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«INTERNATIONAL DEVELOPMENTThe DAC GuidelinesThe DAC GuidelinesStrategies for Sustainable DevelopmentStrategies forSustainableDevelopmentThis publication provides policy guidance on good practice in developing and implementingstrategies for sustainable development. While it focuses on the experience of developingcountries, many of the issues covered and lessons drawn are of equal relevance todeveloped countries. It draws from international experience over the past two decades inboth developed and developing countries as well as from a process of multi-stakeholdersdialogue in Bolivia, Burkina-Faso, Ghana, Namibia, Nepal, Pakistan, Tanzania and Thailand,to assess their experience of country-level strategies for sustainable development.www.SourceOECD.orgwww.oecd.orgISBN 92-64-19505-X43 2001 08 1 P :ITJMGO V ZUZ\:Strategies for Sustainable DevelopmentAll OECD books and periodicals are now available on lineINTERNATIONAL DEVELOPMENTThe DAC GuidelinesThe DAC Guidelines on Strategies for Sustainable Development aim to provide guidance fordevelopment co-operation agencies in their efforts to assist developing countries towardssustainable development. They should also be of value to policy-makers, planners anddevelopment practitioners, as well as to academics, students and development analysts inall countries.
OECD, 2001. Software: 1987-1996, Acrobat is a trademark of ADOBE.All rights reserved. OECD grants you the right to use one copy of this Program for your personal use only. Unauthorised reproduction,lending, hiring, transmission or distribution of any data or software is prohibited. You must treat the Program and associated materialsand any elements thereof like any other copyrighted material.All requests should be made to:Head of Publications Service,OECD Publications Service,2, rue André-Pascal,75775 Paris Cedex 16, France.
FIN-43 2001 08 1 p23/10/0117:32Page 1The DAC GuidelinesStrategies forSustainable Development:Guidance forDevelopment Co-operationORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT
histo.fm Page 1 Wednesday, October 10, 2001 10:53 AMORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENTPursuant to Article 1 of the Convention signed in Paris on 14th December 1960, and which came intoforce on 30th September 1961, the Organisation for Economic Co-operation and Development (OECD)shall promote policies designed:– to achieve the highest sustainable economic growth and employment and a rising standard ofliving in Member countries, while maintaining financial stability, and thus to contribute to thedevelopment of the world economy;– to contribute to sound economic expansion in Member as well as non-member countries in theprocess of economic development; and– to contribute to the expansion of world trade on a multilateral, non-discriminatory basis inaccordance with international obligations.The original Member countries of the OECD are Austria, Belgium, Canada, Denmark, France,Germany, Greece, Iceland, Ireland, Italy, Luxembourg, the Netherlands, Norway, Portugal, Spain,Sweden, Switzerland, Turkey, the United Kingdom and the United States. The following countries becameMembers subsequently through accession at the dates indicated hereafter: Japan (28th April 1964),Finland (28th January 1969), Australia (7th June 1971), New Zealand (29th May 1973), Mexico(18th May 1994), the Czech Republic (21st December 1995), Hungary (7th May 1996), Poland(22nd November 1996), Korea (12th December 1996) and the Slovak Republic (14th December 2000). TheCommission of the European Communities takes part in the work of the OECD (Article 13 of the OECDConvention).In order to achieve its aims the OECD has set up a number of specialised committees. One of these is the DevelopmentAssistance Committee, whose Members have agreed to secure an expansion of aggregate volume of resources made availableto developing countries and to improve their effectiveness. To this end, Members periodically review together both the amountand the nature of their contributions to aid programmes, bilateral and multilateral, and consult each other on all other relevantaspects of their development assistance policies.The Members of the Development Assistance Committee are Australia, Austria, Belgium, Canada, Denmark, Finland,France, Germany, Greece, Ireland, Italy, Japan, Luxembourg, the Netherlands, New Zealand, Norway, Portugal, Spain,Sweden, Switzerland, the United Kingdom, the United States and the Commission of the European Communities.Publié en français sous le titre :Les lignes directrices du CADSTRATÉGIES DE DÉVELOPPEMENT DURABLE OECD 2001Permission to reproduce a portion of this work for non-commercial purposes or classroom use should be obtainedthrough the Centre français d’exploitation du droit de copie (CFC), 20, rue des Grands-Augustins, 75006 Paris, France,tel. (33-1) 44 07 47 70, fax (33-1) 46 34 67 19, for every country except the United States. In the United States permissionshould be obtained through the Copyright Clearance Center, Customer Service, (508)750-8400, 222 Rosewood Drive,Danvers, MA 01923 USA, or CCC Online: www.copyright.com. All other applications for permission to reproduce or translateall or part of this book should be made to OECD Publications, 2, rue André-Pascal, 75775 Paris Cedex 16, France.
FIN-43 2001 08 1 p23/10/0117:32Page 3PREFACEPrefaceThis document provides policy guidance on good practice in developing andimplementing strategies for sustainable development. The guidance focuses on theexperience of developing countries, but many of the issues covered and lessonsdrawn are of equal relevance to developed countries. While the guidance looks at howdevelopment co-operation agencies can best assist developing countries, it should alsobe of value to policy-makers, planners and development practitioners in all countries,as well as of interest to academics, students and development analysts.The guidance is the first major output of a project initiated by the OECD DACWorking Party on Development Co-operation and Environment (WP/ENV). A TaskForce chaired by the UK Department for International Development (DFID) and theEuropean Commission (EC) has overseen the project.In developing this guidance, international experience over the past two decades inboth developed and developing countries has been drawn on. This experience and thelessons derived from it have been validated and built on through dialogues in selecteddeveloping countries. During 1999-2001, members of WP/ENV worked in partnershipwith teams from eight developing countries to assess their experience of country-levelstrategies for sustainable development: Bolivia, Burkina Faso, Ghana, Namibia, Nepal,Pakistan, Tanzania and Thailand. In addition, other agencies have contributed theirexperience: the United Nations Development Programme (UNDP) (Capacity 21), theUN Department for Economic and Social Affairs and the World Bank. The International Institute for Environment and Development (IIED) was responsible forco-ordinating the dialogues and provided technical support for the preparation ofthis document.Through dialogues involving stakeholders from government, the private sector andcivil society, past and existing strategic planning experiences have been analysed, keyissues and challenges identified, and principles for good practice developed. An iterativeprocess involving in-country discussions and three international workshops inTanzania, Thailand and Bolivia, has led to consensus on this final text.A second output — a source book (to be prepared during 2001) — will contain adetailed exploration of the challenge of strategies for sustainable development, withlessons, case materials, and methodologies from the dialogue countries and elsewhere.This source book will provide guidance on how to develop and implement strategiesfor sustainable development, providing examples of processes and mechanisms thathave been shown to work. OECD 20013
FIN-43 2001 08 1 p23/10/0117:32Page 5TABLE OF CONTENTS5Table of ContentsPREFACEACRONYMSSTRATEGIES FOR SUSTAINABLEDEVELOPMENT STATEMENTEXECUTIVE SUMMARYWhat is the purpose of this policy guidance?Why are new approachesto strategic planning needed?What has been learned about previousstrategic approaches?What are strategies for sustainabledevelopment?What does this mean in practice?How can external partners supportstrategies for sustainable development?How can sustainable developmentstrategies be monitored?BUSY READERS’ GUIDETO THIS DOCUMENT39111. SUSTAINABLE DEVELOPMENT ANDTHE NEED FOR STRATEGIC RESPONSESEstablishing national strategiesfor sustainable development:a Rio commitment and one of theseven international development GoalsChallenges to sustainable development191919Trends, major challenges, and responses19Decentralisation and globalisation20Sustainable development –a guiding vision to tackle the challenges2116Integrating and making trade-offsbetween economic, social andenvironmental objectives2116Developing approaches which reflect eachcountry’s unique circumstances21Recognising the central importanceof governance22Why we need a strategic approachto sustainable development23The need for structural changes23Difficulties in introducing changes24What “being strategic” means24151515161718182. STRATEGIES FORSUSTAINABLE DEVELOPMENTWhat are strategiesfor sustainable development?Principles for strategiesfor sustainable development252526 OECD 2001
FIN-43 2001 08 1 p623/10/0117:32Page 6STRATEGIES FOR SUSTAINABLE DEVELOPMENT3. CURRENT PRACTICE:EXISTING COUNTRY LEVEL FRAMEWORKSNational level strategiesSub-national strategiesLocal-level strategiesConvergence and links betweennational, sub-national and local strategies4332AnalysisConvergence, complementarity,coherence and co-ordination betweencountry frameworks at all levels32Regional issues47National issues47The importance of decentralisation47Strategy management systems and capacity4835Supporting management capacityat all levels4835Public communication50Systems for conflict management5035Knowledge and information systems50Vision for the future35Integration and making trade-offs35Ownership of strategiesLong term commitment36Identifying indicators,establishing monitoring systemsand ensuring accountability5137Independent monitoring and auditing51The importance of high levelpolitical commitment37Community-based monitoringand traditional community fora52The need for a central co-ordinating body37Financial resources for strategies52The need to involve all ministries37Commitment of the private sectorand civil society38Financing the strategy processand continuing systemsfrom recurrent expenditure52Ensuring effective participation39General budgetary assistancefor a strategy is better than one-off funding53Community-basedand bottom-up approaches40Financial support tosub-national-level strategies53Balancing top-downand bottom-up approaches41Balance between use of expertiseand need for a participatory approach42Effective participationand the costs involved434. LESSONS FROM APPLYINGEXISTING COUNTRY STRATEGIESIntroductionEstablishing long-term vision,setting priorities and achieving integration OECD – 200129293345
FIN-43 2001 08 1 p23/10/0117:32Page 7TABLE OF CONTENTS5. ILLUSTRATIVE STEPS FOR ESTABLISHING,STRENGTHENING AND OPERATINGA SUSTAINABLE DEVELOPMENT STRATEGY6. THE ROLE OFDEVELOPMENT CO-OPERATION AGENCIESSupporting the development of a visionSupporting convergence, complementarityand coherence between different frameworksCo-ordination of development agenciesSupporting national ownershipand commitmentWorking to foster effective participationStrengthening strategic analysisStrengthening strategy management systems5559596061627. IMPLEMENTING THE INTERNATIONALDEVELOPMENT GOAL (IDG) ON STRATEGIESFOR SUSTAINABLE DEVELOPMENT:SOME PRELIMINARY OPTIONS FORINTERNATIONAL INFORMATION-SHARINGThe purpose of internationalinformation-sharing on the implementationof strategies for sustainable developmentScope and types of indicatorsOptions for international managementof information in relationto implementation of the IDG on strategiesTime frames646466Supporting management capacity at all levels 66Public communication66Conflict prevention and management systems 67Information systems67In-country monitoring of strategiesFinancial resources for strategiesWorking together in practiceMonitoring the responseof DAC members to this policy guidance67Scope71Indicators71Options for monitoring71686971 OECD 200177374747575
FIN-43 2001 08 1 p823/10/0117:32Page 8STRATEGIES FOR SUSTAINABLE DEVELOPMENTBOXES1Key challenges to sustainable developmentin developing countries2 Key principles for strategiesfor sustainable development202720 Effective local democratic structuresin Zambia5221 Examples of dependenceon external funding in West Africa5222 UNCDF Local Development FundsProgramme5323 Illustrative steps for developing,co-ordinating and continuouslyimproving strategy mechanisms573 National Councils for SustainableDevelopment (NCSDs)304The DEAP process in Zimbabwe315Local Agenda 21326National Visions3624 Fostering coherencebetween different frameworks in Mali617 A competing civil society strategyin Thailand3725 Improving agency co-ordination aroundthe poverty reduction strategy process628 Strategy survivalthrough changes of government3826 Lessons from poverty reductionstrategies – learning from experience6393927 Supporting strategic analysis:participatory poverty assessmentin Pakistan6528 Agency adherence to the principlesof strategic planning for sustainabledevelopment: the example of Uganda6929 Key questions for assessing, and learningfrom, development agency performancein supporting strategy processes70Linking strategies to budget processes10 Requirements foreffective participation in strategies4011 Why existing strategies continueto be mainly top-down4112 Multi-stakeholder participation in strategies 4213 Decentralised planning systems4414 Initiating bottom-up strategy approachesin Pakistan: complementing provincialand district strategies4515 Building on what exists: links betweenPoverty Reduction Strategiesand other strategic planning processes4616 National capacity-building project,Thailand4817 Some examples of strategypractitioner networks4918 Fragmentation of Pakistan’sNational Conservation Strategy5019 The use of Commissionsto hold government to account51 OECD – 2001FIGURES1The dimensions of sustainable development 222Rationale for a systematic approachto strategies for sustainable development26Mechanisms contributing to a sustainabledevelopment strategy563
FIN-43 2001 08 1 p23/10/0117:32Page 9ACRONYMSAcronymsCBOCommunity-Based OrganisationCSDCommission for Sustainable DevelopmentCDFComprehensive Development FrameworkDACDevelopment Assistance Committee (of the OECD)DEAPDistrict Environmental Action PlanHIPCHighly Indebted Poor CountryIDGInternational Development GoalNCSNational Conservation StrategyNCSDNational Council for Sustainable DevelopmentNEAPNational Environmental Action PlanNFPNational Forest ProgrammeNGONon-Governmental OrganisationNSSDNational Strategy for Sustainable DevelopmentPRS(P)Poverty Reduction Strategy (Paper)OECDOrganisation for Economic Co-operation and DevelopmentUNCEDUnited Nations Conference on Environment and Development (1992)UNDPUnited Nations Development Programme OECD 20019
FIN-43 2001 08 1 p23/10/0117:32Page 11POLICY STATEMENTSTRATEGIES FOR SUSTAINABLE DEVELOPMENT STATEMENTA Policy Statement by Development Ministers,Aid Agency Heads and Other Senior Officialsresponsible for Development Co-operation,meeting as the Development Assistance Committee (DAC)of the Organisation for Economic Co-operation andDevelopment (OECD) on 25-26 April 2001.Strategies for sustainable development:practical guidance for development co-operationThe Rio Summit established sustainable development as the guidingvision for the development efforts of all countries. At Rio, and in latercommitments, all governments undertook to establish and implementnational sustainable development strategies. The strategies for sustainable development called for at Rio are foreseen as highly participatoryinstruments intended “to ensure socially responsible economic development while protecting the resource base and the environment for thebenefit of future generations”. The Rio Agenda 21 was reaffirmed mostrecently in the Millennium Summit Declaration. The InternationalDevelopment Goals call specifically for the “establishment of sustainabledevelopment strategies by 2005”. In the run up to the World Summit onSustainable Development (WSSD), in Johannesburg in 2002, it is appropriate that we review progress towards achieving this commitment andto agree how the international community can best assist developingcountries in meeting this goal. Thus, it is particularly timely that theHigh Level Meeting of the DAC on 25-26 April 2001 endorses the DACGuidelines: “Strategies for Sustainable Development: Guidance forDevelopment Co-operation”.We are committed to provide support for sound nationally-ownedsustainable development strategies where conditions for effective partnership are in place. In simple terms, sustainable development meansintegrating the economic, social and environmental objectives ofsociety, in order to maximise human well-being in the present withoutcompromising the ability of future generations to meet their needs.This requires seeking mutually supportive approaches wheneverpossible, and making trade-offs where necessary. For developing countries, and for development co-operation, reducing poverty and meetingthe International Development Goals are imperatives — within thebroad context of sustainable development — for this generation. OECD 200111
FIN-43 2001 08 1 p1223/10/0117:32Page 12STRATEGIES FOR SUSTAINABLE DEVELOPMENTThe challenges aheadSince Rio, there has been progress in developing countries in somekey areas, including reducing levels of absolute poverty and increasingattention to environmental issues. In other areas there has been significantdeterioration, including water, soil, and bio-diversity. Extreme povertystill ravages the lives of a quarter of the population in developing countries. Such levels of poverty and inequality raise serious issues ofsustainability — of peace and security, of equity and solidarity, and of theenvironment — at the national, regional and global levels.The sustainable development challenge remains urgent and acute.For each country, the challenge, and the strategy that it chooses tofollow in response, will be different. All, however, will require deepstructural changes, relating to economy, society and politics.Guiding principlesfor sustainable development strategiesIn preparing this guidance, we have worked intensively with a numberof developing countries who have been actively formulating nationalsustainable development strategies. Their input has been essential. Ourconsultations and wider international experience have led to a consensuson the following principles for effective sustainable development strategies.Strategy formulation OECD 2001 Country ownership and participation, leadership and initiative indeveloping their strategies. Broad consultation, including particularly with the poorand with civil society, to open up debate on new ideas andinformation, expose issues to be addressed,and build consensus and political support on action. Ensuring sustained beneficial impacts on disadvantagedand marginalised groups and on future generations. Building on existing strategies and processes, rather than addingadditional ones, to enable convergence and coherence. A solid analytical basis, taking account also of relevantregional issues, including a comprehensive review of thepresent situation and forecasts of trends and risks. Integration of economic, social and environmental objectivesthrough mutually supportive policies and practices and themanagement of tradeoffs. Realistic targets with clear budgetary priorities.
FIN-43 2001 08 1 p23/10/0117:32Page 13POLICY STATEMENTCapacity development Strengthening and building on existing country capacity —public, civil society, and private — as part of the strategy process. Linking national and local levels, including supporting devolution,in all stages of strategy development and implementation. Establishing continuous monitoring and evaluation systemsbased on clear indicators to track and steer progress.We endorse these principles and commit ourselves to putting them intopractice with developing country partners in our support for sustainabledevelopment strategies. We believe that any nationally-owned strategywhich applies these principles, and which puts in place a co-ordinated setof mechanisms and processes that ensure their implementation, is asustainable development strategy and will have a good chance ofsuccess. We stress that the label on the strategy does not matter. Existingstrategic planning processes are good starting points. Nationally-ownedpoverty reduction strategies offer a major new opportunity.Fostering convergence in national developmentstrategies and policy makingThe environment is a key determinant of growth and of povertyreduction. Environmental issues, including longer-term and globalperspectives, need to be integrated into mainstream planning processesaffecting these and other development objectives.We welcome the international discussions on the synergies between,and potential for convergence in, the underlying principles of countrylevel planning frameworks – such as the poverty reduction strategypapers (PRSPs); the Comprehensive Development Framework (CDF);the National Visions and the National Action Plans. There is a particularopportunity to promote the better integration of environmental and otherissues of sustainability into poverty reduction strategies, and we endorsethe move to develop these as long-term sustainable poverty reductionstrategies. More broadly, convergence is necessary to avoid duplication,confusion and straining of developing country capacity and resources.We endorse the emerging consensus on convergence and we recognisethat putting this consensus into practice effectively is a learning process. OECD 200113
FIN-43 2001 08 1 p1423/10/0117:32Page 14STRATEGIES FOR SUSTAINABLE DEVELOPMENTThe challenges fordevelopment co-operation agenciesImplementation and adherence to the principles pose challenges fordevelopment co-operation agencies. Ensuring genuine country ownershiprequires development agencies to adapt their assistance programmes tothe country’s strategic planning frameworks. We will strengthen ourco-ordination and harmonise our interventions, which will also helppromote country leadership.Cross-cutting these challenges is the need for agencies to helpstrengthen the capacity of partner countries to put in place the mechanisms and processes for sustainable development. We agree to providesupport for them, recognising that they are multi-year endeavours.We will also examine and implement changes within our own organisations that will improve our capacity to provide effective support tocountry-led strategic planning for sustainable development.We recognise that the world is closely interlinked and that a widerange of policies of our countries, in such areas as trade and energy,have a major impact on environmental and other aspects of sustainabledevelopment. This applies to impacts both on developing countriesand globally. We will deepen our attention to the coherence of ourpolicies affecting development, in the context of a broader OECDeffort in this area. OECD 2001
FIN-43 2001 08 1 p23/10/0117:32Page 15EXECUTIVE SUMMARYExecutive SummaryWhat is the purpose of this policy guidance?At the 1992 UN Conference on Environment and Development (UNCED),governments made a commitment to adopting national strategies for sustainable development. The strategies for sustainable development called for at Rio are foreseen ashighly participatory instruments intended “to ensure socially responsible economicdevelopment while protecting the resource base and the environment for the benefit offuture generations”. The OECD’s “Shaping the 21st Century” (1996) calls for theformulation and implementation of such strategies in every country by 2005 — one ofthe seven International Development Goals (IDGs) — and for development co-operationagencies to support such processes in developing countries. The 1997 Special Sessionof the UN General Assembly set a target date of 2002 for introducing strategies.Although it is nearly ten years since UNCED, very little guidance has been availableon how to fulfil these commitments. This document aims to fill that gap. Based oninternational experience and multi-stakeholder reviews in developing countries, itseeks to clarify the purposes and principles underlying effective national and localstrategies for sustainable development; describes the various forms they can take indeveloping countries; and offers guidance on how development co-operation agenciescan support them.Although prepared as guidance for donors, it is hoped that this document will alsobe able to inform the World Summit for Sustainable Development and provide a basisfor broader international discussions and agreement on this issue.Why are new approaches to strategic planning needed?Understanding of the pressing problems of unsustainable development hasimproved since UNCED. More is now known of environmental degradation, andsocial and economic marginalisation. But responses have not been concerted. Therehave been success stories, but they are fragmented. There have been improvements inmeeting some environmental, social, or economic needs, but often in ways whichcause other problems. Traditional approaches to ‘sustainable development’ are oftenoverlooked by policy-makers.Moving towards sustainable development presents tremendous challenges.Important structural changes are needed to the ways societies manage their economic,social and environmental affairs. Different countries may settle for different solutions,but all will have to make hard choices. Strategies for sustainable development areabout making and implementing such choices, in a realistic, effective and lasting way. OECD 200115
FIN-43 2001 08 1 p1623/10/0117:32Page 16STRATEGIES FOR SUSTAINABLE DEVELOPMENTWhat has been learned about previous strategic approaches?Many countries have tried to plan their way out of problems in a technocraticmanner, producing comprehensive, one-off national plans with accompanying sets ofprojects to be implemented. They were very often required (or inspired) by an externalagency, and connected to financial conditionalities. Examples include NationalConservation Strategies and Environmental Action Plans.A review of experience shows that successful approaches share certain characteristics.They set priorities and establish a long-term vision; seek to promote convergencebetween already existing planning frameworks; promote ownership; can demonstratenational commitment; and are built on appropriate participation. Lower levels ofsuccess can be attributed to strategies which over-emphasise a product, take the formof one-off, separate initiatives, and are exclusively top-down. Strategies which havebeen presented as new concepts, have undermined existing processes and wastedscarce resources by starting new processes from scratch. In addition, many strategieshave failed to address the deep economic, social and institutional changes needed forsustainable development.While most countries have a number of strategic planning processes in existence,few, if any, have a system to effectively co-ordinate them. Developing such a coordination system will assist in integrating all the components of sustainabledevelopment into mainstream planning processes. Enhanced co-ordination andconvergence between different planning frameworks can also relieve the burden oncapacity and resources.What are strategies for sustainable development?This guidance defines a strategy for sustainable development as comprising:“A co-ordinated set of participatory and continuously improving processes of analysis,debate, capacity-strengthening, planning and investment, which integrates theeconomic, social and environmental objectives of society, seeking trade offs where thisis not possible”.To substantiate the definition, this guidance also offers a set of principles.These encompass a set of desirable processes and outcomes which, taken together, arelikely to help ensure success of strategies for sustainable development. The principlesemphasise local ownership of the strategy process, effective participation fromall levels, and high-level commitment. They point to the importance of convergenceand coherence between different planning frameworks, integrated analysis, andcapacity development.What does this mean in practice?An effective strategy for sustainable development brings together the aspirationsand capacities of government, civil society and the private sector to create a vision forthe future, and to work tactically and progressively towards it. It identifies and buildson ‘what works’, improves integration between approaches, and provides a frameworkfor making choices where integration is not possible.Focusing on what is realistically achievable, an effective strategy will benefitfrom comprehensive understanding, but will not be paralysed by planning overlycomprehensive actions on many fronts at once. As a process of practical institutionalchange aimed primarily at mainstreaming sustainability concerns, the strategy is likelyto be focused on only a few priority objectives. OECD 2001
FIN-43 2001 08 1 p23/10/0117:32Page 17EXECUTIVE SUMMARYA strategy for sustainable development will rarely imply initiating a completelynew or stand-alone strategic planning project. Rather, a number of initiatives, takentogether, could meet the definition and the principles. Bringing existing initiativescloser to an effectiv
development co-operation agencies in their efforts to assist developing countries towards sustainable development. They should also be of value to policy-makers, planners and development practitioners, as well as to academics, students and development analysts in all countries. INTERNATIONAL DEVELOPMENT www.oecd.org ISBN 92-64-19505-X 43 2001 .
