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:
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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
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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
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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
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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.
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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
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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.
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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
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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
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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
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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.
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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,
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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
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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
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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
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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.
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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).
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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,
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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.
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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
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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
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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
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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
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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:
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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
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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
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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]
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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
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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
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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.
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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.
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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
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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.
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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.
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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.
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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.
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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]
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