions under
consideration which are at variance with decisions on related subjects
taken at the central intergovernmental level.
15. Common premises and shared services
104. Some agencies have pointed out that they currently benefit from rent-
free accommodation in their host countries, often in the premises of the
concerned ministry. They argue that common premises could thus lead to
additional expenses for them, regardless of potential savings elsewhere.
However, the experience with premises and services shared by parts of the
system suggests a considerable potential for savings.
Recommendation 28
105. Building on previous resolutions the General Assembly might recommend
that United Nations system organizations should normally be housed in
common premises at the country level, wherever economically feasible. It
might further recommend that every effort should be made to institute
shared services in the field.
Annex
CONTENTS
Paragraphs Page
A. Introduction ......................................... 1 - 322
B. Changing trends in operational activities for
development .......................................... 4 - 3822
C. Programme development and implementation ............. 39 - 10933
1. Country strategy note ............................ 39 - 6533
2. Harmonization of programming cycles .............. 66 - 6942
3. Programme approach ............................... 70 - 8943
4. National execution ............................... 90 - 10948
D. United Nations system coordination mechanisms at the
global level in support of country action ............ 110 - 13053
1. Consultative Committee on Programme and
Operational Questions ............................ 110 - 12153
2. Joint Consultative Group on Policy ............... 122 - 13055
E. Resident coordinator system .......................... 131 - 16057
F. Programme support .................................... 161 - 20164
1. Decentralization and delegation of authority ..... 161 - 16864
2. Simplification and harmonization of procedures ... 169 - 17366
3. Accountability: monitoring, evaluation and audit 174 - 19066
4. Common premises and common services .............. 191 - 20169
A. Introduction
1. The present annex contains the results of a comprehensive analysis of
the implementation of General Assembly resolution 47/199. It is an updated
version of the interim report (E/1995/98, annex) which was considered by
the Economic and Social Council at its substantive session of 1995.
2. A particular concern in preparing this annex was to use a methodology
which would lead to an objective, factual and accurate picture of the
implementation of General Assembly resolution 47/199. To ensure that
coverage was as broad as possible and to have views from all the principal
partners, heavy reliance was placed on the mailed questionnaire method. On
the basis of the provisions of resolution 47/199, four questionnaires were
prepared, in consultation with the organizations of the United Nations
system, targeted at, respectively, recipient countries, major donor
countries, the resident coordinator system at the country level and the
organizations of the United Nations system at their headquarters.
3. The annex is based on 109 responses from the resident coordinator
system (stress was placed on ensuring that the responses were prepared in
consultation with United Nations system field representatives), 24
responses from recipient countries, 8 responses from major donor countries,
and 26 responses from organizations of the United Nations system. In
addition, country review missions were carried out in 14 countries. All
organizations of the United Nations system were invited to participate in
these review missions. In addition to the United Nations, various missions
were composed of representatives from the United Nations Development
Programme (UNDP), the International Labour Organization (ILO), the Food and
Agriculture Organization of the United Nations (FAO), the United Nations
Educational, Scientific and Cultural Organization (UNESCO), the World
Health Organization, and the United Nations Industrial Development
Organization (UNIDO).
B. Changing trends in operational activities
for development
Reach and range of operational activities
4. In the past five years, the United Nations system operational
activities have extended their geographical reach to include the
Commonwealth of Independent States and Central Europe. UNDP, for example,
now operates in 170 countries and territories with over 130 offices. The
functional ambit of operational activities has widened in response to
requests by recipient countries, involving in addition to the transitional
concerns of operational activities, greater support in national
reconstruction, the continuum of relief and development, public
administration reform, disaster management, drug control, human rights and
support for institutional reforms. The changing reach and range of
operational activities is a reflection of the changing demands of recipient
countries.
New directions and new demands: a changing portfolio
5. Increasingly, developing countries are shifting their demands for
United Nations system help from technical assistance for isolated projects
towards programme modalities that emphasize United Nations system support
for national goals and strategies, around which the United Nations system
inputs are mobilized in a flexible manner. The new demands also bring
together policy-making, normative analysis and technical cooperation. They
require both capital and technical cooperation and blur the borders between
economic, social and environmental factors.
Recent shifts in operational activities
6. Many United Nations system organizations and resident coordinators
indicated that there are more requests for upstream policy advice,
strengthening the utilization of human resources, facilitating access to
foreign skills and technology, help in the design and implementation of
programmes, and projects in areas identified jointly with the Governments.
Demands for upstream interventions in such areas as governance, public
sector reform, the electoral process, management/coordination of external
cooperation, strengthening key development institutions, and support in
emergency/relief situations have shown a marked increase.
7. The United Nations system continues to play an important role in many
traditional areas of operational activities in several countries: nearly
all developing countries cited technical and technological assistance,
social development, poverty alleviation, health and education, and the
improvement of human resources as continuing priorities for the United
Nations system. The United Nations system is asked to provide support in a
wide range of new areas as well. Developing countries increasingly
emphasize infrastructure development, reinforcement of national capacities
for research and development, environmental regeneration and sustainable
development, and capacity-building to increase competitiveness in the
global economic environment. In addition, Latin American countries in
particular see the United Nations as playing an active role in governance,
national reconstruction, modernization of the State and the strengthening
of State services.
8. The resident coordinators' assessments of future operational activity
needs are similar to those of the recipient countries. Nearly two thirds
of the responses of resident coordinators singled out public administration
reform and governance issues. This covers requests for the establishment
of institutional capacity within the public sector, decentralization of
public administration, legal reforms and judiciary reforms. Forty per cent
of the resident coordinators, on the other hand, also cited an emerging
demand for support in areas of social development including human resource
development, protection of initiatives of vulnerable groups, poverty
alleviation, development of social services and HIV/AIDS. Lastly, almost
as many resident coordinators cited human rights protection, including
police training and assistance in legislative development, as new areas for
operational activities.
9. Increasingly, the United Nations system is being asked to help
Governments solve major problems that go far beyond the financial resources
that it can make available. For operational activities the gap between
aspiration and reality is large and widening. This leads, on the one hand,
to calls from those Member States which finance operational activities, for
a process of prioritization and, on the other hand, to calls from those who
need and benefit directly from operational activities, for additional
resources and continued flexibility in resource allocation so as to
maintain the system's responsiveness to national priorities.
10. Few of the new tasks the United Nations system has been asked to
address are exclusively "sectoral" in nature, and as such they are beyond
the capacities of any one part of the system. So the new tasks tend to
demand continued progress towards greater coherence, at least at the
country level.
11. Resident coordinators indicated that, although technical cooperation
is still the most important component of operational activities, it has
shown a relative decline from 56 per cent in 1990 to 53 per cent in 1993-
1994. The current percentages of technical cooperation as part of total
operational activities in each region are: Latin America, over 70 per
cent; Africa, 40 per cent; Asia and Eastern Europe, 58 per cent and 53 per
cent, respectively.
12. Based on the analysis of information provided by the resident
coordinators, table 1 indicates the expected trends in operational
activities.
13. Resident coordinators have also given their assessment of the
principal current problems that would continue to require United Nations
system support. The relevant data are summarized in table 2.
Table 1. Trends in the main purposes of operational
activities for development
(Percentage of resident coordinators that have indicated
expectations for the specific trend)
Main purpose of operational activities
Likely to increase
Likely to stay constant
Likely to decreaseProvision of upstream technical and policy advice
73.3
24.8
1.9Catalytic role in mobilizing resources for development cooperation
78.1
16.2
5.7Provision of emergency food and other relief assistance
14.3
43.9
41.8Strengthen key political institutions
55.3
40.8
3.9Strengthen key economic and social institutions
77.4
22.6
0.0Strengthen and utilize national human resources
75.2
22.9
1.9Provide direct and budgetary support for national programmes
24.8
33.7
41.6Facilitate access to foreign skills and services
33.7
50.0
16.3Facilitate access to technology
50.5
45.6
3.9Strengthen development programming and management practices
77.4
17.4
4.7Design and implement programmes and projects in areas identified jointly
with the Government
66.3
29.8
3.8Provide analytical and assessed information (statistical data, research,
etc.)
64.4
31.7
3.8
Table 2. Principal current problems that require
United Nations system support
(Number of countries for which the corresponding
type of problem is relevant)
Type of problems
Africa
Asia
Latin America
Eastern Europe
Other region
LDCs
NonLDCs
TotalLimited productive capacity and need for economic reforms
25
22
9
7
1
20
44
64Poverty and social development needs
36
31
19
5
2
30
63
93Environmental degradation
9
14
8
2
0
8
25
33Inadequate institutional capacity
31
18
14
5
1
26
43
69Support for national reconciliation processes
8
7
5
3
0
11
12
23Other
0
1
3
0
0
0
4
4Total number of countries in each region
45
34
20
8
2
37
72
109
Least developed countries
14. A significant part of the operational activities are oriented towards
the least developed countries in accordance with the criteria established
by various intergovernmental bodies. Thus, for example, 55 per cent of the
programmable resources of UNDP were oriented to this category of countries
in Governing Council decision 90/34. The requirements of the least
developed countries received special attention in the analysis of the data;
all data were thus grouped into least developed countries and non-least
developed countries as indicated throughout the report in the appropriate
sections.
Economies in transition
15. The economies in transition have emerged as new recipients of external
assistance. For these countries, the key areas for United Nations system
support are technical cooperation and policy advice for systemic reforms,
the promotion of economic and human development, the protection of the
environment, as well as the growth of the energy sector. These requests
necessitated new approaches suited to their particular development
contexts. In some countries, the United Nations system has played a more
central role mainly in the broader systemic transformation (democracy,
governance, human rights, electoral process). In others, United Nations
system support is requested in all areas directly related to economic and
social development. Over 62 per cent of the resident coordinators in
Eastern Europe (more than in other regions) identified issues in public
administration and human rights as areas for United Nations system support;
12.5 per cent identified economic reforms; and 25 per cent chose support to
the electoral process.
Humanitarian aid
16. Complex emergencies are part of the challenges of development
cooperation. According to data from the Development Assistance Committee
(DAC) of the Organisation for Economic Cooperation and Development (OECD),
emergency assistance and disaster relief, which consumed less than 3 per
cent (US$ 300 million) of bilateral aid in the 1980s, consumed 8 per cent
(US$ 3.2 billion) in 1993. According to the resident coordinators,
emergency assistance increased from 20 per cent in 1990 to 25 per cent in
1994 in terms of expenditure in operational activities, the main increase
occurring in Africa. Developing countries reported that the United Nations
system provided assistance in designing and setting in motion national
systems for monitoring and preventing disasters; workshops and seminars on
management of natural disasters held under the auspices of the United
Nations system have also been useful. Some noted that the United Nations
system contributed to the creation of national capacities to integrate
relief, rehabilitation, reconstruction and development and the utilization
of external aid in this field.
Relationship with the Bretton Woods institutions
17. An important development is the trend towards enhancing the
cooperation between the Bretton Woods institutions and other organizations
of the United Nations system, in particular, in the areas of social
development, environment and poverty elimination. The operational
activities of the World Bank are now more focused on poverty elimination
and increasing lending to the social sectors. UNDP and the International
Monetary Fund (IMF) cooperate in the area of capacity-building.
18. The World Bank involvement in technical cooperation activities has
steadily increased over the years and, in 1993, amounted to a total of US$
3.1 billion, of which free-standing loans constituted US$ 646 million,
rising from US$ 22 million in 1989. Technical assistance financed through
the administrative budget rose from US$ 47 million to US$ 66 million in
1993. As an executing agency of UNDP, World Bank supported technical
assistance increased from US$ 56 million in 1989 to US$ 64 million in 1993.
19. The importance of closer cooperation between the Bretton Woods
institutions, particularly the World Bank, and the rest of the United
Nations system has been emphasized by both developed and developing
countries. According to developed countries, the key to this cooperation is
complementarity, with the United Nations system providing, through
technical cooperation, added value to the major resource flows available
from international financial institutions. The better developed and more
experienced field presence of the United Nations system could provide
valuable help to the international financial institutions in the planning
and implementation of their programmes.
20. The views of developing countries are more mixed. While all
countries desire and encourage greater cooperation, some countries are more
sceptical than others about the programme cooperation between the United
Nations system and the Bretton Woods institutions and are concerned that it
might lead to new conditionalities and make the United Nations system grant
resources more vulnerable to the restrictive policies normally attached to
loans. Other countries are in favour of closer cooperation between the
programmes and resources of the World Bank and the United Nations system.
They see them as complementary and mutually beneficial. In some countries
the relationship between the United Nations system and the Bretton Woods
institutions is close and includes complementary roles in such critical
areas as capacity-building and poverty elimination.
21. Some Governments have suggested establishing closer linkages between
technical cooperation and financial assistance by setting up a modality
whereby the United Nations system can become involved in the technical
cooperation needs of infrastructure projects. They also believe that
closer cooperation between representatives of the Bretton Woods
institutions and the resident coordinators could lead to a more
multidisciplinary approach to development issues. In their responses, 9 of
15 developing countries indicated that there is a need for greater
integration of United Nations system technical cooperation and World Bank
technical assistance, particularly for free-standing technical assistance
unrelated to specific capital investment projects. With regard to the need
for more substantive cooperation between the Bretton Woods institutions and
the United Nations system, one country considered it to be essential, seven
considered it to be useful and five to be of marginal utility.
22. Over 60 per cent of the resident coordinators emphasized the need to
make fuller use of inputs of the United Nations system in the activities of
the Bretton Woods institutions and of the activities of these institutions
in programming operational activities. Sixty-two per cent of the resident
coordinators indicated that there should be closer consultation between the
Bretton Woods institutions and the United Nations system at the country
level; 50 per cent were in favour of joint assessments and evaluation
missions; 54 per cent favoured joint meetings with Governments; and 43 per
cent supported formal memoranda of understanding between the organizations.
23. The World Bank has indicated that it is prepared to cooperate with the
United Nations system in the preparation of the country strategy note.
According to the replies received from the resident coordinator system,
close to 60 per cent identified close cooperation on the country strategy
note and policy framework paper: 77 per cent from Africa, 47 per cent from
Asia, 55 per cent from Latin America and 25 per cent from Eastern Europe.
24. An issue raised by some United Nations system organizations is how
best to utilize their technical expertise in World Bank-assisted technical
assistance. In this regard, 26 per cent of the resident coordinators
considered interfacing between the Bretton Woods institutions and the
resident coordinators as "significant" in technical cooperation, as
compared to 58 per cent who considered it as "of some significance" and 14
per cent as "of little significance".
Table 3. Interface between the resident coordinator system
and the Bretton Woods institutions
(Number of countries for which the resident coordinators
expressed its significance and percentage of frequency)
Interface areas
Relevance
High
Medium
Low
Policy advice (public administration)
24
(25.8%)
39 (41.9%)
30
(32.3%)Policy advice (economic and social issues)
37
(38.9%)
39
(41.1%)
19
(20%)External assistance coordination
33
(34.4%)
43
(44.8%)
20
(20.8%)Programme and project formulation
14
(14.6%)
51
(53.1%)
31
(32.3%)Resource mobilization
14
(15.9%)
34
(38.6%)
40
(45.5%)Security issues
34
(42%)
18
(22.2%)
29
(35.8%)Emergency relief and humanitarian assistance
5
(6.8%)
19
(25.7%)
50
(67.6%)Technical cooperation
26
(28%)
54
(58.1%)
13
(14%)Programme and project implementation (including disbursement issues)
15
(17.2%)
39
(44.8%)
33
(37.9%)
Impact of adjustment programmes
25. Many recipient countries are undergoing some type of structural
adjustment and this has influenced the role of operational activities.
There is growing recognition of the need to consider the distribution
impact of these programmes and draw attention to their negative effects.
Thus, over 80 per cent of resident coordinators indicate that the countries
in which they serve have undertaken an integrated set of policy reforms.
Of these responses, 51 per cent consider that the global orientations of
operational activities have been significantly influenced by structural
adjustment policies and similar reforms. In terms of their impact, 62 per
cent of resident coordinators consider that operational activities are
complementary to adjustment programmes, whereas 58 per cent view them as
mitigating and alleviating the spin-off from these policies and programmes.
Some United Nations system agencies have indicated that they formulate
specific programmes at the request of Governments to offset some effects of
structural adjustment and other similar reforms. Yet, as discussed in the
previous paragraphs, the vast majority of recipient countries feel that the
United Nations system has been "informed of" but not "involved in" the
preparation, coordination and implementation of structural assistance
schemes.
Upstream role
26. Some Governments, particularly in Latin America, Africa and Eastern
Europe, are seeking support from the United Nations system on upstream
matters. This trend appears to be influenced by a recognition of the
interconnection of policies and programmes of assistance and the
realization that a good policy framework is indispensable to the delivery
of good projects. There is now a closer intersection of policies,
normative analysis and technical cooperation, issues which were earlier
considered as distinct. Countries are seeking United Nations system
support to enable them to participate more actively in the global economic
process, as well as to address their specific economic and social problems.
Some of these countries face a plethora of problems arising from systemic
transformation. They look to the United Nations system as a multilateral,
neutral partner without an agenda of its own, which can provide policy help
suited to their requirements.
27. The United Nations system's contributions in other countries,
particularly in Asia and in more industrially advanced countries, is still
focused on technical, increasingly technological, cooperation. Those
countries perceive the United Nations system as a means to fill strategic
needs to accelerate economic growth and to enhance competitiveness in the
global market-place.
28. Some global objectives have been translated into national targets and
goals by Governments in cooperation with United Nations system support.
Developing countries have indicated that they are introducing global
targets and plans into their sectoral policies and that concerned United
Nations system organizations were helpful in this respect. Some countries
and United Nations system representatives have noted that certain plans of
action contain similar provisions and their coherent implementation might
require greater harmonization and prioritization. Representatives of
United Nations agencies in some countries have suggested that coordinated
support for the implementation of these plans of action and facilitating
their integration into the national context should be the collective
responsibility of the resident coordinator system in support of the
Government.
Role of science and technology
29. Some developing countries and most United Nations system organizations
noted the growing importance of science and technology to development
cooperation, particularly transforming technologies such as information
technology and new materials. They expressed the view that the full
potential of technology as an instrument of sustainable development had not
been realized and that the tool of technology could help overcome such
chronic problems as poverty, illiteracy and ill health. The resident
coordinators have indicated that a slight increase in demand is expected on
facilitating access to technology through the United Nations system; Asia
appears to have the highest prospects in this regard, followed by Africa.
Some United Nations system agencies, particularly the smaller technical
agencies, have noted that the shift towards modalities such as the
programme approach and national execution is diminishing opportunities for
them to help to build the technological infrastructure which the countries
need and which no other external sources are supporting.
Capacity-building
30. There is a growing awareness that efficiency, effectiveness and the
impact of development cooperation and operational activities are largely a
function of the capacity of a country to manage the development process and
integrate development assistance into the national context. The United
Nations system operational activities in many countries include a variety
of capacity-building programmes and projects, from public sector reform to
project implementation.
31. The United Nations system in some countries is helping to construct a
functioning Government and a coherent civil society. In some other
countries, the United Nations system is engaged in helping countries to
strengthen their capacities for aid coordination and strengthening the
managerial capabilities of the coordinating ministries or similar
organizations. Nearly half of the developing countries called for an even
greater emphasis on promoting internal managerial skills and training
indigenous counterparts to United Nations experts.
32. In the context of the new demands on operational activities, the
capacity for policy connections between the different strands of political,
economic, social and environmental factors has become important. The
United Nations system's effort at capacity-building is now undertaken
mainly by individual organizations in relation to their respective mandates
and focused primarily on their domestic counterparts. It includes both
strengthening public administration and nurturing the civil society. Many
parts of the United Nations system are now involved in capacity-building at
the community level, promoting broad participation in development
activities.
Resource situation
33. Official development assistance (ODA), which over the past 20 years
had remained stable, sharply declined for the first time, from US$ 60.8
billion in 1992 to US$ 55.9 billion in 1993. This trend probably continued
in 1994, with serious implications for development cooperation in general
and the United Nations development system in particular. Within this
context, while, on the one hand, demand for the United Nations system
assistance has increased dramatically, programmable funds available for
supporting development cooperation activities have shown a decline,
particularly for technical cooperation. As reported in the Secretary-
General's report on funding of operational activities (A/48/940), core
contributions to UNDP over the past 20 years have remained stagnant in real
terms. More recently, Governing Council decision 90/34 called for an 8 per
cent annual increase in contributions to UNDP core resources for the 1991-
1995 period. Although this target was almost achieved in 1992, the first
year of the fifth cycle, resources pledged for the following years have
seen drastic cuts, and the shortfall of the 1991-1995 cycle is estimated at
US$ 1.4 billion. As a result of the decline, programme allocations for the
fifth cycle have had to be reduced by 30 per cent, from US$ 4,163 million
to US$ 2,972 million.
34. The shortfall in meeting the "core" targets is accompanied by a clear
shift by donor countries towards funding specific thematic areas which are
deemed to be consistent with their particular interests. Of total 1994
contributions to UNDP, non-core resources accounted for US$ 763.6 million,
as compared with US$ 930.0 million for central funding. It should be noted
that cost sharing for 1994 stood at US$ 583.9 million, most of which came
from developing countries (for further details see addendum 1).
35. Given the central role of UNDP in extrabudgetary financing, the
adverse impact of the fall in its core resources has been system-wide.
United Nations system executing agencies traditionally relied upon UNDP as
the central funding organization to finance and support technical
cooperation (see also General Assembly resolution 44/211, para. 12). This
role is being compromised by recent resource trends and shifts to national
execution in many countries. The specialized agencies have drawn about 40
per cent of their operational resources from UNDP and UNFPA. United
Nations system executing agencies have stated that the decline in UNDP
funding, coupled with the increase in national execution, has had a radical
effect on their technical cooperation activities, amounting, in some cases,
to a reduction of approximately 50 per cent in recent years. They consider
that this trend compromises their capacity to contribute to national
development. At a time when funding from UNDP has declined, there has been
an increase in assessed contributions and extrabudgetary contributions to
the operational activities of the specialized agencies from other sources,
from US$ 783 million in 1987 to US$ 1,052 million in 1993.
36. Reflecting the ODA decline in 1993, contributions to UNICEF declined
from US$ 918.5 million in 1992 to US$ 793.7 million in 1993 but rose to US$
937.6 million in 1994, of which US$ 535 million were general resources and
US$ 471 million were supplementary funds. Similarly, contributions to
UNFPA declined from US$ 293.8 million in 1992 to US$ 265.1 million in 1993
but rose to US$ 340.7 million in 1994.
37. The contributions to WFP declined from US$ 1,722.4 million in 1992 to
US$ 1,421.1 million in 1993 but rose in 1994 to US$ 1,515.8. However, an
important trend in WFP contributions is that the proportion of assistance
given for development and emergency activities has inverted. While in
1990, relief activities accounted for US$ 258 million (i.e. 34 per cent of
food aid), in 1993 emergency deliveries amounted to US$ 865 million (i.e.
68 per cent).
38. Volatility in contributions has made realistic long-term planning more
difficult and reduced effectiveness and impact. For example, during the
past five years, while UNFPA income increased, on the average, by 8 per
cent per annum, varying from 5.6 per cent to 20.8 per cent, it also
absorbed a one-time reduction of 7.8 per cent.
C. Programme development and implementation
1. Country strategy note
Background
39. The concept of a country strategy note (CSN) was established in
paragraph 9 of General Assembly resolution 47/199. The main elements of
the CSN process are that:
(a) The CSN should be a policy statement which establishes national
priorities to be supported by the United Nations system and represents a
broad frame of reference for United Nations system operational activities
for development;
(b) The CSN should outline the contribution that the United Nations
development system can make to respond to the requirements identified by
recipient countries in their plans, strategies and priorities;
(c) The CSN should be a Government document prepared with the assistance
of and in collaboration with the organizations of the United Nations
system;
(d) The resident coordinator system, under the leadership of the
resident coordinator, should assist and contribute to the CSN process;
(e) The CSN should be the outcome of a process of consultation and
collaboration between the Government and the United Nations system, within
the United Nations system, and between the United Nations system and the
rest of the international donor community; it should normally cover a
period of four to five years;
(f) The specific activities of each funding organization of the United
Nations system should be outlined in a specific country programme within
the broad framework of the CSN, prepared by the recipient Government with
the assistance of the funding organizations;
(g) The CSN should be transmitted to the governing body of each funding
organizationasareferenceforthe considerationofitsspecific countryprogramme.
Guidelines
40. To assist Governments and the resident coordinator system, CCPOQ
developed guidelines that were issued in May 1993. In order to
operationalize the basic notions and principles and to support the efforts
of the countries that had started implementing the CSN, a country strategy
workshop was held at Turin, Italy from 11 to 14 October 1993. The workshop
involved national officials, resident coordinators and other United Nations
system officials drawn from 11 countries. It built on national experience
and clarified some practical questions. As a consequence of that workshop,
further "guidance elements for the preparation, design and implementation
of the CSN" were developed in consultation with the United Nations system
and issued to all recipient countries in March 1994 in English, French and
Spanish. These guidance elements clarified the purpose and main
characteristics of the CSN, suggested a possible structure or outline of
the CSN document and suggested suitable ways to organize the process.
Subsequently, at the request of countries and resident coordinators, a
number of national workshops were organized.
41. On the basis of the actual use of the United Nations system guidance
elements in concrete country operations, and the responses by the resident
coordinators to the questionnaire for this review, it appears that the
current guidance elements provide adequate assistance to the United Nations
system country teams and to Governments for the preparation of the CSN.
The combination of detailed operational guidelines, and global and country-
level workshops to support their development and application, proved to be
an important step in initiating the process in most instances.
Status of the CSNs
42. The status of implementation of the CSN as of May 1995 is shown in
tables 4a and 4b. Thus, of the 131 countries for which information is
available, 84 Governments (64.1 per cent) have formally indicated their
interest in pursuing the CSN. In six countries (4.6 per cent) the
Governments have explicitly declared that they do not wish to pursue the
CSN process at the present stage. In another 41 countries (31.3 per cent)
Governments have not yet made a formal decision.
Table 4a. CSN: summary of status
Country typology
Number of countries
Countries where the Government either has expressed its intention to pursue
the CSN or is pursuing it
(a)The CSN is completed and has been adopted by the Government
8(b)Final draft of the CSN is being considered by the Government for
approval
6(c)Preliminary drafts of the CSN are prepared
7(d)Other countries where the CSN is expected to be completed by the end of
1995
21Countries where the CSN is expected before the end of 1995 (subtotal of
(a) to (d)
42
Countries where the CSN process is at a very initial stage
44
TOTAL NUMBER OF COUNTRIES WHERE THE CSN IS ACTIVE
86Countries where the Government does not intend to pursue the CSN
6Countries where the Government has not yet made a final decision
39TOTAL NUMBER OF COUNTRIES
131
Table 4b. CSN: status by country
Country typology
Number of countries
Countries where the CSN is either complete or expected to be completed by
December 1995
(a)The CSN is completed and has been adopted by the Government:
81. Bolivia, 2. Costa Rica, 3. Ghana, 4. Indonesia, 5. Mauritius, 6.
Thailand, 7. Turkey, 8. Viet Nam
(b)Final draft of the CSN is being considered by the Government for
approval:
61. Kenya, 2. Mozambique, 3. Syrian Arab Republic, 4. Philippines, 5.
Ukraine, 6. Zambia
(c)Preliminary draft of the CSN has been prepared:
71. Chad, 2. Djibouti, 3. Honduras, 4. Namibia, 5. Nicaragua, 6. Niger, 7.
Pakistan
(d)Other countries where the CSN is expected to be completed by December
1995:
21Countries where the outline of the CSN has been formulated and the first
draft is in preparation:
1. Benin, 2. Botswana, 3. Comoros, 4. Ecuador, 5. Sudan
Countries where thematic groups have been established but the participation
has been limited to United Nations members:
1. Cambodia, 2. El Salvador, 3. Uzbekistan
Countries with an agreed work programme and established joint drafting
committee and/or thematic working groups:
1. Barbados, 2. Bolivia, 3. Burkina Faso, 4. Cote d'Ivoire, 5. Gambia, 6.
Jordan, 7. Lebanon, 8. Malawi, 9. Maldives, 10. Mauritania, 11. Republic of
Moldova,
12. United Republic of Tanzania, 13. Zimbabwe
Subtotal ((a) to (d))
42Countries where the CSN process is at an initial stage:
44
1. Angola, 2. Armenia, 3. Azerbaijan, 4. Belarus, 5. Brazil, 6. Burundi, 7.
Cameroon, 8. Cape Verde, 9. Central African Republic, 10. Chile, 11.
Colombia, 12. Dominican Republic, 13. Egypt, 14. Equatorial Guinea, 15.
Fiji, 16. Gabon, 17. Guatemala, 18. Guinea-Bissau, 19. Guyana, 20. Jamaica,
21. Lao People's Democratic Republic, 22. Lesotho, 23. Madagascar, 24.
Mali, 25. Mexico, 26. Mongolia, 27. Morocco, 28. Nigeria, 29. Panama, 30.
Papua New Guinea, 31. Paraguay, 32. Samoa, 33. Sao Tome and Principe, 34.
Senegal, 35. Sierra Leone, 36. South Africa, 37. Sri Lanka, 38. Togo, 39.
Trinidad and Tobago, 40. Tunisia, 41. Uganda, 42. Venezuela, 43. Yemen, 44.
Zaire
TOTAL NUMBER OF COUNTRIES WHERE THE CSN IS ACTIVE
86Countries where the Government does not intend to pursue the CSN:
61. Bhutan, 2. Cuba, 3. Democratic People's Republic of Korea, 4. Libyan
Arab Jamahiriya, 5. Saudi Arabia, 6. Uruguay
Countries where the Government has not made a final decision on the CSN:
39
1. Afghanistan, 2. Albania, 3. Algeria, 4. Argentina, 5. Bahrain, 6.
Bangladesh, 7. Bulgaria, 8. China, 9. Congo, 10. Cyprus, 11. Eritrea, 12.
Estonia, 13. Ethiopia, 14. Guinea, 15. Haiti, 16. India, 17. Iran (Islamic
Republic of), 18. Iraq, 19. Kazakstan, 20. Kuwait, 21. Kyrgyzstan, 22.
Latvia, 23. Liberia, 24. Lithuania, 25. Malaysia, 26. Myanmar, 27. Nepal,
28. Peru, 29. Poland, 30. Qatar, 31. Republic of Korea, 32. Romania, 33.
Russian Federation, 34. Rwanda, 35. Somalia, 36. Swaziland, 37. United Arab
Emirates, 38. Tajikistan, 39. Turkmenistan
TOTAL NUMBER OF COUNTRIES ON WHICH INFORMATION IS AVAILABLE
131
The process
43. Most Governments of the 85 countries where the CSN process is under
some stage of implementation took the decision to start the process in
1993. One third made their decision in 1994, and a few in 1995.
Experience shows that the process requires a period of preparation to
ensure broad and effective participation of all concerned. After this
initial period, the preparation of the CSN is now accelerating. In
addition to the 7 countries where the CSN has been completed and adopted,
and another group of 6 countries where a final draft has been submitted for
approval to the Government, there are at least another 29 countries where
the joint teams (Government/United Nations system) are at present working
intensively, either to finalize the various sections or to prepare the
first comprehensive draft of the CSN. In these countries, sectoral
workshops are being held and background documents prepared and discussed.
It can therefore be expected that the final drafts of the CSNs will be
available in those countries before the end of 1995.
44. Effective information-sharing, including information from headquarters
to the country level, on the purpose, value and nature of the CSN process
is seen as crucial for launching this new initiative.
Support to the process
45. Representatives of the organizations of the United Nations system at
the national level received information on the CSN from various sources:
in addition to the instructions received from the respective headquarters,
workshops were conducted with the participation of all the United Nations
organizations represented in the country. Care was taken to explain the
purpose and the added value to senior national officials through workshops,
seminars, conferences and meetings with the senior officials in charge of
external assistance. Some national workshops were organized with the
support of the International Training Centre of the ILO at Turin, and with
the substantive support of the United Nations in a number of countries in
Africa and Asia. Further workshops are scheduled in several countries.
Other initiatives were carried out locally by the country representatives
of the United Nations system and the Government.
46. The most frequent modality adopted for the preparation of the CSN is
the establishment of thematic working groups, normally with the joint
participation of government officials and United Nations system
representatives. In some cases, the leadership of working groups is in the
hands of a Government official or is co-chaired by a government official
and a United Nations system official. In other cases, representatives of
various United Nations system
organizations chair thematic working groups under the resident coordinator
system, taking assignments according to their organization's mandate and
competence. In some cases, the working committees function under the
authority of a steering committee or a joint task force, with the
government officials charged with coordinating external assistance. These
working groups collect basic documentation, carry out situation analyses,
prepare discussion papers, formulate outlines, draft documents and
contribute to the finalization of the CSN. In a number of countries,
resident coordinators established thematic working groups and prepared
preliminary background documentation. In order to ensure the leading role
of the Government in the entire process, it became necessary, in some
cases, to extend the preparatory phase.
47. Care was taken to use existing mechanisms whenever available. In some
cases, tasks were entrusted to national consultants working with both the
Government and the various United Nations system organizations.
48. Experience shows that the drafting of the CSN can be complex and time-
consuming, because it involves many organizations and officials. Attempts
were made to simplify this task by engaging consultants in charge of the
preparation of preliminary versions of the CSN. Although this sometimes
accelerated the process, this result has been at the expense in some cases
of full participation of government officials and/or United Nations system
officials. There are examples of countries that are proceeding at a lower
speed but which achieve a fuller participation of all concerned.
49. The reasons given by the six Governments that have decided not to
launch the CSN process differ. The CSN is either seen as not being
applicable to their countries, or a similar, national development strategy
already exists. Moreover, the CSN is not perceived by some of these
countries as generating significant additional benefits beyond existing
planning tools.
50. The lack of human resources available in the public sector was
indicated by one Government as a reason for not starting the process.
While the use of external consultants or greater reliance on the support of
United Nations system organizations can mitigate these constraints, these
measures were considered as a potential abdication of the required
leadership of the process by the Government.
51. In some cases, alternative exercises started with the support of the
United Nations system - for example, the national technical cooperation
assessments and programmes (NaTCAP) - were given as a reason for not
proceeding. In some countries, the CSN has been accepted in principle, but
its actual start has been delayed until other exercises could be finalized.
In these cases, the following competing exercises were mentioned: NaTCAP
(promoted with UNDP support), the country assistance strategy (with the
World Bank) and national schemes of development policies. Although the
need to harmonize the CSN and these exercises involves delays, this appears
justified. Governments and United Nations country teams have recommended
that a coordinated methodology should be introduced as a bridge to these
similar exercises, particularly the NaTCAP and CSN processes.
52. A view voiced by some resident coordinators in countries where an
official answer on the CSN is still pending is that the Government remains
indifferent towards the concept. This is also the situation in several
countries that have officially accepted the CSN but have not yet given it
the required support. It should be pointed out that this indifference
seems limited to countries where per capita income is relatively high, and
the role of the United Nations system as a provider of development support
is small in financial terms. A considerable number of other countries,
particularly the least developed countries in Africa, have expressed a
stronger interest in the potential contribution that this tool can provide,
especially at a time of declining ODA.
National leadership in the CSN process
53. Effective national leadership is essential to the success of the
process and for ensuring the authoritative nature of the resulting
document. Experience acquired so far shows that in the great majority of
cases a significant role was played by national authorities in the CSN
process. Data on national roles show that in 78 per cent of the countries
in Africa, 64 per cent in Asia and 40 per cent in Latin America, the CSN
involves different levels of officials, from the political level
(ministerial) to the technical level, the latter including either
coordinating authorities or sectoral ministries. National involvement in
the process also includes non-governmental components, such as the private
sector, private voluntary organizations, academic groups and special
purpose organizations.
Participation of the organizations of the United Nations system and support
to the CSN process
54. The involvement of the entire United Nations system in all phases of
the CSN process is considered essential to ensure their full support to it
as a frame of reference for their main activities. Some concern was
expressed that in some instances advice and inputs from the various United
Nations system partners were not always obtained from the start of the
process but only after a first draft had been prepared.
55. Fifty-one responses from the resident coordinator system confirmed
that adequate support to the CSN process was provided by the organizations
of the United Nations system, whereas in 12 countries where the CSN process
had started, limited involvement by United Nations organizations was noted.
Regional dimension
56. Regional commissions and several smaller technical agencies have
underlined the need to assess the experience gained in the preparation of
CSNs in order to identify regional dimensions that have not received
sufficient attention so far. It is important, in their view, that the CSN
be used as a tool to give national authorities access to the potential of
some of the more specialized agencies, using a regional perspective rather
than being limited to a purely country approach. Given the nature of the
CSN as a country level tool, some issues that relate to regional
cooperation may not have received adequate consideration.
CSNs and United Nations system programmes
57. The CSN process affects some aspects of United Nations system
programmes and activities in a country by providing a strategic frame of
reference. Thus, 44 per cent of the resident coordinator responses confirm
that the CSN process provides a frame of reference for the formulation of
new programmes. Twenty-two per cent of the responses indicate that the CSN
provides a frame of reference on the occasion of mid-term reviews. Only 11
per cent of responses indicate that amendments to the current country
programmes and other activities now under way result from the CSN process.
Of the 41 countries where the CSN has been completed or is expected to be
completed by the end of 1995, the programming cycles are either fully
harmonized or are planned for the near future in 31 countries (76 per
cent).
The value of the CSN
58. Given the early stage of the implementation of the CSN process in many
countries, the assessment of its full value is not possible. However, the
experience gained so far suggests that the success of the CSN depends, to a
large extent, on the interest and involvement shown by national
authorities. Furthermore, the CSN appears to be more central to the
concerns of the United Nations funds and programmes, as compared to the
specialized agencies of the United Nations system.
59. Many recipient Governments, especially in Latin America and Africa,
expressed the view that the CSN is a valuable tool for coordinating
external aid; it also serves as a reference document for all donor
agencies. One country even indicated that the CSN specifically should be
part of the national programme of technical cooperation. A few countries
highlighted the potential value of the CSN as a vehicle for closer
collaboration between the United Nations system and the Bretton Woods
institutions. None the less, another country stressed that the CSN is
primarily focused on United Nations assistance to the country, and while it
is a useful framework document for all aid agencies, it is not intended to
serve as a basis for the assistance programmes of all external agencies.
Similarly, a few countries indicated that the CSN duplicated ongoing
planning and prioritization efforts within their own Governments. Some
recipient Governments expressed the view that the CSN does not contribute
to additional resource mobilization nor does it directly add value to
existing modalities.
60. Some donor countries have expressed their concern about the slow
introduction of the CSN. Therefore, these donors suggest that efforts be
made to assist the countries that have already decided to start the CSN
process in order to facilitate the preparation and speed up its completion.
61. The responses of resident coordinators and United Nations system
colleagues contain the following suggestions:
(a) Forty-nine per cent suggest modifying the CSN so that it can refer
to the level of financial resources made available by the United Nations
system to a country, consistent with the rules of the respective governing
bodies. This view is particularly supported by responses from Africa (64.4
per cent) and Eastern Europe (62.5 per cent), whereas it corresponds to 50
per cent of the response from Latin America and only 23.5 per cent of those
in Asia;
(b) Better relating the CSN process to the activities of the World Bank
and IMF is mentioned in 40 per cent of the responses - 51 per cent of those
from Africa, 50 per cent of those from Eastern Europe, 40 per cent of those
from Latin America, but only 21 per cent of those from Asia;
(c) Of the responding resident coordinators 36.7 per cent support the
idea of modifying the CSN so that it can better describe the links with
existing programmes and projects of the United Nations system
organizations. This especially reflects the views of those from Africa
(46.7 per cent) and from Eastern Europe (50 per cent), whereas 30 per cent
of those from Latin America and 23.5 per cent of those from Asia conveyed
this view;
(d) The idea of relating the CSN to all external assistance, and not to
the United Nations components only, is supported by 22 per cent of the
resident coordinators.
62. Suggestions to improve the quality of the CSN as a document and as a
process were formulated by other resident coordinators. Some expressed
concern about the fact that the CSN is a government document, which means
that the pace of preparation is subject to the degree of commitment and
available resources. On the other hand, according to several United Nations
organizations, the CSN process is seen as not reflecting sufficiently the
country's priorities because it is overly driven by resident coordinators
and, in some cases, by UNDP priorities.
63. Some United Nations system organizations have expressed the view that
the scope of the CSN should be extended to include other areas, such as
relief, rehabilitation, reconstruction and the work of the Bretton Woods
institutions. In their view, the substantive participation of many United
Nations system organizations in the preparatory process needs to be
significantly strengthened.
64. Views have been requested from the resident coordinator system in all
recipient countries on the value of the CSN process to date. The responses
indicate the following:
(a) Seventy-three per cent indicate that the CSN process establishes an
effective strategic framework for United Nations system support at the
country level in harmony with national priorities;
(b) Sixty-three per cent support the view that the CSN process enhances
substantive consultation between the Government and the United Nations
system and among the organizations of the system on issues of priorities;
(c) Fifty-seven per cent indicate that the CSN process can strengthen
the Government's capacity to coordinate United Nations system support;
(d) Fifty-six per cent confirm that the CSN enhances the complementarity
of country programmes of the United Nations system.
65. There is a broad recognition, both among Member States and in the
United Nations system, that the concept of the CSN represents a promising
new development for better and more coordinated United Nations system
operational activities in support of national plans, strategies and
priorities. Donor countries expressed the expectation that the CSN should
become an important instrument in achieving better relevance, coordination
and impact of United Nations system operational activities. Organizations
of the United Nations system welcome the formulation of the CSN as a
strategic tool to harmonize national priorities with the system's
comparative advantage.
2. Harmonization of programming cycles
66. In paragraph 10 of resolution 47/199, the General Assembly reaffirmed
that funds and programmes of the United Nations should harmonize their
cycles and adapt them to national budget cycles, plans and strategies. The
Joint Consultative Group on Policy's (JCGP) Subgroup on Harmonization
guides the implementation of this provision through regional working groups
headed by a designated agency (UNDP for Africa, UNICEF for Asia, UNFPA for
Latin America and the Middle East).
67. As part of the process of implementing General Assembly resolution
47/199, the executive heads of the three JCGP member organizations (UNDP,
UNICEF and UNFPA) sent a joint letter to all resident coordinators, country
directors and representatives on steps to be taken to achieve harmonization
of programme cycles. To harmonize programming cycles in Africa, an
additional memorandum, co-signed by UNFPA and UNICEF and UNDP, was issued,
requesting their representatives in Africa to reach agreement on the
preferred timing for harmonization.
68. As reported to the Economic and Social Council at its substantive
session of 1994, "there is now a plan in place on the harmonization of
programming cycles for all countries except where local conditions are not
conducive to such an approach. It will be implemented with the start of
the new programme cycles" (E/1994/64, para. 21). The latest status of the
harmonization of programme cycles is given in table 5 below.
Table 5. Status of harmonization of programme cycles
by region
Region
List A
(Countries with fully harmonized cycles)
List B
(Countries where harmonization will occur by 1999)
List C
(Countries where harmonization is possible)
List D
(Special cases)Africa
12
16
16
2Asia
9
7
3
4Latin America and the Caribbean
4
16
2
1Middle East and Northern Africa
2
6
3
1Total (all regions combined)
27 (25%)
45 (43%)
24 (25%)
8 (7%)
69. Working groups composed of representatives of the geographic
sections/bureaux of the three organizations are monitoring the process and
have proposed steps to coordinate and expedite harmonization. Four
categories of countries have emerged for each region: (i) countries which
have already achieved harmonization of programme cycles; (ii) countries
where harmonization is agreed upon for the next cycle; (iii) countries
where harmonization is possible; (iv) special cases consisting of
essentially emergency-type countries which are unlikely to achieve
harmonization in the near future. Available information shows that 80 per
cent of the countries have either already harmonized their programme cycles
or expect to do so in preparing the next programme.
3. Programme approach
Background
70. In reporting to the Economic and Social Council at its substantive
sessions of 1993 and 1994 on the implementation of General Assembly
resolution 47/199, detailed information was provided on the implementation
of the programme approach by the United Nations system in accordance with
the provisions of the resolution.
71. In 1993, the results of the CCPOQ agreement on a common interpretation
of the programme approach were transmitted to the Council (see E/1993/73,
paras. 37-41 and annex III). Annex III contained an agreed set of
definitions of the programme approach. The following year, progress in the
application of the common interpretation at the country level was reported,
including that made in developing a common understanding of how best to
conduct monitoring and evaluation under this approach (see E/1994/64,
paras. 22-45). In this connection, the report stated that "there is a
strong commitment at all levels to using the programme approach; there is
agreement on the basic principles for its application at the country level;
there is an emergence of a programme approach logic, which coexists with
the adoption of the project modality, particularly among those
organizations that have recently adopted this approach; a more systematic
and widespread use of the programme approach is taking place by using a
variety of techniques; when effectively applied, the approach has proved to
be a useful tool in improving substantive collaboration among United
Nations system organizations" (E/1994/64, para. 23). It was also pointed
out that further steps needed to be taken to achieve further progress at
the country level.
72. The core of the programme approach implies the use of external funds
in a form that is best suited to supporting national programme objectives.
United Nations system support should be merged with national and other
external support, no longer structured in separate projects but targeted to
national objectives. These and related concepts were reviewed in the
above-mentioned report, and they command broad support within the United
Nations system. It is a modality which facilitates support by the United
Nations system to upstream activities.
Status
73. The current review provides additional insights into the utilization
of this approach. Responses to the resident coordinator questionnaire show
that concerning a common understanding of the concept among organizations
of the United Nations system and Governments at the country level nearly 55
per cent of the respondents consider there to be difficulties in this area.
It is therefore understandable that almost 80 per cent of the respondents
recommend that training for government officials should be promoted to help
disseminate the concept and methodologies of the programme approach and
that 70 per cent of respondents call for similar training for United
Nations system personnel. Fifty-four per cent of respondents suggest that
clearer and better coordinated guidelines should be developed. The
majority of responses indicate that the use of the programme approach is
growing rapidly, and almost the same number indicate that it is growing
moderately. A much smaller number indicate that organizations are not
using the approach at the country level.
74. Given the variety of operational contexts, the programme approach is
being applied in different forms. Forty-one per cent of the responses from
the resident coordinator system express the view that the programme
approach is used in reference to broadly defined global development
policies or strategies, consisting of loosely linked projects that are not
fully integrated into programmes. Fifty-seven per cent indicate that the
programme approach involves participation in national programmes, with
national objectives, time-bound targets, and groups of projects and
activities to achieve them. Thirty-nine per cent of the respondents
indicate that the implementation of the approach is done through umbrella
projects or clusters of projects, by regrouping individual projects under a
common framework.
75. In assessing the results achieved through the programme approach, 64
per cent of respondents said that as a consequence of the approach, United
Nations system organizations are increasingly involved in providing
strategy advice, aid coordination, and upstream policy support and that the
orientations of United Nations country operations are being streamlined to
better address development objectives. Fifty-seven per cent of
respondents consider that collections of isolated projects are giving way
to new, comprehensive approaches as a result of the use of the programme
approach. Another 38 per cent report that programming of new and current
activities are being assessed for their impacts on development rather than
for the inputs made into these activities (control of disbursements) as a
benefit arising from the approach. Twenty-two per cent find that resource
allocations respond more easily to changing conditions as a result of the
greater flexibility in financial management ensuing from the programme
approach.
76. When asked whether monitoring and evaluation presented special
problems in implementing the programme approach, 60 per cent answered in
the negative, while 22 per cent noted that it was sometimes a problem. As
concerns arrangements made for monitoring and evaluation, 44 per cent
indicated that the Government made use of the procedures of the United
Nations system organizations, while under 20 per cent reported that
national efforts were under way to establish a monitoring and evaluation
approach in this area.
77. Eighty-four responses revealed that increased field capacity of the
United Nations system organizations is required to introduce the approach
effectively (34 in Africa, 24 in Asia, 18 in Latin America and the rest in
other parts).
Assessment
78. There is a widely held view within the United Nations system that
significant progress has been made by the system in implementing the
programme approach. The guidelines formulated by CCPOQ mentioned earlier
have been made available to the system as a frame of reference. Given the
diversity of mandates and the variety of country-level activities, the
operational interpretations of the approach and of the guidelines can vary.
Some United Nations system organizations agree with reports from the
countries that there is a need for more practical guidelines on how to
adopt and apply the programme approach. Furthermore, the need for greater
clarity and consistency in what constitutes a "national programme" in this
approach has been noted by some.
79. In other words, the United Nations system has prepared "programmes"
instead of "projects", but these have not yet been, as contemplated in the
programme approach, fully transformed into specific elements of or inputs
into coherent national programmes that are owned and managed by
Governments. General Assembly resolution 47/199 envisages that where
Governments do not have such programmes, the United Nations system should
help to formulate them. Accordingly, in some cases, the United Nations
system has proceeded to support the formulation of such programmes.
80. UNDP has, in many countries, made significant advances in shifting the
bulk of its resources from numerous small projects into far fewer
programmes under its country programmes. This shift has also been
influenced by the decision of the Executive Board of UNDP, in the framework
of sustainable human development, to concentrate its resources on four
areas: (i) poverty eradication; (ii) environment; (iii) women; and (iv)
job creation.
81. It is the policy of UNICEF that all of its assistance should be
provided through the programme approach. Virtually all of its programmes
have been evaluated, reinforcing its conviction that the programme approach
is the most effective and sustainable method of providing development
assistance. All inputs are jointly identified and determined by UNICEF and
the Government within the programme preparation cycle, which is the primary
strength of the programme approach.
82. WFP has formulated specific proposals to shift from the current
project approach to a programme approach and the Committee on Food Aid
Policies and Programmes, at its session in December 1994, endorsed, in
principle, the gradual introduction of the programme approach, beginning
with a limited number of programmes to be submitted to the Committee for
Food Aid (CFA) in November 1995. UNFPA has communicated instructions to its
country support teams to extend the programme approach; additional step-by-
step practical procedures will shortly be sent to all field offices. The
general attitude of the specialized agencies is that, although they fully
subscribe to the concepts and underpinnings of the programme approach, its
actual implementation is largely governed by the fact that, in some cases,
such as UNESCO, the bulk of the resources for operational activities (over
90 per cent) come from extrabudgetary sources and are thus heavily
influenced by the policies of the funding body.
83. Concerning the evaluation of programmes formulated under this
approach, many organizations and agencies indicate that it is too soon to
make such an evaluation, as the programmes are largely in the process of
being formulated or are in an initial stage of implementation. In its
guidelines on the programme approach, UNDP has introduced principles for
monitoring and evaluation, which have been used by the Inter-Agency Working
Group on Evaluation and subsequently endorsed by CCPOQ. United Nations
system organizations have also made efforts to increase the use of local
resources, expertise and capacities in the delivery of operational
activities, particularly through modalities such as the programme approach
and national execution. FAO suggests that more efforts are required to
utilize the experience of agencies systematically in the evaluation of
programmes, which should be built into the design and approval stages.
84. Smaller specialized agencies such as the International Maritime
Organization (IMO) and the International Telecommunication Union (ITU) and
organizations such as the International Trade Centre (ITC) have pointed out
that the programme approach tends to focus on broad thematic issues while
they are more concerned with the development of policy and technical
options in highly focused subsectoral issues and that assistance should
remain flexible to meet needs in specific areas. The International Atomic
Energy Agency (IAEA) has introduced new programming modalities that
incorporate characteristics of the programme approach and sustainable human
development objectives in 12 "model projects", which were first implemented
in 1994. The 1995-1996 programme includes an additional 11 model projects
that demonstrate the variety of socio-economic benefits from nuclear-based
technology in national development.
85. Most Governments have welcomed the shift from the project to the
programme approach as a means of bringing about a greater concentration of
resources on a few priority programmes. Some Governments have expressed
the view that, while they fully subscribe to the programme approach and
national execution, these modalities should not be applied rigidly and that
decisions should be taken on a case-by-case basis, the overarching
objective being to obtain optimum results. Furthermore, some Governments
and some United Nations agencies, particularly the smaller technical
agencies, have also expressed concern that the programme approach, designed
to bring about greater focus and to bring different elements together,
should not lead to the neglect of specialized sectors. Activities in such
areas, by their very nature, can be better implemented through a smaller
and more sharply focused "project approach". Given sufficient resources it
appears possible to integrate such specialized inputs within a broader
programme approach.
86. Donor Governments have indicated that the programme approach modality
is a central instrument in focusing United Nations system development
activities on critical areas, helping to facilitate a clearer division of
roles and the integration of development activities into national
development programmes. There is therefore a need to ensure the full
realization of the programme approach as a true change in programming and
implementation of operational activities; this should involve more than
merely a clustering of individual projects. Donor Governments place stress
on the fact that the programme approach is closely linked to the
preparation of the CSN.
87. Donor Governments express support for greater use of the programme
approach, as a means of ensuring that the inputs of United Nations bodies
are better integrated into national programmes. Ideally, this should also
involve other donors, both bilateral and multilateral. According to these
Governments the use of the programme approach can help improve the focus of
many United Nations system programmes and can overcome the lack of
coordination and the overlap of projects and programmes. They stress that
emphasis should be placed on effective guidelines and training to ensure a
full and common understanding and application of the programme approach
concept.
88. The country review missions have confirmed that the programme approach
has begun to take hold. It has yet to be fully implemented in many of the
countries visited, usually because adoption of such an approach takes some
time, and because many agency programmes have already been approved. In
one country, the Government has systematically adopted the programme
approach in managing the international development cooperation that it
receives, employing the United Nations system's conceptual methodology.
Integrated national programmes have been formulated around clearly defined
target groups and priorities. In another case, that approach helped to
integrate a multiplicity of agricultural projects in a harmonized
framework; in another, it provided a global framework within which both the
Government's action and the support from the donors to strengthen economic
management were consistently rationalized.
89. The country missions found that the introduction of the approach had
not yet led to greater cooperation within the United Nations system. It
was found that there still existed a need for further technical expertise
that was essential for greater use of the programme approach at the local
level. In some countries, the missions and responses from resident
coordinators indicated that the United Nations system had not yet arrived
at a full common understanding. Some United Nations system agency field
staff were critical of the lack of practical guidance from their
headquarters on issues such as the programme approach.
4. National execution
Background and status
90. In reporting to the Economic and Social Council at its substantive
sessions of 1993 and 1994 on the implementation of General Assembly
resolution 47/199, a considerable amount of information was provided on
national execution. In 1993, the results of the CCPOQ agreement on a
common framework for national execution were transmitted to the Council
(see E/1993/73, paras. 42-47 and annex IV). In 1994, progress in adopting
the modality of national execution was reported to the Council (see
E/1994/64, paras. 22-45). The report pointed out that the implementation
of national execution by the United Nations system, in terms of the common
interpretation formulated by CCPOQ, was characterized by broad acceptance,
although there were wide disparities in extent (5-100 per cent) and wide
disparities in approaches. Since then, there have been significant
developments and more information on the trends in and processes of
national execution, particularly for UNDP and UNFPA.
91. There is now an increasing body of experience and evidence with regard
to the practice and performance of national execution. Some preliminary
efforts have been made to survey and collate such experience, including
missions to selected countries by the United Nations; United Nations
questionnaires and responses from Governments and United Nations resident
coordinators; surveys conducted by UNDP, especially on national execution;
the report of the Joint Inspection Unit of the United Nations on national
execution; and the observations of the United Nations system specialized
agencies.
92. The adoption of national execution for United Nations operational
activities has resulted in a significant change in the role of UNDP (and,
to a lesser extent, of UNFPA), which has in the past primarily relied on
United Nations system agencies to undertake project and programme
execution, a function now being transferred to government entities. UNICEF
and WFP have in any case already conformed to the definition of national
execution and established long-standing implementation relationships with
Governments, so that their practices have not changed in any appreciable
degree in recent years. The specialized agencies have maintained that
their activities conform in practice to the definition of national
execution as laid down in the common framework, and that overall
responsibility and accountability for formulation and management of
programmes are with Governments. They have supported Governments in
establishing implementation arrangements through technical and managerial
inputs, utilizing local technical resources extensively. The World Bank
also conforms generally to the common framework for national execution.
93. Available statistics indicate that national execution is increasingly
becoming the norm in implementing operational activities of the United
Nations system. A significant change in the magnitude of resources
channelled through projects and programmes that are nationally executed can
be observed. As to UNDP, in 1990 resident coordinators in a total of 60
countries indicated that 20 per cent or less of resources were channelled
through nationally executed projects and programmes, and in 19 countries
there was no national execution at all. As to UNFPA, of 68 reporting
countries in 1990, 32 countries channelled 20 per cent or less of their
resources through nationally executed projects, and 20 of those countries
had no national execution at all. Only 24 countries reported that 50 per
cent or more of their projects were being nationally executed.
94. That situation has changed significantly: by 1994, UNDP could report
that of 95 reporting countries only 24 countries channelled less than 20
per cent of their resources through national execution and 18 countries
had a share of between 20 and 50 per cent. In 50 countries that share
exceeded 50 per cent and in 18 of those countries it exceeded 80 per cent
national execution. UNFPA reported that of 74 reporting countries, 31
countries were adopting national execution for over 80 per cent of their
projects and 13 of those countries had adopted 100 per cent national
execution. In another 13 countries, the share of national execution was
between 50 and 80 per cent; only in 17 countries was it less than 20 per
cent.
95. When the 1994 figures for least developed countries and non-least
developed countries are considered separately and on a regional basis, some
important variations appear. For UNDP in 1994, the figures for 30
reporting least developed countries were as follows: below 20 per cent
national execution, 10 countries; 20 to 50 per cent, 11 countries; above 50
per cent, 9 countries. For non-least developed countries, the corresponding
figures were: below 20 per cent, 14 countries; 20 to 50 per cent, 8
countries; above 50 per cent, 43 countries. While only one third of the
least developed countries reported over 50 per cent national execution, two
thirds of the non-least developed countries reported that level. For
UNFPA, 11 of 27 least developed countries reported over 50 per cent
national execution, while 31 of 47 non-least developed countries reported
that level, a ratio that closely resembles the UNDP ratio.
96. For UNDP, in 1994 less than 50 per cent of resources were channelled
through national execution in 20 of 40 reporting countries in Africa, 19 of
28 countries in Asia, 1 of 19 countries in Latin America and 3 of 6
countries in Eastern Europe. The Asian region, in terms of number of
countries, appears to be the lowest on the scale of national execution and
Latin America has a significant lead over the other areas. For UNFPA, the
corresponding figures are 19 of 33 reporting countries in Africa, 11 of 22
countries in Asia, none in Latin America and 2 out of 5 countries in
Eastern Europe. While the level of national execution in Latin America is
the highest on the regional scale, it is higher in Asia than in Africa.
97. Recent analysis by UNDP also attests to the significant changes that
have occurred. In 1983, the share of national execution in the total value
of approvals was about 10 per cent; by 1990, it was nearly 25 per cent.
That share increased still further to nearly 44 per cent in 1991 and over
50 per cent in 1992 and 1993. Looking only at country indicative planning
figures, the share of national execution as a percentage of the value of
approvals increased from 4.5 per cent in 1982 and 18 per cent in 1986 to 30
per cent in 1990, 53 per cent in 1991, 73 per cent in 1992 and 77 per cent
in 1993. In 1993, of the number of projects approved (nearly 800), 76 per
cent were nationally executed. Approvals in terms of the value and number
of projects have moved in conformity towards greater national execution.
98. What is abundantly clear is the diversity in the practices associated
with national execution. Country-specific arrangements have emerged and
there is a healthy lack of standardization, enabling country circumstances
to be taken into account. New relationships can be observed between
country offices of UNDP and Governments in the context of projects and
programmes that are increasingly nationally executed. In at least 28
countries (16 non-least developed countries, 12 least developed countries),
national support services units have been established to facilitate
national execution. In 80 countries (55 non-least developed countries, 25
least developed countries) country office support to entities in charge of
national execution has been extended. Governments themselves have developed
varied arrangements to enable the national execution of projects and
programmes. In one country, for example, there is a central organization,
the counterpart agency of UNDP, which also functions as the executing
agency for all UNDP projects and programmes and assists implementing
agencies. In several other countries, there are central UNDP-financed
units within government administrations to support national execution. In
still others, there are varying kinds of central support units and
programme and project support units.
99. National execution has led to new functions for the country offices of
UNDP, undertaken primarily at the request of Governments. Thus, in many
countries both least developed countries and non-least developed countries,
UNDP country offices provide necessary support to national project
directors in areas of administrative and financial management for which
those directors remain accountable, resulting in new types of skills being
required in country offices and also resulting in the reallocation of
functions.
100. While it is clear that the increasing use of national execution for
UNDP-supported activities has been primarily due to UNDP policy mandates
and the consequent advocacy of national execution by UNDP, there is also
increasing evidence that Governments are committed to national execution.
Of 109 responses, 50 per cent show a strong commitment to national
execution, which is strongest in Latin America (74 per cent), Africa (51
per cent) and Asia (45 per cent). The same degree of commitment was not
evident in Eastern Europe, where 43 per cent of the Governments surveyed
indicated a lower level of commitment. Responding to a question whether
countries had a systematic policy for strengthening national execution, 54
per cent of resident coordinators serving in non-least developed countries
and 81 per cent from least developed countries answered in the affirmative.
Most resident coordinators consider that some United Nations system
organizations have been actively promoting national execution through
training and advocacy.
101. With the increasing adoption of national execution, the degree of
intensity of the engagement of specialized and technical agencies of the
United Nations system in operational activities at the country level has
declined. In responding to a question on the use of United Nations
technical expertise in activities that are nationally executed, only 15 of
95 resident coordinators considered it significant. Fifty other resident
coordinators stated that some use was being made of United Nations system
technical expertise and 30 stated that it was little used. The trend
appears to be to obtain the technical services of United Nations system
agencies more selectively through short-term expertise and to avoid
managerial and administrative inputs. United Nations system agencies in
several instances are finding it difficult to adjust from an executing
agency role to the new situation of supporting the implementation of
activities on a more selective basis.
102. The great majority of the recipient Governments have indicated that
they would welcome the expansion of the national execution modality, as
they believe that national execution should be the norm for their
operational activities. They consider that national execution is an
important means by which they can acquire expertise to manage more
effectively development cooperation activities. Most Governments of
developing countries have stressed that national execution has strengthened
capacity-building, especially in designing and formulating programmes and
projects, as well as assembling and managing different inputs.
103. Many United Nations system agencies have expressed serious concern
about the manner of implementation of programmes and projects in the
context of national execution and the reduced opportunities for making
technical contributions through system-supported projects and programmes.
They are particularly concerned with the pace of implementation without
regard to national capacities, the de-linking of execution, implementation
and technical advice, the creation of units outside normal government
structures that contribute to the marginalization of United Nations system
agencies, and the increasing engagement of the UNDP Office for Project
Services (OPS). Smaller technical agencies feel particularly left out as
they have no field representation. They are also concerned about the
involvement of outside agencies in highly specialized fields where United
Nations system agencies have comparative advantages (civil aviation,
telecommunications, transportation and nuclear technology) and the
limitation of opportunities for developing countries to harness their
technical capacities. The capacity to undertake such technical activities
often requires extensive institutional capacity-strengthening.
National capacity
104. National execution has led to greater use of national capacities,
especially the increased use of national experts and national institutional
resources. Where national capacities are weak, Governments appreciated
United Nations system support to establish the necessary capabilities to
carry out national execution. A concern none the less expressed by some
recipient countries is in regard to the need for sustained efforts by the
United Nations system to establish and strengthen systemic broad-based
national capacity. Of 95 responding resident coordinators (30 least
developed countries, 65 non-least developed countries), 51 considered that
the contribution of national execution to the use of national capacity was
significant. Forty-four resident coordinators considered that national
execution was making only some or little contribution. The reasons for the
varied pattern of national capacity use cannot be clearly established.
Countries higher up on the income scale are inclined to use such capacities
more than others. Many responses from the field considered that national
execution created more opportunities for the use of national capacities
than agency execution.
105. While only a few instances can be observed of non-governmental
entities executing projects and programmes, there is evidence of their
extensive use in various implementational roles, especially through
subcontracting arrangements. According to responses from resident
coordinators, 90 per cent of countries in Latin America, 83 per cent in
Africa, 73 per cent in Asia and 43 per cent in Eastern Europe had utilized
the services of non-governmental organizations to execute or implement
operational activities. Some United Nations system agencies were more
inclined to utilize non-governmental organization services than others,
which has more to do with the sectoral focus of an agency, social sector
agencies having more opportunities to tap non-governmental organization
capacities than some others.
Accountability
106. The increasing adoption of national execution has major implications
for the processes of accountability, both financial and substantive. It is
also a relatively new area for Governments, especially with regard to
technical cooperation. Resident coordinators indicated that about one in
three countries felt that the issue of accountability was adequately
addressed, while most countries felt that it was at least partially
addressed; however, about 15 to 20 per cent felt that it was not adequately
addressed. The difficulties in accountability arrangements were reported
by resident coordinators to be primarily attributable to a disparity
between government and United Nations system procedures, a lack of
transparency in financial accountability, inadequate capacity in accounting
practices and excessive focus on financial instead of substantive
accountability.
107. Current practices in many countries where UNDP country offices assist
national project directors with administrative and financial management
proved to have important implications for financial accountability and a
type of joint responsibility, particularly when Governments and country
offices had developed mechanisms to facilitate financial accounting and
reporting. In many countries, substantive accountability has been lacking
and prevailing mechanisms to ensure substantive accountability, such as
tripartite reviews and programme review committees, are seen as primarily
concerned with administrative and managerial issues and provisions of
inputs.
108. Many types of difficulties in national execution have been identified
in the country responses to the questionnaire. While 9 out of 10 responses
from resident coordinators from Africa, Asia and Eastern Europe encountered
difficulties, only 1 in 2 respondents from Latin America had such
difficulties. Among the difficulties reported by resident coordinators are:
constraints due to national capacity (65); accountability (52); financial
rules and audit (50); complexity of United Nations rules and procedures
(49); government policy towards national execution (29) and inadequacy of
guidelines for national execution (20). Many of the 109 reporting
countries identified more than one difficulty. Two thirds indicated
specifically that the diversity and complexity of the rules and procedures
of United Nations organizations were a source of difficulty.
109. In conclusion, national execution is now becoming the norm in
United Nations system technical cooperation, with agency execution having
diminished and becoming the exception in most countries. There are still a
few countries in which UNDP-supported activities are mainly undertaken
through agency execution. The qualitative aspects involved in these
changes cannot be judged adequately from current evidence. As the common
framework established by CCPOQ has stated, the essence of the transfer is
know-how and not financial resources. Among other objectives is also the
need to achieve greater cost effectiveness in operational activities and to
ensure that the comparative advantages of the United Nations system are
fully available to recipient countries. The extent to which national
execution achieves these objectives requires further exploration.
D. United Nations system coordination mechanisms at
the global level in support of country action
1. Consultative Committee on Programme
and Operational Questions
110. Throughout the period under review, the ACC Consultative Committee on
Programme and Operational Questions (CCPOQ) continued to give priority
attention to the enhancement of the efficiency and effectiveness of the
operational activities for development of the United Nations system, with
particular reference to General Assembly resolutions 47/199 and 44/211.
Resident coordinator system
111. In 1995, CCPOQ adopted on behalf of ACC an updated and consolidated
statement on the role and functioning of the resident coordinator system.
Taking into account the earlier principles on coordination in the field
adopted by ACC in 1961, 1967, 1979 and 1989-1990, the statement
incorporated the provisions of resolution 47/199 aimed at the strengthening
of the resident coordinator system.
112. Action has been taken to improve the response of the United Nations
system to concerns and suggestions raised by resident coordinators and
their colleagues, notably through the analysis and review by CCPOQ of the
resident coordinators' annual reports and the improvement of briefing
arrangements at headquarters locations on the occasion of visits by
resident coordinators.
Country strategy note
113. The adoption by CCPOQ, at its first regular session of 1993, of basic
principles and procedures for assisting Governments in the preparation of
country strategy notes (CSNs) was followed up in October 1993 by a workshop
of selected country teams and national government participants to identify
more substantively the possible structure and content of country strategy
notes. The resulting guidance notes for the preparation, design and
implementation of country strategy notes were reviewed by CCPOQ in early
1994 and distributed to all resident coordinators and country teams.
Programme approach
114. At its first regular session of 1993, CCPOQ agreed on a system-wide
common interpretation of the programme approach and developed a number of
considerations for its implementation. These were followed up in April
1994 by an inter-agency workshop to assess the state of implementation of
the programme approach and national execution, based on reports of missions
to eight developing countries. The subsequent review by CCPOQ, at its
first regular session of 1994, confirmed the progress in the use of the
programme approach at all levels and identified a number of modalities for
its further development, particularly through training.
115. In accordance with paragraph 13 of resolution 47/199, CCPOQ
furthermore approved, at its first regular session of 1995, guiding
principles for a monitoring and evaluation methodology in the context of
the programme approach. Those principles were developed in close
consultation with the Inter-Agency Working Group on Evaluation and seek to
ensure the incorporation of monitoring and evaluation considerations in the
programme approach, joint government and United Nations system
responsibility for delivery of the United Nations system component, and
action to strengthen national monitoring and evaluation capacities.
116. Based on the lessons learned from the above-mentioned exercise, a
further workshop is planned for later in 1995 to clarify certain concepts
of the programme approach; develop operational instructions for the
application of the above-mentioned principles, including their relationship
to accountability; and develop related training modules.
National execution
117. In accordance with paragraph 22 of resolution 47/199, CCPOQ developed
and approved, at its first regular session of 1993, a common interpretation
of national execution and implementation arrangements to be applied by the
United Nations system. In April 1994, inter-agency consultations
highlighted the extent to which national execution has been adopted as the
norm for delivery of United Nations operational activities. Ongoing CCPOQ
reviews have focused on the means of ensuring the involvement of the
specialized and technical agencies in the planning, formulation,
implementation and evaluation stages, through, inter alia, an effective
functioning of the resident coordinator system and the provision of
corresponding resources. The need to strengthen national capacities for
national execution has been identified as a key objective of the
operational activities training programme.
Operational activities training
118. The further development and implementation of training programmes for
operational activities has remained a constant preoccupation of CCPOQ. The
Committee is assisted in this regard by its Advisory Panel on Operational
Activities Training, which comprises not only CCPOQ members but also
representatives of the Consultative Committee on Administrative Questions
(Personnel and General Administrative Questions (CCAQ(PER)) Subcommittee on
Training, the Joint Consultative Group on Policy (JCGP) Subgroup on
Training and individual experts.
119. The programme on the management of field coordination for senior
United Nations system representatives has been actively pursued: 14
workshops involving 66 country teams and over 400 participants were
organized between March 1991 and March 1995. The structure and contents of
the workshops are constantly reviewed in order to reflect the latest
challenges facing the United Nations system - for example, on coordination
in humanitarian and emergency relief situations. In September 1994, an
extensive evaluation carried out by the Advisory Panel underlined the
contribution of the workshops to the process of ensuring substantial
progress in field coordination and thereby in the effectiveness and
efficiency of United Nations system operations in support of national
development.
120. The Advisory Panel evaluation further emphasized the need for greater
follow-up at the country level, notably in the context of national
workshops consisting of both the United Nations country team and national
officials, as soon as possible after a Turin workshop. The introduction of
the country strategy note process has given particular relevance to that
process: workshops were organized in 1994 in the Syrian Arab Republic,
Ghana, Pakistan and Mauritania.
121. The major innovation in operational activities training has been the
development of the national capacity training programme, mandated by CCPOQ
in 1992. The programme targets the training of trainers in programme
formulation and management and includes training modules in a number of
areas, such as policy analysis and planning, budgeting, procurement, staff
management and donor relations. Six workshops of four weeks' duration each
were conducted at Turin between September 1993 and March 1995, involving 21
country teams and 135 participants, mainly from national institutions.
2. Joint Consultative Group on Policy
122. Throughout the period under review, JCGP and several of its working
groups and subcommittees devoted much of their attention to the
implementation of General Assembly resolution 47/199. The specific results
achieved are reviewed in the various substantive sections of the present
report. Significant work has advanced in a number of areas, such as the
harmonization of programme cycles and the harmonization of key terminology
in United Nations system development activities. In accordance with
paragraph 39 (d) of resolution 47/199, the pool for resident coordinators
was widened and a modified system for their selection and appointment was
adopted.
123. JCGP continues its work on monitoring and evaluation, aid
accountability and management audit systems, common premises and services.
Harmonization of key terminology in United Nations development activities
124. The common interpretation of programme terminologies used within the
United Nations system of development assistance is a step towards achieving
greater harmonization and simplification in the procedures of operational
activities of the United Nations system. The results of that work by JCGP
is contained in a report on harmonization of key terminology in United
Nations development activities, which has been sent to all country
representatives and JCGP staff.
Aid accountability
125. In response to requests contained in General Assembly resolution
44/211 and 47/199 to enhance accountability, JCGP, through its Subgroup on
Harmonization, initiated a comparative study of the financial
accountability requirements of UNDP, UNFPA and UNICEF; that work is still
continuing.
Monitoring and evaluation
126. The Working Group on Monitoring and Evaluation of the JCGP Subgroup
on Harmonization has issued a report on harmonization of monitoring and
evaluation as a step towards developing common principles and policies.
The report recognized that there was already a substantial degree of
harmony between the evaluation system of JCGP members. It presented a list
of common principles and definitions as well as alternative approaches to
the harmonization of monitoring and evaluation. It also emphasized that
the exercise should start with a harmonization of terminology and product
formats; that would ensure a common understanding of concepts and
facilitate the sharing of information.
127. The next phase of the exercise will include:
(a) Project evaluation policies, procedures and products;
(b) Programme evaluation policies, concepts, terminology and products;
(c) Monitoring products for both project and country programmes.
128. Among the measures being pursued are the following:
(a) Establishment of a system that would give each agency computerized
access to the evaluation databases of the other agencies;
(b) Establishment of a joint consultant roster;
(c) Holding of a joint training in evaluation techniques;
(d) Holding of joint evaluation missions.
Management audit systems
129. A Working Group on Management Audit Systems of the JCGP Subgroup on
Harmonization composed of the internal audit systems reviewed the
implementation of resolution 47/199. In that connection, the Working
Group:
(a) Re-emphasized the audit standards;
(b) Exchanged information on computer-assisted audit techniques;
(c) Called for the use of contractors to perform internal audits: the
experience of UNDP and UNFPA was discussed and it was found that the use of
commercial contractors could be a means of enhancing audit coverage and
frequency;
(d) Noted that: the harmonization of procedures among agencies was seen
to be an important factor for enhancing the government capacities, thus
enabling it to discharge effectively its functions and responsibilities;
(e) Planned to undertake joint audits of programmes and projects: while
the need for such an undertaking was recognized, it was felt that the
matter required further discussion and analysis.
130. Together with the representatives of other United Nations
organizations and multilateral financial institutions, the Working Group
discussed the advantages and disadvantages of developing a common audit
manual. A consensus emerged that that was not practicable: while auditing
principles were standardized, the practice varied, given the diversity of
mandates, profiles and portfolios. Nevertheless, it should be noted that a
common set of auditing standards is being applied by all concerned
organizations.
E. Resident coordinator system
Actions at the global level
131. General Assembly resolution 47/199 laid out some of the tools with
which the resident coordinator system now works. Some of those tools had
existed before but were put into a systematic relationship with each other
for the first time in support of more effective operational activities.
The principal tools are the programme approach, national execution and the
country strategy note; experience with these tools is assessed in other
sections of the present report.
132. The principal actions at the global level concerning the resident
coordinator system were the work of ACC and its subsidiary bodies to
implement General Assembly resolutions 47/199 and 44/211. In order to
provide more coherent support to the resident coordinator system, the
Secretary-General decided to entrust the Administrator of UNDP with overall
responsibility for assisting him in improving the coordination of
operational activities for development, including the strengthening of the
resident coordinator system. Subsequently, the Administrator of UNDP
established the Office of the United Nations System Support and Services,
which has as one of its functions to provide management and support to the
resident coordinator function.
133. As mentioned in section D above, a statement on the functioning of
the resident coordinator system was adopted by CCPOQ on behalf of ACC,
reflecting the results of inter-agency discussion on strengthening the role
of the resident coordinator. The role and function of the resident
coordinator was agreed by CCPOQ in February 1995 in a statement that is now
being applied.
Pool
134. In accordance with paragraph 39 (d) of resolution 47/199, procedures
were approved by JCGP in February 1994, the details of which were reported
to the Economic and Social Council in its report on the implementation of
resolution 47/199. In addition to JCGP organizations, candidates for the
pool may also be drawn from sources such as other United Nations system
organizations. In addition, a process was established for selecting among
the candidates for those positions. Progress is being made in widening the
choice. As of May 1995, 45 of 115 resident coordinators in post come
directly from or more frequently have worked in one of the agencies other
than UNDP.
Financial support
135. In May 1994, UNDP allocated $200,000 ($8,000-$10,000 per office) in
support of the resident coordinator function. As of May 1995, all of this
money had been committed. In October, a further $2 million was confirmed
by UNDP for 1994-1996. The UNDP Executive Board at its session of 5-16
June 1995 (see decision 95/23, Successor programming arrangements) has
endorsed the Administrator's proposal to earmark for the 1997-1999 period
an allocation of 1.7 per cent to provide support to resident coordinators
and aid coordination.
Briefing
136. Consultations have been held with the Geneva-based organizations to
improve the briefing of resident coordinators. Problems still exist with
briefings with respect to some agencies located outside of established
headquarters.
Actions at the regional level
137. Actions at the regional level with respect to the resident
coordinator system remain embryonic. However, certain initiatives have
emerged recently. The regional commissions and UNDP have recently set up a
task force to deal with coordination issues, including regional priorities
and the involvement of the regional commissions in the country strategy
note process.
Growth of role
138. Both sources indicate that the role of the resident coordinator has
grown over the last three years, not only in programme matters but also on
security, humanitarian, common administrative and protocol issues.
Resident coordinators reported that they spent 39 per cent of their time on
resident coordinator work and 41 per cent of their time on UNDP activities;
the remaining 20 per cent was devoted to representing various funds and
programmes of the United Nations, including the Department for Development
Support and Management Services (DDSMS) of the Secretariat, WFP, UNFPA, the
United Nations International Drug Control Programme (UNDCP) and UNIDO.
139. Much of the growth of the role has been in substantive areas; the
tools provided via the resident coordinator system have helped in that
growth. For example, the preparations for a country strategy note have
been a pole around which substantive work has coalesced in some countries;
in others, that pole has been the programme approach; in others, it has
been the preparation of national contributions to global conferences.
Essentially, the resident coordinator system provides a mechanism that
permits shared objectives and implementation.
Table 6. Percentage of time (average) devoted to resident
coordinator and resident representative functions
Function
Africa
Asia
Latin America
Eastern Europe
Total
Resident coordinator function
19
18
19
17
19Humanitarian assistance
8
6
3
10
7Common system administrative and protocol matters
6
8
6
11
7Security matters
8
5
5
4
6UNDP activities
39
42
46
38
41WFP activities
6
4
4
3
5UNFPA activities
6
5
6
4
6DDSMS activities
3
3
3
2
3UNIC activities
4
3
4
10
4Other United Nations department activities
n.a.
n.a.
n.a.
n.a.
n.a.UNDCP
2
4
4
3
3UNIDO
4
3
3
3
3Other matters
4
6
9
5
5
n.a. = not available through the answers to the questionnaire
Note: The columns do not add to 100 per cent because each value
represents an average of resident coordinators' individual estimates.
Unified approach in accordance with paragraph 49 of General Assembly
resolution 47/199
140. The experience with the new country offices is still too new for
assessing lasting impact but the offices have worked well where they have
been set up. The limited data available from the country missions do
suggest that the United Nations development system is more effective the
more integrated the presence.
141. Three new offices were visited; each has applied the programme
approach. It is somewhat early to judge the impact but it appears that each
of them is in advance of other offices in that regard. There is no
evidence that in those countries the trend towards greater collaboration in
programmes at the country level has weakened any agency's programming,
implementation or operational flexibility, accountability arrangements or
advocacy capacity.
Field-level committees
142. In paragraphs 40 and 41 of General Assembly resolution 47/199, the
Assembly calls upon resident coordinators to establish, in consultation
with the host Government, an appropriate field-level committee with
advisory functions. Just over one half of the 102 resident coordinators
who responded on this issue answered positively, more in Latin America than
elsewhere. About one fifth said that regular coordination meetings among
United Nations system organizations were held for specific exercises even
though the establishment of the fieldlevel committee had not been
formalized.
143. Three quarters of the 59 responding resident coordinators agreed that
those committees ensured that major programmes and projects of the United
Nations system organization were systematically reviewed to guarantee their
complementarity, agency sector strategies and evaluation were reviewed, and
guidance and advice were provided on proposed programmes, and that those
mechanisms allowed the identification of programmes and projects of the
United Nations system organization for possible complementary financing and
coordinated implementation.
144. Nearly 10 per cent of the responding resident coordinators stressed
that field committees did not allow the identification of United Nations
programmes and projects for possible co-financing and coordinated
implementation, mainly owing to the critical situation that their
respective country was facing: since the Government was not available for
this kind of concertation, the United Nations system limited its internal
coordination to emergency assistance.
Thematic working groups
145. Seventy-two per cent of the resident coordinators confirmed the
establishment of thematic working groups: the highest response is from
Latin America (89.5 per cent), followed by Asia (70 per cent), Africa (69
per cent) and Eastern Europe (57.1 per cent). Seventy-five per cent of the
resident coordinators in non-least developed countries, as compared with
65.7 per cent of those in least developed countries, confirmed the creation
of such groups.
146. Some 4.6 per cent indicated that there were plans to establish such
groups in due course. Eleven resident coordinators (seven in Africa and
four in Asia) declared that the need for formal thematic working groups was
not felt, whereas one or more informal thematic agency meetings were being
held, as required. Finally, another group of eight resident coordinators
(7.3 per cent) reported a lack of interest of donors in the establishment
of thematic working groups.
147. The data suggest and the experience of the missions support the
inference that the record of field programme committees and thematic
working groups is uneven. Where there was a specific task or event around
which to work, such as the follow-up of a round table or a particular issue
that involved several agencies and national officials, then the groups
assembled for that purpose appear to have worked substantively together and
the fact of group work has strengthened the system's output. However,
where meetings did not have such a common impulse they met only
sporadically and with little evident value added.
Cooperation among United Nations system organizations
148. Resident coordinators and other country representatives were asked to
assess the type of cooperation among United Nations organizations at the
country level. The number of countries reporting the level of intensity of
each type of cooperation is given in table 7a.
Table 7a. Type of cooperation among United Nations
organizations at the country level
High
Medium
Low
Total
Ex-post sharing of information
47
51
6
104Sharing of information before action is taken
39
51
14
104Collaborative programming
26
56
22
104Coordinated funding of government programmes and projects
19
46
34
99Coordinated government programme and project implementation
14
54
33
101Others
11
5
2
18
149. The information reported is generally uniform for all regions, with
some exceptions. For example, the exchange of information among United
Nations system organizations before action is taken is significant for over
a third of those replying. Significant coordination of funding and
implementation of programmes and projects is, however, less frequent, being
reported by less than 20 per cent of resident coordinators.
150. The resident coordinators rated, on a scale of 1 to 10, the
effectiveness of various pre-coded modes of inter-agency cooperation within
the United Nations system. The global results, indicating average values
of those ratings, are given in table 7b.
Table 7b. Effectiveness of inter-agency cooperation
Africa
Asia
Latin America
Eastern Europe
Total
Formal coordination meetings with structured agenda and follow-up
7.80
7.33
6.20
6.00
7.25Informal daily contacts at working level
7.30
7.56
7.15
8.00
7.41Joint United Nations and government meetings
5.66
5.78
4.21
5.33
5.39Thematic working groups with different lead agencies
6.76
6.48
7.11
6.17
6.69Exchange of documentation
6.69
6.72
6.00
5.25
6.49Others
6.15
7.67
7.00
10.00
6.75
151. A consistently high rating was given, in all regions, to the informal
daily contacts among United Nations system organizations at the working
level. A lower evaluation was given to joint United Nations and government
meetings and, to a certain extent, also to the exchange of documentation.
Participation in formal coordination meetings appears to have a higher
rating in Africa and Asia than in Latin America and Eastern Europe.
Thematic working groups have a higher rating in Latin America than the rest
of the developing world.
152. Resident coordinators have taken a number of measures, such as:
(a) The establishment of inter-agency committees, including
representatives of the Bretton Woods institutions;
(b) Consultations with agency field representatives concerning common
contributions to round tables, consultative groups and national technical
cooperation and assistance programmes (NaTCAPs);
(c) Performing joint situation analyses and needs assessments to provide
common and consistent data for country strategy notes, country programmes
and sectoral reviews.
153. Recently, UNDCP and UNDP came to an agreement under which the UNDP
resident representative would also serve as the UNDCP representative
working closely with the UNDCP country director to achieve a unified
approach at the field level. Similarly, UNDCP and UNICEF made arrangements
to collaborate in programme activities.
Reactions of other stakeholders to the resident coordinator system
Agencies
154. Country mission reports indicated that United Nations system
representatives at the country level were concerned that many practices and
procedures of their respective organizations were not yet fully harmonized.
They often see themselves as having a common responsibility with respect to
United Nations system operations, apart from their agency responsibilities;
as a result, there is a growing awareness of intersectoral linkages that
need to be established among United Nations programmes.
155. Many agency headquarters have also underlined the need to bring about
a better balance between responsibilities and resources and mandate and
means. They have noted the fact that neither staff nor resources sufficient
to undertake system-wide functions distinct from those of UNDP have been
designated.
Recipient countries
156. The country missions suggest and the resident coordinators' responses
confirm that most Governments are supportive of the resident coordinator
system. The country missions further confirm that the effective functioning
of the resident coordinator system has a significant bearing on government
perceptions of the coherence of the United Nations system at the country
level.
157. Most recipient countries have positive perceptions of the resident
coordinator as a means to coordinate agency activity and mobilize aid and
expertise. Though only one responding country sees the resident
coordinator in a leadership role in terms of designing the appropriate
development programme for each country, all countries envision the resident
coordinator working in close cooperation with the Government. Several
advocated strengthening the resident coordinator to act as an adviser to
the Government on behalf of the United Nations system. The majority
agreed, however, that there would first need to be greater consultation and
cooperation across agencies to make the resident coordinator more
effective. Finally, countries from all regions called for the resident
coordinator to be fully cognizant of the specific cultural and economic
contexts of the countries in which they worked.
Donors
158. While good progress has been made in the reforms of operational
activities within the United Nations system initiated through General
Assembly resolutions 44/211 and 47/199, much remains to be done. The new
system for selecting resident coordinators is much more open and gives the
other funds and programmes a clear stake in the resident coordinator
system. The effectiveness of other measures designed to strengthen the
authority of the resident coordinator has been mixed. Concern has also
been expressed about the disinclination of certain United Nations agencies
to become fully involved in the resident coordinator system.
Improvements in the resident coordinator system
159. The resident coordinator system is important to United Nations system
efficiency and effectiveness at the country level. The resident
coordinator continues to be a key person to make the activities of the
system more coherent and useful for the beneficiary countries. The role a
resident coordinator can play still depends very much on his/her own
personal qualifications. There seem to be different interpretations in the
field about what coordination should include. Coordination is sometimes
overtaken by umbrella donor groups in which both bilateral and multilateral
donors participate.
160. The concrete action most frequently proposed by the resident
coordinators (80 per cent) was greater financial and human support to the
resident coordinator system. Seventy per cent sought greater clarity of
mandate and additional substantive support.
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F. Programme support
1. Decentralization and delegation of authority
161. During the past three years, most (23) responding United Nations
system organizations have introduced changes in their organizational and
management structures and practices, not only in response to the General
Assembly resolutions but also as an ongoing process of streamlining,
simplifying and enhancing the impact and effectiveness of their activities,
as directed by their own governing organs. Decentralization and
empowerment of field offices are key elements in these efforts. The pace
and reach of reforms, however, vary from organization to organization and
from modality to modality. Details on the changes made and results
achieved are provided below.
Structural and management changes
162. The review found that there has been a continuation of delegation of
authority to the field in substantive, financial and administrative areas.
Half the United Nations field representatives in non-least developed
countries and nearly 65 per cent of those in least developed countries
report receiving increased delegation of authority in the period under
consideration. The rate of delegation varies from agency to agency.
163. UNDP has strengthened its country-office capacities by introducing
specialist posts in selected fields in some countries, such as sustainable
development, HIV/AIDS and macroeconomy in Africa. Organizational changes
were also introduced at its headquarters to provide policy leadership and
support to country and regional programmes. UNICEF has shortened the
country preparation cycle from 18 to 12 months and its country offices have
made efforts to involve other agencies in the programme preparation and
review processes (PPRPs). A recent management study conducted by a major
international consulting firm has helped the organization to embark on a
process of further adapting its managerial processes to refine its ability
to support this decentralized structure. The number of country directors
of UNFPA has been increased from 53 in 1990 to 60 in 1994. It has
strengthened its professional staff by establishing eight country support
teams, bringing multisectoral population advice and technical back-stopping
closer to the field, is undertaking a major revision of its programme
procedures and has introduced changes in the modalities of development
cooperation. WFP has restructured its operations to focus on management
and programming, policy and support, transport and logistics, and has
delegated authority to its country offices for project reformulation, food
procurement and personnel administration.
164. Several specialized agencies (UNESCO, UNIDO, ILO and WHO) have
changed their management structures and operational procedures. UNESCO has
introduced a Sectoral Programme Evaluation Unit for the monitoring and
evaluation of operational activities and a Division for Policy and Sectoral
Analysis to provide technical advice to member States in the fields of
policy, institutional reforms and management, planning and resource
allocation. A new Unit for Private Sector Funding Sources has been
established. In WHO, efforts are under way to simplify structures and make
procedures more transparent. ILO has taken several steps to maintain and
enhance its technical capacity, resource base and comparative advantage.
165. UNIDO has introduced a new programme and project management process
in the context of a major organizational reform and restructuring launched
in late 1993 and approved at the fifth session of the General Conference.
The new process puts emphasis, inter alia, on establishing a coherent
programming framework through country-specific, sectoral and thematic UNIDO
support strategies; introduction of an early programme and project
screening mechanism; unified approval procedures covering different sources
of funds; and the decentralization of the quality assurance function.
Methodologies have been refined and are increasingly applied with a view to
ensuring relevance, cost-effectiveness and sustainability of programmes and
projects.
166. Smaller technical agencies (UPU, ITU and ICAO) have also introduced
several innovations, such as the programme budget system, strategic
planning process and new offices for programme evaluation and a Technical
Cooperation Bureau. One agency also strengthened its regional presence,
resulting in 12 new field offices in four regions (ITU).
167. Regional commissions have also initiated important reforms and
strengthened their approach to operational activities by the establishment
of a multidisciplinary regional advisory group. The Department for
Development Support and Management Services has reorganized its internal
structure and established a Programmes and Projects Review Committee to
review its activities in a more substantive and holistic manner, and has
placed evaluation functions in a more central position.
168. The above-mentioned actions indicate how individual organizations are
responding to the new requirements of recipient countries in order to
enhance their coherence in programming and resource utilization.
2. Simplification and harmonization of procedures
169. Most countries were concerned about excessive rules and procedures
and a lack of transparency, and were also concerned that information on new
procedures was not transmitted to Governments effectively. Differences in
procedures limit the use of local resources and skills and reduce the
impact of assistance. Rules, procedures and programme cycles of the various
organizations change continuously but often the changes were not made known
to users.
170. Some Governments expressed concern about the complexity of financial
procedures for national execution. They found that they had to satisfy the
different demands of each agency and in that context recommended that the
best and most simplified practices of each United Nations system
organization should be identified and agreed upon as a basis of action.
Reporting formats and procedures are complicated and time-consuming. They
also pointed out that the lack of harmonization prevented them from
establishing more integrated and coordinated arrangements at the country
level.
171. Donors agreed that simplification and harmonization of procedures was
needed to facilitate coordination at the country level and to make the
United Nations system more transparent for both recipient countries and
donors. Progress in that area was important and should be given priority;
in particular, common approaches were needed to salaries/allowances for
national expert/project staff in order to avoid local brain drain and
unequal treatment of national staff.
172. According to the country mission reports, system-wide progress in the
last three years in simplifying and harmonizing rules and procedures
remains difficult to discern. In some of the countries visited, both
government and United Nations system officials pointed out that the United
Nations system rules and procedures were a significant barrier to greater
implementation of projects by the Government and national agencies. The
many different rules and procedures of the United Nations system increased
the workload of the Government. Some United Nations system representatives
pointed out that the simplification and harmonization of rules and
procedures must be carried out at Headquarters level.
173. At present, a JCGP Subgroup on Programming Policies and Procedures
under the chairmanship of UNFPA is focusing on harmonization in the areas
of situation analyses, country strategy notes and monitoring and review
procedures.
3. Accountability: monitoring, evaluation and audit
Changes in organizational and reporting status of the evaluation and
management audit functions
174. Evaluation offices or units report to senior management either
directly or as part of a policy or strategic planning office. Audit
offices remain separate from evaluation offices in most organizations. A
recent JIU report has recommended that each organization establish a single
focal point unit under its executive head dedicated to strategic planning,
performance management and maximally effective accountability and
oversight. It also recommended that organizations consider combining their
oversight units, audit and evaluation.
Evaluation and related initiatives within the system
175. In 1995, WHO updated its strategies in the light of its response to
global change based on agreed targets and outcomes and reorientation of
resources in accordance with priorities. Its budgetary rules and
procedures are already oriented towards output/performance.
176. The ILO has introduced a new reporting and evaluation system designed
to ensure that its programmes focus on key objectives. A suitable data
follow-up system is currently being developed. The ILO is keeping the
issue of impact-oriented evaluation under review but has not yet made any
specific changes. It is following the experience of other United Nations
agencies in order to assess the implications of the programme approach on
monitoring and evaluation procedures.
177. The UNDP programme approach uses an output budgeting strategy and
format, which is outlined in its Programme Support Implementation
Arrangements (PSIA) instrument. In October 1993, new guidelines for
evaluators were introduced to clarify concepts of impact, sustainability,
institution-building and a common framework for evaluation based on
relevance, performance, outputs, outcomes and impact.
178. UNICEF has taken specific steps to harmonize and make more
transparent its procedures regarding programme formulation, implementation
and evaluation, and has introduced feedback mechanisms that have enhanced
its capacity to support more sustainable programmes and to assess programme
impact.
179. WFP indicates that it has focused on evaluation procedures that are
oriented towards impact assessment, sustainability and comparative
advantage. The Office of Evaluation has established a comparative memory
facility in order to ensure better programming feedback.
180. UNFPA is reviewing and revising its guidelines for monitoring and
evaluation in the context of the programme approach in order to streamline
and harmonize the guidelines with those of other agencies. Efforts are
also under way to emphasize outputs and achievements in its monitoring and
evaluation processes.
181. IFAD has introduced a new project cycle, which allows a flexible
inception of project ideas, taking into consideration programmes and
strategies. Its evaluation functions have been updated following an
external assessment and is now more focused on outputs and impact.
182. ICAO established a new Office for Programme Evaluation, Audit and
Management Review, with the responsibility of providing strategic planning
and accountability and as an appropriate mechanism for judging the
potential value of new and outgoing programmes. The Technical Cooperation
Bureau of ICAO is being restructured to make it more responsive to the
needs of recipient countries.
Streamlining and rationalization of procedures and practices within the
United Nations system
183. The Inter-Agency Working Group on Evaluation was set up as a
subsidiary body of ACC. Initially, it helped to develop common procedures
for project monitoring and evaluation; these have been supplemented
recently with guidelines for monitoring and evaluation of the programme
approach. The CCPOQ Subgroup on Harmonization found that substantial
degree of harmony already existed between the evaluation systems of JCGP
members. The differences were mainly ones of terminology, detail, emphasis
or institutional framework.
184. The Working Group is also looking at mechanisms to share more
actively databases as well as evaluation reports and to strengthen the
system's understanding of how to build evaluation capacity in developing
countries. Through the ACC Subgroup on Rural Development, a panel of
experts on evaluation led by IFAD has initiated the development of guiding
principles for monitoring and evaluation on gender issues. Their future
work will focus on assessing participation in evaluation and on rural
poverty alleviation. As a result of these initiatives, harmonization has
been strengthened in the following areas: concepts, methodologies,
programmes and themes.
Rationalization of accountability at the country level
185. Aid accountability has been pursued by the JCGP Subgroup on
Harmonization. The Subgroup is developing common formats in order to
facilitate reporting by recipient Governments.
186. Over half of all resident coordinators report some strengthening of
government capacity in accounting and the monitoring and evaluation of
financial and programming functions, and some enhancement in their
accountability as a result. They record considerable activity by United
Nations organizations in the support of government auditing capacity and
strengthening of accountability. The number of countries reporting such
support is given in table 8 below:
Table 8. Number of countries reporting support by United Nations
organizations in strengthening accountability
__________________________________________________________________________
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Eastern Latin
Activity Africa Asia Europe America
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Strengthening institutions 80 59 75 80
Placing consultants 56 38 25 50
Providing methodologies 62 56 37 60
Training government staff 82 62 50 80
__________________________________________________________________________
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187. Nearly 60 per cent of resident coordinators indicate that there has
been little harmonization of United Nations organizations at the country
level for meeting the requirements of strengthening accountability. They
urged (i) more training for government officials or for United Nations
personnel charged with providing technical support to the Government; (ii)
simplified procedures and better guidelines; (iii) creation of support
units within the Government; (iv) additional resources and staff; (v)
better access to qualified evaluators.
Global and country-level evaluations of operational activities
188. In practice, there have been no global evaluations of operational
activities carried out jointly by the United Nations system as a whole.
However, at the country level initiatives have been taken. The resident
coordinator in one country where the country strategy note was completed
has proposed that the Government use it as a basis for the review of all
operational activities. A similar review was carried out in another
country prior to completion of the country strategy note and the Government
included the World Bank programme in the exercise. In the same country,
the United Nations system (UNDP, UNFPA, UNICEF, WHO) initiated a multi-
donor evaluation of the national AIDS programme as an input to the
formulation of the next medium-term AIDS plan.
Use of evaluation results by the United Nations system
189. There have been external evaluations of five agencies during the last
three years: IFAD, UNCTAD, UNICEF, UNFPA and WFP. They contain a variety
of substantive and managerial conclusions and recommendations, some of
which recognize the tensions within the system.
190. For the purpose of the present review, it is pertinent to note that
the actions urged by an external evaluation requested by one part of the
system may well clash with the decisions of the General Assembly seeking to
promote a more unified, cost-effective and integrated approach to
operational activities.
4. Common premises and common services
191. JCGP has expressed strong support for the proposal to colocate United
Nations organizations and services. Moreover, in paragraph 49 of its
resolution 47/199, the General Assembly requested the Secretary-General to
ensure that the operational activities of the United Nations development
system carried out in new recipient countries were undertaken from the
outset on the basis of an integrated, unified, cost-effective and
innovative approach to development cooperation and presence in the
countries concerned.
192. While welcoming the decision of JCGP to set a target date for this
exercise, the General Assembly in resolution 47/199 emphasized that that
process should be achieved in cooperation with host Governments in a way
that increased efficiency, such as by means of the consolidation of
administrative infrastructures of the organizations concerned, and with no
financial increase in the cost of operations either to the United Nations
system or the host
developing country. JCGP and its Subgroup on Common Premises and Services
have taken the lead in developing and expanding common premises and common
services.
193. The lack of progress in achieving common premises was a concern
expressed by some donors in reply to the review. While they recognized the
practical and logistical difficulties of placing all United Nations offices
in a single premise, they noted that there was an unjustified reluctance in
some cases. They pointed out that the long-term benefits of common premises
far outweighed the apparent advantages of independence both for individual
agencies and for the United Nations system as a whole. They noted that
host countries should take a firmer line with the United Nations system
regarding that goal. At the same time, they understood that progress on
the matter of premises will depend on availability of financial resources.
194. The current situation on the use of common premises as reported by
the resident coordinators shows that common premises for United Nations
system organizations are found in 47 per cent of the countries in Asia, 33
per cent in Eastern Europe, 21 per cent in Latin America and 28 per cent in
Africa. The situation of common premises for JCGP organizations differs
only slightly: common premises have been achieved in 33 out of 92 countries
(36 per cent). With regard to regional distribution, the figure for JCGP
organizations in Latin America is 50 per cent, with the figures for the
other regions approximately the same as the figures for common premises for
United Nations system organizations cited above.
195. Moreover, the resident coordinator responses show that the sharing of
common services is more frequent than common premises, since in 56 per cent
of the countries there is some kind of sharing of services (with strong
geographical differences: 73 per cent in Asia, 60 per cent in Africa, 40
per cent in Eastern Europe and 20 per cent in Latin America). These
responses may be less reliable than for common premises, since the nature
of the services shared may vary extensively from one country to another.
196. Asked whether there was any evidence that common premises increased
the efficiency and coherence of the United Nations system performance and
led to financial savings, 26 per cent of the resident coordinator responses
reported that sharing of common premises and services would reduce
communication costs; 65 per cent expected that it would yield economies of
scale; 18 per cent felt that contacts among United Nations agencies would
be easier; but only 10 per cent believed that it would increase security.
On that point, it should be noted that the analysis undertaken by JCGP in
January 1994 demonstrated a significant cost benefit when comparing
expenses for consolidated premises against expenses associated with
separately renting field offices. The analysis showed that JCGP agencies
could save an estimated $1.3 billion over the period 1996-2013 if United
Nations system common premises were established under the
ownership/leasehold modality (free donation of land by host Governments for
the construction of such premises, a fixed-term lease to the developer and,
at the expiry of the lease, ownership of the premises by the United Nations
system). In 1994, the Secretary-General, in his report to the Economic and
Social Council on progress on the implementation of General Assembly
resolution 47/199, informed the Council (E/1994/64, para. 105) that the
JCGP high-level meeting held at Dhaka, from 6 to 8 February 1994 had agreed
that United Nations system common premises would be constructed under that
ownership/leasehold modality.
197. As an initial approach, JCGP has agreed to establish a jointly funded
unit. UNDP will ensure the day-to-day operations of the unit. The JCGP
Subgroup will provide oversight. The staffing of the unit and start-up
funds will be provided by UNDP, UNFPA and UNICEF initially. Other
agencies, as and when they participate, will be expected to pay their pro-
rata share of the construction costs, including start-up costs, such as the
preparation of space programme reports and site and soil surveys.
198. The General Assembly, in its resolution 48/209 of 21 December 1993,
stipulated that the United Nations development system organizations should
pursue the establishment of common premises at no additional cost to host
Governments on United Nations organizations. The JCGP Subgroup has thus
decided to focus the reform on the establishment of common premises in
high-cost countries, where new premises would result in lower monthly
charges and facilitate the consolidation of administrative infrastructures.
To plan the activities of the Subgroup, a list of priority countries for
1995-1997 has been drawn up. It includes the following: (i) Africa:
Mozambique, Namibia, Senegal and South Africa; (ii) Latin America:
Bolivia, Brazil, Ecuador and Haiti; (iii) Arab region: Syrian Arab
Republic and Morocco; (iv) Asia and the Pacific: Bangladesh, Pakistan, Lao
People's Democratic Republic and Cambodia; (v) Europe and Commonwealth of
Independent States (CIS): Kazakstan. In other locations, opportunities
for economies of scale will be sought and implemented on a case-by-case
basis, whenever feasible. All projects will be jointly funded and private
sector funding will be sought using the ownership/leasehold modality for
the construction of new United Nations system common premises or the
rehabilitation/alteration of buildings provided by Governments.
199. In the CIS countries, Governments, in compliance with the provisions
of the signed standard basic agreement, have each agreed to provide and
have identified a building to house the United Nations system on a rent-
free basis; however, the costs of the renovation to convert such buildings
into functional offices will have to be borne by the participating
agencies, based on the office area to be occupied. Again, UNDP as the
executing agency will oversee the implementation of each project.
200. Moreover, UNDP, UNFPA and UNICEF have set up capital reserves for
office premises. JCGP members have the option to evaluate in each case
whether funding from their available internal resources or private-sector
funding is more advantageous. WFP, which does not have such a fund, is not
in a position to contribute to capital outlays but will participate through
the payment of rent to meet its share of the costs.
201. Some agencies have pointed out that they currently benefit from rent-
free accommodation in their host countries and are often located in the
premises of the concerned ministry: common premises could thus lead to
incurring additional expenses. Any move to common premises is therefore
being reviewed to ensure that potentially higher costs are matched by
increased efficiency and other benefits.
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