INDICATORS OF SUSTAINABLE DEVELOPMENT:
GUIDELINES
AND
METHODOLOGIES
PREFACE
The present publication represents the outcome of a work programme on
indicators of sustainable development approved by the Commission on
Sustainable Development at its Third Session in 1995.
The successful completion of the work programme is the result of an
intensive effort of collaboration between governments, international
organizations, academic institutions, non-governmental organizations and
individual experts aimed at developing a set of indicators for sustainable
development for use at the national level.
The thematic framework, guidelines, methodology sheets and indicators
set out in this publication have thus benefited from this extensive network of
cooperation and consensus building.
This has been an iterative process built on the work of many other
organizations and entities that have been concerned with developing a set of
indicators that could help us better understand the various dimensions of
sustainable development and the complex interactions that takes place between
these dimensions. This
publication should be a seen as a starting point and flexible tool to assist
those countries that may wish to develop their own national programmes for
using indicators to measure progress towards nationally defined goals and
objectives for sustainable development.
The purpose
of this publication is to stimulate and support further work, testing and
development of indicators, particularly by national governments.
No set of indicators can be final and definitive, but must be developed
and adjusted over time to fit country-specific conditions, priorities and
capabilities. It is our hope that
countries will take advantage of the useful information and practical
experience represented by this publication to further advance the work on
indicators of sustainable development by adding their own unique perspectives
to what already has been learned. We look forward to including your experience in our database
of information on the development and use of indicators of sustainable
development.
On behalf of
the United Nations, I would like to thank all of those organizations, agencies
and individuals who have contributed their time and effort to make this
publication possible.
JoAnne
DiSano
Director
Division for Sustainable Development
TABLE OF CONTENTS
CHAPTER
1: Introduction
CHAPTER
2: Assessing Progress Towards
Sustainable Development
A.
The CSD Work Programme on Indicators of Sustainable Development
B. Main Phases and Approaches to
Implementation
CHAPTER
3: Guidelines for Developing a
National Programme of Indicators of
Sustainable
Development
3.1
Organization
3.2
Implementation
3.3
Assessment and Evaluation
3.4
Reporting
CHAPTER
4: CSD Core Indicator Framework
4.1
Adoption of a Theme/Sub-theme Framework
4.2 Core
Indicators
4.3 Theme
Descriptions
4.3.1 Equity
4.3.2 Health
4.3.3 Education
4.3.4 Housing
4.3.5 Security
4.3.6 Population
4.3.7 Atmosphere
4.3.8 Land
4.3.9 Oceans,
Seas and Coasts
4.3.10 Freshwater
4.3.11 Biodiversity
4.3.12 Economic Structure
4.3.13 Consumption and
Production Patterns
4.3.14 Institutional
Framework
4.3.15 Institutional
Capacity
CHAPTER
5: Methodology Sheets
Social
Percent
of Population Living Below Poverty Line
Gini Index of Income Inequality
Unemployment Rate
Ratio of Average Female Wage to Male Wage
Nutritional Status of Children
Mortality Rate Under 5 Years Old
Life Expectancy at Birth
Percent of Population with Adequate Sewage Disposal Facilities
Population with Access to Safe Drinking Water
Percent of Population with Access to Primary Health Care Facilities
Immunization Against Infectious Childhood Diseases
Contraceptive Prevalence Rate
Children Reaching Grade 5 of Primary Education
Adult Secondary Education Achievement Level
Adult Literacy Rate
Floor Area Per Person
Number of Recorded Crimes per 100,000 Population
Population Growth Rate
Population of Urban Formal and Informal Settlements
Environmental
Emission
of Greenhouse Gases
Consumption of Ozone Depleting Substances
Ambient Concentration of Air Pollutants in Urban Areas
Arable and Permanent Crop Land Areas
Use of Fertilizers
Use of Agricultural Pesticides
Forest Area as a Percent of Land Area
Wood Harvesting Intensity
Land Affected by Desertification
Area of Urban Formal and Informal Settlements
Algae Concentration in Coastal Waters
Percent of Total Population Living in Coastal Waters
Annual Catch by Major Species
Annual Withdrawals of Ground and Surface Water as a Percent of Total Renewable
Water
Biochemical Oxygen Demand in Water Bodies
Concentration of Faecal Coliform in Freshwater
Area of Selected Key Ecosystems
Protected Area as a Percent of Total Area
Abundance of Selected Key Species
Economic
Gross
Domestic Product Per Capita
Investment Share in Gross Domestic Product
Balance of Trade in Goods and Services
Debt to Gross National Product Ratio
Total Official Development Assistance Given or Received as a Percentage of
Gross National Product
Intensity of Material Use
Annual Energy Consumption Per Capita
Share of Consumption of Renewable Energy Resources
Energy Use Per Unit of GDP (Energy Intensity)
Intensity of Energy Use: Commercial/Service Sector
Intensity of Energy Use: Manufacturing
Intensity of Energy Use: Residential Sector
Intensity of Energy Use: Transportation
Generation of Industrial and Municipal Solid Waste
Generation of Hazardous Wastes
Generation of Radioactive Wastes
Waste Recycling and Reuse
Distance Travelled per Capita by Mode of Transport
Institutional
National
Sustainable Development Strategy
Implementation of Ratified Global Agreements
Number of Internet Subscribers per 1000 Inhabitants
Main Telephone Lines per 1000 Inhabitants
Expenditures on Research and Development as a Percent of Gross Domestic
Product
Human and Economic Loss due to Natural Disasters
REFERENCES
Annex
1:
International Goals, Targets, and Standards Related to Themes and
Sub-Themes
Of Indicators of Sustainable
Development
Annex 2: Core
Indicators and the Driving Force-State-Response Framework
Annex
3: National Testing Implementation Approaches
|
Table
2: DSR Framework for Sustainable Development Indicators Table
3: Key Themes Suggested by CSD Testing Countries Priorities
Table
4: CSD Theme Indicator Framework Table
5: Selection of CSD Indicators by Testing Countries |
CHAPTER
1: INTRODUCTION
Indicators
can provide crucial guidance for decision-making in a variety of ways.
They can translate physical and social science knowledge into manageable
units of information that can facilitate the decision-making process.
They can help to measure and calibrate progress towards sustainable
development goals. They can provide
an early warning, sounding the alarm in time to prevent economic, social and
environmental damage. They are also important tools to communicate ideas,
thoughts and values because as one authority said, “We measure what we value,
and value what we measure.”
The
1992 Earth Summit recognized the important role that indicators can play in
helping countries to make informed decisions concerning sustainable development.
This recognition is articulated in Chapter 40 of Agenda 21 which calls on
countries at the national level, as well as international, governmental and
non-governmental organizations to develop and identify indicators of sustainable
development that can provide a solid basis for decision-making at all levels.
Moreover, Agenda 21 specifically calls for the harmonization of efforts to
develop sustainable development indicators at the national, regional and global
levels, including the incorporation of a suitable set of these indicators in
common, regularly updated and widely accessible reports and databases.
In
response to this call, the Commission on Sustainable
Development approved in 1995, the Programme of Work on Indicators of Sustainable
Development and called upon the organizations of the UN system,
intergovernmental and non-governmental organizations with the coordination of
its Secretariat to implement the key elements of the work programme.
The
main objective of the CSD Work Programme was to make indicators of sustainable
development accessible to decision-makers at the national level, by defining
them, elucidating their methodologies and providing training and other capacity
building activities. At the same
time, it was foreseen that indicators as used in national policies could be used
in the national reports to the Commission and other intergovernmental bodies.
The
Nineteenth Special Session of the General Assembly held in 1997 for the five
year review of UNCED affirmed the importance of the work programme on indicators
of sustainable development (as contained in para. 111 and 133.b of the Programme
for the Further Implementation of Agenda 21) in coming up with a practical and
agreed set of indicators that are suited to country-specific conditions and can
be used in monitoring progress towards sustainable development at the national
level.
This report has been prepared as the culmination of the CSD Work Programme on Indicators of Sustainable Development (1995-2000). It provides a detailed description of key sustainable development themes and sub-themes and the CSD approach to the development of indicators of sustainable development for use in decision-making processes at the national level. This report also finalizes the presentation of the proposed framework and the core set of indicators that will be made available to member countries to assist them in their efforts to measure progress toward sustainable development.
CHAPTER 2: ASSESSING PROGRESS TOWARDS SUSTAINABLE DEVELOPMENT
The CSD work programme comprised the following key elements:
(a) Enhancement of information exchange among all interested actors on research, methodological and practical activities associated with indicators of sustainable development, including the establishment of a freely accessible database (1995-continuing);
(b) Development of methodology sheets, which would describe for each of the indicators its policy relevance, underlying methodology, data availability assessment and sources, to be made available to Governments (1995-1996);
(c) Training and capacity building at the regional and national levels in the use of the indicators for monitoring progress towards sustainable development (1995-1999);
(d) Testing of an appropriate combination of indicators and monitoring of experiences in a few countries to gain experience, assess applicability and further develop the indicators for sustainable development (1996-1999);
(e)
Evaluation of the indicators and adjustment as necessary (2000);
(f)
Identification and assessment of linkages among the economic, social,
institutional and environmental elements of sustainable development to further
facilitate decision-making at all levels (2000);
(g)
Development of highly aggregated indicators, involving experts from the areas of
economics, the social sciences and the physical sciences and policy
makers as well as incorporating non-governmental organization and indigenous
views (2000).
B.
Main Phases And Approaches To Implementation
Phase 1 (May 1995-August
1996)
(a)
Development of the Indicator Methodology Sheets
One
of the significant tasks of the first phase was the preparation of the
methodology sheets for each indicator. Building on existing work, a cooperative,
consultative, and collaborative approach was used to produce the methodology
sheets. More than thirty
organizations of the United Nations system, other intergovernmental,
non-governmental and major group organizations supported this work, assuming
lead roles in the drafting of methodology sheets appropriate to their mandate
and experience.
An
Expert Group, consisting of forty-five (45) members from non-governmental
organizations and United Nations agencies, guided the overall process of
developing the methodology sheets. In addition, approximately 100 individuals
with indicator experience from international and national agencies, and
non-governmental organizations participated in the process by providing advice
and comments and contributing their ideas, information and expertise.
In
February 1996, an international Expert Workshop on Methodologies for Indicators
of Sustainable Development was held in Glen Cove, New York to review the
preliminary methodology sheets. Several workshops sponsored by national
governments were also held to further discuss and refine the draft methodology
sheets.
The
collection of methodology sheets was published by the United Nations in August
1996 under the title of “Indicators of
Sustainable Development: Framework and Methodologies”.
This document, commonly referred to as the ‘blue book’, was
distributed to all governments with the invitation to use and test the
indicators, and to provide feedback on the results. The goal was to have a more
accepted and definitive set of sustainable development indicators by the year
2001.
(b)
Content of the Methodology Sheets
The
methodology sheets contain, inter alia, the following information:
·
Basic information on the
indicator, including its definition and unit of measurement.
In addition, the relevant Agenda 21 chapter and the type of indicator are
listed to locate the indicator in the DSR framework;
·
Purpose and usefulness of the indicator
for sustainable development decision-making (i.e., policy relevance);
international targets where these are available; and the relevant international
conventions, if the indicator is primarily of global significance;
·
Conceptual underpinnings and
methodologies associated with the indicator, including the underlying
definitions, measurement methods, and a summary of its limitations and
alternative definitions;
·
Data availability to illustrate
the importance of regular data collection and updating to support systematic
reporting;
·
Listing of the agency(ies) (lead
and cooperating) involved in the preparation of the methodology sheets; and
·
Other information (e.g., contact
points, other references and readings).
A
conscious effort has been made to use a consistent format to frame the contents
of the methodology sheets. The methodology sheets were designed to assist
countries with the task of developing
the priority indicators that are considered most relevant in the context of
their sustainable development policies and programs. The methodology sheets were
to form a base and starting point for the process of indicator development and
were understood to be open for enhancement, refinement, amendment, and change.
Phase 2 (May 1996-January 1998)
(a) Training
and Capacity-Building
To address the need for building the necessary
capacity and knowledge on the use of indicators, a series of briefing and
training workshops at the regional level was initiated from November 1996
through June 1997. These were organized by the CSD Secretariat with the support
and cooperation of the Economic and Social Commission for Asia and the Pacific (ESCAP)
and the Government of the Netherlands for Asia and the Pacific;
the Government of Costa Rica for Latin America and the Caribbean; and by
the Government of Ghana for the Africa region. The Africa regional workshop was
co-sponsored by UNDP’s Capacity 21 Programme.
The main objective of all the workshops was to provide
an introduction
and training in the use of indicators as tools for national decision-making and
to explore related methodologies for indicator development. Special attention
was given to identifying national priorities and relating them to the process of
indicator identification and selection.
Several countries followed up on the regional
workshops with national training
workshops. In the Asian and Pacific region, ESCAP provided seed money for
implementation of national training workshops, which were convened in China, the
Maldives, Pakistan and the Philippines.
(b) National
Testing
At
the Fourth Session of the CSD in 1996, the Commission encouraged Governments to
pilot test, utilize and experiment with the proposed initial set of indicators
and related methodologies over a 2-3 year period. The purpose of the national
testing was to gain experience with the use of indicators, to assess their
applicability according to national goals and priorities of sustainable
development, and to propose changes to the set and its organizational framework.
The
national testing programme was launched in November 1996, on the occasion of the
International Workshop on Indicators of Sustainable Development held in Ghent,
Belgium and hosted by the Governments of Belgium and Costa Rica.
The countries attending the meeting reviewed and endorsed the guidelines
for national testing. The guidelines essentially provided suggested testing
procedures, including modalities for its organization, implementation options,
assessment and evaluation methods, institutional support and capacity building,
and reporting requirements.
Twenty-two (22) countries covering all regions of the world participated, on a voluntary basis, in the testing process. By regions, the testing countries were:
Table
1: Testing Countries
|
Regions |
Countries |
|
Africa:
|
Ghana,
Kenya, Morocco, South Africa, Tunisia |
|
Asia
and the Pacific: |
China,
Maldives, Pakistan, Philippines |
|
Europe: |
Austria,
Belgium, Czech Republic, Finland, France, Germany, United Kingdom
|
|
Americas
and the Caribbean: |
Barbados,
Bolivia, Brazil, Costa Rica, Mexico, Venezuela |
In
addition to the official testing countries, a number of countries (Canada,
Nigeria, Switzerland, and the United States, among others) were affiliated with
the process through voluntary sharing of information, participation in meetings
and other forms of exchange of expertise. The
Statistical Office of the European Communities (Eurostat) prepared a test
compilation of 54 CSD indicators drawing on statistical data existing within the
European Community. This pilot study was produced as an official publication of
the European Communities in 1997. Eurostat provided invaluable technical and substantive
support throughout the CSD Work Programme and latest produced a publication
containing the CSD indicators for the European level[1].
Countries
were requested to provide periodic reports on the testing phase to the DSD for
analysis and for circulation to members of the Expert Group and testing
countries. A format for reporting
on the progress of national testing was issued in 1997 to facilitate the
submission of consistent and detailed information that would allow for a final
revision of the indicators and related methodologies. The reports of all the testing countries can be found on the
Secretariat web site at: http://www.un.org/esa/sustdev/isd.htm.
Most
of the testing countries adopted different approaches to the testing exercise,
ranging from plain evaluation of data availability for all or a few selected
indicators to embarking on the
whole process of developing their own independent set of national indicators
while using the CSD indicators as a point of reference. Nevertheless, the majority of the countries aligned their
processes with the CSD Testing Guidelines while others integrated the guidelines
into their own unique design.
All
the testing countries employed participatory implementation strategies.
This is evident in the respective institutional arrangements chosen by
countries as the coordinating mechanism for the testing process. The majority of
the countries adopted highly integrated multi-stakeholder strategies involving
government ministries, NGOs, academia and relevant business organizations (as in
the case of the Philippines, Ghana, Kenya, South Africa,
Maldives, United Kingdom) while others confined the process within government
ministries (as in the case of China, Austria, Belgium, Brazil).
Within
these national coordinating bodies, most of the countries also created working
groups, expert teams and committees that focused on the indicator work.
The formation of an Indicator network (for instance, in South Africa and
Finland) was also found useful in fostering the integration of ministries and
research institutions.
Several
countries also experimented with “twinning” where two or more countries
agreed to either engage in mutual exchange of information and experience in
indicator development (e.g., South Africa and Finland) or where one country
provided significant technical and financial support to another participating
country (France and Tunisia). These
arrangements provided an excellent platform for information exchange and sharing
of expertise creating win-win situations with the involved countries achieving a
wider knowledge base.
Midway
through the implementation of the testing programme, a global meeting of testing
countries was hosted by the government of the Czech Republic in Prague in
January 1998. The meeting took
stock of the progress of implementation and discussed ways to improve the
process and ultimately the results of the programme.
Phase 3 (January 1999 - December 2000) – Lessons Learned
(a) Evaluation of the Testing Results and Indicator Set
The
testing phase was officially concluded in December 1999 with the International
Workshop on CSD Indicators of Sustainable Development, hosted by the Government
of Barbados, and supported by the Government of Germany and DSD.
This meeting provided the forum for the assessment of the CSD indicators
of sustainable development, their applicability and usefulness in supporting
national decision-making; and served as a venue for exchange of information at
the national, regional and global level on sustainability indicators and their
practical use.
All
relevant information on the testing programme including country reports was
compiled and organized into a database (CSD ISD Database).
This database served as an analytical tool for reviewing testing results,
the indicator framework and the working list of indicators.
Many
countries pointed out that the testing process was, in general, a successful
exercise. The highly participatory approach adopted by countries in the testing
exercise not only heightened awareness of the value and importance of indicators
but also increased levels of understanding on sustainable development issues.
Moreover, the testing has reportedly inspired the launching of
other indicator initiatives and has tied many players together.
In many cases, making use of existing structures, such
as national committees or councils for sustainable development was seen as
useful in organizing the national coordinating mechanism.
On the other hand, in some countries, the testing of indicators acted as
a positive catalyst in the establishment of new mechanisms for coordinating both
the indicators programmes and the formulation of sustainable development
strategies and has demonstrated the potential of collaboration and cooperation
in advancing the goals of sustainable development.
The
involvement of major groups and stakeholders had been found effective in
achieving the full integration of user perspectives in the identification of
national sustainable development priorities and corresponding indicators.
Many developing countries, NGOs, the private sector and other major
groups have already been involved in the national coordinating committees for
environment and sustainable development, and their participation gave impetus to
the national testing process.
It was also noted that when high-level policymakers
have been involved and are genuinely
committed to sustainable development, the work on indicators progressed more
rapidly.
Notwithstanding the aforementioned successes, several institutional constraints affected the implementation of the testing, such as,
limitations on the availability of financial and human resources; difficulty in
mobilizing the relevant experts and stakeholders, lack of coordination between
statistical agencies and the indicator focal point, low level of awareness among
stakeholders, low level of commitment on the part of participating institutions,
competing work demands and government leadership transitions that resulted in
discontinuities in the implementation of the indicator process.
This called for beefing up capacity-building programs in the form of
human resource and organizational development.
A strong human resource base is central to the multi-stakeholder process
as are properly coordinated and highly committed institutional mechanisms.
Time as well as financial constraints also affected
the testing undertaken in some countries. In
view of the need to go by the rather strict timetables of the testing process,
adjustments had to be made on the degree and level of consultations.
To be more successful, it was also felt that the
indicator programme should be viewed
and treated as a more permanent programme that is closely linked with national
reporting to the CSD and integrated with the development of national policy.
(b)
The Working List of Indicators
Testing
results showed that sustainable development indicators clearly have potential
for assisting in national decision-making.
Countries reported to have used or planned to use the indicators to:
·
bring important issues to the
political agenda;
· help
to identify main trends in priority sectors;
· facilitate
reporting on the state of sustainable development to decision-makers and the
general public, both domestic and international;
·
promote national dialogue on sustainable
development;
· help
to assess the fulfillment of governmental goals and targets, and in the revision
of these goals and targets;
· facilitate
the preparation and monitoring of plans;
· help
to assess the performance of both policies and actions when implementing the
plans;
· state
the concept of sustainable development in practical terms; and
· focus
the national and sectoral programmes and state budgets towards sustainability.
As can be expected, not all of
the indicators in
the working list were found relevant
in the context of a testing country. In
selecting the applicable indicators, most countries, engaged in a process of
prioritising the indicators in relation to national goals using relevant
criteria such as: availability and
accessibility of data, usefulness and policy relevance.
In general, however, the testing countries found the working list to be a
good starting point for identifying options from which they could choose
national indicators.
While
testing had been carried out at the national level, it was nonetheless perceived
to have an international context taking into account the mandate of CSD and the
structure and content of the methodology sheets which describe commonly accepted
methodologies, internationally harmonized terminology and internationally
compatible classification systems. The primary goal of the indicator programme,
however, is to develop a means to assist national decision-making.
On the other hand, it is considered that a good indicator system should
be able to reflect the specific issues and conditions of a country or a region
but should nevertheless be harmonized internationally to the extent possible.
Some
countries reflected in their reports the problem of establishing the link
between national strategies and the indicators. This was particularly true for countries that had commenced
their indicator programmes in the absence of an integrated sustainable
development strategy. It is hoped
that this will change as more countries develop national sustainability plans
and the use of indicators of sustainable development gains momentum as a
national planning tool.
Testing countries, however, also felt that improvements
could be made both regarding the indicators and the methodology sheets.
While the methodology sheets for the indicators were found particularly
useful in drawing attention to improving the availability of data for monitoring
the implementation of Agenda 21, a call was made for establishing more concrete
and clearly defined concepts for the indicators.
Testing
countries proposed to develop indicators to cover areas that had not been
addressed in the testing such as: reef conservation and the health of reef
ecosystems and specific coastal issues; energy; biotechnology; trade and
environment; safeguarding of cultural
heritage; social and ethical values; human resource development;
under-employment; expatriate labour force; natural resource accounting; and
capacity-building.
Most countries, nonetheless, shared the view that
the final list of indicators should be short, focused, pragmatic and flexible so
that it could be adapted to country-specific conditions.
(c)
Revising the Framework and Indicator List
Guided by the reports from the testing countries and continuing
expert discussions on the indicators and the framework, the DSD began, in early
1999, the process of defining the appropriate measures to take in the light of
the various concerns raised during the implementation of the work programme.
At its fifth meeting in April 1999, the Expert
Group on Indicators of Sustainable
Development discussed midstream actions to prepare for the conclusion of the
work programme. The Group addressed
the following issues: inclusion of
new areas identified as priorities by the testing countries; deletion of issues
less reported on by countries; possible revision of the DSR framework; selection
of criteria for the core set of indicators and furthering the testing in
selected countries.
While the DSR approach proved useful
in organizing the indicators and the
testing process as well, the Expert group felt that there was need to refocus
the indicator framework to emphasize policy issues or main themes as recommended
by a number of countries. It was
felt that re-designing the indicator framework in this manner would make the
value of indicator use more obvious and thereby help stimulate increased
Government and civil society involvement in the use and testing of indicators.
Following this resolution, a study was undertaken to design a theme-based
indicator approach.
The resulting organization presents the indicators
under four major dimensions, further broken down into themes and sub-themes.
The determination of the major areas, themes and sub-themes was based on
a broad range of information, the major ones of which were the reports of the
testing countries and international initiatives that have measured or
conceptualised sustainability. The
testing reports were analysed to generate the following information: priorities that each country stated in order to achieve
sustainable development, CSD indicators tested, considering why they tested them
and what problems they had in the process, new indicators proposed and the
criteria used by each country in the indicator selection. This is described in
greater detail in Section III below.
Regarding other major international initiatives on
indicator development, every effort was made to work towards convergence between
the CSD effort and those of other organizations and agencies. Information was
therefore analysed taking into
account the goals identified by each international initiative and the indicators
selected to measure progress towards those goals.
(d)
Linkages and Aggregation
The
Secretariat has initiated work on the linkages and aggregation of sustainable
development indicators. An overview of the major initiatives in this area was
produced as a Background Paper for the Ninth Session of the CSD in April 2001[2].
CHAPTER
3: GUIDELINES FOR DEVELOPING A
NATIONAL PROGRAMME OF INDICATORS OF SUSTAINABLE DEVELOPMENT
The following guidance is intended to help countries in setting up their
own national indicator programmes as a basis for monitoring the achievement of
key national goals and objectives for sustainable development, using the
framework and methodologies provided herein. These guidelines were used and
enhanced by the 22 countries that volunteered to participate in the indicator
pilot testing phase over a three-year period. To learn more of how countries
have interpreted the guidelines as a starting point for national programmes
please refer to Annex 3.
Procedures for the Development, Testing and Use of Indicators
The procedures and processes to be followed in developing, testing and
using indicators of sustainable development will vary from country to country,
depending on country specific conditions, national priorities and objectives,
available infrastructure, expertise and the availability of data and other
information for decision-making. Because
the process requires the allocation of human and financial resources, a
pragmatic, cost-effective approach is essential.
The following procedural issues are addressed: Organization;
Implementation; Assessment and Evaluation;
Institutional Support and Capacity Building; and Reporting.
3.1 Organization
The underlying theme of sustainable development is the integration of
economic, social environmental issues in decision and policy making at all
levels. This integration implies
the involvement of virtually all traditional sectors of economic and government
activity, such as economic planning, agriculture, health, energy, water, natural
resources, industry, education and the environment, and so forth, according to
the principal ministries of government. The assumption
of integration is reflected in the indicators of sustainable development, which
contain social, economic, environmental and institutional indicators, and should
be taken up in mechanisms for institutional integration, such as national
sustainable development councils, committees, and task forces as well as
national strategies for sustainable development.
This fundamental approach to sustainable development should be kept
in mind in developing, testing and using indicators.
In many countries, responsibility for monitoring the achievement of
national goals and objectives, including data collection, compilation and
analysis of information resides in a number of institutions, including national
statistical offices, sectoral ministries and national commissions for
sustainable development. Responsibility
may also be shared by governmental and non-governmental actors, and it may be
supported by national, bilateral and international programmes and activities.
A coordination mechanism for the development of a national programme on
indicators may be needed to facilitate networking amongst interested partners.
The national coordinating mechanism could take a variety of forms
depending on each countries’ needs and requirements. It could be set up as a
Task Force, Working Group or a Committee, among other possibilities.
It should, however, build upon and utilize already existing institutional
arrangements and experience and should be flexible and transparent making use of
the widest possible consultation and participation among all stakeholders
involved. It should therefore
involve among others, those ministries with programmes relevant to Agenda 21
(for example, Ministries of Planning, Health, Agriculture, Industry, Social
Development and the Environment, among others) as well as those agencies charged
with data collection, compilation and analysis in the country.
The national coordinating mechanism might usefully include
officials from the national delegation to the UN Commission on Sustainable
Development, when possible, or representatives of the Ministry of Foreign
Affairs. Members of the scientific
community could be included to provide technical support and expertise and
linkage with other international or national programmes related to indicators of
sustainable development.
Representation from national-level information activities sponsored by UN
system organizations, such as the United Nations Development Programme, the Food
and Agriculture Organization of the United Nations, the World Health
Organization, the United Nations Environment Programme, and the UN Centre for
Human Settlements (HABITAT), could also be included.
For countries that cooperate or “twin” with another country in
developing indicators, it might also be useful to establish a bilateral
committee, either as a subsidiary of the national coordinating mechanism or as a
related entity. Twinning
arrangements could include a broad exchange of views, learning from each other
and supporting each other in setting up, starting and implementing the
monitoring process.
Each national coordinating mechanism may wish to appoint a National
Focal Point who would serve as the point of contact and liaison between
members of the national coordinating mechanism. The Focal Point will be
part of the national coordinating mechanism and serve to facilitate cooperation
and communication among all participants. The
focal point should be someone who can marshall the respect and commitment of the
various cooperating ministries.
UN System organizations with indicator-related expertise at the country
level could also be enlisted to assist the work of the national coordinating
body.
3.2. Implementation
Before beginning implementation of the development phase, the national
coordinating mechanism may, as a first step, wish to determine the current
status of indicator use in the country. This
includes, for example:
§
determining which indicators are
already being used within the country, by whom they are used, for what purposes
and the degree of parallels with the CSD approach; and
§
reviewing data already being
collected for indicators or other uses, by whom, where and its availability.
An important step in the development process is to make clear the
relationship between national priorities and strategies and the indicators to be
selected for testing. The initial
stages of implementation might then include the following:
§
specifying a number of selected
priority issues identified in the national strategy and selecting indicators
from the CSD list that correspond to those priorities, and selecting
country-specific indicators not identified in the CSD list, as needed;
§
matching the Apriority@ indicators selected with the list of indicators
already in use in the country;
§
assessing data availability for
those Apriority@ indicators for which data are
not already being collected;
§
establishing necessary
arrangements to collect the missing data, where possible, which may include
modifying current data compilation arrangements where necessary;
§
making an initial evaluation of
any training and other capacity-building that may be needed to collect that data
and to perform other functions required by the testing process;
§
collecting and/or compiling data
needed for the indicators selected; and
§
developing a strategy for
dissemination of indicator information to stakeholders (e.g., via annual
reporting, headline indicators, news letters or bulletins).
3.3. Assessment
and Evaluation
Assessment is a continuous process and should take place throughout the
development phase and include members from ministries, experts, the scientific
community and other sectors of civil society, as appropriate. It should focus, inter alia, on the technical,
decision-making and institutional/capacity building issues outlined below:
Technical Issues:
- the usefulness of the methodology
sheets for developing the indicators;
-
the availability of data for the indicators and the source, continuity,
delivery and reliability of that data;
- the data product; that is, the medium (e.g., print or
electronic; short summaries, reports,
or comprehensive publications) through which
the analytical information is conveyed to the decision-makers; and
- planning for the short, medium – and long term data
development.
Decision-Making
Issues:
- the
usefulness of the indicators for national decision-makers;
- the analysis of the
data into concise, policy-relevant information; and
- the use to which the decision-maker puts the information.
Institutional Support and
Capacity-Building Issues: -
the need for training;
- the need for institutional support for data collection and
analysis;
- other capacity-building needs for the development of a national
indicator programme; and
-
an evaluation of the twinning process, where relevant, and of other
international and bilateral cooperation of relevance to indicators of
sustainable development.
3.4. Reporting
The national coordinating mechanism and the Focal Point may wish to
establish a government web site or mechanism for regular reporting on progress
during various phases of the indicator development work. This would provide a
ready means of communicating results and obtaining feedback from the various
participants. Regular meetings should also be held by the coordinating body
during the course of its work. Results,
difficulties and problems may also be reported to the CSD Secretariat in terms
of any advice or support that the Secretariat may be able to provide.
At the end of the development phase, a final, comprehensive evaluation of
the process may be needed in order to make further adjustments to the national
indicators and methodology sheets. The CSD Secretariat would welcome such
reports as a means of further assessing changes and modifications that may be
required in the programme. The
evaluation report could contain such items as:
A. Introduction
1. Background
and objectives
2. Identification
of the users and relevance to national decision-making
3. Institutional,
organizational and resource arrangements for indicator development
4. Experience
with twinning, as applicable
B. Identification and selection of the
indicators
Description of the process through which the indicators were chosen, and
the criteria for selection, including reference to:
1. National
strategies, targets and priorities
2. Existing
indicators and indicator programmes
3. Data
availability
4. Other
parameters
C.
Usefulness of the indicators
1. Usefulness
of the methodology sheets
2. Relevance
of the data product
3. Development
of linkages among the indicators, of national indicator frameworks and of
aggregated indicators
4. Comments
and suggestions on changes and improvements
D. Challenges
1. Problems
encountered in data availability, reliability and delivery
2. Strengthening
and training of human resources
3. Other
capacity-building needs
4. Other
E. Recommendation
A
framework for organizing the selection and development of indicators is
essential. Nevertheless, it must be recognized that any framework, by itself, is
an imperfect tool for organizing and expressing the complexities and
interrelationships encompassed by sustainable development.
Ultimately, the choice of a framework and a core set of indicators must
meet the needs and priorities of users, in this case national experts, civil
society groups and decision-makers responsible for the development and use of
indicators to monitor progress towards sustainable development. It should be
stressed that any country wishing to use indicators, in any systematic way, must
develop its own programme drawing on the resources currently available. The CSD
framework and core set of indicators outlined in this report provide a good
starting point for such a national programme.
The
framework employed in the CSD work programme to guide the selection of
sustainable development indicators has evolved from a driving
force-state-response approach to one focusing on themes and sub-themes of
sustainable development. This change in organizational framework has been
prompted by the experience of countries that assisted CSD in testing and
developing indicators of sustainable development. An expert group advising CSD,
as well as the testing countries themselves, recommended the adoption of a theme
approach. What follows is a brief history of this evolution and the rationale
for the change to achieve a small core set of sustainable development indicators
useful for decision-makers.
The
early indicator work under CSD organized the chapters of Agenda 21 under the
four primary dimensions of sustainable development—social, economic,
environmental, and institutional.[3]
Within these categories, indicators were classified according to their driving
force, state, and response characteristics; adopting a conceptual approach
widely used for environmental indicator development. Table 2 illustrates the
essence of this framework. The term driving force represents human activities,
processes, and patterns that impact on sustainable development either positively
or negatively. State indicators provide a reading on the condition of
sustainable development, while response indicators represent societal actions
aimed at moving towards sustainable development. This organizational framework
was an important starting point for the identification and selection of
indicators, and was used to present a preliminary list of sustainable
development indicators in the United Nations publication Indicators of
Sustainable Development: Framework and Methodologies.[4]
|
Chapter
of Agenda 21 |
Driving
Force Indicators |
State
Indicators |
Response
Indicators |
|
Social |
|
|
|
|
Economic
|