This chapter presents a new analysis of the links between national urban policy (NUP) and the global urban-related agendas. It analyses how countries recognise NUP’s potential to advance the 2030 Agenda for Sustainable Development (SDGs), the New Urban Agenda (NUA), the Paris Agreement and the Sendai Framework for Disaster Risk Reduction. Since a country’s NUP is now officially a part of the SDGs indicator framework (SDG 11.a.1), the chapter also measures how NUPs fulfil the criteria. NUP’s potenital to advance the SDGs is measured not only for Goal 11 but other goals. Finally, the chapter discusses how to align and co‑ordinate between NUP and SDGs implementation from the perspectives of institutions and monitoring frameworks.
Global State of National Urban Policy 2021
Achieving Sustainable Development Goals and Delivering Climate Action
6. Advancing the Sustainable Development Goals and global agendas through NUP
Abstract
Key findings
National urban policy (NUP) is largely considered as an important vehicle to implement global urban agendas, in particular the SDGs (58 out of 86 countries, 67%) and the New Urban Agenda (52 countries, 60%), as well as regional agendas such as Urban Agenda for the European Union, the New Leipzig Charter and the Africa Agenda 2063. Countries also clearly indicated that NUPs can help achieve the Paris Agreement and the Sendai Framework, reflecting the significant potential of cities to mitigate and adapt to climate change and to reduce disaster risks.
Besides SDG 11 on cities and communities, NUPs contribute most extensively to SDG 6 on clean water and sanitation (30 NUPs), SDG 9 on industry, infrastructure and innovation (29 NUPs), SDG 13 on climate action (28 NUPs) and SDG 8 on decent work and economic growth (24 NUPs).
The fact that a country’s NUP is now officially a part of the SDGs indicator framework (SDG 11.a.1) will accelerate the development of NUPs in the coming years. Currently, 23 countries (40%) have NUPs which fulfil all the three ‘qualifiers’ of SDG 11.a.1, 31 countries (53%) reported to meet two qualifiers, and 4 countries (7%) meet one qualifier. Overall, 30 countries have reported that either their NUPs or RDPs meet all the three qualifiers, thus fulfilling the SDG 11.a.
Among the three qualifiers, 54 NUPs (95%) were reported to fulfil the qualifier “balanced territorial development”, while the qualifier “respond to population dynamics” was reported to have been “fulfilled” by 53 NUPs (93%). The third qualifier, “increase local fiscal space” was fulfilled only by 26 NUPs (46%), implying room for improvement.
Whereas in over half of the countries (53%) the NUP process is conducted by the same ministry or agency that is responsible for the implementation of SDG 11, in 20% of countries such implementation is undertaken by other ministries and government agencies, which presents a co‑ordination challenge.
The role of NUP in advancing and localising global agendas
Urbanisation has long been recognised as a global priority challenge, especially within global agendas developed over the past decade, including the 2030 Agenda for Sustainable Development (SDGs); the New Urban Agenda (NUA); the Paris Agreement; and the Sendai Framework for Disaster Risk Reduction. This chapter discusses the link between NUPs and such global agendas, in particular the role of NUPs in advancing their implementation in a shared responsibility approach across ministries, agencies and levels of government. The chapter gives special attention to SDG 11.a.1, as related data provides a baseline to measure subsequent progress of NUPs in light of international agreements.
NUP and global agendas
Many countries recognise that NUP helps achieve global agendas with a strong urban focus. This is consistent with the rapid urbanisation in many countries, and international frameworks increasingly emphasising sustainable urban development. The top two global commitments to which NUPs are reported to contribute are the SDGs (58 out of 86 countries, 67%) and the NUA (52 countries, 60%) (Figure 6.1). Sixty percent of responding countries indicated their NUPs helped to implement both the SDGs and the NUA, as compared to only 11% that indicated their NUP helped implement either of the two international agendas. Indeed, implementing the NUA is expected to accelerate the implementation of the SDGs and SDG 11 in particular, as the NUA details implementation of the urban dimension of the SDGs. The NUA also stresses that its follow up and review must have effective linkages with the SDGs to ensure co‑ordination and coherence in their implementation (United Nations, 2016[1]). In Cuba, NUP is specifically designed to implement the NUA and is also aligned with SDGs (Box 6.1).
Annex 6.A provides detailed information per country in terms of national governments’ commitment to these agenda as a means to address local urbanisation through co‑ordinated actions at local, national and global levels. Surveyed countries also recognise urban policies’ strong potential to advance the goals set in these global agendas, such as ending poverty, protecting the environment, improving partnerships, and enhancing sustainable production and consumption.
Figure 6.1. NUP contributions to achieving global agendas that the NUPs help achieve, n = 86
Note: Data are drawn from the OECD/UN-Habitat/Cities Alliance National Urban Policy Country Survey 2020.
Box 6.1. Aligning NUPs, the SDGs and NUA: The example of Cuba
The national urban policy of Cuba, the National Action Plan Cuba 2017-2036, is for the implementation of the NUA in Cuba and is also aligned with the SDGs. The action plan is a tool to implement the NUA by orienting cities and human settlements in the country to the ideals of the NUA. It translates NUA principles into a strategic plan of results and priority actions for Cuba to achieve positive impact for Cubans. Beside implementing the NUA, the action plan constitutes a long-term plan to improve urban and territorial development.
The action plan’s strategic framework is adapted to the priorities of provinces and municipalities. It also proposes the development of compact urban structures, where the internal potential of cities is maximised, vulnerabilities are reduced and extreme weather events are prepared for. It also contributes to the strengthening of capacities and the formulation of instruments to implement the NUA. The plan includes resources to implement environmental measures and actions to reduce vulnerability and adapt to climate change, including areas of extreme flood danger, coastal edges and regulations to reduce vulnerability in high-risk areas.
The action plan was prepared by the national and local authorities with the technical assistance of UN‑Habitat. The National Action Plan Cuba 2017-2036 received the Scroll of Honour from UN-Habitat in 2018 for its outstanding contributions to the development of human settlements and implementation of the NUA.
Source: OECD/UN-Habitat/Cities Alliance National Urban Policy Country Survey 2020.
More than half of the countries (46 countries, 53%) reported that NUP contributed to advancing the national level commitments made under the Paris Agreement (Figure 6.1). NUP is aligned with the provisions and priorities of the Paris Agreement in a range of countries, including Algeria, Armenia, Austria, Burkina Faso, Canada, Colombia, Ethiopia, Iran, Jordan and Mexico, with special emphasis on efforts to combat climate change in urban areas. This reflects the significant potential of cities to mitigate and adapt to climate change through increasingly visible and ambitious urban climate action measures. Indeed, the importance of engagement of all levels of government to effectively implement climate action is clearly recognised in the Paris Agreement (Box 6.2).
Moreover, 29 countries (34%) also recognise the potential role that their NUPs can play to advance the Sendai Framework for Disaster Risk Reduction by addressing urban vulnerability to disasters, including climate change-related events (Figure 6.1). Other global agendas include the Addis Ababa Action Agenda (AAAA), which echoes the need to support local governments in their efforts to mobilise revenues to enhance inclusive sustainable urbanisation.
Box 6.2. Recognition of local actions in global agendas
Agenda 2030 for Sustainable Development
In the means to implement Agenda 2030, a specific call is made for public institutions to “work closely on implementation with regional and local authorities, sub-regional institutions, international institutions, academia, philanthropic organizations, volunteer groups” (United Nations, 2015[2]). Agenda 2030 also underscores the key role of local authorities in scaling up action, effecting change and securing sustainable human settlements (United Nations, 2015[2]). While the SDGs were not explicitly designed by or for local and regional governments – with the exception of SDG 11, dedicated to sustainable cities and communities – they provide a universal ambition and valuable framework for all levels of government to align global, national and sub-national priorities within policies striving to leave no one behind. This is particularly relevant as national averages often misrepresent realities in regions and cities, and they tend to mask large territorial disparities, compromising the SDGs’ premise of leaving no one behind. OECD economic and well-being indicators at the sub-national level confirm that national averages mask important within-country disparities. For example, while “fine particulate matter 2.5” seems to have been achieved in Australia at the country level in 2017 (value lower than 10 micrograms per cubic metre), four cities of Australia appear to be lagging behind in this indicator – the worst- city being 5 micrograms per cubic metre above the suggested levels (OECD, 2020[3]). Moreover, implementing Agenda 2030 requires cities’ and regions’ action in most SDGs given their policy prerogative, role in public investment and closer connection to citizens.
Paris Agreement
The Paris Agreement acknowledges that climate change is a common concern of humankind, and that local communities – among other groups such as indigenous peoples, migrants and children – must be properly engaged when taking action to address climate change (UNFCCC, 2015[4]). The Paris Agreement specifically recognises the importance of engagement of all levels of government to effectively implement climate action (Preamble §15), specifically highlighting their role with regard to adaptation, loss and damage and capacity building (Articles 7.2, 7.5, 8.4, 11.2).
Sendai Framework for Disaster Risk Reduction 2015-2030
The Sendai Framework underscores the importance of local action in great depth, beginning with its emphasis that “international, regional, sub-regional and transboundary co‑operation is pivotal in supporting the efforts of states, their national and local authorities, as well as communities and businesses, to reduce disaster risk” (UNDRR, 2015[5]). The key target to “substantially increase the number of countries with national and local disaster risk reduction strategies by 2020” (§18e) is rendered more actionable at all levels of government with the recognition that “there is a need for focused action within and across sectors by states at local, national, regional and global levels” (§20) to achieve the framework’s priorities. The importance of local action is further embedded in three of the framework’s guiding principles:
“Disaster risk reduction and management depends on co‑ordination mechanisms within and across sectors and with relevant stakeholders at all levels, and it requires the full engagement of all state institutions of an executive and legislative nature at national and local levels and a clear articulation of responsibilities […]” (§19e);
“While the enabling, guiding and co‑ordinating role of national and federal state governments remain essential, it is necessary to empower local authorities and local communities to reduce disaster risk, including through resources, incentives and decision-making responsibilities, as appropriate” (§19f);
“While the drivers of disaster risk may be local, national, regional or global in scope, disaster risks have local and specific characteristics that must be understood for the determination of measures to reduce disaster risk” (§19i).
Source: United Nations (2015), Transforming our world: the 2030 Agenda for Sustainable Development, http://sustainabledevelopment.un.org; OECD (2020), A Territorial Approach to the Sustainable Development Goals: Synthesis report, OECD Urban Policy Reviews, OECD Publishing, Paris, https://dx.doi.org/10.1787/e86fa715-en; UNFCCC (2015), The Paris Agreement, https://unfccc.int/files/essential_background/convention/application/pdf/english_paris_agreement.pdf; UNDRR (2015), Sendai Framework for Disaster Risk Reduction 2015-2030, United Nations Office for Disaster Risk Reduction, https://www.undrr.org/publication/sendai-framework-disaster-risk-reduction-2015-2030.
The NUP country survey reveals interesting trends across the five global regions regarding recognition of NUP to the four urban-related global agendas (Figure 6.2):
Regarding the SDGs, Arab States present the highest share of countries (6 out of 7 countries, or 86%) recognising the role of NUPs, followed by Africa (11 out of 14 countries, 79%), Latin America and the Caribbean (10 out of 14 countries, 71%), Asia and the Pacific (10 out of 15 countries, 67%) and Europe and North America (21 out of 36 countries, 58%).
Regarding the NUA, a similar result was observed: countries in Africa and Arab States present higher shares, with 79% (11 out of 14) and 71% (5 out of 7), respectively, followed by countries in Latin America (57%), in Europe and North America (56%) and in Asia and the Pacific region (53%).
Regarding the Paris Agreement, the survey results indicate that all the seven respondents in Arab States consider the Paris Agreement in their NUP, followed by countries in Asia and the Pacific (11 out of 15 countries, 73%), Africa (8 out of 14, 57%), Latin America and the Caribbean (7 out of 14, 50%), and Europe and North America (13 out of 36, 36%). This indicates increased awareness of the role of NUPs, especially in Arab States and Asia and the Pacific, in implementing climate change related actions within their urban areas, which may well reflect the environmental sustainability and resilience challenges characterising both regions, including extensive urban development along coastal zones and related flood-risks (UN-Habitat, 2018[6]). The result for Asia and the Pacific is coherent with the fact that their NUPs overall gave stronger attention to environmental sustainability (77%) and climate resilience (55%) than NUPs in the other regions (see Figure 3.8).
The role of NUP to help achieve the Sendai Framework was found to be most prevalent in countries in Latin America and the Caribbean (8 out of 14, 57%) and in Arab States (4 out of 7, 57%), followed by countries in Asia and the Pacific (7 out of 15, 47%), Africa (5 out of 14, 36%) and in Europe and North America (5 out of 36, 14%).
Figure 6.2. Share of NUPs that help achieve selected global agendas, per global region
Note: Data are drawn from the OECD/UN-Habitat/Cities Alliance National Urban Policy Country Survey 2020, NUPs and regional agendas.
Countries also use NUP to implement regional agendas such as the Urban Agenda for the European Union (EU), the New Leipzig Charter and the Africa Agenda 2063. Countries that reported addressing the Urban Agenda for the European Union in NUP include Austria, Bulgaria, Croatia, Finland, Netherlands, Norway, Serbia, Slovak Republic and Slovenia. NUP can also support implementing the New Leipzig Charter, adopted in November 2020, which provides a key policy framework document for sustainable urban development in Europe and guides the next phase of the Urban Agenda for the EU (Box 6.3). The African Union’s Africa Agenda 2063 is a blueprint and master plan aiming to transform Africa into the global powerhouse of the future. Burkina Faso, Ethiopia and Zambia had included the Africa Agenda 2063 in their NUPs, particularly to support the implementation of its goal 4 on modern and liveable habitats in the face of increased urbanisation on the continent.
Box 6.3. The New Leipzig Charter
The New Leipzig Charter – the transformative power of cities for the common good – was adopted at the Informal Ministerial Meetings organised on 30 November 2020 under EU German Presidency. It provides a key policy framework document for sustainable urban development in Europe.
Building on the original 2007 Leipzig Charter on Sustainable European Cities, the New Leipzig Charter highlights the fact that cities need to establish integrated and sustainable urban development strategies and ensure their implementation for the city as a whole, from functional areas to neighbourhoods. It outlines five key principles of good urban governance: i) urban policy for the common good, ii) integrated approach, iii) participation and co-creation, iv) multi-level governance, and v) place-based approach. It also puts forward three city dimensions – the just, the green and the productive city – complemented by the cross-cutting dimension of digitalisation.
The New Leipzig Charter is also accompanied by an Implementing document which intends to guide the next phase of the Urban Agenda for the EU according to renewed parameters.
Source: EC (2020[7]), New Leipzig Charter: The Transformative Power of Cities for the Common Good, https://ec.europa.eu/regional_policy/en/information/publications/brochures/2020/new-leipzig-charter-the-transformative-power-of-cities-for-the-common-good.
Monitoring the progress of SDG 11.a through NUP
The SDG target 11.a aims to “support positive economic, social and environmental links between urban, peri-urban and rural areas by strengthening national and regional development planning”. In order to monitor the progress of SDG 11.a, the newly revised indicator 11.a.1 states “number of countries that have national urban policies or regional development plans that: (a) respond to population dynamics, (b) ensure balanced territorial development, (c) increase local fiscal space” (Box 6.4). This section assesses whether or not NUPs contain these elements, or ‘qualifiers’.
Results hereinafter analysed stem from a ‘self-reporting of countries, as part of the NUP country survey. In the absence of methodological guidance to assess whether or not a country’s NUP or RDP actually ‘responds to population dynamics’, ‘ensures balanced territorial development’ or ‘increases local fiscal space’, the country survey information was treated at face value. Therefore, in addition to collecting quantitative (i.e. yes/no) answers, the survey also asked countries to provide qualitative information through brief explanations of their selection for each of the qualifiers.
Box 6.4. The three ‘qualifiers’ of the SDG 11.a.1 indicator
Respond to population dynamics
Policies and plans should respond to population dynamics. This qualifier examines how NUP addresses population composition, trends and projections in achieving development goals and targets. Grounding policies and plans in the most current and comprehensive spatial and demographic data and projections is indeed a prerequisite for successful implementation. In most countries, the challenges posed by rapid urbanisation stem from the fact that policy and planning framework and their implementation are outpaced by population growth and having urban policy priorities that may not prioritise inclusive development for current and future residents. This strains provision of infrastructure services and creates socio-economic challenges and environmental damage.
Forecasting demographic trends and needs in the diagnostic phase of NUPs enables governments to plan for urbanisation, including provision of adequate land, infrastructure and services in a cost-efficient and less socially disruptive manner. Furthermore, the national data collection for urban policies and plans can provide the impetus to improve national data collection on urban areas, providing baselines to monitor urban policies among other SDG indicators.
Ensure balanced territorial development
Policies and plans should ensure a spatially coherent territory that includes a balanced system of human settlements, cities and towns along the urban, peri-urban and rural continuum, including addressing social, economic, environmental and spatial disparities that may exist among them. NUPs should also promote distinctive strengths and encourage beneficial territorial interactions for efficient and sustainable growth of the country. Such policy frameworks should strengthen and direct urban and rural flows towards the most sustainable patterns of production, consumption and equitable resource distribution, as they can strike the balance between competition and solidarity between territories of a country.
Increase local fiscal space
“Fiscal space” is defined as the financing that is available to government as a result of concrete policy actions for enhancing resource mobilization, and the reforms necessary to secure the enabling governance, institutional and economic environment for these policy actions to be effective, for a specified set of development objectives (UNDP, 2007[8]). Local fiscal space is understood as the sum of financial resources available for improved delivery of basic social and economic services at the local level without any prejudice to the sustainability of a government’s financial position. As a third qualifier, increasing local fiscal space involves ensuring that sub-national and local governments have the adequate financial resources to carry out their responsibilities, including successful implementation of policies and plans. As such, policies and plans should ensure that the transfer of competences from central to local levels is accompanied by commensurate devolution of financial resources and autonomy. This includes enhancing their capacity to expand and diversify endogenous financial resources and revenues and not to over rely on central transfers.
Source: UN-Habitat and UNFPA (2020), Metadata on SDGs Indicator 11.a.1 Indicator category: Tier III., https://unhabitat.org/sites/default/files/2021/01/metadata_on_sdg_indicator_11.a.1_06_2020.pdf; United Nations (2018), Tracking Progress Towards Inclusive, Safe, Resilient and Sustainable Cities and Human Settlements: SDG 11 Synthesis Report, https://unhabitat.org/sites/default/files/2019/05/sdg_11_synthesis_report_web2_0.pdf; UNDP (2007), Fiscal Space for What? Analytical Issues from A Human Development Perspective, United Nations Development Programme.
According to the NUP country survey, 23 NUPs and 17 Regional Development Plans (RDPs) fulfil all the three qualifiers, 31 NUPs and 20 RDPs met two of the qualifiers, and 4 NUPs and 6 RDPs meet only one qualifier (Figure 6.3). Overall, 30 countries have reported that either their NUPs or RDPs meet all the three qualifiers, thus fulfilling the SDG 11.a. The survey result for NUPs by country is found in the Annex 6.A of this report.
Figure 6.3. Number of NUPs and RDPs that fulfil SDG 11.a.1, by number of qualifiers, n = 58 (NUPs), n = 43 (RDPs)
Note: Data are drawn from the OECD/UN-Habitat/Cities Alliance National Urban Policy Country Survey 2020.
Among the three SDG 11.a.1 qualifiers, the first qualifier “ensure balanced territorial development” is reported as “fulfilled” by 54 NUPs (93%), and the second qualifier “respond to population dynamics” is reported as “fulfilled” by 55 NUPs (95%). Many countries reported that their NUP focused on either one or two qualifiers. In contrast, the third qualifier “increase local fiscal space” was regarded as “fulfilled” by only 26 NUPs (45%) (Box 6.5). A similar trend was observed with RDPs. The first qualifier ‘respond to population dynamic’ and the second qualifier ‘ensure balanced territorial development’ were reported as fulfilled by 41 and 37 countries respectively, while the third qualifier “increase local fiscal space” was reported as fulfilled only by 19 countries.
Figure 6.4. Number of NUPs and RDPs that fulfil the SDG 11.a.1, by type of qualifier, n = 58 (NUPs), n = 43 (RDPs)
Note: Data are drawn from the OECD/UN-Habitat/Cities Alliance National Urban Policy Country Survey 2020.
The strong focus on “balanced territorial development”, in NUPs (55 countries) and RDPs (37 countries) could be attributed to the fact that many NUPs and RDPs aim to ensure sustainable land consumption, a key issue for countries undergoing urbanisation. In many countries, low density urban development and urban sprawl are characteristics of cities, locking in unsustainable land and other resource-use patterns. The survey responses indicate that countries appreciate the importance of evaluating the impacts of unplanned urban expansion on their cities and the value of NUPs as an instrument to address the associated challenges.
Many NUPs (53) and RDPs (40) also consider “population dynamics”. This reflects the people centred nature of NUPs and RDPs, and indicates that they help address challenges associated with urban population growth and development trends. It also implies that countries recognise well that the majority of people live and will continue to live in cities, and that urban policy needs will increase. NUPs that focus on population dynamics are pro-people in their formulation and aim to ensure increased opportunities, equity and freedom of choice for all without leaving anyone behind. They have targeted actions addressing all age sets of the population and catering for their needs for infrastructure and services, reflecting the projected demographic changes.
Finally, fewer NUPs (26) and RDPs (19) include “fiscal space”, suggesting that efforts are needed to make countries have a clearer understanding of the third qualifier, its importance in sustainable urban development and how it may be integrated in their NUPs and RDPs. Fiscal space is a critical element for economic, social and environmental investments in urban areas and a necessary ingredient for achieving the SDGs, as any cities’ abilities to create and sustain economic growth is enhanced or constrained by its fiscal capacity. Urbanisation and expanding urban areas in most countries have increased demands for public services, with principal revenue sources often not able to keep up with rapidly rising demands, exposing them to fiscal pressures. On the other hand, they are also concerned that higher taxes to finance the increased demands may drive away and deter business investment, and create an additional burden for urban residents. Effective NUPs can help strike the right balance to maximise public fiscal capacity and provide incentives to raise and apportion revenue to address finance deficits for sustainable urban development.
The result of the NUP survey presents many examples of how NUPs and RDPs have been integrating the three qualifiers; one example is in improving financial accountability in countries such as Austria, Germany and Sweden, where NUPs or RDPs have strong fiscal equalisation mechanisms as an indicator of national commitment to preserve a balanced urban system. Furthermore, these countries indicated the unique catalytic role of development banks in improving fiscal space by supporting policy and institutional reforms in partner countries, enhancing quality of urban programmes and advancing global agendas. Further examples are presented in Box 6.5Box 6.5.
Box 6.5. Examples of how NUPs and RDPs have integrated the 3 qualifiers
Bulgaria (3 qualifiers): To ensure balanced development of Bulgarian regions and to overcome negative demographic trends, the National Concept for Spatial Development (NCSD) and the country’s regional development plan are based on regional socio-economic and demographic trends. Furthermore, fiscal support and transfer for regions, cities and municipalities are stipulated, with population as a main distribution criterion. NCSD recommends moderate polycentrism to ensure the balanced territorial development of Bulgaria.
Costa Rica (3 qualifiers): The National Urban Development Policy 2018-30 (PNDU) for Costa Rica promotes balanced territorial development by proposing a system of cities, and urban development decisions based on the system. Key to the system is the articulation of a network of intermediate cities to allow sharing and capitalise on the best experiences. Fiscal space is an important element, creating tools to finance and manage urban development, including modifying the Urban Planning Law. Specifically, it focuses on the importance of improving real estate tax and special contributions as the two main fiscal instruments.
Egypt (Qualifier 1 and 3): The 2015 National Urban Policy addresses rapid population growth and the capacity of current and new cities to absorb the population growth. The future system of cities included in the plan describes the potential of Egyptian cities and identifies priority urban cluster areas for development. Furthermore, the NUP promotes fiscal decentralisation and the boosting of local revenues, e.g. through optimising land-based financial instruments.
Montenegro (Qualifiers 1 and 2): The Spatial Plan of Montenegro aims at achieving spatially balanced and sustainable socio-economic development, as well as ensuring quality natural and living environments. Furthermore, it defines new building zones, infrastructural upgrades and the amount of utility charges and city rents to increase local fiscal space.
Slovenia (Qualifiers 1 and 2): Improving territorial cohesion for balanced regional and sustainable development taking into consideration and use of endogenous spatial planning potentials (resources) has been key aim of its NUP, the Slovenia Spatial Development Strategy. Territorial cohesion is based on enhancing territorial effectiveness, connecting three dimensions of space - physical, economic, and social/cultural - and is inclusive and based on participatory processes.
Source: OECD/UN-Habitat/Cities Alliance National Urban Policy Country Survey 2020.
Linking the 17 SDGs through NUP
Although the 17 global SDGs have been agreed on by nations, national governments alone cannot achieve the ambitious goals, as in many countries, cities and regions have core competencies for policy areas underlying the SDGs such as water, housing, transport, infrastructure, land use or climate change. Indeed, at least 105 of the 169 targets underlying the 17 SDGs will not be reached without local and regional governments (OECD, 2020[3]). In this context, NUP can help countries advance SDGs in urban areas, through the alignment of different sectoral policies and with the support of cities and residents.
Achieving sustainable development in cities also requires addressing myriad development challenges in cities that need focusing on more than SDG 11. Hence, achieving SDG 11 and its targets has a clear effect on other SDGs and their targets, especially in urban areas. NUP has the potential to leverage the strong nexus between the SDGs by promoting synergies and addressing trade-offs across SDGs.
In this context, this section discusses NUPs’ potential to linking the 17 SDGs and contributing to the achievement of the SDGs in an integrated manner. In urban areas, the success of the SDGs will largely depend on how urbanisation is co‑ordinated and managed, and the majority of the countries (58 out of 86) reported that their NUPs help in achieving the SDGs. At a closer look, it is important to focus on the fact that the cross-sectoral and multi-faceted nature of NUPs would contribute to many other SDGs, beyond SDG 11. As a place-based strategy, NUPs can not only set forth the long-term and integrated strategic goals for urban areas, but can also link multiple policy sectors relevant in urban areas. For example, in the NUP country survey, countries such as Costa Rica, Germany, Serbia and Zambia argued that achieving urban sustainability requires integrated urban policies, and that effective integrated urban policies must link to other SDGs.
According to the responses to the NUP country survey, the top four SDGs that NUP can extensively contribute to, aside from SDG 11, were SDG 6 on clean water and sanitation (31 countries), SDG 9 on industry, infrastructure and innovation (30), SDG 13 on climate action (29) and SDG 8 on decent work and economic growth (25). When considering both extensive and moderate levels of contribution, SDG 13 had the most NUP contributions (59 countries), followed by SDG 8 and SDG 9 (54) and SDG 3 on good health and well-being (53) (Figures 6.5 and 6.6). The extensive focus of NUPs on SDGs 6, 9, 13 and 8 could be attributed to the targets in these SDGs associated with the management of urbanisation. For instance, social development and economic prosperity in cities depends on the sustainable and inclusive access to and management of water and sanitation, including addressing its rising inequality (SDG 6). Access to technologies and infrastructure are essential to accelerating productivity and addressing urban poverty reduction (SDG 9). Well performing urban infrastructure not only transforms the quality of services, but also promotes economic development by guaranteeing jobs and income (SDG 8). Urban policies that earmark funding for sustainable transport can drive the low-carbon transition in cities (SDG 13).
Countries also provided examples of how their NUPs are relevant to different SDGs. In Armenia, a key policy objective for the NUP is to provide urban settlements with fresh spring water, well-maintained sanitation zones and sewer systems with treating plants. Bulgaria has introduced a special requirement to include climate action measures in all the integrated territorial strategies of the regions and in the integrated municipal development plans of the cities. In Israel, employment is a key focus area of their Urban Strategic Plan for 2040, with the aim to promote an integrated vision for employment and industrial areas, considering local, regional and national needs. The Planning Authority of Israel has also introduced a regulation making the Israeli Green Building Code mandatory throughout the country from March 2022 onwards.
Figure 6.5. Number of NUPs per level of contribution to other SDGs, n = 86
Note: Data are drawn from the OECD/UN-Habitat/Cities Alliance National Urban Policy Country Survey 2020.
In addition to the global overview of how countries see potential NUP contribution to SDGs other than SDG 11, some notable regional variations for selected SDGs are observed.
SDG 6 (clean water and sanitation): According to the NUP country survey, 22 countries in Asia and the Pacific, 20 in Africa, 20 in Latin America and the Caribbean, and 6 in the Arab States reported that their NUPs contribute to SDG 6 either extensively or moderately.
SDG 9 (industry, innovation and infrastructure): The NUP’s moderate to extensive contribution to SDG 9 varied across the five regions, with countries in Europe and North America leading at 38%, Africa, Asia and the Pacific and Latin America and the Caribbean at 19% each. Only 5% of NUPs in Arab States were reported as ‘moderate and extensive’.
SDG 13 (climate action): Regional differences in the contributions of 57 countries’ NUPs to the implementation of SDG 13 climate change is quite evident, with Europe and North America at 37% of NUPs, followed by Asia at 21% and Africa at 19%.
Figure 6.6. Number of NUPs contributing extensively to other SDGs
Note: Data are drawn from the OECD/UN-Habitat/Cities Alliance National Urban Policy Country Survey 2020.
Co‑ordinating between NUP and SDGs implementation
Given the demonstrated importance of NUP in advancing SDGs in many countries, it is crucial that NUPs and SDGs are well aligned and co‑ordinated in their implementation processes. This section discusses how to better align and co‑ordinate between NUP and SDGs implementation from two perspectives: institutions and monitoring frameworks.
Institutions leading NUP and SDGs implementation
The NUP country survey indicated that in over half of the countries (53%) the ministry or agency charged with the formulation, implementation, monitoring and evaluation of NUPs is also responsible for the implementation and monitoring of SDG 11 (Figure 6.7). In Eswatini, Malawi and Zambia, the ministries responsible for economic planning and development are responsible for implementing both NUPs and SDGs. In some countries, specialised departments and agencies have the responsibility, such as the Federal Institute for Research on Building, Urban Affairs and Spatial Development (BBSR) in Germany and National Institute for Statistics in Portugal. In these countries, there is high expectation that NUPs and SDGs implementation can be well aligned and co‑ordinated. In contrast, the survey also reported that in 20% of the countries, implementation and monitoring of the SDGs is undertaken by other ministries and government agencies, including Latvia, Serbia and Thailand, among others. It is noteworthy that in 27% of countries reported that it is not clearly defined which institutions are in charge.
Whether or not the same institutions are in charge of implementing both NUPs and SDGs, what is important is to clarify the roles of different institutions and establish clear alignment and co‑ordination mechanisms. Several countries indicated that it is a general consensus that the implementation and monitoring of SDG 11 cuts across initiatives of other sectoral agencies, and that there is thus a need for horizontal co‑ordination with these agencies, as reported by Philippines, Romania, Saudi Arabia and Sweden.
Figure 6.7. Ministries in charge of implementing NUP and SDG 11
Note: Data are drawn from the OECD/UN-Habitat/Cities Alliance National Urban Policy Country Survey 2020.
Integrating NUP targets and indicators with SDGs
The monitoring and evaluation of NUPs is closely related to the monitoring and evaluation of the SDGs and the NUA. Through the monitoring and evaluation of NUPs, national governments can provide consistent feedback on their progress to the implementation of the SDGs and the NUA, and vice versa, monitoring and evaluation of the SDGs and NUA can inform and provide future direction of NUPs.
The NUP country survey found that several countries have integrated SDG targets and indicators in their NUP monitoring and evaluation frameworks. The integration ranges from general, where NUP monitoring implies achievement of the targets and indicators (Panama, Serbia), to specific, where NUP policy objectives are aligned to achieving specific SDG targets and indicators (Cuba, Ethiopia, Malawi, Mexico, Montenegro, Sao Tome and Principe, Saudi Arabia, Spain, Thailand). In Mexico, indicators have been established to evaluate dimensions of at least 8 of the 17 SDGs, with a special contribution to SDG 11. In Cuba, the National Action Plan for Cuba 2036 for the implementation of the New Urban Agenda aligns with the 2030 Agenda and all SDGs, and contains a set of urban indicators to measure national progress in achieving the urban SDGs. In Montenegro, the National Strategy for Sustainable Development 2030 has introduced 281 selected national indicators for the monitoring of sustainable development, in addition to the SDG indicators. The indicators are based on needs and specificities of national development as identified since 2007. In Spain, strategic objectives and indicators of the Spanish Urban Agenda are aligned with the urban goals and indicators of the 2030 Agenda (Box 6.6).
Box 6.6. Promoting the 2030 Agenda and the New Urban Agenda through NUP in Spain
The Spanish Urban Agenda (Agenda Urbana Española, AUE) is a non-binding strategic document established in accordance with the 2030 Agenda, the New Urban Agenda and the Urban Agenda for the European Union to pursue sustainability in urban development policies. It also constitutes a working methodology and a process for all stakeholders. This integrated urban development strategy offers a Decalogue of Strategic Objectives, 30 specific objectives and 291 lines of action, creating a diverse menu for cities and towns interested in implementing their action plans, regardless of their size and population, and under the triple prism of economic, social and environmental sustainability.
The AUE is established to facilitate management and direct urban development in Spain. In a highly decentralised context, where competences in urban matters are distributed to various levels of government, the AUE aspires to draw a common action path on key issues for the sustainability and future of cities and human settlements. It establishes the fundamental lines of action to central government in competencies that are directly assigned to it and, at the same time, generates instruments to guide other levels of government and stakeholders in their own plans and actions towards common urban sustainability objectives.
The implementation of the AUE has been key for Spain to advance the SDGs; since it constitutes one of the 10 key lever policies defined in the action plan for the Implementation of the 2030 Agenda - Spanish Strategy for Sustainable Development. Experiences from its implementation include:
New approaches to address complexity: unlike the previous urban strategies defined by the national government, the AUE is a comprehensive framework, which includes several sectors: from the classic urban issues – housing, mobility, planning, urban services – to new, emerging tasks such as smart cities; from economy to health; from climate change to social integration.
The process is fundamental: AUE is understood as a process, as a mechanism that facilitates the action of the different levels of government in the urban environment. In this sense, it is presented as a framework document, from which each of the administrations and other actors can generate their specific action plans.
A common framework for urban monitoring: the AUE aims to adapt to the different realities of cities and territories in Spain, from large metropolises to small towns. To do this, it has defined a set of existing indicators for each of the established objectives, which can be – partially or totally – used by local governments, both to prepare the diagnosis of their action plans and to jointly monitor progress.
Source: OECD/UN-Habitat/Cities Alliance National Urban Policy Country Survey 2020.
In countries where NUP is not fully formulated, monitoring and evaluation frameworks have not been developed (Costa Rica, Egypt and Myanmar). In such cases, or where NUPs are undergoing reviews, consideration should be given to aligning the NUP monitoring and evaluation frameworks with SDG targets and indicators to the extent relevant and appropriate. In Costa Rica for example, the PNDU for the country does not have a specific evaluation and follow-up model yet, and thus has an opportunity to include indicators to monitor and report on the fulfilment of the 2030 Agenda. It is also notable that SDG targets and indicators are not integrated into the monitoring and evaluation framework of most countries that do not have explicit NUPs, which presents key opportunities in the future.
It is also important to note that, technically speaking, the globally defined SDG targets and indicators are not always possible to apply to NUPs, because they were not designed specifically for cities. There are a number of international attempts to develop localised SDG targets and indicators, which can also be used to monitor NUPs. For example, the OECD programme A Territorial Approach to the SDGs is based on the recognition that cities and regions play a crucial role in achieving the SDGs (Box 6.7), and measures the performance of OECD cities and regions in achieving them. As is presented in Chapter 5, the data from 649 cities found that cities are not yet on track to achieve the SDGs (Box 5.3), which is highly contrasted with the result of this chapter’s analysis – countries’ high recognition that NUPs can contribute to achieving many SDGs.
Box 6.7. A Territorial Approach to the SDGs: Framework and Checklist
The 2030 Agenda was not designed specifically for cities, but they play a crucial role in achieving the SDGs. The OECD estimates that at least 105 of the 169 targets underlying the 17 SDGs will not be reached without proper engagement and co-ordination with local and regional governments, as cities and regions have core responsibilities that are central to sustainable development and well-being (e.g. water services, housing or transport). Cities and regions are thus an integral part of the solution as the varying nature of sustainable development challenges calls for place-based solutions tailored to territorial specificities and capacities. Place-based policies incorporate a set of co-ordinated actions designed for a particular city or region and stress the need to shift from a sectoral to a multi-sectoral approach, from one-size-fits-all to context-specific measures, and from a top-down to a bottom-up approach.
The SDGs can help to advance the shift towards a new regional development paradigm and provide a framework to implement it because the 2030 Agenda provides a long-term vision for policies with a common milestone in 2030, while acknowledging that targeted action is needed in different places (Figure 6.8).
Figure 6.8. A territorial approach to the SDGs supports the transition to a new regional development paradigm
Source: OECD elaboration based on OECD (2020), A Territorial Approach to the Sustainable Development Goals, https://doi.org/10.1787/e86fa715-en
The 17 interconnected SDGs cover the social, economic and environmental dimensions of sustainable development in a balanced way and allow policymakers to better address them concomitantly. They also allow the promotion of policy complementarities and the management of trade-offs across goals. The SDGs allow better implementation of the concept of functional territories, a common framework that neighbouring municipalities can use to strengthen collaborations and to co-ordinate actions.
Regional policy aims to effectively address the diversity of economic, social, demographic, institutional and geographic conditions across cities and regions. It also ensures that sectoral policies are co‑ordinated with each other and meet the specific needs of different regions, and regional policy provides the tools that traditional structural policies often lack in order to address region-specific factors that cause economic and social stagnation (OECD, 2019[9]). The SDGs can help to bring various departments of a local administration together to strengthen the collaboration in policy implementation. A participatory policymaking and bottom-up process is one of the core elements of a territorial approach to the SDGs. Furthermore, the SDGs provide cities and regions with a tool to effectively engage in multi-stakeholder dialogues with actors from the private sector and civil society, as well as schools and academia.
The OECD has developed a Checklist for Public Action directed at governments at all levels to facilitate the implementation of a territorial approach to the SDGs (Figure 6.9). The checklist provides action-oriented recommendations around five main categories that emerged as key pillars for a territorial approach to the SDGs: i) planning, policies and strategies; ii) multi-level governance; iii) financing and budgeting; iv) data and information; and v) engagement. The checklist also presents some examples and good practices on how to implement the recommendations, both from the pilots of the OECD programme and other cities and regions.
Figure 6.9. OECD Checklist for Public Action to localise the SDGs
Source: OECD elaboration based on OECD (2020), A Territorial Approach to the Sustainable Development Goals, https://doi.org/10.1787/e86fa715-en
Ways forward
This chapter highlighted the fact that countries have been recognising the role of NUPs in advancing and localising global agendas and integrating them into the NUP implementation as well as monitoring and evaluation. The two most common agendas were the 2030 Agenda for Sustainable Development (57 countries) followed by the New Urban Agenda (52 countries), but countries also clearly indicated that NUPs can help achieve the Paris Climate Agreement and the Sendai Framework for Disaster Risk Reduction, reflecting the significant potential of cities to mitigate and adapt to climate change and to reduce disaster risks. This indicates that many countries recognise NUP’s potential to advance the policy objectives in these global agendas, such as ending poverty, protecting the environment, improving partnerships, and enhancing sustainable production and consumption. In addition, this also implies that national governments recognise that their implementation of global agendas requires co‑ordinated actions at local, national and global levels. The analysis also shows there is some regional diversity in recognising NUP’s contribution to drive global agendas. For example, countries in the Arab States and Asia and the Pacific regions have put more emphasis on the role of NUPs in implementing the Paris Agreement due to their increased need and responsibility for implementing climate change-related actions in their urban areas.
The fact that NUP is now officially a part of the SDGs indicator framework (SDG 11.a.1) will accelerate the development of NUPs in the coming years. It is important for countries to ensure that their NUPs meet the three qualifiers: “ensure balanced territorial development”, “respond to population dynamics” and “increase local fiscal space”. The NUP country survey indicated that 41% of countries reported their NUPs or regional development plans fulfil all the three qualifiers. However, only 26 NUPs were reported to fulfil the qualifier “increase local fiscal space”, implying the need for countries to better understand its importance in sustainable urban development and how it may be integrated into NUP. Countries should develop NUPs that leverage the strong nexus with multiple SDGs to address the myriad development challenges in cities. Aside from SDG 11, and owing to its cross-sectoral and multi-faceted nature, NUPs were recognised as helping to contribute extensively to many other SDGs, including Goals 6, 8, 9 and 13, which are key to managing urbanisation sustainably.
Finally, countries should consider aligning NUP monitoring and evaluation frameworks with urban-related SDGs indicators. Institutionally speaking, the majority of countries reported that the ministry or agency charged with NUP are also responsible for monitoring SDGs. However, whether or not the same institutions are in charge of implementing both NUP and SDGs, it is important to clarify the roles of different institutions and to establish clear alignment and co‑ordination mechanisms for monitoring NUP and SDGs. Many governments and institutions have recently developed localised SDGs indicators to monitor the progress of cities and regions. It is important to recognise that these indicators are often compatible and can be effectively used to monitor and evaluate the performance of NUP. In this regard, lead NUP ministries should seek for synergies with initiatives to support localising SDGs in designing their NUP evaluation and monitoring framework. As is observed in previous chapters, many countries are yet to develop their NUP monitoring and evaluation frameworks, which provides immediate opportunities.
Going forward, countries should enhance the contribution of NUP to global and regional agendas, notably the SDGs, the New Urban Agenda, the Paris Climate Agreement and Sendai Framework for Disaster Risk Reduction, as well as regional agendas such as the New Leipzig Charter and the Africa Agenda 2063. Another key step is to align NUP targets and indicators with the SDGs and other global indicators to build a coherent monitoring and evaluation framework.
Annex 6.A. Measuring how NUPs fulfil SDG 11.a.1 qualifiers and contribute to global agendas
This table provides a breakdown of the 86 country survey respondents’ answers regarding: i) whether the country NUP meets one or more of the three qualifiers under SDG indicator 11.a.1, a) “Respond to population dynamics”, b) “Ensure balanced territorial development”, c) “Increase local fiscal space”; ii) whether the country NUP makes reference to, or intends to help achieve, the 2030 Agenda for Sustainable Development, the New Urban Agenda, the Paris Agreement, and/or the Sendai Framework for Disaster Risk Reduction.
Annex table 6.A.1. Measuring how NUPs fulfil SDG 11.a.1 qualifiers and contribute to global agendas
References
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