Economic and Social Council

 Distr. GENERAL
11 June 1997
ORIGINAL: ENGLISH

Substantive session of 1997
Geneva, 30 June-25 July 1997
Item 3 (b) of the provisional agenda*

     * E/1997/100.


        OPERATIONAL ACTIVITIES OF THE UNITED NATIONS FOR INTERNATIONAL
        DEVELOPMENT COOPERATION:  FOLLOW-UP TO POLICY RECOMMENDATIONS 
                            OF THE GENERAL ASSEMBLY

                   Progress in the implementation of General
                          Assembly resolution 50/120

                        Report of the Secretary-General


                                   CONTENTS

                                                          Paragraphs   Page

INTRODUCTION ...............................................  1 - 9      2

 I.   CAPACITY-BUILDING:  SOME OPERATIONAL CONCEPTUAL ISSUES 10 - 17     4

II.   TRENDS IN CORE AND NON-CORE RESOURCES ................ 18 - 34     6

      A. Background .......................................  18 - 19     6

      B. Core resources ...................................  20 - 27     7

      C. Public support ...................................  28 - 30     8

      D. Previous reports .................................  31 - 32     9

      E. Process ..........................................  33 - 34     9

III.  COUNTRY, SUBREGIONAL AND REGIONAL COORDINATION ....... 35 - 76     9

      A. Country-level coordination .......................  35 - 71     9

      B. Regional and subregional development cooperation .  72 - 76    16

IV.   IMPACT EVALUATION .................................... 77 - 81    17


                                 INTRODUCTION


1.   As the Economic and Social Council undertakes its assessment of the
implementation of the policy directives decided upon at the triennial policy
review of operational activities for development in 1995, two basic
considerations need to be kept in view.

2.   First, the operational activities for development undertaken through the
United Nations system continue to play a unique and critical role in
supporting developing countries to manage their own development process.  The
neutrality of multilateral development cooperation and its capacity to respond
flexibly to the needs of developing countries are perceived as a distinct and
major asset by developing countries.  Even as requirements change and new
programme needs are defined, operational activities remain a key ingredient in
the development process, although they must continue to evolve in scope and
coverage.

3.   Second, reform of operational activities is a continuous process:  it
has been given renewed impetus by the policy directives established by the
General Assembly (in its resolutions 47/199 and 50/120) in the context of the
triennial policy reviews of 1992 and 1995.  A central objective is the reform
of country-level cooperation for development.  The aim is to achieve greater
coherence in responding to national priorities in all developing countries,
involving (a) further strengthening of the resident coordinator system;
(b) increased efficiency and effectiveness through common premises and shared
services; and (c) adaptation of the profile of the field establishment to the
programme needs and priorities at the country level.

4.   Operational activities are thus undergoing a process of transformation. 
The direction and intensity of that transformation will have an important
bearing on the contribution that those activities make to sustained economic
growth and sustainable development of developing countries.  

5.   The present report on progress in the implementation of General Assembly
resolution 50/120, which has been prepared in accordance with paragraph 54 of
that resolution and paragraph 11 of Council resolution 1996/42, should be
considered within the context outlined above.  It identifies issues for the
1998 triennial policy review that should be part of the comprehensive
assessment of the implementation of Assembly resolution 50/120.  The Council
may wish to consider issues that will require particular attention; by
providing its guidance, the Council will help to focus the preparation of the
comprehensive review in 1998.

6.   The present report focuses on capacity-building, field-level and
regional-level coordination, and resources - the topics chosen by the Council
for consideration at its substantive session of 1997 (see Council resolution
1996/42, para. 12).  In addressing those topics, the report also provides an
assessment and recommendations on related subjects within the ambit of the
resident coordinator system (country strategy note, programme approach,
national execution, harmonization of cycles, common premises and shared
services, simplification and harmonization of procedures etc.).   The report
is divided into the present main document, containing key conclusions and
recommendations; three addenda on resources (E/1997/65/Add.1), field and
regional coordination (E/1997/65/Add.2) and capacity-building
(E/1997/65/Add.3); and a statistical addendum (E/1997/65/Add.4).

Capacity-building

7.   Issues related to capacity-building (see sect. I below) are reviewed in
order to follow up the Assembly's decisions to promote a common understanding
of the concept within the context of the current and prospective requirements
of developing countries.  The aim is to inform the Council of the current
state of thinking within the system.  Action to achieve a common understanding
of the concept and ensure that capacity-building can be sustained will be
pursued at various levels, including within the framework of the Consultative
Committee on Programme and Operational Questions (CCPOQ) of the Administrative
Committee on Coordination (ACC).  Moreover, impact evaluations under way
pursuant to paragraph 56 of General Assembly resolution 50/120 (see sect. IV
below) will focus on capacity-building.

Resources

8.   The assessment of and recommendations concerning resources (see sect. II
below) focus on the specific areas defined in Economic and Social Council
resolution 1996/42, which also alludes to annex 1 of General Assembly
resolution 50/227.  Special attention is thus paid to providing an up-to-date
analysis of issues and trends in core and non-core resources, as well as
suggestions on how core resources might be increased and made more
predictable.  In considering that matter, the Council may also wish to take
into account previous reports of the Secretary-General on the subject
(A/48/940 and A/49/834), as called for in paragraph 9 of the annex to Assembly
resolution 50/227.

Field and regional coordination

9.   As the present report shows (see sect. III below), Assembly resolution
50/120 and its predecessor Assembly resolution 47/199 both continue to receive
priority attention at the level of the United Nations system through CCPOQ,
United Nations funds and programmes through the Executive Committee on
Development Operations 1/ recently established by the Secretary-General and
the
Joint Consultative Group on Policy (JCGP), and by individual organizations.  
In relation to the targets established in the management process established
last year and communicated to the Council in document E/1996/64, annex II,
progress is being made on a broad front, although much remains to be done. 
For example, the United Nations system recently reviewed its experience in the
functioning of the resident coordinator system, with a view to identifying
best practices for future guidance regarding the country strategy note, the
programme approach and national execution and administrative management; the
results of that review will be used to prepare guidelines agreed system-wide,
as provided for by the General Assembly in its resolution 50/120. 


       I.  CAPACITY-BUILDING:  SOME OPERATIONAL AND CONCEPTUAL ISSUES 2/

10.  Capacity-building is an issue that is at the forefront of the global
development agenda.  It is indispensable not only for attaining national self-
reliance and sustained economic growth but also for achieving globally agreed
goals.  The decision taken by the General Assembly in paragraphs 22 and 27 of
its resolution 50/120 on capacity-building reflects the enhanced importance of
the subject.  The Assembly decided that (a) capacity-building should remain an
essential part of the United Nations system operational activities; (b) those
activities should be integrated into and should support national effort; and
(c) the United Nations system should continue to work on promoting a common
understanding and operationalization of the concept, including its
sustainability.  The Assembly invited the Economic and Social Council to
consider capacity-building as one of the three focus areas at its substantive
session in 1997.

11.  The record of technical cooperation devoted to capacity-building,
although impressive, remains inadequate.  Although such cooperation is a
significant part of the global effort to liberate millions of people from
poverty, 1.5 billion people are still without the basic necessities of human
well-being.  The number of least developed countries has increased from 24 in
1970 to 48 in 1996.  Doubts have also been expressed about the relevance and
sustainability of some capacities built through technical cooperation, and
there is concern that some activities have even had negative effects on
long-term capacity-building and have aggravated dependency.  Too much emphasis
may have been placed on immediate economic outputs through manufacturing,
equipment and experts, and too little on the policy framework and on social,
cultural and environmental questions.  A concern for expenditure delivery and
donor accountability has perhaps not been matched by adequate attention to
beneficiaries, integration, local ownership and local capacities. 

12.  To succeed, development cooperation for capacity-building must be based
on "partnership" approaches.  In paragraph 22 of its resolution 50/120, the
General Assembly decided that the objective of capacity-building, as an
essential part of operational activities for development, should aim to
integrate such activities and provide support for strengthening national
capacities in policy and programme formulation, development management,
planning, implementation coordination, monitoring and review.  Moreover, the
major donors stated in 1995 that the role of external partners is to help
strengthen capacities in developing partner countries, and that the dominant
conception of the mission of development assistance is to help countries and
societies to strengthen their economic, human, social and institutional
capacities for self-sustaining development.  As discussed in more detail in
document E/1997/65/Add.3, the evolution of technical cooperation and the
changed global setting require new approaches and are reinforcing the
imperative of establishing home-grown capacities.  Strengthened capacities
within all segments of society are increasingly seen as the key to breaking
the vicious cycle of mass poverty, population explosion, environmental
degradation, slow rates of economic growth and political instability.  The
heart of capacity-building is the empowerment of individuals and societies to
make and carry out informed choices and to liberate the creative energies,
particularly of hitherto marginalized sectors.  A vision of development and of
the kind of society to be sustained is essential.

13.  Capacity-building is a prerequisite for and is indispensable to
long-term development, and it requires specific priority attention.  National
capacity- building is critical to effective international economic
cooperation; yet, its reach and rationale go beyond external aid
effectiveness.  It is a bridge between potential and performance and a link
between domestic processes and development aid.  Institution-building is
crucial to the extent that it leads to the empowerment of people and the
creation of a framework to help them to contribute to the development process.
It is country-driven and situation- specific, and is best undertaken for
well-defined development issues and within a programmatic approach.

14.  The entry points of external assistance into capacity-building require
rethinking.  The comparative advantages of the United Nations development
system are well suited for capacity-building.  Growing economic integration
and interlinkages among issues suggest the need for new and more comprehensive
approaches to capacity-building adapted to the constantly evolving needs of
developing countries.  Some of the issues reviewed in document E/1997/65/Add.3
are sustainability; trade; technology; human migration; humanitarian
emergencies; peace-building; aid optimization; governance, including State and
civil society; economic reforms; and South-South cooperation.  None of them
are new, nor are all germane to every country; capacities to cope with them
must be consciously developed and integrated into the mainstream of
capacity-building.  Some approaches created along the road to progress outlive
their usefulness and have to be discarded.

15.  A key challenge is how to reorient traditional approaches to capacity-
building to meet the new and changing requirements of recipient countries.  
The organizations of the United Nations system have considerable experience in
the design and implementation of programmes for capacity-building.  The
Organisation for Economic Cooperation and Development (OECD), the World Bank
and the United Nations development system have introduced new guidelines and
new modalities.  Recent United Nations conferences, particularly the United
Nations Conference on Environment and Development, the World Summit for Social
Development and the United Nations Conference on Human Settlements
(Habitat II), have focused on the essential contributions that
capacity-building will play in their follow-up.  Decisions of the General
Assembly concerning the setting of the triennial comprehensive policy review
of operational activities, such as the country strategy note, the programme
approach and national execution, are providing important new support.

16.  The United Nations system can serve as a true pacesetter and catalyst in
international development cooperation and in responding to national needs. 
Not only programming processes but also the presence and skill profile of the
United Nations system at the country level require review.  That cannot be
expected to solely emerge from the field; the headquarters of United Nations
system organizations and bodies must lead a systemic transformation and
introduce attitudinal changes to increase effectiveness in focusing on the
central problems of the countries concerned.  To be effective and enduring, a
strong political push is needed.  The 1998 triennial comprehensive policy
review of operational activities of the United Nations system provides the
forum and opportunity.  Meanwhile, a two-pronged approach is being pursued: 
to continue to refine concepts and ideas; and to undertake in-depth impact
studies in selected countries, not only to assess current work but also to
test emerging ideas in specific situations in countries.  The results will be
reported to the General Assembly.

Recommendation 1

17.  The Council may wish to consider the five recommendations contained in
document E/1997/65/Add.3, paragraphs 41, 43, 47, 49 and 52.  In addition, the
Council may wish to reaffirm that the United Nations system should continue to
pursue and develop a common understanding of capacity-building.  In so doing,
it should take into account experience acquired to date and the new and
emerging requirements of developing countries, for consideration in the
context of the 1998 triennial comprehensive policy review.  It is intended
that the changes needed in the areas of capacity-building by the United
Nations system will be considered by CCPOQ, and the result will be included in
the Secretary-General's report on the triennial policy review.


                 II.  TRENDS IN CORE AND NON-CORE RESOURCES 3/

                                A.  Background

18.  The need to increase resources to meet the growing needs of recipient
countries and to make the funding system more predictable has been a
continuing concern of the General Assembly.  They are an essential
consideration in the overall reform process of the United Nations development
system.  As far back as 1977, the General Assembly, in its resolution 32/197
of 20 December 1977 on restructuring of the economic and social sectors of the
United Nations system, called for a real increase in the flow of resources for
such activities on a predictable, continuous and assured basis.  Several
resolutions address the three related areas of governance, funding and
efficiency and the impact of operational activities for development, including
in the context of several triennial policy reviews, which commenced in 1980.

19.  The Economic and Social Council, in its resolution 1996/42, strongly
reaffirmed that the efficiency, effectiveness and impact of the operational
activities of the United Nations system must be enhanced by, inter alia, a
substantial increase in their funding and through the full implementation of
General Assembly resolutions 47/199, 48/162, 50/120 and 50/227.  The Council
requested the Secretary-General to include in his progress report on the
implementation of resolution 50/120 an analytical assessment of the
implications for operational activities for development of the recent trends
in core and non-core resources, and to make a recommendation on how to
increase core resources and effectively implement section 1 of General
Assembly resolution 50/227.  The present section has been prepared in response
to that request.  It takes into account the legislative history, including the
fact that previous reports on the subject have yet to be considered in depth
by the Council and the Assembly.


                              B.  Core resources

20.  The United Nations funds and programmes - UNDP, UNICEF, WFP and UNFPA -
are the principal avenues through which the operational activities of the
United Nations system are financed.  Their resources fall into two broad
categories: core and non-core (for terminology, see E/1997/65/Add.1, annex). 
The combined total resources channelled through the funds and programmes in
1994, 1995 and 1996 are estimated at US$ 4.5 billion, US$ 4.3 billion and US$
4.5 billion, respectively.

21.  Of total resources, core funds in 1996 constituted 55 per cent in UNDP,
58 per cent in UNICEF, 82 per cent in UNFPA and 54 per cent in WFP.  The
stagnation of some funding and the steady decline of other core funding have
inhibited the capacity of United Nations funds and programmes to play the
roles assigned to them and to respond effectively to national needs while
maintaining their universal and multilateral character.  United Nations funds
and programmes are following three approaches to enhance core funding: 
(a) enhancing efficiency and transparency of their operations; (b) seeking a
larger share from existing traditional sources; and (c) developing new sources
of funding.    

22.  Their core resources are focused and prioritized towards low-income
countries.  Although the reluctance of some traditional countries to enhance
core funding is part of a broader picture of stagnant or declining official
development assistance (ODA) in a constrained fiscal environment, their
apparent preference for special-purpose and trust funds also reflects concern
by Governments about the manner in which core resources are allocated: 
attempts to increase core resources need to address those concerns.

23.  Not only are core funds stagnant but they are also excessively dependent
(close to 90 per cent) on as few as 15 countries (for details see
E/1997/65/Add.1).  Ways of expanding the resource base through better
burden-sharing among donors remain to be addressed.  At the same time, the
traditional donor base has remained static despite significant changes in the
dynamics of the growth poles of the global economy.  The economic strength of
some developing countries could enable them to contribute at a higher level. 
Developing countries contribute over 75 per cent of cost-sharing funds, meant
for use in their own countries.  How to encourage those who are in a position
to do so to "graduate" from recipient to donor status requires further
attention. 

Recommendation 2

24.  The core resource base, dependent on less than 10 per cent of United
Nations Member States for over 90 per cent of its value, needs to be
broadened.  To that end, the potential of additional sources of funding for
core resources might be explored further, including possible concerns of
Governments concerning that source of funding.

25.  Non-core funds embrace a wide range of modalities, particularly cost-
sharing in the case of UNDP and special-purpose or dedicated funds and
supplementary funds in the case of other funds and programmes.  Private flows
now far exceed official flows, and non-governmental organizations, the private
sector and international foundations are actively engaged in a few countries
in areas similar to those on which the United Nations funds and programme are
focusing.  It is useful to explore the extent to which bridges can be built to
private sources; such organizations as UNICEF are already engaged in that
task.

Recommendation 3

26.  The possibility of attracting more contributions from non-governmental
sources in addition to those provided by Governments, including from private
international foundations and the private sector, as well as the policy
adjustments necessary to permit such a possibility, may need to be reviewed.

27.  The emergence of poverty eradication and capacity-building as the
overarching goals of development cooperation - bilateral and multilateral -
offers an opportunity to enhance core funding at the global level by exploring
the possibility of channelling funds from bilateral sources to supplement
non-core funding.


                              C.  Public support

28.  Voluntary funding has always been a function of political choice.  In a
period of fiscal constraint and competitive environment, it is also a matter
of public support.  The good work and best practices of the United Nations
development system in the field have to "percolate up" and influence
decision-making on funding in a more organized way.  Greater attention has to
be paid to nurturing, strengthening and networking the beneficiaries of United
Nations development system and others who are committed to supporting the
multilateral cooperation provided by the United Nations development system. 
While much of the effort to raise core funds must be undertaken by the system
within traditional donor countries and potential new donors, recipient
developing countries can also play stronger advocacy roles by mobilizing their
political influence, bilateral and multilateral.

Recommendation 4

29.  Effective resource mobilization requires stronger political commitment
by all countries, including developing countries.  Concerns, including about
their role in decision-making, may need to be addressed to enable them to play
a more active public advocacy role for resource mobilization.  Moreover,
success stories and best practices of the United Nations development system
should be more strategically used to raise resources from both existing and
new donors. 

Recommendation 5

30.  With the convergence of the mission statements of the funds and
programmes and their follow-up mandates to United Nations conferences, more
coordinated fund-raising may be explored, including in the context of current
reforms.  


                             D.  Previous reports

31.  The consideration of a new funding system has been considered by the
General Assembly on the basis of resolution 48/162 of 14 January 1994, and
most recently its resolutions 50/120 and 50/227.  The Secretary-General had
submitted two comprehensive reports to be considered by the open-ended
consultations established pursuant to resolution 48/162, containing a number
of proposals, including proposals on enhancing core resources.  It may be
useful to revisit and review those proposals in association with the present
proposals.

Recommendation 6

32.  The proposals contained in the Secretary-General's earlier reports on
funding (A/48/940 and A/49/834), particularly those relating to enhancing core
resources, may be reviewed in conjunction with those contained in the present
report.


                                  E.  Process

33.  The General Assembly and other bodies have been seized of the subject of
increased, continuous and assured resources, particularly core resources, for
a number of years.  To date, various consultations on prospective new
modalities for financing have been inconclusive.  

Recommendation 7

34.  Experience gained with the open-ended, informal consultations
established by the President of the General Assembly pursuant to resolution
48/162 may be used by Governments to consider the most appropriate process for
conducting further consultations on the subject of funding.


           III.  COUNTRY, SUBREGIONAL AND REGIONAL COORDINATION 4/ 

                        A.  Country-level coordination

35.  Since operational activities are for the benefit of recipient countries,
their integration into national development process is of the utmost
importance.  Although progress is being made in achieving a strengthened
resident coordinator system and in managing more effective and coherent United
Nations system programmes, much remains to be done to achieve the goals set by
the General Assembly.  At the centre of current efforts to give practical
expression to strengthened cooperation at the country level are the measures
outlined by the Secretary-General on 17 March 1997 (see A/51/829).  Steps are
also being taken in CCPOQ and in other inter-agency forums.

36.  In proceeding with the implementation of General Assembly resolution
50/120 and the relevant aspects of the Secretary-General's 17 March letter, a
set of related measures are being introduced to improve significantly the
functioning of the resident coordinator system.  Executive heads of the funds
and programmes have agreed that the current resident coordinator system, with
its funding and management links to UNDP, requires improvements.   They are
committed to creating a strong country team under the leadership of the
resident coordinator.  The steps being taken are supplemented and broadened at
the ACC level, through CCPOQ and its working group on the resident coordinator
system. 

37.  The team leadership role of the resident coordinator is being
reinforced, inter alia, by updated guidelines, which will cover follow-up to
United Nations conferences; implementation of paragraphs 41 and 42 of Assembly
resolution 50/120; support to the country strategy note process; preparation
of United Nations development assistance frameworks; common databases; common
country assessments linked to the development of programmes; and specification
of various duties and responsibilities within the context of a team approach
and in relation to the programme needs of the host country.  The resident
coordinator will function on behalf of the whole system, and priority will be
given to those functions (UNDP will designate a UNDP programme manager
whenever the workload warrants it).  The competencies required of the resident
coordinator are being redefined to improve the selection process, appraisal of
performance and training.  Other members of the resident coordinator team will
also have more clearly defined responsibilities for making the system work.

38.  In considering field coordination, including the assessment provided in
addendum 2, the Council may wish to determine whether the functioning of the
resident coordinator system is supported by consistent and mutually
reinforcing mandates, or whether clarification may be required.  In that
connection, it is evident that the resident coordinator system is the product
of the historical evolution of a complex set of interorganizational
arrangements.  Building on those arrangements, the functioning of the resident
coordinator system needs to be viewed in a more comprehensive manner that
takes as a starting point the requirements for the effective and flexible
management of the totality of development programmes undertaken in the country
with the support of the system, and for optimizing limited resources.


                1.  Functioning of the resident coordinator system
                    at the country level

39.  Country experience shows that there is a trend towards increased
participation in the resident coordinator system.  Success in the functioning
of the resident coordinator system has depended on the capacity and
willingness of all members of the United Nations system to work as a country
team towards agreed objectives, which requires a management style by all
concerned that balances the leadership of the resident coordinator in support
of national priorities with appropriate delegation of responsibilities to
member organizations according to the lead-agency concept. 


                     2.  Role of the resident coordinator

40.  The need to enhance the resident coordinator's responsibility and
authority for the planning and coordination of programmes is reaffirmed in
paragraph 42 of General Assembly resolution 50/120, which provides for the
resident coordinator to propose, where required and in full consultation with
the Government, amendments of country programmes and major projects and
programmes to the heads of the United Nations organizations in order to bring
them into line with the country strategy note.  Country missions have revealed
that the level of authority envisioned in that provision of the resolution has
not yet been fully recognized and operationalized.


                           3.  Field-level committee

41.  In most countries, the basic inter-agency consultation mechanism within
the resident coordinator system is the periodic meeting among heads of
agencies.  In their annual reports, resident coordinators have confirmed that
field-level committees have been established in 86 out of 107 reporting
countries.   

42.  The General Assembly decided, in paragraph 41 of its resolution 50/120,
that the field-level committee should review substantive activities of the
United Nations system, including draft country programmes, sectoral programmes
and projects, prior to approval by individual organizations, and should be one
of the main vehicles for exchanging experience acquired within the United
Nations system.  Resident coordinators in 46 out of 107 reporting programme
countries reported that the field-level committees carry out that review
function, although country missions conducted in early 1997 concluded that
much further progress is required in that respect.  In 61 out of 107 cases,
resident coordinators have reported that the field-level committee has
enhanced the participation of the various United Nations system organizations
in each other's country programming processes, including mid-term reviews, as
well as collaboration in needs assessment and situation analysis.  

43.  There is a perception among field representatives of agencies that the
provision in paragraph 41 of General Assembly resolution 50/120 will become
fully operational only once it is translated into specific instructions on
programming procedures by their own organizations, explicitly requesting the
use of the field-level committee for consultation and review of
agency-specific programming activities. 

Recommendation 8

44.  The Council may wish to recommend that all organizations, particularly
the funds and programmes, issue instructions and guidelines as part of their
programming procedures to give effect to paragraph 42 of General Assembly
resolution 50/120.

45.  Field representation of United Nations system organizations differs in
terms of mandates, structure and professional capacity.  Different members of
field-level committees are thus bound to respond to the system-wide review
function of such committees with varying effectiveness.  The workload of
country representatives may also be a factor.  The full implementation of the
review function of the field committee requires that those constraints be
overcome and that each member devote enough time and effort to it.

Recommendation 9

46.  To give full effect to the provisions of General Assembly resolutions
47/199 and 50/120 on field-level committees, the Council may wish to consider
requesting the United Nations system to take the necessary measures to
establish joint programme and project appraisal committees as an integral part
of country-level programme management.  The Council may also wish to request
the United Nations system organizations and bodies to issue clear instructions
to field personnel on their role in the resident coordinator system in
general, and in the field-level committees and thematic groups in particular. 
In order to increase the motivation and the quality of technical inputs,
senior field personnel's contribution to the resident coordinator system
should be part of their job description.


                              4.  Thematic groups

47.  There is evidence of a growing trend to use thematic working groups as a
device to promote a more concerted approach to system-wide programming of
operational activities.  Based on the 1996 reports of the resident
coordinators (107 reports as of end April), those groups can be found in at
least 84 out of 107 programme countries.  However, that does not mean that
those groups always play a major role in the functioning of the resident
coordinator system:  in some countries, their role is limited to inter-agency
information exchange or negotiation, and their programme role is marginal.  In
many other cases, however, thematic groups have led to improvement in
system-wide collaboration, especially at the technical level.  They also
represent a practical way to implement the lead-agency concept, letting
individual organizations take charge of specific groups within the resident
coordinator system, based on mandate and competency. 

Recommendation 10

48.  In order to allow thematic working groups to achieve tangible results,
the Council may wish to recommend that United Nations system organizations and
bodies, in staffing their country offices, take into account the technical
professional capacity and resources required to support the work of those
groups in relation to the programme requirements of recipient countries.


                      5.  Follow-up to major conferences

49.  The Council, at its substantive session of 1995, took note of the
initiatives undertaken by the United Nations system, at the ACC level, to
promote a coordinated follow-up to major international conferences in the
economic, social and related fields. 

50.  At the country level, the General Assembly, in paragraph 39 of its
resolution 50/120, acknowledged the role of the resident coordinators in
facilitating, in full consultation with national Governments, a coherent and
coordinated United Nations follow-up to major international conferences at the
field level.  The combined outputs of global conferences should be reflected
through coordinated integration of United Nations system support into national
processes; such coordinated integration, however, has to date been achieved in
only a few countries.


          6.  Information-sharing of planned activities and collaborative
              programming within the resident coordinator system

51.  Information-sharing, including the establishment of a common data bank
and common country assessment, is an area in which the resident coordinator
system is achieving progress that is increasingly being extended to a range of
national entities, both governmental and non-governmental. 
Information-sharing and consultations are widely pursued on operational and
administrative matters, as well as substantive and programme issues.  General
exchanges of views and ex post facto information sharing, although useful is,
however, only part of what is required to bring about effective programme
collaboration.

52.  Progress in establishing system-wide mechanisms for shared and
collaborative operational programming appears to be slower.  Although
harmonization of programming cycles is an ongoing effort within JCGP, it still
does not mean harmonization of programme content.

Recommendation 11

53.  The Council may wish to recommend to United Nations system
organizations, in particular United Nations funds and programmes, that they
ensure that programmes and project ideas are shared at the outset with the
resident coordinator, facilitating collaborative programming within an agreed
framework, including a resource framework at the country level.


                   7.  Shared and collaborative programming

54.  When Governments call on the function of the resident coordinator to
facilitate consultations with the donor community, the resident coordinator
system can play an important role thanks to the neutrality of the United
Nations system and the range of competencies of the system.  In some
countries, the participation in donor meetings of resident coordinator system
members other than the resident coordinator has been limited.

Recommendation 12

55.  The Council may wish to recommend that United Nations system
organizations and bodies attach greater priority, on the basis of their
respective areas of competence, to providing quality and timely support to the
resident coordinator system when asked to give support to national
coordination of external cooperation, in accordance with the requirements of
recipient countries.


              8.  Administrative aspects of the resident coordinator
                  system:  common premises and shared services

56.  Paragraph 44 of General Assembly resolution 50/120 requests that JCGP
and, to the extent possible, the specialized agencies, make substantial
efforts to achieve common premises, on the basis of cost-benefit analyses,
while avoiding causing increased burdens for host countries in the process. 
The Secretary- General, in his letter of 17 March 1997, has reiterated that
the drive to establish common premises and common services arrangements at the
country level will be intensified.  The matter of common premises and shared
services should be the object of a thorough evaluation in connection with the
preparation of the next triennial policy review.

57.  Common services arrangements are in effect in several areas, including
security, maintenance, reception, staff services, communication, conference
rooms, travel agents, financial and banking services, local transportation.  

58.  The Secretary-General has underlined that the establishment of common
premises and common services serves to encourage a daily habit of cooperation
and consultation.  Implementation of common services arrangements at the
country level may also release resources for programmes.

Recommendation 13

59.  The Council may wish to request the United Nations funds and programmes
to achieve further progress on common premises and the sharing of
administrative services at the country level.


                   9.  Harmonization of rules and procedures

60.  In paragraph 45 of its resolution 50/120, the General Assembly calls for
further simplification and harmonization of the rules and procedures used by
the United Nations development system in its operational activities.  In
particular, at the country level, sharing of administrative systems and
services and the development of common databases is encouraged.  The Economic
and Social Council, in its resolution 1996/42, also provided guidance on steps
to be taken in that respect.  The Secretary-General, in his letter of 17 March
1997, while stressing the need to establish common services arrangements at
the country level, indicated that all United Nations funds and programmes will
be requested to implement measures to more closely collaborate at the country
level in the preparation of programmes and in other areas; that will require a
special effort to harmonize programming rules and procedures.


                            10.  Programme approach

61.  Despite a considerable effort to introduce the programme approach
system- wide, there is still a lack of common operational-level understanding
among United Nations system organizations on how best to implement it. 
Simplification of the programme approach procedures and their harmonization
within the system are still needed.  Operational guidelines and training on
how to use the programme approach system-wide are under preparation based on
experience gained to date.


                          11.  Country strategy note

62.  The General Assembly requested the Secretary-General to review the
guidelines for the formulation of the country strategy note and enhance their
operational relevance.  There are countries in which the country strategy note
formulation has been thorough and successful, and others in which the process
is still inadequate.  A full review of the state of implementation of the
country strategy note will be presented in 1998, in accordance with
paragraph 57 of General Assembly resolution 50/120 on the preparation of the
1998 triennial policy review.

63.  In countries in which the country strategy note has not produced the
expected results or the country strategy note is not expected to be in place
soon, there is still need for more work on a consistent response of the United
Nations system to the development priorities and policies and plans of the
Government, as requested in paragraph 14 of General Assembly resolution
50/120.  The introduction of the United Nations development assistance
frameworks by the directive of the Secretary-General of 17 March of 1997 is a
step in that direction.


                            12.  National execution

64.  In its resolution 50/120, the General Assembly requested the
organizations and bodies of the United Nations system to undertake efforts, in
the context of national execution and capacity-building, to enhance the
absorptive capacity in developing countries, improve the common understanding
of national execution and revise system-wide guidelines.

65.  The status of implementation of national execution varies from country
to country.  A large number of resident coordinators have reported that there
is a systematic policy in place for strengthening capacities for national
execution.  Major factors affecting the expansion of national execution
include the level of executing capacities in the country, the need for related
institutional development and the adequacy of national procedures. 

66.  National execution is diversely defined by various United Nations system
organizations and bodies in their concrete operations.  UNDP and to a lesser
extent UNFPA have been directly and actively engaged in the expansion of
national execution, involving technical agencies of the United Nations system
mostly as cooperating or implementing agencies, when the Government desires to
maintain their services.  The UNICEF mode of national execution retains
financial and technical control of the programme components, and uses national
institutions as implementing bodies.

67.  Although the General Assembly highlighted the role of the specialized
agencies of the United Nations system in transferring and facilitating the
necessary technical and substantive expertise to support the national
execution of United Nations-funded programme and projects, the role of
cooperating arrangements with specialized agencies under national execution
has to date been marginal on the whole.  By and large, the rapid extension of
national execution in most countries has resulted in reduced opportunities for
United Nations technical agencies to contribute their technical expertise
effectively through UNDP-funded programmes.  Non-UNDP funded projects,
executed by United Nations technical agencies, involve national institutions
in their implementation and make increasing use of national personnel as
project managers.


                        13.  Monitoring and evaluation

68.  Both the General Assembly, in its resolution 50/120, and the Economic
and Social Council, in its resolution 1996/42, requested that evaluations and 
programme reviews of operational activities be undertaken jointly by the
system, making the fullest possible use of national capacity.  Although it is
too early to draw firm conclusions, some joint evaluation work has taken place
in 40 per cent of countries reported on.  In addition, plans to conduct joint
mid-term and end-of-cycle reviews of programmes should lead to significant
savings in the cost of programme review and evaluation, permitting the
resources available to cover programmes in greater depth.

69.  Although no concerted move has yet been made by the system to set up the
mechanisms to collect the essential baseline data necessary for a
comprehensive impact evaluation of operational activities, there have been
extensive efforts within JCGP to prepare a common country assessment that,
once established, could provide basic data against which progress could be
measured.

70.  The focus of current monitoring and evaluation is by and large the
programmes and the projects of the different United Nations entities, and
joint monitoring and evaluation is limited.  A more coordinated system-wide
approach will be required as more collaborative programmes are carried out,
particularly as follow-up to United Nations conferences.  As part of the
greater attention given to monitoring and evaluation by the United Nations
system, CCPOQ has been taking a more systematic look at those issues.

Recommendation 14

71.  The Council may wish to encourage further initiatives by the system
towards more coherent and coordinated monitoring and evaluation of operational
activities, including the establishment of baseline data for major programmes,
and may wish to urge that that process be continued and extended to cover the
support of headquarters to operational activities. 


             B.  Regional and subregional development cooperation

72.  At its 1995 triennial comprehensive policy review of the operational
activities for development, the General Assembly considered for the first time
in that context the regional dimension of operational activities for
development.  In paragraph 20 of its resolution 50/120, it requested the
Secretary-General to consider ways of enhancing the coordination of
subregional and regional development activities of the United Nations system,
promoting national ownership of those activities, and enhancing the role of
the regional commissions.  Those directives of the General Assembly are being
pursued by the United Nations within the framework of CCPOQ.  Since the
Council decided to consider at the current session coordination at the
regional and subregional levels (see Council resolution 1996/42, para. 11),
some of the current issues are covered in the present report and in
E/1997/65/Add.2.

Recommendation 15

73.   The Council may wish to consider the extent to which the upcoming
triennial comprehensive policy review in 1998 should address issues in the
coordination of regional development activities of the United Nations system,
as well as other issues arising from General Assembly resolution 50/120,
including national ownership of regional activities and enhancing the role of
regional commissions in those activities. 


                            1.  Common definitions

74.  The importance of the regional dimension of operational activities is
increasing:  they currently constitute about 10 per cent of the total (i.e.,
approximately $500 million per annum).  A review of current approaches to
intercountry and regional programmes reveals a range of modalities at the
programme and project levels, and there are still no agreed definitions and
common statistics in that area.  Coverage of regions and subregions varies
among organizations, and over 100 offices operate without visible linkages;
greater coordination would enhance the efficiency and effectiveness of such
activities.


                          2.  Regional strategy note

75.  The concept of a regional strategy note was advanced in the report of
the Secretary-General for the 1995 triennial comprehensive policy review.  Its
basic premise of providing a common framework for channelling United Nations
system resources to agreed priorities remains valid.  A practical step forward
may be to test the approach in one region and also in one or two subregions.

Recommendation 16

76.  The Council may wish to consider whether the concept of a regional
strategy note should be tested in one region and a few subregions.  The
evaluation of the testing phase could include an assessment of the regional
strategy note's contribution to coordination at the regional level.


                            IV.  IMPACT EVALUATION

77.   The evaluation of the impact of operational activities for development
mandated by the General Assembly in its resolution 50/120 (para. 56) is under
way.  It is an integral part of the preparation of the 1998 triennial
comprehensive policy review by the General Assembly.  The overarching theme of
the evaluation will be capacity-building.  Three topics will be examined: 
(a) capacity-building by the whole range of United Nations entities in a
sample of countries; (b) capacity-building related to preparation for
participation in and follow up to global conferences in a sample of countries;
and (c) capacity- building at or by regional institutions.  Other topics that
are being considered and for which evaluation work may be undertaken include
national capacity for aid coordination and management, and for response to the
human immunodeficiency virus/acquired immunodeficiency syndrome epidemic;
gender in development issues; poverty alleviation and sustainable development;
and follow-up to capacity 21.

78.  The method employed will be to prepare case studies of the three
selected topics of capacity-building.  For each of the three categories, one
initial case study is being undertaken to assess impact in a specific area of
capacity- building.  Following those three initial case studies, if additional
resources are made available, a further two case studies will be undertaken on
each topic, making a total of nine in all.

79.  An independent group of experts is expected to be formed to review and
comment on the evaluation at key points in the process.  The group will be
invited to contribute its views on the process at any time, and to provide a
brief appraisal of the evaluation that will be reflected in the Secretary-
General's report for the triennial policy review.

Time-frame

80.  The United Nations system and a sample of 37 countries have been
requested to provide data and analysis.  The first three missions are due to
begin in July, and the exercise should be completed no later than February
1998.  The current level of extrabudgetary resources available for the
exercises is about $250,000.  A further $420,000 is required to allow missions
for each of the three topics to examine two more countries or institutions.

Recommendation 17

81.  The Council may wish to take note of the preparations for the impact
evaluation made in response to paragraph 56 of General Assembly resolution
50/120.


                                     Notes

     1/  The Executive Committee is chaired by the Administrator of the United
Nations Development Programme (UNDP), and is composed of the heads of the
United Nations Population Fund (UNFPA), the United Nations Children's Fund
(UNICEF), the United Nations Development Fund for Women (UNIFEM), the World
Food Programme (WFP), the United Nations Office for Project Services (UNOPS),
the Joint and Co-sponsored United Nations Programme on HIV/AIDS (UNAIDS), the
United Nations Centre for Human Settlements (Habitat), the United Nations Drug
Control Programme (UNDCP), the United Nations Development Programme (UNDP),
the Department for Development Support and Management Services and the
Department for Policy Coordination on Sustainable Development of the United
Nations Secretariat, and the regional commissions.

     2/  For details, see E/1997/65/Add.3.

     3/  For detailed assessment, see E/1997/65/Add.1.

     4/  For detailed assessment, see E/1997/65/Add.2.


     

Date last posted: 29 November 1999 12:16:05
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