1. www.uncsd2012.org
RIO 2012 Issues Briefs
Produced by the UNCSD Secretariat December 2011
No. 10
Regional, national and local level governance for sustainable development 1
This Brief addresses the main issues involved in strengthening (i) Providing an inclusive platform for deliberation and decision
governance for sustainable development below the international making on such an integrative approach, e.g., through the
level. At the regional level, it considers how to strengthen Commission sessions and meetings of the subsidiary bodies
coherence among the UN bodies engaged in providing normative of the Commissions related to sustainable development.
and operational support to Member States, but it also looks at
the question of broader coherence and coordination with other (ii) Providing the link between the global and the national levels:
relevant institutions. At the national and local levels, the focus is e.g., Regional Commissions have led the regional preparatory
principally on how country‐specific institutions can be processes for Rio+20 collaborating closely with the regional
strengthened and coordinate more closely in implementing development banks, UNEP, UNDP and regional and
aspects of the sustainable development agenda. Finally, the subregional organizations, as well as with the entire UN
question of coordination and linkage across governance levels – system through the Regional Coordination Mechanism. Other
what we call ‘vertical integration’ – is addressed. examples include: ECA collaboration with the AUC and UNEP
in the establishment of the African Ministerial Conference on
Subsidiarity is a useful starting point in considering governance at the Environment (AMCEN), ECA’s Climate for Development in
different levels. It states that matters ought to be handled by the Africa (ClimDev‐Africa) Programme, and hosting of the
smallest, lowest or least centralized competent authority. This African Climate Policy Centre (ACPC), the policy arm of the
applies in sustainable development governance as in other areas, Programme. Similarly, ESCWA closely cooperates with
with the possible qualification that by its nature sustainable UNEP/ROWA and the League of Arab States (LAS) through a
development governance involves effective horizontal and joint technical secretariat for WSSD follow‐up. In the ECLAC
vertical coordination among institutions. region, the Regional Implementation Forum has convened
the regional implementation meetings in support of
Part I: Regional landscape sustainable development and CSD processes. ESCAP’s
regional mandate includes convening the Ministerial
1. Introduction Conference on Environment and Development in Asia and
Over the last three decades, regional integration processes have the Pacific (MCED) as well as other Ministerial Conferences in
gained momentum, together with sub‐regional platforms, in sectoral areas. ECE provides the secretariat for the
coordinating effective policy actions and dialogues to address key “Environment for Europe” process.
development issues. There is an increasing acknowledgement of
the regional dimension of development as a critical link between (iii) Setting norms and standards at the regional level: e.g., ECE
the global and national levels. conventions (including those related to water, transboundary
pollution and access to information) and their associated
Intergovernmental regional fora protocols constitute a legal backbone for improving the
The Regional Commissions of the United Nations regularly environment in the region. The ECE, through its
convene meetings of high‐level policy makers in various domains Environmental Performance Review Programme (EPR), has
to deliberate on and develop policy responses to regional been providing in‐depth advice to countries with economies
sustainable development challenges as well as provide guidance in transition to improve their environmental performance.
to national‐level actions within different regions.
(iv) Coordination among UN organizations and entities at the
Agenda 21 and subsequent CSD decisions recognised the regional level: through the chairing of the Regional
relevance of the regional dimension. The World Summit on Coordination Mechanisms (RCMs).
Sustainable Development (WSSD) reiterated and further
strengthened this mandate and tasked the Regional Commissions Some important initiatives that subsequently gained global
to facilitate and promote a balanced integration of the economic, momentum originated in the intergovernmental work of specific
social and environmental dimensions of sustainable development regional commissions. For example, before discussions began at
into their work, and into the work of regional, sub‐regional and the international level on a green economy in the context of
other bodies. sustainable development and poverty eradication, the Asia‐Pacific
region had a substantial body of work and intensive
The Regional Commissions promote an integrative approach to intergovernmental dialogue on green growth which was later
sustainable development in the following ways: endorsed by ECE’s “Environment for Europe” through the
1

2. adoption in 2010 of the “Astana Initiative” as a framework for cooperative mechanism that aims to tackle climate change and
green economy principles in Europe and Asia and the Pacific. promote green growth in the Asian region. In the Caribbean, the
Regional Coordinating Mechanism (RCM) is a coordination
Regional Coordination Mechanisms (RCMs) mechanism, promoting partnership among ECLAC, UNEP, the
Mandated by ECOSOC 2 , the Regional Commissions 3 hold regular Caribbean Community (CARICOM) Secretariat, the Association of
inter‐agency meetings in each region to improve policy coherence Caribbean States (ACS), and the Organisation of Eastern
and programme coordination among the organizations of the UN Caribbean States (OECS) Secretariat. In the Pacific, the Council of
system and non‐UN partners in that region. These meetings are Regional Organizations of the Pacific (CROP) Sustainable
conducted through the Regional Coordination Mechanism (RCM), Development Working Group coordinates the activities of its
which is chaired by the Deputy Secretary General and members, which include both UN and non‐UN sub‐regional
coordinated by the Regional Commissions. RCM meetings focus organizations.
on policy and programming issues of a regional nature and are
guided by regional priorities. The RCMs in different regions have How these organizations currently work together
9
on average a membership of 30 UN and affiliated entities, In 2008, it was agreed within the UN system that: Regional
including the Regional Development Banks. Commissions lead on regional policy issues, together with the
linkages to global policy issues, with UNDG members supporting
The RCMs have become the vehicle for delivery of joint analytical as required; Regional UNDG Teams manage country operational
products in support of regional development frameworks. work (country programming and policy work), with the Regional
Commissions participating as needed.
Regional UNDG Teams
4
The UN Country Team (UNCT) is guided and supported by the 2. Enhancing coordination and integration of
Regional UN Development Group (UNDG) Teams 5 (formerly regional governance
known as “Regional Directors Teams”). The Regional UNDG It is important that regional governance institutions coordinate
Teams’ core functions are focused on the provision of coherent among themselves and integrate effectively the social, economic
and timely technical support to UNCTs, quality assurance of UN and environmental dimensions of sustainable development.
Development Assistance Frameworks (UNDAFs) 6 , performance Regional institutions need to address region‐specific issues;
management through the Resident Coordinator (RC)/UNCT manage regional spillovers, externalities, interdependencies;
Performance Appraisal system, and “trouble shooting” in support national policy development and implementation within
challenging country situations. the region; provide region specific inputs to inform global policy
making.
Regional Development Banks
Regional development banks 7 have emerged as important actors How well is it working at present?
for economic integration and development at the national as well The functions and complementarities of the RCMs vis‐a vis the
as the sub‐regional level (e.g., ADB in the Greater Mekong regional UNDG teams are clearly outlined, with areas of synergy
Subregion). They provide effective instruments to fund 10
identified . For example, the outcome of the policy coherence
development initiatives. Sustainability and the environment are work of the RCMs, including regional and sub‐regional
post‐Rio 1992 additions to the focal areas of these banks (for frameworks, can be conveyed to regional UNDG teams to inform
example, EBRD 8 ).
D
their country‐level actions; whereas the country‐level experience
can inform the regional discussions on policies. A good start has
Regional/sub‐regional intergovernmental organizations been made by scheduling the meetings of the two mechanisms
Regional/subregional organizations, such as the European Union, back‐to‐back in all regions to ensure complementarities and to
African Union, MERCOSUR, ASEAN, CARICOM and the Pacific allow outcomes of one to feed into the other. However, slow
Islands Forum, to name a few, provide platforms for effective progress has been recorded in the regions regarding improving
policy dialogue and actions to address key development issues at complementarities and synergies between the two coordination
the regional and sub‐regional levels. These organizations are mechanisms.
important players in determining the development agenda.
Some have more comprehensive cooperation programmes than 3. The way forward
others for which trade cooperation and integration remains the
top priority.
Ideas on how regional governance could be better integrated
across the three pillars
Regional/sub‐regional partnerships, targeted cooperation
Issues relating to sustainable development governance at the
mechanisms
regional level and the role of emerging new stakeholders and
Regional partnerships are also playing an increasingly important
actors, such as the private sector, civil society, trade unions and
role. For example, the East Asia Climate Partnership (EACP) is a
2

3. farmers, could be further studied. Current inter‐linkages and gaps - integration of economic, social and environmental
between key organizations (i.e. UN, Regional Development Banks, dimensions across sectors and policy domains
sub‐regional organizations) could be further analyzed to help (horizontal integration);
address the lack of coherence or multiplicity of integration - coherence in policy design across domains with
processes and initiatives. Such insights would be useful in sometimes competing priorities (coherence);
designing improved and more effective implementation - inter‐connectedness between governance levels (vertical
programmes in the near future. integration and coherence);
- effectiveness and efficiency of administration and public
Ideas on how UN agencies can work better together at the service delivery;
regional level - quality and inclusiveness of public policy and decision‐
UN organizations working at the regional level should develop 11 making procedures;
an agreed medium‐term capacity‐building framework. - engagement of all constituencies of civil society through
Stocktaking and reviews should feed into a coherent and different forms of participation;
coordinated regional framework, informed by normative policies - transparency and accountability.
formulated at the international level. To this end, the roles of the
Regional Commissions and the UNDG Regional Teams are It is evident that governance for sustainable development
absolutely critical. Greater coherence and cohesiveness 12 involves a wide range of entities, networks and bodies within and
between RCMs and Regional UNDG Teams should be forged. The outside government that play a role in policy‐making and
RCMs and the Regional UNDG teams could be linked more implementation of sustainable development priorities. While this
strongly to ensure input from the normative regional work into can provide flexibility and innovative solutions to challenges of
the work of the Regional UNDG teams in support of UNCTs and coordination and coherence, it can in turn influence effectiveness
vice versa. Engagement and commitment at the highest level to of oversight, accountability and ultimately implementation.
closer collaboration would go a long way in ensuring policy
coherence and improving coordination among the work In the Johannesburg Plan of Implementation (para. 162a), States
programmes of UN organizations at the regional level. The committed to “[c]ontinue to promote coherent and coordinated
Regional Commissions and UNDG, as the UN entities mandated approaches to institutional frameworks for sustainable
with coordination responsibilities at regional level, should development at all national levels, including through, as
prepare a common regional roadmap on how the actions of all appropriate, the establishment or strengthening of existing
regional actors could be better integrated across the three pillars. authorities and mechanisms for policy making, coordination and
The strategy should be discussed and agreed upon by all actors at implementation and enforcement of laws.” Furthermore, they
the RCMs and Regional UNDGs, operating as One UN at the committed to take immediate steps to make progress in the
regional level. Under the leadership of the Chief Executives Board formulation and elaboration of national strategies for sustainable
(CEB), the linkages of the High‐Level Committee on Programmes development and begin their implementation by 2005 (para.
(HLCP) with the RCMs (as a means of enhancing policy 162b). It is widely recognized that such strategies can take
coordination between global and regional levels) and with UNDG different forms such as poverty reduction strategies, national
(as a means of enhancing implementation at the national level) development plans or similar, as long as they fulfil the
continue to be of relevance. requirement of integrating economic, social and environmental
concerns in a balanced and integrated manner. As of 2009, 106
Part II: Governance at national and local levels countries had reported their National Sustainable Development
Strategies (NSDS) to the Commission on Sustainable
1. Introduction Development.
Governance at national and local levels can be described as the
processes by which public policy decisions are made and Local authorities, one of the nine major group sectors recognized
13
implemented. It is the result of interactions, relationships and by Agenda 21 are considered the level of governance closest to
networks among the different sectors (government, public sector, the people, playing a vital role in mobilizing and responding to the
private sector and civil society) and involves decisions, public to promote sustainable development. Local government
negotiation, and different power relations between stakeholders institutions come in many shapes and sizes, functioning as part of
to determine who gets what, when and how – that is, who is widely varying constitutional and administrative frameworks, yet
responsible and accountable for what actions. sharing some common features and responsibilities. As stated in
Agenda 21: “Local authorities construct, operate and maintain
Some elements of sustainable development governance include: economic, social and environmental infrastructure, oversee
planning processes, establish local environmental policies and
regulations, and assist in implementing national and subnational
environmental policies.” Thus even when frameworks, norms and
3

4. standards are set at a higher level of authority, local governments local government is often at the frontline of the
possess competencies for numerous sectors such as urban implementation challenge.
planning, urban management, transportation, water, waste 6. Institutionalized processes for ensuring meaningful
management, air quality management, public health, promotion participation of all civil society actors, including the private
of social services and education. sector and local government. This has been shown not only
to facilitate public awareness regarding sustainable
There is no single model of governance of sustainable development issues, but to condition the quality,
development. As a rule, however, local governments are subject accountability and impact of sustainable development plans.
to national or regional legislation, dependent to varying degrees The experience of national councils and stakeholder advisory
on higher levels of government for funding, and have limited bodies has shown their potential as a forum for openness
legislative powers. and transparency, articulating priorities and concerns, and
monitoring progress made in achieving sustainable
2. An issue of integration and coherence development goals.
There are many examples of good practices, as well as guidelines, 7. In this regard, access to data and information is not only
resource materials, planning models, and tools that both national critical to goal setting and as a communication and outreach
and local governments can use to implement sustainable tool for engaging stakeholders, but experience has shown
development action plans or strategies. In this regard, it is well that increased access to high quality up‐to‐date information
recognized that institutional arrangements for sustainable can serve as an integration tool in and of itself. In many
development are key to achieving integrated decision‐making and cases, access to information on government budget and
implementation of sustainable development priorities. expenditures provides a critical tool for accountability and
transparency.
Experience has shown that a number of factors which are 8. The national sustainable development strategy process
applicable to most countries contribute to success: implies a continuous iterative process encompassing
articulation of priorities, monitoring, evaluation and review
1. A high‐level government commitment to sustainable to ensure progress in implementation and accountability
development articulated through a common vision or while allowing for adjustments in priority setting and
strategic objective which also informs governance at the local implementation actions responding to new and emerging
level. Such commitment can follow on commitments made at challenges.
the international level which are then translated into goals 9. Lastly, some countries have found it useful to undertake
and priorities taking into account the specific national voluntary sharing of experiences or reviews vis‐à‐vis other
context and anchored in national legislation. countries engaged in similar strategy processes. This creates
2. Strong horizontal coordination and coherence mechanisms an opportunity to reflect on good governance experience and
led by a high‐level government office with substantive identify gaps and potential remedies in a collegial setting.
authority. Such mechanisms can take a variety of forms, such
as presidential commissions, inter‐ministerial working groups 3. Particular challenges at the local level
or task forces where participating entities share a common Decentralization and devolution of functions and responsibilities
responsibility for ensuring integration and coherence while to local governments has sometimes occurred without the
maintaining operational mandates. accompanying resources and legislative powers. Local authorities,
3. Balanced horizontal integration of policy concerns which with sub‐regional and national spheres of government “above”
adequately considers synergies and trade‐offs associated them, are especially prone to unfunded mandates. Another
with proposed policy measures across economic, social and dimension is that reforms granting local governments new
environmental domains. powers and responsibilities should go hand‐in‐hand with new
4. An integrated development planning process and document public accountability mechanisms. There is also room to explore
underpinned by integrated assessment methods and new forms of social accountability mechanisms, such as citizen
appropriate measures of progress (such as indicators of oversight bodies and participatory budgeting, which enable direct
sustainable development), which ties directly to Medium‐ engagement of citizens with government and complement more
Term Expenditure Frameworks, to ensure that integrated traditional public accountability mechanisms.
strategies and policies are funded.
5. Strong vertical integration which ensures alignment between 4. UN system support at country level
national, regional, and local levels of government. Proper While implementation of sustainable development priorities is
alignment can reinforce and support achieving goals across the sole responsibility of governments, a number of international
territories and facilitate implementation at all levels, if actors are engaged at the national and local levels to provide
adequate resources are attached, taking into account that support in one or several areas of concern.
4

5. Resident UN agencies, non‐resident UN agencies (NRAs) and are put in place by national governments, since there is a limit to
international financial institutions (IFIs) all form part of United what local authorities can achieve on their own. It is imperative
Nations Country Teams (UNCTs) to varying degrees. UN‐HABITAT that decentralization policies are accompanied by all the needed
has been supporting local governments around the world in political, legal and financial support that local authorities need for
enhancing local leadership for sustainable development. implementing their localized strategies for sustainability.
Experience reported by country teams suggests that, in order to
achieve the necessary level of capacity to support national At the heart of the debate on institutional strengthening and
institutional arrangements for sustainable development, a further capacity development are the use of data and information to
systematized inclusion of the expertise of NRAs and IFIs at the build consensus and support decision making in an integrated
country level would be an advantage. Typical areas of such manner, the ability to provide leadership on cross‐sectoral issues,
support include the development of national strategies, and the reinforcement of analytical and strategic planning
regulations, frameworks and policies, but also capacity building of capacities for multi‐sectoral issues. The enabling environment
all stakeholders at all levels. Well functioning UNCTs have the within which this can happen is a key dimension of capacity
potential to provide support by providing policy guidance; building at the local level.
developing indicators and other measurements; building capacity
of government to deliver on commitments; improving Looking forward, UNDG and entities at headquarters could be
information sharing and knowledge networking; finally, linking encouraged to strengthen support for the further application of
issues/frameworks for greater cross‐sectoral cooperation. good practices at country level in furtherance of governance for
sustainable development, including in the areas of developing
5. The way forward suitable coordination mechanisms that address sustainable
Though many implementation measures have been taken by development in its totality; integration and coherence in policy
governments and non‐government stakeholders alike, barriers to design; support for meaningful stakeholder participation in
implementation such as fragmented decision‐making, conflicting decision‐making; outreach and communication. In addition,
policy targets and insufficient or ineffective coordination persist. opportunities could be sought to facilitate learning and sharing of
experiences among peers, including through use of technological
The lessons learnt from the past 20 years should provide a basis innovations.
for the further improvement of governance at the national and
local levels. This includes seeking a renewed attention to national
and sub‐national sustainable development strategies as a key
vehicle for integration and coherence in sustainable development
policy design and implementation, if appropriately linked with The purpose of the Rio 2012 Issues Briefs is to provide a channel
resource mobilization. for policymakers and other interested stakeholders to discuss and
review issues relevant to the objective and themes of the
There is a need to pursue cooperation and integration along two conference, including a green economy in the context of
axes – vertical and horizontal. All governance levels from local sustainable development and poverty eradication, as well as the
through global need to be vertically interconnected, knitting institutional framework for sustainable development.
together sometimes fragmented and overlapping governance
arrangements. This is sometimes referred to as the notion of For further information on this Brief, contact Friedrich Soltau
multi‐level governance. The strategies and SD policies at the local (soltau@un.org).
level should be integrated into sub‐national and national plans
and processes for SD.
1
We would like to acknowledge inputs received from the Regional Commissions,
UNESCO, GEF, UN‐HABITAT, UNEP and UNDP.
In the context of many “emerging issues” such as climate change 2
Resolution 1998/46
and rapid urbanization in many parts of the world, local 3
CEB/2009/HLCP‐XVII/CRP.2
authorities’ frontline responsibility for provision of basic services 4
The main purpose of the UN Country Team is for individual agencies to plan and
and spatial planning places intense strains on their institutional work together to ensure inter‐agency coordination in delivering tangible results in
and human capacities. The sustainable development support of the development agenda of the Government. Source:
implementation gap can therefore only be closed if the capacities http://www.undg.org/index.cfm?P=1257.
5
of local authorities are significantly strengthened. http://www.undg.org/index.cfm?P=684
6
The UN Development Assistance Framework (UNDAF) is a programme document
between a government and the UNCT, describing collective actions and strategies
Future efforts should enhance capacity building for local
of the UN to support national development. The UNDAF includes outcomes,
authorities and ensure that resources follow implementing activities and UN agency responsibilities that are agreed by government.
7
authority. For local authorities to be successful in their work for The African Development Bank, Asian Development Bank, European Bank for
sustainable development, it is crucial that favourable conditions Reconstruction and Development, and Inter‐American Development Bank Group.
5

6. 8
http://www.ebrd.com/downloads/research/sustain/sr10e.pdf
9
“The Regional Dimension of Development and the United Nations System”, draft
unedited version (4 Oct 2011).
10
“The Regional Dimension of Development and the United Nations System”,
draft unedited version (4 Oct 2011).
11
Recommendation 4 of “The Regional Dimension of Development and the United
Nations System”.
12
Recommendation 6 of “The Regional Dimension of Development and the United
Nations System”.
13
Agenda 21, Section III, Chapter 28:
http://www.un.org/esa/dsd/dsd_aofw_mg/mg_locaauth.shtml
6