AN ASSESSMENT FRAMEWORK FOR MONITORING CITIES’ SUSTAINABILITY A RESEARCH PROJECT BY CENTRE FOR SUSTAINABLE ASIAN CITIES NATIONAL UNIVERSITY OF SINGAPORE PRINCIPAL INVESTIGATORS: PROF HENG CHYE KIANG | DR LAI CHOO MALONE‐LEE SUPPORTED BY MINISTRY OF NATIONAL DEVELOPMENT BUILDING AND CONSTRUCTION AUTHORITY, URBAN REDEVELOPMENT AUTHORITY HOUSING AND DEVELOPMENT BOARD , NATIONAL PARKS BOARD Acknowledgement The research team would like to thank the Ministry of National Development Research Fund Committee for their funding support of this research project. SDE1 #04‐24, National University of Singapore 4 Architecture Drive, Singapore 117566 Website: http://www.sde.nus.edu.sg/csac/ Contact: Dr. Lai Choo Malone‐Lee I Dr Devisari Tunas Tel: +65‐6516 5046, +65‐6516 1495 I Fax: +65‐6777 3953 Email: sdemalon@nus.edu.sg I sdedt@nus.edu.sg AN ASSESSMENT FRAMEWORK FOR MONITORING CITIES’ SUSTAINABILITY INTRODUCTION Cities today face many challenges of urban sustainability. Resources such as land, water, energy and food are usually limited; environmental problems are often exacerbated by the sheer intensity of economic and social activities; and the quality of urban community life is constantly threatened by social inequity, spatial segregation, urban stress and inadequate amenities. At the same time, cities are expected to be the pivots of economic growth, and centers for innovation, creativity, cultural development and technological advancement. For many cities today, a sustainable and resilient economy remains a fundamental pursuit that is at the heart of public policy‐making and community aspiration. In this context, the critical questions are: How can cities continue to seek and enjoy economic development, while conserving their resource base, supporting urban life quality and protecting their environments? How do cities chart their progress toward sustainable growth? What assessment tools are available to support the process? In this multi‐disciplinary research, we seek to address these questions, by developing, from first principle, a comprehensive framework to guide the assessment of sustainable development in cities, with a focus on supporting economic growth and enhancing community wellbeing. THE RESEARCH PROJECT The research project by the Centre for Sustainable Asian Cities of the National University of Singapore entitled “Benchmark, Best Practices and Framework for Sustainable Urban Development” is supported by Singapore’s Ministry of National Development, Urban Redevelopment Authority, Housing and Development Board and the National Parks Board. 2 The project seeks to conceptualize and develop an assessment framework that encompasses the following intents: 1 Advance the knowledge on sustainable urban development through an integrated program of multi‐disciplinary research; 2 Identify and analyse international best practices for sustainable development, to distil relevant principles and practical implementation mechanisms; 3 Develop a comprehensive database of sustainability performance indicators with a focus on conceptual robustness and definitional clarity; 4 Propose an organizing framework to anchor the indicator system in a meaningful way, to support public policy‐making and facilitate communication with stakeholders; 5 Validate and operationalize the framework for application in cities at various stages of development. DATABASE OF SUSTAINABILITY INDICATORS The initial stage of the project included a comprehensive literature review of international studies on sustainable urban development, the current theoretical and conceptual frameworks, and existing assessment tools. The investigations from this first stage resulted in the adoption of a theme‐based research approach to systematically dissect and analyze the complex issues of urban sustainable development and to facilitate data collection. The major issues of sustainable development were organized under thirteen (13) major themes for analysis, and they are: Governance, Towards Green Economy, Land, Water, Energy, Food, Biodiversity, Air, Waste, Transport, Culture, People and Climate Change. As each theme was studied, urban indicators, both quantitative and qualitative, that are relevant and helpful to assess how well cities are performing in each of these respective fields, were identified. The sources for these indicators ranged from international databases such as those of the United Nations, World Bank, Organization for Economic Co‐operation and Development, World Resources Institute, etc. as well as local databases from cities that have done extensive work in this field, for example the Boston Indicators. In total, approximately 1,000 indicators for sustainable development were finally collated and synthesized. The indicators were analyzed through the Drivers, Pressures, State, Impact and Response (DPSIR) framework, which allowed critical issues straddling the economic, social and environmental realms, that impinge on cities’ performances, to be distilled. This database is a comprehensive resource that will soon be made available to the international community in the form of a guidebook. HEADLINE INDICATORS Given the large body of sustainability indicators available, an important step in the research process was to shortlist a set of headline indicators to make the assessment readily implementable. The idea was to discern the most significant indicators that encapsulate the important and relevant factors that delineate a city’s progress toward sustainability. For this, the research adopted a modified Delphi approach, using an expert‐ based consultation process that involved a structured questionnaire to focus on issues, facilitate prioritization and ranking, as well as pose open‐ended questions to elicit the independent views of the domain experts from academic institutions, industry and government agencies. Over 100 experts and around 20 government agencies were involved in the consultation and validation processes. The result is a focused set of 158 headline indicators within 13 themes and 55 dimensions. Each indicator is accompanied by its conceptual underpinnings, defined metrics and explanatory notes for application. No THEME No. of Dimensions No. of Indicators 1 Governance 5 10 2 Economy 3 8 3 Land 4 9 4 Water 5 12 5 Energy 5 14 6 Food 5 11 7 Biodiversity 3 11 8 Air 2 8 9 Waste 3 7 10 Transport 5 14 11 Culture 4 15 12 Community 6 20 13 Climate Change 5 17 Total number 55 158 DATABASE OF BEST PRACTICES THE FRAMEWORK FOR SUSTAINABLE GROWTH Concurrent with the building up the database of sustainability indicators, the research also compiled a database of best practices in urban sustainability. The aim was to apply objective research and evaluation to identify exemplary approaches, programs or practices of sustainability in cities, under each of the 13 themes. This research developed an assessment framework to encompass the essential concepts of sustainable development as distilled from the literature and best practices. As a conceptual framework, it is open‐ended rather than locked into a numerical construct that does not effectively represent the more dynamic processes of sustainability performance in the various indicators of sustainability as defined. The selection criteria included: Exemplary performances in demonstrating how urban sustainability goals are being achieved; Demonstration of leadership in terms of relevant and/or bold policies, government commitment and stakeholders’ involvement; Elements of innovation, creativity, freshness of approach, and high impact, either in terms of thinking, concept or execution. In total, the research documented over 90 case studies from more than 40 cities and towns/districts across Asia, the Americas, Australia, Europe, as well as Africa. The final database in effect operationalize the indicators’ by illustrating how cities have advanced various aspects of sustainability practices in urban planning, policy making and project implementation. The database is a comprehensive documentation of important principles of urban sustainability, which are validated by practice. They provide useful lessons and inspiration for other cities. BENCHMARKING CITIES Using the defined indicators, cities can be benchmarked in three ways: 1. Self assessment, by looking at local context and historical trends to examine how far the city has progressed as compared to previous performance in specific areas, and its self‐set targets; 2. Benchmarking against established international standards where available, such as air and water quality as established by organizations e.g. WHO and USEPA; 3. Comparative studies with other cities of similar development levels The framework must be anchored in an overarching vision of sustainability, founded on sound and relevant principles. This research has adopted the sustainable growth paradigm, set within an integrated urban planning system, as its broad vision. The inspiration for the framework is the concept of “green growth”, which makes reference to an economy that promotes social well‐being and reduces inequalities over the long‐term, while not exposing future generations to significant environmental risks and ecological scarcities. This concept has gained international attention as a response to the energy and carbon intensive nature of contemporary economies. Its intent is to make growth processes more resource‐efficient, cleaner and resilient without necessarily slowing them. Growth is a particularly relevant proposition in the light of current global economic realities, and is readily defensible when coupled with the social pillars of sustainable development like poverty reduction and creating employment opportunities. In this regard, it would be consistent with the concept of “inclusive growth” but clearly acknowledging that the economy must operate within the constraints of its natural resource availability and environmental integrity. For city comparison, it is common to consolidate indicators into a numerical index. However, it is not the intention of this research to develop an index, for although indices can be helpful for public communication, city benchmarking and ranking, they usually involve a process of quantitative aggregation, normalization, weighting and value assignment, which tend to obscure contextual information that is important for meaningful city evaluation. The Framework for Sustainable Growth© 3 ELEMENTS OF THE FRAMEWORK The framework consists of four key thrusts, namely, (a) support economic development (b) conserve and optimize resources such as land, water, energy and food (c) protect the built and natural environment d) enhance community wellbeing and local culture. Each of these thrusts can be readily evaluated by the relevant indicators in the thirteen (13) themes of sustainability as derived in this study. The four thrusts must be supported by good governance, which frames a city’s transition toward sustainable growth, and, its responsiveness to climate change. As defined in this study, good governance will include the dimensions of institutional capacity building, stakeholder engagement, robust regulatory framework, strong leadership, sound economic management and harnessing market mechanisms, where appropriate. Climate change is an important element in the framework and mainstreaming would ensure that it is well integrated into the overall policy apparatus of city governments, and adopted into existing strategies, programs and action plans. 4 This is an implementation‐oriented framework that recognizes the important role of urban planning in providing a platform to pursue sustainable growth. Urban planning can ensure resource optimization by supporting careful stewardship of resources such as land and water, with direct policies for conservation and recovery. It can seek to reduce negative impacts of economic activities on the environment, such as in reducing air pollution, ensuring efficient transport systems and better waste management, with longer term impacts of improving a city’s economic competitiveness. It can support residents’ social and economic wellbeing, through optimal land allocation for housing and community facilities that will enhance social life and the city’s livability. The framework thus highlights the physical‐social‐institutional context within which urban sustainability is operationalized, and also demonstrates how a strong and integrated urban planning system can advance it. HOW CITIES CAN USE THIS FRAMEWORK This framework is adaptive as it recognizes that each city must be contextually differentiated according to their urban regimes, natural endowments, and present state of development. Cities also tend to follow predetermined paths of growth and development that are often fashioned by historical incidents, nationally constrained circumstances and the economic/political dynamics at the regional or international levels. Hence, there are no pre‐determined pathways or prescribed standards for sustainable development. The only prescription is the capacity to learn and to change where necessary. Thus, cities at different stages of development may adopt or prioritize different aspects of this framework, in any combination of the indicators suggested for the four pillars of growth, namely, economy, resources, people and environment, in order to transit to more sustainable growth at their own pace. At the broad level, cities may adopt a holistic view and selectively include a few relevant indicators from each of the thirteen themes based on their institutional capacity and data availability. More narrowly, cities may follow the traditional urban environmental transition continuum, and prioritize their attention to the most critical or basic issues such as air and water quality, waste management, transport, sanitation, etc., and progressively move to the more complex sustainability challenges as they gain resources and institutional capacity. ADVANCING CITIES’ SUSTAINABILITY The framework is useful for cities as follows: Setting Targets for Sustainability As more cities begin to adopt the suggested indicators, the framework will be able to present a wide range of performance possibilities. This will enable cities to make their respective decision on which targets are most appropriate based on their development status. Less developed cities may, for example, prefer to make step‐ wise progress by initially targeting performance goals with reference to cities within or closer to their development status (as evidenced by GDP per capita or HDI) and progressively improve their performance. Triggering Change Very often, cities are locked into a particular development pathway due to a historical situation or institutional inflexibility. Path dependency would tend to reinforce existing institutions or practices. With the proposed framework, knowing where other cities are heading may trigger off a voluntary self‐assessment process that could eventually take the sustainability transition forward. Common Ground for Action The Framework can be applied by international agencies, national or local governments, NGOs, civic societies and academic institutions as the galvanizing force to forge common goals of sustainability both within and outside formal institutions, and across government agencies. At the city level, by understanding urban regimes, the most effective entry points for change can be determined. The Framework can provide the substantive guidelines on the kinds of progress that could take place and point to the relevant agency or institution that could be most effective in activating it. Overall, it would be a useful platform for self‐assessment, comparative analysis, collective learning, global path‐finding and benchmarking progress. Principal Investigators: Prof Heng Chye Kiang and Dr Lai Choo Malone‐lee Researchers: Abdul Rahim Bin Abdul Hamid, Dr Devisari Tunas, Duong Ngoc Quyen, Irina Orlenko 4 THEMES AND INDICATORS GOVERNANCE Good governance is a key contributor to the advancement of sustainable development as it provides the institutional support structure and incentives to achieve sustainable development. It is characterized by participation, accountability, transparency, effectiveness and efficiency in economic management. DIMENSIONS INDICATORS INSTITUTIONAL CAPACITY 1. 2. 3. MUTLI STAKEHOLDER PARTNERSHIP AND ENGAGEMENT 4. 5. INTEGRATING SUSTAINABILITY AND POLICY 6. 7. Evidence of horizontal coordination in government a. Is there evidence that agencies are working together in an integrated way to assess/enhance/pursue sustainable development? b. Is there evidence that key agencies which are involved in formulating policies on sustainable development align these policies with overarching strategies for sustainable development of the city? Evidence of interaction with local level authority a. Does the city authority support (in terms of financial, technical, policy interaction, etc.) local community bodies in their sustainable development related activities? b. Do local community leaders contribute to urban sustainability planning and policy making? Evidence of strong commitment of high‐level government leadership in formulating, implementing and supporting urban sustainability strategies a. Evidence of government leadership initiating policies and initiatives related to urban sustainability. b. Evidence of the government leadership making efforts to implement sustainability policies. c. Evidence of government leadership explicitly supporting sustainability initiatives and programs. Public (citizens’) participation in decision making and implementing on urban sustainability a. Evidence of public participation and engagement in decision‐making during (i) the formulation of major sustainability plans/policies/strategies and (ii) the review of major sustainability plans/policies/strategies b. Evidence of avenues for the public to register objections to the government’s plans/policies/strategies and due process for receiving and responding to objections from the public. Representation of major groups in city council, or equivalent bodies, governing sustainable development ‐ Does the city council, or equivalent bodies, governing sustainable development include members from the following major groups: civil society, private sector, NGOs, academic and research institutions, and others? Evidence of strategies for sustainable development a. Is there evidence that a city has adopted a holistic and comprehensive framework for sustainable development? b. Has the city established a long‐term strategic plan for sustainable development involving multiple government agencies? c. If there is a long‐term strategic plan, have important aspects of land management relating to sustainability been incorporated in the plan? d. Is the plan accompanied by appropriate funding or strategies for availing funds for implementation? e. Are there any established procedures, either legal or administrative, or through the land use planning framework, that ensures that environmental concerns and other considerations are looked after before development proceeds? Programs for environmental statistics and environmental‐economic accounting a. Is there evidence that the city tracks/monitors and reports on basic statistics on environmental quality as part of a coordinated centralized system for collating and providing environmental information? b. Is there evidence that such information is made available to the community in the form of data, publications or through a website? c. Is there evidence of integrating environment and economic accounting in public decision making? 5 THEMES AND INDICATORS GOVERNANCE CONTINUED | 6 DIMENSIONS INDICATORS LEGAL AND REGULATORY FRAMEWORKS 8. ECONOMIC INSTRUMENTS AND FINANCIAL COMMITMENTS 9. a. Ratification of global agreements related to sustainable development i. Has the country ratified (accession to, acceptance or approval of) selected key global agreements related to sustainable development? ii. Has the city adopted any of the selected key global agreements related to sustainable development, irrespective of country's position? b. Implementation of ratified global agreements ‐ Is there existence of national legislation and institutional mechanism (including financial mechanisms) for the implementation of international agreements related to sustainable development? Environmental taxes and fees: Has the city implemented environmental taxes and fees as an economic disincentive in the following areas? a. Energy taxes (tax based on fuel type, including climate change levy if applied on fuel type, etc.) b. Transport levy (including motor fuel differentiation, vehicle excise duty differentiation, congestion charges, etc.) c. Pollution levy (carbon emission tax, fines and charges paid by defaulting industries, landfill tax, fees for waste collection, etc.) d. Resource levy (water tax, levy for mining or quarrying, mineral tax, etc.) 10. Subsidies and other financial incentives that promote sustainable development Does the city provide financial incentive such as subsidies and rebates to support environmentally friendly practices in following areas? a. Energy‐related (adopting energy‐efficient technology/products, renewable energy, etc.) b. Transport‐related (buying green vehicles, promotion of public transport or non‐motorized transport etc.) c. Resource‐related (practice separation of waste and recycling, using water efficient fixtures, etc.) THEMES AND INDICATORS ECONOMY This study adopts the UNEP’s 2011 definition of Green Growth to frame the concept of sustainable growth. It makes reference to “an economy that results in improved well‐being and reduced inequalities over the long‐term, while not exposing future generations to significant environmental risks and ecological scarcities.” DIMENSIONS INDICATORS MACROECONOMIC PERFORMANCE 1. 2. 3. 4. GDP Vitals a. GDP growth rate b. GDP per capita c. Economic structure d. Wage share Openness ‐ FDI intensity: Average of inward and outward Foreign Direct Investment inflows divided by GDP. Inflation – Annual inflation rate based on Consumer Price Index. Labor productivity ‐ Annual average value added per employee. R&D EXPENDITURE 5. Total R&D expenditures a. Percentage R&D expenditures (public and private) as share of GDP. b. Extent of R&D expenditures on environmental technology (qualitative). c. Number of patents filed per unit of R&D expenditure. RESOURCE PRODUCTIVITY 6. 7. 8. Energy productivity ‐ GDP output in dollar ($) terms per unit (ktoe) of energy use Water productivity ‐ Value added per unit of water consumed for key industries Land productivity ‐ Value added per hectare of industrial land for key industries Note: i. An additional indicator on material productivity can be included if cities have the relevant data; ii. An additional dimension of the performance of the Environmental Goods and Services (EGS) Sector with appropriate indicators on its size and contribution to the economy, is also relevant to the assessment. Cities may begin to identify this sector and eventually include it in the assessment framework. 7 THEMES AND INDICATORS LAND The European Commission (2001) has defined a sustainable city as “one that enhances the efficiency of land use within the city, protects highly valued un‐built land, biodiversity and green areas from development and restores contaminated and derelict land (brownfield sites).” DIMENSIONS INDICATORS LAND CONSERVATION 1. 2. 3. REGENERATION AND REDEVELOPMENT OF LAND 4. 8 5. LAND COMPACTNESS 6. 7. LAND OPTIMISATION 8. 9. Amount of developed land ‐ Area of developed land as a percentage of the total land area. Legally protected area ‐ Area of legally protected land as a percentage of the total land area comprising: a. Nature land b. Built‐up land with buildings or structures designated for conservation c. All other land area for which legal protection has been instituted to ensure that such land is not used for development purposes that are not consistent with the purpose of designation. Land consumption ‐ Area of new development on undeveloped land tracked from a specified base year (sq. km, trend). Land degradation a. Proportion of land which due to natural processes or human activity is no longer able to properly sustain economic function and/or an original ecological function without treatment at reasonable cost (trend). b. Are there any effective actions taken by the city to prevent land degradation and contamination? (qualitative) Redevelopment of land a. Area of brownfield land restoration tracked from a specified base year (industrial sites) (hectares, trend). b. Area of non‐industrial land redevelopment tracked from a specified base year (trend). Population and Space Intensity a. Total population over the total area in a city. b. Number of inhabitants per 1 sq. km of residential land. c. Ratio of total floor area of commercial developments to the area of commercial land (number). d. Ratio of total floor area of industrial developments to the area of industrial land (number). Intensification of Housing Development ‐ Number of dwelling units per 1 sq. km of land zoned for: a. All types of residential development b. Single‐family housing zones c. Multi‐family housing zones. Land efficiency a. Number of employees per 1 sq km of net commercial land. b. Vacancy rate for office space ‐ Grade A (trend). Extent of mixed use a. Area of land zoned under Multiple Use zone in the city tracked from a specified base year (hectares, trend). b. Ratio of employees to residents in the CBD (number). THEMES AND INDICATORS WATER The sustainable management of water resources requires both a holistic perspective of resource management and an integrated response to the interplay of water with environmental, economic, social and institutional factors. A sustainable urban water system “should not have negative environmental effects even over a long time perspective, while providing the services wanted, protecting human health and the environment at the expense of a minimum of scarce resources”. DIMENSIONS INDICATORS WATER USE 1. 2. 3. 4. 5. Internal renewable freshwater per capita and its use. Total water used (m3/capita per day, trend). Sectoral distribution of water used. Percentage of drinking water tested that meets international standards. Percentage of water use met by ‘unconventional’ sources. URBAN WATER SYSTEM 6. Energy used for water treatment ‐ Energy used per cubic meter of water treated to drinking water quality (kWh/m3). Unaccounted for water (Percentage of unaccounted water compared to total water produced). 7. SANITATION, WASTEWATER TREATMENT AND REUSE 8. Access to improved sources of sanitation ‐ Percentage of a country’s population that has access to an improved source of sanitation (Country level indicator). 9. Wastewater treatment coverage ‐ Percentage of wastewater generated that is treated to secondary treatment level. 10. Percentage of wastewater recycled ‐ Percentage of wastewater recycled (for potable and non‐potable purposes) compared with total amount of wastewater produced. SURFACE WATER QUALITY 11. Monitoring surface water quality (qualitative) ‐ To what extent is the city is monitoring and reporting its surface water quality of lakes, rivers, ponds, reservoirs etc. based on the following characteristics? Physical characteristics: a. pH b. Conductivity c. Suspended solids Chemical characteristics: a. Dissolved oxygen (DO) b. Nitrates (N) concentration c. Phosphates (P) concentration Biological characteristics: a. Faecal coliform b. Biological oxygen demand (BOD) MARINE POLLUTION 12. Discharge of pollutants into coastal waters (qualitative) a. Does the city monitor oil discharge from land‐based activities, maritime transportation, offshore exploration etc. and how effective are these measures? b. Does the city monitor the release of nitrates and phosphates to coastal waters from land‐based activities and urban runoff or concentration of nutrients in transitional, coastal and marine waters and how effective is such monitoring? 9 THEMES AND INDICATORS ENERGY Sustainable energy issues in this study include primarily issues such as energy use, intensity and efficiency which are best analyzed at the level of a city or urban area, to complement assessment of energy security at a national scale. DIMENSIONS INDICATORS ENERGY USE AND INTENSITY 1. 2. 3. ENERGY MIX AND SECURITY 4. 5. 6. 10 ENERGY PRICING 7. 8. ALTERNATIVE ENERGY 9. ENERGY EFFICIENCY 12. Total Primary Energy Supply (TPES) a. Total primary energy supply, in terms of 1,000 tonnes of oil equivalent (ktoe) (trend). b. Total energy exports (ktoe) as a percentage of TPES (trend). Secondary energy use a. Total final energy consumption in 1,000 tonnes of oil equivalent (ktoe)(trend). b. Electricity consumption per capita (KwH/capita). Energy Intensity ‐ Energy used (ktoe) per S$1,000 GDP generated Energy mix of TPES ‐ Percentage of fuel types used in terms of tonnes of oil equivalent (e.g. coal, oil, nuclear, renewables, natural gas). Energy security a. Net energy import dependency (ratio of energy import to TPES) b. Are there any key fuel types imported where a large majority is from a single supplier? Fuel Mix for electricity generation ‐ Percentage share amongst four key sources (coal, oil, gas, renewables) (trend). Pricing Policies ‐ Does the city apply energy pricing policies and strategies that encourage energy conservation and efficiency, and how effective are these measures? Household expenditure on Energy ‐ Percentage of household energy expenditure in relation to total expenditure. Alternative Energy Supply a. Percentage share of alternative in TPES b. Does the city have recognized limited natural endowments that hamper the shift towards non‐fossil fuel energy sources? 10. Alternative energy sources in electricity generation and generating electricity ‐ Percentage of alternative energy sources in: a. Electricity generation b. Generating capacity 11. Support Mechanism for alternative energy ‐ Does the city have any support mechanism for the promotion of alternative energy, and effective are these mechanism? (qualitative) Sectoral energy consumption ‐ Percentage of energy consumption from various sectors (industrial, commercial, residential and transport). 13. Sectoral energy efficiency ‐ Energy used in ktoe for the following: a. Industry (in toe per unit of value added) b. Residential (in toe per capita) c. Commercial & public sector (in toe per m2 floor space) d. Transport (in toe per 1,000 vehicle – km) 14. Carbon intensity of electricity generation ‐ Tonnes of CO2 equivalent emitted per kwh of electricity generated. THEMES AND INDICATORS FOOD The subject of food sustainability goes beyond food security or food sovereignty to straddle other dimensions including in‐ city production vs imports, food availability, economic access to food, food utilization, education and nutrition awareness. DIMENSIONS INDICATORS FOOD PRODUCTION 1. 2. FOOD AVAILABILITY 3. 4. 5. ECONOMIC ACCESS TO FOOD 6. 7. Farming land, space and productivity a. Hectares of farming land per 1,000 persons or proportion of farming land compared to total land of a city. b. Farming Space: Amount of farming space per 1,000 person or proportion of farming space compared to total building space available in a city. c. Farming productivity in terms of yield tonnes per ha of farming land or tonnes per square meter of farming space. Strategies for food security (qualitative) ‐ Has the city adopted any policies/strategies on efficient agricultural production or food management system for the food security in the city? Food self‐sufficiency a. Percentage of total food calories supplied to the local population by domestic production compared to total consumption in calories. b. Percentage of food produced by domestic production in amount compared to total consumption in amount. Import of food a. Percentage of food import from sources beyond national boundary compared to total consumption. b. Percentage of food import from outside the metropolitan area of a city but within national boundary compared to total consumption. Diversity of food import sources a. Number of key food items for which more than 50% of supply comes from a single country (cities to decide on the list of key food items). b. Number of key food items for which more than 50% of supply comes from a single region (cities to decide the key food items). (Unit: number) c. Has the city considered its “food miles” and their implications on its global carbon footprint, and made reasonable attempts to reduce it? (qualitative) Household food expenditure ‐ Percentage of monthly household food expenditure in relation to total monthly household expenditure. Food assistance programs (qualitative) ‐ To what extent is the population requiring food assistance covered by a public direct food provision and nutrition program? FOOD UTILIZATION 8. Dietary diversity ‐ Per capita consumption of key food categories per year. (Key food categories can be defined by respective cities, and may include cereals, milk and dairy, fat and sugar, non‐dairy sources of protein, fruits and vegetables). 9. Food safety policy and programs (qualitative) ‐ Do any food safety and/or consumer protection programs or policies exist in the city? 10. Food‐borne diseases ‐ The incidence of major food‐borne diseases in terms of number of recorded cases per 100,000 people in the city (Cities to decide the major food‐borne diseases relevant to them). EDUCATION AND AWARENESS RELATED TO FOOD 11. Education and awareness related to food (qualitative) ‐ Are there any public awareness building, public information and education campaigns (including school instruction at various levels) regarding nutrition and food safety? 11 THEMES AND INDICATORS BIODIVERSITY AND URBAN GREENERY The proposed assessment framework straddles the ecological, social and economic values of biodiversity and will assess how a city addresses these multiple values in the process of integrating biodiversity as a city resource as part of the city’s spatial planning and long term development goals. DIMENSIONS INDICATORS NATURE CONSERVATION 1. 2. 3. 4. 12 5. PARK AND NATURAL AREA PROVISION 6. 7. 8. ECOSYSTEM SERVICES 9. Number of selected native species and their respective populations (trend) a. Trend in the number of native species of three key taxonomic groups surveyed worldwide, i.e. birds, butterflies, plants, and two other taxonomic groups that the city has data on or wants to report. b. Trend in the population size of three key taxonomic groups surveyed worldwide, i.e. birds, butterflies, plants, and two other taxonomic groups that the city has data on or wants to report. Ecosystem coverage: Amount (ha) of selected key ecosystem types (trend) ‐ Proportion and absolute amount of land pertinent to main ecosystem types in the city. Connectivity measures or ecological networks to counter fragmentation ‐ Total area of natural areas that are linked as a ratio of the total area of natural areas within the city. Percentage of total protected areas and respective ecosystem type ‐ The area and percentage of total protected areas by type of ecosystems relative to total city area respective to their ecosystem type. Budget allocated to nature conservation and urban greenery related administration ‐ Budget for nature conservation and urban greenery‐related administration or its proxy as a percentage of GDP. Amount (ha) and percentage of greenery on ground level (trend) ‐ Total area and percentage of greenery at ground level compared to the total area of the city, for: a. Natural areas b. Parks Total provision of parks (with or without natural areas) ‐ Area of parks, including those with natural areas, provided per 1,000 people in the city. Proportion of total city population within 400m radius of a park ‐ Proportion of total city population within 400m radius of a park or its proxy. Ecosystem services for climate resilience ‐ Does the city actively recognise or engage ecosystem services contributed by biodiversity and urban greenery to climate resilience? (Qualitative) 10. Regulation of quantity of water through permeable surfaces ‐ Proportion of all permeable areas to total terrestrial area. 11. Carbon storage and cooling effect of vegetation through tree canopy coverage ‐ The total tree canopy cover of both planted and naturally occurring vegetation, i.e., total area under tree canopy, as a proportion of the total terrestrial area of the city. THEMES AND INDICATORS AIR Air quality in the city is linked to human health and has a direct impact on the standard of living and the quality of urban life. The consideration is particularly critical with the emphasis on economic growth, particularly in industrial development. DIMENSIONS INDICATORS AIR QUALITY 1. 2. 3. 4. 5. EMISSION INTENSITIES 6. 7. 8. Sulphur Dioxide Concentration ‐ Annual mean concentration of Sulphur Dioxide (µgram/m3). Nitrogen Dioxide Concentration ‐ Annual mean concentration of Nitrogen Dioxide (µgram/m3). PM 2.5 Concentration ‐ Annual mean concentration of PM 2.5 (µgram/m3). PM 10 Concentration ‐ Second highest twenty‐four hour mean concentration of PM 10 (µgram/m3). Ground‐level Ozone Concentration ‐ Fourth highest eight hourly mean concentration of Ozone (µgram/m3). Emissions of SOx by relevant key industrial sectors ‐ Percentage of Sulphur Oxide emissions by each key industry sectors. SOx emissions per value added for top emitters ‐ SOx emissions per value add (US$) for the key industrial emitters. NOx emissions per transport unit ‐ NOx emissions per transport unit (in tonnes per vehicular‐km travelled) (trend). 13 THEMES AND INDICATORS WASTE Urbanization along with high production and consumption of goods has increased waste generation in cities. Current patterns of resource consumption and subsequent waste disposal need to be supported by appropriate waste management methods and strategies, and it is important to begin to embrace “Cradle‐to‐Cradle” concepts as part of urban sustainability thinking . DIMENSIONS INDICATORS WASTE GENERATION 1. 2. Total waste per capita ‐ Total waste per capita (kg/capita per day). Domestic waste per capita ‐ Domestic waste generated per capita (kg/capita per day). a. Household waste b. Others (e.g. markets, schools, food centers) WASTE INTENSITY 3. 4. Total waste per GDP (kg/US$1,000). Non‐domestic waste per GDP (kg/US$1,000). a. Commercial b. Industrial c. Others WASTE RECOVERY 5. Recycling rate ‐ Amount of waste recycled as a percentage of total waste generated. Waste finally disposed of by incineration, landfills or other means ‐ Percentage of final waste disposed by: a. Incineration b. Landfill c. Other means Adopting a “Cradle‐to‐Cradle Approach” ‐ Has the city adopted a ‘Cradle‐to‐ Cradle Approach’ to waste management? (qualitative) 6. 14 7. THEMES AND INDICATORS TRANSPORT The definition of sustainability in the transportation sector may vary depending on the perspective of different sectors within society, but it must be associated with the use of resources, social equity, accessibility and economic viability. DIMENSIONS INDICATORS MODAL SPLIT 1. 2. 3. VEHICLE USE AND OWNERSHIP 4. 5. LAND USE AND TRANSPORT INTEGRATION 6. 7. 8. Modal split of passenger transport in percentages ‐ Share of each mode (passenger cars, buses and coaches, and trains) in total inland passenger land transport measured in passenger‐km percentages. Ratio of private and public motorised transport ‐ Modal split percentages of private and public motorised transport trips. Modal split for trips less than 5 kms ‐ The modal split (all types) for all passenger trips less than 5 kms. Vehicle ownership a. The number of vehicles registered per 1,000 population. b. Does the city apply policies to control vehicles and usage? Vehicle kilometres travelled ‐ Average annual kilometres travelled (for all vehicle types). Proportion of population living within the transit shed ‐ Proportion of the total population living within the transit shed (defined as 400 m radius of transit facilities). Proportion of population employed within the transit shed ‐ Number of jobs within the transit shed over the total number of jobs in the city. Geographic coverage of a city’s public transport system a. Length (km) of rail network per developed land area in a city. b. Length (km) of bus routs per developed land area in a city. ROAD TRAFFIC MANAGEMENT 9. Road vehicle density ‐ Number of vehicles per lane‐kilometre of roadways. 10. Passenger traffic demand ‐ Total passengers multiplied by the average number of kilometres travelled annually (trends). 11. Travel time budget for time taken to travel to work and back ‐ Minutes taken for the trips from home to workplace and back. ENVIRONMENTAL AND SOCIAL IMPACTS 12. Emission standards ‐ Percentage distribution of Euro 1,2,3 & 4 of all motor vehicles. 13. Road safety ‐ Total annual transport‐related fatalities of all accident types. 14. Household expenditure on transport ‐ Percentage of average monthly household expenditure on transport. 15 THEMES AND INDICATORS CULTURE Culture is a driver of sustainability, a form of capital, as well as a method or means toward achieving sustainability within society. It is also a goal of sustainability in itself, and local culture needs to be preserved, supported and reproduced. DIMENSIONS INDICATORS CULTURAL INSTITUTIONS AND ENACTMENTS 1. 2. 3. 16 CULTURAL MILIEU 4. 5. 6. 7. 8. CULTURE AND ECONOMY 9. 10. 11. 12. 13. EDUCATION FOR CULTURE Number of arts and cultural establishments ‐ Number of arts and cultural establishments by non‐profit and commercial establishment per thousand of population. Cultural events displayed in public a. Total number of events, shows, performances, and exhibitions per year, including : i. International and local production ii. Festivals (all types) iii. Licensed events displayed in public b. To what extent are local customs, traditions and ethnic or religious practices embraced and displayed in festivals, events and other public activities? (qualitative) Mechanisms to support culture ‐ Does the city have institutional mechanisms to support culture? (qualitative) The following questions are asked: a. Is there a ministry or department of culture? b. Does this organization have a cultural audit or plan? c. What is the scope of “culture” in this plan? Attendance to arts and cultural events annually ‐ Percentage of residents that have attended at least one arts or cultural event in the last year. Number of tickets to performances purchased annually ‐ Number of tickets to performances purchased annually as a percentage of the population. Heritage sites and buildings legally designated for conservation ‐ Total number of heritage sites and buildings legally designated for conservation. Accessible space for creative practitioners to display, create, and practice their work ‐ Does the city have accessible (affordable and suitable) space for creative practitioners to display, create, and practice their work? (Qualitative) Physical spaces in the city that foster creativity and allow for arts and cultural works and events to be performed and displayed informally ‐ Are there physical spaces in the city that foster creativity and allow for arts and cultural works and events to be performed and displayed informally? (Qualitative) Government funding for arts and cultural programs ‐ Government funding for arts and cultural programs in dollar terms as a percentage of GDP. Philanthropic donations to arts and cultural programs ‐ Proportion of the total funding for arts and culture from philanthropic donations. Number of persons employed full time in the cultural sector ‐ Number of persons employed full‐time in the cultural sector per 1,000 employed persons. a. Arts and culture Sector b. Media and digital Entertainment Sector Value added by cultural industries ‐ Value added by cultural industries as a percentage of the GDP. Plans for long term investments in arts and culture ‐ Does the city have plans for long term investments in arts and culture that includes diverse areas of expenditures such as: infrastructure, public art, programing, education, etc.? (Qualitative) 14. Integration of arts and cultural education into the baseline curriculum of schools ‐ To what extent is arts and cultural education integrated into the baseline curriculum of schools? (Qualitative) 15. Students in degree‐granting arts and cultural programs ‐ Number of students in degree‐granting arts and cultural programs as percentage of total students. THEMES AND INDICATORS PEOPLE Community wellbeing is not a simple aggregation of individual life satisfaction, it includes how widespread this sense of wellbeing, both material and non‐material, applies across all segments of society. It also includes the concepts of social cohesion and the presence of social networks, all of which relates to the ideals of connectedness and solidarity, that might collectively transfer shared prosperity and value systems to future generations. DIMENSIONS INDICATORS POPULATION PROFILE 1. 2. 3. HEALTHY LIFE AND HEALTHCARE SERVICES 4. 5. 6. 7. 8. Population growth rate ‐ The annual rate of change of population size (%) (trend). Total fertility rate ‐ Average number of children a woman would bear over the course of her lifetime if current age specific rates remained constant throughout her childbearing years (normally between ages 15 and 49). Dependency ratio ‐ Number of population aged 0‐19 and 65 and above as a ratio of the working age population 20‐64. Life expectancy at birth ‐ The average number of years that a new‐born could expect to live if he or she were subject to the age‐specific mortality rates of a given period. Health conditions ‐ Percentage of adult population under key health risks a. Hypertension b. Diabetes c. High cholesterol d. Obesity e. Daily smoking Out‐of‐pocket health expenditure ‐ Share of health expenditure to total household expenditure (monthly) (%). Public expenditure on health ‐ Government expenditure on health as % of GDP. Availability of healthcare services a. Number of doctors per 1,000 population b. Number of hospital beds per 1,000 population EDUCATIONAL ATTAINMENT AND SERVICES 9. Educational attainment ‐ Percentage of adults aged 25‐64 who have completed at least (upper) secondary education. 10. Lifelong learning ‐ Percentage of adults aged 25‐64 who are undergoing job‐ related training as part of the total population of the same group. 11. Public expenditure on education ‐ Government expenditure on education as % of GDP. HOUSING PROVISION 12. Availability of adequate housing a. Homeownership rate: Share of resident owner‐occupied housing units as a proportion of the total number of resident occupied housing units. b. Extent of population without access to adequate housing (qualitative). 13. Housing expenditure ‐ Share of housing cost to total household expenditure (monthly) (%). 14. Housing standard ‐ Floor area per person (sq m/person). URBAN LIFE QUALITY 15. Work‐life balance ‐ Percentage of employees working more than 50 hours per week. 16. Income gap ‐ Average income of the top 10% over the average income of the bottom 10% of the population (90‐10 ratio). 17. Long‐term unemployment rate ‐ Percentage of total number of active persons in the labour market that have been unemployed for 12 months. 18. Crime rate ‐ Number of crimes per 100,000 population. SOCIAL COHESION 19. Sense of community ‐ Percentage of population participating in the following activities in the last 12 months: a. Volunteering b. Community events 20. Sense of belonging ‐ To what extent does the city population agree that “I feel a sense of belonging to the City”? 17 THEMES AND INDICATORS CLIMATE CHANGE Cities as economic hubs need to be especially resilient to climatic variability, in order to maintain economic stability and provide for their local population. But, economic activity and population consumption patterns are also responsible for the emissions of GHGs that are linked to climate change. DIMENSIONS INDICATORS GREENHOUSE GAS EMISSIONS 1. 2. 3. CLIMATE CHANGE IMPACTS 4. 5. 18 6. GHG Emissions per unit GDP and per capita (Trend) a. Metric tonnes of carbon dioxide equivalent per dollar GDP (mt CO2 equivalent per dollar GDP). b. Metric tonnes of carbon dioxide equivalent per capita (mt CO2 equivalent per capita). GHG emissions by sectoral distribution (%) ‐ GHG emissions by sector, namely, energy supply, industries, buildings (including households), transport and others (agriculture, forestry, waste and waste water). Carbon intensity of domestic consumption measured in tonnes per GDP (Trend) Carbon intensity consumption = emissions from final domestic consumption + emissions embodied in imported goods + emissions from domestic production ‐ emissions embodied in exports. Assessment of current and historic climate conditions ‐ Has the city conducted assessment studies to observe the historical trends of temperature change, precipitation change and sea level change? Assessing future projections of climate change ‐ Has the city conducted assessment studies to project future change in temperature, precipitation and sea level? Assessment of climate impacts and risks/ vulnerability ‐ Has the city assessed its vulnerability or risks to climate change, taking into consideration its historic climate changes, future climate change projections and adaptive capacity? CLIMATE CHANGE GOVERNANCE 7. Political support and leadership ‐ Is the city mayor/leader(s) actively supporting and leading the city's climate change initiative? 8. Institutional capacity – Is there a dedicated city department unit, council or equivalent body to manage and govern the climate change mitigation and adaptation processes? 9. Multi‐stakeholder partnership and engagement ‐ Does the climate change planning process involve participation from key actors, e.g. academic and scientific organizations, community‐based organizations and private sector? 10. Climate change strategy ‐ Has the city adopted an overarching strategy or policy to guide its climate change initiatives? MITIGATION STRATEGY 11. Barriers and limitations to mitigation recognized by UNFCCC/IPCC ‐ Does the city have recognized inherent limitations/constraints to known climate change mitigation measures? 12. Emission reduction targets ‐ Has the city clearly set GHG emission reduction targets? 13. Mitigation strategies developed ‐ Has the city developed clear mitigation strategies in response to the GHG emission targets? 14. Prioritization and Implementation of mitigation strategies ‐ Has the city prioritized/ adopted an implementation pathway for the mitigation strategies? 15. Monitoring and reporting ‐ Does the city have recognized inherent limitations/ constraints to frame effective actions towards climate change adaptation? ADAPTATION STRATEGY 16. Barriers and limitations to adaptation recognized by IPCC ‐ Does the city have recognized inherent limitations/ constraints to frame effective actions towards climate change adaptation? 17. Adaptation strategies developed ‐ Has the city identified and developed key adaptation strategies, based on the vulnerability assessments? 18. Prioritization and implementation of adaptation strategies ‐ Has the city prioritized/ adopted an implementation pathway for the adaptation strategies? 19. Monitoring and reporting ‐ Has the city developed ways to monitor progress of the implementation processes? SELECTED BEST PRACTICES The following are 20 out of over 90 selected case studies from cities around the world that have shown exemplary efforts in addressing urban sustainability issues. SEATTLE | USA COMMUNITY‐DRIVEN SUSTAINABILITY INDICATORS Sustainable Seattle demonstrates an approach to developing sustainability indicators through extensive community participation and interaction. It is a good example of an urban experience that involves organisational innovation, implementation of participatory processes, and a sustainability outcome that is both relevant and meaningful for the community concerned. BILBAO | SPAIN URBAN REGENERATION AS A PLATFORM FOR GROWTH Bilbao’s urban transformation included a host of projects that revolved around brownfield regeneration, cleaning the river, giving new uses to existing constructions, and building the infrastructure and public works needed in a post‐industrial city. Enlightened leadership and the willingness of stakeholders at different levels are key to the success of this case. Please add high dpi image! LONDON | UK GREEN ENTERPRISE DISTRICT Green Enterprise District is an urban regeneration project in East London that seeks to grow clean and green industries while creating low carbon living spaces. The city has taken a holistic view towards social, environmental and economic sustainability, by promoting economic structuring based on brownfield generation and focusing on new industries. MELBOURNE | AUSTRALIA THE CITY AS A CATCHMENT Melbourne’s comprehensive water resource management, planning and policy framework is exemplary for its perspectives on sustainability and resilience. The City as Catchment policy with its plans to improve urban catchment quality offers a viable approach for water sustainability that straddles resource use, conservation and behavioral change. MONTREAL | CANADA OPTIMISING LAND THROUGH UNDERGROUND SPACES Montreal’s underground city shows how planners can free up above ground spaces and optimize development potential of valuable land resources. At the same time, it promotes connectivity and facilitates pedestrian movement, linking developments across the city, and allowing it to be used and enjoyed by citizens notwithstanding weather conditions. ROTTERDAM | THE NETHERLANDS CLIMATE CHANGE AND WATER MANAGEMENT Rotterdam’s water management shows how a city can adapt to the effects of climate change. Detailed studies on the needs of different areas and a willingness to experiment with infrastructure and urban planning/design possibilities are helping make the city more climate‐ready while enhancing quality of life, and creating economic opportunities. RIZHAO | CHINA PROMOTING RENEWABLES Rizhao represents an example of the mainstreaming of renewable energy sources to reduce dependency on fossil fuels. The city uses a pragmatic mix of legislative tools and incentives to encourage large‐scale and efficient use of alternative energy, especially solar energy throughout the city. FREIBURG | GERMANY INTEGRATED ENERGY PLANNING The city of Freiburg has implemented an integrated plan combining transport, urban planning, waste management, energy efficiency and conservation, promotion of renewable energy to realise the city’s ambitious climate protection and energy targets. The city is also a model of public‐private cooperation in promoting sustainability practices. HAVANA | CUBA URBAN AGRICULTURE AS CITY LIFE Havana’s urban agriculture has grown from a grassroots movement into a comprehensive, organised, government‐backed programme that helps urban farmers gain access to land, tools, technical inputs, and training in order to produce food for the city. Urban agriculture helps increase food security, improve access to food and reduce food miles. KAMPALA | UGANDA INSTITUTIONALISING URBAN AGRICULTURE The city of Kampala demonstrated how urban agriculture can be institutionalised through the involvement of NGOs, humanising the laws at grassroots level, providing technical help to farmers through better information, skills and technologies. All these contributed to a more self‐sufficient society and better quality of life for farmers and city dwellers alike. 19 SELECTED BEST PRACTICE CASES | Continued BERLIN | GERMANY COMPENSATION MEASURES FOR NATURE CONSERVATION The nature conservation legislation and policies of Berlin involving innovative compensatory mechanisms taking into account both ecological and social outcomes. In the process, Berlin has been able to achieve the objectives of its landscape programme whilst responding to the nature conservation advocacy by lobby groups. CHICAGO | USA GREEN ROOFS Chicago’s nature conservation efforts takes into account the multiple values of nature areas – ecological, social, economic and educational. The city government has been successful in popularizing green initiatives and harnessing partnerships with the private sector and the citizens through its extensive green roofs program. STOCKHOLM | SWEDEN AIR QUALITY MANAGEMENT Stockholm’s regional air quality monitoring efforts have helped public and private stakeholders better understand emission sources, air quality measurements and meteorological parameters. In the implementation of its model of dispersion and deposition of air pollutants, the city has harnessed the support of different actors to coordinate efforts, share costs, and engender a multi‐stakeholder partnership. TOKYO | JAPAN TOWARDS A SOUND MATERIAL‐CYCLE SOCIETY Tokyo has implemented a city‐wide separation‐at‐source practice and enacted laws and regulations supporting recycling, reuse, and producer responsibility. The city also managed to engender behavioral changes by emphasizing reliance on education, awareness building and leveraging a culture that respects norms and social practices. AMSTERDAM | THE NETHERLANDS 20 WASTE‐TO‐ENERGY Amsterdam has integrated waste management programs that make extensive use of waste powered district heating/cooling and use of fuel produced from waste. The city also applied integration of waste management with physical land use planning by strategic co‐ location of waste water and incineration plants. HONG KONG | CHINA LAND USE AND PUBLIC TRANSPORT INTEGRATION The Hong Kong public transport system demonstrates integration between transport and land‐use planning, with mixed use policies, transport options in close proximity to residential and work areas, and good connectivity in both at‐grade and above ground linkages, all of which are coupled with service quality and affordability considerations. COPENHAGEN | DENMARK NON‐MOTORIZED TRANSPORTATION PLANNING Copenhagen has established a good model for the development of city‐wide bike system and pedestrian networks. Extensive efforts are made to integrate cycling and pedestrian planning as part of the city fabric, contributing both to reduced fuel‐consuming transport modes and quality of life in the city. TAIPEI | TAIWAN COMMUNITY‐LED CULTURE DEVELOPMENT Taipei has adopted a variety of approaches to promoting and preserving its local culture, from strengthening arts and cultural institutional capacity to decentralizing creative zones for greater interaction between producers and users of arts. The bottom‐up approach also actively engaged the community in cultural planning and heritage preservation. SINGAPORE PUBLIC HOUSING Singapore has provided over 80% of its residents with government designed and built public housing. It achieved an almost 90% homeownership rate with various supporting financing schemes. The public housing estates are attractively built with extensive social and community amenities, as well as efficient infrastructure. NEW YORK CITY | USA CLIMATE CHANGE IN INTEGRATED PLANNING New York City’s comprehensive city plans included committed efforts in adapting to and mitigating climate change. Apart from infrastructure investments, it sought to set up institutionalized mechanisms to assess, plan and implement changes in the social, economic and environmental dimensions; in the process, PlaNYC also brings together different levels of government, private companies, and academia in a common cause. 20