S U S TA I N A B L E

DEVELOPMENT
S T R AT E G I E S
 S U S TA I N A B L E
DEVELOPMENT
S T R AT E G I E S
A RESOURCE BOOK

Compiled by
Barry Dalal-Clayton and Stephen Bass
of
The International Institute for Environment and Development
First published by Earthscan in the UK and USA in 2002

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Copyright © Organisation for Economic Co-operation and Development, 2002 . Published by Taylor & Francis.
Citation: Sustainable Development Strategies: A Resource Book. Organisation for Economic Co-operation and Development, Paris and United
Nations Development Programme, New York

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Notices
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DISCLAIMER
The views expressed in this resource book are those of the compilers and should not be taken to represent those of the Organisation for Economic Co-
operation and Development, the United Nations Development Programme, the International Institute for Environment and Development, or any of
the agencies that have provided financial support for this document (listed in Acknowledgements).

ISBN 13: 978-1-85383-9-467 (pbk)

Page design by S&W Design Ltd

Typeset by MapSet Ltd, Gateshead, UK
Cover design by Danny Gillespie

A catalogue record for this book is available from the British Library
Library of Congress Cataloging-in-Publication Data
Sustainable development strategies : a resource book / compiled by Barry Dalal-Clayton and Stephen Bass.
p. cm.
Includes bibliographical references.
ISBN 1-85383-946-9 -- ISBN 1-85383-947-7 (pbk.)
1. Sustainable development. 2. Economic development--Environmental aspects. I. Dalal-Clayton, D. B. (D. Barry) II. Bass, Stephen, 1958-
HC79.E5 S8649 2002
338.9'27--dc21
2002009561
 Acknowledgements

This resource book is a product of a project on sustainable development strategies initiatied by the OECD
DAC Working Party on Development Cooperation and Environment. It builds on and complements an
earlier output – DAC Guidelines on Strategies for Sustainable Development – published in 2001.
Members of the Working Party are Australia, Austria, Belgium, Canada, Denmark, European
Commission, Finland, France, Germany, Greece, Ireland, Italy, Japan, Luxembourg, The Netherlands, New
Zealand, Norway, Portugal, Spain, Sweden, Switzerland, the United Kingdom and the United States. The
International Monetary Fund, the World Bank and the United Nations Development Programme participate
as permanent observers. The Club du Sahel, Development Centre, International Institute for Environment
and Development, United Nations Environment Programme, World Conservation Union and World
Resources Institute participate regularly in the work of the Working Party.
The project has been undertaken by a special Task Force of the Working Party co-chaired by the UK
Department for International Development (DFID) and the European Commission (EC-DG8) with strong
support by the German Agency for Technical Cooperation (GTZ), and coordination and technical support
provided by the International Institue for Environment and Development (IIED). The Capacity 21 initiative
of the United Nations Development Programme and the United Nations Department of Environmental and
Social Affairs actively supported the project.
The Task Force was led by Adrian Davis, Paula Chalinder and Jonathan Hobbs (DFID), Artur Runge-
Metzger and Liselotte Isaksson (EC-DGVI), and Stephan Paulus and Kathrin Heidbrink (GTZ). Remi Paris
of the DAC Secretariat provided guidance and advice throughout.

Financial support
Generous financial support for the work on which these guidelines are based, and for their preparation and
publication, has been provided by, in alphabetic order:

I Department for International Development (DFID), UK

I European Commission (EC DG8)
I Finnish Ministry of Foreign Affairs
I French Ministry of Foreign Affairs
I German Agency for Technical Cooperation (GTZ)
I Japanese Ministry of Foreign Affairs
I Royal Norwegian Ministry of Foreign Affairs
I Spanish International Cooperation Agency (AECI)
I Swiss Development Cooperation
I United Nations Development Programme (UNDP) (Capacity 21)
PAGE VI ACKNOWLEDGEMENTS

Sources
This resource book draws from multiple sources:

I Status reviews, dialogue reports and commissioned papers prepared by the lead teams from
developing country partners involved in the DAC project on NSDSs (see Preface) (Bolivia, Burkina
Faso, Ghana, Namibia, Nepal, Pakistan, Thailand, Tanzania);
I UNDP made available a wide range of country-based and synthesis documents arising from the
Capacity 21 programme. Grateful thanks are due to Penny Stock (Capacity 21);
I Materials developed and provided by IIED programmes;
I Publicly available information on a large number of websites.

Chapter reviews
Grateful thanks are due to the following people for reviewing individual chapters:

Chapter 2 Professor Michael Carley (Herriot Watt University, Edinburgh)

Stephan Paulus (GTZ Germany)
Chapter 3 Professor Michael Carley (Herriot Watt University, Edinburgh)
Maheen Zehra (IUCN Pakistan)
Carol James (consultant, Trinidad)
Paul Steele (DFID, UK)
Chapter 4 Ralph Cobham (consultant, UK)
Jorge Reyes (UNDP Philippines)
Joseph Opio-Odongo (UNDP Uganda)
Chapter 5 Jon Lindsay (FAO)
Pippa Bird (consultant, USA)
Duncan Macqueen and Josh Bishop (IIED)
Robert Prescott-Allen (Padata, Canada)
Chapter 6 Carol James (consultant, Trinidad)
Duncan Macqueen (IIED)
Chapter 7 Saneeya Hussain (consultant, Brazil)
Dafina Gercheva (UNDP, Bulgaria)
Penny Stock (Capacity 21, UNDP)
Lilian Chatterjee (IIED)
Chapter 8 Ralph Cobham (consultant, UK)
Professor Michael Carley (Herriot Watt University, Edinburgh)
Chapter 9 Tariq Banuri (Stockholm Environment Institute, Boston Center)
Nicola Booregaard (consultant, Germany)
Chapter 10 Robert Prescott-Allen (Padata, Canada)
Henk van Trigt (DGIS, The Netherlands)
 ACKNOWLEDGEMENTS PAGE VII

Materials and information

The following people provided helpful materials, information and comments on various aspects of the
resource book:

I Ashok Chatterjee, National Institute of Design, India;

I Mercie Ejigu, Partnership for African Environmental Sustainability;
I Fayen d’Evie, Earth Council;
I Kathrin Heidbrink, GTZ;
I Cees Moons, Ministry of Housing, Spatial Planning and Environment (VROM), The Hague;
I Ali Raza Rizvi, IUCN-Pakistan;
I Adrian Reilly, Brunel University;
I Clara Rodrigues, Environment Canada;
I Bansuri Taneja, Kalpavriksh, New Delhi.

Individual contributions
A large number of individuals made significant contributions to the learning on which this Resource Book
draws, through their involvement in the national teams and in the international workshops:

Therese Adam (Swiss Development Cooperation); Anibal Aguilar (Bolivia); Jamie Aranibar Del Alcázar
(UDAPE, Ministry of Treasury, Bolivia); Marco Balderrama (Bolivia); Bernardo Valdivia Baldomar (Bolivia);
Sylvia Bankobeza (UNEP); Abihudi Baruti (Planning Commission, Tanzania); Mario J Baudoin (Ministry of
Sustainable Development and Planning, Bolivia); Inger-Marie Bjonness (Royal Norwegian Ministry of
Foreign Affairs); Ignacio Cabria (Spanish International Cooperation Agency); Ken Campbell (Natural
Resources Institute, UK); Paula Chalinder (Department for International Development, UK); Patchaneeboon
Charpoenpiew (Thailand Development Research Institute); Marcela Clavijo (Bolivia); Sambou Coulibaly
(CONAGESE, Burkina Faso); Jürgen Czermenka (GTZ, Bolivia); Djiri Dakar (CONAGESE, Burkina Faso);
Adrian Davis (Department for International Development, UK); Philip Dobie (UNDP); Nicolaj Draminski
(consultant, Bolivia); Jairo Escobar (UNDP, Bolivia); Rosalind Eyben (UK Department for International
Development, Bolivia); Angela Brown Farhat (National Development Planning Commission, Ghana);
Gustavo Suarez de Freitas (Pro Naturaleza, Peru); Daniel Gantier (Ministry of Sustainable Development and
Planning, Bolivia); Miguel Gonzalez (Bolhispania, Bolivia); Willi Graf (Swiss Development Cooperation,
Bolivia); Hum Gurung (National Planning Secretariat, Nepal); Kathrin Heidbrink (GTZ, Germany); Alicia
Herbert (Department for International Development, UK); Jan-Jilles van de Hoeven (UNDP Capacity 21);
Saleemul Huq (IIED); Liselotte Isaksson (EC, DG8); Adis Israngkura (Thailand Development Research
Institute); Brian Jones (Namibia); Saada K Juma (AGENDA, Tanzania); Utis Kaothien (National Economic
and Social Development Board, Thailand); Peter de Koning (DGIS, The Netherlands); Karen Kramer (Royal
Netherlands Embassy, Tanzania); Ronald Maclean (Minister for Sustainable Development, Bolivia); Ram C
Malhotra (Nepal); Oswald Mashindano (University of Dar es Salaam, Tanzania); Sylvester Mbangu
(National Planning Commission, Namibia); Artur Runge-Metzger (EC DG8); Paul Mincher (IIED);
Giovanna Parolini de Mollinedo (Bolivia); Lucian Msambichaka (University of Dar es Salaam, Tanzania); Ali
Mufuruki (Infotech Investment Group, Tanzania); Charles Mutalemwa (Planning Commission, Tanzania);
Viroj Naranong (Thailand Development Research Institute); Anita Nirody (UNDP Capacity 21); Ndey Njie
(UNDP Capacity 21); Matti Nummelin (Ministry of Foreign Affairs, Finland); Ernestine S Okoko (recif,
Burkina Faso); Krishna Prasad Oli (IUCN Nepal); Arturo Lopez Ornat (Pangea consultants, Spain); Badre
PAGE VIII ACKNOWLEDGEMENTS

Dev Pande (IUCN Nepal); Remi Paris (OECD, Paris); Stephan Paulus (GTZ, Germany); Mogens Pedersen
(Danish Embassy, Bolivia); Nipon Poapongsakorn (Thailand Development Research Institute); Jagdish
Pokharel (National Planning Commission, Nepal); Jesus Quintana (Spanish Agency for International
Development, Bolivia); Prakash Raj (consultant to IUCN Nepal); Kirsten Rohrmann (Division for
Sustainable Development, UN); Somkiet Ruangchan (Thailand Development Research Institute); Claudia
M B Sánchez (Vice Ministry of Public Investment and External Finance, Bolivia); Cynthia M Yañez Sánchez
(Ministry for Economic Development, Bolivia); Maimouna Sondzo Sangare (Ministry of Economics and
Finance, Burkina Faso); Salif Sawadogo (Coordination Against Desertification, Burkina Faso); Gyan Sharma
(National Planning Commission, Nepal); Uday Sharma (Ministry of Forests and Soil Conservation, Nepal);
Pete Shelley (Department for International Development, UK); Fred Smidt (Netherlands Embassy, Bolivia);
Serge Snrech (OECD); Penny Stock (UNDP); Krystyna Swiderska (IIED); Ferdinand Tay (National
Development Planning Commission, Ghana); Carlos E Chávez Terán (Sustainable Development
Commission, Bolivia); Daniel Thieba (GREFCO, Burkina Faso); Oussouby Touré (CSE, Senegal); Henk van
Trigt (DGIS, The Netherlands); Aree Wattana Tummakird (Ministry of Science, Technology and
Environment, Thailand); Gerardo Velasco (Cámara Nacional de Industria, Bolivia); Joachim Tres Vildomat
(Bolhispania, Bolivia); Cámara Nacional de Industria (consultant, Bolivia); Guillermo Vivado (European
Union, Bolivia); Terry Vojdani (Bolivia); Seth Vordzorgbe (Devcourt Ltd, Accra, Ghana); Taizo Yamada
(JICA, Philippines); Mai Yamamoto (Ministry of Foreign Affairs, Japan); Asif Ali Zaidi (IUCN Pakistan);
Maheen Zehra (IUCN, Pakistan).

Finally, the compilers are grateful to several IIED colleagues for their inputs and help:

I Joshua Bishop (contributed to Chapters 5 and 8);

I Lilian Chatterjee (contributed to Chapter 7);
I Maryanne Grieg-Gran (developed the first draft of Chapter 9);
I Paul Mincher (contributed to Chapter 7);
I Krystyna Swiderska (contributed to Chapter 5);
I Devyani Gupta and Sue Mylde researched information on websites and prepared materials.
 Contents

Acknowledgements v
Contents ix
List of figures, tables and boxes xvi
Preface xxii
Acronyms and abbreviations xxiii

1 About the resource book 1

Aims 1
Target audience 2
Layout 2
How to use this resource book 4

2 Sustainable development and the need for strategic responses 5

The opportunity for a strategic approach to national development 5
Organization of this chapter 6
The challenges of environment and development 7
Trends and major challenges 7
Economic disparity and political instability 7
Extreme poverty 8
Under-nourishment 8
Disease 8
Marginalization 8
Population growth 8
Consumption 8
Global energy use 9
Climate change 9
Nitrogen loading 9
Natural resource deterioration 9
Loss of diversity 10
Pollution 10
Growing water scarcity 10
Other urban problems 10
Interactions between social, economic and environmental problems 10
International responses to the challenges of sustainable development 11
The emergence of sustainable development as a common vision 11
Multilateral environmental agreements (MEAs) 14
Environmental monitoring and assessment 15
Economic instruments 15
Engaging the private sector 16
New technologies 17
 PAGE X CONTENTS

Financing sustainable development 18

Governance – and the twin trends of decentralization and globalization 18
Decentralization 20
Globalization 22
Focus on national strategies for sustainable development: a Rio commitment and one of the seven international
development goals 23
Guidance to date on strategies for sustainable development 25
Why a strategic approach to sustainable development is needed 27
The need for structural changes 27
Difficulties in introducing changes 28
What being strategic means 28

3 The nature of sustainable development strategies and current practice 30

Introduction 30
What are sustainable development strategies? 31
Key principles for developing sustainable development strategies 33
Learning from current practice: existing strategy frameworks 35
Building on national level strategies 38
National development plans 38
Sector and cross-sectoral plans and strategies 42
Plans and strategies related to conventions 42
National forest programmes (NFPs) 47
National conservation strategies (NCSs) 50
National environmental action plans (NEAPs) 50
National Agenda 21s and National Councils for Sustainable Development 52
National visions 53
Comprehensive development frameworks 54
Poverty reduction strategies 56
Sub-national strategies 63
Decentralized development planning 66
Village and micro-level strategies 66
Convergence and links between national, sub-national and local strategies 69
Regional approaches to developing strategies 70

4 Key steps in starting or improving strategies for sustainable development 74

Harnessing effective strategic mechanisms in a continual-improvement system 74
Scoping exercise 77
Establishing or strengthening a strategy secretariat or coordinating body 77
Establishing or strengthening a strategy steering committee or equivalent forum 81
Seeking or improving political commitment for the strategy 82
Establishing or confirming a mandate for the strategy 85
Ensuring broad ownership of the strategy 85
Securing strategy ‘ownership’ and commitment by all ministries 87
Securing strategy ‘ownership’ and commitment by civil society and the private sector 88
Mobilizing the required resources 90
Harnessing the necessary skills 91
 CONTENTS PAGE XI

Bringing institutions and individuals on board 93

Raising the financial resources 94
Identifying stakeholders and defining their roles in the strategy 96
Typical roles of the main actors in strategy processes, and constraints faced 98
Politicians and leaders 98
Public authorities 98
The private sector 99
Civil society 100
Donor agencies 100
Mapping out the strategy process, taking stock of existing strategies and other planning processes 102
Seeking to improve coherence and coordination between strategy frameworks at all levels 104
Coherence, coordination (and convergence) of national strategic frameworks 104
Focusing strategic objectives at the right level – from regional to local, and between sectors – and ensuring
coherence and coordination there 105
Establishing and agreeing ground rules governing strategy procedures 110
Establishing a schedule and calendar for the strategy process 112
Promoting the strategy 112
The role of experiments and pilot projects 112
Establishing and improving the regular strategy mechanisms and processes 113

5 Analysis 114
Approaching and organizing the tasks of analysis 114
Introducing the main analytical tasks in NSDS processes 114
Challenges in analysis for sustainable development strategies 115
Effective strategies depend on sound information 115
Sustainable development is complex and difficult to analyse 115
Capacities to analyse sustainable development are often weak 115
There are dangers in relying on narrow, non-local, out-of-date or unreliable information 116
Basic principles for analysis 116
Engage and inform stakeholders within democratic and participatory processes 116
Use accessible and participatory methods of analysis 117
Include roles for independent, ‘expert’ analysis 117
Develop a continuing, coordinated system of knowledge generation 118
Agree criteria for prioritizing analysis 118
Ensure the objectives of the analysis are clear 119
Agree the types of output from the analysis, and who will get them 120
An introduction to methods available for analysis 120
Analysing stakeholders in sustainable development 120
Why stakeholder analysis is important 120
Identifying stakeholders 124
Using an issues-based typology 124
Ways to identify stakeholders 125
Stakeholder representation 125
Identifying stakeholder interests, relations and powers 126
Identifying stakeholders’ interests 126
Analysing the relationships between stakeholders 127
 PAGE XII CONTENTS

Analysing stakeholders’ powers 127

Comparing stakeholders’ powers with their potential for sustainable development 129
Limitations of stakeholder analysis 130
Approaches to measuring and analysing sustainability 132
Accounts 133
Narrative assessments 135
Indicator-based assessments 135
Contributing measurements and analyses 138
Spatial analysis 138
System of national accounts 141
Genuine domestic savings 142
Ecological footprint 142
Natural resource, materials and energy accounts 144
Human Development Index 145
Sustainable livelihoods analysis 145
Policy influence mapping 148
Problem trees and causal diagrams 148
Strategic environmental assessment 149
Community-based issue analysis 153
Deciding what to measure: a framework of parts and aims 154
Deciding how to measure: choosing indicators 158
Seeing the big sustainability picture: generating indices 159
Identifying priority sustainability issues: using a rigorous, routine system 160
Analysing sustainable development mechanisms and processes 161
Steps in analysing the component mechanisms 162
Analysing the legal framework for sustainable development 162
Analysing the economic context 169
Describing how the mechanisms link up 170
Scenario development 171
The purpose and limitations of scenarios 171
Organizing scenario development 171
Some illustrations of sustainable development scenarios 173

6 Participation in strategies for sustainable development 177

Introduction 177
Understanding participation 178
Multiple perceptions, expectations and definitions of ‘participation’ 178
Typologies of participation – and associated dilemmas 178
‘Horizontal’ and ‘vertical’ channels for participation – and associated dilemmas 182
Why participation is needed in strategies for sustainable development 186
Ensuring effective participation – issues and planning requirements 193
Scoping the basic requirements 193
Consideration of costs and benefits of participation 193
Clarity of expectations 193
Consideration of scale and links 197
Representation, selection and intermediaries 198
 CONTENTS PAGE XIII

Infrastructure, organization and legal framework for participation 201

Planning for participation in strategies 204
Methods for participation in strategies 207
Participatory learning and action 207
Community-based resource planning and management 211
Participation in decentralized planning systems 211
Multi-stakeholder partnerships 213
Focusing on consensus, negotiations and conflict resolution 217
Working in groups 218
Facilitation 220
Participants’ responsibilities 222
Rapporteurs 222
Meeting agendas 222
Market research, electronic media and other remote methods 225

7 Communications 226
Introduction 226
Shifting values, attitudes and styles 227
Establishing a communications and information strategy and system 230
An information, education and communications strategy and action plan 233
Coordination of information 234
Internal coordination – focus on creating a shared information base 235
External coordination – using a wide range of methods 235
Choosing the medium, and developing complementary information products 236
Documents and audio-visual material 238
Events 240
Managing dialogue and consensus-building during meetings 242
Establishing networks, or making links with existing networks 242
Establishing databases, or making links with existing databases 245
Use of electronic media 246
Electronic democracy 247
Mass media 249
Monitoring the communication process 250

8 Strategy decision-making 253

The scope of strategy decisions 253
Strategic vision 254
Strategic objectives 254
Targets 254
Triggers 254
Action plan 255
Institutional plan 255
Challenges, principles and useful frameworks for making strategy decisions 258
Challenges for decision-making 258
Getting a good grasp of the problems being faced 258
Dealing with a wide range of integration and trade-off challenges 258
 PAGE XIV CONTENTS

Dealing with ‘real-world’ issues and avoiding ‘planners’ dreams’ 259

Achieving consensus on the vast range of sustainable development issues 261
Principles and frameworks for decision-making 261
Good decisions should be based on acknowledged values 261
Strategy decisions should reflect locally-accepted values 262
Strategy decisions should reflect global values 263
Strategy decisions should reflect risk and uncertainty 265
Formal methodologies for decision-making can help, but have limitations 265
Decision theory 265
Decision support tools 267
‘Strong’ and ‘weak’ sustainability 269
Institutional roles and processes for strategy decisions 270
Multi-stakeholder structures for decision-making 270
Facilitating decision-making through workshops 272
Consensus 272
Negotiations and conflict resolution 276
Negotiations 276
Conflict resolution 280
Policy coherence – a step-wise approach 280
A challenge: strengthening relations between decision-developers and the ultimate decision-takers 282
Selecting instruments for implementing strategy decisions 283
The range of sustainable development instruments 284
Legislative/regulatory/juridical instruments 284
Financial/market instruments 285
Educational/informational instruments 286
Institutional instruments 286
Guidance on selecting instruments 287

9 The financial basis for strategies 288

Introduction 288
Mobilizing finance 290
Financial requirements of the strategy 290
Formulation and review 290
Implementation 292
Sources of finance 292
Donor finance 292
Government 293
Other in-country sources of finance 293
International transfer payments 294
Global Environmental Facility 294
Carbon offsets and the Clean Development Mechanism 295
Debt swaps 295
National environmental funds 296
Trust funds 296
Mobilizing finance at the local level 297
 CONTENTS PAGE XV

Using market mechanisms to create incentives for sustainable development 298

Market mechanisms at the national level 299
Removing perverse incentives 299
Adapting existing market mechanisms 300
New market mechanisms 300
Market mechanisms at the local level 302
Mainstreaming sustainable development into investment and financial decision-making 303
Motives for addressing sustainable development 303
Company level 304
The business case from the financial institution viewpoint 305
Crucial factors in the business case 306
How can financial institutions mainstream sustainable development? 306
Challenges for Northern financial institutions 306
Challenges for national finance and investment institutions 307

10 Monitoring and evaluation systems 309

Introduction 309
Elements of a monitoring and evaluation system 309
Principles of successful monitoring and evaluation 310
Who should undertake monitoring and evaluation? 311
Formal internal and external monitoring 311
Internally-driven monitoring (conducted by local strategy stake-holders) 311
Externally-driven monitoring and evaluation (conducted by agreed independent bodies or donors) 313
Linking internal and external monitoring 314
Participatory monitoring and evaluation 315
When should monitoring and evaluation be undertaken? 318
The ‘pressure–state–response’ framework for monitoring – its utility and limitations 318
Use in state-of-the-environment reporting 318
Use and limitations for monitoring sustainable development 320
Monitoring the implementation of the strategy and ensuring accountability 321
Monitoring the performance of strategy stakeholders, and mutual accountability 322
Monitoring and evaluating the results of the strategy 324
Disseminating the findings of monitoring exercises and feedback to strategy decisions 325

Appendix 327
References 331
Index 348
 List of Figures, Tables and Boxes

Figures
1.1 User’s road map to the resource book chapters 3
2.1 Interactions between watershed management problems in the Densu River and Weija Reservoir area, Ghana 11
2.2 The systems of sustainable development 12
3.1 Rationale for a systematic approach to sustainable development strategies 32
3.2 Constellation of mechanisms contributing to a sustainable development strategy 32
3.3 Developing Malawi’s National Forestry Programme 49
3.4 Bombardment by strategic planning requirements: illustrative examples of international conventions and initiatives,
and national frameworks, that typically challenge a country 70
4.1 Constellation of mechanisms contributing to a strategy for sustainable development 75
4.2 The continuous improvement approach to managing sustainable development strategies 75
5.1 Stakeholder groups’ size, potential and power to contribute to sustainable development 131
5.2 Gross domestic product versus Genuine Progress Indicator: United States 1950–1999 (in 1996 US dollars) 134
5.3 Environmental weight declines as the number of human ‘subsystems’ increases 137
5.4 Group Barometer of Sustainability, showing the well-being of North and Central America 139
5.5 Individual Barometer of Sustainability, showing the well-being of Canada 139
5.6 The Dashboard of Sustainability: an example for Canada 141
5.7 Sustainable livelihoods framework 147
5.8 Simple policy influences map concerning deforestation 148
5.9 Problem tree 149
5.10 Causal diagram of cause and effect linkages relating to poverty 151
5.11 Example of a systemic arrangement of parts 157
5.12 Sustainability components arranged hierarchically 158
5.13 Mechanisms for sustainable development: an analytical framework 161
5.14 Mapping the type/intensity of participation in strategy mechanisms 168
5.15 Institutional mapping: relationship chart of the entries involved in the implementation of the Sarhad Conservation Strategy 172
6.1 The leadership continuum 182
6.2 National and local participation experience 183
6.3 The sustainable development ‘triad’ 186
6.4 Identifying partners for stakeholder and working groups 199
6.5 Land use map made by an indigenous surveyor and villagers of the Marwa sub-region, Panama 210
7.1 The communication pyramid 227
8.1 Decision tree for a strategy to reduce women’s time spent in gathering fuelwood 269
8.2 Rights- and risks-based negotiation process 279
8.3 Annual plans for integrating sustainable development into business 285
10.1 The driving force–state–response monitoring framework as applied to sustainable agriculture 321
 L I S T O F F I G U R E S , TA B L E S A N D B OX E S PAGE XVII

Tables
2.1 Commercializing environmental services 16
2.2 Classification of national and regional government authorities (in Box 2.5) 19
2.3 Sub-national/local government authorities 20
3.1 Basic comparisons between developed and developing country strategy processes 37
3.2 Examples of National Councils for Sustainable Development and similar multi-stakeholder fora for sustainable development 54
3.3 Example of a draft CDF matrix from Vietnam 57
3.4 Comparison of strategies at different levels in Pakistan 65
4.1 Scoping some of the main benefits of preparing a national conservation strategy in Barbados 80
4.2 Checklist of key stakeholder groups in an national sustainable development strategy 86
5.1 Information-gathering and analytical tools to help strategy decision-making 121
5.2 The limits of participatory and economic analysis 123
5.3 Stakeholder power analysis of a particular issue (or policy or institution): suggested table for comparisons 129
5.4 Mapping power and potential of stakeholders: Malawi’s National Forestry Programme 130
5.5 Three main approaches to measuring and analysing sustainability 134
5.6 Indicator-based assessments of sustainability 136
5.7 Genuine domestic savings: accounting for depletion of human, physical and natural capital. An example from Pakistan. 143
5.8 Calculating annual consumption of biotic resources: Costa Rica (1995) 144
5.9 Comparing SEA and EIA 150
5.10 Illustrative framework of parts and aims for indicator-based assessment (human subsystem only) 156
5.11 Illustrative performance criteria for the indicator, life expectancy at birth 160
5.12 Component mechanisms in NSDS, and how to analyse them 163
5.13 Questions asked about strategy quality by the OECD DAC initiative 166
6.1 Types of participation in local-level development 180
6.2 Levels of participation in policy processes 181
6.3 Examples of institutional channels for decision-making and action by sector and level 184
6.4 Illustrative comparison of strategies with high and low intensities of participation 197
6.5 Stakeholder interests and roles: the case of Guyana’s National Biodiversity Action Plan 201
6.6 Examples of likely existing structures/institutions and methodologies for participation 202
6.7 Rights and obligations of OTBs (in Box 6.14) 203
6.8 Examples of participatory methodologies for strategy tasks 206
6.9 Techniques of participatory learning 209
6.10 Potential resources from organizations in the development triad 217
7.1 Examples of mass and alternative media forms 236
7.2 Public concern survey on the environment in St Helena 241
7.3 The choice of electronic media will be determined by access costs and speeds to the internet 247
7.4 Users of the internet (February 2000) 247
7.5 Examples of possible indicators to use in monitoring and evaluating a strategy website 251
8.1 Examples of the framework of linked strategic decisions 256
8.2 Choicework table for mobility 281
8.3 Diagnostic for alignment of business processes with sustainable development principles 284
8.4 Annual plans for integrating sustainable development into business 285
10.1 Example matrix for linking impacts with strategy mechanisms 326
10.2 Data for monitoring, sources and timing: examples from a poverty alleviation strategy 327
10.3 CSD list of indicators of sustainable development (September 1996) 328
 PAGE XVIII L I S T O F F I G U R E S , TA B L E S A N D B OX E S

Boxes
1.1 The OECD DAC donor-developing countries dialogues project 1
2.1 The Global Environment Outlook project 7
2.2 Sustainable development – a guiding vision to tackle interacting problems 12
2.3 Agenda 21 on national strategies for sustainable development 13
2.4 Key multilateral environmental agreements 14
2.5 Governance structures in flux 19
2.6 Decentralization 21
2.7 Decentralization in Indonesia 22
2.8 Some challenges of globalization for sustainable development 23
2.9 International development goals 24
2.10 The millennium development goals 25
2.11 Selected reviews of, and guidance on, strategic planning for sustainable development 26
2.12 Affirming the need for a strategic approach to sustainable development. 29
3.1 Key principles for sustainable development strategies 33
3.2 Elements of a national sustainable development strategy 36
3.3 Five-year planning in India and China 39
3.4 Civil society involvement in recent national plans in Thailand – and their alternative agenda 40
3.5 Harmonizing national development plans in Morocco 40
3.6 The Bangladesh Flood Action Plan 40
3.7 National human development reports 41
3.8 National Biodiversity Strategy and Action Plan, India 43
3.9 Examples of effective principles in national action programmes to combat desertification 45
3.10 Experience of non-Annex 1 (developing) countries in developing national communications for climate change 47
3.11 The tropical forest action plan – a non-strategic approach 48
3.12 The National Forestry Programme, Malawi 51
3.13 Pakistan’s NCS – a strong basis for a national strategy for sustainable development 52
3.14 National Councils for Sustainable Development 53
3.15 National Visions 55
3.16 Progress with PRSPs: key points of the comprehensive review by the World Bank and IMF 59
3.17 Civil society opposition to PRSPs and NGO views 62
3.18 The DEAP mechanism in Zimbabwe 63
3.19 Local Agenda 21 64
3.20 Relations between Pakistan’s national, provincial and district conservation strategies 65
3.21 Decentralized planning in Ghana 67
3.22 Village level planning in Iringa Rural District, Tanzania 68
3.23 The Uganda PRSP 71
3.24 The Eastern Caribbean Environmental Charter: principles relevant to strategies for sustainable development 72
4.1 Illustrative steps for starting, managing and continually improving a strategy for sustainable development 78
4.2 Membership of steering committee for Balochistan Conservation Strategy, Pakistan 82
4.3 The Netherlands’ National Environmental Policy Plan – a response to public pressure 83
4.4 Strategy survival through changes of government 84
4.5 Covenants with industry in The Netherlands 89
4.6 Checklist of skills required to manage and coordinate a strategy 91
4.7 Capacity requirements for an effective NSDS 92
 L I S T O F F I G U R E S , TA B L E S A N D B OX E S PAGE XIX

4.8 Unimplemented state environmental action plans in Nigeria: a failure of undefined roles 97
4.9 The role and functions of NGOs 101
4.10 The development of El Salvador’s National Sustainable Development Strategy: a diversity of contributing mechanisms 103
4.11 Building on what exists: links between poverty reduction strategies and other strategic planning processes 106
4.12 Initiating bottom-up strategy approaches in Pakistan: complementing provincial and district strategies 107
4.13 Departmental strategies for sustainable development, Canada 109
4.14 Sarhad Provincial Conservation Strategy: coordination through ‘Focal Points’ 110
4.15 Linking strategies to budget processes 111
5.1 Poverty of environmental information in Southern Africa 116
5.2 Future of the Environment Survey Office – providing analysis for The Netherlands’ Environmental Policy Plan 118
5.3 Signals that an issue might be a priority for analysis and action 119
5.4 Basic steps in stakeholder analysis 124
5.5 Policy communities in Pakistan 128
5.6 ‘Who counts most?’ The tricky issue of stakeholder priority 132
5.7 What is an indicator? 136
5.8 The quest for a single indicator of sustainable development 138
5.9 Examples of sustainable development indicator initiatives 140
5.10 The use of GIS in achieving Regional Forest Agreements, Australia 142
5.11 Ecological footprints: some examples 143
5.12 The Human Development Index 146
5.13 Some principles for strategic environmental assessment 152
5.14 Strategic environmental analysis (SEAn): the AidEnvironment approach. The main step. 152
5.15 Lessons from strategic environmental analysis (SEAn) in Benin and Nicaragua 153
5.16 Agenda 21 as a basis for analysis 158
5.17 Selecting indicators 159
5.18 SWOT analysis (strengths, weaknesses, opportunities and threats) 168
5.19 Futurology: experience from India 172
5.20 Global scenarios 174
5.21 European scenarios 175
5.22 South African scenarios 176
6.1 Participation traditions in Central and South America 178
6.2 Participation – a loaded term 179
6.3 Some perceptions of participation in the Bangladesh Flood Action Plan and in rural planning in Tanzania 179
6.4 Community-based Turtle Conservation Programme, Trinidad 183
6.5 Structures for ‘horizontal’ and ‘vertical’ participation 185
6.6 Why existing strategies continue to be mainly top-down 188
6.7 The political dimensions of participation 190
6.8 Agenda 21 on participation 192
6.9 The benefits of participation in strategies 194
6.10 The costs of participation 195
6.11 Key constraints to participation: the experience of Joint Forest Management, India 196
6.12 Checklist for partner selection in Local Agenda 21s 200
6.13 Transparency in the selection of stakeholder representatives 200
6.14 The Popular Participation Law, Bolivia 203
6.15 Enshrining participation in legislation: principles of the Eastern Caribbean Environmental Charter 205
6.16 Sectoral collaboration for environmental management in Trinidad and Tobago 207
 PAGE XX L I S T O F F I G U R E S , TA B L E S A N D B OX E S

6.17 Principles of participatory learning and action 208

6.18 RRA and PRA compared 210
6.19 Some examples of participatory rural planning 212
6.20 Planning for Real: neighbourhood planning in urban Britain 212
6.21 Decentralized planning systems 214
6.22 Partnerships – a loaded term 214
6.23 Principles of multi-stakeholder processes 215
6.24 The multi-stakeholder approach of Canada’s Projet de société 216
6.25 Involving the public and Maoris in developing New Zealand’s Resource Management Act 218
6.26 Search conferences and nature tourism strategies in the Windward Islands 218
6.27 National Economic Development and Labour Council, South Africa – an example of a public sector-led partnership initiative 219
6.28 The dynamics of group work 220
6.29 Facilitation skills 221
6.30 Illustrative ground rules for group working 222
6.31 Example timetable for a cross-sectoral workshop 224
6.32 Market research clinches participatory forest policy, Grenada 225
7.1 The Aarhus Convention 228
7.2 The Access Initiative 229
7.3 Principles of effective communication 230
7.4 Sustainable development – a communications challenge 231
7.5 How can sustainable development be communicated successfully? 232
7.6 Communication strategy for the Pakistan National Conservation Strategy 232
7.7 Educating for sustainable development 233
7.8 Key questions for developing an information, education and communications plan 234
7.9 Sustainable development and desertification: a public awareness campaign in Burkina Faso 237
7.10 Outline of the prospectus for the Canadian Projet de société 239
7.11 Support services for journalists and NGOs, Sarhad Provincial Conservation Strategy, Pakistan 240
7.12 Ground rules for meetings 243
7.13 Some existing networks in Bolivia 244
7.14 Benefits and problems of networks 245
7.15 Some examples of strategy practitioner networks 246
7.16 Some examples of strategy websites 248
7.17 The website of the National Assembly for Wales 249
7.18 Some benefits and limitations of electronic communication 250
7.19 The internet for communication, awareness raising and problem solving: UNDP’s Sustainable Development
Networking Programme. Examples from Pakistan and China 252
8.1 Flaws in the conventional route of strategy decision-making 260
8.2 The emerging universal normative framework 263
8.3 What some Southern African constitutions say about the environment 266
8.4 The decision-making framework of the World Commission on Dams 267
8.5 Risk-based priority setting 268
8.6 Diverse mandates, structures and composition of National Councils for Sustainable Development (NCSDs) 271
8.7 Best practice decisions in NCSDs 273
8.8 Workshops as a means to find decisions, not pre-determine them 274
8.9 Consensus – a loaded term 275
8.10 100 per cent consensus or less – which is better? 276
 L I S T O F F I G U R E S , TA B L E S A N D B OX E S PAGE XXI

8.11 Experience of multi-stakeholder mechanisms to build consensus in Canada 277

8.12 Target setting in The Netherlands 278
8.13 Rights- and risk-based negotiation process for decision-making on dams 279
8.14 Conflict resolution and mediation in a river basin strategy, USA 281
8.15 Promoting policy coherence in the United Kingdom 283
9.1 Financing the Pakistan National Conservation Strategy 291
9.2 Assessing the impact of new environmental regulations 291
9.3 Examples of debt swaps 296
9.4 PROFONANPE – Peru’s Conservation Trust Fund 297
9.5 The Funds of the Americas 298
9.6 Integrating sustainable development objectives into the tax system – Belgium 300
9.7 Market mechanisms for meeting sustainable development objectives 301
9.8 Financial mechanisms for environmental objectives at the local level: the ICMS Ecologico 302
9.9 Types of institution involved in private sector investment decisions in developing countries 304
9.10 UNEP Financial Institutions Initiative 307
9.11 Sustainability ratings for companies 308
9.12 Examples of sustainable investment initiatives in developing countries 308
10.1 A strategy without regular monitoring and evaluation – Pakistan 310
10.2 The Bellagio principles for assessing progress towards sustainable development 312
10.3 The use of Commissions to hold government to account – Ghana and Canada 313
10.4 Development agency performance in supporting strategy processes: 20 questions 314
10.5 The process to review Pakistan’s National Conservation Strategy 315
10.6 Guidelines for participatory monitoring and evaluation 316
10.7 Community-based monitoring and indicator development 319
10.8 State of the environment reporting 320
10.9 Internal audits for implementing Local Agenda 21 323
10.10 The value of ‘quick and dirty’ monitoring 323
10.11 Annual Sustainability Day: Hamilton-Wentworth, Canada 324
 Preface

In 1992, Agenda 21 called for all countries to develop national sustainable development strategies (NSDSs). These are intended to
translate the ideas and commitments of the Earth Summit into concrete policies and actions. Agenda 21 recognized that key decisions
are needed at the national level, and should be made by stakeholders together. It believed that the huge agenda inherent in sustainable
development needed an orderly approach – a ‘strategy’. But Agenda 21 stopped short of defining such a strategy, or even of guidance on
how to go about it.
The United Nations (UN) held a Special Session to review progress five years after the Earth Summit. Delegates were concerned
about continued environmental deterioration, and social and economic marginalization. There have been success stories, but they are
fragmented, or they have caused other problems. Sustainable development as a mainstream process of societal transformation still
seems elusive. Strategic policy and institutional changes are still required.
The Rio+5 assessment led governments to set a target of 2002 for introducing NSDSs. The Development Assistance Committee
(DAC) of the OECD, in its 1996 Shaping the 21st Century publication, called for the formulation and implementation of an NSDS in every
country by 2005 (as one of seven International Development Targets). It also committed DAC members to support developing
countries’ NSDSs. But, again, no attempt was made to set out what a strategy would include or involve – in spite of growing
experience with a number of international and local strategic models. ‘How would I know one if I saw one?’ one minister asked.
During 1999-2001, members of the OECD/DAC Working Party on Development Cooperation and Environment worked in
partnership with eight developing countries to assess experience of country-level sustainable development strategies: Bolivia, Burkina
Faso, Ghana, Namibia, Nepal, Pakistan, Tanzania and Thailand. Through dialogues involving stakeholders from government, the private
sector and civil society, past and existing strategic planning experiences were analysed, key issues and challenges identified, and
principles for best practice developed. An iterative process involving in-country discussions and three international workshops in
Tanzania, Thailand and Bolivia, led to consensus on the final text of the Policy Guidance (Strategies for Sustainable Development: Guidance
for Development Cooperation (OECD DAC 2001a)). This Resource Book is the companion to the Policy Guidance. Both publications draw
from international experience of many strategic approaches to sustainable development over the past two decades.
The Policy Guidance sets out best practice in developing and operating strategic processes for sustainable development, and on how
development cooperation agencies can best assist developing countries in such processes, and includes a set of principles which underpin
the development of effective strategies in many developing countries (Chapter 3, Box 3.1).
In November 2001, a UN International Forum on National Strategies for Sustainable Development (held in preparation for the
2002 World Summit on Sustainable Development, WSSD) agreed guidance on NSDSs which confirms almost identical ‘elements’ of
successful strategies (Box 3.2) for both developed and developing countries alike.
This resource book provides in-depth information on processes and methodologies. It was prepared by the International Institute
for Environment and Development (IIED), working in collaboration with members of the partner country teams (see above) and a
number of other organizations and individuals. It will be of value to a wide range of organizations, institutions and individuals in both
developed and developing countries aiming to bring about sustainable development.
 Acronyms and Abbreviations

AIDS auto immune deficiency syndrome

AKRSP Aga Khan Rural Support Programme
CAMPFIRE Communal Areas Management Plan for Indigenous Resources, Zimbabwe
CBO community-based organization
CBD Convention on Biological Diversity
CDS city development strategy
CSD Commission for Sustainable Development
CDF comprehensive development framework
CILS Permanent Committee for Drought Control in the Sahel
DA district assembly
DAC Development Assistance Committee (of OECD)
DANIDA Danish International Development Agency
DEAP district environmental action plan
DFID Department for International Development (UK)
EC European Commission
EIA environmental impact assessment
FAP Flood Action Plan, Bangladesh
GDP gross domestic product
GEF Global Environmental Facility
GNP gross national product
GTZ German Agency for Technical Cooperation
HDR human development report
HIMA Hifadhi Mazingira (Swahili, meaning ‘conserve the environment’)
HIPC highly indebted poor country
HIV human immuno-deficiency virus
ICLEI International Council for Local Environmental Initiatives
IDA International Development Agency
IDG international development goal
IDT international development target
IEC information, education and communication
IFC International Finance Corporation
IIED International Institute for Environment and Development
IPF Inter-Governmental Panel on Forests
IMF International Monetary Fund
IPCC Inter-Governmental Panel on Climate Change
IT information technology
IUCN World Conservation Union
LA21 Local Agenda 21
LCA life cycle assessment
LGO local government organization
 PAGE XXIV AC R O N Y M S A N D A B B R E V I AT I O N S

MEA multilateral environmental agreement

millennium ecosystem assessment
MDG millennium development goal
MoEF Ministry of Environment and Forests, India
MSP multi-stakeholder process
MTEF medium term expenditure framework
NAP national action programme
NBSAP national biodiversity strategy and action plan
NCS national conservation strategy
NCSD National Council for Sustainable Development
NEAP national environmental action plan
NEDLAC National Economic Development and Labour Council, South Africa
NEPP National Environmental Policy Plan, The Netherlands
NFAP national forestry action plan
NFP national forest programme
NGO non-governmental organization
NPACD national plan of action to control desertification
NRTEE National Round Table on the Economy and the Environment, Canada
NSDS national sustainable development strategy
ODA official development assistance
OECD Organisation for Economic Co-operation and Development, Paris
PRS(P) poverty reduction strategy (paper)
4Rs rights, responsibilities, returns/revenues and relationships
RAP regional action programme
REC Regional Environment Centre, Budapest
RMA Resource Management Act, New Zealand
SADC Southern Africa Development Community
SD sustainable development
SEA strategic environmental assessment
SIA social impact assessment
SL sustainable livelihoods
SLF sustainable livelihoods framework
SWOT strengths, weaknesses, opportunities and threats
TFAP tropical forestry action plan
UNCED United Nations Conference on Environment and Development (1992)
UNDESA United Nations Department of Environmental and Social Affairs
UNDP United Nations Development Programme
UNEP United Nations Environment Programme
UNFCC United Nations Framework Convention on Climate Change
UNSO UNDP Office to Combat Desertification and Drought (formerly UN Sahelian Office)
WBCSD World Business Council for Sustainable Development
WCED World Commission on Environment and Development
WWF World Wide Fund For Nature
WRI World Resources Institute
WSSD World Summit on Sustainable Development
WTO World Trade Organization
CHAPTER

1 About the Resource Book

Aims
This resource book provides guidance on how to develop, implement and assess national sustainable This guidance is
development strategies (NSDSs). It is based on an analysis of past and current practice, in both developed based on experience
and developing countries, to undertake comprehensive approaches to sustainable development. In particular, of past and current
it builds on dialogues and learning in the eight countries directly involved in a project on NSDSs practice in the
undertaken by the Development Assistance Committee (DAC) of the Organisation for Economic Co- North and South …
operation and Development (OECD) (Box 1.1), as well as on the work of a wide range of organizations,
such as the Capacity 21 initiative of the United Nations Development Programme (UNDP), the UN
Department of Economic and Social Affairs (DESA), the World Bank, World Conservation Union (IUCN),
International Institute for Environment and Development (IIED) and many other groups (see the extensive
References chapter at the end of the book and sources of further information at www.nssd.net).
There is a particular focus on tried, tested and practicable approaches that have been used successfully … emphasizing tried
in strategic planning processes. As such, the book’s basis is ‘real world’ conditions rather than presenting and tested
approaches that could only be realized in an idealized or dream world. But it is well recognized that many approaches
previous approaches to strategies have failed – and even the successful ones have not worked well in all
areas. We can learn from this: strategies need to experiment, wherever possible, with new ways of working;
experience is evolving rapidly; and new methods for some strategy elements are being developed or tested.
For instance, methods of participation, policy and scenario analysis and methods of monitoring and

Box 1.1 The OECD DAC donor-developing countries dialogues project

During 1999–2001, members of the Working Party on Development Cooperation and Environment of the OECD DAC
worked in partnership with eight developing countries to assess experience of country-level strategies for sustainable
development. In Bolivia, Burkina Faso, Ghana, Namibia, Nepal, Pakistan, Tanzania and Thailand dialogues were held
involving stakeholders from government, the private sector and civil society, past and existing strategic planning
experiences were analysed, key issues and challenges identified, and principles for best practice developed. An
iterative process involving in-country discussions and three international workshops led to consensus on the final text
of Policy Guidance on strategies for sustainable development, endorsed by aid ministers at the DAC in April 2001
Source: OECD DAC (2001a)
 PAGE 2 S U S TA I N A B L E D E V E L O P M E N T S T R AT E G I E S

evaluation, which have been used successfully in other contexts, seem to hold promise for strategies as well.
Innovative and cutting-edge approaches and methodologies that have potential are also included, although
examples of their successful use may not yet be available. In practice, in many countries, unsettled political
and social circumstances, difficult economic conditions and/or limited skills and capacity will determine
what is actually practicable.
Each country will Each country’s approach to developing its NSDS will be very different. In many countries it is likely to
need to adopt an require the coordination of a suite of different processes, some existing and others new. Other countries
approach tailored to may choose to prepare a single umbrella strategy. Whatever its format, a strategy will need to suit the
its own needs nation’s individual set of ecological, socio-cultural, economic and institutional conditions. Any form of
straitjacket is inappropriate, especially if imposed by external agencies. Governments should work in
partnership with civil society and the private sector to establish the right system.

A wide range of Target audience

people and
This resource book is intended for a wide range of organizations and individuals in both developed and
organizations
developing countries concerned with sustainable development at national, sub-national or local levels.
involved in
These are likely to include the stakeholders in making strategy decisions – for example, people in
sustainable
government, NGOs, citizens’ and community-based groups, educational institutions and business – as well
development will find
as external individuals in development cooperation agencies, multilateral development banks, international
this book relevant to
organizations and multinational companies.
their work
Layout
A non-prescriptive A flexible approach has been taken to the material in the resource book. It is intended to be informative and
approach is followed not prescriptive. It sets out principles and ideas on process and methods, and suggests how these can be
– with principles and used. Each chapter has been written so that it can be read, as far as possible, as a stand-alone section and
ideas on processes used independently of others. This is a response to many requests for briefing notes and ‘how to’ guides on
and methods, and particular issues and methodologies. However, there is also considerable cross-referencing throughout the
guidance on the main book to related materials in other chapters.
tasks This resource book contains a wealth of information and ideas in an extensive volume. No summary is
provided since, to be effective, this would have required another substantial section of text. Instead,
throughout the book, there are ‘summary’ comments in the margin. They aim to signal the essence of the
The ‘road map’ figure text and enable the busy user to navigate quickly through chapters and sections, and find particular issues
shows the or discussions, which may be of interest and use. The ‘road map’ in Figure 1.1 shows how the different
relationships between chapters relate to each other.
chapters Following this Introduction, Chapter 2 offers background on the rationale for strategies for sustainable
development. It discusses the nature and challenges of sustainable development and the need for strategic
responses to them, amplifying much of the OECD DAC policy guidance on NSDSs – and is aimed at those
making policy decisions on them.
The rest of the resource book covers the practice of NSDSs. It offers guidance on the main tasks in
strategy processes, with individual chapters dealing with:

I the nature of sustainable development strategies and current practices (Chapter 3);
I key steps in starting, managing and improving sustainable development strategies (Chapter 4);
I methods of analysis (Chapter 5);
I participation in strategies (Chapter 6);
 ABOUT THE RESOURCE BOOK PAGE 3

2 What is sustainable development (SD)?

I Why are strategies required?

What is the international policy

3 What do NSDSs achieve? background to NSDS?
I What are the purpose and characteristics of NSDSs? Refer to the OECD DAC Policy
I What past and current approaches can we learn from? Guidance 2001 and the UN
Guidelines 2002
Policy

4 How can we start an NSDS or improve one?

I How to bring together the institutional and political capital?
I How to pull the skills and financial resources together?
I How to design the system?
I How to integrate the strategy with other initiatives?
I What are the basic steps?
For elaboration of steps and component mechanisms, see 5–10
System

5 How to generate the knowledge

needed for an NSDS? 6How to get the right 9 How to get a secure financial
I How to prioritize? – and other people involved? basis?
principles for analysis I Why is participation 7
How to ensure good I How to raise finance for the
I What kinds of methods are available? needed? communications? strategy process?
I How to plan for the right I What system is needed?
I How to do stakeholder analysis? I How to create financial
type/degree? I What methods work best? incentives for SD?
I How to do sustainability analysis?
I What methods are I How to mainstream SD into
I How to analyse SD mechanisms? effective? financial decisions?
I How to do scenario analysis?

Techniques
Decisions

10 How to keep knowledge up to date through 8 How to make decisions about strategy
monitoring and evaluation? objectives, plans and instruments? I need more information!
I What are the elements required? What sources were used in
I What is the typical scale of strategy decisions?
I How to monitor the strategy process? preparing this Resource Book?
I What principles and frameworks can help?
I How to monitor results of the strategy? (see References and www.nssd.net)
I What methods can help?
I How to ensure that monitoring info is actually I How to select instruments for implementation?
assessed?

Figure 1.1 User’s road map to the Resource Book chapters

I communications, information and education (Chapter 7);

I strategy decision-making and linkages (Chapter 8);
I the financial basis for strategies (Chapter 9);
I monitoring and evaluation systems (Chapter 10).

Chapters 3–10 are aimed at anyone engaged in planning, managing or reviewing a strategy process. For ease
of presentation, they assume a logical sequence of steps, which might be followed if commencing a strategy
process from an absolute beginning. In practice, very few, if any, strategies will need to start from scratch
but should build on existing strategic planning processes and stages they have reached.
Finally, an extensive list of references is provided. Other sources of materials, as well as useful contacts
with addresses and websites, are provided on the strategies website (www.nssd.net) and will be of use to
those involved in NSDSs on a day-to-day basis as well as academics and researchers wishing to explore
NSDSs further.
 PAGE 4 S U S TA I N A B L E D E V E L O P M E N T S T R AT E G I E S

How to use this resource book

The resource book is The resource book offers material to inspire and assess specific local and national approaches. It is not a
not a rigid manual – complete ‘construction’ manual. Nevertheless, it is recommended that users explore each chapter in
use it flexibly to suit sequence if they have not been involved in developing a strategy before, are in the early stages of preparing
your particular needs a new strategy or are considering revising an existing strategy to cover a more ambitious remit. Other users
may find it more helpful to concentrate on chapters of particular interest or on particular elements of the
strategy process, to consider their relevance and utility and the implications for their own conditions and
available resources, and then to design an approach suitable for the purposes at hand.
CHAPTER

2 Sustainable Development and the Need

for Strategic Responses1

The opportunity for a strategic approach to national development

There has been unprecedented progress in development over the past 30 years. Life expectancy in Much progress on
developing countries has risen by more than 20 years, infant mortality rates have been halved and primary many development
school enrolment rates have doubled. Food production and consumption have increased around 20 per cent fronts …
faster than population growth. Improvements in income levels, health and educational attainment have
sometimes closed the gap with industrialized countries. Advances have been made in the spread of
democratic, participatory governance, and there have been forward leaps in technology and
communications. New means of communication support opportunities for mutual learning about national
development processes and for joint action over global challenges.
Notwithstanding this remarkable progress, there are also pressing constraints on development, and … is compromised by
entrenched negative trends. These include: economic disparity and poverty; the impact of diseases such as entrenched poverty
HIV-AIDS and malaria; over-consumption of resources in the industrialized countries, contributing to and environmental
climate change; and environmental deterioration and pollution of many kinds, including the impacts of degradation, and
intensive farming, depletion of natural resources and loss of forests, other habitats and biodiversity. The other challenges
trends, and important international responses to them, are discussed in more detail later in the chapter.
Negative trends – and the complex, dynamic and, therefore, difficult-to-grasp interactions between
them – represent a vast range of challenges to efforts at national development in all countries, whatever
their current level of economic development. Nations have agreed, through processes such as the 1992 Earth
Summit, that development should be sustainable. This means, in a straightforward definition, that nations
are able to achieve positive economic and social development, without excess environmental degradation, in
a way that both protects the rights and opportunities of coming generations and contributes to compatible
approaches elsewhere.

1 This chapter has benefited from review comments and additional material provided by Professor Michael Carley, Herriott
Watt University, Edinburgh
 References

Abbot, J and Guijt, I (1998) Changing Views on Change: Participatory Approaches to Monitoring and
Evaluation, SARK Discussion Paper No 2, International Institute for Environment and
Development, London
Aden, J (2001) Indonesia’s Natural Resources Under Siege: Environmental Impacts of the Economic
Crisis and Decentralisation, paper presented to the United States – Indonesia Society, 20 July,
Washington, DC
Adnan, S, Barrett, A, Nurul Alam, S M and Brustinov, A (1992) People’s Participation, NGOs and
the Flood Action Plan. Research and Advisory Services, Dhaka, Bangladesh
Adriaanse, A, Bringezu, S, Hammond, A, Moriguchi, Y, Rodenburg, E, Rogich, D and Schütz, H
(1997) Resource Flows: The Material Basis of Industrial Economies, World Resources Institute,
Washington, DC
Agarwal, A, Narain, S and Sharma, A (1999) Green Politics, Centre for Science and Environment,
New Delhi
AIDEnvironment (1997) Strategic Environmental Analysis: A New Planning Framework for
Sustainable Development, AIDEnvironment, Amsterdam
Anderson, R and Deutsch, C (eds) (2001) ‘Sustainable Development and the Environment in
East Timor’, Proceedings of the Conference on Sustainable Development in East Timor, 25-31
January 2001, Timor Aid, Dili, East Timor
Andersson, V (1999) Popular Participation in Bolivia: Does the Law ‘Participación Popular’ Secure
Participation of the Rural Bolivian Population? CDR Working Paper 99/6, Centre for
Development Research, Copenhagen
Baburoglu, O N and Garr, M A (1992) ‘Search Conference Methodology for Practitioners’ in
M.R.Weisford (ed) Discovering Common Ground, Berrett-Koehler, San Francisco, 73-81
Backhaus, C and Wagachi, R (1995) Only Playing with Beans? Participatory Approaches in Large-
Scale Government Programmes, PLA Notes No 24, Sustainable Agriculture Programme,
International Institute for Environment and Development, London
Baldock, D (1999) ‘Developing and Using Agri-environmental Indicators for Policy Purposes:
OECD Country Experiences’ in OECD Environmental Indicators for Agriculture, vol 2, Issues
and Design, OECD, Paris
Banuri, T and Holmberg, J (1992) Governance for Sustainable Development: a Southern Perspective,
IIED, London
Banuri, T and Khan, S R (2000) Environmental Strategy Background Report, Sustainable
Development Policy Research Institute, for Ministry of Environment, Local Government
and Rural Development, Islamabad, Pakistan and World Bank, Washington, DC
Barbier, E B (1987) ‘The Concept of Sustainable Economic Development’, Environmental
Conservation, vol 14, no 2, pp101–110
Barnard, G (1995) Cross-cultural Communication. A Practical Guide, Cassell, London
Bass, S (2000) Participation in the Caribbean: A review of Grenada’s forest policy process, Policy that
Works for Forests and People Series, no 10, IIED, London
Bass, S (2001) Certification in the Forest Political Landscape. Keynote paper for the International
Conference on the Social and Political Dimensions of Forest Certification, University of
Freiberg, 20–22 June 2001