HSP/GC/20/INF/10
/ UNITEDNATIONS /HSP
HSP/GC/20/INF/10UN-Habitat
/Governing Council
of the United Nations Human
Settlements Programme
/ Distr. General2 April 2005
Original: English
Twentieth session
Nairobi, 4–8 April 2005
Item 4 of the provisional agenda[*]
Activities of the United Nations Human Settlements Programme
(UN-Habitat): progress report of the Executive Director
Questions and answers on selected issues raised by the Committee of Permanent Representatives to the United Nations Human Settlements Programme during its preparations for the twentieth session of the GoverningCouncil
Note by the secretariat
The secretariat is pleased to circulate, in the annex to the present note, a document detailing questions and answers on selected issues raised by the Committee of Permanent Representatives to the United Nations Human Settlements Programme during its preparations for the twentieth session of the Governing Council. The document has been reproduced as submitted, without formal editing.
Annex
Table of Contents
- Q&A on Programme Focus of UN-HABITAT (draft Resolution L.1)…………3
- Q&A on Foundation Budget of UN-HABITAT (draft Resolution L.1)………..6
- Q&A on Natural and Man-made Disasters (draft Resolution L.2)…………17
- Q&A on Millennium Declaration Goal and the Slum Target ………………….19
(draft Resolution L.8)
- Q&A on Gender and Youth Activities at UN-HABITAT …………………….25
(draft Resolution L.9)
- Q&A on Commission for Sustainable Development …………………………..28
(draft Resolution L.10)
- Q&A on Habitat Programme Managers ……………………………………….30
(draft Resolution L.12)
List of Annexes
1.Analysis of Impact of Limitation on Budget Reallocation……………………...8
2. Status of Contributions to UN-HABITAT, 2004………………………………9
3. Top 10 Donors to UN-HABITAT, 2000-2004……………………………...10
4. Tentative Indicative Scale of Contributions……………………………...12
5. Dynamics of Urban Slum Problem, 1800-2050 ……………………………...22
6. Slum Populations under Current and Modified MDG Target…………………..23
7. Slum Population of the World, 2000-2020……………………………..24
8. GA Resolutions on Patterns of Conferences……………(attached independently)
9. List and Outputs of Habitat Programme Managers……………………………...33
Q&A: PROGRAMME FOCUS OF UN-HABITAT
(draft resolution L.1)
Q1: Is UN-HABITAT well-focused in its activities or is it undertaking too many activities without prioritizing?
As a United Nations programme, the role of UN-HABITAT is to promote sustainable urbanization and the reduction of urban poverty. Its mandate derives from the outcome of relevant international conferences, in particular the Habitat Agenda, the Millennium Declaration, the Declaration on Cities and other Human Settlements, the Johannesburg WSSD Summit, and from the specific mandates given to the programme by various GA and GC resolutions.
The agency deals with a multi-sectoral/multi-faceted problems area requiring a multi-pronged approach if it is to be effective. Prioritization in such a situation requires focusing on a package of key interventions simultaneously. These areas of focus have been articulated in UN-HABITAT’s strategic vision. They are: (i) urban governance; (ii) slum upgrading; (iii) urban water and sanitation; and (iv) disaster management. These involve activities at different levels (global, regional, national and local). They also involve different functions (normative, operational, knowledge/capacity-building, monitoring, advocacy, and partnership-building). Different topical areas such as shelter, land, infrastructure, urban management, environment, are then addressed. UN-HABITAT’s strength is to combine actions at various levels (e.g., global and national) and to create synergies between various functions (e.g. normative and operational).
The details of the package of interventions and their relative prioritization are clearly elucidated in the work programme. Availability of resources finally determines the actual delivery of priorities. Earmarking of resources by donors remains a constraint in terms of delivering strategic interventions according to priority, but progress is being made through multi-year framework funding agreements by a number of key donors.
Despite the above, the agency does not undertake any activity outside the agreed work programme and does not consider itself completely supply-driven without direction.
Q2: Does the organizational structure of UN-HABITAT reflect these priorities?
The organizational structure of UN-HABITAT reflects the structure of the Work-Programme which is organized in four functional sub-programmes. The topical priorities are reflected specifically in the four expected accomplishments of sub-programme 1 which constitutes the global policy component of the Work-Programme, implemented by the Global Division on shelter and sustainable human settlements development. The other sub-programmes address the same topical areas but from different functional perspectives (research and monitoring in sub-programme 2, technical cooperation in sub-programme 3, financing human settlements in sub-programme 4).
Q3:On the first area of focus, urban governance, what are the relations between the Global Campaigns and the various programmes and projects?
The Global Campaigns on Secure Tenure and Urban Governance are essentially advocacy instruments and coordinating frameworks for all activities of UN-HABITAT which address the management and sustainable development of cities and towns. The Campaigns produce a set of normative principles which should guide policy makers, city managers and all urban programmes of UN-HABITAT. These programmes focus generally on important aspects of urban development such as environmental protection (Sustainable Cities, LA 21), security and safety (Safer Cities), decentralization and subsidiarity (AGRED-GOLD), rural-urban linkages or municipal finance. Country projects implemented by UN-HABITAT Regional Offices build capacities on the same issues, applying the normative principles and tools developed by the Global Campaigns, for instance, the systematic use of city consultations with all stakeholders. Local authorities are the most important partners of UN-HABITAT in this area, at both global and local levels.
Q4:The second area of focus, slum upgrading, overlaps with urban governance and water and sanitation. Why does it appear as a separate priority?
In the early 1990s, the shelter activities of UN-HABITAT were devoted to the promotion of adequate shelter for all through enabling shelter strategies. After the Habitat II conference (1996), a new strategic vision was adopted for UN-HABITAT to better cope with the realities of rapid urbanization and urban poverty. The vision is much more concentrated on the needs of the urban poor, i.e., on ensuring security of tenure and improving the lives of slum-dwellers under an environment of participatory governance. The Global Campaign on Secure Tenure was launched in 1999 as an advocacy instrument, followed by the adoption of the slum upgrading target of the Millennium Declaration in September 2000 in response to the “Cities without Slums” Action Plan designed by UN-HABITAT and the World Bank as the first activity of the Cities Alliance. This political commitment by heads of State and Governments encouraged UN-HABITAT to adopt slum upgrading as its top priority and to take the lead in the implementation and monitoring of target 11 of the MDGs, as soon as the Centre was elevated to Programme status in December 2001.
Upgrading slums on a large-scale requires good urban governance, which engenders partnerships with CBOs and NGOs, to create an enabling environment for pro-poor investments in housing and infrastructure. The target requires that central and local governments consider the needs of the urban poor as a specific priority, requiring specific efforts. This is why slum upgrading appears as a separate and visible priority – associated with the Global Campaign for Secure Tenure – in the Work-Programme of UN-HABITAT. This is the only priority addressed by the four sub-programmes (upgrading policies in SP1, monitory target 11 and flagship reports in SP2, upgrading projects in SP3 and financing slum upgrading in SP4).
Q5: The third area of focus, water and sanitation, is not specific to UN-HABITAT? Does UN-HABITAT have the mandate to work on this topic?
Yes it does. The mandate of UN-HABITAT on water is well defined in GC resolution 19/6.
Many United Nations agencies are working on water and sanitation and UN-HABITAT is the recognized agency within the UN system for urban water and sanitation. It is a member of the Millennium Task Force No. 7 on water and sanitation and contributed to the work of the task force through its global report on water and sanitation for cities.
At the request of the Administrative Committee for Coordination’s, Sub-committee on water resources (respectively now renamed Chief Executive Board and UN-Water after WSSD), the agency coordinated the observance of World Water Day in 1996. The global observance event was held in Beijing hosted by the People’s Republic of China and organized by the agency. UN-HABITAT has over 20 years experience working with Member States in the water and sanitation sector.
The mandate and expertise of UN-HABITAT being on cities and other human settlements, it has developed regional and local programmes on Water for Cities, contributing to the achievement of target 10 of the MDGs in urban areas. In this framework, UN-HABITAT is the main agency advising governments on the management of basic water and sanitation infrastructure and services at city-level, particularly on water demand management, and the development of related institutional capacities, and value-based water education. It is also launching major initiatives for water and sanitation in small and medium sized towns in Least Developed Countries (LDCs).
In view of the variety and complementarity of international organizations active in the field of water and sanitation, UN-HABITAT has established cooperation agreements with several United Nations programmes (such as UNEP), regional institutions (such as the Asian Development Bank) and bilateral agencies. It has also set up a Water and Sanitation Trust Fund to promote concrete actions in developing countries.
Q6:On disaster management, why does UN-HABITAT give more attention to physical reconstruction than to disaster mitigation?
An elaborate explanation of this issue is given in the Q&A of resolution L2 below.
Q7:UN-HABITAT also deals with cross-cutting issues. How are these issues linked to the topical priority areas?
Cross-cutting issues refer primarily to the needs, interests and contributions of specific social groups and partners, such as women and youth, AIDS orphans, the disabled, etc., in the area of human settlements and housing. To address these issues UN-HABITAT has developed a mainstreaming approach: a small unit at headquarters strategically located in the Research and Monitoring Division is responsible for introducing the concerns of the group in question into all relevant activities of the Programme. In some cases pilot projects complement this approach (e.g., women empowerment vis-à-vis gender mainstreaming) in order to generate new tested approaches to inform better policy formulation, programme design and scaling up.
Monitoring – through statistics, indicators and the documentation of best practices – is not a cross-cutting issue but a core function of UN-HABITAT, falling under the responsibilities of the Research and Monitoring Division. Training and Capacity-Building are also functional responsibilities, coordinated by a branch within the Global Division. It must be emphasized that the mandate of UN-HABITAT, as restated in GA res. 56/206 that upgraded it into a programme, is “to coordinate the implementation of the Habitat Agenda and to act as UN-system wide focal point for all human settlements activities.” This makes monitoring a key function and priority for the agency.
Q&A: Foundation Budget
(draft resolution L.1)
Q1.What would be the impact of restricting the Executive Director’s authority to re-allocate resources between sub-programmes?
The 10 percent restriction proposed on the basis of the UNEP approach is too restrictive and would severely curtail the Executive Director’s ability to re-allocate resources at short notice to where they are most needed to avoid disrupting the smooth implementation of the work programme. An analysis of the effect of the proposed resolution is shown in Annex 1.
The problem is the low base of core voluntary contributions amounting to about US$27.6 million per biennium for UN-HABITAT versus UNEP’s US$142 million. In practical terms, in order to make ends meet, as is often the case at UN-HABITAT, the Executive Director would need to convene CPR meetings to get approval to move resources across budget lines in line with priorities in programme implementation. For example, for the Regional Technical and Cooperation Division (RTCD), a 10% re-allocation is equivalent to US$161,000 or ½ post.
While harmonization with UNEP is desirable, it would be detrimental to adopt a harmonization policy piecemeal. Therefore, this measure would require that, like UNEP, UN-HABITAT also adopts a Voluntary Indicative Scale of Contributions in order to increase its donor base and improve the level and predictability of its core income. Presently, the agency depends on forecast income drawn from a handful of donors and most of it remains unpredictable. The ten top donors account for 94% of the total contributions in 2004. (See Annex II).
Q2.What are the differences between trust funds, earmarked contributions and facilities? Is there a proliferation of Trust Funds and the like at UN-HABITAT?
A Trust Fund is a stand-alone fund which can be identified separately in the financial statements of UN-HABITAT. Contributions can come from one donor or several donors and resources are normally pooled and separate reporting by individual donors is not normally done. The pooled funds are utilized for the objectives and purposes of the fund.
Earmarked contributions: These are not normally identified separately in the financial statements of UN-HABITAT. They tend to emanate from individual donors giving contributions for a specific activity. Reporting is done by individual donor as per the requirement of the agreement with the donors.
Facility: A facility is a special trust fund, usually of a revolving nature and would normally involve large sums of money, if funded. Funds would be earmarked for that facility and can be used to pre-finance certain activities, e.g., pre-feasibility studies, rapid response, seed capital, etc., and there is an expectation that the facility would be replenished from projects when they materialize or by donors on a regular basis.
UN-HABITAT has 2 Trust Funds at the end of 2004: the Water and Sanitation Trust Fund, and the Palestinian Trust Fund. There is also the Slum Upgrading Facility (SUF) and the Recovery Facility.
As to whether there is proliferation of trust funds at UN-HABITAT,a comparison with other agencies, given below, speaks for itself, and might explain the inability of the agency to mobilize adequate funds to effectively deliver its mandate so far. This is supported by the relatively better mobilization of resources for the 2 Trust Funds and the Slum Upgrading Facility established by UN-HABITAT compared to its other fund raising efforts. The establishment of the Recovery facility, and other key trust funds, such as the regional and technical cooperation trust funds is being proposed from this positive experience. There is no risk for the agency to have several trust funds.
Comparison with other Agencies:
AGENCY / No. ofTrust Funds
UNDP / 620
UNEP / 102
UNFPA / 68
The Executive Director has delegated authority from the UN Controller to establish Trust Funds in situations where they would facilitate mobilization of resources. This authority is exercised with great caution.
Q3.Why are there so many vacancies at UN-HABITAT yet to be filled? Why has the Deputy
Executive Director not yet been appointed?
The staffing table in the budget with 144 posts was approved in its entirety by the Governing Council at its 18th session, in the context of the revitalization of UN-HABITAT. The Executive Director was requested to mobilize financial resources for its full realization. In order to avoid past financial difficulties, whereby there was a mismatch between recruited staff and predictable financial resources to pay their salaries over time, it was decided to take a cautious approach in filling the established posts. Posts are being filled slowly but surely, in line with increases in predictable medium and long-term core income. Progress in resource mobilization has been made (see Annex III) paving the way to fill most of the vacancies during the 2006/2007 biennium. Note that no new posts have been requested under the Foundation budget.
As regards the appointment of the Deputy Executive Director (DED), this matter is under consideration by the Secretary-General. He has already instructed the Executive Director to identify suitable candidates for his consideration. Member states with suitable candidates are invited to assist in this process. The duties and responsibilities of the DED are narrated in the STB establishing UN-HABITAT and define the profile of the candidate. As the key administrator of the Foundation the candidate must have, among other qualities, a strong background in finance and proven fund-raising abilities and confidence of donors.
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HSP/GC/20/INF/10
ANNEX I
ANALYSIS OF THE EFFECT OF THE PROPOSED RESOLUTION TO LIMIT THE REALLOCATION OF RESOURCES
BETWEEN SUB-PROGRAMMES
(in thousands of US$)
UNEP (Environment Fund) / UN-HABITAT (United Nations Habitat and Human Settlements Foundation)Programme / 20% Proportion / Programme / 20% Proportion / 10% Proportion
Environment assessment and early warning / 23,950 / 4,790 / Shelter and Sustainable Human Settlements development / 9,274 / 1,855 / 927
Policy development and law / 17,751 / 3,550 / Monitoring the Habitat Agenda / 8,632 / 1,726 / 863
Policy implementation / 11,070 / 2,214 / Regional and Technical Cooperation / 1,609 / 322 / 161
Technology, industry and economics / 25,954 / 5,191 / Financing Human Settlements / 3,651 / 730 / 365
Regional cooperation and representation / 24,525 / 4,905
Environmental conventions / 8,625 / 1,725
Communications and public information / 8,125 / 1,625
Total programme of work / 120,000 / 24,000 / Total programme of work / 23,165 / 4,633 / 2,317
Fund programme reserve / 6,000 / 1,200
Support Budget / 16,000 / 3,200 / Support Budget / 4,436 / 887 / 444
Grand Total / 142,000 / 28,400 / Grand Total / 27,601 / 5,520 / 2,760
UN-HABITAT (United Nations Habitat and Human Settlements Foundation) / UN-HABITAT (United Nations Habitat and Human Settlements Foundation)
Programme / 40% Proportion / Programme / 50% Proportion
Shelter and Sustainable Human Settlements Development / 9,274 / 3,710 / Shelter and Sustainable Human Settlements Development / 9,274 / 4,637
Monitoring the Habitat Agenda / 8,632 / 3,453 / Monitoring the Habitat Agenda / 8,632 / 4,316
Regional and Technical Cooperation / 1,609 / 643 / Regional and Technical Cooperation / 1,609 / 804
Financing Human Settlements / 3,651 / 1,460 / Financing Human Settlements / 3,651 / 1,825
Total programme of work / 23,165 / 9,266 / Total programme of work / 23,165 / 11,583
Support Budget / 4,436 / 1,774 / Support Budget / 4,436 / 2,218
Grand Total / 27,601 / 11,040 / Grand Total / 27,601 / 13,801
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