A-21: CAPACITY BUILDING
Distr.
GENERAL
A/CONF.151/26 (Vol. III)
14 August 1992
ORIGINAL: ENGLISH
REPORT OF THE UNITED NATIONS CONFERENCE ON
ENVIRONMENT AND DEVELOPMENT
(Rio de Janeiro, 3-14 June 1992)
Chapter 37
NATIONAL MECHANISMS AND INTERNATIONAL COOPERATION
FOR CAPACITY-BUILDING IN DEVELOPING COUNTRIES
PROGRAMME AREA
Basis for action
37.1. The ability of a country to follow sustainable development paths is
determined to a large extent by the capacity of its people and its
institutions as well as by its ecological and geographical conditions.
Specifically, capacity-building encompasses the country's human,
scientific, technological, organizational, institutional and resource
capabilities. A fundamental goal of capacity-building is to enhance the
ability to evaluate and address the crucial questions related to policy
choices and modes of implementation among development options, based on an
understanding of environmental potentials and limits and of needs as
perceived by the people of the country concerned. As a result, the need to
strengthen national capacities is shared by all countries.
37.2. Building endogenous capacity to implement Agenda 21 will require the
efforts of the countries themselves in partnership with relevant United
Nations organizations, as well as with developed countries. The
international community at the national, subregional and regional levels,
municipalities, non-governmental organizations, universities and research
centres, and business and other private institutions and organizations
could also assist in these efforts. It is essential for individual
countries to identify priorities and determine the means for building the
capacity and capability to implement Agenda 21, taking into account their
environmental and economic needs. Skills, knowledge and technical know-how
at the individual and institutional levels are necessary for
institution-building, policy analysis and development management, including
the assessment of alternative courses of action with a view to enhancing
access to and tranfer of technology and promoting economic development.
Technical cooperation, including that related to technology transfer and
know-how, encompasses the whole range of activities to develop or
strengthen individual and group capacities and capabilities. It should
serve the purpose of long-term capacity-building and needs to be managed
and coordinated by the countries themselves. Technical cooperation,
including that related to technology transfer and know-how, is effective
only when it is derived from and related to a country's own strategies and
priorities on environment and development and when development agencies and
Governments define improved and consistent policies and procedures to
support this process.
Objectives
37.3. The overall objectives of endogenous capacity-building in this
programme area are to develop and improve national and related subregional
and regional capacities and capabilities for sustainable development, with
the involvement of the non-governmental sectors. The programme should
assist by:
(a) Promoting an ongoing participatory process to define country
needs and priorities in promoting Agenda 21 and to give importance to
technical and professional human resource development and development of
institutional capacities and capabilities on the agenda of countries, with
due recognition of the potential for optimum use of existing human
resources as well as enhancement of the efficiency of existing institutions
and non-governmental organizations, including scientific and technological
institutions;
(b) Reorienting technical cooperation and, in that process, setting
new priorities in the field, including that related to transfer of
technology and know-how processes, while giving due attention to the
specific conditions and individual needs of recipients, and improving
coordination among providers of assistance for support to countries' own
programmes of action. This coordination should also include
non-governmental organizations and scientific and technological
institutions, as well as business and industry whenever appropriate;
(c) Shifting time horizons in programme planning and implementation
for the development and strengthening of institutional structures to permit
an enhancement of their ability to respond to new longer-term challenges
rather than concentrating only on immediate problems;
(d) Improving and reorienting existing international multilateral
institutions with responsibilities for environment and/or development
matters to ensure that those institutions have the capability and capacity
to integrate environment and development;
(e) Improving institutional capacity and capability, both public and
private, in order to evaluate the environmental impact of all development
projects.
37.4. Specific objectives include the following:
(a) Each country should aim to complete, as soon as practicable, if
possible by 1994, a review of capacity- and capability-building
requirements for devising national sustainable development strategies,
including those for generating and implementing its own Agenda 21 action
programme;
(b) By 1997, the Secretary-General should submit to the General
Assembly a report on the achievement of improved policies, coordination
systems and procedures for strengthening the implementation of technical
cooperation programmes for sustainable development, as well as on
additional measures required to strengthen such cooperation. That report
should be prepared on the basis of information provided by countries,
international organizations, environment and development institutions,
donor agencies and non-governmental partners.
Activities
(a) Building a national consensus and formulating capacity-building
strategies for implementing Agenda 21
37.5. As an important aspect of overall planning, each country should seek
internal consensus at all levels of society on policies and programmes
needed for short- and long-term capacity-building to implement its Agenda
21 programme. This consensus should result from a participatory dialogue
of relevant interest groups and lead to an identification of skill gaps,
institutional capacities and capabilities, technological and scientific
requirements and resource needs to enhance environmental knowledge and
administration to integrate environment and development. UNDP in
partnership with relevant specialized agencies and other international
intergovernmental and non-governmental organizations could assist, upon
request of Governments, in the identification of the requirements for
technical cooperation, including those related to technology transfer and
know-how and development assistance for the implementation of Agenda 21.
The national planning process together, where appropriate, with national
sustainable development action plans or strategies should provide the
framework for such cooperation and assistance. UNDP should use and further
improve its network of field offices and its broad mandate to provide
assistance, using its experience in the field of technical cooperation for
facilitating capacity-building at the country and regional levels and
making full use of the expertise of other bodies, in particular UNEP, the
World Bank and regional commissions and development banks, as well as
relevant international intergovernmental and non-governmental
organizations.
(b) Identification of national sources and presentation of requests for
technical cooperation, including that related to technology transfer
and know-how in the framework of sector strategies
37.6. Countries desiring arrangements for technical cooperation, including
that related to transfer of technology and know-how, with international
organizations and donor institutions should formulate requests in the
framework of long-term sector or subsector capacity-building strategies.
Strategies should, as appropriate, address policy adjustments to be
implemented, budgetary issues, cooperation and coordination among
institutions, human resource requirements, and technology and scientific
equipment requirements. They should cover public and private sector needs
and consider strengthening scientific training and educational and research
programmes, including such training in the developed countries and the
strengthening of centres of excellence in developing countries. Countries
could designate and strengthen a central unit to organize and coordinate
technical cooperation, linking it with the priority-setting and the
resource allocation process.
(c) Establishment of a review mechanism of technical cooperation in and
related to technology transfer and know-how
37.7. Donors and recipients, the organizations and institutions of the
United Nations system, and international public and private organizations
should review the development of the cooperation process as it relates to
technical cooperation, including that related to activities for the
transfer of technology and know-how linked to sustainable development. To
facilitate this process the Secretary-General could undertake, taking into
account work carried out by UNDP and other organizations in preparation for
the United Nations Conference on Environment and Development, consultations
with developing countries, regional organizations, organizations and
institutions of the United Nations system, including regional commissions,
and multilateral and bilateral aid and environment agencies, with a view to
further strengthening the endogenous capacities of countries and improving
technical cooperation, including that related to the technology transfer
and know-how process. The following aspects should be reviewed:
(a) Evaluation of existing capacity and capability for the
integrated management of environment and development, including technical,
technological and institutional capacities and capabilities, and facilities
to assess the environmental impact of development projects; and evaluation
of abilities to respond to and link up with needs for technical
cooperation, including that related to technology transfer and know-how, of
Agenda 21 and the global conventions on climate change and biological
diversity;
(b) Assessment of the contribution of existing activities in
technical cooperation, including that related to transfer of technology and
know-how, towards strengthening and building national capacity and
capability for integrated environment and development management and an
assessment of the means of improving the quality of international technical
cooperation, including that related to transfer of technolgy and know-how;
(c) A strategy for shifting to a capacity- and capability-building
thrust that recognizes the need for the operational integration of
environment and development with longer-term commitments, having as a basis
the set of national programmes established by each country, through a
participatory process;
(d) Consideration of greater use of long-term cooperative
arrangements between municipalities, non-governmental organizations,
universities, training and research centres and business, public and
private institutions with counterparts in other countries or within
countries or regions. Programmes such as the Sustainable Development
Networks of UNDP should be assessed in this regard;
(e) Strengthening of the sustainability of projects by including in
the original project design consideration of environmental impacts, the
costs of institution-building, human resource development and technology
needs, as well as financial and organizational requirements for operation
and maintenance;
(f) Improvement of technical cooperation, including that related to
transfer of technology and know-how and management processes, by giving
greater attention to capacity- and capability-building as an integral part
of sustainable development strategies for environment and development
programmes both in country-related coordination processes, such as
consultative groups and round tables, and in sectoral coordination
mechanisms to enable developing countries to participate actively in
obtaining assistance from different sources.
(d) Enhancement of the expertise and collective contribution of the United
Nations system for capacity- and capability-building initiatives
37.8. Organizations, organs, bodies and institutions of the United Nations
system, together with other international and regional organizations and
the public and private sectors, could, as appropriate, strengthen their
joint activities in technical cooperation, including that related to
transfer of technology and know-how, in order to address linked environment
and development issues and to promote coherence and consistency of action.
Organizations could assist and reinforce countries, particularly least
developed countries, upon request, on matters relating to national
environmental and developmental policies, human resource development and
fielding of experts, legislation, natural resources and environmental data.
37.9. UNDP, the World Bank and regional multilateral development banks, as
part of their participation in national and regional coordination
mechanisms, should assist in facilitating capacity- and capability-building
at the country level, drawing upon the special expertise and operational
capacity of UNEP in the environmental field as well as of the specialized
agencies, organizations of the United Nations system and regional and
subregional organizations in their respective areas of competence. For
this purpose UNDP should mobilize funding for capacity- and
capability-building, utilizing its network of field offices and its broad
mandate and experience in the field of technical cooperation, including
that related to transfer of technology and know-how. UNDP, together with
these international organizations, should at the same time continue to
develop consultative processes to enhance the mobilization and
coordination of funds from the international community for capacity- and
capability-building, including the establishment of an appropriate
database. These responsibilities may need to be accompanied by
strengthening of the capacities of UNDP.
37.10. The national entity in charge of technical cooperation, with the
assistance of the UNDP resident representatives and the UNEP
representatives, should establish a small group of key actors to steer the
process, giving priority to the country's own strategies and priorities.
The experience gained through existing planning exercises such as the
national reports for the United Nations Conference on Environment and
Development, national conservation strategies and environment action plans
should be fully used and incorporated into a country-driven, participatory
and sustainable development strategy. This should be complemented with
information networks and consultations with donor organizations in order to
improve coordination, as well as access to the existing body of scientific
and technical knowledge and information available in institutions
elsewhere.
(e) Harmonization of the delivery of assistance at the regional level
37.11. At the regional level, existing organizations should consider the
desirability of improved regional and subregional consultative processes
and round-table meetings to facilitate the exchange of data, information
and experience in the implementation of Agenda 21. UNDP, building on the
results of the regional surveys on capacity-building that those regional
organizations carried out on the United Nations Conference on Environment
and Development initiative, and in collaboration with existing regional,
subregional or national organizations with potential for regional
coordination, should provide a significant input for this purpose. The
relevant national unit should establish a steering mechanism. A periodic
review mechanism should be established among the countries of the region
with the assistance of the appropriate relevant regional organizations and
the participation of development banks, bilateral aid agencies and
non-governmental organizations. Other possibilities are to develop national
and regional research and training facilities building on existing regional
and subregional institutions.
Means of implementation
Financing and cost evaluation
37.12. The cost of bilateral expenditures to developing countries for
technical cooperation, including that related to transfer of technology and
know-how, is about $15 billion or about 25 per cent of total official
development assistance. The implementation of Agenda 21 will require a
more effective use of these funds and additional funding in key areas.
37.13. The Conference secretariat has estimated the average total annual
cost (1993-2000) of implementing the activities of this chapter to be
between $300 million and $1 billion from the international community on
grant or concessional terms. These are indicative and order-of-magnitude
estimates only and have not been reviewed by Governments. Actual costs and
financial terms, including any that are non-concessional, will depend upon,
inter alia, the specific strategies and programmes Governments decide upon
for implementation.
END OF CHAPTER 37
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======================RRojas Research Unit/1996=========================
