DRAFT report, submitted for comments More Urban, Less Poor, More Liveable: How to Integrate Environment into City Planning Executive Summary The central issue addressed by this publication is how to strengthen the environmental dimension in the strategic planning of cities in the developing world be it for City Development Strategies or City-Wide Slum Upgrading financed by CA or others. To that end, a literature review was undertaken of ways in which the environment is integrated into urban planning and case studies were prepared of cities that have achieved some success in this field. A plan is the favoured mechanism for managing urban change. It is increasingly based on a strategic planning approach with a high level of stakeholder participation and comprises a longterm vision, short-term actions to solve priority issues, and an on-going monitoring system. A CDS is a prime example of a plan based on the strategic planning approach. As stated in Cities Alliance Guide to CDS’s “City development strategies are based on the premise that a city’s development path can be altered significantly by well positioned and well timed public, private, and civil society strategic interventions. If national urbanization policy frameworks are aligned with local strategies, change is likely to be deeper and quicker.” Integrating the environment into urban planning is central to any plan that has sustainable development as its ultimate goal but the term ‘the environment’ is capable of wide interpretation. For the purposes of this publication, the environment means the natural environment (land, air, water, natural resources, flora and fauna). Environmental issues – both in terms of hazards and degradation (resource depletion) – are invariably linked to human activity. Environmental hazards have immediate consequences for human well being whereas environmental degradation tends to have longer-term implications. There is a health-environment-poverty nexus that cities should address. Environmental hazards (e.g. polluted drinking water, air and soil; inadequate sanitation and drainage, health and public health services; a lack of modern energy sources in the living environment; and desertification) put certain sectors of the population at great risk from infectious and parasitic diseases. The poor (especially infants and young children, women and girls) are exposed to the greatest health risks since their living conditions bring them into daily contact with environmental hazards. Diarrhoea, from polluted water and soil, is often regarded as ‘the silent killer of the slums’. Many cities that have already prepared a CDS viewed the environment as supplementary to strategies driven by economic and spatial considerations or as a question of infrastructure programming based on traditional engineering standards. But there are compelling reasons – in addition to concerns for the health of the urban poor - why the environment should be integrated into strategic urban planning in general and in CA financed projects in particular. Cities worldwide, but especially in developing countries, are competing for global investment to create wealth and jobs. Administrations need to use city marketing techniques to promote a healthy and attractive environment. If a city fails to integrate the environment into its urban policy, it will reduce its attractiveness to global investors, miss out on the benefits to the city budget (i.e. cost savings), and increase future costs for local businesses. There is no evidence in the literature that the research community has reached a clear-cut view about how the environment should best be integrated into urban planning. Planning practitioners, however, provide four model approaches to integration. Each model (eco-city planning, Integrated Development Plan, City Development Strategy, ecoBUDGET and Strategic Environmental Assessment) is capable of integrating the environment into a plan at the citywide and the neighbourhood level (i.e. an area management approach). The case studies provide examples of each model together with tools used to integrate the environment into the plan. Draft report, submitted for comments November 03, 2006 1 The Melbourne Principles provide internationally recognised criteria on what makes a city sustainable. They codify cities as ecosystems that consume resources and discharge wastes at increasing rates. Treating cities as ecosystems recognises that they are part of, rather than apart from, the natural world and need to function within natural limits. The Principles provide a guide to methods and tools for integrating the environment into a CDS or SU project. The publication provides basic information about how to use ten of the most widely used tools is provided. The publication concludes with recommendations, aiming at strengthening the content of the submissions presented to Cities Alliance, to raise awareness among applicants of the benefits of integrating the environment into urban policy and planning, to draw attention to the availability of tools and documents that would aid integration, and to improve the quality of the design of CDS and SU project proposals and subsequent activities. Draft report, submitted for comments November 03, 2006 2 Table of Contents Section Topic 1. Page Executive Summary 1 Table of Contents 3 Introduction 5 Environment and city development 7 Cites and the environment The environment as an asset for cities The health-environment-poverty nexus The advantages of integrating city plans and the environment 2. Integrating the environment into planning strategies 17 Integration and sustainable development A theoretical basis for urban policy integration A practical basis for urban policy integration 1. 2. 3. 4. 5. 3. Models for integrating the environment into planning strategies Eco city planning Integrated Development Plan City Development Strategy ecoBUDGET The Strategic Environmental Assessment approach Environmental methods and tools 27 The Melbourne Principles Methods and instruments Policies & practices Sustainable Procurement Planning Process Visioning methods Participatory methods Planning Instruments Environmental profile SWOT analysis Rapid Ecological Footprint Assessment Monitoring system and indicators Management Systems ecoBUDGET 4. Conclusions 44 5. Recommendations Annexes: 46 1. References 49 2. Case studies Alexandria, Egypt Draft report, submitted for comments November 03, 2006 53 3 Bangkok, Thailand Bayamo, Cuba Bohol, Philippines Bourgas, Bulgaria Calgary, Canada Cape Town, South Africa Goiânia, Brazil Hyderabad, India Nakuru, Kenya Yangzhou, China Draft report, submitted for comments November 03, 2006 58 62 69 74 81 89 96 106 113 118 4 Introduction The purpose of this publication is to explore how the environmental dimension of CA activities might be strengthened. To that end, the publication presents the findings of a literature review of the theoretical basis for integrating the environment into urban policy and planning and outlines some tools used in practice by cities that have achieved some measure of integration. It provides a toolbox to enhance the quality of CA support to cities and to assist applicants to improve the design of their CDS and SU projects. The publication contains four sections. The first contends that the environment is a vital asset for local governments and should be viewed as key to economic development and poverty alleviation in urban areas, towns and cities. The second considers how the environment is integrated into planning strategies and examines four models used in various parts of the world. The third focuses on environmental methods and tools and the concluding section contains a number of recommendations. The publication follows a common format. Questions raised at the start of each sub-section are briefly addressed in a concluding paragraph marked . Reference is made to lessons learned from the case studies (Annex 2) and information is also drawn from the literature (References in Annex 3). The following acronyms are used throughout the publication: AQM Air Quality Management CA Cities Alliance CAS Chinese Academy of Science CBD Central Business District CBO Community-based Organisation CDS City Development Strategy CIDA Canadian International Development Agency ECP Eco City Plan EF Ecological Footprint EMAS Eco Management and Auditing Scheme EMS Environmental Management Systems EPM Environmental Planning and Management EU European Union GDP Gross Domestic Product GTZ Gesellschaft fuer Technische Zusammenarbeit (German Agency for Technical Co-operation) ICLEI International Council for Local Environmental Initiatives IDP Integrated Development Plan IMEP Integrated Metropolitan Environmental Policy M&E Monitoring and Evaluation MDG Millennium Development Goal Draft report, submitted for comments November 03, 2006 5 NGO Non Government Organisation ODPM Office of the Deputy Prime Minister SCP Sustainable Communities Programme SEA Strategic Environmental Assessment SU Slum Upgrading SWOT Strengths Weaknesses Opportunities and Threats UN United Nations UNCHS United Nations Centre for Human Settlements (Habitat) UNEP United Nations Environment Programme WCED World Commission on Environment and Development WHO World Health Organisation WSSD World Summit on Sustainable Development Draft report, submitted for comments November 03, 2006 6 Section 1: Environment and city development This section examines the environment and city development processes, the environment as an asset for cities, the health-environment-poverty nexus; and, the advantages of integrating environmental aspects into city planning. Cities and the environment There seems to be no doubt as to the influence and impact that local governments can have on the environment. Given this, what are the opportunities that are available to local government leaders to build environmentally sustainable cities? The world is relentlessly urbanizing and for the first time ever over half of the world’s population lives in cities. In the same way that cities have been blamed for the largest environmental problems in the world they also symbolize a civilizations greatest achievements and hope for a sustainable future. Cities are the leading incubators of knowledge and their density can make them efficient places for living. The answer to the question of how cities are built will determine the quality of life in these cities. Over the past 50 years, rapid consumption of land around cities has occurred, with highways and transport systems built in tandem to support this physical expansion. Valuable farmland has been consumed and car-dependency has deepened. Typically, increase of land use has, in most developing countries, been 50% faster than the population increase (Angel, 2005). In the context of another 2 billion people being added to cities over the next three decades, cities need reinterpretation in terms of the space they increasingly occupy and be viewed as the potential solution to the planets environmental decay and poverty problems, not as their necessary cause. Although cities have large eco-footprints, they also provide many opportunities to light the human load on ecosystems. Many attributes of urban life provide leverage in dealing with the energy and material aspects of sustainability. These characteristics contribute to what has been referred to by William Rees as the “urban sustainability multiplier” or the process through which the high density of urban living significantly shrinks out per capita ecological footprints by reducing our energy and material needs. These factors include (Rees 2003): • High population densities, which reduce the per capita demand for occupied land; • Lower costs per capita of providing piped treated water, sewer systems, waste collection, and most forms of infrastructure and public amenities; • A high proportion of multiple-family dwellings, which reduces per capita consumption of building materials and services infrastructure; • Increasing interest in forms of cooperative housing, which reduces demand for appliances and personal automobiles; and • Easy access to the necessities for life and to urban amenities by walking, cycling, and public transit. This further reduces the demand for private automobiles, thereby lowering fossil energy consumption and air pollution. The potential for local governments and local government leaders to contribute to global sustainability through innovative city planning is as vast as the cities they govern. While no single recipe can exist for all cities, supportive frameworks must be implemented within which cities can apply innovative approaches appropriate to their local circumstances. It is far less costly to avoid environmental degradation than it is to live with its consequences or to repair its damage. Achieving sustainable urban development requires a creative process that extends into all areas of policy development and decision-making. Draft report, submitted for comments November 03, 2006 7 It is important to see cities as urban ecosystems. In the same way that a natural ecosystem, such as a rainforest or a coral reef, is a very complex system, everything in a city is connected to everything else. If a change in land use of an area is made, it will affect the transportation system, the infrastructure, and the economy in other areas. Local governments are figuring out how to treat the natural and built environment, and the humans that interact with it, as one interconnected “city ecosystem”. In the City of Bourgas, Bulgaria the Mayor and municipal staff have sought ways to alleviate the environmental impacts of the municipality’s intensive industrialisation. The Municipal Development Strategy for 2007-2013 recognises the need for an integrated longterm approach to balance current development with resource protection and sustainability. The new strategy places greater emphasis on the inter-connections between environmental policies and other aspects of municipal life. The majority of municipal responsibilities are formally linked to environment – e.g. procurement, public transport, urban planning, energy management – and policy-making attempts to address economic and social issues in synergy with environmental questions. [Full case study can be found in Annex 2] The power of good planning and effective management in strong, empowered city governments is critical in propelling cities towards sustainability. In such a context, cities have; the power to pass legislation; the capacity to encourage participation and engage with citizens and local organizations; the power to plan and design transportation systems that support rational choices on where to live and work, the power to ensure strong and robust local economic development patters; the power to address land tenure and land rights in the city; important powers over building codes and zoning by-laws and can adopt flexible standards governing construction and infrastructure; and the power to develop creative financing tools for mobilizing investment towards sustainability. Cities as the level of government closest to the individual have a remarkable opportunity to create sustainable communities. What is required on the part of local governments is a renewed commitment to planning and management of urban land, housing and infrastructure. The daunting challenges of urbanization can only be dealt with effectively at the local level. The environment as an asset for cities Managing environmental resources as a group of strategic assets that are crucial to a municipality’s goals, important to ecosystem health, and beneficial to the community is an invaluable practice for local governments. What are the ways in which the environment can be viewed as an asset for cities? In addition to looking at the natural environment as a model for the design of cities, local government leaders must look to environmental resources as enormous assets for cities. These resources are often unrecognised and unappreciated instead of being utilized, enhanced, and invested in. Environmental resources are assets to a city; investment in environmental protection helps the economy and ultimately reduces city budget expenditures. There are countless examples of the services that the natural environment provides to urban centres: Parks and greenbelts produce oxygen and clean the air, Draft report, submitted for comments November 03, 2006 8 Rainfall provides clean drinking water and irrigation for crops, Forests serve as watersheds and tourist destinations, and Wetlands filter and process waste and provide a nursery for fisheries. Using the first example of parks and/or forestlands on the outskirts of a city, the value of the natural environment to cities becomes clear. Allowing the forests to be clear-cut for firewood and for urban sprawl means that the value of the forest is simply reduced to the value of the wood for fuel and the value of the land for development. However, the forestlands serve as watersheds for the city and if they were to be removed the city’s potable water supply would be jeopardized. If the forest were clear-cut, serious erosion problems would result, destroying surrounding agricultural lands and causing urban flooding. In addition, by encouraging urban sprawl in this way the city would have to stretch out the urban infrastructure of roads, sewers, water, power, etc., for long distances, requiring greater capital investment and ongoing maintenance expense. It is more cost effective for the city to maintain the forest ecosystem as the city’s watershed, benefiting from all of the ‘environmental services’ that the forest provides (drinking water, erosion control, soil protection, flood control, recreation, biodiversity, etc.) and to harvest the wood products at a sustainable rate from the forest in perpetuity. In 2006 the Municipal Corporation of Guntur, India created a Master Budget for ‘environmental expenditures’ in order to manage their natural resources in the same budgetary way that financial resources are managed. Municipal staff in Guntur identified the green surface area of the municipality as an environmental indicator and set a baseline value of 78m2/1000 inhabitants. They then set a shortterm target (2007) of 100m2 and a long-term target of 200m2 for 2010. They will use these targets as ‘spending limits’ for the given years and in this way are internalising the true environmental costs of a decision. Costa Rica was one of the first countries to recognize the value of ‘environmental services’ by establishing the Payments for Environmental Services Program. The program requires those who benefit from the environmental services of forests to pay for those services. Those payments go into a national forestry fund, which is used to contract private landowners of forestland to pay for forest conservation and sustainable management Protecting and sustainably utilizing environmental assets is important to a city’s economy for many reasons, in addition to the reduction of costs. Cities around the world are in direct competition to attract businesses and jobs, facing this reality the liveability of a city is the best predictor of its future economic performance. By improving a city’s environmental quality, city leaders improve the quality of life in the city and in turn are made more attractive. According to a 2006 survey by the American Chamber of Commerce in Hong Kong, almost four out of five professionals are thinking of leaving or know others who have already left, because of the quality of the environment. Results also showed that 95 percent of respondents were personally worried, or very worried, about the air quality in Hong Kong and the potential long-term effects on the health of themselves and their children. In addition, more than half (55 percent) of respondents personally knew of professionals who had declined to move to Hong Kong because of the quality of its natural environment. The same survey showed that “quality of the natural environment” topped a list of seven factors in terms of importance when selective a place to live; a total of 94 percent ranked it as either the most important or the second most important factor. Looking at the Hong Kong example, if the environment were cleaner and the air quality better companies would invest more money in the city, thus showing that a clean environment is a vital asset necessary to attract and keep investment capital (American Chamber of Commerce, 2006). Draft report, submitted for comments November 03, 2006 9 Site selection for a new bus yard can serve as a compelling example. Assuming that land outside the city sells for half the price as land situated in the city near transit hubs; under typical city accounting procedures, the land outside the city would be purchased because it is ‘cheaper’ than the urban site. This false accounting externalises the real costs of the decision, and fails to consider long term cost implications. City leaders using a more responsible accounting approach would immediately recognize that to make the best sustainable decision they would need to consider a host of additional financial factors, such as the inefficiency of shuttling empty buses back and forth between the bus yard and the city, the increased fuel costs of that travel, the additional air pollution that would be generated by this fuel consumption and its cost and health implications, the additional wear on tires and engine parts, the costs of extending infrastructure to the site and the environmental impact its construction would cause. One of the key reasons for the current unsustainable order is the use of an accounting system that externalises real costs and does not account for ‘natural capital’. The planets forests, watersheds, wetlands, mineral resources and other natural resources all have a value that must be accounted for; these are natural capital. While placing a capital value on an environmental asset is not a difficult task, it is often difficult to calculate and to quantify the exact financial value of the benefits that come from the asset. The Millennium Ecosystem Assessment, established by UN Secretary General Kofi Annan in 2001, is an international work program designed to highlight, for decision makers and the public, the consequences of ecosystem change for human well-being and options for responding to those changes (for more information see www.maweb.org). Under traditional city management, the environmental costs of a decision, such as a reduction in ambient air quality, the loss of biodiversity, or the diminution in public health from increased pollution are not accounted for or factored into decision-making. By internalising environmental costs and viewing environmental resources as assets, local governments are empowered to use a variety of examples and innovative ideas that not only benefit the local and global environment, but can, at the same time, reduce municipal spending. The health-environment-poverty nexus Cities can be among the most health threatening of all human environments. Human activities in cities can have grave implications for human health - in 2002, WHO attributed 28% of the global disease burden to environment-related risk factors (German Advisory Council, 2005, p.44). But what are the main causes and effects and which groups of society are most affected? Environment-related infectious and parasitic diseases stem from a lack of or inadequate access to (i) food (undernourishment) (ii) clean drinking water, sanitation and drainage (iii) health and public health services, e.g. waste collection (iv) modern energy in the living environment, and (v) good air quality (Nunan and Satterthwaite, 1999 and German Advisory Council, 2005). Under nourishment and poor nutrition may occur through abject poverty or threats to food security arising from a shortage of water for irrigation or land degradation, especially salinity due to desertification or climate change (German Advisory Council, 2005). Rickets is a disease of children characterised by softness of the bones and caused by vitamin D deficiency. A lack of access to clean drinking water coupled with inadequate sanitation and waste collection present the most serious environment-related health risks. In the developing world, up to 80% of all environment-related diseases are attributable to a lack of clean, safe drinking water (German Draft report, submitted for comments November 03, 2006 10 Advisory Council, 2005). Diarrhoea is responsible for the greatest disease burden in developing countries and has been described as ‘the silent killer of the slums’ (UN-HABITAT, 2006a). The use of biomass fuel and coal for cooking and heating in a confined living space can produce toxic fumes that lead to lung complaints: indeed, indoor smoke is a far greater risk to health than air pollution in city streets. Cramped living conditions can be breeding grounds for the spread of respiratory infections, tuberculosis and meningitis (German Advisory Council, 2005). Poor air quality in informal settlements is often exacerbated by the practice of burning household waste. Air pollution can affect cities in both the developed and developing countries. Particulate matter (PM10) can affect respiratory and cardiovascular systems (e.g. asthma) and accelerate mortality. Nitrogen dioxide (NO2), at relatively high concentrations, causes inflammation of the airways and long-term exposure may affect lung function. Exposure to carbon monoxide (CO) reduces the capacity of the blood to carry oxygen and deliver it to tissues. Benzene (C6H6) puts industrial workers most heavily exposed at a risk of developing certain types of leukaemia. Sulphur dioxide (SO2) causes constriction of the airways and may cause acute mortality. Exposure to high levels of lead (Pb) affects the haemoglobin, the kidneys, gastrointestinal tract, joints and reproductive system and damages the nervous system (Greater London Authority, 2002a). It is estimated that 800,000 people die prematurely each year due to urban air pollution (WHO, 2002). Environmental hazards occur because government has not exercised control over human activity or taken enforcement action. Six cities for which case studies were prepared highlighted the health-environment-poverty nexus (Bangkok, Bohol, Cape Town, Goiania, Hyderabad and Nakuru). In Nakuru, Kenya, the water supply was 35,000 m3/day agains the current water demand estimated at 75,000 m3/day; Nakuru residents cited water shortage as one of the town’s major problems. This situation was highlighted by a sever cholera outbreak in the low-income areas of Kaptembwa and Rhoda in 2000. The cause of the outbreak was attributed to the consumption of contaminated water from unknown sources. As a result the Nakuru Municipal Council adopted the creation of water kiosks to stop these outbreaks (see case box on page 12). Where government has failed to deliver adequate services, and disease-carrying agents multiply, large concentrations of people living in close proximity to each other are particularly at risk from disease transmission. The poor are at greatest risk from environmental hazards, biological pathogens and chemical pollutants since they can only obtain shelter on land least suitable for occupation (Quick and Pistorius, 1994). Global environmental change threatens to amplify the diseases of poverty (German Advisory Council, 2005). Many Brazilian cities suffer from a large deficit in housing (6.65 million units, as of 2000), tremendous income inequality, an ingrained culture of social exclusion of poorer populations, and a paternalistic, unilateral relationship between citizen and state. As a result, favelas (slums) are a primary feature of urban development in Brazil. Such informal settlements often occupy environmentally precarious areas such as steep hillsides and riverbanks, and are usually bereft of key infrastructure, particularly sanitary sewers which have resulted in increased rates of disease and mortality. The Municipality of Goiânia’s “Fora de Risco” (Out of Risk) Project was driven by three motivating factors: poverty reduction, environmental improvement and citizen health. Slum settlements in Goiânia have been built overwhelmingly in sensitive watershed areas, primarily on urban riverbanks and springs. As a result those living in these informal settlement have been affected by the dangers of unhealthy conditions stemming from the combination of flooding and open-air sewage. By addressing the environmental factors in Draft report, submitted for comments November 03, 2006 11 relation to the social and economic issues the project was able to achieve successes in all areas. They key has been the social inclusion of the community that was at risk. A total of 15-20 community groups were involved in the project and in this way the For a de Risco has acting as a catalyst for social development than as the sole instrument of it. [Full case study can be found in Annex 2] Infants and young children, and some groups of workers, are particularly exposed to environment-related health risks. Children are considered to be at greater risk from air pollution than adults because their bodies are still developing and they spend more time out of doors on strenuous activities. Every hour, more than 1,000 children in developing countries under the age of five die from illnesses linked to poverty (Porritt, 2005). Women and girls are often vulnerable to environmental hazards because of the work they do, their role in society or the discrimination they face in terms of access to resources, income or housing (Nunan and Satterthwaite, 1999). The exposure of the urban poor to environment-related health risks conflicts with the concept of ‘equity’ often regarded as one of the guiding principles of sustainable development (Fudge, 2003). The groups most vulnerable physically and socially tend to be the least influential economically and politically. The urban dwellers most dependent on local environmental services and conditions are the urban poor in low-income countries, whereas the “non-poor” can find alternatives for many services (UN Habitat and UNEP, 2003). The Millennium Development Goals (MDGs) represent the first definition of common development priorities. The MDGs serve to focus worldwide effort in overcoming the critical deficiencies in global development. The effective achievement of many of these goals rests in cities and communities, for both demographic reasons but also because cities are the sites of extraordinary cultural, social and political progress in the world. MDG 7, the commitment to ensuring environmental sustainability, has the following targets and indicators (UN, 2000): Target Target 9: Integrate the principles of sustainable development into country policies and programmes and reverse the loss of environmental resources. Indicator 25. Proportion of land covered by forest. 26. Land area protected to maintain biological diversity. 27. GDP per unit of energy use (as a proxy for energy efficiency). 28. CO2 emissions per capita [plus two figures of global atmospheric pollution; ozone depletion and the accumulation of global warming gases] Target 10: Halve, by 2015, the proportion of people without sustainable access to safe drinking water. 29. Proportion of population with sustainable access to an improved water source. Target 11: By 2020, to have achieved a significant improvement in the lives of at least 100 million slum dwellers. 30. Proportion of people with access to improved sanitation. 31. Proportion of people with access to secure tenure. [Urban/rural disaggregation of several of the above indicators may be relevant for monitoring improvement in the lives of slum dwellers]. A particular problem facing cities in developing countries is the lack of a detailed and accurate database of environment-related diseases and the longer-term health implications. In the absence of adequate data, the environment-related health risks identified are those that are easily measured and affect middle and upper income groups (Nunan and Satterthwaite, 1999). There is a need for better information about the health-environment-poverty nexus including “poverty-mapping” (UN Habitat and UNEP, 2003). Draft report, submitted for comments November 03, 2006 12 The main causes of environment-related health effects and diseases are a lack of or inadequate access to food; clean drinking water, sanitation and drainage; health and public health services; modern energy sources in the living environment; and fresh air. The poor (especially infants, young children, women and girls) are at greatest risk from disease since they can only obtain shelter on land liable to environmental hazards. The advantages of integrating city planning and the environment A planning strategy is an essential tool for managing urban change. The long-term goal of city planning is sustainable development involving a balance between various considerations including the environment. But what are the arguments for integrating the environment into CDS and SU processes? To date, cities have viewed the environment as supplementary to strategies driven by economic and spatial considerations or as an issue of infrastructure programming based on conventional civil engineering standards (Cities Alliance, 2006). In other words, the environment has not been viewed as a matter of primary importance. This view of the role of the environment is hardly surprising. The literature gives prominence to the economic growth-public investment in infrastructure-poverty eradication nexus as the foundation for social development without giving the link to sustainability the attention it deserves (Swilling, 2006). This scenario is typical of many mayors, especially but not exclusively in developing countries, who focus on economic performance and capital investment in infrastructure during their term of office. While many Chinese mayors are interested in environmental management, their performance in office is assessed by the local growth rate in GDP (ECODEE Conference, Yangzhou, China, 2004). And yet, the case studies show that many cities throughout the world do integrate the environment into their development strategy. The main driver for doing so depends on local circumstances but included (i) commitment by the political leadership and the administration (Bangkok, Bayamo, Bourgas, Calgary, Cape Town and Yangzhou) (ii) EU Directives and standards (Bourgas and London) and (iii) the influence of an external agency (Bangkok, Bourgas and Yangzhou). In Goiania and Hyderabad, there were huge environmental gains resulting from plans and projects but only as a bi-product of the main goal, i.e. concern for the environment was not the main driver. In Nakuru, Kenya the Localizing Agenda 21 – Nakuru initiative deals with the themes of building consensus for a long-term municipal vision, streamlining urban development, and stimulating innovative partnerships. One of the first projects resulting from the LA21 – Nakuru framework was the creation of a reliable water source for low-income residents. The water network in Nakuru at the time was vastly inadequate with only 34% of town being served. After a severe outbreak of cholera that could clearly be linked to the consumption of contaminated drinking water, the municipal council decided to build several water kiosks in low-income areas. The water kiosks provided the community with many direct benefits, in addition to improvements to the natural environment: • Access to clean water and reduced risk of diseases associated with poor sanitation; A significant reduction in the walking distance of citizens in search of water; • • Employment opportunities to a variety of community members, and a constant source of income for the community based organization managing the project; and Draft report, submitted for comments November 03, 2006 13 • Revenue generation for City Council through the sale of safe and reliable drinking water to industries. [The full case study can be found in Annex 2] In theory, economic development and the environment cannot be managed in isolation. Economic activity affects the environment through the consumption of raw materials, and the use of land for production and as the final destination for solid, liquid and gaseous wastes and emissions (UNEP, UN-Habitat & UN-ESCAP, 2005). City development strongly and clearly affects the environment and environmental conditions equally strongly affect city development. It makes no sense to deal separately with issues that are intimately linked (UN-HABITAT and UNEP, 1999). Research indicates that economic vitality and environmental quality are compatible and the one cannot be achieved without the other. Studies by the Durham North Carolina Institute for Southern Studies show that, among the forty-eight contiguous American states, those ranking highest according to the Institute’s environmental criteria also ranked highest on economic criteria. The converse was also true (Skinner, 1997). Cities worldwide, especially in developing countries, are competing for external investment (wealth and jobs) in a global economy. Water, air and soil pollution impose additional costs on business and industry, households and public services. Inefficient use and depletion of natural resources increases input prices and operating costs and deters new investment. A failure to deal with environmental degradation and hazards today leads to greater problems and costs in the future (UNCHS (Habitat/UNEP, 1997). Eco-efficiency, on the other hand, would result in lower operating costs for local businesses and give the city a competitive advantage (Swilling, 2006). Energy systems planning would enhance the competitiveness of local industry. Solar water heating, district heat and power systems, microcogeneration and methane production are ways of incurring costs locally to the benefit of the local economy (Moffatt, 1999). Circular Economy methods (local industrial planning) have the potential to reuse water resources, heat and energy (Shi Lei, 2004 and Zhu Dajian, 2004). There are benefits to the city budget of integrating the environment into urban policy and planning, e.g. recycling of household waste creates jobs and produces income from the sale of recyclable resources, quite apart from demanding less landfill space and fewer natural resources. City marketing needs to be able to promote a healthy and attractive environment. The attractiveness and liveability of a city, especially its environmental qualities, are persuasive arguments: it is virtually impossible for an unattractive city to move into higher value economic activity (Cities Alliance CDS Guide, 2006, p. 4). A number of cities highlighted by the case studies promote their environmental assets in the course of city marketing. Bohol, Bourgas and Cape Town emphasise the importance of natural ecosystems as tourist attractions and the beneficial impact of tourism on the local economy. Hyderabad promotes the standard of services and the provision of infrastructure that result in environmental gain (e.g. in relation to ground water and air quality) in an effort to attract global investment. Calgary recognises that its environmental credentials are persuasive marketing assets. Calgary, Canada In Calgary, Canada the environmental management system that is used is referred to as EnviroSystem. It describes the City of Calgary’s strengths, accountability to itself and its citizens, and commitments to protect the natural. EnviroSystem enables the City to uphold Draft report, submitted for comments November 03, 2006 14 its vision of “working together to create and sustain a vibrant, healthy, safe and caring community”. It allows the City to manage the impact its activities have on the environment. EnviroSystem has improved internal communication significantly as it provides a strong link across all business units. In addition, it has created a culture of environmental caring and an understanding of the importance of protecting the watershed, preserving natural areas and green space, and protecting the air. While the results within the municipality have been impressive, the benefits extend to the community by improving citizen perception of the City as an environmental leader, attracting industry, people and business. The EnviroSystem report, which is made public and readily available, highlights major achievements in air, land, water, and materials management along with summaries of the City’s accomplishments. [Full case study can be found in Annex 2] A Mayor and a city administration committed to sustainable urban development are powerful marketing tools. It helps if prospective investors can see that sustainable resource use has been factored in to the CDS especially the cost of known restraints such as finite water supplies, energy costs, the economic and job-creating potential of eco-efficient industries (e.g. waste recycling and renewable energy), and local urban agriculture (Swilling, 2006). A city could stimulate the local economy by planning for sustainable neighbourhoods. This might include sustainable construction involving energy efficiency and the use of compact fluorescent lighting, rainwater tanks/ water-conserving irrigation systems, renewable energy alternatives (such as solar water heaters, insulation, geothermal heating and cooling systems), and neighbourhood-based sewerage systems (Swilling, 2006). There are relatively modest income-generating activities that provide some income for the urban poor and also have direct environmental benefits. Examples of such activities include water vending, the provision of toilet facilities, biogas, waste recycling, and composting (UN Habitat and UNEP, 2003). A city mayor should endeavour to reduce environmental hazards and health risks to his/her constituents (especially the urban poor). Absence due to sickness among the workforce adversely affects the economic efficiency of local industry, competitiveness and the attractiveness of the city to external investors. Moreover, localised environmental hazards (especially in peri-urban areas) are potential sources of pandemics (Cities Alliance, 2006), quite apart from running counter to the principles of equity and social inclusion. Mayors, as temporary custodians of the environment, have a moral responsibility for the well being of future generations (some of whom will already be enjoying their early childhood years as residents of the city). Living sustainably within the Earth’s eco systems is fundamental to social and economic development in the medium and long-term. It should not be assumed that technological innovation would make good the shortfall in natural resources in years to come, i.e. the precautionary principle (Rio Declaration, 15). Traditionally, cities have tended to view the environment as supplementary to strategies driven by economic and spatial considerations or as issues to be resolved by infrastructure programming based on standard engineering practice. However, there are compelling reasons why the environment should be integrated into strategic planning and into CDS and SU projects financed by CA. Cities worldwide, but especially in developing countries, are competing for global investment that creates wealth and jobs. Administrations need to promote the virtues of a healthy Draft report, submitted for comments November 03, 2006 15 and attractive environment through city marketing. If a city fails to tackle environmental hazards and degradation today it will reduce its attractiveness to global investors and increase the risk of disease to the urban poor and costs for local government and businesses. Draft report, submitted for comments November 03, 2006 16 Section 2: Integrating the environment into planning strategies This section examines integration and sustainable development; a theoretical basis for integration; interpreting the theories of integration; and, a number of models for integrating the environment into planning strategies. Integration and sustainable development The term ‘sustainable development’ has a reassuring ring but why is it relevant to the main thrust of this publication, i.e. the integration of the environment into planning strategies? The literature review suggests that urban policy integration - embracing strategic planning, the environment and urban management - would contribute to the ultimate goal of attaining sustainable urban development (Pieterse, 2004). It is assumed that sustainable development is the long-term goal of city planning, that sustainable urban development leads to sustainable development at local, national, regional and global levels. There is agreement that sustainable development is multi-dimensional requiring an understanding of complex and often conflicting relationships. These issues call for an integrated approach and an integration culture (RijkensKlomp et al, 2003). If a city development strategy fails to take due account of the environment it might achieve other objectives but it would not contribute to the ultimate goal of sustainable development. Urban policy integration seeks to minimise environmental hazards, to improve health and living conditions for the urban poor, and reduce ecological costs that are currently being transferred from the city (due to production, consumption and waste generation) to people and eco-systems beyond the city boundaries. Sustainable development is the long-term goal of city planning and involves a complex balance of interests including environmental considerations. Unless the environment is integrated into a CDS, the planning strategy will not contribute to the attainment of sustainable development for the city. A theoretical basis for urban policy integration Urban policy integration (of strategic planning, the environment and urban management) seems to be regarded as a good thing, but has the research community developed theories about how integration might be achieved? Sustainable development is espoused as a long-term goal by every international development agency. Nevertheless, there is no consensus about how to act on the city and (to date) little substantive institutional commitment to integrated urban programmes. However, in practical terms, many cities have made the commitment towards sustainability; in Calgary, Canada, the City Council committed to “creating and sustaining a vibrant, healthy, safe and caring community that works for all today and tomorrow”. Since that commitment in 2001, all of the policies, programs and projects that have been implemented to further the City’s sustainability goals can be traced back to these commitments made by Council (for more information on Calgary see the full case study in Annex 2). The literature review explored whether theories exist on incorporating the environment into city development strategies. Though there is a clear consensus that integrating the environment should be an important component of city strategic planning, to date there is no evidence of a clear-cut resolution to the question of what integration means in theoretical terms and how it Draft report, submitted for comments November 03, 2006 17 should be done (Pieterse, 2004). The literature provides many different approaches and a diversity of methods for urban policy integration. Three guidelines are provided to achieve urban integration (McGill, R., 1998) but they require a certain amount of interpretation: (i) To formulate an integrated plan at a modest scale: a development strategy that focuses on citywide issues linking various neighbourhoods but without going into too much detail. (ii) To adopt an integrated area management approach: local participatory planning and management within the framework of a city development strategy, e.g. a Local Agenda 21. (iii) To institute an integrated financial system: a system that provides an incentive to local actors (working in isolation) to accept accountability to higher order objectives Integrated area management is consistent with the argument that planning can promote urban integration by recognising different kinds of integration at different scales in the city (Pieterse, 2004). After all, the city is an entity consisting of a mosaic of different neighbourhoods with different kinds of functions, qualities, problems and opportunities (Rijkens-Klomp et al, 2003). There are, however, barriers to integration of the environment into urban policy and planning. The institutional structure of local governments sometimes creates “a silo mentality” among staff of individual departments that obstructs policy integration. Moreover, there is a need for capacity building amongst staff in order to explain why integration is necessary and how it might best be achieved. To achieve urban policy integration would require awareness raising amongst mayors and city managers (GTZ, 1999). A multi-disciplinary approach to integration requires a basic understanding of ecology and ecosystems by all professions dealing with the environment (Quick and Pistorius, 1994). The literature reviewed reflects the diversity of ways in which policy integration can be achieved. Though the literature provides no evidence that the research community has reached a clear-cut view about how urban policy integration (including the environment) might be achieved the arguments and rationale for integration are present throughout all of the literature reviewed. A practical basis for urban policy integration Given the variety of options for urban policy integration, does the literature provide pointers from the output of planning practitioners? Planning Processes and Plans An eco-city planning approach is widely used by cities in China; it is a holistic long-term strategy for sustainable development that provides an over-arching urban development framework for more narrowly focused and shorter-term plans (Moffatt, 1999). The Integrated Development Plan (IDP) process instituted by South Africa in the 1990s ensures integration both horizontally across departments of the city administration and vertically between different levels of government (Pieterse, 2004 and City of Johannesburg, 2006/11). The City Development Strategy developed by CA is a classic example of the use of the strategic planning approach described above (Cities Alliance, 2006). The usefulness of a CDS as a mechanism for managing urban change is not fully appreciated by some cities of developing countries due to the general failure of cities to apply a strategic planning process and to see this process as long term and iterative requiring regular monitoring activities, reviews and updates (Cities Alliance, 2005a). Draft report, submitted for comments November 03, 2006 18 Management System ecoBUDGET (eB) is a system for the management of natural resources and environmental quality by cities. Paralleling the financial budgeting system on a periodic (annual) basis, it routinely integrates environmental target-setting, monitoring and reporting into municipal planning, decision making and management (ICLEI 2004). Every year a budget for natural resources and environmental quality is developed and approved by the city council. Accounts (indicators) are established for each natural resource, and annual targets as “spending limits” are derived from mid-term goals. The budget uses physical units, not monetary terms. Budget preparation involves the assessment of the expected environmental impact of ongoing operations and special projects in order to forecast the “environmental expenditure” and consider mitigation strategies. The municipal council discusses the draft budget, accompanied by media reports and public discussion. During the budgetary year, all departments manage their “environmental expenditure”, i.e. the use or pollution of natural resources, within the “spending limits”. After the budgetary year a balance sheet is prepared and performance reported to the council and public. Once established and becoming an annual routine, similarly to financial budgeting, ecoBUDGET ensures that environmental quality is managed on an ongoing, rational and transparent basis, thus supporting accountability. Environmental aspects get woven into municipal policy making across departments. ecoBUDGET also makes the municipal leaders true resource managers including financial and natural resources. Instrument to Assess Plans Strategic environmental assessment (SEA) is the systematic and comprehensive process of evaluating the environmental effects of a policy, plan, or program and its alternatives. The emphasis is on examining environmental effects, but most SEAs may also identify significant economic and social effects. In short, its purpose is to promote integrated decision-making. Within the European Union, cities now have to prepare a Strategic Environmental Assessment (SEA) to ensure that the environmental implications of a draft city development strategy have been considered (ODPM, 2005). The four key benefits of SEA (CIDA, 2004) are as follows: • Advances the sustainability agenda: it provides a means for systematically incorporating environmental, as well as social and economic, considerations into policies, plans, and programs. • Strengthens policy, plan, and program decision-making processes: SEA facilitates consultation and public participation in the evaluation of environmental aspects of policy, plan, or program formulation. • Allows for consideration of cumulative and synergistic effects: it allows for the consideration of a wider range of impacts and alternatives that are often not considered at the project level. • Facilitates the implementation of more environmentally sustainable projects: SEA helps identify the most practicable alternatives for achieving positive outcomes and minimizing potentially adverse effects of policies, plans, and programs. The literature provides at least five models of urban policy integration from the recent activities of planning practitioners in cities in various parts of the world which have proven to be forceful instruments for improving the performance of cities. Draft report, submitted for comments November 03, 2006 19 Models for integrating the environment into planning strategies While there is evidence of four models of urban policy integration what are the characteristics, methods and tools, and limitations of each? Model 1: The eco-city planning approach Key characteristics: Eco-city planning (ECP) is based on the strategic planning approach that sets the long-term direction towards sustainable development. It is a holistic plan that provides an over-arching “umbrella” for other more narrowly focused and shorter-term plans. While eco-city plans are non-statutory in China, the Mayor of Yangzhou required all other plans prepared by the municipal administration (including the statutory spatial plan) to conform to the eco-city plan. By doing so, the ECP in Yangzhou allows staff to pursue goals of economic advancement (e.g. through industrial development and tourism) while at the same time ensuring social stability and improvement in the quality of life of residents (e.g. provision of basic services) and environmental conservation (e.g. adoption of cleaner production principles). An eco-city plan addresses a broader range of issues over a longer time frame and with greater public accountability than most other plans (Moffatt, 1999). Eco-city Planners might explore integrated resource use including the relationship between the natural environment and systems for energy supply, urban industrial ecology/Circular Economy, and watershed management (i.e. for an area greater than the city boundaries). ECP involves an ongoing process of data collection, monitoring activity, policy analysis and finetuning. It also implies numerous subsidiary actions, e.g. spatial planning, municipal investment planning and budgeting, EMS and programmes to influence the private sector and the public. Methods and tools: The ECP pursues an iterative process in which research & analyses and policy & implementation are always ongoing. It identifies a vision for the long-term and key issues with a high priority in the short-term together with objectives, indicators and associated targets. As such, the approach involves an extensive use of data and research, and (often) a GIS system. ECP can be viewed as ‘an expert-driven process’ using technical methods and specialized approaches. Typical of the methods used are materials flow analyses/ecological foot printing, green building certification, and Circular Economy, i.e. to design new development so that resources perpetually circulate in closed loops maximising material value without damaging ecosystems (UN-HABITAT, 2006). Energy planners try to develop local energy generation systems to create local jobs and enhance community economic development. Industrial planners form partnerships to re-use waste resources, e.g. if local industry uses lots of water, planners look for other industries that could locate nearby and re-use the same water (Moffatt, 1999). To counteract the assertion that ECP is an expert-driven process, some eco-cities have opened an information and communication centre in the heart of the CBD to increase public involvement. This initiative aims to reach out to individuals and influence their small decisions, e.g. purchases and consumption, travel arrangements, and waste generation and recycling. One of its kind in China, Yangzhou’s Eco Center serves as an environmental information and communication clearinghouse. Apart from raising environmental consciousness, it informs the public about the government’s efforts and activities related to the urban environment. The Center acts as a critical venue for citizens to present/discuss their ideas and possible contributions in addressing environmental issues. This sense of public “ownership” Draft report, submitted for comments November 03, 2006 20 of environmental issues is a crucial factor in solidifying the citizen engagement in issues of sustainability. The Eco Center serves to both inform the public on the importance of the environment and the impacts that their day-to-day decisions can have on both their local environment but also the global connection. It has served as an invaluable tool for the city facilitating interaction with citizens on environmental issues. [Full case study can be found in Annex 2] Other instruments include EMS that ensures that environmental policy is fully integrated into corporate operations, and green building design guidelines including everything from the site and energy control systems in buildings (Moffatt, 1999). Limitations: A lengthy period of time can be required to prepare the initial ECP due to the demands of data collection and analyses and in some cases, the high level of public involvement encouraged by the city administration. The Chinese Academy of Science (CAS) took four years to prepare the initial eco-city plan for Yangzhou, although it should be acknowledged that it was a learning process both for the municipality and the CAS. In cities experiencing rapid urbanisation, there is a risk that the ECP can be overtaken by events. Within the ECP, there is a lack of analytical and forecasting tools for modelling urban development scenarios at the citywide level. Moreover, there is a lack of accounting for nonmonetary indirect costs because of an emphasis on short-term capital costs as opposed to life cycle costs (Moffatt, 1999). What needs further testing: (i) the link between the eco-city plan and investment planning and budgeting systems: ECP is a new discipline whereas accountancy is an old-established profession determined to defend its turf (ii) the practical application of the ECP approach in cities of developing countries with a scarcity of human and financial resources (iii) how to make the output of a four-year ECP exercise operational, and (iv) how to influence the private sector and the public. Model 2: The Integrated Development Plan (IDP) approach Key characteristics: central to the IDP approach is a statutory citywide strategic development plan including a development framework to promote urban integration (Pieterse, 2004). Its chief characteristic is that IDP seeks to integrate horizontally across departments at the same level and vertically between governments at different levels (e.g. municipal, provincial and national). One of the strengths of the IDP is also that it is nationwide and that it is linked to Government fiscal transfers and subject to government monitoring. The IDP links a statement of purpose with plans, sector policies, institutional design and practices, performance targets, monitoring mechanisms and financial flows. An Integrated Metropolitan Environmental Policy (IMEP) forms a framework policy for a series of environmental strategies and programmes including sustainable management of the city’s waste streams; water conservation; biodiversity; energy; and reduction in land, air, water, noise and light pollution. The IDP approach provides for other associated strategies, e.g. biodiversity, air quality, water demand management, waste management, energy/climate change, and environmental education. Methods and tools: one methodological innovation is institutional strengthening and reorganisation to integrate and co-ordinate urban development. For example, staff training and Draft report, submitted for comments November 03, 2006 21 reorientation towards implementation, and openness and transparency in the processes for selecting service providers. Politics is central to addressing urban environmental issues (Environment & Urbanization, 2006) and the IDP approach employs political methodologies, e.g. intensive interaction between elected officials and the public, CBOs, NGOs, and the private sector. Public-private partnerships are also a feature. Local politicians in some cities make public leadership pledges to implement environmental policies (City of Cape Town, 2003). Other methodologies and tools used in the IDP approach include medium and long-term visioning; 5-year strategic objectives and policies for each sector (including environmental sustainability); goals, strategic interventions, objectives, programmes, indicators and targets; EMS, Cost Benefit Analysis, life cycle cost analyses, and risk assessments; and an active environmental awareness raising and education programme. Limitations: the IDP approach, with its heavy emphasis on public involvement, is dependent on politicians devoting the time to the task and the municipal administration training sufficient facilitators. The complexity of the IDP approach challenges the tenacity and patience of interested members of the public whose main concern is results, i.e. they want to see rapid improvements in the brown environmental agenda. The IDP approach, so recently formulated and introduced, is technically sound but putting the ideas into practice is another matter. Monitoring is at the heart of managing the urban environment but it is a huge task to keep track of so many objectives and indicators. Similarly, co-ordination of a large number of disparate actions imposes a heavy responsibility on senior administrators and the political leadership. What needs further testing: to date, the IDP approach has been strong on strategies and plans but questions remain about implementation and delivery. In particular, further testing is needed in the use of monitoring as a positive planning tool (including making adjustments to programmes in the light of events). Awareness raising programmes and environmental education among schoolchildren are laudable, and are likely to produce dividends in the longer term, but more work needs to be done to influence the public in the short-term and to bring about a change of lifestyles of households in the most affluent neighbourhoods. Model 3: The City Development Strategy (CDS) approach Key characteristics: a CDS, as prepared within the framework of Cities Alliance support is based on the strategic planning approach although the terminology differs slightly from that used elsewhere (GTZ, 2002). A CDS is usually a non-statutory plan that is selective rather than comprehensive in its coverage (World Bank 2001). It can be rapidly prepared and amended: the initial CDS is often prepared within 12-15 months but could thereafter be adapted and refined in the light of changing demographic, economic and political circumstances. Although a CDS does not need to be statutory, a formal status and integration into the formal decision process aid implementation (e.g. by being translated into a local authority’s investment plans and budgets). Looking across a range of CDS documents, the themes (or substance) have tended to comprise livelihood issues (jobs, business start-ups, and household income); environmental quality, service delivery, and energy efficiency; spatial form and infrastructure; financial resources; and governance (Cities Alliance, 2006). Draft report, submitted for comments November 03, 2006 22 A theme of some city development strategies is ‘Living Environment and Social Life’. This contains strategies for water and air pollution; integrated solid waste management; green facilities and recovery of the green belt area; adequate sources of clean water; the prevention of natural calamities; alleviation of poverty and unemployment; measures to strengthen social equity and protect citizens from crime; measures to prevent the occurrence of diseases; and public awareness raising (World Bank, 2001). Methods and tools: The process employed in undertaking a CDS comprises the following stages (Cities Alliance, 2006): undertaking rapid assessments of data; developing a shared vision; undertaking a SWOT analysis; preparing strategic thrusts - identify key issues and actions designed to achieve a measurable target; awareness building; and implementation. The CDS approach uses methods and instruments that reflect rapid initial preparation and the central role of M&E activities. These include a stakeholder group that, amongst other things, participates in defining the vision, identifying and prioritising issues, and applying tests of realism in considering a range of strategic thrusts; undertakes a SWOT analysis; and monitoring activities. Alexandria, Egypt The implementation of the Alexandria City Development Strategy (CDS) has greatly helped decision makers, private sector, NGO’s, and the community at large to come together for a common strategic vision and unified their efforts towards setting up a strategic plan for development. By using a consultative process to tailor the development plan, the results reflect all stakeholders’ commitment to work towards its implementation. By having such equal participation, all of the players knew their roles, duties, responsibilities, and benefits. Likewise, the CDS provided the opportunity for all stakeholders to exchange views, develop positive dialogues, and be well informed regarding their city development strategic plan. Transparency, in this context, led to the formulation of teams and working groups taking care of the various components of the plan. The full participation of all community stakeholders led to the utilization of local potential and created a community spirit that has ensured the success of CDS’ implementation. [Full case study can be found in Annex 2] M&E should play a central role in every CDS project (Cities Alliance, 2005). Clearly, the indicators chosen for monitoring purposes depend on the strategy thrusts of a particular CDS and the key issues with a high priority. In recognition of the importance of M&E, CA provides prospective applicants with information and advice in a recently published document (Cities Alliance, 2005). It provides several principles for a “good” M&E system and emphasises the need to consider M&E at each step of the initial CDS rather than as ‘an optional extra’. Limitations: the CA makes Guidelines for the Submission of Proposals available to all prospective applicants contemplating a CDS or SU project containing selection criteria including the expectation that activities supported by the CA will achieve ‘significant environmental improvements’. The CDS approach has the potential to integrate the environment into a CDS but the selection criterion relating to the environment could be strengthened. There is evidence that an effective M&E system has not formed part of the CDS process in all cities that have already undertaken a project (Cities Alliance, 2005a, pp. 42 and 54). Moreover, where a M&E system has been established, it is open to question whether it would be sustained Draft report, submitted for comments November 03, 2006 23 once CA funding for the CDS project comes to an end notwithstanding that monitoring is central to the strategic planning approach. What needs further testing: in theory, the CDS approach is inherently capable of achieving sustainable development by balancing the complex (and often conflicting) relationships between environmental conditions and problems, economic vitality, social cohesion, cultural identity and citizens’ well being (Rijkens-Klomp et al, 2003). The problem, to date, is that mayors and city managers have not viewed the environment as a matter of primary importance. There is a need to explain to mayors and city managers why they should attach importance to the environment and integrate it into city development strategies and what tools are available to help them to bring about urban policy integration. Model 4: the ecoBudget© system Key characteristics: ecoBUDGET is a system of Environmental Budgeting. It provides a framework for setting targets, monitoring performance and reporting on results on a periodic basis. Annually, a municipality sets a spending framework for their use of natural resources and targets for environmental quality. The development (drafting) of the ecoBUDGET for the upcoming budget year involves all departments of the municipal administration. They have to assess the expected environmental impact of their ongoing operations and special projects in order to forecast the “environmental expenditure” and consider mitigation strategies. Similar to the financial budget, the ecoBUDGET will be discussed by the decision making body (usually the municipal council), accompanied by media reports and a public discussion. During the budget implementation all departments are held to manage their “environmental expenditure”, i.e. the use or pollution of natural resources, within the “spending limits” that the budget has set. ecoBUDGET is a crosscutting instrument, apt to addressing all natural resources and areas of environmental quality. Through a link to the ongoing work of practically all municipal departments and to the financial budget, ecoBUDGET is a mechanism of policy integration. Methods and tools: The ecoBUDGET system involves a participatory process the public as well as stakeholders are involved in discussing the draft budget before the Council approves it and the final statement (balance sheet) after each budget year. ecoBUDGET also draws on tools such as indicators, monitoring and environmental impact assessment. Tubigon in Bohol Province, Philippines is a coastal town of 40,000 inhabitants. Tubigon has high biodiversity and is rich of natural resources, which livelihoods in the community depend upon. The municipality has established 19 poverty indicators, which are tracked through a Local Governance Poverty Database Monitoring System (LGPDMS). Tubigon considers poverty and environmental degradation as “twin problems”. The municipality therefore applies ecoBUDGET and links it to poverty alleviation and addressing the Millenium Development Goals in the areas of water, sanitation and human settlements. One of the key lessons learnt through the Tubigon experience is that there is a significant overlap in social, poverty related and environmental goals and indicators. Examples include household access to safe drinking water, access to sanitary toilets, environmentally sound waste water disposal, environmentally sound garbage disposal. ecoBUDGET as a modular and flexible system allows for managing natural resources and environmental quality in combination with social quality. Draft report, submitted for comments November 03, 2006 24 Limitations: ecoBUDGET is a system that involves technical work as well as political decisionmaking. Its introduction and implementation therefore requires political will and a formal establishment through city council decision. While its undoubted advantage is that it ensures unwavering attention to environmental issues, it cannot just be applied by the municipal administration, nor is it aimed at dealing with environmental issues on a case by case basis. What needs further testing: ecoBUDGET has been pilot-tested by 15 cities in 7 Asian and European countries with diverse political and administrative systems and cultures. It has proven to work equally well under various conditions. Further development will focus on the inclusion of social indicators/accounts and an ecoBUDGET software package. Model 5: The Strategic Environmental Assessment approach Key characteristics: the Strategic Environmental Assessment (SEA) approach comprises a sustainability appraisal of a draft development strategy undertaken by an independent external consultant (GLA, 2002). The appraisal has regard to the need for social progress, effective protection of the environment, prudent use of natural resources, and economic growth (Entec, 2002). The external consultant’s appraisal and the city government’s response are debated at a public hearing into the final draft development strategy. In the case of Greater London, the city government has a statutory responsibility for preparing other strategies, e.g. biodiversity, waste management, air quality, noise, and culture. Consistency must be achieved among all of the various strategies (GLAA, 1999). Greater London, United Kingdom One of the key lessons learnt by London was that an independent assessor must undertake the Strategic Environmental Assessment if the public are to have confidence in the process of incorporating environmental aspects into the city development strategy. Additionally, the assessor must undertake this task in a transparent way. By subjecting policies in a city development strategy to a Strategic Environmental Assessment the City government has influenced the mindset of policy makers and decision takers. By giving greater consideration to international debates and agreements on sustainable development and climate change, local politicians are addressing longer-term resource issues and external costs. For example, traffic and transport within the metropolitan area have assumed increased importance for at least two reasons. There is concern among the public about air quality and the link with respiratory illnesses (especially among young and elderly people). Moreover, in 2000, CO2 emissions from transport movements amounted to about 27% of all greenhouse gases contributing to climate change. Public participation is central to the SEA approach. The city government must publish a state of the environment report containing information on air quality and emissions; water quality, discharges to water, and ground water levels; energy consumption and emissions contributing to climate change; natural resources; land quality; biodiversity; waste production, minimisation, recycling and disposal; and noise. The administration holds an annual “state of the city debate” open to members of the public (GLAA, 1999). In eThekwini (Durban) South Africa, the Durban South Basin is an environmental ‘hotspot’ containing areas of heavy industry and residential development located in close proximity to one another in a topographically contained basin. Over the past several decades, the South Basin has become a focal point for community mobilisation around environmental quality and justice Draft report, submitted for comments November 03, 2006 25 issues. The aim of the Durban South Basin Strategic Environmental Assessment (SEA) was to develop sustainable development guidelines to address existing problems and guide future development in the area. The SEA highlighted the need for institutionalisation of public participation and conflict resolution processes in order to address the haphazard and piecemeal approach to public participation that is prevalent in Durban. The level of conflict in the Basin also suggested the need for area-based participation structures as a vehicle for building trust and a common vision at a scale that is meaningful to local communities. The SEA approach includes a cascading process, i.e. local councils within the city must prepare statutory area-based plans – similarly to the integrated area management ideas highlighted earlier - that take full account of the city development strategy (and other city-wide strategies). The city authority is responsible for monitoring and approving area-based plans. Methods and tools: the strategies (including the city development strategy) are regarded as tools involving extensive, ongoing research and analyses. The approach uses indicators, baseline data and targets (for implementation and monitoring purposes) and a GIS system. Technical methods used include materials flow analyses and ecological foot printing. The latter measures the use of renewable and non-renewable resources, the generation of solid and liquid wastes, water consumption and leakages, and the creation of greenhouse gases. Various public participation methods are used to raise awareness among stakeholders of citywide strategic issues affecting both the green and the brown environmental agenda. Limitations: the considerable demands on the time (and therefore the financial and human resources) of the elected politicians and appointed staff. This arises because of the extensive number of citywide strategies that have to be prepared, the need to monitor and approve local area-based plans, and the quasi-judicial hearings and debates involved. Private developers must refer to several strategies prepared at different points in time raising questions about whether the strategies contain subtle differences in policy. The SEA approach, being statutory and having to follow prescribed processes, lacks flexibility in being able to respond to rapidly changing events and may be unsuited to changes in urbanisation taking place in many cities of the developing world. What needs further testing: (i) public participation and facilitation methods so as better to engage the public in debates about citywide issues (ii) the level of language used in drafting strategy documents so that “ordinary people” can understand the text (rather than using the language of technical experts) (iii) the link between strategies, medium-term corporate investment plans and annual budgets. Each of the five model approaches (eco city planning, Strategic Environmental Assessment, Integrated Development Plan, ecoBUDGET and City Development Strategy) is capable of integrating the environment into a citywide planning and development strategy. Each approach provides scope for different kinds of integration at different scales in the city (i.e. an area management approach). Draft report, submitted for comments November 03, 2006 26 Section 3: Environmental methods and instruments This section commences with a description of the Melbourne Principles - often regarded as a starting point for cities wishing to achieve sustainable development - followed by a summary of ten methods and instruments that a city could use to integrate the environment into a CDS or SU project. The Melbourne Principles for Sustainable Cities The intention of the Melbourne Principles is to provide the basis of internationally recognised criteria on what makes a city sustainable. They provide a basis for integrating international, national and local programmes (UNEP-DTIE-IETC et al, 2002). The Principles codified cities as ecosystems perceiving cities as organisms that consume resources and discharge wastes at increasing rates. Treating cities as ecosystems recognises that cities are part of rather than apart from the natural world and that there are natural limits (UN-HABITAT, 2006). The ten principles, setting out the criteria for what makes a city sustainable, are: 1. To provide a long-term vision that expresses shared aspirations and addresses equal access to natural and human resources and shared responsibility for preserving these resources for future generations. 2. To achieve long-term economic and social security dependent on environmentally sound sustainable development. Economic strategies should meet basic human needs notably the right to potable water, clean air, food security, shelter, and safe sanitation. 3. To recognise the intrinsic value of biodiversity and natural ecosystems and protect and restore them. 4. To enable communities to minimise their ecological footprint. 5. To build on the characteristics of ecosystems in developing strategies for sustainable cities. 6. To recognise and build on the distinctive characteristics of cities including their human and cultural values, history and natural systems. 7. To empower people and foster participation. 8. To strengthen existing and establish new networks within and between cities. 9. To promote sustainable production and consumption. 10. To enable continual improvement based on accountability, transparency and good governance. Managing continual improvement requires relevant indicators, targets based on benchmarks, and monitoring and reporting systems The Melbourne Principles can be regarded as a guidance framework for integrating the environment into the design and implementation of a CDS but they need to be supplemented by tools that cities could use. The following table attempts to link the Melbourne Principles to some of the tools widely available for cities to work towards environmental sustainability. Melbourne Principle 1. Long-term vision 2. Long-term economic & social security 3. Value biodiversity and natural ecosystems 4. Minimise ecological footprint 5. Build on characteristics of ecosystems 6. Recognise & build on characteristics of cities 7. Empower people and foster participation 8. Strengthen existing and build new networks 9. Promote sustainable production & consumption Instruments for environmental sustainability Visioning techniques, participatory methods, environmental profiling and SWOT analysis Monitoring systems, indicators & targets, AQM Environmental profiling Rapid ecological footprint assessment Environmental profiling and Strategic Environmental Assessment (SEA) Environmental profiling and SEA Partnerships and participatory methods Partnerships and participatory methods EcoBudget, eco procurement Draft report, submitted for comments November 03, 2006 27 10. Facilitate continual improvement Monitoring systems including setting measurable targets. Æ For further information see www.iclei.org/mp Methods and instruments This sub-section provides information about policies and practices, planning instruments, and management systems that relate to the Melbourne Principles for Sustainable Cities, the Millennium Declaration (MDG 7) and the case studies. Each of the methods and instruments described below have been developed, tested and used by cities and their development partners to integrate environment and development. The case studies in Annex Two have utilized one or more of the methods outlined below, and where appropriate links to the specific case have been provided. To distinguish between the variety of methods and instruments available to municipalities, the following section is divided into policy instruments, planning processes, planning instruments, and management systems. In addition to the tools summarised below, three case study cities have invested in environmental education within schools (Goiania, Yangzhou and Cape Town) and two cities used Environmental Protection Volunteers to raise awareness of the environment (Bangkok and Yangzhou). In Bangkok, Thailand, the Urban Management Toolbox and the Metropolitan Master Catalogue were developed to act as the driving forces for the physical development of the city. The Urban Management Toolbox is comprised of the Bangkok Agenda 21 linked to the municipal budget, a Metropolitan Master Catalogue, 50 District Catalogues and an on-line database disaggregated down to 50 districts. Of the various tools in the toolbox, the Metropolitan Master Catalogue is the driving force for the physical development of Bangkok. It contains the overall development targets for the city, an overview of urban functions and of the existing infrastructure. Containing overall development targets for the metropolis, and an overview of urban functions and infrastructure, the Metropolitan Master Catalogue links physical development to the budget and enables the administration to guide urban development. Policy Instruments Sustainable procurement (eco procurement, green purchasing) If a local authority pursues sustainable procurement (green purchasing), it bases all purchasing decisions for goods and services and the allocation of contracts on environmental and social criteria in addition to cost and quality considerations. Sustainable procurement positively contributes to environmental protection at the local level, creates a powerful market demand for green production methods, strengthens local jobs, and serves as a model for private companies, institutions and individuals (ICLEI, 2000a). In the City of São Paulo, Brazil a municipal decree established the Environment Quality Municipal Program to promote changes in purchasing patterns and to encourage technological innovation. The program likewise aimed at introducing sustainable procurement practices. In practice this has meant that São Paulo has shifted from being a production-oriented to a serviceoriented city. The municipal ordinance established the following sustainable procurement practices: • A ban on the use of mahogany (an almost entirely endangered species of wood); • The creation of a board to review the criteria on the purchase of municipal Draft report, submitted for comments November 03, 2006 28 • • • furniture; Incentives for using certified wood in production; Incentives for substituting asbestos in civil construction; and Production of the consumers’ sustainability guide on wood and wood products. São Paulo has had great success in promoting sustainable consumption and production in the sectors of civil construction, government procurement, wood furniture industries, waste management, and the paper industry. Ideally, Life Cycle Analysis examines the environmental impact of a product from its design to its disposal, i.e. from raw material extraction, manufacturing, packaging, transport, storage, use and after use. An environmentally preferable product or service has an overall minimal impact on the environment throughout its lifespan. This scientifically reliable method is widely regarded as “sophisticated” and, in practice, has limited applicability because of a lack of Life Cycle Analyses for products and services. Eco-labels are an alternative to Life Cycle Analysis to help a local authority wishing to identify green products. Some of the better-known (and reliable) eco-labels are ‘Blue Angel’, ‘Nordic Swan’, ‘Austrian Tree’, and ‘EU flower’. White goods produced and sold in some developing countries now have energy efficiency rating labels attached, e.g. PR China. To establish whether an eco-label is available for a certain product category could be a rather time-consuming task but an alternative tool is available in the form of the Global Eco-labelling Network’s website (see www.gen.gr.jp/members.html). When a local authority is unable to refer to a Life Cycle Analysis or an eco-label, it could identify a green product by undertaking a simplified study of the product’s life cycle as indicated in the table below. Simplified method of studying a product’s life cycle Environmental consequences Product characteristics Material Composition Transport Manufacturing Packaging Product use End of life Ecological alternative Recycled material Renewable material Non toxic substance Short distance Transport means Taking environment into account Reduction Durability Reparability and upgradability Compatibility with equipment/ user habits Energy requirements Safety for users Re-use potential Recyclability Disposal Material X X X Energy X X X X Emissions Waste X Action Use recycled toilet paper Use recycled crushed rock rather than gravel X X X X X Use chlorine-free paper Buy local products Make use of rail transport Choose a producer with an EMS system X X X X X X X X X X X X X X X X X X X X X X Buy without packaging Choose computers that can be upgraded Use low energy light bulbs Use alternative pesticides Buy refillable cartridges Source: Based on ICLEI, 2000a, page 11. Footnote: “X” indicates influence each purchasing decision can have on that environmental factor Draft report, submitted for comments November 03, 2006 29 A step-by-step method for concerted action on eco-procurement comprises the following (ICLEI, 2003): Step 1: prepare a procurement inventory detailing the quantity of certain products purchased, the expenditure, and the sustainability considerations Step 2: set product specific targets based on the capacity and determination of the local authority (e.g. to achieve 20% green electricity use by 2012) Step 3: develop an action plan taking due account of existing contracts Step 4: implement the action plan Step 5: monitor progress and report results to the council and to the public. An increasing number of local authorities are now implementing an environmental management system (EMS) to motivate all parts of the administration to improve the environmental performance of their operation. EMS could have a big impact on a local authority especially as regards purchasing. Moreover, a local government may oblige its contractors to achieve an EMS certificate (e.g. EMAS and ISO 14001). Æ For further information see: www.dti.gov.uk/social enterprise (for public procurement kit) www.melbourne.vic.gov.au/sustainablebusiness www.sustainable-development.gov.uk/sdig/ Planning Process Visioning methods A useful starting point in the visioning process is to compile a list of city assets. These vary from one city to another but might include a strong sense of community spirit, a relatively low crime rate, green spaces within the inner city, and a large number of mature urban trees. The compilation of such a list is seldom contentious; it helps stakeholders to work together and focuses minds on what needs to be conserved. Secondly, a list of environmental problems and issues should be compiled that stakeholders consider need to be resolved to protect community assets or to create a "better" living environment in the longer term. A visioning conference has been found to be an effective method of achieving a comprehensive vision for the future. It is a large meeting that brings together all stakeholder groups to address a task-focused agenda although how many people can effectively participate is an open question. The theory underlying a visioning conference is that by working together for a concentrated period individuals from a wide range of backgrounds, knowledge, interests and responsibilities are able to take a holistic view of the issues, recognise that their concerns are linked, and produce a city vision. Additional benefits arise from a visioning conference: awareness is raised, the public are motivated to become involved, a sense of identity is fostered within the city, everyone’s view is seen to be valued, partnerships are formed that can assist implementation, and a basis for conflict resolution is established. Small group discussion is desirable but this requires skilful facilitation is a specific skill. Facilitation is often a natural skill and training might only be of limited help. Indeed, visioning conferences generally require one or more experienced facilitators, perhaps hired from an outside Draft report, submitted for comments November 03, 2006 30 agency, to lead the discussion. Participants should be encouraged to assume some level of responsibility for the event by fulfilling certain roles (e.g. discussion leader, time keeper, recorder and reporter). To ensure total involvement, a steering group should be set up to plan and organise the visioning conference and encourage participants to attend all sessions. The steering group should use the checklist (set out below) as a guide for organising a visioning conference (GTZ, 1997). The completion of the visioning conference should be marked by the publication of a report that comprises a list of community assets and the agreed long-term vision for the city. The visioning report should be submitted to the city council and made widely available, e.g. to the media. Visioning methods are time-consuming both for elected members and staff but they provide a firm foundation for policy formulation. The Calgary case study provides an interesting example of a 100-year vision, a 10-year plan and 30-year targets and strategies (see www.imaginecalgary.com). Checklist for a visioning conference Step 1: Decide venue, dates and timing y Consider holding a two-day weekend conference. Step 2: Advertise the conference y Use local media (press and radio). y Leaflets and posters. Step 3: Issue invitations to y Local residents, women’s groups and business people. y Representatives from the city council. y Representatives from the basic sectors. y Service providers. y Representatives from national government agencies. Step 4: Consider format of the agenda y Importance of lead person setting the tone and guiding the discussion. y Reflect on the aims of the meeting. Step 5: Identify community assets and hold first discussions y Identify and categorise community assets. y Identify local issues and question whether global issues affect the area. Step 6: Reflect on outcome of early discussion points y Illustrate complex interconnection between issues and highlight need to solve problems in a holistic way. Reflection should also help to identify common ground and to create ideal future scenarios. Step 7: Feedback session y Spokespeople feed back outcomes of discussions. y Summary of general discussion and conclusions. Source: based on GTZ, 1997 Æ For further information see www.plusnetwork.org Participatory methods Draft report, submitted for comments November 03, 2006 31 What does public participation mean: it can simply mean informing local people about the CDS or it can mean working in partnership with local stakeholders (including representatives of the local government, the business community and civil society) and providing skills and resources to enable them to make an input into the preparation and implementation of the strategy. In between these extremes there are numerous ways to consult and involve the public but each could be time-consuming both for elected members and staff. Participation means active co-operation, through partnerships between and amongst the public, the business community, decision-makers and support staff from the city administration to the benefit of all concerned. Public participation is ongoing and will develop over time; it is not a one-off event. It is important that participation and influence is genuine when it comes to real issues of tough choices and is not a listing of wishes that does not include negotiated priorities. When should the public become involved: the public could be invited to participate at any stage in the preparation and implementation of the strategy but it is generally recommended that a city administration benefits by inviting the public to participate as early as possible in the planning stage. Why the public needs to be involved: involving the public, improving communication, and achieving results that are more relevant to the public’s perceived needs, strengthens the city administration, makes its decisions more sustainable, and increases respect for the work it undertakes. In this way, it is often argued that everyone benefits. In many countries, e.g. Thailand, public participation is now written into the national Constitution (Sections 76 and 78). Moreover, legislation provides that the public must be part of the city administration’s decision-making processes and actions. How the city administration benefits from public involvement: the public’s input of local knowledge, experience, time, and skills eases the workload of the city administration and contributes to the future development of the locality. Technical experts have an important part to play in the preparation and implementation of a CDS but they do not have a monopoly of wisdom. Local stakeholders can contribute, e.g. by identifying priorities. If the public feel a sense of ownership of the CDS they will be more committed to its implementation. Citizens in democratic societies tend to demand services and expect them to be provided but seem reluctant to give much back to their community in return. Participatory practices help to redress the balance whereby citizens contribute time, ideas and effort and by their efforts receive better services. This promotes a sense of equity and reduces the likelihood of confrontation with the city administration in future provided that stakeholders can see a positive response to their input. Reference documents: a number of publications are available on partnerships and participatory methods to involve the public in urban planning and the environment. One such example provides a Guide for the following selected practices for local governments: a task force; a round table and an expert panel; a workshop; a Citizens’ Advisory Group; and, a Public Forum (GTZ, 2000a). For each of the five practices (above), the Guide clearly sets out: Who are the actors What are the roles of the different actors How the public could be approached Draft report, submitted for comments November 03, 2006 32 What needs to be done to gain good output What hints can be provided about methodology for a moderator What resources are necessary When specific action is required No purpose would be served here in repeating at length the content of this Guide (GTZ, 2000a), which is understood to be available directly from the German Technical Co-operation (GTZ), contact details listed in annex . Æ For further information on participation see www.naga.gov.ph and www.iap2.org/ The Sustainable Cities Programme (SCP) – a global technical co-operation activity of UNHABITAT and UNEP – works with local partners at the city level to strengthen their capabilities for environmental planning and management (EPM). There is a common approach shared by all SCP cities that includes a long-term integrated vision, “broad-based participation by public, private and community sector groups” (UN HABITAT and United Nations Environment Programme (UNEP), 2001) and institutionalisation. Æ For further information on the SCP Source Book Series see www.unhabitat.org/scp Planning instruments The environmental profile An environmental profile has a number of functions: it provides a common understanding of a how a city’s economic sectors interact with the environment (in terms of resources and hazards); it provides information about the institutional framework (a city’s management systems); and, it helps to identify/mobilise local stakeholders with interests in development and the environment (UN-HABITAT and UNEP, 1999). In Bayamo, Cuba the preparation of an environmental profile of the city in consultation with more than 100 actors and it was documented in the “Bayamo Urban Environmental Profile” (Diagnostico Urbano-Ambiental de la Ciudad de Bayamo) was the first step in the process of integrating environment into development. This profile identified the sectors and institutions involved in local development and their links with the environment. Furthermore, it offered a description of urban and environmental risks and resources, as well as, an identification of the existing mechanisms for information exchange, coordination and decision-making. As such the profile has proven to be a very innovative document compared with traditional diagnoses, since for the first time, the interactions between development and the environment were analyzed. The profile, as one of its most basic features, serves as a common information base for all project partners. By presenting the urban environment institutional framework, it was possible to identify institutional strengths and weaknesses that the project in turn could address. [Full case study can be found in Annex 2] An environmental profile might comprise four sections as set out below: Draft report, submitted for comments November 03, 2006 33 Broad structure of an environmental profile Section 1: City Introduction Introductory information about the city including the geographical and physical setting, social characteristics and the economy. A few basic maps may illustrate the information. Section 2: The development context A description of the city’s economic sectors (e.g. manufacturing industries, mining, service sector, construction, fisheries etc.). An outline of the use of environmental resources by each sector of the economy (in terms of type, quantity and quality of resources), e.g. the use of ground water by local manufacturing industry. An analysis of the impact of each economic sector on the environment. An economic activity might affect environmental quality (degradation), e.g. polluting the air or local watercourses, or it might reduce the quantity of resources (depletion), e.g. over-extraction of ground water. An economic activity might impact on environmental hazards, e.g. the construction industry might develop wetlands, reduce water absorption capacity, and cause seasonal flooding. Section 3: The environment context The identification and analysis of each of the city’s principal environmental resources and hazards. The use of an environmental resource by each economic activity is aggregated so that the total use of that resource can be assessed. A synthesis of the various (qualitative and quantitative) impacts on a resource from different economic activities. The synthesis also highlights conflicts of interest, e.g. pressures on urban lakes. Section 4: City Governance and the environmental management context A description of how the city manages environment/development issues. This section comprises the following four parts: A review of the quality of governance A list of key actors and interest groups The identification of institutions involved in managing urban development and environment (who deals with policy formulation, co-ordination, and implementation) How the city’s overall environmental management system is operating in respect of development/ environment issues. Source: UN-HABITAT and UNEP, 1999 An environmental profile should be quickly assembled from existing information and data rather than the product of an expensive, time-consuming research project. As such it is a form of rapid urban environmental assessment. Given that it will be made widely available to local stakeholders, it must (so far as possible) be free from jargon and written in a simple style that may contain some technical information but is presented in a clear and comprehensible way. Æ For further information see www. unhabitat.org/scp SWOT analysis A SWOT analysis is a valuable tool that can be quickly applied to different stages of the strategic planning approach, e.g. during visioning. It can be used to provide a rapid up-to-date picture of a local situation and help the city administration to determine its ability to act. The use of SWOT analysis enables a note of realism to be quickly injected into strategic thinking (GTZ, 2002). Draft report, submitted for comments November 03, 2006 34 It helps to understand what is meant by the words ‘strengths’, ‘weaknesses’, ‘opportunities’ and ‘threats’ in the context of the strategic planning approach. Meaning Example Strength A resource or an asset of the city A natural or man-made feature (a river or an historic building) Weakness A shortcoming of the city or neighbourhood Illegal dumping or waste burning in parts of the city Opportunity A chance that arises externally that might enhance the city and the well being of its citizens A growing trend among foreign tourists to visit historic buildings has yet to result in a growth in tourist numbers in the city Threat An external factor that might cause problems Industrial discharge to the river upstream may pollute the water supply, cause health problems, and create foul smells A SWOT analysis is an assessment of internal strengths and weaknesses (i.e. within the control of the city administration) and external opportunities and threats (i.e. outside of the jurisdiction and therefore control of the city administration). Internal factors might include: Resources: people, management, natural and man-made assets, economic, information. The present strategy of the city administration or one of its departments. A policy consensus within the city council. The capacity/capability of the city administration to implement policies. The level of autonomous funding and thus the extent of local discretion. External factors might include: Resource constraints – availability of energy at affordable prices. Forces: political balance of power at the provincial or national level. Institutional arrangements/private actions outside the control of the city administration. Public support/opposition Legal mandates. It is convenient to prepare a SWOT analysis on one sheet of (say) A4 paper (as set out below) Strengths Weaknesses Opportunities Threats Draft report, submitted for comments November 03, 2006 35 Rapid ecological footprint assessment An ecological footprint (EF) is the area of ecologically productive land required to provide the resources consumed within and to absorb the wastes generated by a city expressed in terms of hectares per capita for a specific year. When compared to international data, it indicates whether a city uses natural resources sustainably and it is therefore a useful management tool. In 2001, the global average EF was 2.2 ha per capita although there were only 1.8 ha per capita of biologically productive land available on Earth (Global Footprint Network et al, 2005). In other words, it took more than twelve months for nature to replenish the renewable natural resources used by human activity in 2001. This challenge will intensify because it is estimated that the biologically productive land per capita will decline to 1.44 ha (2050) due to growth in the global population (Best Foot Forward, 2002). Most cities in the developing countries of Africa, Latin America and Asia have an EF below the global average although neighbourhoods within those cities often show sharply contrasting fortunes, e.g. Cape Town (Swilling, 2006). The following table provides a framework for the preparation of a rapid EF assessment (based on Best Foot Forward, 2002). Basic framework for a rapid EF assessment Resources Quantity Conversion factor Total area of land (ha) Energy consumption Electricity Gas Liquid fuels Renewable energy Solid fuels. CO2 emissions generated from fossil fuels Materials Production Consumption Stock creation Timber Metals Chemicals Other raw materials Food: consumption by food type Waste: materials discarded by: Households Commercial undertakings Industry Construction sector Transport: passenger km and CO2 emissions by: Car Bus Rail Air Other modes of movement Water: Consumption by sector Leakage Land use: a break down of land used within the city Total Draft report, submitted for comments November 03, 2006 36 It can be deduced from the above framework that there are specific steps in the establishment of an EF for a city: Step 1: Establish the total quantity of resources used by the city in a specific year Step 2: Apply a relevant conversion factor (see www.footprintnetwork.org) Step 3: Calculate the area of ecologically productive land required to provide the resources consumed within and to absorb the wastes generated by a city Step 4: Divide the total area of ecologically productive land (from Step 3) by the total resident population of the urban area to arrive at the City EF. A city administration should compare its EF with the global average EF (as a benchmark) and those of other cities. In subsequent years, a comparison between the City EF for Year 1 with the City EF for (say) Year 3 would establish whether a city is becoming more (or less) sustainable. It should be noted that the use of an EF as an indicator of sustainable resource use is still relatively new and the Global Footprint Network (GFN) has highlighted the desirability of a consistent approach to methodology and analyses to ensure that results are credible and comparisons can be made between cities. Cities should therefore monitor progress in attempts to agree standards by reference to the GFN website (www.footprintnetwork.org). Æ For further information see www.footprintnetwork.org, www.ecologicalfootprint.com and www.citylimitslondon.com/ Monitoring system and indicators An effective monitoring system is central to the strategic planning approach and a vital management tool to enable cities to keep track of progress in implementing a plan to manage urban change (Cities Alliance, 2005) but it is time-consuming in terms of date collection, analysis and reporting. Bohol, Philippines In Bohol Province, the Program Framework on Poverty Reduction led to the establishment of the Local Governance Poverty Database Monitoring System (LGPDMS), a software/database that records and ranks levels of deprivation. Developed with the Bohol Local Development Foundation, the software has 19 indicators (child mortality, child malnutrition, crime, disability, electricity, food shortage, food threshold, garbage disposal, literacy, income threshold, meals, health insurance, sanitation, school drop-outs, tenure status, unemployment, water, and waste water disposal). The database can identify and rank levels of deficiency at the municipal, village and household level. It is currently being expanded to include more environment-related indicators. As a tool, it makes possible the accurate targeting of households and villages for projects in support of poverty reduction. It can also track the impact of specific interventions including their correlation over time. [Full case study can be found in Annex 2] The following checklist should be considered at the outset: 9 Actions Are hidden costs as well as overt costs involved? Should the output be available to the general public and if so how? Should monitoring be achieved in partnership with local stakeholders (individuals and organisations) and if so how? Draft report, submitted for comments November 03, 2006 37 Does the city council already have monitoring systems in place that could be used? Are existing monitoring systems available elsewhere in the city that could support attempts to establish an M&E system for the CDS? How frequently should evaluation be undertaken and feedback reports prepared? Source: based on GTZ, 1997a The main foci of monitoring are indicators and targets set out in the CDS. An indicator is derived from an objective and is used to track progress towards a target (relative to an initial base-line measurement). A target must be achievable, include a time element, be measurable, and have the active support of local stakeholders. Monitoring activity involves taking measurements at regular intervals, recording and storing data for easy recall, making data available to local stakeholders, keeping track of events, analysing trend lines, and recommending corrective action where it seems that a target will not be reached. The basic steps involved in a rudimentary monitoring system are set out in the Checklist below. 9 Actions Taking measurements and storing data Establish a base line measurement for each indicator at the beginning of the monitoring period. Continue to measure each indicator at regular intervals, e.g. on the first day of every month. Measure indicator against the target set for a specific date. Record and store data so that they can easily be retrieved. Provide a back-up system whether a computer or on a card index system is used. Keeping track of events Use A4 graph paper and the monitoring data taken for an indicator at regular intervals. Draw the horizontal and vertical axes on the graph paper Write “time” along the horizontal axis and “units of measurement” against the vertical axis. Divide the horizontal axis into equal time periods based on the monitoring interval. Calculate a scale for the vertical axis. This will differ for each indicator and will depend on the range of measurements involved. Plot monitoring data for each indicator on a separate sheet of graph paper (one at a time). Plot the base-line measurement at the start of the monitoring period. Plot each measurement of an indicator taken at regular intervals and produce a trend line by joining successive points. Plot the target proposed in the plan 10 Analyse the trend line and consider and document whether corrective action needs to be taken in the light of trends to date and the target ahead. Source: based on GTZ, 2000 There is a wide range of literature on indicators, prepared by such organisations as UN Commission on Sustainable Development, OECD and UNEP. UNEP, for example, is developing indicators as part of city environment assessment methodology to analyse how urbanisation impacts on the environment through pressures on natural resources and urban ecosystems (UNEP, UN-Habitat & UN-ESCAP, 2005). Indicators must relate directly to the economic, social and environmental objectives of the CDS derived from the city vision and the views of local stakeholders. It would be unrealistic to prescribe a list of indicators to meet the needs of every CDS. But, when considering which Draft report, submitted for comments November 03, 2006 38 indicators of environmental sustainability to include, cities could consider the following table drawn from MDG7 and current work by UNEP on city environmental assessment methodology. Basic indicators of environmental sustainability Indicator Benchmark Baseline Target Population growth (total number of inhabitants over a ten year period) Area and population of legal and illegal urban settlements (km2 and number of inhabitants) Dwellings in low-income settlements to be upgraded (number of dwellings) Land use changes from non-urban to urban use (km2 of urban area) Proportion of city residents without access to secure tenure Gini index (social inequality) Incidence of following diseases: diarrhoea, poliomyelitis and Hepatitis A, tuberculosis, worm infections, skin and eye infections, insect transmitted diseases e.g. malaria, yellow fever, dengue (number per 1000 population per annum) Death rate per 100,000 residents per annum from cardiovascular and respiratory diseases, strokes, cancer, and HIV/AIDS Population with access to piped, safe drinking water (number and % of total) Population in dwellings without access to septic tank or an urban sewerage system linked to a wastewater treatment plant (number of inhabitants and volume of untreated sewage) Generation of household solid waste (kg/per capita/per day or per annum) Collection of household solid waste (% of households) Emissions of CO2 equivalent per capita/annum (tonnes) (2) Atmospheric emissions: volume (tonnes/capita/annum) and number of days/annum when WHO standards for PM10, CO, Nox, C6H6, Pb & SO2 at specific monitoring points are exceeded Consumption of gas & electrical energy (KWh/ per capita/annum) (1) Water consumption (litres per capita per day or annum) Reduction of land covered by forest and woodland (ha) Loss of natural vegetation cover and green areas (ha) Area of environmentally-sensitive land protected to maintain biodiversity (ha) Footnotes (1) GDP per unit of energy use is sometimes used (2) CO2 equivalent It may be prudent to start from small beginnings and build the system up so that it eventually covers the entire range of indicators (i.e. economic, social and environmental). By monitoring indicators at regular intervals, the stakeholders will have information available about interim and end term changes which have occurred as a result of actions taken. The information will show the stakeholders (and the public) whether targets have been reached, and will provide a basis for an evaluation and feedback reports. Æ For further information see www.undp.org/eo/Methodology Strategic Environmental Assessment (SEA) SEA is an instrument to ensure that the environmental impact of policies and programmes set out in early drafts of a development strategy (e.g. a CDS) are identified, assessed, mitigated, communicated to decision-makers and the public, and monitored. In the European Union, SEA Draft report, submitted for comments November 03, 2006 39 has become an important instrument to help cities to work towards the long-term goal of sustainable development in public planning and policy making (see EU Directive 2001/42/EC). Key features of a SEA include: It enables the environment to be integrated into a development strategy It provides opportunities for local stakeholders to be involved It contributes to the long-term goal of sustainable development It strengthens the planning framework within which strategic decisions are made It forms part of an iterative process that is carried out very much in parallel with the preparation of the CDS. (See http://www.sea-info.net/content/overview.asp?pid=94). In some cities, e.g. London, the SEA was commissioned by the Mayor but undertaken by an independent, external Consultant. Stages in the preparation of a SEA can be summarised in five steps undertaken very much in parallel with the development of the development strategy (henceforth referred to as the CDS), i.e. while alternatives are being considered. Step 1 - Context and baseline: at the outset of the preparation of the CDS, the city administration needs to consider the availability of background information, possible objectives and indicators, and who will undertake the SEA. These matters must be resolved before issues and options are being developed for the CDS. Step 2 - Scope: the city administration, in conjunction with a local stakeholder group, must determine the likely scope of an environment report and the level of detail to be examined during the SEA. Any statutory environmental bodies should be formally consulted in this process (in addition to being represented on the stakeholder group). It is at this stage, and in a parallel activity, that alternative policies and programmes for the CDS are formulated. Step 3 - Assessment and mitigation: an assessment is made of the likely impact on the environment of alternative policies and programmes being developed as part of the evolving CDS. Where it appears that aspects of the CDS would have significant adverse effects on the environment, recommendations need to be made as to how the impacts could be reduced, prevented or offset. The assessment and mitigation measures are set out in the environment report. Step 4 Consultation and report: the environment report is a key component of the SEA process and must be made available for public consultation at the same time as the draft CDS. After responses (to the two consultation documents) have been received, a public statement must be made explaining how the environment report and the public response have been taken into account during revisions to the CDS. Step 5 Monitoring the implementation of the CDS: this activity ensures that action conforms to the expressed intention of minimising the impact of development on the environment. Monitoring highlights any unforeseen adverse effects of CDS policies. This step must include reporting and feedback activities to reassure elected members and the public that agreed mitigation measures have been honoured. (See http://www.trl.co.uk/trl_sea/content/main.asp?pid=230 The five steps of a SEA can be time-consuming. Æ For further information see www.environment-agency.gov.uk, Strategic Environmental Assessment of Policy, Plan, and Program Proposals: CIDA Handbook – http://www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/EMA-218131145-PHA Draft report, submitted for comments November 03, 2006 40 Management systems ecoBUDGET© ecoBUDGET is a system developed by ICLEI to implement the concept of local environmental budgeting. It provides a city with a method of controlling the city’s consumption of natural resources and environmental goods and a framework for political decision-making within the long-term goal of environmental sustainability (ICLEI, 2002 and 2004). ecoBUDGET was anchored in the Aalborg Charter, 1994 that called for environmental budgeting instruments to manage natural resources as efficiently as “money”. After some years of piloting the system in Europe, it was confirmed at WSSD (Johannesburg, 2002) as an appropriate mechanism for implementing LA21 and supporting attempts to achieve sustainable development. The environmental budgeting cycle runs in parallel with the financial budgeting cycle with which the public, decision-makers and senior administrators are already familiar. An environmental budget, however, is based on environmental indicators measured in physical quantities rather than attempting to place a monetary value on natural resources and environmental goods. Each annual environmental budgeting cycle broadly comprises the following phases: Phase 1 – The administration prepares the environmental budget (i.e. ecological spending framework) based on maximum levels of natural resource consumption and environmental targets. The process of preparing an environmental budget is similar to that of a financial budget. The department in charge of environmental budgeting asks all departments to come up with their estimate of demand on natural resources for the upcoming budget year. The central department discusses and negotiates demands with the other departments and compiles a consolidated environmental master budget. The city council and its committees, accompanied by public discussion, publicly discuss the draft budget. The city council approves the ecoBUDGET. Phase 2 – the administration implements the environmental budget, monitors, controls and accounts environmental expenditure (natural resource use). Phase 3 – the administration prepares the environmental budget balance, i.e. a statement of environmental accounts presenting targets against performance for each account (e.g. freshwater consumption), and a statement of environmental assets describing the increase or decrease of natural assets (e.g. the capacity of a forest to serve as a CO2 sink). A sample ‘master’ environmental budget sheet is set out below. Sample of part of a master environmental budget sheet Resource (Indicator) Climate stability: CO2 emissions t/pa Air quality: # days/pa with O3> =120ug/m3 (8-h av.) Land: Loss of agricultural land Base year Comparison 2004 Budget year 2005 Mid-term target 1,400,000 (1990) 1,200,000 1,180,000 1,050,000 (2008) 45 (2001) 36 30 20 (2010) 100 95 90 75 Draft report, submitted for comments November 03, 2006 Comments 41 to urbanisation Water: Consumption of potable water (l/capita/day) (2000) 116.6 (2002) (2012) 112 111 108 (2008) Source: based on ICLEI, 2002 Æ For further information see www.ecobudget.com Very much in parallel with ecoBUDGET, the ‘eco-audit’ (environmental management systems according to EMAS or ISO 14000 standard) found its way into the European local communities (ICLEI, 2000). Originally, private companies used this method for their own environmental management purposes. In 1999, eco-audit specialists, at a workshop in Spain, concluded that both systems should complement each other. Without eco-audit the potential for continual improvement would be neglected: without ecoBUDGET, local authorities would neglect political decision-making. Air quality management system Air pollution damages natural ecosystems, the fabric of the built environment, and human health. An example of damage to natural ecosystems is acidification, i.e. air-borne chemical pollutants (mainly SO2, NOx and ammonia) deposited on vegetation, surface water and soils often at some distance from the point source. Erosion and discolouration of stone surfaces through acidic deposits (from SO2 and NO2 emissions) on external surfaces of urban structures and the effects of ground ozone are examples of how air pollution damages the fabric of the built environment (Greater London Authority, 2002a). Six air-borne chemical pollutants are particularly responsible for adverse effects on human health especially among young children, the elderly and the poor, i.e. PM10, NOx, CO, C6H6, SO2 and Pb. The human activity causing the pollution must be identified before air quality improvements and management systems can be considered, e.g. the literature (mainly Greater London Authority, 2002a) shows that: Road traffic is a major and increasing source of NO2, CO and PM10 emissions in urban areas. Emissions from the production of manufactured goods depend on the type of industry located in a city, e.g. lead (Pb) stems from metal processing. Urban construction-related activities greatly contribute to PM10 levels. A significant percentage of urban air pollution arises from the use of energy in buildings. Reductions in these emissions require more energy efficient new and existing buildings, increased fuel efficiency, and greater use of renewable energy technologies. Some cities lead by example to reduce polluting emissions, e.g. using clean technology in the public bus fleet to reduce PM10 and NOx emissions, regulating licensed taxis and private buses to reduce emissions, and adopting eco-procurement. Burning household waste and the type of fuel and cooking stoves used in informal settlements of cities in developing countries contribute to excessive SO2 levels. Most city administrations use instruments created by national legislation in an attempt to manage air quality. These instruments frequently include ambient air quality standards, emission control regulations for motor vehicles, vehicle inspection regulations, industrial source permit requirements, building regulations, and Environmental Impact Assessments. Draft report, submitted for comments November 03, 2006 42 An alternative system to ad hoc regulation is the preparation of a city air quality management strategy based on the strategic planning approach. It would involve (based on CAI-Asia, 2005): 1. A high level of citizen participation 2. An Air Quality Profile of the multiple sources of air pollution and an assessment of the impacts on the natural ecosystems, the fabric of the built environment, and the risks to human health of various sectors of the resident population 3. A brief vision or direction-setting statement expressing the collective view of local stakeholders about the air quality standards they want to achieve in the long- term 4. A number of objectives for restoring air quality relating to the long-term vision 5. The identification of a limited number of key issues with a high priority, i.e. the strategic thrusts relating to the objectives 6. One or more indicators each with associated baseline data and target for every key issues with a high priority 7. A monitoring system Æ For further information see www.cleanairnet.org/caiasia/1412/, www.awma.org, http://www.unep.org/dpdl/urban_environment/publications/index.asp and www.earthscan.co.uk (for air pollution and health) There are a substantial number of methods and instruments for integrating the environment into a city development strategy or a slum-upgrading project. Basic information about ten widely used methods and instruments is provided (visioning; participation; the environmental profile; SWOT analysis; M&E systems; air quality management systems; Rapid Ecological Footprint Assessment; Strategic Environmental Assessment; ecoBUDGET; and, sustainable procurement) together with sources for further information. Draft report, submitted for comments November 03, 2006 43 Section 4: Conclusions Economic development and the environment cannot meaningfully be dealt with separately. Economic activity affects the environment through the consumption of raw materials, the use of land for production, and as the final destination for solid, liquid and gaseous wastes and emissions. City development clearly affects the environment and environmental conditions equally strongly affect city development. It makes no sense to deal separately with policy issues that are inextricably linked. Cities worldwide, but especially in developing countries, are competing for external investment (and the creation of wealth and jobs) in a global economy. Water, air and soil pollution impose additional costs on business and industry. Inefficient use and depletion of natural resources increase input prices and operating costs and deter new investment. A failure to deal with environmental degradation and hazards today leads to greater problems and costs tomorrow. By contrast, eco-efficiency would result in lower operating costs for local businesses and give the city a competitive advantage. There are benefits to the city’s financial budget of integrating the environment into urban policy and planning, e.g. recycling of household waste creates jobs and produces income from the sale of recyclable resources, quite apart from demanding less landfill space and fewer natural resources. An environmental budget (ecoBUDGET) should therefore accompany the financial budget. City marketing needs to promote a healthy and attractive environment. The attractiveness and liveability of a city, especially its environmental qualities, are persuasive arguments: it is virtually impossible for an unattractive city to move into higher value economic activity. A city mayor committed to sustainable urban development provides the administration with a powerful marketing tool. It helps if prospective investors can see that sustainable resource use has been factored into the CDS especially the cost of known restraints such as finite water supplies, energy costs, the economic and job-creating potential of eco-efficient industries, and local urban agriculture. There is a clear link between health, environment and poverty. A city mayor should endeavour to reduce environmental hazards and the risks to the health of his/her constituents. Absence due to sickness among the workforce adversely affects the economic efficiency of local industry, and the competitiveness and attractiveness of the city to external investors. Moreover, local environmental hazards (especially in peri-urban areas) are potential sources of pandemics quite apart from running counter to the principles of equity and social inclusion. There are useful guidelines, methods and tools that cities can refer to aid them in incorporating the environment in their planning and management, for example the Melbourne Principles for Sustainable Cities (see www.iclei.org), the Strategic Environmental Assessment source (see http://www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/EMA-218131145-PHA#6), ecoBUDGET source (see www.ecobudget.org) and the HabitatJam Actionable Ideas publication (www.habitatjam.com/ideas.php#i6). A substantial toolkit of methods, tools and instruments already exists that a city administration could use to integrate the environment, including: Draft report, submitted for comments November 03, 2006 44 • • • • Policies and practices (sustainable procurement including tools such life-cycle analysis or eco-labels), Planning processes (visioning methods, participatory methods), Planning instruments (environmental profile, SWOT analysis, Rapid Ecological Footprint, Monitoring system and indicators, Strategic Environmental Assessment), and Management systems (ecoBUDGET, EMAS and ISO 14000, and air quality management systems). Mayors, as temporary custodians of the local environment, have a moral responsibility for future generations (some of whom, in their early childhood, will already be residents of the city). Living sustainably within the Earth’s eco systems is fundamental to social and economic development in the medium and long-term. It should not be assumed that technological innovation would make good the shortfall in natural resources in years to come (i.e. the precautionary principle). Draft report, submitted for comments November 03, 2006 45 Section 5: Recommendations 1. Cities Alliance should strengthen one of the selection criteria set out in its Guidelines for the Submission of Proposals. The penultimate criterion should be modified to read: “Positive Impact on Environment: Activities supported by the Cities Alliance must achieve significant environmental improvements that must be clearly stated in each proposal. The proposed activity must include the setting of concrete target for environmental quality and the use of natural resources to be achieved during the course of the project. Any activity in which negative environmental impacts could be anticipated must include an Environmental Impact Assessment and a Mitigation Plan as prior conditions for consideration. The applicant must demonstrate how a CDS or SU activity would integrate and institutionalise the sustainability aspect of city development or regeneration.” Once a proposal has been approved, Cities Alliance should require cities conducting a CDS process to include a Strategic Environmental Assessment of the Strategy, and to present the outcome (assessment of expected impacts, mitigation strategies) to the Cities Alliance as part of the reporting requirements. Only this way the Cities Alliance can examine if funding provided leads to environmental hazards and significant mitigation costs. Together with the approval of a CDS or SU activity, the Cities Alliance should require the applicant to establish a system for the ongoing monitoring of environmental quality and the use of natural resources against the targets, and public reporting on performance on an annual basis. Cities applying for CA funds must state how they propose to institutionalise (and therefore sustain) the whole process of integrating the environment into planning strategies and the management of their implementation so that it continues once funding for the project has ceased. Cities receiving Cities Alliance funding should be made aware of one of the most suitable and effective methods of managing environmental resources, the ecoBUDGET system. ecoBUDGET serves the purpose of target setting, monitoring and reporting on the use of natural resources in the same way as a financial budgeting and reporting system is required for managing financial resources. 2. Cities Alliance should advise cities inquiring about or applying for funds for a CDS or SU activity why the environment should be integrated into their development strategies. To that end, CA should provide candidate cities with a one-page statement setting out the case for urban policy integration using the following arguments: Economic development and the environment cannot meaningfully be dealt with separately. Economic activity affects the environment through the consumption of raw materials, the use of land for production, and as the final destination for solid, liquid and gaseous wastes and emissions. City development clearly affects the environment and environmental conditions equally strongly affect city development. It makes no sense to deal separately with policy issues that are inextricably linked. Cities worldwide, but especially in developing countries, are competing for external investment (and the creation of wealth and jobs) in a global economy. Water, air and soil pollution impose additional costs on business and industry. Inefficient use and depletion of natural resources increase input prices and operating costs and deter new investment. A failure to deal with environmental degradation and hazards today leads to greater problems and costs tomorrow. Draft report, submitted for comments November 03, 2006 46 By contrast, eco-efficiency would result in lower operating costs for local businesses and give the city a competitive advantage. There are benefits to the city’s financial budget of integrating the environment into urban policy and planning, e.g. recycling of household waste creates jobs and produces income from the sale of recyclable resources, quite apart from demanding less landfill space and fewer natural resources. An environmental budget (ecoBUDGET) should therefore accompany the financial budget. City marketing needs to promote a healthy and attractive environment. The attractiveness and liveability of a city, especially its environmental qualities, are persuasive arguments: it is virtually impossible for an unattractive city to move into higher value economic activity. A city mayor committed to sustainable urban development provides the administration with a powerful marketing tool. It helps if prospective investors can see that sustainable resource use has been factored into the CDS especially the cost of known restraints such as finite water supplies, energy costs, the economic and job-creating potential of ecoefficient industries, and local urban agriculture. There is a clear link between health, environment and poverty. A city mayor should endeavour to reduce environmental hazards and the risks to the health of his/her constituents. Absence due to sickness among the workforce adversely affects the economic efficiency of local industry, and the competitiveness and attractiveness of the city to external investors. Moreover, local environmental hazards (especially in periurban areas) are potential sources of pandemics quite apart from running counter to the principles of equity and social inclusion Mayors, as temporary custodians of the local environment, have a moral responsibility for future generations (some of whom, in their early childhood, will already be residents of the city). Living sustainably within the Earth’s eco systems is fundamental to social and economic development in the medium and long-term. It should not be assumed that technological innovation would make good the shortfall in natural resources in years to come (i.e. the precautionary principle). The Guidelines for the Submission of Proposals should make provision for awareness raising and capacity building (to explain why integration of the environment into planning strategies is necessary and how it might best be achieved) as part of a project proposal. 3. To reinforce the case for integrating the environment into development strategies, CA should draw the following to the attention of every applicant city seeking a grant to fund a CDS or a SU project: The Melbourne Principles for Sustainable Cities (see www.iclei.org): applicants should be encouraged to regard the Melbourne Principles as a guidance framework for integrating the environment into the design and implementation of a CDS or SU project. CA should consider inviting successful applicants to provide a Checklist in their final report to show how and to what extent they have taken account of the Melbourne Principles. The Millennium Declaration (see www.un.org/millennium/declaration/ares552e.htm): especially MDG 7, environmental sustainability. Draft report, submitted for comments November 03, 2006 47 Strategic Environmental Assessment source (see http://www.acdicida.gc.ca/CIDAWEB/acdicida.nsf/En/EMA-218131145-PHA#6) for a comprehensive overview of implications and key actions related to Strategic Environmental Assessment. ecoBUDGET source (see www.ecobudget.org for more information on ecoBUDGET and additional examples. 4. Cities Alliance should inform prospective applicants for funding that a substantial toolkit of methods and tools already exists that a city administration could use to integrate the environment into CDS and SU projects. It is recommended that CA should: Draw The HabitatJam Actionable Ideas publication (www.habitatjam.com/ideas.php#i6) to the attention of every applicant for a grant to fund a CDS or SU project (UN-HABITAT, 2006). This is a valuable on-line workbook and source document containing seventy actionable ideas that includes ‘Urban Growth and the Environment’ as one of its three themes. Make a brief supporting document available (as a guide to prospective applicants) that summarises how to use a number of basic methods and instruments identified by the case studies and also relating to the Melbourne Principles for Sustainable Cities and the Millennium Declaration (MDG 7). The methods and instruments are: • • • • Policy approaches (sustainable procurement including tools such life-cycle analysis or eco-labels), Planning processes (visioning methods, participatory methods), Planning instruments (environmental profile, SWOT analysis, Rapid Ecological Footprint, Monitoring system and indicators, Strategic Environmental Assessment), and Management systems (ecoBUDGET and air quality management systems). Draft report, submitted for comments November 03, 2006 48 Annex 1: References Allen, A., 2003, Environmental planning and management of the peri-urban interface: perspectives on an emerging field, Environment & Urbanization, 15 (1): pp.135-147. American Chamber of Commerce in Hong Kong, 2006, Polluted Air Threatens Business Decline in Hong Kong, August 2006, 9-16. Angel, S, Sheppard S, and Civco L., 2005. The Dynamics of Global Urban Expansion. World Bank, Washington. Best Foot Forward, 2002: City Limits: A resource flow and ecological footprint analysis of Greater London, commissioned by IWM (EB) as part of the Biffaward Programme on Sustainable Resource Use, Oxford CIDA, 2004: Strategic Environmental Assessment of Policy, Plan, and Program Proposals: CIDA Handbook, Canada. Cities Alliance, 2005: Guidance Framework: Integrating Monitoring & Evaluation into City Development Strategies, Washington DC Cities Alliance, 2005a: The Impacts of City Development Strategies, prepared for CA by Econ Analysis (Oslo) and the Centre for Local Government (University of Technology, Sydney), Washington DC. Cities Alliance, 2006: City Development Strategy Guidelines: Driving Urban Performance, Washington DC, text by Douglas Webster and Larissa Muller. City of Cape Town, 2003: Integrated Metropolitan Environmental Policy, Cape Town City Council, South Africa. City of Johannesburg, 2006/11: Integrated Development Plan, Johannesburg City Council, South Africa. Clean Air Initiative-Asia, 2005: Air Pollution, poverty and health effects in Ho Chi Minh City, Vietnam, a project by CAI-Asia (see www.cleanairnet.org/caiasia/) Entec, 2002: Greater London Authority: Sustainability Appraisal of the draft London Plan, Entec UK Ltd (www.london.gov.uk/mayor/strategies/sds/sustainability.jsp) Friedmann, J., 2000: The Good City: in Defence of Utopian Thinking, International Journal of Urban and Regional Research, 24 (2), 460-472. Fudge, C., 2003: Health and sustainability gains from urban regeneration and development, in T. Takano (ed) Healthy Cities and Urban Policy Research. Spon, pp. 41-58. Fundação João Pinheiro, 2002. Déficit Habitacional no Brasil - Municípios Selecionados e Microrregiões Geográficas http://www.fjp.gov.br/exibe_subproduto.php?unidade=todas&produto=9, Belo Horizonte. Harris, J., 2006: Toward a Sustainable Urban Paradigm: Cities – the Problem or the Solution? Written for UNEP and Cities Alliance. German Advisory Council, 2005: World in transition: Fighting Poverty through Environmental Policy, German Advisory Council on Global Change, Earthscan, London GLAA (Greater London Authority Act), 1999 (www.hmso.gov.uk/acts1999/90029) Global Footprint Network et al, 2005: The Ecological Footprint: living well within the means of nature, a small printed leaflet made available by Global Footprint Network and ICLEI at the ICLEI Congress, Cape Town, February 2006. Draft report, submitted for comments November 03, 2006 49 Greater London Authority), 2002: The draft London Plan: draft Spatial Development Strategy for Greater London, ISBN 1 85261 376 X. Greater London Authority, 2002a: Cleaning London’s Air: The Mayor’s Air Quality Strategy, ISBN 1 85261 403 X. GTZ, 1997: Module 2, Study Unit 4: A vision for the sustainable development of the community, Training Modules for the Philippines, Colombia and Ecuador prepared by ICLEI – ITC. GTZ, 1997a: Module 2, Study Unit 9: Monitoring & Evaluation, Training Modules for the Philippines, Colombia and Ecuador prepared by ICLEI – ITC. GTZ, 1998: Project monitoring: an orientation for Technical Co-operation projects, text by Erich Klinger and Volker Steigerwald. GTZ, 1999: A Guide for Environmental Action Planning: the Workshop Approach, text by Jan Meyrick, Thomas Waldraff and Martin Reinecker. GTZ, 2000: Monitoring & Evaluation in Urban Planning and Management, Urban Planning and Management Project Thailand (MOI/GTZ), text by Dr. David Meyrick GTZ, 2000a: Public Participation at the Local Government level, Urban Planning and Management Project Thailand (MOI/GTZ) GTZ, 2002: Strengthening Local Urban Planning and Management: Handbook, Urban Planning and Management Project, Department of Physical and Urban Development Planning, Bangkok (text by Jan Meyrick and Dr. David Meyrick). ICLEI, 1998: Environmental Management Instruments for Local Authorities: a Guide for Local Authorities, Freiburg Germany. ICLEI, 2000: ecoBUDGET Info, ICLEI European Secretariat GmbH, Freiburg, Germany. ICLEI, 2000a: Green Purchasing Good Practice Guide, An ICLEI policy & Practice Publication, ICLEI European Secretariat GmbH, Freiburg, Germany ICLEI, 2002: Environmental Budgeting: a summary of the ecoBUDGET concept and system, Freiburg Germany. ICLEI, 2003: Procura+, Sustainable Procurement Campaign, ICLEI European Secretariat GmbH, Freiburg, Germany McGill, R., 1998: Urban Management in Developing Countries 15 (6); 463-471 cited in Pieterse, E., 2004: Untangling ‘Integration’ in Urban Development Policy Debates, Urban Forum, 15 (1); pp. 1-35. Moffatt, S., 1999: Creating an Eco-City: Methods and Principles, The Sheltair Group Inc., Vancouver Canada. Nunan, F. and Satterthwaite, D., 1999: The Urban Environment, Urban Governance, Partnership and Poverty, Theme Paper No. 6, International Development Department. Office of the Deputy Prime Minister (ODPM), 2005: Practical Guide to the Strategic Environmental Assessment Directive, ISBN 185 112 7887. Pieterse, E., 2004: Untangling ‘Integration’ in Urban Development Policy Debates, Urban Forum, 15 (1): pp. 1-35. 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UN-HABITAT, 2006: The Habitat Jam: 70 actionable ideas for the World Urban Forum 3, Nairobi UN-HABITAT, 2006a: The State of the World’s Cities Report, 2006-2007, Earthscan, London UN-HABITAT and UNEP, 1999: Preparing the SCP Environmental Profile, The SCP Source Book Series: Volume 1, The Sustainable Cities Programme, Nairobi UN HABITAT and United Nations Environment Programme (UNEP), 2001: Measuring Progress in Environmental Planning and Management: Participatory Decision-making Indicators, The SCP Source Book Series Volume 9, Nairobi. UN HABITAT and United Nations Environment Programme (UNEP), 2003: Alex 2003, Environmentally Sustainable Urbanization: Meeting Report 02 October 2003, Nairobi. UNCHS (Habitat)/UNEP, 1997: Implementing the Urban Environment Agenda, Environmental Planning and Management Source Book, Volume 1, Nairobi. 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Draft report, submitted for comments November 03, 2006 52 Annex 2: Case Studies Alexandria, Egypt FULL NAME OF THE MUNICIPALITY, COUNTRY Alexandria Governorate, Egypt MUNICIPAL PROFILE Population: 4 million Total Area: 2299.97 Km2 Population density: 1739 /Km2 Gross National Income per Capita: US$ 1569.6 Key Economic Areas: port, textile, garment, chemical, fuel, primary metal, food, and tobacco ABSTRACT Alexandria has been involved in a City Development Strategy (CDS) since 2004. The process has involved many stakeholders including those in the most disenfranchised positions with the community. The process of starting a CDS has led to a number of new projects that provide economic benefits while focusing on environmental improvement and slum upgrading. By engaging stakeholders from business and community groups, the local governorate has been able to not only improve the quality of life for all citizens but also ensure that Alexandria moves towards a more sustainable development. IMPORTANCE OF THE ISSUE The City Development Strategy in Alexandria highlights the potential for CDS to be used as process for integrating environment into city planning processes. The importance that was placed on environmental concerns shows that the leadership of a local government elected official is key in prioritizing the environment within the development strategy. In Alexandria, the sustainable development of the community is being seen as an opportunity for economic growth and social inclusion. CASE Context of Municipality Alexandria is one of the major cities on the Mediterranean Sea. It embraces a coastline of 70 kilometers and lies northwest of the delta between the Mediterranean Sea, to the north and Lake Maryout, to the south. Alexandria plays an important and vital role in the Egyptian economy and cultural life as it is home to the oldest and biggest port in Egypt. The majority of Egypt's foreign trade passes through this port with a capacity estimated to be 75% of the total capacity of Egyptian ports on the Mediterranean Sea. Alexandria is considered a powerful industrial base since it is home to over 4,500 industrial firms with personnel estimated to be 201,000 representing 17.3% of the total labour force of the city. With its large diversity of industries, Alexandria's production represents 40 % of Egypt's total industrial production. Among the most important industries are iron and steel, petroleum, cement, chemicals, petrochemicals, spinning and weaving. These industries use local raw materials providing the country's needs of its products. Draft report, submitted for comments November 03, 2006 53 Case Description In Alexandria, the Governor has acted as a champion of city development. Under his leadership, Alexandria embarked on a city development strategy in 2004 and completed the first phase in 2006. As part of this phase, Alexandria has prepared a Comprehensive Strategic Development Plan for the city under the framework of the Alexandria City Development Strategy (CDS). The development of the CDS followed the World Bank tested methodology, which is based on best practices developed by the Cities Alliance, Cities of Chance and other donors. The first step observed under the CDS process was ‘organizing the effort’ which aimed at ensuring the most appropriate institutional set-up for a participatory process by which public, business and nongovernmental sector partners work collectively. Top priorities for the city development were identified collectively by the Partnership Forum and stated as follows: Economic: Developing a medium to long-term economic development strategy. The strategy was to investigate and build-on the city’s competitivesness to diversify and augment the economic base of the city, enhance productivity, and establish an enabling business environment. Specific strategies and initiatives were to be designed to create economic development opportunities, especially in low-income areas and squatter settlements. Physical: Developing a participatory urban upgrading strategy for the squatter areas and land use plan of Lake Maryut area, with a sustainability urban development framework. The strategy was to include specific measures to improve living conditions of residents, preventing further environmental deterioration of the Lake area, and help to establish a sound regulatory framework for the Governorate to manage the Lake and pursue participatory approaches to urban upgrading and tenure security. The Partnership Forum established three CDS pillars and divided itself into three Advisory Committees to led the work, launch studies with consultants, and review the reports produced by the consultants. Three CDS Pillars: Formulating a local economy development strategy Devising a comprehensive strategic development plan for Lake Maryut as well as surrounding the Lake Develop a comprehensive urban upgrading strategy for squatter settlements Five reports were completed by local and international consultants: Alexandria Local Economy and Competitiveness Assessment A Comprehensive Strategic Development Plan for Lake Marriout Zone A Strategic Development Plan for Land Surrounding Lake and Wadi Marriout A Squatter4 Settlements and Urban Upgrading Strategy Alexandria Tourism Development Strategy Based on these reports and stakeholder consultation, a shared long-term vision and key Local Economic Development Programs were developed for the city. Shared Long-Term Vision Alexandria Governorate established that it would utilize its competitive advantages, better manage its local assets, and remove constraints to private sector-led growth, while ensuring social and economic integration of the poor. Draft report, submitted for comments November 03, 2006 54 Local Economic Development Programs Implement high priority economic infrastructure to support local economic development, Improve the local investment climate for private sector-led growth, Urban upgrading of informal and squatter settlements, Human development and sustaining participatory strategic planning, and Sustaining the participatory strategic planning process By using a multi-stakeholder participatory approach as part of the CDS process in Alexandria, citizens have become aware of the importance of sustainable development and the need to wisely manage natural resources. A large achievement of the process has been the establishment of using cost-benefit analysis relating to the environment for any development project. Amongst both citizens and the local government, environmental protection has become a top priority and programs for pollution abatement are becoming mainstream. Social and economic achievements are seen clearly in the upgrading of slum areas where councils of stakeholders for each slum community are now formed and part of managing the upgrading process. It is clear that when residents are part of the process, and participate in changing their livelihoods, that sustainability is possible. RESULTS The CDS process was an effective means of integrating environment into Alexandria’s development plan. The CDS team realized early on in the process the Governor’s strong support for improving local environmental quality. One of the major results of the CDS work was the development of the Alexandria Governorate Pole Project targeted for sustainable economic growth and equity. Within this, considerable attention has been given to environment in two dimensions: a) sustainable use of natural resources and b) environmental improvement and protection. Three project development objectives were identified: supporting Alexandria’s economic development and utilization of local assets through investments in environmental regeneration and land development, supporting private sector development through revmoing infrastructural and administrative constraints, and improving acces of residents in squatter settlements to infrastructure, basic services and income-generating opportunities. Several component areas were identified to achieve these objectives: Priority infrastructure to support local economic development – financing work and related services aimed at enhancing the wastewater treatment system surrounding Lake Maryut’s main basin, Urban upgrading of squatter settlements to improve living conditions of residents in six settlements by providing basic infrastructure, community facilities and services and increasing access to micro-credit and business support. There have been a number of new projects that have emerged as a result of the CDS: Integrated coastal zone management – the policy will aim at ensuring that the protection of the coastal zone resources remains an integral part of the development priorities. It will also aim at the co-ordination of the sometimes conflicting interests and uses of the coastal zone Environmental Pollution Abatement Project (EPAP) Phase II - the second phase of EPAP aims to demonstrate that market-based financial/technical approaches are effective in Draft report, submitted for comments November 03, 2006 55 reducing industrial pollution in selected hot spots areas in and around the Alexandria and Greater Cairo areas. Upgrading of three slum areas – the objective is to improve the standard of living for the inhabitants of El-Amrawy, El-Hadra Naga El-Arab. The following operations began in April 2006, with some already accomplished: As part of the current phase of the Comprehensive Strategic Development Plan, two reports have been commissioned relating to: the enhancement of the sanitation system, whereby the consultants have included a large component related to the treatment of wastewater as Alexandria is currently using water beyond its fresh water barrier and requires an efficient program for water conservation; and the structuring of the development process for mixed use land development in the Lake Maryut Basin. The report is based on the assumption that better environmental quality means higher land prices for private companies. This is a clear added dimension to increase the environmental value in the planning process. An added benefit is that the sustainable development of the land surrounding Lake Maryut means that there will be no unplanned and environmentally harmful development in the basin. The sustainable use of the land has been deemed as one of the most effective measures for stopping encroachments on the land in this area. Lessons Learned Though environmental considerations were not the primary driver for the Comprehensive Strategic Development Plan, the plan succeeded in incorporating the environmental dimension in all components, programs, projects and activities. As evidenced by the stakeholder workshops, environmental concern was clearly a common feature and was highlighted as a priority in terms of the focus on preventing further environmental deterioration of Lake Maryut; this was emphasized in the strategic vision: The Alexandria Comprehensive Plan for the development of Lake Maryut aims at optimizing the utilization of natural resources without causing any ecological disequilibrium in this vital zone. The sustainable utilization of this will ensure equal opportunities for generations to come. Support and leadership from the Governorate, namely the Governor and Secretary General, were essential. The cooperation of both the Governor and Secretary General has been a key factor in achieving a highly significant improvement in the quality of life for Alexandrians. A solid multi-stakeholder CDS team supported the whole process, including senior government officials, Alexandria Businessmen Association, University of Alexandria, and major civil society Draft report, submitted for comments November 03, 2006 56 organizations of the Governorate. This team is still intact and overseeing the implementation of the plan. There was a number of unexpected opportunities that arose out of the CDS process, these were: the large number of stakeholders wanting to share in the strategic planning and their degree of enthusiasm, the democratic and cooperative atmosphere that dominated the dialogues and discussions during the workshops, the beneficial outputs that came about from the exchange of ideas and knowledge between local and international consultants, the increased interest of other donors to contribute into the strategic development plan, and the support of the central government. The Municipality of Alexandria learnt through the CDS process the importance of coordination, stakeholder participation, and having a realistic approach towards the implementation as part of the planning process. KEY REPLICATION ASPECTS Based on Alexandria’s experience with CDS one would recommend careful examination of the existing situation in any city before replicating another CDS model. With each city having unique features and characteristics it is necessary to understand the culture of a community in order to tailor the CDS process successfully. The Alexandria case has also highlighted the importance of having a local champion for the process. Lastly, it is important to have a CDS team with developed communication skills to make stakeholders, regardless of their background or affiliations, actively participate in the process. KEY CONTACTS Ahmed Eiweida Sr. Urban Management Specialist The World Bank Room H9- 133 Mailstop: H9-900 Tel: (1-202) 458 9046 Fax: (1-202) 522 2151 email: [email protected] Draft report, submitted for comments November 03, 2006 57 Bangkok, Thailand FULL NAME OF THE MUNICIPALITY, COUNTRY Bangkok Metropolitan Region, Thailand MUNICIPAL PROFILE Population: 10 million Land Area: 1,570 sq. km Gross National Income per Capita (in US$): 2,190 Key Economic Areas: Administration, Services, Industries and Tourism Areas of Environmental Expertise: Environmental Profiling, Urban Management, and Policy Actions ABSTRACT The City of Bangkok, Thailand, is an excellent example of a large cosmopolitan city caught in the struggle of supporting economic growth while at the same time protecting the environment and ensuring quality of life. Since the 1960s, the influx of migrants to the capital has led to the development of infrastructure such as road networks and buildings, increased land value, and economic growth which has resulted in expansion to the surrounding areas. This rapid development has also created environmental problems such as air, water, and noise pollution, solid and hazardous waste problems and land subsidence. To counter this challenge and in conforming with the Local Agenda 21 principles promoted by the national government of Thailand to its local authorities, the Bangkok Agenda 21 was crafted and implemented in 1998. It is a long-term strategic plan setting the objectives for the next 20 years that serve as guidelines for all plans and activities. It also covers the duties of the Bangkok Metropolitan Administration. IMPORTANCE OF THE ISSUE Rapid urbanization and industrialization brings with it both benefits and drawbacks. Urban planning influences the economy, the environment and quality of life. Thus, the creation of a long-term strategic plan supports the decision-making process for policy-makers, local government officials and the private sector. This long-term plan must be based on bio-physical and socio-economic conditions and trends, and must address emerging issues, the current environmental status, and contemporary policies. CASE Bangkok has been the growth centre for Thailand for more than two centuries. As the cultural, educational, political and economic centre of the country, it is now home to about ten million people dispersed within its 50 districts. This population increase resulted in a significant and rapid reduction in the quality of the local environment. For instance, vehicular traffic has rapidly increased and was reported at 4.79 million vehicles registered with the Department of Land Transport in 2002. Unfortunately, the road network has not kept up with demand, resulting in heavy traffic jams. Total suspended particulates (TSP), particulate matter (PM10), ozone (O3), and carbon monoxide are regularly above the acceptable ambient air quality standards for Thailand. Another unique problem in Bangkok’s air pollution is the odor and smoke from crematoriums due to incomplete combustion. In 2002, 309 crematoriums were surveyed and 112 were found to be sub-standard and contributing to the air pollution problems. The Bangkok Health Department has found that the rise in respiratory diseases can be attributed to air pollution emitted by the transport and industrial sector, as well as from crematoriums. Draft report, submitted for comments November 03, 2006 58 Rivers and water bodies are also deteriorating. The average dissolved oxygen taken from samples in Bangkok’s canals is only 0.1-1.5 mg/l, which is an unacceptable standard for surface water quality. Canal water pollution is very severe because wastewater is oftentimes discharged untreated to the public sewers. With the majority of the households relying on septic tanks, groundwater contamination is also very likely. Resource use conflicts are also on the rise as freshwater is limited and various types of users, such as agriculture, industry, transport, and households, compete for it. Other environmental problems include noise pollution, large volumes of garbage, land subsidence and overcrowding. CASE DESCRIPTION Bangkok Agenda 21 Thailand ratified Agenda 21 - the global master plan endorsed at the Earth Summit in Rio de Janeiro in 1992 - to move towards socially, economically, and environmentally sustainable development. In 1998, the Bangkok Metropolitan Administration prepared and started implementing its Bangkok Agenda 21 as the blueprint for development for the next 20 years. Its ultimate goal revolves around improving the city’s environment and the quality of life. Subjected to public consultation and review, it has a ten-point development agenda, which also covers all the responsibilities of the Bangkok Metropolitan Administration. The ten points of the Agenda are: 1. The strategy for a sustainable Bangkok: a safe city with high quality of living, 2. Lead urban economy toward sustainability, 3. Use urban planning to the improve quality of life, 4. Reorganize traffic and transport to raise the quality of air in neighbourhoods, 5. Invest in green urban areas, 6. Make Bangkok a clean city, 7. Focus on good governance in the BMA to meet the challenges of the future, 8. Secure easy access to information in the BMA, 9. Use human resources as a strategic tool in social and economic development, and 10. Involve citizens in the development of a better Bangkok. Environment, culture, and tourism are also included as top priorities. The Agenda also aims to combat poverty, slums, drugs and AIDS. From Agenda to Action The BMA has already initiated projects and activities geared towards achieving the Bangkok Agenda 21 goals. The Metropolitan Master Catalogue was developed and is now the driving forces for the physical development of Bangkok. Containing overall development targets for the metropolis, and an overview of urban functions and infrastructure, the Metropolitan Master Catalogue links physical development to the budget and enables the administration to guide urban development. It is comprised of 50 District Catalogues which is an online database updated by each district on a semi-annual basis. The District Catalogues help the district offices to influence and implement the strategic plans for the metropolis. Each Catalogue contains a plan influencing the strategic agenda, community regulations concerning land use, building and the environment, and a databank based on a GIS system. The databank provides basic analytical and planning tools. In addition the Sustainable Urban Management Handbook was created both in hardcopy and CDROM and was distributed to each unit within the Bangkok Municipal Administration. Draft report, submitted for comments November 03, 2006 59 A Bangkok Comprehensive Plan was also crafted. Updated every 5 years, the Bangkok Comprehensive Plan is used for development planning and maintenance, as well as resource allocation. In this plan, targets and strategies on air pollution abatement are highlighted. Efforts are on the development of mass transit, establishing vehicle emission testing points and the apprehension of polluting vehicles, promoting non-motorized transportation like bicycles, and promoting the use of alternative fuels such as ethanol or natural gas. To protect water quality, six large-scale wastewater treatment plants have been constructed. Policies on effluent standards were also put in place. To further reach out to the public, an intensive information campaign was carried out in schools and communities through meetings, printed materials and other media. Policy and regulation over groundwater extraction has been implemented. Over-extraction of groundwater in Bangkok has aggravated land subsidence. Impacts of this subsidence include changes in the elevation and slope of streams, damage to roads and storm drains, high tides reaching farther inland, floods and tides receding more slowly, soils becoming salty and unproductive, and well pipes rising out of the ground. The Groundwater Act B.E. 2546 designates criteria, methods and conditions in the acquisition of an operating license for groundwater extractors. To collect the over 9,472 tons of garbage generated daily in Bangkok, the BMA provides containers classified according to food waste, recyclable waste, and hazardous waste. Households are encouraged to sort their waste at source. Collection and disposal efficiency have been a priority for the BMA. BMA also developed Green Areas Master Plan with the objective of increasing green areas as public parks. Even residents are encouraged to plant trees in their front yards. The Bangkok Agenda 21 also paved the way for more public participation. BMA organized the Communities Love Canals Project wherein representatives from all communities take part in identifying solutions to garbage dumping and wastewater discharge in the canals. The BMA also organized the BMA Environmental Protection Volunteers to help raise environmental awareness, and to develop environmental projects, particularly on air quality management. These volunteers come from schools and communities. Factories and other business industries were also provided with workshops on cleaner production. Results The crafting and implementation of the Bangkok Agenda 21 set the course for development that is environmentally and economically sustainable. This Development Agenda served as principles for the numerous activities implemented by the BMA. A detailed assessment of the status of the environment and the creation on the Metropolitan Master Catalogue ensured that physical development takes into account environmental and social concerns. Policies and regulation on water quality, waste management, air quality, and energy security were put in place to better manage resources. Structural measures were also completed, such as improving the storm drains and construction of dikes along roads to prevent flooding. The BMA remains steadfast to its commitment to improve the quality of living in Bangkok. KEY REPLICATION ASPECTS Draft report, submitted for comments November 03, 2006 60 The Metropolitan Master Catalogues proved useful for analytical and planning purposes. It also honed the skills of the BMA staff on GIS tools and methodologies. Budget The BMA received technical and financial assistance from DANIDA for crafting the Bangkok Agenda 21 and the Urban Management Tool Box, among others. BMA was also an implementing agency of an Asia Urbs project (September 2002-September 2004) on Improving Management and Supporting Guidelines in Air Quality in Metropolitan Cities (Athens, Bangkok, Bristol). This project, funded by the European Commission, was aimed at developing air quality management and related awareness in local authorities. KEY CONTACTS Mr.Kriengpol Padhanarath Director International Affairs Division City of Bangkok City Hall, 173 Dinso Road Bangkok, 10200 Thailand Tel: +66-20/224-8175 Fax: +66-2-/224-4686 Email: [email protected] Draft report, submitted for comments November 03, 2006 61 Bayamo, Cuba NAME OF MUNICIPALITY Municipality of Bayamo, Republic of Cuba MUNICIPAL PROFILE Population: 142,000 Build up area or Density: 102 People per sq. km (Cuban average is 2004) Gross National Income per Capita: US$ 2,700 Key economic Areas: Food processing & construction industries, social services (health and education) and administrative services Areas of Environmental Expertise: Local Agenda 21, urban transport & mobility, agriculture, solid waste management, river basin management. IMPORTANCE OF THE ISSUE The significance of the Bayamo 21 project lies in its ability to strengthen the capacity of local actors to conduct urban environmental planning and management processes through their active participation during the formulation, consultation, and implementation stages of an overall city planning strategy. Within the Cuban context, the replication capacity of the Bayamo example at the regional and national level was established when the government, recognizing its positive outcomes, chose Bayamo as a pilot project for escalating sustainable planning capacity in Cuba. Overall, this experience represents an important case, since it is among the first examples to shift from a onedimensional approach when implementing local planning, to a multi-dimensional focus for city strategic planning. In practical terms, this means that environmental concerns and issues became a key issue for participants. This results in the identification of opportunities that with a short term/one dimensional planning would have been overlooked. The relevance for Cities Alliance and for governments and cities in other regions of the world is that this shift represents a good example of how the environment can be incorporated into a city strategic planning and management, as well as, in the budget formulation process. Bayamo LA21 is also instrumental in showing other local governments and communities how to institutionalize participatory processes and partnerships mechanisms at the local level as a viable way to identify and address urban environmental priorities. CASE Context of Municipality Bayamo is essentially a twentieth century city built on what remains of San Salvador de Bayamo, the second settlement founded in Cuba by the Spaniards in 1513. It was one of the most prosperous cities in Cuba and is still considered to be the cradle of Cuban culture. The capital of Granma province, Bayamo is situated in the eastern part of Cuba lying on the banks of the Bayamo River. The provinces located in this section of the country were severely underdeveloped prior to the revolution, and despite efforts to bring them to the same level as the other regions of the country, Granma still remains underdeveloped in relation to the Cuban average. Draft report, submitted for comments November 03, 2006 62 Development is happening regionally through specialized infrastructure in the areas of administration, health, education, and transport. Bayamo attracts these services in part because Cuba’s central road, the Carretera Central, passes directly through Bayamo. In 2003, Bayamo’s population was estimated at 142,000 residents. Based on employment distribution, the main economic activities are: agriculture (24%), industry (20%), education (11%), health (10%), construction (9%), services (6%), transport (4%), and self-employment (3%). National conditions and impact on local development According to the Cuban administration system, almost all development efforts have been traditionally planned and implemented by the state through a variety of its public organizations. At the municipal level, this meant that the main role of local governments has been to administer the implementation of projects, with the most important decisions made at the provincial and national level. Local urban actors do participate in the decision-making process; however, in most cases they operate as delegates of national level government institutions with their role being to reinforce national policies and not necessarily respond directly to locally identified needs. By the end of the 1980s the government recognized the need for decentralization. However, in practical terms there were two parallel actions; there was a greater centralization of certain economic functions - development of international tourism, management of hard currency, etc, but also a transfer of activities and responsibilities to the local level. This parallel process promoted the development of new localized participatory processes. By the early years of the new millennium, these previous changes created the opportunities for developing localized urban initiatives to build and strengthen local capacities. The LA21 project in Bayamo is an initiative aimed to support this decentralization process by stimulating local capacity building. Bayamo Local Agenda 21(LA21) Project It is within this context that the Bayamo LA21 project was launched in 2001. The main objective was to support the city to develop and implement a Localizing Agenda 21 Project. The project aim was to mobilize local, provincial and national partners to jointly address key urban environmental problems. It initiated its activities in 2002, with the preparation of an environmental profile of the city in consultation with more than 100 actors, documented in the “Bayamo Urban Environmental Profile” (Diagnostico Urbano-Ambiental de la Ciudad de Bayamo). This profile identified the sectors and institutions involved in local development and their links with the environment. Furthermore, it offered a description of urban and environmental risks and resources, as well as an identification of the existing mechanisms for information exchange, coordination and decision-making. From this perspective, it is a very innovative document compared with traditional plans, since for the first time, the interactions between development and the environment were analyzed. Furthermore, by presenting the urban environment institutional framework, it was possible to identify institutional strengths and weaknesses that the project could address. Finally, the profile served as a common information base for all project partners. Draft report, submitted for comments November 03, 2006 63 The Bayamo City Consultation was carried out in 2003. The consultation was conducted through a four-day workshop, and 207 representatives from all sectors of the city attended - 172 were from the community, plus local government administrators, elected officials, representatives of the private sector, etc. This workshop was important in that participants discussed the problems of the urban environment and urban development, and identified the institutional mechanisms to address them. The workshop objectives were based on four priorities that had been previously identified through dialogues with local authorities, sector representatives and based on the Urban Profile. The key priorities selected were the following: • The degradation of the Bayamo River. • Poor solid waste management (collection and treatment). • Insufficient public spaces and services at the neighborhood level. • Insufficient urban transport service. The selection of these priorities was based on their cross-sectoral nature, the potential impact of these actions on the most vulnerable populations, political priorities at the time, and whether they could be achieved considering the limited availability of resources and financial constraints. There were other key issues identified but not addressed, one was the problem of housing (considered too difficult to address at the local level), and sewage disposal and water supply (considered too expensive). This shows that the LA21 framework and process was an important instrument for informed decision-making, due to the fact that sector representatives involved were in a better position to differentiate and select priorities that were attainable as opposed to those that were desirable. This citywide consultation led to more horizontal integration and wider project participation. The main conclusions of the first formal Urban Consultation in Bayamo were made official with the approval of the Municipal Council. An important output of the City Consultation process was the establishment of the first “Urban Pact”, in which the actors committed themselves to jointly contribute to the sustainable urban development of Bayamo. Soon after, and in order to give continuity to the process and prevent loss of momentum, working groups around each of the four identified priorities were formed. The three objectives of these groups were: • to analyze the problems from the point of view of the different sectors; • to collectively negotiate and find agreement on how to better tackle the problems identified in the Urban Profile and the Consultation Process; and • to define a vision for the future and propose concrete actions for the short and medium term. They provided advice to the local authority, which also promoted the analysis of institutional relations, as well as, the mechanisms for information, coordination, and decision-making and implementation at the urban community level. Outcomes of working groups One positive aspect of the work carried out by the four working groups was the realization that each one of the identified problems involved addressing a variety of other issues both directly or indirectly (present-day and long term), as opposed to previous actions that tended to meet immediate needs through a one dimensional approach. A good example of this is the “Bayamo River Working Group”. Their main objective was to address the degraded environmental conditions of the river. Solutions identified included a laboratory for quality control of the water as a preliminary measure, and an attempt to integrate and coordinate all the projects related to the river zone with the objective to create the “Suburban Park of River Bayamo”. The park project will in turn address the decontamination and rectification of the river and the reforestation of the Draft report, submitted for comments November 03, 2006 64 riverbanks. It also includes the construction of a canal to collect and divert contaminated water through an oxidation lake for purification before it reaches the river. At a provincial level, it also takes into consideration other projects already implemented or to be implemented by the province of Bayamo. The River Park project has proven to be crucial in bringing different levels of local government and administration together to create a common vision and work plan, and in creating a momentum of cooperation and dialogue. The most important challenge has been to organize the divergent initiatives in one coherent project that integrates the River Park as a qualitative and unified public space in the city structure. Work of students (for example from the Catholic University of Leuven, and more recently the university of Santiago de Cuba) has been incorporated into the project. In addition, the main contribution of the project is that there is an increase in environmental awareness, in both administrators and inhabitants Activities within the “waste working group” to improve solid waste collection and management included the creation of a landfill area with a unit to sort and manually store recyclable waste used to support urban agriculture. It also includes a re-reorganization of waste collection and a study for the enhancement of waste collection vehicles (traction with hand and/or bicycle). Within the “Public Space Working Group” there were efforts to focus on revitalization of public spaces, which meant creating sidewalks on non-asphalted streets, and developing a square with shops, markets, etc. Activities within the “Urban Transport Working Group” were more successful. Their main recommendation was the creation of a new transport route. Efforts were concentrated in the development of the Zona Norte (Northern Zone), which is an area that has not been completely urbanized. As an area that is poorly developed in terms of transportation services and public spaces, it does not attract inhabitants from the city centre, resulting in its isolation and an impediment for its future development. Thus, the group recommended that this area should be improved and integrated into the city through the implementation of a new transport route serviced by horse coaches, as well as improvement of public related infrastructure (coach stops and pedestrian routes). It is important to underline that this unusual but environmentally friendly approach was reached by considering the conditions at the time (scarcity of fuel), what resources were available, and what solution was feasible. During that time, motorized transport was only available to 15 percent of local commuters. Horse coach services (inaugurated in July 2004) have taken care of about 40 percent of the local transport needs, demonstrating that motorized transport is not the only solution to a public transport problem. Overall, this activity aims to stimulate the formulation of a municipal strategy to encourage the development of a sustainable system of mobility for the city (identified within the Urban Pact). It also shows that through public engagement, the LA21 process is instrumental in bringing together local insights and technical solutions that are supportive of a sustainable environmental city planning development. Role of partners and national replication Parallel to the actions within Bayamo’s LA21 process, there have been other developments that link local and national strategies. Bayamo is considered a pilot project for building sustainable planning capacity in Cuba. In this regard, cooperation was established with the Institute for Physical Planning (Instituto de Planificacion Fisica or IPF). Draft report, submitted for comments November 03, 2006 65 The IPF plays an important role by providing local institutions a national framework of experiences in sustainable urban planning. It organizes training programs and develops education centers across the country to increase local capacities for sustainable urban planning and management. In 2003, in the city of Santa Clara, the IPF and the LA21 Programme established a national training and education center that form part of the IPF national capacity building strategy. The National Capacity Building Center in Santa Clara delivers an environment planning and management training course. This course is jointly prepared and delivered by IPF, the Universities of La Havana and Santa Clara and the Bayamo LA21. The course offers up a diploma, and is attended by two students from each of the 11 provincial capitals. It provides lectures on the various steps and components of the environmental planning and management process, illustrated from real-life experiences from the Bayamo LA21 project. These practical exercises prepare students in implementing LA21 processes by replicating Bayamo’s experiences. A relevant development in multiplying this project has been the interest and request from the national authorities to replicate the LA21 Bayamo experience in other Cuban cities. Consequently, in the second half of 2003, the project issued a call for candidature open to all secondary cities of the country, leading to the selection of three towns - Santa Clara, Cienfuegos, and Holguin - for the replication of the LA21 Bayamo project. These cities are currently in the process of implementing LA21 frameworks within their respective constituencies, based on the experiences and processes implemented in Bayamo. While aware of unique circumstances, these cities have already shown interest in implementing projects that tackle similar issues - waste management, and the sustainable system of mobility. Another important element has been the coordinated programmatic actions of UN agencies in Cuba. Of relevance is the UNDP’s Human Development Programme at the Local Level (Programa de Desarrollo Humano Local or PDHL), which has been instrumental in supporting the LA21 actions. Through its national, provincial and municipal representatives, the PDHL acts as a framework for the local coordination of various national and international actors (HABITAT, UNICEF, UNDP, UNOPS, UNIFEN, countries like Italy, Switzerland, France, Belgium, Sweden, as well as national and international NGOs) facilitating the formulation and implementation of localized projects within the Cuban institutional structure. The programme also provides the technical cooperation framework for the LA21 project. Overall, it has established guidelines for the transfer of funds and the definition and management of projects at the local level, the relationship with line ministries, and the facilitation of local formalities. Relevant for this case study is that within the framework of the PDHL, the LA21 Programme has provided the opportunity for developing approaches that address urban environmental issues that reach a wide geographical and institutional base. Results A variety of positive results have come out of the Bayamo case: • Urban environmental profiles have been prepared in consultation with more than 100 actors, and through a city consultation, key actors were mobilized to identify and prioritize urban environmental problems. • Inter-sectoral cooperation and citizen participation has been strengthened in addressing priority urban environmental issues. The mechanisms identified by the project to perform inter-sectoral and participatory process have been institutionalized as a new way to carry out environmental planning and management activities. Draft report, submitted for comments November 03, 2006 66 • Three secondary cities - Santa Clara, Cienfuegos, and Holguin - have been selected to replicate Bamayo’s LA21 experience, and are currently in the consultation process. • The developed actions plans serve as frameworks to guide priority actions to address the most pressing urban environmental problems. • Pollution in the Bayamo River has been reduced, as a result of the water quality control laboratory having identified pollution sources for elimination. • Waste collection trucks and the creation of small-scale manual sanitary land fields has resulted in a more efficient solid waste management system. Replication of these projects has been requested by the other cities. • Urban transportation has been improved by using horse-drawn carriages as a main source of public transport. It has also opened access routes to integrate isolated neighborhoods that are inhabited by the most vulnerable populations. • The urban initiatives identified by the four working groups of Bayamo LA21 are included in the formulation of the Master Plan. The Master Plan is to be reviewed and submitted by the IPF to the Municipal Council for its approval and implementation. In 2006 the local team (based in the municipal planning office) organized a consultation to present a revised master plan of the city to local actors and stakeholders. The main objective was to integrate the key issues identified by the LA21 project into the City’s Masterplan. The Masterplan itself was established with ‘una amplia participación ciudadana e institucional’. This was an innovative event within the Cuban spatial planning context, as it was the first time that a public consultation was organized for a ‘plan’. Previous consultations were always related to a certain theme or topic area. This success shows that the LA21 findings are being institutionalized. Lessons learned It was important to move away from short-term and one dimensional projects that only dealt with immediate needs with limited and uncertain resources, to projects that consider the social, economic and environmental dimension, while making the best possible use of local limited resources. The process creates the conditions that allow for a better understanding of the concepts and principles proposed by a LA21 framework by those who participate in the process. It is also instrumental in creating a better public perception of the decision-making process and the importance of transparency. Throughout the process, environmental concerns and issues have become and remain a key concern for participants, with the advantage that they have been analyzed while reviewing a wide range of other considerations. Thus, the process has allowed for the identification of opportunities that in the past may had been overlooked or unexploited. By effectively showing that Bayamo’s objectives are achievable with the support of main actors, provincial and national authorities have shown interest and support for multiplying the experience. Draft report, submitted for comments November 03, 2006 67 KEY REPLICATION ASPECTS A number of key factors from the Bayamo case can be considered. Firstly, the idea that municipal commitment (political and administrative) to the LA21 framework must be present from the beginning of the process. Secondly, during the replication phase, those staff previously involved in the process should be part of the team introducing the LA21 framework. Lastly, being part of a regional and/or national programme provides the technical cooperation framework (coordination of national and international actors that facilitate the formulation and implementation of localized projects), and provides the opportunity for a LA21 framework to develop approaches that address urban environmental issues at its core. KEY CONTACTS Mr. Pedro Rosell Ochoa, Arq. Coordinator of Bayamo Local Agenda 21 Tel/Fax: +53–23/ 427-440 Email: [email protected] Ms. Madelin Gonzales Figueroa. Provincial Coordinator Human Development Programme at the Local Level (PDHL) Tel + 53– 23/427-289 Email: [email protected] Draft report, submitted for comments November 03, 2006 68 Bohol, Philippines FULL NAME OF THE MUNICIPALITY, COUNTRY Bohol Province, Philippines PROVINCIAL PROFILE Population: 1,137, 260 Land Area: 4,117 sq. km Gross National Income per Capita (in US$): $1,080 Provincial Budget (in US$): $11.8 million Key Economic Areas: agriculture and tourism Areas of Environmental Expertise: biodiversity conservation, coastal and forest resource management, eco-tourism ABSTRACT The Medium-Term Development Plan for 2004-2009 comes at a turning point in Bohol’s development agenda for the decade. At the end of 2000, the province was confronted with the troubling information that the poverty level rose from 37.3% to 47.3% which resulted in it being listed as one of the 20 poorest provinces in the Philippines. This situation was paradoxical as it was a time characterized by more development within the province in terms of infrastructure and tourism. With these increased levels of development, the level of exclusion of the poor continued to increase. Levels of relative affluence had hidden the issues of poverty from the eyes of the local authorities, policy makers and development institutions. In recognizing this problem, Bohol Province developed a participatory, comprehensive and focused response to the poverty situation by crafting a Program Framework on Poverty Reduction. Poverty concerns were incorporated on all development sectors under the MediumTerm Development Plan. IMPORTANCE OF THE ISSUE Poverty and environment are related through a complex web of relationships. The poor are heavily dependent on natural ecosystems and its resources for their livelihood, they are also most vulnerable to environmental hazards, and then directly suffer the health impacts of pollution (e.g. water, air). Dealing with poverty and ensuring ecological integrity requires setting the balance between these two pressing priorities. CASE Context of Municipality The island province of Bohol is comprised of 47 municipalities and 1 city. Its economy is heavily dependent on agriculture with fishing, livestock raising, and farming as principal sources of livelihood. It is known for its eco-tourism attractions, among them the famous Chocolate Hills and pristine white beaches. Identified as a tourist hub and a haven for scuba divers, its coastlines are of international fame for their extensive array of coral reef resources. Its Provincial Government was cited as the first local government unit in Southeast Asia to acquire an Environmental Management Systems (EMS) certification. Case Description In support of the Millenium Development Goals and the Philippine Government’s 10-Point Agenda, the Bohol Provincial Government is embarking on a program to fight poverty. The Draft report, submitted for comments November 03, 2006 69 alarming rise in the percentage of families within the province living below the poverty line required immediate attention. According to the National Statistical Board (NCSB 2000), Bohol had 47.3% of its households below the poverty line in 2000, ranking the province the 16th poorest province in the country. Factors cited for this state of affairs were attributed to seasonal employment (particularly in agriculture), minimal opportunities for off-farm employment compared to the growth rate of the labor force, a decrease in the purchasing power of the Peso, and rapid population growth. To address this issue, the Provincial Government initiated the Bohol Program Framework on Poverty Reduction to ensure a common basis for formulating poverty-focused policies, plans, programs and projects. The Medium-Term Development Plan 2004-2009 Taking bolder and decisive steps to address the problem of poverty, the provincial government integrated the Program Framework on Poverty Reduction in the Medium Term Development Plan (MTDP). The plan is a statutory plan imposed by the national government to regional, provincial, and municipal authorities. Bohol’s MTDP for 2004-2009 took off from the development plan for 1998-2003 where the province spelled out its eco-tourism and agro-industrial development thrusts. The provincial government recognizes that unless the problem of poverty is addressed, problems on environmental degradation, peace and order, low productivity and unemployment will continue to persist. The plan calls for the strengthening of local government institutions to deal with multi-dimensional problems (such as poverty) that cuts across the responsibilities of sectoral departments. The 2004-2009 plan has identified 5 development sectors, namely: Social Development Sector - demographic landscape; education and manpower development; health, nutrition and population development; social welfare and development; cultural enrichment and preservation; housing and community development; Economic Development Sector - agriculture and rural development; economy and enterprise development; tourism development; Environmental Management - Natural resources management; land resources management; forestry; biodiversity management; water resource management; mineral resources management; coastal resources management; urban environmental management; Development Administration - public finance; public safety; local governance; and Infrastructure Development - transport and access development; water supply, sewage and irrigation development; communications development; power and energy. The preparation of the final document took six months, excluding the monitoring and review of the MTDP for 1998-2003. The Plan went through a series of consultations and revisions. Municipal Mayors submitted their medium-term five-year municipal development plans which were then studied by the Provincial Planning and Development Office (PPDO). The office, in consultation with other provincial departments, prepared a final document collating and synchronizing development goals of the municipalities which was submitted to the Provincial Development Council for approval. The Council is composed of municipal mayors, district representatives, people’s organizations (e.g. farmers, fisherfolks association) and nongovernmental organizations. After the Council’s approval, a resolution was passed to the Provincial Council (a body of elected officials) for approval and adoption. Draft report, submitted for comments November 03, 2006 70 Results Since the adoption of the Program Framework on Poverty Reduction and the Mid-Term Development Plan for 2004-2005, various initiatives were pursued by the provincial government to improve the health, living standards and livelihood of people. Initiatives were considered that strengthened institutions, built capacity, and provided financial and technical assistance in the areas of education, health and nutrition, water supply and sanitation, and urban development and housing, among others. Performances in basic education generally improved compared to previous school years. In a similar vein, non-vocational and technical courses were offered by TESDA and the Department of Education on eco-cultural tourism and agro-industrialization, reflecting Bohol’s development strategies. Health gains were significant - life expectancy rose, and mortality rates dropped, for instance. Improvements in nutrition levels resulted in Bohol recieving the Consistent Regional Outstanding Winner in Nutrition Award. With aid from private, foreign groups, the province implemented projects for children that reduced birth defects among newborns, and improved child health through immunization. Initiatives were undertaken to provide access to safe water supply and sanitation. In poor communities which have peace and order problems, livelihood projects are ongoing. Local Governance Poverty Database System Bohol’s Program Framework on Poverty Reduction led to the establishment of the Local Governance Poverty Database Monitoring System (LGPDMS), a software database that records and ranks levels of deprivation. Developed with the Bohol Local Development Foundation, the software has 19 indicators, which are child mortality, child malnutrition, crime, disability, electricity, food shortage, food threshold, garbage disposal, literacy, income threshold, meals, health insurance, sanitation, school drop-outs, tenure status, unemployment, water, and waste water disposal. The database can identify and rank levels of deprivation at the municipal, village and household level. It is currently being expanded to include more environment-related indicators. As a tool, it accurately identifies households and villages for projects in need of poverty reduction support. It can also track the impact of specific interventions including their correlation over time. This database is invaluable in that it provides data on which policy decisions can be made. Biodiversity Conservation through Eco-tourism Initiatives and management tools carried out by the Provincial Government to preserve natural heritage and provide employment opportunities include the crafting of the Bohol Biodiversity Conservation Framework, founding of the Biodiversity Research Center, establishment of marine and terrestrial flora and & fauna, implementation of the Biodiversity Monitoring System and implementation of the Coastal Resource Management (CRM) Certification System. Successful projects include the organization of eco tours to Pamilacan Island and Candijay Mangrove Sites. Lessons Learned As in the case for most Philippine local authorities, while the Provincial Government of Bohol was able to come up with a comprehensive development plan, the main challenge was always the availability of resources. Even with fiscal prudence and transparency in governance, many wellmeaning projects are put on hold because of the lack of financial resources. This has also affected the quantity and quality of staff working for the local authority. To address this problem, the Draft report, submitted for comments November 03, 2006 71 provincial government is establishing partnerships with development institutions. It has also prioritized its database, a major criterion required by agencies that provide aid. The Provincial Government gives credit to the Mid-Term Development Plan as an effective tool in setting the course of development that recognizes which issues are urgent and how public resources should be allocateds. Likewise, the plan calls for “shared accountability” over resources, responsibilities and aspirations. KEY REPLICATION ASPECTS Target Setting To attain the Program Framework on Poverty Reduction’s objective of putting in place projects that can expand the outreach of basic services to socio-economically disadvantaged groups and to ensure sustainable economic growth that benefits the poor, the MTDP has set specific targets. In the Social Development Sector, for example, the targets include: reducing the number of households living below the poverty line from 47.3% to 38%; reducing the population growth rate from 2.9% to 2.6%; and reducing households without sanitary toilets by 75%. On the other hand, the Environment and Natural Resources Management Sector aimed for qualitative, rather than quantitative, targets such as: institutional monitoring and evaluation systems for biodiversity conservation; organizing a water quality monitoring body; and rehabilitation of small watersheds. The sectoral targets determine the public investments for the five-year period of the mid-term development plan. They define the priority areas where government funds should be directed to. Institutional Building In the context of poverty reduction, one of Bohol’s strategic goals is to transform all private and public institutions into instruments for good governance. Even with adequate resources, poverty reduction will not be achieved without good norms and practices related to pro-poor processes, systems and procedures at all levels and in all institutions. The exercise of governance for poverty reduction will require addressing: 1. the need to have regular consultations between the government and citizens through mechanisms that allow the poor to articulate their options, needs and aspirations; 2. the need to ensure efficient, equitable, and transparent management of scarce public resources; and 3. the need to provide for social justice regarding ownership and the productive use of assets, such as land and natural resources. Synchronizing Global, National and Local Agenda Bohol’s development plan reflects the province’s commitment to the United Nations Millennium Development Goals which are focused on reducing poverty and hunger, disease and early death, inequality and inequity. Development is anchored on pro-poor and environmentally sustainable growth. It also supports the Philippine President’s 10-Point Agenda, which called for the stabilization of economic growth, global competitiveness and good governance. The plan, through the extensive consultations with the provincial stakeholders, summarizes the kind of development that the Boholanos want. Draft report, submitted for comments November 03, 2006 72 Staff The final document of the Medium-Term Development Plan was prepared by the Provincial Planning and Development Office, which also serves as the Secretariat of the Provincial Development Council. Departments in the province adopt the MTDP targets and implement the projects. The development office - with 20 regular employees - coordinates with other departments and functions as a monitoring and evaluation arm of the provincial government. Budget Funding for the Mid-Term Development Plan projects comes from the provincial budget which is comprised of local revenues and the Internal Revenue Allotment (IRA) from the national government. The province is also in partnership with ICLEI-Local Governments for Sustainability, International Global Change Institute, USAID, AusAID, Federation of Canadian Municipalities, Volunteer Service Organization (VSO) – U.K., and GTZ on various sustainable development initiatives. The province, with a grant from the European Union’s Asia Urbs Programme, is currently undertaking ecoBUDGET, an environmental management system developed by ICLEI for local governments. KEY CONTACTS Mr. Juanito Cambangay Provincial Planning and Development Coordinator Provincial Government of Bohol Capitol, Tagbilaran City Bohol, Philippines Tel: 63-38/411-4405 Fax: 63-38/411-4406 Email: [email protected] Draft report, submitted for comments November 03, 2006 73 Bourgas, Bulgaria FULL NAME OF THE MUNICIPALITY, COUNTRY Municipality of Bourgas, Bulgaria MUNICIPAL PROFILE Population: 226,000 Land Area: 48,200 hectares Gross National Income per Capita (in US$): $2,740 per capita Key Economic Areas: Chemical Industry, Shipping, Food Industry, Tourism & ecoTourism, Banking, Culture and Education Areas of Environmental Expertise: Environmental Planning, Environmental Management, and Energy ABSTRACT The environmental and social challenges faced by central and eastern European countries are significant and sharply contrast with the problems of western European and Scandinavian countries. In facing these challenges, the Bulgarian city of Bourgas has successfully adopted a proactive approach to environmental management. This approach consists of participating in a range of projects and initiatives at the national and European level, and developing comprehensive strategic plans for the municipality which address environmental concerns in tandem with economic and social priorities. With strong experience and an advanced understanding of sustainable development as both a theoretical foundation for action and as an approach that provides beneficial results and acts a stimulus for further change, Bourgas is ideally placed to act as a role model and consultant in supporting cities with similar challenges to develop sustainably. IMPORTANCE OF THE ISSUE In recent years, central and eastern European states have tried to come to terms with the environmental and social impacts of Soviet and socialist rule. These included economic stagnation and resultant poverty, as well as inadequate urban planning and widespread environmental pollution. These all in turn impacted negatively upon human health and well being. Today, strong emphasis is placed on improved environmental management as a mechanism, which, in synergy with economic and social policies, can contribute towards the sustainable development of central and eastern European countries and facilitate entry to the European Union (EU). Bulgaria, as one of the former socialist states seeking entry to the EU, has drastically revised its legislative framework in order to comply with the acquis communitaire, the set of EU laws, directives and standards which must be integrated into national statute before a candidate country can gain entry to the EU. Environmental criteria are prominent amongst the acquis communitaire, and have strongly influenced the actions of the Municipality of Bourgas as they seek to ensure improving quality of life and encourage prosperity in their community. CASE Context of Municipality Bourgas, the fourth largest city in Bulgaria, is situated in the East on the Black Sea coast. The municipality encompasses the city of Bourgas and fourteen smaller villages in the surrounding Draft report, submitted for comments November 03, 2006 74 area. Bourgas is an important seaport and industrial centre and is thus economically vital to the Bulgarian economy. Around 226,000 inhabitants reside in Bourgas, although the registered population has seen a slow decline in recent years. This decline can be attributed to various factors, including out-migration of young persons, increased mortality in an aging population, and a decreased birth rate. Illegal settlements are also an issue affecting the city and its capacities. Such factors are intricately linked to the process of transition in eastern and central European states and are by no means unique to Bourgas. Bourgas maintains a well-developed healthcare system, offering general and specialised centres and hospitals to all inhabitants as a basic right. Bourgas has a multi-sector economy. A duty-free zone was established in 1989 which has successfully attracted foreign investment due to the municipality’s well-developed transport and knowledge infrastructure, and well-educated society. The municipality is a popular destination for national and foreign tourists, resulting in the growth of the service sector. The industrial sector remains the largest sector in the local economy. Bourgas is home to the largest oil refinery on the Balkan Peninsula and hosts a range of other industries. However, the cost of intensive industrial development has been high and Bourgas is considered an environmental ‘hotspot’ in Bulgaria. The rapid and ill-planned industrial expansion of the socialist era resulted in high levels of air, water and soil contamination. The municipality has had to work hard to counter this pollution and has also faced problems with waste management and energy provision in the area. Preventing the recurrences of such problems and securing a sustainable future is central to the strategic planning of the municipality. Case Description Since the early 1990s, Bourgas has sought ways to alleviate the environmental impacts of the municipality’s intensive industrialisation. The transition from a socialist to a liberal regime and economy presented an opportunity to integrate environmental management into wider strategic planning for the municipality and to raise the profile of the city on an international level. This strategic planning process complemented the national goal of EU integration, and met the EU demands for compliance with pre-existing EU regulations. In this context, issues such as environmental impact assessment, waste management, nature protection, industrial pollution, risk management and nuclear safety were considered to be priorities across Bulgaria. Local issues - including industrial contamination of water sources, air pollution, land contamination, waste management and energy efficiency – were additional considerations for Bourgas. In an attempt to raise awareness about such issues, the municipality began releasing a fortnightly Eco Bulletin in 1994, which introduces information about sustainable development issues such as air quality and water management to the public. Since the mid-1990s, Bourgas has engaged in a number of international projects that have helped to establish and mainstream sustainable development within the strategic planning for the municipality. Such projects have been supported by international donors and partnerships with other cities and states, as well as through utilisation of EU structural funds that assisted transition countries in the years immediately after the end of socialist rule and in the subsequent accession process. By developing contacts with international organisations, such as the European Commission, USAID, ICLEI – Local Governments for Sustainability, Eurocities and the Regional Environmental Centre (REC) for Central and Eastern Europe, Bourgas has proven itself Draft report, submitted for comments November 03, 2006 75 a committed and engaged actor that is keen to develop efficient planning and management structures, and to achieve sustainability in environmental, social, financial and health concerns. At the same time, the development of new local and national policies increased the importance of environmental management and its level of integration within the strategic planning cycles of the municipality. In 1998, Bourgas undertook its first Environmental Monitoring Report, assessing the extent of inherited environmental problems and identifying necessary measures required in order to solve these problems. The findings of the report allowed Bourgas to embark on a campaign of upgrading the status of their local environment and creating a forward thinking policy in sustainability issues. In May 2000, the 2000-2006 Muncipal Strategy for Sustainable Development of the City of Bourgas was announced by the municipal government. The strategy underlined the environmental priorities identified in the Environmental Monitoring Report, and linked these to the economic and social needs and objectives of the municipality. In addition to the environment, the following areas were identified by the strategy as integral to the future of the municipality: industry, transport, agriculture, communications, demographics, and education. An Advisory Committee on Sustainable Development was formed, with representation from the city administration and key stakeholder groups. This Advisory Committee is responsible for the elaboration and implementation of the Municipal Strategy. Linked to this are several management programmes on air quality, municipal waste, protected areas, and the municipal environment, and plans for biodiversity. The Municipal Environment Management Programme for 2002-2007 aims to lower risks to human health and raise public awareness on environmental issues with the strategic objective of engaging all citizens in creating a more sustainable Bourgas. Concrete measures and actions in these priority areas form the Action Plan 2005-2007. For example, the Air Quality Monitoring Programme aims at monitoring and decreasing the impacts of air pollution. Ambient air quality is monitored, and reports are issued on the basis of data collected from five monitoring stations. Year SOx, t Organic Methane, NOx, t substances, t t CO, t CO2, t Dinitrogen oxides, t Ammonia, t 2001 42,451 6,273 10,184 1,831 4,096 2,148,011 316 2 2002 39,542 6,011 10,260 5,794 4,172 1,959,208 293 7 2003 41,073 6,073 10,062 1,1736 3,937 1,982,248 299 4 34,000 5,615 10,300 14,624 4,205 1,786,906 Table 1: Ambient air quality figures for Bourgas, 2001-2004. 262 5 2004 In the modernization of the Bourgas municipal region, it was clear that the capacity of existing public utilities would have to be improved. Despite severe budget constraints, Bourgas has made the following investments and municipal structure upgrades: Air Quality – Investments in new public transport infrastructure in a bid to improve air quality in the municipality; Water Management - Installation of new water pipes and the introduction of water meters across the city, leading to reduced loss and use of water. In addition, the 2002 Water Act means water is now managed within the context of the Black Sea basin, leading to more comprehensive regional planning and management; Draft report, submitted for comments November 03, 2006 76 Wastewater Treatment – Construction of the ‘Meden Rudnik’ plant. With the existing sewage system only partially constructed, it was imperative that a fully functioning wastewater treatment plant was put in place to serve new dwellings, ensuring that quality of life would be raised. This plant was constructed with a European grant worth some €7.6 million; and Waste Management - The Municipal Waste Management Programme for the 1998-2008 period was established. The programme focuses on the landfill site at Bratovo, which serves 270,000 people and was developed to manage the region’s waste for a twenty year period and eradicate the numerous illegal landfill sites that had appeared in Bourgas and neighbouring municipalities. Moreover, the Bratovo landfill site was a component of the "Greener Bourgas" Project, one of several international projects that have supported the development and maintenance of the Municipal Waste Management Programme. The "Greener Bourgas" Project – 1997 to1999 - aimed to mainstream government and industry cooperation on environmental matters through a government-industry environmental action programme targetting four sub-groups: environmental monitoring, environmental management, waste management, and environmental education/ public participation. The project resulted in actions in each sub-group, as well as the development of new initiatives such as an annual Environmental Week for citizens. Three other international projects, which ran from 1995-1996 and 1999-2000, have influenced the waste management agenda in Bourgas. These are: 1. Biogas extraction and utilisation at municipal landfill sites. Biogas extraction helps to reduce or eliminate water and air pollution and contributes towards the production of electric and heat energy. 2. The European Commission and REC helped Bourgas in a project dedicated to the management of hazardous medical waste, with the outcomes integrated into the Municipal Waste Management Programme. 3. The Netherlands Government, who provided financial assistance for the "Greener Bourgas" project, also provided input to a project aimed to improving waste management in the port of Bourgas. Participation in various other international projects has contributed to the sustainable development goals of Bourgas. For example, Bourgas is currently involved in the Livable Cities project, which aims to combine environmental management and planning in order to improve the quality of life for citizens. This project will result in the publication of a model plan for sustainable cities, which will assist local governments worldwide in solving environmental problems and raising living standards. Other notable actions include the signing of the Aalborg Charter on sustainable urban development, participation in ICLEI’s Buy-It-Green Network on sustainable procurement, and involvement in the EU’s project "Urban Planning and Environmental Monitoring via GIS in Eastern Europe". Results Most importantly, Bourgas has benefited enormously from its engaged and committed municipal staff. Additionally, being a member of organizations committed to sustainable development has been of enormous benefit. The formation of the Greener Bourgas Foundation is a testament to this fact. A non-profit organization, its team of experts works closely with the municipality to improve the standard of ecological services in Bourgas. Experts have also contributed towards studies such as the NATO Advanced Study Institute on "Risk Assessment Activities", which sought to quantify the environmental legacy of Cold War facilities. Funding for this independent, non-profit Foundation Draft report, submitted for comments November 03, 2006 77 comes from a wide spectrum of international organisations, including the EU, NATO, Ecolinks and REC. The Foundation helps the municipality to showcase sucessful projects and provide guidance to others who wish to follow. Furthermore, Bourgas has joined forces with the Union of Black Sea Local Authorities and the Black Sea NGO Network to affect change regionally. The municipality’s experience in balancing the protection of coastal resources with economic development has led to its involvement in various EU and national initiatives centered on the concept of integrated coastal zone management. A common goal for coastal zone management in Bourgas is to ensure that legislation, investments, resource use and spatial planning do not compromise life and health. Within the municipality, the Air Quality Management Programme has produced evidence showing the impact of air pollution upon public health in the municipality, thereby strengthening the argument for reducing harmful emissions. Respiratory diseases and heart conditions are two afflictions strongly linked to ambient air quality, with young and old affected in the form of illnesses including asthma, cardiovascular diseases and strokes. Between 2001-2004, by monitoring air quality and reducing emissions, Bourgas was able to maintain a relatively stable number of hospital discharges for respiratory diseases, and actually reduced the number of patients suffering from diseases of the circulatory system. In the same period, the levels of both respiratory and circulatory diseases rose dramatically across Bulgaria. In this context, the policy decisions taken by Bourgas appear to have had a positive impact on the daily lives of citzens. Furthermore, the stabilization and improvement of health conditions has occurred in parallel with a period of economic growth. Between 2001-2004, the total number of registered unemployed in Bourgas fell by more than 50%, with the level dropping from 9% to 3.94%. Linked to this is rising direct foreign investments in Bourgas, which rose six-fold between 2002-2004. The majority of these were linked to industrial investments and the growth in the construction and tourist sectors. As a popular tourist destination, investing in the natural environment supports tourism. In short, Bourgas has been able to improve its environment, public health and economic situation all at the same time through the development of a coherent and comprehensive strategy that aims for sustainable development in all sectors. The range of actions undertaken by the Municipality of Bourgas have had countless positive effects on its economy, environment and society, for instance: • The establishment of the wastewater treatment plant ‘Meden Rudnik’. • The new ‘Bratovo’ landfill site, which has eradicated illegal dumping. • Improved waste management in the Port of Bourgas, with the new Bilge Water Treatment and water-testing stations. • The development of an extensive report on Biogas extraction, relevant as a model that could be applicable to communities across Bulgaria. • Good relationships with international organizations, bringing investment into the community through project and research grants. • The City receiving the EU Compliance Award, as well as a heightened profile through its association with best practices. Having demonstrated its commitment, gained experience and been able to showcase successful results, the Municipality of Bourgas has taken on the position of acting in a consultant capacity to the national government during the drafting of the Bulgarian National Capacity Self-Assessment for Global Environmental Management. This, together with the aforementioned participation in Draft report, submitted for comments November 03, 2006 78 numerous international projects, campaigns and fora, has raised the profile of the municipality and enhanced its credibility in the field of sustainable development. Lessons Learned Bourgas has demonstrated that by integrating environmental management into long-term strategic planning, cities in transition like Bourgas can make the most of limited financial resources and still develop a development strategy that is sustainable. By enthusiastically engaging in international projects and learning from the experiences and expertise of others, Bourgas has been able to attract investment and to mainstream sustainability in its city planning. This in turn has heightened the profile and status of Bourgas internationally, regionally and nationally, making it an excellent mentoring partner for cities facing similar challenges. The achievements of Bourgas have been achieved despite considerable pressures, particularly fiscal and legal, as Bulgaria has had to rapidly adjust to a new type of economy and adopt new legal frameworks in its preparations for EU accession. Moreover, the municipality has had to work hard to engage its citizens and openly admits that public participation levels could be better - it may be that the historical experiences and the political culture of Bulgarians makes some citizens reluctant to engage, especially on the complex issue of strategic urban planning. In this type of political climate, it is therefore vital that the municipality attempts to engage with its citizens and promote transparency in policy-making through mechanisms such as the Eco Bulletin or Environment Week. Having achieved positive results in recent years, particularly with regard to public health and the economy, Bourgas is committed to continued progress and enhanced sustainability. In the new Municipal Development Strategy for the 2007-2013 period, the administration recognizes the need for an integrated long-term approach to balance current development with resource protection and sustainability. This is an issue of particular relevance to coastal communities and explains the municipality’s choice of an integrated coastal management model. Moreover, the new strategy places greater emphasis on inter-connections between environmental policies and other aspects of municipal life. As most responsibilities of the municipality (and others in Bulgaria) are linked to the environment – e.g. procurement, public transport, urban planning, energy management – policies need to address economic and social issues in synergy with environmental concerns. The municipality has also undertaken a gasification programme, which from 2006-2010 will build the necessary infrastructure to supply 20,000 end-users and 100% of the industrial sector in the West and South Industrial Zones. The gasification programme will result in 190 kilometres of pipelines, enabling drastic emissions reductions, with near-eradication of sulphur dioxide emissions. The programme will also have the effect of lowering natural gas prices for consumers, increasing energy efficiency and securing energy supplies. Finally, Bourgas is exploring the use of tools to assist in decision-making, such as the ecoBUDGET sustainability management system. While Bourgas has used indicator systems to monitor progress and has extensive experience in reporting, it now seeks to plan and manage its future sustainable development as the economy grows and investment levels rise. The ecoBUDGET sustainability management system will assist Bourgas in planning and managing environmental resources, and will clarify municipal priorities in sustainable policy in the form of as report that can be presented to the public. This system for accounting environmental priorities and monitoring progress will support the municipality’s overall strategy. Draft report, submitted for comments November 03, 2006 79 KEY REPLICATION ASPECTS Many aspects of the Bourgas experience are possible to replicate. In particular, other communities could adopt the proactive and positive approach of the municipality in engaging stakeholders within the local and international community to secure funding, co-operation and the exchange of expertise and know-how. Bourgas strived to develop strategic plans and engage stakeholders in the process. The financial support leveraged from international agencies, in particular, enabled Bourgas to implement specific projects, and create a comprehensive strategy against which progress can be measured. The steps taken by Bourgas on the path towards more sustainable urban planning have attracted the attention the national government and other local governments in Bulgaria. For example, the Biogas projects have resulted in a report outlining how Bulgarian municipalities can utilize extraction technology to reduce pollution and improve human health. KEY CONTACTS Mr. Venelin Todorov Deputy Mayor – Environment, EU Integration Municipality of Bourgas 26 Alexandrovska Str. BG-8000 Bourgas, Bulgaria Tel: +359-56/841 303 E-mail: [email protected] Other key staff: Ms. Denitsa Georgieva Mrs. Velichka Velikova Draft report, submitted for comments November 03, 2006 80 Calgary, Canada FULL NAME OF THE MUNICIPALITY, COUNTRY City of Calgary, Canada MUNICIPAL PROFILE Population: 1,167,700 in 2006 Land Area: 722 square kilometres Municipal Budget: $1.1 billion (CAD) in 2004 Key Economic Areas: Technology, Manufacturing, financial and business services, transportation and logistics, and film and creative industries. Areas of Environmental Expertise: environmental management systems, energy efficiency, climate change and air quality, Long-term sustainability visioning and planning. CASE Context of Municipality The City of Calgary stands at the point where the Canadian prairies meet the Rocky Mountains, at the junction of the Bow and Elbow rivers. It is Canada’s fifth largest city, with just over 1 million inhabitants. It is the second largest center for head offices in Canada, boasting a highly educated and skilled workforce. Technology, manufacturing, financial and business services, transportation and logistics, and film and creative industries are examples of the many industries contributing to Calgary’s tremendous growth and prosperous outlook. IMPORTANCE OF THE ISSUE From the staff to Council level, the City of Calgary takes its commitment to sustainability seriously. In 2001, Council committed to “creating and sustaining a vibrant, healthy, safe and caring community that ‘works’ for all today and tomorrow” in their declaration of Council priorities for 2002 to 2004. Then, in 2005 it re-affirmed its commitment to this vision in its most recent statement of Council Priorities. All the policies, programs and projects that help to further the City’s sustainability goals can be traced back to these commitments made by Council. The City of Calgary is known as a leader in environmental sustainability both nationally and internationally on many fronts. This case study will profile three ways in which the City has applied specific tools to help incorporate environmental aspects into its city development strategies. This focus on tools was important because the tools and concepts are readily available to any municipality, but the execution of the tools is unique to Calgary and can inform other municipalities interested in learning from their expertise. The first of these tools is an Environmental Management System that is used to control the environmental impact of the City’s operations and decisions. This was the first widely recognized tool the City applied and since then it has played a large part in its successful use of other sustainability tools. The second tool profiled is the Triple Bottom Line framework, which Council has identified as an important tool for achieving sustainable development. And, the third, most recently initiated, tool goes beyond the local government’s corporate activities to a community-led 100-year visioning process and plan for a sustainable Calgary. EnviroSystem An Environmental Management System (EMS) helps an organization to demonstrate responsible leadership and improve performance. EnviroSystem describes the City of Calgary’s strengths, Draft report, submitted for comments November 03, 2006 81 accountability to itself and its citizens, and commitments to protect the natural environment in which the citizens of Calgary work and live. It allows the City to manage the impact its activities have on the environment. It empowers the City to meet the commitments outlined in its Environmental Policy and: comply with environmental legislation and other environmental requirements; conserve resources and prevent pollution; and continually improve environmental performance. To continually improve performance, the City: plans which includes creating long-term forecasts that fit into the City’s new three-year business plans, reviewing environmental impacts on an ongoing basis and establishing new goals; implements strategies, establishes policies and procedures, and develops staff competencies; checks the effectiveness of systems and identifies additional actions necessary; and reviews performance at all levels of management and Council to make informed decisions that will enhance performance. Each year the City produces an EnviroSystem annual report to track its environmental performance, highlight significant advances in environmental policy and document new goals and targets moving forward. The third annual EnvirsoSystem report highlights major achievements in air, land, water and materials management along with summaries of the City’s accomplishments. The following table provides examples of the focus areas and achievements documented in the 2005 annual report. Much more detailed information is available online at www.calgary.ca. Draft report, submitted for comments November 03, 2006 82 Sector Air Water Land Materials Initiative Improving Air Quality Focus Area Greenhouse Gas Emissions Target Reducing Fleet Emissions Alternative transportation Conserving Water Drought resistant plants Protecting Water Quality Causeway impacts Caring for Wildlife, Vegetation and green spaces Integrated pest management Managing land use and construction Contractor environmental responsibilities package Choosing materials Decholirination pucks Hazardous materials management Alkaline batteries Recycling and composting Aerosol cans Sample Achievement The corporate greenhouse gas emissions reduction target has been changed from six per cent to 50 per cent below the 1990 level by the end of 2012. Calgary finished second in 2005’s National Commuter Challenge, with 3,479 people recording 429,405 kilometres. Transportation Planning supports the Sustainable Alberta Association in this initiative. Rather than using permanent irrigation systems, Transportation Infrastructure opted to incorporate drought resistant plants in its landscape design and portable irrigation where required in their street design. Transportation Infrastructure minimized the impacts of the Glenmore causeway project on the reservoir by conducting a fish habitat assessment and relocating fish, installing a silt-curtain/absorbent boom and using biodegradable vegetable-based hydraulic oils. Parks continued integrated pest management (IPM) trials on 24 fields; partnered with Rona, Clean Calgary and Waterworks to provide IPM training to participants in a training session; treated 1,490 elms and several hundred ash through injection, instead of spraying; and funded a mosquito control program for West Nile Virus. Environmental Management and Supply Management revised the Contractor Environmental Responsibilities Package (CERP) and the distribution process to ensure that contractors involved in construction projects receive the CERP. Waterworks substituted dechlorination pucks manufactured with paraffin wax with pucks made from water soluble and biodegradable cabo wax. Roads recycled approximately 25,000 nine-volt alkaline batteries — 979 kilograms worth — from parking meters. Transit recycled approximately 20 kilograms of alkaline batteries. Calgary Transit recycled approximately 1,200 aerosol cans. Several business units participated in similar programs. Results Overall, EnviroSystem has been important in protecting the environment and the quality of life in Calgary. It has created a culture of environmental caring and an understanding of the importance of protecting the watershed, preserving natural areas and green space, and protecting the air. EnviroSystem provides the foundation for moving beyond compliance and liability issues to achieving environmental goals, capturing Council priorities, and engaging all employees. The benefits extend to the community by improving citizen perception of the City as an environmental leader, attracting industry, people and business. 83 Lessons Learned Since EnviroSystem was the first standardized and widely recognized tool the City of Calgary used to control its environmental impact, it has helped to inform not only the refinement of the EnviroSystem itself, but also future tools and policies that would be used to help further Calgary’s sustainability goals. Some of the significant lessons learned from the EnviroSystem are that: EnviroSystem has become so successful because it is more than a traditional ‘corporate focused’ EMS. The EnviroSystem has improved internal communication significantly as it provides a strong link across all business units. A commitment to educating staff on implementing the EMS must be made to ensure its success. The accountability framework provides direct-line reporting to the City Manager and helps all levels of the corporation be involved and accountable. Key Replications Aspects EnviroSystem was the first municipally registered ISO 14001 system. Since ISO 14001 is an international standard, it lends itself well to being easily replicated. An EMS is as much about reducing environmental impacts as it is about having a proper framework management system in place to implement the EMS. Since the environmental impacts of a given city will differ based on various factors such as local conditions, jurisdiction and areas of activity, the framework management system can facilitate replication without dictating specific solutions to environmental issues. That said, the City of Calgary’s annual EnviroSystem report highlights the activities the city has used to reduce its environmental impact in areas such as air, land, water and materials management. Many of these activities could be refined and replicated in other jurisdictions. ISO 14001 is not limited only to local governments. A city government that has obtained ISO certification can, from a position of strength, promote replication of acquiring ISO Certification from other stakeholders in the city, particularly the private sector where a properly and strategically implemented EMS can have far-reaching and long-term impacts. Triple Bottom Line Policy and Framework In February of 2004, Calgary City Council endorsed a Triple Bottom Line Policy to ensure a more comprehensive, systematic and integrated approach to decision-making by Council and Administration. The purpose is to advance Council’s vision to “create and sustain a vibrant, healthy, safe and caring community”. In addition, the adoption of TBL has meant that it has become embedded into The City’s corporate policies, performance measures, actions and implementation procedures, and enhances the City’s decision-making processes. It is envisioned that TBL will make a contribution to global sustainability. The policy states that Council and staff will consider and address social, economic, environmental and smart growth impacts of all City business. To help staff and Council understand the TBL implications of decisions, the TBL Policy Framework was developed. It is a summary of existing City policies that touch on economic, environmental and societal aspects of the City. Over 300 policy statements were summarized into 20 themes under the headings ‘Economic’, ‘Social’, ‘Environment’ and the integrated category of ‘Smart Growth’. The primary application of the TBL framework is for reports to Standing Policy Committees and Council. 84 Results The TBL Outlook was prepared in April of 2005 to support and inform the City of Calgary’s strategic planning and new three year business planning and multi-year budget process. The Outlook provides relevant and timely information on current social, economic and environment issues and trends. The list of trends is not exhaustive, but rather a summary of selected issues that will affect life and business in Calgary over the next five years. It also identifies recent trends that may have a broader scope or longer timeframeThe trends are organized along six major themes: Calgary’s Land, Air and Water Calgary’s Economy Calgary’s People Calgary’s Housing Calgary Communities and Families Calgary the Corporation The themes aim to help departments be more aware of and better understand the issues that will affect, or will be affected, by their respective projects and programs. By viewing issues in this interlocking manner, city staff can more easily describe how their business plans and budgets anticipate and address those issues and enable the City to achieve its social, environmental and economic objectives. Lessons Learned City Council’s endorsement of the TBL Policy is a very significant and high-level declaration of the City’s commitment. It firmly establishes Council’s dedication and demonstrates how seriously Council takes its responsibility to sustainability. The success of many of the City’s projects and policies can be linked back to this initial TBL Policy endorsement. Once the TBL Policy was in place, Council and staff realized that a TBL Policy Framework needed to be developed to help staff and council understand the implications of the decisions they made on the triple bottom line. However, developing and distributing the Framework still weren’t enough. Staff and Council needed specific training on the policy, its implications, and how they could apply it in their day-to-day work in order to fully understand and implement the TBL Policy. KEY REPLICATION ASPECTS Triple Bottom Line as a term and concept was coined by John Elkington in his book, Cannibals with Forks: the Triple Bottom Line of 21st Century Business. While it stems from a business, or bottom line, perspective it is starting to resonate amongst local governments as a tool for implementing sustainability. Calgary has used it in the form of a policy framework, while other local governments have used it in various ways as a tool to support decision-making at the council or staff level. imagineCalgary imagineCALGARY is a city-led, community owned initiative to create a 100-year vision and plan for a sustainable Calgary “in order to ensure a prosperous economy, clean environment and high quality of life for the people who live there in the decades to come”. imagineCALGARY is the first project of its kind in Canada and one of the few in the world to have such a broad scope and include so many citizens. No other project has endeavored to engage as many people, approximately 18,000, in developing a vision for a sustainable community. As for looking into the next century, Calgary and the Greater Vancouver Regional District are the only two cities to develop a 100-year vision. 85 There are three stages to imagineCALGARY; VISIONING Between May and November 2005, 18,000 Calgary citizens answered five questions touching on what they valued about Calgary and what they hoped for the future of their city. A long-range vision of a sustainable Calgary that captures the values of today's citizens and inspires action was the result (see www.calgary.ca). The City of Calgary has committed to aligning its key plans to the 100-year vision. Many City plans are being updated within the next few years. Those which will align with the 100-year vision include: The Calgary Plan (Municipal Development Plan) The Calgary Transportation Plan Fair Calgary Environmental Action Strategy Centre City Plan Key community organizations and agencies will also be encouraged to align with the 100 year vision. Many leaders of key organizations are involved in the process through their advisory role on the Mayor’s Panel on Urban Sustainability. Dozens of other people with literally hundreds of affiliations to organizations and interests in the community make up the members of the Round Table and Working Groups. STRATEGIES AND TARGETS Guided by the 100-year goals, the 30-year strategies and targets were created as a reference point for the community to determine individual and collective action. They were developed using a wide range of research, expert analysis and the collective wisdom of participants in the multidisciplinary working group process. The targets focus on key systems of the city - built environment, natural environment, social, governance and economic. The following table provides a sample of one goal and target area in each community system. More information can be found on the imagineCalgary website: http://www.imaginecalgary.ca/. Community System System Built Commuenvironment nications and infrastructure system Sample Goal Sample Target Calgarians are connected to each other and the rest of the world. Our communication systems are reliable and support the engagement of all people, information dissemination, social relationships and economic activity. By 2036, 75 per cent of Calgarians report that they are informed. Energy Food Housing Transportation Waste management 86 Economic Governance Natural environment Social System Economic well-being Meaningful work Sufficient income Access Conflict resolution Equity Selfdetermination Air Land and soil Plants and animals Water Aesthetic enjoyment Calgary is a city with a vibrant, resilient, environmentally sound and sustainable economy that fosters opportunity for individual economic well-being. By 2036, R&D intensity, both public and private, increases to five per cent of Calgary’s gdp. Calgary is a city in which individuals have access to all public information when they need it. They can and do participate in decisions that affect their well-being. Decision-making is an inclusive process in which broad-based support is actively sought and contributes to continual improvement in people’s lives. Factors such as language, age, race, culture, gender, sexual orientation, time, finances, ability, knowledge and health are not barriers to public decisionmaking. By 2016, 80 per cent of Calgarians report that they feel government activity is open, honest, inclusive and responsive. Calgarians value the quality of clean air, recognizing it as the most basic need for survival. Treasuring clear, bright skies, we steward our air shed and responsibly address climate change. Economic and social activities protect all living things by ensuring air quality indoors and out. By 2036, energy consumption is reduced by 30 per cent based on 1999 use. All aspects of life in Calgary provide opportunities for aesthetic enjoyment. We recognize and protect our natural and built environments for their beauty. Opportunities for aesthetic enjoyment are accessible to all. By 2036, 90 per cent of citizens report that Calgary is a beautiful city. Creative selfexpression 87 Health and wellness Meaning, purpose and connectednes s Peace, safety and security Recreation Relationship s Self-esteem Sense of community LEGACY The imagineCALGARY project is currently entering the “legacy” phase. The legacy of imagineCALGARY will ensure progress toward the vision through the actions of public institutions, community organizations and business, as well as individual Calgarians. While developing the vision and strategies has been City led and resourced, the legacy is to be community owned and supported. Key Replications Aspects Calgary is one of 27 members of the PLUS Network, a network of cities and communities sharing learning on integrated long-term planning for sustainability managed by the International Centre for Sustainable Cities. The sharing of experiences amongst the network is resulting in better models of long-term planning; the development and application of different tools and techniques; the establishment of strategies and short-term goals that enable those long-term plans to be implemented; and the creation of benchmarks, measurable indicators and action plans to start on the pathway to sustainability. All the cities in the PLUS Network presented their findings and their 100-year strategies at the 2006 World Urban Forum. Conclusion This case study has highlighted three of the tools the City of Calgary uses to help incorporate environment aspects into city development strategies. The use of all these tools together has helped to build Calgary’s reputation as a leader in environmental sustainability in Canada and around the world. Calgary is committed to sharing these experiences in the hopes that other local governments will build similar tools and have similar successes. KEY CONTACTS Linda Harvey Team Lead, Community Sustainability Initiatives, City of Calgary Box 2100, Station “M” Calgary, AB T2P 2M5 Canada Tel: 1-403/268-1856 Fax: 1-403/268-5622 Email: [email protected] 88 Cape Town, South Africa FULL NAME OF THE MUNICIPALITY, COUNTRY City of Cape Town, South Africa MUNICIPAL PROFILE Population: 3.2 Million people Land Area: 2487 km2 Municipal Budget: ~18 Billion Rands (US $2.769 Billion at exchange of R6.50 to the USD) Built up area or density: 1291 people per square kilometer Gross National Income per Capita (in USD): South Africa US$ 3,410 Cape Town (great diversity b/w rich and poor) to give a single figure for city would be not accurate Key Economic Areas: Tourism, Agriculture, Energy (Oil, Gas and Renewables), Craft, Clothing, Film, Information Communication Technology, Business Outsourcing Areas of Environmental Expertise: General Environmental Policy, Energy and Climate Change - Air Quality Management, Biodiversity, Environmental Education, ABSTRACT Since 1990, and following the opening up of international relations with South Africa, the City of Cape Town has gradually been building a programme on environmental and sustainability issues. In 2001, Cape Town adopted a well consulted and comprehensive Integrated Metropolitan Environmental Policy (commonly known as IMEP). IMEP forms a framework policy for a series of strategies and programmes to adhere to the principles of environmental sustainability. The policy is based on a hub and spokes model that allowed for the development of a core policy supported by key sectoral strategies, policies and programmes and plans. Some of the key IMEP Strategies already established covers areas such as Conservation of Biodiversity, Coastal Zone Management, Energy and Climate Change, Heritage, Metropolitan Air Pollution, Metropolitan Litter (Integrated Waste Management Plan), Metropolitan Noise Pollution. In order to give effect to Cape Town's IMEP and its associated strategies, Cape Town has built on the theory of its key strategies with strong projects demonstrating deliverables that display environmental best practice locally, nationally and internationally. Cape Town's approach to environment has been built on a solid foundation and has enjoyed support of various political parties even in the last six years when Cape Town had many political and administrative changes e.g. four mayors over a six year period. The participation and support of and from civil society and partner agencies (NGOs, Business, Donor agencies etc), have formed a critical element in building a profile of key progammes and projects. Cape Town's case demonstrates that education and training, communications and marketing through various media and tools form the cornerstone of establishing a successful environmental approach that demonstrates an implementable and sustainable track record, innovative thinking and building trust. IMPORTANCE OF THE ISSUE A strong framework environmental policy forms the backbone for municipalities to deal with environmental and sustainability issues and has guided Cape Town's approach to sustainable environmental management. Investing in education, marketing, communication and training of the political, administrative and civil society organisations as well as partner groups was and remains important for securing strong commitment and support for environmental issues from different sectors. Cape Town's 89 approach is also a learning lesson of demonstrating stability of a management process within an ever-changing political environment Cape Town's approach has been a balanced one of addressing local concerns and issues of citizens (e.g. poverty eradication), whilst building a profile for environmental and sustainability issues in the local authority as well as with external stakeholders. Cape Town demonstrated the integration and implementation of key international agreements and conventions at local level. CASE Context of Municipality The Cape Floral Kingdom has almost 9000 different plant species and many animal species. Cape Town is situated in the heart of the Cape Floral Kingdom (the smallest and richest of the world's 6 plant kingdoms), making Cape Town an area of global importance, otherwise known as a global "hotspot" of biodiversity. In fact, Cape Town is known internationally as a global biodiversity hotspot without parallel. Even more important - lots of species occur in Cape Town and nowhere else on earth. Cape Town has the dubious distinction of also being one of the earth's mega-disaster areas - those areas that have already or are on the verge of losing a significant part of their biodiversity. The extinction rates in Cape Town are the highest for any metropole in the world. Not only is Cape Town rich in plant biodiversity, but also in animal biodiversity. Added to this, a unique and diverse marine environment surrounds Cape Town, which supports many different marine plants and animals. Biodiversity is a key draw card in attracting tourists to the city. Balancing this with the social constraints is a huge challenge. Conservation of the natural environment is not a luxury, but a necessity as it provides us with basic needs such as food, clean water, stormwater and flooding services, and assists with decreasing air pollution and many other services. Everyone has the basic right to a clean, safe and healthy environment, as is stated in section 24 of the Constitution. Cape Town, located on the South Western tip of African continent and having the world icon the Table Mountain at the heart of the City, is considered amongst the most beautiful and environmentally rich cities in the world. The city is surrounded by mountains and sandy flats providing a dramatic scenic backdrop but also a number of challenges for growth of the city. The city has over 307 kilometres of coastline and with the mountain backdrops and some of the most beautiful beaches in the world. Cape Town is also located at the heart of the Cape Floral Kingdom, the smallest of six floral kingdoms with the most number of rare and endangered species in the world per land area. There are over 3000 plant species in the metropole. This is more than double the 1440 plant species in the UK! To further enhance the biodiversity and cultural significance of the City, there are 261 sites of biodiversity significance, 22 local nature reserves, 1 provincial nature reserve, 1 national park, 2 biosphere reserves and two world heritage (Robben Island and The Table Mountain National Park) sites in the City. Given a rich environmental and cultural base for Cape Town combined with a growing population, there is an ever increasing demand on land for development purposes and environmental resources and the management thereof. Cape Town has 3.2 million residents and the city is amongst the largest cities in South Africa. There has been an increasing trend towards urban sprawl and developing larger amounts of land. This is reflected in a comparison of development rates from the period 1988 to 1993 when the rate of development was 475 hectares per year, which has increased to 1232 hectares per year between 1998 to 2002. This increasing 90 trend of development and urban sprawl has also increased the need and demand on resources and services. Between 15 and 20% of the City's residents live in informal settlements in an estimated 100 000 informal structures. There is currently a housing backlog of over 260 000 housing units. The HIV Antenatal Prevalence and TB Incidence continue to escalate. Between 1998 and 2005, the antenatal prevalence for the Western Cape, the province within which Cape Town is based grew from 5.2% to 13.1%. The number of TB cases in the last four years have escalated by almost 46% with 23 000 cases diagnosed in 2003 representing an incidence rate of 678 per 100 000 with approximately half the cases also HIV-positive. Population growth has also placed pressure on resources such as water, energy and waste. Cape Town's demand for electricity was expected to peak in 2007. Cape Town was left in the dark without electricity when this target was reached by 2006 and moves are now underway for new generation capacity that includes renewable and alternate energy forms. Over 65% of Cape Towns electricity comes from Coal, 33% from Nuclear energy. Over 54% of energy use in Cape Town is consumed in the transportation sector. Cape Town is expected to run out of water supply to feed its growing population by 2010 and moves are underway to look at the provision of water through new dams, desalination plants and underground water sources. There are six major landfill sites in Cape Town. In the coming six years, four of the five landfill sites will close resulting in a landfill air crisis. The City is in the process of developing an Integrated Metropolitan Waste Plan that will look at a plan, clean, collect, and dispose system which includes a waste minimisation and zero waste approach. Cape Town's pace of formal economic growth has been insufficient to address unemployment which stands at 1.9% of the labour force or approximately 375 000 people. It is estimated that a growth rate of between six and seven percent (or the creation of approximately 40 000 jobs annually) are needed to significantly reduce unemployment. The historical growth rate of South Africa's largest nine cities has been 2.2% and while Cape Town's stands at 3.8% and is higher than other cities in the country, key factors continue to restrict higher growth rate. These include a relatively unskilled population, low demand to high levels of poverty and limits to growth due to constraints imposed by transport and other infrastructure, many of which are based on environmental resources. During the period 1994 to 2006, greater Cape Town administratively has been restructured from over 65 local municipalities to one authority. This situation is reflective of the changing context of government in South Africa post the fall of apartheid in the early 1990s. The restructuring of the city combined with a close balance of political power has meant that Cape Town has had a significant number of changes at political level. For example, Cape Town has had four changes of mayors over a period of six years between 2000 and 2006. Case Description Cape Town, since the early 1990s and around the fall of apartheid, has been gradually increasing its capacity and building a profile around environmental and sustainability issues within the City, nationally and internationally. The City was involved in many environmental projects without an overall focus. In 1996, the City of Cape Town adopted its first Environmental policy aimed at setting an environmental framework for the organisation. This policy was done in a very short time frame and with little input from stakeholders and the public. 91 Cape Town in the late 1990s embarked on a process to establish a comprehensive environmental policy (that was well researched and that consulted widely with the public) to guide the City. The first step in this process, which is cyclical, was to commission a state of environment report that reported on key environmental indicators in the City. In October 2001, Cape Town adopted its first Integrated Metropolitan Environmental Policy (1MEP). IMEP is a statement of intent, a commitment to certain principles and ethics and to the development of sectoral strategies, which will detail goals, targets, programmes and actions needed to ensure sustainable resource use and management of Cape Town's unique environment for the benefit of all communities. IMEP forms the basis for a series of strategies and programmes, to ensure that the principles of sustainability are adhered to. Since then, the City has moved on establishing strategies in the sectors such as Coastal Zone Management, Energy and Climate Change, Air Quality Management, Environmental Education and Training, Heritage, Biodiversity Management. Many of these issues are also issues that look at issues of protecting global common goods such as air, energy, water. Energy and Climate Change Strategy Africa's first local authority Energy and Climate Change Strategy is expected to be adopted by the City of Cape Town in mid 2006. Already flowing from this strategy, are a number of programmes and projects aimed at reducing the City's contribution to climate change. The strategy aims to reduce the manmade causes of Climate change through the promotion of a more sustainable use of energy, and to identify communities and ecosystems most vulnerable to the impacts of climate change in order to minimise these impacts. The strategy also identifies a series of aggressive targets for energy efficiency and improvement of energy management and supply, including Cape Town national and international energy and climate change commitments. Energy supply and consumption play a key role in economic growth and development, as well as welfare promotion. However in South Africa, our major source of energy is fossil fuels based, a source of energy which results in global warming, the most serious environmental threat facing the world today. The City of Cape Town has responded by becoming the first African city to prepare an Energy and Climate Change Strategy, based on the state of energy use in the metropolitan area. The draft strategy sets out a vision for the delivery of a more sustainable, environmentally sound energy to the population of the metropolitan area. This will be achieved through the promotion of sustainable development in all core functions of the City within a framework that provides a clear vision and direction for the City as a whole, and specifically the energy sector. The strategy identifies 5 core energy sectors, i.e. Transport, Electricity Supply, Residential, Government, Industrial and Commercial, with specific targets for 2010, working towards broadening the sources of energy and efficiencies in each of these sectors. Apart from attempts at greater energy efficiency and the use of renewable energy alternatives, the strategy also explores measures aimed at preparing and reducing the anticipated impacts of climate change on communities, the natural and built environments, as well as the economy. The strategy was born out of a five year process which started with a partnership programme between Sustainable Energy Africa and the City of Cape Town called the Sustainable Energy, Environment and Development Programme (SEED) and sponsored by the Danish International Development Agency (DANIDA). The programme initially focused on two projects viz. to make low income houses more energy and environmentally efficient and secondly in assisting the municipality in increasing energy efficiency within its municipal buildings. Within the first project of focusing on low cost housing, Cape Town was also approached by South-South North, 92 a local based NGO to participate in a pilot project that focused on linking climate change issues up with energy efficiency at household level. Thus the Kuyasa Low Cost Housing retrofit project was born and was looking at energy efficiency at household level. The project turned out to be the first cleaner development project approved on the African continent as well as the first international Gold Standard rating project. The important learning lessons from this project has also guided national government housing policy by making ceilings a standard product in the building of new houses. Lastly, the lessons from the CDM side have contributed to the establishment of a new category of small scale projects for CDM trading in the international carbon trading arena. Cape Town has planned large scale events held locally, nationally and internationally as part of its business planning process and events where deliverables can be demonstrated. For example, the 2004 inaugural Bonn Renewable Energy conference provided the basis for Cape Town to make various commitments on targets for Renewable Energy as well as looking at best case examples in Germany. Biodiversity Strategy Seven Strategic Objectives are the core of Cape Town's Biodiversity Strategy. Unless each of the Strategic Objectives is met, biodiversity in Cape Town will remain under pressure and is likely to be lost in the long-term. The City of Cape Town cannot achieve the Strategic Objectives alone creating and working in partnerships with a wide range of organisations and individuals is the fundamental principle underpinning the strategy and each of the Strategic Objectives The seven objectives include: Primary Biodiversity (Conservation Areas and Biodiversity Nodes) Secondary Biodiversity (Conservation through Corridors, Links and Mixed Use Areas) Conservation of biodiversity in freshwater aquatic systems Invasive Alien Species Management Biodiversity Legislation and Enforcement Biodiversity Information and Monitoring System Biodiversity Education and Awareness A number of programmes and projects have been established to mainstream the biodiversity strategy. These include the identification of key areas of biodiversity and thereafter putting into place structures to manage these initiatives. Coastal Zone Management Strategy The City's Coastal Zone Management Strategy has the following vision: to be a city that leads by example through recognising the coastal zone as a unique and significant natural asset in the City. To commit to the management of this resource in an innovative and integrated manner that will ensure the environmentally sustainable functioning of the natural systems while optimising the economic and social benefits. Its goals are as follows: Effective, efficient and transparent management of the coastal zone, Sustainable development of the coastal zone, To ensure that Cape Town is recognised as having some of the best beaches in the world, The maintenance of an appropriate balance between the built, rural and wilderness coastal areas, and To optimise social and economic benefits from the coastal zone. The City of Cape Town has 307 km of coastline stretching from Silwerstroom Strand in the north-west to Kogel Bay in the south-east, including two of the largest bays in South Africa, namely the Table Bay and the False Bay. This coastline is arguably one of the City's greatest 93 economic assets and has the potential, if protected and harnessed, to play a significant role in its economic development and prosperity. However, the coastal resource of the City is under pressure and is faced with many challenging issues. Significant opportunity exists to initiate and implement management interventions that will enhance, protect and optimise this resource. To this end, an integrated, holistic, centralised and citywide coastal strategy has been adopted, implemented, resourced, championed to give additional value to national policy implementation. Coastal Zone Management Plans have been adopted for various areas of the coast and the strategy has been used to guide departments with their day to day operations on the coast such as managements of resorts, waste removal, access to the coast and maintenance of coastal areas. Environmental Education, Training and Awareness Strategy The aims of this strategy are to: Guide decisions regarding environmental education and training in the CCT, Address current issues and concerns regarding Environmental education and training, and Ensure that the achievements and quality of good practice is maintained. Several flagship environmental programmes have been established. The Youth, Environment Schools (YES) Programme brings together over 35 000 school children from various parts of the metropole to participate in one of South Africa's largest environmental education programme. Results The main outcome of the project to date has been the co-ordination of City environmental resources management. This has provided the City to increasingly operate across line functions in a team manner rather than in silos. Lessons Learned Some of the key lessons for the City of Cape Town is that establishing an environmental framework and associated strategies, programmes and plans forms the foundation for long term institutional buy-in to a process. Cape Town's Environmental Resource Management Department is located within the City's Strategy and Development Directorate under the City Manager. Different cities would have different institutional locations for their Environmental and sustainability functions. Cape Town's key lesson has been that the wide consultation with various departments and stakeholder groups is key to obtaining support for the policy. Marketing, communications and awareness raising is critical in getting the policy circulated and obtaining buy-in from various groups. One of the current barriers of the strategies is moving from small scale projects to large scale roll out projects. This includes sourcing funding for projects. Opportunities being explored to overcome these barriers are to work with the large scale infrastructural programmes and institutionalise these arrangements. Opportunities that have arisen have included increased support from various stakeholders. Some of the line functions within the City have not bought into the overall concept of IMEP and this has been as a result of the institutional and political changes that exist at the City which has seen regular changes in political and management heads of the City resulting in having to rebuild capacity of new management members. KEY REPLICATION ASPECTS 94 The establishment of an overall environmental policy is crucial for the establishment of a sustainable development policy for any city. The strategies provide a guiding base for the municipality on the management of various key environmental resources in cities. One of the main points here is that developing an environmental base has been a long-term process. It has taken over 10 years to get to this point and this has required efforts of teams of internal and external stakeholders to the City of Cape Town. The important issue is to establish a vision and plan, and to work towards these. Staffing and resource raising has been a concerted effort of working with internal and external stakeholders of the City. Community based organizations, volunteers, NGOs, the Business community, Universities and other sectors and institutions have all come to the table with the policy and strategy in terms of providing funds as well as to provide staff and on the ground resources to projects. Staff Staff numbers involved directly in the development of these strategies vary from an individual cocoordinator of the policy and strategies. On occasions, there have been limited staff resulting in one co-coordinator covering two programmes. The individual strategies have teams of additional people supporting them in the implementation of the strategies. Budget The Budget for the various strategies are funded with core funds from the City of Cape Town. However some of the initiatives would not have started off if, during the initial term, the various partner agencies had not supplied support in building the capacity of the local authority. Core funding for the City's IMEP was provided by the City of Cape Town. Over a five year cycle the total cost of the policy development has been approximately five million rand. This amount excludes staff time as well as contributions from external sources. Funding from the Environmental Resource Management Department has been complemented with funds from other City line functions such as waste, water, electricity, the Mayor's office etc. In addition external funds have been sought from external partners to assist with these functions. KEY CONTACTS Mr. Osman Asmal Director: Environmental Resource Management City of Cape Town P.O. Box 16548 Vlaeberg 8018 Tel:+27-21-487 2200/2319 Fax:+27-21-4872578 E-mail: [email protected] za Web: www.capetown.gov.za 95 Goiânia, Brazil FULL NAME OF THE MUNICIPALITY Municipality of Goiânia MUNICIPAL PROFILE Population: 1.2 million (2000) Land Area: 739 sq km (2001) Municipal Budget: approximately US$ 436.67 million (2003) Density: 1527.09 inhabitants/sq km Key Economic Areas: Industries, Services, Cattle Farming ABSTRACT Fora de Risco (Out of Risk) is a program whose goal is to move 7,000 families from slum settlements in environmentally sensitive flood-prone zones in the Municipality of Goiânia, and to provide these families with dignified, affordable housing and social assistance. To date, over 4,400 families have been moved through this program. The project is funded by local, national, and international sources, and is implemented by the Municipality. What makes this project so successful is its integrated and participatory urban development methodology that includes social, economic, physical, and environmental programming. The goals of this project, for instance, are aligned with wider municipal housing and watershed protection initiatives. To achieve these varied objectives, the Municipality of Goiânia has formed an interdisciplinary team in the Municipal Company for Works and Housing (COMOB) to act as executor of the project. COMOB coordinates environmental initiatives with the Municipal Secretariat for the Environment. A number of interesting lessons and promising results from this case emerge that can potentially inform integrated environmental urban development initiatives around the world. IMPORTANCE OF THE ISSUE Brazilian cities suffer from a large deficit in housing (6.65 million units, as of 2000), tremendous income inequality, an ingrained culture of social exclusion of poorer populations, and a paternalistic, unilateral relationship between citizen and state. As a result, favelas (slums) are a primary feature of urban development in Brazil. Such informal settlements often occupy environmentally precarious areas such as steep hillsides and riverbanks, and are usually bereft of key infrastructure, particularly sewage systems. This pattern of informal and irregular settlement, in turn, has led to severe environmental degradation pertaining to water and air quality, habitat integrity, etc, which affect the quality of life within the entire city. Most pressingly, it has resulted in environmentally and socially unsafe, unhealthy living conditions for residents in and around slum areas. The case reviewed in this document, the Municipality of Goiânia’s “Fora de Risco” Project is notable for its success in countering these negative trends at the local level by going beyond the traditional paradigm of mere public housing provision and incorporating environmental, economic, and social aspects of urban development into a single project. The lessons to be learned from Goiânia’s Fora de Risco, while still very much a work in progress, can be applied to cities around the world facing similar challenges. 96 CASE Context of the Municipality Goiânia is the capital city of the state of Goiás, located in central Brazil within the “Cerrado” ecosystem. The Cerrado is one of the main ecosystems in Brazil, encompassing over 1.9 million sq. km, including the entire state of Goiás. It is a biologically diverse area filled with rolling hills and plateaus, rivers and streams. Thus, it is widely regarded as a prime agricultural region. Goiânia is connected to 17 regional municipalities and the rest of the nation by a system of highways, and via two airports. Goiânia’s economy ranks 26th in Brazil (2003) among municipalities in terms of Gross Domestic Product, and its economy is based on services and industry. Goiânia is considered a “planned” city, meaning that it was built from the ground up to accommodate a future population. The city is oriented around a concentric radius design, with a civic plaza at the center. It was originally designed for a population of 50,000 inhabitants. Today, Goiânia’s population is approximately 1.2 million, and it suffers from a deficit in housing of around 58,000 housing units. There are illegal or “informal” settlements, 7,000 of which (12.1 percent of the total) were located in environmental “risk areas”. These areas included the banks of rivers and streams or places subject to periodic flooding. Slum settlements have been overwhelmingly built in sensitive watershed areas, primarily on urban river banks and springs. The 7,000 housing units in risk areas are the target of the “Fora de Risco” Project (herein called the “Project”). Case Description The motivation for the Project was born through years of struggle on the part of Goiânia’s community-based social movements (1970s-1980s). After years of no action when calling upon municipal government to meet local demands for low income housing, the struggle for land tenure and adequate housing finally began to influence local politics by the mid 1980’s. The first concrete result was the establishment circa 1986 of a “Commission for Urban Possession”, whose goal it was to meet local housing demands. Concrete progress, however, was slow in coming. The proposal for the Project was developed by the City of Goiânia with assistance from the Municipal Company for Works and Housing (COMOB), the body that would become the primary executing agency for the Project (One official from COMOB suspects that Fora de Risco was originally inspired by the City of São Paulo’s Favela Verticalization Program (1993-1996). COMOB would eventually manage not only the architectural and engineering aspects of the Project, but also social, economic, and environmental interventions as well. This “integrated” and interdisciplinary approach, that is, planning the social, environmental, physical, and economic aspects of urban development as an inter-related whole, was the first of its kind in Goiânia. The Project officially began on June 30, 1997. Project Goal, Organization, and Methodology The goal of the Project, rooted in Goiânia’s Master Plan and Municipal Housing Policy, is to improve the quality of life of 7,000 families living in environmental risk areas through social (education, counseling, and training programs), physical (housing and infrastructure provision, and environmental recuperation) and legal (land tenure legalization) interventions. In this way, the Project fits into citywide Municipal Housing and Environmental (watershed management) strategies (This project fits into a citywide environmental initiative to recuperate vegetation species and water quality on a watershed scale through the soon to begin Macambira/Anicuns project, Inter-American Development Bank financed). 97 The Project is implemented through the execution of two sub-projects (Pró-Moradia, a 1997 municipal initiative and Dom Fernando, a 2001 Inter-American Development Bank initiative) focused on several of the seven target communities; sub-projects are financed through a number of sources, as described in more detail below. The primary driver for this project was the “poverty-environment-health nexus”. Periodic flooding has resulted in unhealthy conditions stemming from the combination of flooding and open-air sewage. This situation has resulted in increased rates of disease and at least one death in the area presently occupied by the America Latina condominium. Land use regulation in Goiânia, and in Brazil in general, clearly protects watershed areas, whether they be on private or public land. These regulations served as the legal impetus and basis for Fora de Risco. In seeking to remove residents from environmental risk areas, the Project sought to improve the precarious health situation of residents due to unsanitary and unsafe conditions, while addressing key housing, social, and environmental strategies on a city-wide scale. The following is a brief overview of the social, economic, and environmental elements within Fora de Risco: Citizen Participation Participation of affected residents has been pointed out as one of the most significant success factors. Participation in pre-project planning usually takes the form of meetings with technical specialists from the Municipal government, including social specialists. The Inter-American Development Bank (IDB), through the Habitar Brasil BID program, demands structured participation in the Fora de Risco projects it funds. This includes 80% approval of beneficiary populations for some initiatives; meanwhile the Caixa provides technical support to the municipality (specifically the COMOB) for involving local populations through research and decision-making. Levels of participation vary widely within the Project, with final decisions always made by COMOB. Education/Preparation Social assistance teams from COMOB work to prepare residents to tackle the day-to-day aspects of managing a house or apartment, including the costs (such as utilities, mortgage, and common fees) associated with the move. Workshops are conducted regarding the importance of caring for public and community-owned equipment and common areas, and regarding inter-personal and intra-familial conflict resolution. Specialists from CEF and COMOB point to this as one of the most critical aspects determining a project’s success. See the case of the “America Latina” condominium below. Houses Removed From River Bank Green spaces, waterways, and park creation Education Center in Jardim Riverbank areas once settled by irregular housing have Goiás been recuperated, and green parks and plazas set up in resettled communities. The Municipal Secretariat for the Environment prioritizes maintenance of the natural characteristics of urban waterways involved in the Project by not paving over them, 98 and by creating concrete, channeled waterways (as has traditionally been done). Furthermore, this project is part of a Municipal initiative to comply with Federal regulations regarding Permanent Preservation Areas (APP) for set widths along the banks of waterways (Federal Forest Code (Law No 4.771, of 1965). Work training Daycare and educational centers are places that provide employment opportunities for local women, education, and common spaces in which to train in trades such as handicraft making. The provision of daycare allows parents to return to work. Environmental Education Recycle Bins in Itamaracá COMOB and the Municipal Secretariat for the Environment make efforts to involve the local community in planting vegetation in public green spaces such as parks and plazas, and in the maintenance and upkeep of these areas. Workshops are held regarding solid and liquid waste handling and collection. Alternative Energy The Dom Fernando-Itamaracá sub-project, described below, features photovoltaic panels on the roofs of a daycare and nursery school; the panels are used to heat water for the showers. Besides the economic benefits, it also substitutes electric shower, which is a popular, albeit energy intensive alternative. The following is a brief overview of the physical and land tenure aspects of the project. A New Home Resettlement and Repayment of New Homes The Project targets a low-income population earning between approximately US$ 159 and US$ 477 per month. The resettlement process involves the following steps: 1) COMOB provides an estimate of the value of the resident’s old (informal) dwelling; 2) the value of the new home provided by the Municipality is reduced by the assessed value of the old home, and a subsidy of up to 50% is provided depending on the number of children in the family; 3) payments on the new home cannot exceed 20% (for houses) and 40% (for apartments) of family income; 4) balances to be repaid vary between approximately US$ 3,300 and 3,800 (May 2006 figures). This usually means a monthly payment of US$ 1121 per month for a period of between 15 to 20 years. According to both municipal statute and IDB regulations, resettlement must take place within 6 km of the original housing site. Housing and Infrastructure The housing that was provided was either houses or apartments, maintaining when possible the same proximity to family and neighbors as the original settlement. New New Road with added Vegetation neighborhoods include the full range of urban services, including drainage, pavement, light, gas, green spaces, recreation areas, educational centers, and access to public transport. 99 Land Tenure Regularization Provision of land and housing titles to resettled residents is a Project priority, although relatively few titles have been issued so far. This is due in part to the intent to convey titles within the year after construction has been completed; in many cases construction continues. Difficulties have also arisen from complex municipal legal frameworks, and from compensation of private landowners. Titles cannot generally be sold, units rented, or transferred while the houses are being paid off (they remain the property of the Municipality in the interim), in order to prevent real estate speculation from gentrifying the residences. The following section describes the “story” of two communities that benefited from Fora de Risco. For both of these, environmental factors – including clear environmental legislation – were the primary reason resettlement was chosen over upgrading. The city of Goiânia would rather upgrade than uproot citizens and move them. Upgrading is preferable as it preserves intra-community links as well as other economic and social connections amongst residents. In the case of Jardim Botânico, however, the entire population had to be removed due to the environmental degradation of the area. Upgrading was simply not a possibility. America Latina Condominium The Story of Jardim Goias and the America Latina Condominium Prior to Fora de Risco, the community of Jardim Goiás lived in an over-dense slum on the banks of a small stream, with many surrounding springs. As the community was encircled by a generally impermeable part of the city with many parking lots and roadways, Jardim Goias would receive rainwater runoff and floods. Injuries, disease, low community-self esteem, and a death had resulted from the lack of adequate infrastructure and continuous flooding. Housing was so densely packed that access to the interior of the community was only possible on foot, and then only at particular points. The community had no access to formal city services. The lack of sewer service made living conditions particularly miserable and disease-prone. Fora de Risco began in Jardim Goiás in 1998, with the removal of 370 families totaling 1,800 residents from flood-prone areas, and accompanying urbanization projects for resettlement. During construction of the America Latina condominium apartment buildings, to which many resettled residents would later move, COMOB actively worked with the local community to prepare them for the new responsibilities and tasks that would be required of them as future condominium residents. Once settled in the condominium, local residents elected “Adão” as superintendent. In the view of representatives from CEF and COMOB, Adão’s dedication to consensusbased decision-making and conflict resolution has proven decisive in the smooth functioning and successful transition of local residents to a new way of life. Adão oversees a residents’ Excess Density Removed, Allowing Access 100 council of ten representatives (one per housing block) who meet once a month and in special sessions to address conflicts (including intra-family strife) or to make pressing decisions regarding community vigilance and security, for example. Under his leadership, the America Latina condominium boasts a 100% success rate in terms of residents paying back common charges and mortgages. This may be because the commission has developed innovative ways of dealing with financial hardship. For example, in the event a particular family is unable to pay common fees on a given month, families are able to pay by agreeing to provide a needed service for the condominium, such as gardening or cleaning. In addition to this, representatives from the Secretariat for the Environment point to the commission’s success in mobilizing over 100 volunteers for plantings in common areas such as parks and plazas. Specialists from COMOB and CEF highlight the involvement of the surrounding community in Jardim Goiás. This is noteworthy because Jardim Goiás is located in a particularly wealthy part of Goiânia, and wealthy local residents have been following what one COMOB specialist calls “a good neighbor policy.” The results include the establishment of several civil society organizations targeted to address social and economic needs in the Jardim Goiás. One such group, the Instituto Flamboyant Social, provides vocational training to local residents. Adão Beside Project Staff Former Slum Area Now a Park Stream Passes Behind America Latina Condo The Story of Dom Fernando-Itamaracá Itamaracá is a neighborhood developed as part of the IDB’s Dom Fernando Project, and is a sub-project of Fora de Risco. Itamaracá was built on land acquired from the Catholic Church for the purpose of resettling 236 of the 934 families removed from the margins of the Botafogo River. Employees of COMOB regard this sub-project as a success story for several reasons. First, there was significant interaction with and involvement of local Cyclists in Itamaracá C i 101 community leadership in the planning and implementation (2001-2005) phases of the project. Such participation usually took place through group meetings; important measures would require the approval of 80% of the residents, as per IDB guidelines. Second, environmental considerations were a priority from the planning phase onward, and not an afterthought as in past municipal projects, according to staff at the Municipal Secretariat for the Environment. As a result, Itamaracá is now integrated with a Municipal Environmental Protection Area, since a principle river in the city - the Macambira-Licurgo - runs past the neighborhood. As part of the environmental upgrading of the area, 19,000 native trees and other vegetation were planted along the bank of the river and near the community. This strategy fits into a city-wide watershed management initiative to preserve the banks of the MacambiraLicurgo, which drains into the Meia Ponte River, a principal water supply in Goiânia. The objective is to link the protected areas around Itamaracá into a 22 km linear park/protected area along the banks of the Macambira-Licurgo River. In addition to the increase and protection of green space, Itamaracá features photovoltaic panels on the rooftops of daycare and nursery school facilities for heating water. Macambira-Licurgo River beyond Plaza According to COMOB, a third auspicious Project aspect involves vocational training programs. These include work groups in embroidery (for which a headquarters is being built), sewing (headquarters is complete), a shoe factory (for which financing has already been approved), a beauty salon, and computer courses. Result of Vocational Training Results Keeping in mind that the Project is unfinished, results are encouraging. Since its inception, no natural disasters resulting from flooding in risk areas have occurred, environmental protection areas from which informal housing was removed have not been resettled, over 4,400 families have been attended to, 1,325 housing units have been built in 7 different project areas, and qualitative gains have been made in the lives of those affected by the Project. At the same time, financial arrangements for residents in new homes place a great deal of responsibility on heads of households to financially manage the housing unit. While exact retention rates are unclear, it seems certain from those interviewed that at least 80 percent of residents are managing to remain in their homes, and possibly more. In the view of CEF, the sharing of financial responsibility between state and citizen has gone a long way toward eliminating the paternal and unilateral way in which these two sides have traditionally interacted. COMOB specialists think the Project has made significant progress toward improving the self-esteem and self-worth of local residents, as well. And a specialist in the Municipal Secretariat for the Environment thinks that projects such as these have signaled a new era in urban development in which projects are 102 treated as integrated wholes, involving cooperation between the Municipality and citizens - both of which have become environmentally aware and pro-active stakeholders. Residents have not been relocated from any new slum settlements in Goiânia in the last five years. This can be attributed to a recent City of Goiânia slum prevention program whose priority is to “catch [slum building] in the beginning of the process.” In other words, the city of Goiânia has a program in place to prevent new slum settlements from taking root in environmentally sensitive areas in the first place. About five years ago, this policy was executed by a municipal ‘Secretary of Code Enforcement [Secretaria de Fiscalização]”. Soon after its formation, this Secretary’s functions were dissolved and transferred or ‘decentralized’ to two departments. The first, SEPLAM, is the Municipal Planning Secretary. SEPLAM approaches slum prevention policy from the perspective of the legality of subdivisions in areas not designated as environmental conservation units. SEPLAM identifies and clears settlements from illegal subdivisions on public or private land. The second agency is FEMA, the Municipal Secretary of the Environment. FEMA identifies and removes illegal subdivisions and settlements in environmental conservation units. The primary focus of both of these programs is on the prevention of slum settlements, and not on the removal of established slum settlements. Established settlements are the target of integrated programs such as Fora de Risco. Lessons Learned Several important lessons emerge from the case of Fora de Risco. First, it is critical to involve affected populations in consultations with and the decision-making process of public authorities. Second, the establishment of dignified housing, infrastructure, and accompanying social programming improved the quality of life of those living in environmental risk areas. Third, according to specialists from CEF and COMOB the involvement of the local population in the planning of the project, to the limited degree that this occurred, created a sense of empowerment and self-esteem among beneficiaries. Fourth, according to the CEF, the resettlement of families served as a wake-up call to the Municipality regarding the difficulties involved with this process, be they attributable to lack of available land, legal complexities, or real estate speculation. Fifth, strong local leadership can mean the difference between success and failure in assuring the success and sustainability of a project. It is therefore important to support and encourage local leaders. An array of obstacles was encountered. Administrative difficulties arose from a perceived paternalistic culture, where associates benefit from personal relationships; beneficiaries were resistant to the idea of making payments on their homes; it is still unknown exactly how many families are not making payments, due to lack of municipal administrative capacity. Trust is difficult to earn from locals, since false promises are often made (especially during elections). Representatives from COMOB identified opportunism as a particular challenge. They describe situations in which locals dispute assessed values of their old homes, the measurements of their home, or even the size of their family, often resulting in 11th hour re-negotiation of terms. Regarding vocational training, difficulties finding work after graduation and supply shortages have caused feelings of frustration among beneficiaries. Finally, COMOB points out that bureaucratic inefficiencies leading to delays in the work program have caused suspicion and doubt among beneficiaries. Many of these lessons have informed the programming for Dom Fernando and Itamaracá, which is why COMOB feels that this sub-project has been successful. They also feel that some of these obstacles can be overcome in future projects by guaranteeing financing for all elements of the project (such as community centers, parks, vocational training and supplies, etc.) from the 103 beginning; this strategy will overcome difficulties stemming from a change in political administration during project implementation. KEY REPLICATION ASPECTS Budget The following is a general description of each respective source and its administrator, as well as the total amount invested as of 2002: City of Goiânia- funds via the municipal treasury Total invested by the City of Goiânia (as of 2002): BR Reais 10,172,404.05 (Approximately US$ 4,623,820) Caixa Economica Federal (Federal) - CEF administers the following sources: Guarantee Fund for Time of Service (FGTS)- a federal workers investment fund financed through taxes on wages General Budget of the Union (OGU)- federal investment funds that do not need to be paid back to the government Inter-American Development Bank (IDB)- funds lent by the IDB are administered by the CEF on the local level Brazilian Ministry of Cities - provides mostly technical support to local municipalities, although some funds have been made available for this project Total Invested/Administered by CEF (as of 2002): BR Reais 21,710,596.27 (Approximately US$ 10,338,379.18) Total investment as of 2002: BR Reais 31,883,000 (Approx. US$ 14,492,272) KEY CONTACTS COMOB (City of Goiânia Department responsible for project) Address and telephone for COMOB contacts: Av. Atilio Correa Lima 764- Cidade Jardim Goiânia, GO, CEP 74015 Brazil Telephone: +55-62/3524-2175; Fax: +55-62/3524-2150 Caixa Economica Federal (Federal organization providing financial and administrative support) Rua 11 No. 250, 12o Andar, Centro Goiânia- Goias- CEP 74015-170 Brazil Tel: +55-62/3216-1616 Mr. Murilo Castelo Branco F. Costa Ms Leila Maria Borges de Barbosa Senior Manager – Engineer Social Assistant Email: [email protected] Email: [email protected] Municipal Secretariat for the Environment Mr. Antonio Esteves Forrester Rua 75 esq. Rua 66, 137 Goiânia, GO, CEP 74015 Brazil 104 Telephone: +55-62/3524-1415; Fax: +55-62/3524-1416 105 HYDERABAD, INDIA FULL NAME OF THE MUNICIPALITY, COUNTRY Municipal Corporation of Hyderabad, India MUNICIPAL PROFILE Population: 3,449,878 (year 2001), 5,742,036 (Hyderabad Urban Agglomeration) Land Area: 172 sq. km Municipal Budget: US$ 9.16 Million (412.38 Million Rupees) Built up area & Density: 21,048 Persons/sq. km (residential: 44%, mixed: 6.2%, open/agricultural: 12%, transport: 9%) Key Economic Areas: IT, ITES, Software products, Pharmaceuticals, Electronic goods Areas of Environmental Expertise: Municipal Solid Waste Collection, Waste to Energy, Hazardous Waste Management ABSTRACT Hyderabad, the fifth largest cosmopolitan city in India and the capital of Andhra Pradesh state, is located in the South of India. Hyderabad city is rich in culture, history and industrial growth. Hyderabad is one of the few cities where tradition and technology co-exist. Hyderabad is one of the fastest growing metropolitan cities with a decadal growth rate of 32%. It has established itself as a main hub for industries such as Information Technology (IT) and accounts. The city contributes 10% of IT exports of all of India. The city is also becoming one of the important cities of India due to the emergence of new industries such as “Fab City” and other new economy industries. The upcoming international airport would also place Hyderabad as a regional hub in this part of the world. Due to this fast development, global investors are looking at Hyderabad for investment opportunities. These global investors are partly basing their investment decisions on the infrastructure services they would require. To address the infrastructure and service delivery gaps in the Hyderabad metropolitan area, the Municipal Corporation of Hyderabad (MCH) has initiated in the late 1990s some unique Public Private Partnership (PPP) initiatives in solid and hazardous waste management. In addition, MCH prepared a City Development Strategy (CDS) in 2003 with support and assistance from Cities Alliance, the United Nations Centre for Human Settlements Programme (UNHABITAT), the Urban Millennium Partnership (UMP) and Water and Sanitation Programme (WSP). The key objective of the City Development Strategy Hyderabad was to prepare and implement a strategy for creating a robust economy with equitable growth. At present MCH is also working on new proposals such as Fund Your City, etc to create better infrastructure through PPPs. These initiatives will help Hyderabad to overcome some of the problems it is facing now. 106 IMPORTANCE OF THE ISSUE The fast growth of urbanization is not unique to Hyderabad; it is being experienced by other cities in India as well as other cities in developing countries. It is projected that the Hyderabad Urban Agglomeration will grow to become the fourth largest urban area in India by 2021, overtaking the other metropolitan cities of Chennai and Bangalore. Due to this growth, the city is deficient in service delivery. To overcome these problems, Hyderabad is working on developing better systems, which will be showcased to other cities in India. For instance, a team from the Greater Mumbai Metropolitan Area were recently in Hyderabad City to learn about these new initiatives. CASE The average population growth in Hyderabad Urban Agglomeration per decade is about 32% in the last 5 decades. Due to rapid urbanization, unplanned growth and industrial development, the city is experiencing a severe strain on its infrastructure. For example in 1996-1997, the streets in the residential colonies and slums were swept once per week, with commercial and main roads swept twice per week.. An assessment was done in 1996-1997 and showed that the staff and vehicles that were available could provide service to only 50% of the area. The vehicular fleet for lifting of municipal solid waste was also very old and could not be replaced due to lack of funds. To overcome these short falls and to fulfill the expectations of the public, who are the main drivers behind various initiatives, MCH had decided to privatize sanitation services. Hence a privatization system was designed to service the remaining area (50 %) that is not being serviced. Privatization of Sanitation Services The MCH is the first corporation in India to have a unique system of privatization called the “Unit System”. Initially, private contractors were entrusted with the sanitation contracts for street cleaning and garbage removal; these contracts were not uniform in size and works were of various magnitudes. This created an unhealthy competition among the contractors, and their work was difficult to monitor. During 1997, the system of private contracting was thoroughly examined and modified. The city was divided into uniform units. A unit rate was determined based on minimum wages, the cost of tools and disinfectants, and the contractors profit. The lifting and transportation of seven metric tonnes of garbage over a stretch of road was treated as one unit. About 128 Contractors were allocated areas where they were responsible for street sweeping, litter removal, silt scraping and removal, street clearance, etc. On all main roads, sweeping and garbage collecting takes place at night between 22:00 and 5:00. During the daytime, internal roads are swept and mopped, and all of the accumulated garbage is transported for dumping. Today around 9,850 staff – broken down as 3,488 corporate staff and 4,47 contractual staff - sweep all the roads, footpaths and open spaces during the day, and 2,015 private contractors sweep 310 Km of important stretches of main roads at nighttime. The private contractors are now cleaning 75% of the city’s area. Two Resident Welfare Associations have also taken up sanitation responsibilities in their colonies under the Citizens Participation Programme. The result is all roads are cleaned every day. Recently, MCH adopted another pro-active program called “Community Contracting”. Under this scheme, MCH allotted 14 sanitation units to Development of Women and Children in Urban Areas (DWCUA) groups on the same terms and conditions for sweeping and garbage lifting as applicable to private contractors. DWCUA was a Government of India program aimed at involving women in development activities by organizing them into groups. DWCUA Group’s main focus is health, education, sanitation, nutrition and safe drinking water. Today the Community Contracting scheme is running very successfully. As part of this scheme “Women 107 Groups” are the direct contractors to the Corporation and they no longer operate through middlemen. As stipulated by the scheme, the women organize themselves into a thrift and credit group, which decides on the monthly amount to be saved per family. Group savings are used to mobilize credits from banks for members to take up income generation activities and meet family demands. Significant Features of Privatization A scientifically designed and structured unit area and unit rate system for cleaning and transportation works has eliminated competition among the contractors, and promoted a standard work culture; Independent monitoring and reporting systems from the area and the landfill sites has improved efficiency; A stringent fines regime is in place to deal with low worker attendance, the quality of sweeping, shortfalls in garbage weight, and for terminating and black- listing nonperforming contract agencies; Monitoring and evaluation by resident welfare associations and neighbourhood committees of slums ensure proper execution of the works by the contractor; and Regular surprise inspections by independent external agencies also ensure proper attendance and improved work culture among the contract agencies Waste to Energy Plant, A Public Private Partnership Previously, MCH followed a practice of non-sanitary dumping of solid waste as part of its disposal system, a usual practice in most Indian cities as well as in most developing countries. This uncontrolled dumping on open grounds gave rise to ground water contamination by leachate and also generates a host of hazardous gases like CO, CO2, SOX, NOX etc., resulting in air pollution. MCH has grown at such a rate that the quantity of waste grew while available space for a landfill site shrunk. Finding land within the city limits became more difficult, so the distance to landfill sites increased and the cost of disposal reflected this. Due to these reasons, the MCH started looking for modern practice of processing of solid waste rather than distancing and disposal of waste. To identify new practices in processing solid waste, MCH constructed a mechanical composting plant between 1980 and 1981. For a few years the system run perfectly, but began to show failures due to some operational and maintenance issues, and the lack of a market for the compost. The plant was finally closed in 1984-1985. Seeking to identify modern solutions, the MCH encouraged the establishment of processing plants for garbage disposal. One such plant was set up by M/s. SELCO International as part of a public private partnership in December 1999. This plant is designed to utilize 700 Mts of unsegregated municipal solid waste every day to generate 6.6 MW of electrical power. The Technology of Processing of Municipal Solid Waste The breakthrough in the segregation and processing of heterogeneous garbage in Hyderabad is all set to revolutionize the municipal solid waste (MSW) processing sector. The Technology Information Forecasting and Assessment Council (TIFAC), which is an autonomous body under the aegis of Department of Science & Technology, Government of India had established a pilot plant in Mumbai, which has shown that combustible fraction from municipal solid waste could be converted into RDF fuel pellets for industries to use for heating purposes. Based on the success of the TIFAC technology and the commercial potential of similar plants working abroad, SELCO has set up the first large-scale, commercial garbage processing plant. The Andhra Pradesh Technology Development & Promotion Centre (APTDC) has provided the overall project guidance and supervision in the implementation of this project. 108 Salient Features of Hyderabad MSW Processing Project: The plant is designed to produce 210 TPD of Refuse Derived Fuel (RDF) in the form of fluff/pellets/briquettes by processing 700 TPD of municipal solid waste. MCH has agreed to deliver 700 TPD of raw garbage to SELCO at the plant site for 30 years. The project is situated on the outskirts of Hyderabad City, where the MCH landfill site is situated. The land is a part of the landfill site owned by MCH. Ten acres of this land was allotted to SELCO on a 30-year lease with an annual lease rent of 5% of the registration value of land. MCH and the Government of Andhra Pradesh have also permitted the company to mortgage the leasehold land in favour of the financial institutions. The capital cost of municipal solid waste processing plant is US$ 2.67 Million. As the population is growing, and the amount waste generated is increasing, MCH took another step by signing a Memorandum of Understanding with another firm - M/s. RDF Power Projects to process 700 MTs of MSW and generate 11 MW of power. This plant is likely to be constructed soon. Hazardous Waste Management Facility, A Public Private Partnership Hyderabad City also witnessed increased industrialization in the last few decades. Most of these industries are small and medium scale, and they lack modern facilities and land to dispose of their waste - including hazardous waste which was disposed of around Hyderabad City. As a result, most of the ground water is contaminated around these industrial areas. To address this problem, the Hyderabad Waste Management Project (HWMP), a public private partnership between the Ministry of Environment and Forests, the Andhra Pradesh Pollution Control Board and Ramky Enviro Engineers Ltd. (RAMKY) was launched in 2001, with the support of AusAID. HWMP today serves the hazardous waste treatment and disposal needs of more than 560 industries located in the state of AP. The facility is a showpiece for other waste managers, pollution control regulators and academics. At HWMP, the services that are provided are the transportation of waste, the weighing and laboratory analysis of the waste, waste storage and then its disposal. Waste management is carried out under a six copy manifest system, TREM cards and waste labels as per the Hazardous Waste (Management and Handling) Rules of 1989, 2000, and 2003. Landfills managed by the facility conform to international guidelines from the USEPA and Central Pollution Control Board guidelines, which requires a 2.00 mm thick double HDPE liner system. The stabilization facility can mix waste with appropriate chemical and physical reagents in order to decrease the leachability properties of the waste and render it safe for disposal into landfills. The incineration system with Alstom ABB technology consists of a rotary kiln primary combustion chamber operating at 850-950oC, and a secondary combustion chamber of achieving 1050 to 1,200oC. The gas cleaning system consists of a spray drier after the secondary chamber where the gases are cooled, followed by lime carbon injection to remove any remnant dioxins and furans, then a pulsed jet bag filters, and finally an alkaline scrubber followed by a stack. The facility has a modern laboratory capable of performing hazardous waste analysis, and for developing waste treatment/stabilization methods and recipes. The facility operates on a cradle-to-grave approach for the disposal of hazardous waste. Hyderabad First: e –nabling MCH to reach out to you Hyderabad, one of India’s fastest growing information technology cities, has chosen information and communication technologies to provide civic services online. “Hyderabad First”, MCH’s online facility, enables citizens to easily and simply perform tasks online, like the following: 109 Payment of dues, Lodging of grievances, Filing building plan applications and status updates, Birth and death certificates from hospitals, Birth and death certificates to citizens, Update on infrastructure works, Tender notices for contractors, and Business opportunities and social possibilities, etc. Fund Your City Program, A Public Private Partnership The rapid growth of Hyderabad City has resulted in enormous strains on its infrastructure. Realizing that government agencies alone cannot cater to all the infrastructure services, MCH started the “Fund Your City” program as part of a PPP. MCH organized a consultation-cumpartnership workshop in August 2006 with various corporate houses, NGOs and other institutions that proposed foot over bridges; public conveniences at strategic locations; junction improvements; central medians; painting Zebra crossings and signage in school zones; and tree guards at prime locations, etc. At present MCH is responsible for 116 public toilets/urinals blocks. These blocks currently suffer from various problems, including irregular water supply, poor maintenance and connection to pit latrines instead of drainage facilities, etc. In response to these problems, some corporate agencies came forward to provide modern urinals and public toilets. As part of this program, 35 toilet/urinal blocks have been constructed, and 38 more blocks are under construction. Other projects such as foot over bridges and pedestrian crossings are also under construction. RESULTS These initiatives have brought many positive results to Hyderabad and the Municipal Corporation. MCH has won, for the past four years, the “Clean City” award instituted by the Housing and Urban Development Corporation (HUDCO), a national level organization. The privatization scheme of sanitation services also brought down the operating costs of sweeping. For example, the operating costs for the outsourced area (75%) are now US$ 8.7 Million per annum, while for the remaining area (25%), (which is under the MCH) the operating costs are US$ 7.1 Million per annum. MCH also noticed a reduction in respiratory and communicable diseases after the introduction of PPP activities, as there is a noticeable improvement in sanitary conditions. The Refuse Derived Fuel (RDF) Plant is the first commercially viable plant in India. The conversion of solid wastes into RDF pellets/power/bio fertilizer has reduced environmental hazards as it is a safe disposal system. The generation of power is useful as India has a large power shortage, so the plant acts as another source of energy. As 70% of power in India comes from thermal sources, the burning of RDF in place of coal also reduces the amount of greenhouse gases produced. Political consensus and support form all walks of life is vital for achieving any environmental benefits. Hyderabad City has achieved different environmental milestones such as door-to-door collection, colony parks, tree planting, the banning of less than 20micron thickness plastic bags, etc. Due to these efforts, Hyderabad City has received the “Clean City award” for the last four consecutive years. - Sanjay Jaju, Commissioner, Municipal Corporation of Hyderabad 110 HWMP is the first commercial hazardous waste management facility in India. The success of this plant has encouraged other cities to build their own plants. This plant has solved a significant amount of ground water contamination problems. Furthermore, out of four contaminated sites, two were converted into a park and golf course; and the other two are under conversion. “Hyderabad First” does not provide any direct environmental benefit, but it generates indirect benefits such as a reduction in pollution due to fewer trips to pay bills. Public toilets were built und the Fund Your City. LESSONS LEARNED The following are lessons learned by the MCH in implementing the above initiatives: Awareness of cleanliness among people and the political administration will help in implementing any new initiatives. It was also learned that if a place is clean then people will hesitate to create waste; The waste-to-energy plant requires high-quality waste to function properly; MCH has approved the construction of another waste-to-energy plant on the same conditions as the previous plant. This new plant will help to reduce the capital cost for waste management, and will allevitate the burden on MCH as the amount of waste in increasing; and There is also an opinion that the solid waste department needs to be run by a professional to achieve any results. KEY REPLICATION ASPECTS To replicate most of these initiatives – either in other cities with in India or in other developing countries - the following is required: 9 A vision and the political will to go for modern practices, 9 Awareness among the public, press and media, serving as a catalyst, 9 Committed and qualified staff, 9 Up to date policies for example, “Fund Your City”, 9 Incentives to encourage staff, 9 Standardization of Procedures, and 9 Scientifically structured and transparent system. To further develop the city, MCH - along with Andhra Pradesh Urban Infrastructure Development and Finance Corporation - recently submitted a City Development Plan (CDP) to the Ministry of Urban Development, Government of India as part of Jawaharlal Nehru National Urban Renewal Mission (JNNURM). BUDGET The budget for the above initiatives is from its own revenue resources. For the last three years, the budget for the solid waste department has been: Head of account Actual Budget Revised Budget 2004-05 * Estimate 2005-06* Personnel Costs 9.60 Million 11.16 Million Operational Expenses 6.62 Million 8.13 Million Program Expenses 0.025 Million 0.071 Million Note: * All the above figs are in US$; Exchange Rate IUS$ = INR42 Budget Estimate 2006-07* 11.71 Million 8.57 Million 0.071 Million 111 KEY CONTACTS Mr. Sanjay Jaju, IAS, Commissioner Municipal Corporation of Hyderabad Municipal Complex, Tank Bund Road, Hyderabad India Tel: +91-40/2322-5267 Email: [email protected], [email protected] Mr. K Rajiv Babu, M.E., M.I.E Deputy Executive Engineer, Solid Waste Management (H.O.), Municipal Complex, Tank Bund Road, Hyderabad India Tel: +91-40/2322-5397, Email: [email protected], [email protected] 112 Nakuru, Kenya FULL NAME OF THE MUNICIPALITY Municipal Council of Nakuru MUNICIPAL PROFILE Population: 400,000 in 2005, growing at 7% per annum Land Area: 188 sq.km, Lake Nakuru National Park Gross National Income: US$ 460 /capita Economic areas: Agricultural service centre; agro-industry; Tourism (Lake Nakuru), Administration Centre Key environmental areas: Water and sanitation, tourism, biodiversity ABSTRACT Nakuru recently constructed five water kiosks. These water kiosks not only provide safe, potable water, but they have generated employment and have fostered community engagement. Their construction are an excellent example of an initiative developed through the Nakuru Municipal Strategic Plan, which provides for Nakuru’s city development strategy and activities. Integrated into this Plan are environmental policies, acts, projects, methodologies and tools to manage environmental issues. The methodology used in the design, implementation, monitoring and evaluation of the water kiosk project, and other initiatives established by the Strategic Plan, is the Local Agenda 21 (LA21) approach - the global action for sustainable development. The LA21 methodology calls for strong community involvement and advocates for an integrated, multi-sectoral approach for any development or project. IMPORTANCE OF THE ISSUE The Nakuru case study demonstrates how residents in low income areas can come up with innovative approaches for dealing with environmental problems. This particular study on water supply in Nakuru is being presented as it aided in addressing not only environmental issues, but also social and economic concerns for the community. The water kiosks served to create employment, mitigate disease outbreaks, and reduce poverty within the community. It used a strong integrated approach and the use of stakeholder consultations in decision making - key replication factors for other communities. . CASE N a ku ru in th e R e g io n a l C o n te x t Context of the Municipality and Issues Nakuru Town is the fourth largest town in Kenya. The town serves as the administrative headquarters of the largest Province in Kenya –the Rift Valley Province - as well as the Nakuru District Headquarters. Nakuru was founded in 1904 as a railway outpost. It is located along the east-west 113 transport route across the country, linking the Kenyan Coast with the Lake Victoria region and Uganda. It is situated at an altitude of 1,859 m above sea level between the Menengai Crater and Lake Nakuru, home to the famous flamingoes. The Lake Nakuru National Park is a tourist attraction with great economic value for the country. Being on the floor of the Rift Valley, Nakuru is susceptible to volcanic soils such that during the dry season it is engulfed in whirlwinds of dust, giving Nakuru its name. The town saw a dramatic population increase between 1957 and 2004, growing from about 57,000 inhabitants to the now over 400,000; a growth rate of 7%. This has led to increased pressure on municipal services, a factor that is responsible for the low quality service delivery as demand has outstripped available capacity. This situation created a need for concerted efforts by the national government, local authority, co-operative partners and the inhabitants of the town to work together towards realizing sustainable urban development. Several industrial investments provide empowerment for Nakuru residents. Important factories are producing cooking oil, batteries, blankets, and agricultural implements. Some industries emit toxic effluents which find their way to the Lake, an environmental concern. There is a five year integrated Lake Nakuru National Park Plan: 2004 – 2009 addressing this and other concerns. Institutional and Planning Context Kenya has a National Environment Management Authority (NEMA) which is the highest national policy-making body on management of the environment and natural resources. It establishes the National Environment Action Plan for the country. Below this national body are provincial, district and divisional environment committees. As tools and methodologies, the Council of Nakuru is using Environment Impact Assessments (EIA); environment audits and monitoring; environmental restoration, conservation and easement orders; annual reports on the state of environment in Kenya. CASE DESCRIPTION The Municipal Council of Nakuru benefited from UN-HABITAT’s Localizing Agenda 21 programme. Localising Agenda 21 – Nakuru, was a collaborative initiative to enhance the local capacity for sustainable urban planning management for the benefit of the citizens of Nakuru to improve the quality of their urban development. This programme led to the development of the Nakuru Strategic Structure Plan, a plan approved in 2000 that provides guidance on how development issues can be addressed through 2020. The plan calls for a participatory approach to tackle the various interdepartmental issues, it has helped Council to accept inclusive governance by linking partners both internally within the local government and externally and managing in turn to leverage much needed resources. As part of the process of consensus building towards a commonly agreed-upon action platform, the Municipal Council of Nakuru (MCN) and UN-HABITAT organized a Consultative Workshop with the support of the Belgian Consortium. This brought together a wide range of stakeholders in Nakuru, including Councillors, officers of the Municipal Council of Nakuru, the District and Provincial administration, research and training institutions, NGOs, and industry. The workshop reached a common understanding of the factors promoting and hindering the sustainable development of Nakuru. Working groups stressed environmentally conscious development, promoting Nakuru as a “People’s Green City”. Nakuru was envisioned as: an eco-town, intergrating natural and human imperatives; a railroad town; a centre of eco-tourism; a regional capital and service center; and 114 a prototype town for the East Africa highlands. The themes of the Localizing Agenda 21 framework were identified as a result of the workshop. These themes deal with building consensus for a long-term vision, streamlining urban development and upgrading the environment, institutional strengthening focusing on the Municipal Council, and stimulating innovative partnerships. One of the first projects resulting from the Localizing Agenda 21 – Nakuru framework was the creation of a reliable water source for low income residents. Water access Nakuru town gets its water from both surface and sub-surface (underground) water. This production is supplemented by other sources including the National Water Conservation and the Pipeline Corporation. The total water supply to Nakuru Town is 35,000 m3/day against the current water demand estimated at 75,000 m3/day. Most industries have been encouraged to dig their own boreholes in order to meet their industrial needs. Until 1985, Nakuru was adequately served with water using this scenario, with alternatives to more water sources consistently advocated. These included additional sources from rivers, dams, water harvesting, and boreholes. The water network within Nakuru, however, was inadequate with only 33 sq. km, which translates to only 34% of the town being covered. Water kiosks project implementation In a Participatory Environmental Planning (PEP) Workshop held in 1999 under the sponsorship of Green Towns Kenya, water shortage was cited as one of the major problems. This situation was highlighted by a severe cholera outbreak in the low-income areas of Kaptembwa and Rhoda. The cause of outbreak was attributed to the consumption of contaminated water from unknown sources. The water kiosks project was created to stop these outbreaks. The Nakuru Municipal Council had three approaches in ensuring good water supply. These included: increasing water production; increasing the size of the pipes in the network to accommodate more water; and identifying areas to construct water kiosks so as to bring water closer to the people. The participants representing the community advocated for water kiosks in areas within a short walking distance that would be accessible to low income residents. This would provide a reliable source of clean water to those individuals who previously were forced to used unknown (and unmonitored) water sources. The Municipal Council then approached the international community with a proposal to fund the implementation and construction of five water kiosks in low income areas. Components of the project included: training and awareness creation; construction of water kiosks; piping connection to water kiosks; operation and maintenance; and the documentation of outcomes. By using a LA21 approach, the project was operated through a community-based organization, the Naroka Greeners Self Help Group, along with other stakeholders. The roles defined for each group were as follows: (i) Naroka Greeners Self Help Group Identifying the community needs. 115 Sensitizing the community on environmental issues such as safe liquid waste disposal. safe water use, and proper water management. Providing labour for trenches where the pumping for water network would be laid. Managing the facilities (water kiosks). (ii) The Nakuru Municipal Council Providing technical expertise. Selling water in bulk to the Naroka Greeners who in turn would sell the water at a retail price. Monitoring the progress and evaluating the projects management and execution. (iii) Local Agenda 21 Coordinating Office The role of this office was to ensure that there were adequate linkages and coordination with international Agenda 21 standards and processes. Construction of water kiosks at Rhoda/Kaptembwa A contract was entered between the Municipal Council, via the LA21 Coordinating Office, and the Nakuru Artisans group to carry out the water kiosks project. The five water kiosks were constructed on sites approved by the Municipal Council; with one of these being used as an office as well. The labour cost of the kiosks was 54,000 Kenyan Shillings (KES) equivalent to US$ 745. The Municipal Council provided all of the materials required for construction. Greening aspects The Municipal Council required that tree nurseries be set in schools where the water kiosks are situated as well as private nurseries at road reserves in areas where other kiosks are located. This measure is being implemented in order to improve the low forest coverage; Kenya has a minimal 1.6% coverage. Outcome of the project The project benefited the community in many ways. Firstly, it provided access to clean water and thus reduced the risk of diseases associated with poor sanitation. Secondly, there was a significant reduction in the walking distance for women in search of water, freeing up time for other productive activities. Thirdly, the water kiosks created employment opportunities to a variety of community members. Lastly, the water kiosks generate revenue for the City Council through the sale of safe and reliable drinking water to industries. The first water kiosk is a master kiosk managed by Naroka Greeners Self-Group. In addition to providing a reliable source of potable water, it acts as an office for the group. Four other water kiosks offer reliable sources of water to residents of the Rhoda/ Kaptembwa low-income residential areas and other areas. The group, according to its 2005 Annual Report, has averaged nine to ten employees. The 2005 annual turnover was US$ 16,940.70, with a surplus of US$ 6,139.60. The group has already started projects for garbage collection services in the area and is licensed by the Nakuru Council as another service provider to the community. Other plans for the group are to supply water to communities far from the water kiosks through the use of a water tanker; construct a water reservoir tank; and to build more water kiosks. 116 An important side benefit is the fact that water vendors can make a living out of this initiative by delivering water by bicycles, thus further contributing to the use of non-motorized transport in the area. A community based water vendor group has also been registered ensuring that its members get water from the water kiosks for sale to commercial entrepreneurs and residential houses. Future Action The Nakuru Municipal Council Strategic Plan has set targets until 2020 for having water accessible to low income groups who live in peri-urban areas by constructing water kiosks close to these communities. The Nakuru Water and Sanitation Services Company (NAWASSCO), a fully owned public company of the Municipal Council, in its corporate plan outlines that it will “open up water kiosks to low-income earners by involving communities in conservation and management as a short term practice based on needs”. A recent study recommends that water kiosks be constructed at seven low income areas as a measure to make safe water available as well to work towards poverty alleviation by creating an income generating activity. Similarly the Municipal Council of Nakuru and UN-HABITAT will soon use US$ 30,000 to link areas with water kiosks and improve accessibility by non-motorized transport with the construction of bicycle and pedestrian lanes. The water kiosk is a good model or innovation for increasing water access at the local level that can be replicated globally. The following aspects of this case study can be replicated: Community participatory planning when undertaking projects any developmental projects. Capacity building within community-based organizations to ensure proper management of the water kiosks. Inclusive governance to make the management of sustainability initiatives more diversified. Linking and leveraging resources both internally and externally to bring about developmental changes. KEY CONTACTS Mr. Simon C. Kiarie Director of Environment & Partnership Nakuru Municipal Council P.O. Box 124 – 20100 Nakuru, Kenya Tel: +254-51/221-3619 Fax: +254-51/221-0037 Mr. B.K. Bargurei Chairman Naroka Greeners Self Help Group Nakuru, Kenya Telephone: +254-72/676 2656 117 Yangzhou, People’s Republic of China FULL NAME OF THE MUNICIPALITY Prefecture of Yangzhou, China MUNICIPAL PROFILE Population: 4,536,100 Land Area: 6,638 sq. km Municipal Budget: US$ 487,000,000 Gross National Income per Capita (in US$): $1,781 (as of year 2003) Key Economic Areas: agriculture, heavy industries and eco-tourism Areas of Environmental Expertise: eco-city planning, eco-tourism, urban conservation ABSTRACT Yangzhou Prefecture is one of China’s pioneering cities in sustainable development. Balancing economic progress and environmental concerns, the municipal government embraced an Eco City Plan which is aimed at achieving sustainable development in the city through ingenious utilization and management of local resources, setting up ecologically sound institutions and changing people’s behaviour. Its ultimate goal is to become an “Eco City”; an “Eco City” is a city that develops within the limits of a local ecosystem by changing modes of production, patterns of consumption, and decision-making practices through the application of ecological economics and system engineering. IMPORTANCE OF THE ISSUE Synchronizing plans to attain economic, social, and ecological goals is a constant challenge for local governments. There is a pressing need for integration mechanisms to be implemented in order to ensure that statutory plans (e.g. the urban master plan) and plans that reflect longestablished administrative practice (e.g. 5-year investment plans and supporting sector plans) are all covered. There is also the need for public participation to ensure implementation, success and efficiency of municipal undertakings. CASE China’s Eco City initiative was launched by the State Environmental Protection Administration (SEPA) in 1996, the year SEPA first issued application guidelines for classification as an “Eco City”. With growing interest in environmental solutions in China and complying with Agenda 21 principles, the Eco City initiative generated attention from local governments to adopt more sustainable approaches to urban development. Nearly 500 local governments in China registered to be pilot areas. Of these, 10 municipalities have submitted Eco City Plans to SEPA, with Yangzhou among them. Case Description Eco City Development Eco City development calls for the integration of strategies for social progress, resource management, economic development, transportation, land use and industrial management through cooperation and education. SEPA has summarized a set of 30 indicators for Eco City development: 1. Economic Development i) Productivity (per capita GDP ii) Per capita financial revenue iii) Per capita net income, etc. 118 iv) v) Efficiency of resource use Development potentials (tertiary industry development level, ISO14000 authentication ratio) 2. Environmental Protection i) Forest coverage ratio ii) Per capita public green space iii) Proportion of conserved area iv) Ratio of degraded land restoration v) Waste emission and regeneration vi) Environmental quality vii) Investment in environmental protection 3. Social Progress i) Infrastructure level ii) Urbanization rate iii) Quality of life iv) Social equity v) People’s capability (ratio of enrollment in higher education, input in science and education) vi) Ecological awareness promotion vii) People’s satisfaction with their environment. Yangzhou’s Eco City Programme Yangzhou is running the Eco City Programme as a pilot area, along with the Municipality of Changzhou. It follows the structures laid out from the Eco City Planning and Management Programme, a Sino-German cooperative programme. Yangzhou’s Eco City Plan was also developed in partnership with the China Academy of Sciences. Implementing partners are the municipal government of Yangzhou and the Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) on behalf of the German Ministry for Economic Cooperation and Development. The executing agency of the Programme is the Department of Foreign Trade and Economic Cooperation (DOFTEC) of the provincial government of Jiangsu, China. The Programme will run from June 2002 to May 2007. Yangzhou has set up a programme office in close cooperation with GTZ staff. German expertise and technologies in urban development and urban environmental management supports the city’s planning strategies. The purpose of Yangzhou’s Eco City Programme is to allow for development that is socially, economically and ecologically balanced, as well as being efficiently managed. The Programme contributes to the strengthening of city strategies for a more sustainable urbanization process. Yangzhou’s Eco City Plan The Plan covers a broader range of issues over a longer time horizon than all other existing plans. The philosophy underlying the Plan requires the public, private entrepreneurs, and government staff to change their habits that will result in the conservation of energy, water and natural resources, and a reduction in the creation of waste and pollution. It highlights the need for monitoring, evaluation and public participation to ensure sustainability. The ECP contains the long-term vision and the short-term priorities for action. The ECP, however, is classified as a non-statutory plan in China, unlike the spatial/master plan which is required by law to be submitted by municipal governments. 119 China is a highly-centralized state and the Constitution provides for one department to direct the work of the same department at a lower level, making for strong vertical linkages from the same department at central, provincial, municipal, county/township government levels. On the other hand, the horizontal link among different departments at the same municipal level is typically weak. Recognizing the need for a holistic approach, the Mayor of Yangzhou, with support from executive vice mayors, and department heads, established a special ad hoc office within the administration (known as the “3Cs Office”) to coordinate decisions and actions horizontally across departments to implement the Eco City Plan. The 3Cs office is comprised of at least one staff person from each key department of the administration - land use planning, environmental protection, 5-year investment planning, budget, and construction. The Plan emphasizes the pressing need to integrate mechanisms to be implemented. This would ensure that statutory plans (e.g. the urban master plan) and plans that reflect long-established administrative practice (e.g. 5-year investment plans and supporting sector plans) are all covered under the ‘umbrella’ of the municipal Eco City Plan. Because the Eco City Plan is supported by both the local executive and administrative bodies, departments make their decisions on investments, programs and activities that are consistent with the aims, priorities and the principles of the ECP. Results Urban Water Management Through the Eco City Plan, Yangzhou has implemented measures to improve the water quality in numerous rivers and canals. Due to intensified urbanization and industrialization, water quality standards in China range between grade III and grade V. In Yangzhou, the water quality standard was grade V and lower. In response to this scenario, Yangzhou municipality, with the support of the Eco City Programme, organized an interdisciplinary seminar on river rehabilitation held 17-18 October 2005. The dialogue called for integrated water management, and shared accountability over adjacent watersheds. It also identified the reduction of direct and indirect pollution sources as issues to be addressed immediately. Sustainable Urban Conservation The Eco City Plan gives attention to the preservation of historical sites, particularly by protecting and upgrading the ancient settlements which bear the city’s rich culture and history. Yangzhou has a large area of traditional urban settlements located in the city centre, an area of around 5.1 sq. km. The Eco City Plan discouraged the development of large-scale projects in these areas, and the municipality partnered with the Tongji University of Shanghai and the University of Technology Berlin to link social development with urban conservation. This is likewise aimed at increasing the municipality’s tourism potential, seen as an additional source of revenue. Eco Industrial Park To foster sustainable economic growth – a key goal of the Eco City Programme – Yangzhou established the Eco Industrial Park. The Park consists of vast areas of land along the Yangtze River set aside for industrial purposes where industries are required to use clean production techniques. This decision was supported by Chinese legislation tabled in 2003 which required business to reduce environmental impacts of production, use clean energy and renewable materials and maximize the utilization of resources. The Yangzhou Eco Industrial Park development is still in its early stages and Yangzhou has to date conducted a feasibility study and has initiated dialogues with industries, technical exchanges, and field visits to the Park. 120 Eco Center The first of its kind in China, Yangzhou’s Eco Center serves as an environmental information and communications clearinghouse. Apart from raising environmental consciousness, it aims to inform the public about the government’s efforts and activities related to the urban environment. It is also a venue for citizens to present and discuss ideas they have to address environmental issues. An actual example is the pilot project on decentralized water management, where residents have been involved in the analysis of the situation and in the identification of solutions. Lessons Learned Yangzhou’s Eco City Plan (ECP) incorporates a holistic approach that sets long-term direction and provides an over-arching “umbrella” for other more narrowly-focused and shorter plans (e.g. spatial plans and investment plans). It also addresses a broad range of issues, and does not limit itself to environmental concerns. The ECP allows Yangzhou to pursue its goals of economic advancement (e.g. through industrial development and tourism) while at the same time ensuring social stability, improvement in the quality of life of residents (e.g. provision of basic services such as water) and environmental conservation (e.g. adoption of the cleaner production principle). The Eco City Plan is likewise anchored on participatory principles where the role of the general public is an important factor to ensure the attainment of sustainable development goals. It also gives importance to partnership building, such as in the case of the conservation of the traditional settlements and the development of the Eco Industrial Park where the municipality established partnerships with the academe and the private sector. One of the challenges that Yangzhou encountered is that preparing its Eco City Plan took four years and required the expertise of external consultants. There is still room for improvement in terms of the quality and quantity of public involvement in the entire planning process. As of now, pollution control and resource management are priority issues thereby putting other concerns on the sideline. Climate change, for example, is very much viewed as a problem for cities in developed countries. KEY REPLICATION ASPECTS With the Eco City Plan, Yangzhou is able to balance social, economic and ecological priorities. The Eco City Plan is progress successfully because it has the full support of the municipal administration and external partners. The Plan is in principle suitable for other cities and towns, but must be adapted to the social context of the community, the availability of resources, and contemporary planning practices. The establishment of the ‘3Cs Office’ as an institutional mechanism is an innovative and effective strategy in achieving integration across departments in a holistic way. The decision and mandate of the local chief executive (i.e. the mayor) to use the ECP as the overarching plan of all statutory and sectoral plans led the municipal offices into taking the same direction and sharing the same goals. Public participation, generated through such initiatives as putting up the Eco Center, has been crucial in incorporating environmental concerns. It is by raising environmental consciousness that individual habits can be changed in favour of a more sustainable lifestyle. Yangzhou’s experience proves Eco City Planning is a successful enough tool to attract external investment. 121 Staff Aside from municipal staff, there are three technical experts (led by a German director) and one Cities Alliance Project Coordinator working on the Eco City Programme. Budget The Yangzhou Municipal Government is working in partnership with the German Technical Cooperation (GTZ), which is providing approximately 5million Euros. KEY CONTACTS Mr. Zhu Longbin c/o Environmental Protection Bureau, 103 Friendship Road, Yangzhou 225007, P.R. China Tel: +86-514/734-7456 Fax: +86-514/734-5022 Email: [email protected] Mr. Liu Yulin Environmental Protection Bureau 103 Friendship Road, Yangzhou 225007 P.R. China Tel: +86-514/210-5078, +86-514/731-3106 Email: [email protected] Mr. Hannes Cassens Priority Area Manager Governance Sustainable Urban Development Asia and SE Europe GTZ P.O. Box 5180 65726 Eschborn Germany Tel: +49-6196/7980-1667 Fax: +49-6196/7980 1667 Email: [email protected] Mr. Gerd Sippel, Division Director Tel: +86-10/8532-3487 Fax: +86-10/8532-3481 Email: [email protected] 122
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